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Consolidated Audit Trail: Your Regulatory Obligations

Achieve your regulatory reporting objectives with our leading solution.

Broadridge Corporate Issuer Newsletter

With the Consolidated Audit Trail, the Securities and Exchange Commission aims to create a single, comprehensive database to track equity and option securities trading across U.S. markets. The primary goal is to improve the ability of the SEC and the Self-Regulatory Organizations (SROs) to oversee trading. The CAT will track orders throughout their life cycle and identify the broker-dealers handling them, thus allowing regulators to more efficiently track activity in eligible securities throughout the U.S. markets. 

In the first phases of implementation, self-regulatory organizations (SROs) are challenged to submit a plan to create, implement, and maintain the CAT according to specific requirements. We combine industry knowledge and innovation to help firms discover new opportunities, avoid potential obstacles, and achieve future business efficiency and growth from their CAT implementation. 

The Broadridge Regulatory Reporting Service provides the necessary framework to: 

  • Consolidate data across multiple systems, asset classes, formats and reporting regimes leveraging our experience globally as a provider of regulatory reporting (e.g. OATS, EBS, TRACE, MSRB, Dodd Frank, MiFID II) 
  • Increase transparency of data sourcing and lifecycle with data lineage tools, rules transparency visualization, event linkage and Firm Designated ID (FDID) management and linkage 
  • Standardize the model for enabling compliance with a mutualized rules engine, optimized manager and end-user workflows, real-time ingestion and evaluation of events pre and post submission

Steering Committee Members

Thomas Broderick
State Street Corporation
Custodial Bank
Lawrence Conover
National Financial Services LLC
Broker-Dealer
Steven Dapcic
Pershing LLC
Broker-Dealer
Michael Garland
The New York City Comptrollers’ Office
Institutional Investor
Stacey K. Geer
Primerica Inc.
Corporate Issuer
Philip Larrieu
California State Teachers’ Retirement System
Institutional Investor
Gloria Lio
Bank of New York Mellon
Custodial Bank
Mark S. Lyon
Synchrony Financial
Corporate Issuer
Michael Marino
Credit Suisse
Custodial Bank
James Monahan
Morgan Stanley & Co. Inc.
Broker-Dealer
Stephen Norman
S.P. Norman & Company, LLC
Committee Chair
William J. O'Shaughnessy
Quest Diagnostics Inc.
Corporate Issuer
Valiere Simpson
TD Ameritrade
Broker-Dealer
Chad Spitler
CamberView Partners
Corporate Issuer
Joseph C. Swanson
The NorthernTrust
Corporation
Custodial Bank
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