FINRA CAT, LLC, the FINRA Consolidated Audit Trail Plan ("CAT") Processor responsible for building and managing the platform, selected Amazon Web Services, Inc. as its cloud provider. (See also, previous coverage on FINRA CAT, LLC.)
The CAT system, implemented pursuant to Reg. NMS Rule 613, is intended to help regulators better monitor the equities and listed options markets "by creating an extensive audit trail of order information for all U.S. equity securities and listed options across U.S. markets and trading venues."
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The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
