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Information Notice – 7/17/20

Consolidated Audit Trail: Industry Presentation by CMRWG on CAT Compliance Rules

Published Date:

FINRA is issuing this Information Notice to inform members of a scheduled industry presentation by the Cross Market Regulation Working Group (CMRWG) and FINRA CAT regarding SRO regulation of Consolidated Audit Trail (CAT) Compliance Rules and FINRA CAT’s role in CAT compliance.

Please see the attached ISG CMRWG Regulatory Notice 2020-02 that was issued by the participants of the ISG CMRWG.

Questions concerning this Notice should be directed to Dave Chapman, Vice President, Market Regulation, at (240) 386-4995 or by email.