CAT

IG concludes that additional oversight and monitoring of the SEC's CAT usage is needed

The SRO supports a CAT LLC proposal that would stop the reporting of all PII to the CAT and delete any PII previously reported

The SEC will no longer require the collection and reporting by broker-dealers of names, addresses, and years of birth for CAT reporting

Brief was filed against the SEC's approval of a CAT funding model deemed "arbitrary and capricious"

The amendment, which becomes effective immediately, addresses the allocation of recoverable costs for the CAT

Instinet is charged with failing to timely file and accurately report data for tens of billions of order events to the CAT

The association is pushing back on the proposed allocation of two-thirds of the costs of the Consolidated Audit Trail to industry members

The SEC weighed the impact of the proposed amendments on efficiency, competition and capital formation

The SEC has turned aside a request from the nation’s largest stock exchanges to hold the Commission’s new market data infrastructure rules but it’s only ...