Consolidated Audit Trail (CAT) - Where Are We Now?
Oyster Stew - A Broth of Financial Services Commentary and Insights
English - March 15, 2022 12:00 - 13 minutes - 9.34 MB - ★★★★★ - 7 ratingsInvesting Business News Business News finra sec regulatory brokerage advisory compliance exchange operations Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed
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FINRA's Consolidated Audit Trail reporting requirements are steadily moving forward. Oyster experts provide an overview, discuss FINRA's CAT priorities, sweeps and pitfalls firms should avoid.
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