WebSEC under Section 19(b) of the Exchange Act any such CAT Fees applicable to Industry Members that the Operating Committee approves.16 Accordingly, Bats submits this fee filing to propose the Consolidated Audit Trail Funding Fees, which will require Industry Members that are Bats members to pay the CAT Fees determined by the Operating … Web• The SEC and SROs who collect and hold data must be liable for its protection When the Consolidated Audit Trail, or CAT, is complete, it will become the world’s largest database of securities transactions, containing all daily equity and …
Notice of Filing and Immediate Effectiveness of a Proposed Rule …
Web6 May 2024 · The Consolidated Audit Trail, as outlined in the CAT NMS Plan, is a collaborative endeavor between US exchanges, FINRA and industry members to fulfill the … Web23 Nov 2012 · Purpose. The purpose of this paper is to explain the requirements of SEC Rule 613 under the Securities Exchange Act of 1934, which requires national securities … robert l fish author
SEC Rule 613: Consolidated Audit Trail FORVIS
Web22 Apr 2024 · consolidated audit trail that would allow regulators efficiently and accurately to track all activity throughout the national securities markets in the United States. 17 C.F.R. § 242.613. The rule required that self-regulatory organizations jointly submit a plan to create, implement and maintain the CAT. Id. § 242.613(a)(1). The SROs ... Webfinancial statements of the Consolidated Audit Trail, LLC for 2024. (3) For purposes of the Quarterly CAT Fee, the budgeted Total CAT Costs for the relevant year shall be the total CAT costs set forth in the annual operating budget approved by the Operating Committee pursuant to Section 11.1(a) of the CAT NMS Plan for the relevant year. Web24 Apr 2024 · Audit Trail: A step-by-step record by which accounting data can be traced to their source. The SEC and NYSE will use this method for the explicit reconstruction of … robert l griffith