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What is cas computing?
CAS computing stands for Consolidated Audit Trail computing. It is a regulatory requirement for broker-dealers and exchanges in the United States to capture, record, and report all trading activities in order to enhance market oversight and surveillance.
Who is required to file cas computing?
Broker-dealers and exchanges in the United States are required to file CAS computing.
How to fill out cas computing?
To fill out CAS computing, broker-dealers and exchanges need to capture and record all trading activities, including customer information, order details, and transaction data, and report this information to the SEC and other regulatory authorities using the required format and submission methods.
What is the purpose of cas computing?
The purpose of CAS computing is to enhance market oversight and surveillance by capturing, recording, and reporting all trading activities. It allows regulatory authorities to monitor and analyze market behaviors, detect potential regulatory violations, and investigate suspicious trading activities.
What information must be reported on cas computing?
CAS computing requires the reporting of various information, including customer information (e.g., account numbers, names), order details (e.g., order types, quantities), transaction data (e.g., timestamps, execution prices), and other relevant trading activity information.
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