RSS Feeds
Product LoginFriday, July 17, 2020
Options Regulatory Alert #2020 - 28
Industry Presentation by CMRWG on CAT Compliance Rules
Category:
Markets Impacted:Contact Information:Resources: |
We are issuing this Options Regulatory Alert #2020 – 28 to announce an industry presentation by the Cross Market Regulation Working Group (“CMRWG”) and FINRA CAT regarding SRO regulation of Consolidated Audit Trail (“CAT”) Compliance Rules and FINRA CAT’s role in CAT compliance. Please see ISG CMRWG Regulatory Notice 2020-02 that was issued by the participants of the ISG CMRWG. Questions regarding the Regulatory Notice can be directed to the contacts below, or to the contact listed on the attached notice.
|
|---|
Please follow Nasdaq on 
Facebook 
RSS and
Twitter.
Nasdaq (Nasdaq: NDAQ) is a leading global provider of trading, clearing, exchange technology, listing, information and public company services. Through its diverse portfolio of solutions, Nasdaq enables customers to plan, optimize and execute their business vision with confidence, using proven technologies that provide transparency and insight for navigating today's global capital markets. As the creator of the world's first electronic stock market, its technology powers more than 90 marketplaces in 50 countries, and 1 in 10 of the world's securities transactions. Nasdaq is home to approximately 3,900 total listings with a market value of approximately $13 trillion. To learn more, visit: business.nasdaq.com.
