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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: