SEC Issues Anticipated Exemptive Relief for Consolidated Audit Trail (CAT)
The Consolidated Audit trail (CAT) is moving forward and the SEC has released new exemptive relief dates for parts 2a (Equity reporting) and 2b (Options reporting). The SEC has also provided exemptive relief for introducing brokers. In this episode, Oyster Consultants Ralph Magee and Jeff Call discuss what firms should be doing around certifications, linkages, testing validation and the upcoming options reporting deadlines. Oyster also has a new software application to validate firms' CAT reporting. Learn more about that in this episode, or by clicking here.