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10:06:27From Tracey Thomas : I have no sound 10:08:12From Mary Rodman : Check to see that your computer mic is on. We have sound. 10:13:00From Lisa Lorenzo : In what instance might we already have
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What is chat room form cats?
The chat room form CATs (Consolidated Audit Trail) is a regulatory requirement used in financial markets for tracking orders and trades, helping to enhance market transparency and monitoring.
Who is required to file chat room form cats?
Entities such as broker-dealers and national securities exchanges are required to file the chat room form CATs to comply with SEC regulations.
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To fill out the chat room form CATs, firms must provide specific transaction data including order details, timestamps, and identification of the parties involved in the trades.
What is the purpose of chat room form cats?
The purpose of the chat room form CATs is to create a comprehensive database of trading activity that regulators can use for surveillance, analysis, and enforcement against market manipulation.
What information must be reported on chat room form cats?
The information required includes order and execution data, timestamps, the identity of the buyer and seller, and other transaction-related details.
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