New Podcast: SEC Issues Anticipated Exemptive Relief for Consolidated Audit Trail (CAT)

CAT Consolidated Audit TrailThe Consolidated Audit trail (CAT) is moving forward and the SEC has released new exemptive relief dates for parts 2a (Equity reporting) and 2b (Options reporting).  The SEC has also provided exemptive relief for introducing brokers. In this episode, Oyster Consultants Ralph Magee and Jeff Call discuss what firms should be doing around certifications, linkages, testing validation and the upcoming options reporting deadlines.  Oyster also has a new software testing application to validate firms’ CAT reporting. Learn more about the software in this episode, or by clicking here.

All industry member are encouraged to take advantage of this testing window, and many will need this time to prepare for the Production Readiness certification required to gain access to the CAT reporting environment. Oyster Consultants are leaders in the industry, able to guide clients through equities/OTC and options readiness, testing and validation.  Our testing application will assess and manage errors to and from the CAT portal.

 

Schedule A Demo

 

You can also listen to our podcasts  and read our blogs to learn more about the new deadlines and what your firm should be doing to prepare.

For more information or a demo of the testing application, call (804) 965-5400 or complete a contact form and one of our associates will be happy to help you.