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Vol. 77 Wednesday, No. 148 August 1, 2012, Part II Securities and Exchange Commission Robinson on DSK4SPTVN1PROD with RULES2 17 CFR Part 242 Consolidated Audit Trail; Final Rule Verde Mar152010 19:13

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What is consolidated audit trail?

Consolidated Audit Trail (CAT) is a regulatory system that collects and stores comprehensive trading data across U.S. equity and options markets. It is designed to improve market surveillance and enhance investor protection.

Who is required to file consolidated audit trail?

The requirement to file consolidated audit trail applies to all national securities exchanges, FINRA, and various other self-regulatory organizations (SROs), as well as broker-dealers, clearing agencies, and higher-volume traders.

How to fill out consolidated audit trail?

To fill out consolidated audit trail, entities subject to reporting obligations must establish the necessary infrastructure and systems to capture and report the required trading data. They must adhere to the reporting rules and guidelines provided by the CAT system operators.

What is the purpose of consolidated audit trail?

The purpose of the consolidated audit trail is to facilitate efficient and effective market oversight, surveillance, and regulatory compliance. It enables regulators to reconstruct market events and investigate potential market manipulation, insider trading, and other illicit activities.

What information must be reported on consolidated audit trail?

Consolidated audit trail requires the reporting of comprehensive trading and order data, including customer and account information, order details, execution timestamps, order modifications, cancellation data, and other relevant information deemed necessary for market surveillance and analysis.

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