(FTF News recently got time to talk with David Campbell, vice president, strategy and business development — message automation for Broadridge Financial Solutions, about the company’s win via the 2020 FTF News Technology Innovation Awards. The systems and services provider to Wall Street firms got the most votes to win the honor of Best RegTech… Read More >>
CAT Moves Closer to Becoming a Reality
The Consolidated Audit Trail (CAT) is approaching a milestone on Nov. 15 as major self-regulatory organizations (SROs) and exchanges are slated to start sending quote, order, trade and related information to the CAT central repository as specified under the National Market System Plan Governing the Consolidated Audit Plan (CAT NMS Plan). As many will recall,… Read More >>
Buy Side Spared Direct CAT Reporting Requirements
(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,… Read More >>
