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TRENDING TAGS
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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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Consolidated Audit Trail - FINRA Industry Call
[ by Howard Haykin ]
On Wednesday, 9/19, FINRA and the national securities exchanges will conduct a Consolidated Audit Trail Industry Call. The call is scheduled for 4:15 p.m., ET, and will include a WebEx presentation on SEC Rule 613, which requires creation of a Consolidated Audit Trail (CAT).
The SROs will provide an overview of Rule 613, steps the SROs are taking to develop an NMS CAT Plan, and how SROs plan to solicit industry comments and feedback on key implementation issues. The SROs also will announce future industry events at which interested industry participants are invited to share feedback on implementation issues.
For call details, go to: [FINRA Conferences & Events]. Additional call details:
Time: 4:15 p.m., ET
Call-In Number: (800) 779-5244
Leader's Name: Shelly Bohlin
Conference Number: 1133819
Participant Password: 6094573.
Pre-Registration is Required - at least one hour before the call.
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