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CAT Reporting Customer & Account Technical Specifications for Industry Members 3/9/2022 Version 2.0 r7Table of Contents Preface ........................................................................................................................................................

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How to fill out sec rule 613 cat

01

Establish connectivity to the Central Repository (CAT).

02

Develop software or make necessary updates to existing software to collect and report data to CAT.

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Ensure compliance with all CAT reporting requirements and deadlines.

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Submit data to CAT as required by SEC Rule 613.

Who needs sec rule 613 cat?

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SEC Rule 613 CAT is needed by all national securities exchanges, national securities associations, alternative trading systems, broker-dealers, and FINRA members who are required to report data to the Central Repository for a consolidated audit trail (CAT).

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What is sec rule 613 cat?

SEC Rule 613 CAT is the Consolidated Audit Trail (CAT) for the financial industry.

Who is required to file sec rule 613 cat?

Broker-dealers, exchanges, and other self-regulatory organizations are required to file SEC Rule 613 CAT.

How to fill out sec rule 613 cat?

SEC Rule 613 CAT is filled out electronically through the CAT reporting system.

What is the purpose of sec rule 613 cat?

The purpose of SEC Rule 613 CAT is to accurately and efficiently track and analyze trading activity in the financial markets.

What information must be reported on sec rule 613 cat?

Information such as customer and order details, trade data, and time stamps must be reported on SEC Rule 613 CAT.

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