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CAT REPORTING 101

Here’s what you need to know…

April 20, 2020 is the published Go-Live for Consolidated Audit Trail (CAT) production environment file submission and data integrity validations.

The Consolidated Audit Trail will track orders throughout their life cycle and identify the market participants handling them, thus allowing regulators to more efficiently track activity in eligible securities throughout the U.S. markets.

The primary goal of Securities and Exchange Commission (SEC) Rule 613 is to improve the ability of the SEC and the Self-Regulatory Organizations (SROs) to oversee trading in the US securities markets.

Sterling has begun customer data integrity validation for clients that have contracted with Sterling to report on their behalf.

CLICK HERE to contact us for additional information on Sterling Trading Tech submitting to CAT on behalf of your firm. Please note that CAT Reporting is a separate required process from OATS Reporting.

Additional information regarding Consolidated Audit Trail, LLC can be found at https://www.catnmsplan.com/

As the markets have changed, now so will the regulatory landscape surrounding market data. Both CAT and revised 606 Reporting will go into effect in 2020.

CLICK HERE to view Sterling’s President, Jim Nevotti interviewed in the S&G Global Intelligence on, ‘Wall Street Eyes Final Act of Stock Market Reforms in 2020’.

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