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However, if a buy-side organization has any sell-side extensions, it will be required to report securities transaction data to the Consolidated Audit Trail (CAT) system.
(U.S. securities exchanges and the Financial Industry Regulatory Authority (FINRA) pushed for the creation of an uber market surveillance/database system, the Consolidated Audit Trail (CAT), to support SEC Rule 613. Plans for implementation have been underway since July 2012 and got a boost when SEC officials finally approved the CAT NMS Plan on Nov. 15,...
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