Tag: CAT
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Open Call Report – Industry Update on CAT
Under the CAT NMS Plan, industry outreach groups formed previously were disbanded which resulted in unofficial & fragmented outreach initiatives w/ SROs, SEC, Thesys CAT & various trade associations like […] Read More
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Open Call Report – New FINRA Exam Process
In July 2017 the SEC approved FINRA’s proposed rule change to streamline competency exams and expand opportunities for prospective securities professionals STA Open Call – November 29, 2017 – Call […] Read More
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Comment Letter: CAT NMS Implementation Plan
The Security Traders Association (“STA”) appreciates the opportunity to offer comments to the Thesys CAT, LLC and the Operating Committee on the DRAFT CAT Reporting Technical Specifications for Industry Members […] Read More
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Falling-back is not failure, not even with CAT
In the military, falling-back happens all the time and for good reasons – none of which equate to quitting or failure. Rather, falling-back is viewed as a sound response to […] Read More
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STA Comment Letter on CAT
“The development of the Consolidated Audit Trail will represent an unprecedented opportunity to improve the Commission’s ability to surveil the market. It is critical to have an informed and detailed […] Read More