Consolidated Audit Trail

SEC Blames SRO’s for Slow CAT Rollout

The Consolidated Audit Trail (CAT) is behind schedule and the Securities and Exchange Commission (SEC) is blaming the Self-Regulatory Organizations (SROs), including FINRA, the Financial Regulatory Authority. Jay Clayton, Chairman of the SEC, was on…

Nasdaq to Power National Stock Exchange of India

Nasdaq has agreed to deliver a customized real-time clearing, risk management, and settlement technology to one of the world’s largest stock exchanges, the National Stock Exchange of India (NSE). A second agreement, with the stock exchange's…

CFTC Chief of Staff Updates on Project Kiss

The progress of a project to simplify and streamline regulations at the Commodities Futures Trading Commission (CFTC) was presented at a major press club. The National Press Club is the premier organization for Washington, DC…