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News September 16, 2019 Issue

SEC Sets Markers and Penalties for CAT Completion

SEC Chairman Jay Clayton has put the CAT on a leash. While actual cats are well known to avoid such attempts to control their behavior, perhaps it will be different with the Consolidated Audit Trail (CAT), a much-ballyhooed but delayed project that, once completed, would capture, in a consolidated data source, customer and order information for orders in national market system securities, across all markets, from the time of order inception through routing, cancellations, modifications and/or execution.

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