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SEC Rule 613 Consolidated Audit Trail Reporting


April 15, 2019
2a Equities – Go Live: File Submission and Data Integrity

May 15, 2019
2b Options – Go Live: File Submission and Data Integrity

December 15, 2019
2a Equities and 2B Options – Industry Testing: File Submission and Data Integrity

US SEC Rule 613
Requires all registered US broker dealers and exchanges to capture and report all trade order, routing and execution details for all US Equities and Equity Options to FINRA CAT.

Further Reading
FINRA Resources Page
The financial industry regulator authority provides a useful resources page, with background to the regulation, technical specifications, and OATS to CATS field mappings.

PWC’s Report “The CAT’s Silver Lining”
PWC’s financial services digital brief explains why CAT Reports should adopt the cloud, how using the cloud can help CAT Reporters to anticipate the capabilities of the SEC and SROs, and what CAT Reports should do now.

Waters Technology’s CAT Blog
Waters — the business and technology magazine focusing on the Buy-Side Technology and Sell-Side Technology brands – as set up a useful collection of articles about CAT, all in one place.