Get the free Consolidated Audit Trail (CAT) Clock Synchronization Certification
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CONSOLIDATED AUDIT TRAIL (CAT) CLOCK SYNCHRONIZATION CERTIFICATION BY ___ TO PARTICIPANTS OF THE CAT NHS PLAN ___ CLOCK SYNCHRONIZATION CERTIFICATION BY ___ hereby acknowledges that it is a member
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How to fill out consolidated audit trail cat
How to fill out consolidated audit trail cat
01
Obtain CAT Reporter ID from SEC
02
Collect and report all required data elements
03
Submit the data to the CAT Reporting Agent
04
Review and confirm the accuracy of the data submitted
05
Address any errors or discrepancies identified during the review process
Who needs consolidated audit trail cat?
01
SEC-registered broker-dealers
02
SEC-registered exchanges
03
FINRA-registered firms
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What is consolidated audit trail cat?
Consolidated Audit Trail (CAT) is a regulatory reporting system that will collect and identify every order, cancellation, modification, and trade execution for all exchange-listed equities and options across all U.S. markets.
Who is required to file consolidated audit trail cat?
Broker-dealers, national securities exchanges, and certain other entities are required to report data to the CAT.
How to fill out consolidated audit trail cat?
Firms can use precision timestamps and unique identifiers to accurately report information to the CAT.
What is the purpose of consolidated audit trail cat?
The purpose of the CAT is to enhance regulators' ability to oversee the securities markets and identify potential market abuses.
What information must be reported on consolidated audit trail cat?
CAT requires the reporting of order events, customer information, and execution details.
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