SEC approves the National Market System plan governing the Consolidated Audit Trail

The U.S. Securities and Exchange Commission (SEC) on Tuesday 15 November 2016 unanimously approved the National Market System (“NMS”) Plan to create a database warehouse to track U.S. equity and options markets trading activities, called the Consolidated Audit Trail (“CAT”)

UnaVista a wholly owned subsidiary of the London Stock Exchange Group PLC is closely monitoring this regulation with the view to help support its clients. We will be communicating more about how UnaVista will be assisting the industry with this in due course.

For details of how we help firms report for other regulations please see here.