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SEC Rule 613 Consolidated Audit Trail (CAT) Industry Outreach Event December 10, 2014Todays agenda TopicsPageCurrent Status3Funding Model & Cost to BrokerDealers Study7Plan Processor Requirements
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How to fill out sec rule 613 consolidated

01
Start by familiarizing yourself with SEC Rule 613, also known as the Consolidated Audit Trail (CAT) rule.
02
Understand the purpose of the CAT rule, which is to improve regulatory oversight and surveillance of the U.S. securities markets.
03
Review the requirements and guidelines outlined in SEC Rule 613 to ensure compliance.
04
Gather the necessary data and information that needs to be recorded and reported in accordance with the CAT rule.
05
Develop a process or system for collecting, organizing, and storing the required data.
06
Ensure the accuracy and integrity of the collected data through regular audits and quality checks.
07
Submit the consolidated data to the appropriate regulatory authorities as per the reporting deadlines specified in the CAT rule.
08
Keep track of any updates or amendments to SEC Rule 613 and make necessary adjustments to your compliance procedures.
09
Maintain documentation and records of your compliance efforts for future reference.
10
Consider seeking assistance from regulatory compliance experts or consultants if needed.

Who needs sec rule 613 consolidated?

01
SEC Rule 613 consolidated is relevant for entities and individuals involved in the U.S. securities markets.
02
This includes but is not limited to securities exchanges, self-regulatory organizations (SROs), broker-dealers, and other market participants.
03
Any entity or individual that engages in trading or executing securities transactions is subject to the requirements of SEC Rule 613 consolidated.
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Sec rule 613 consolidated refers to the requirement for national securities exchanges and FINRA to create and maintain a consolidated audit trail.
National securities exchanges and FINRA are required to file sec rule 613 consolidated.
Sec rule 613 consolidated can be filled out by reporting all order and execution information for securities transactions.
The purpose of sec rule 613 consolidated is to enhance market surveillance and reconstruct market events accurately.
The information reported on sec rule 613 consolidated includes customer information, order information, and trade information.
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