What is the consolidated audit trail system?
The SEC established the Consolidated Audit Trail (the CAT) to enable regulators to track all order and trading activity throughout the U.S. markets for listed equities and options.
What is the CAT system?
CATS is the OCC's web-based system for submitting and processing Licensing and Public Welfare Investment (PWI) applications and notices (collectively, "filings"). All of the features of CATS are available for use by national banks, federal savings associations, and federal branches and agencies (collectively, "banks").
What does CAT report mean?
Consolidated Audit TrailThe Consolidated Audit Trail (CAT) is a regulatory reporting utility commissioned by the Securities and Exchange Commission (SEC) to enable regulators to more fully track trading activity and boost transparency; the CAT also heralds significant new obligations and reporting requirements for firms.
What is the CAT system stocks?
CATS (Computer Assisted Trading System) was an automated exchange system developed by the Toronto Stock Exchange. It went live on November 18, 1977, with 90 stocks. CATS was introduced, piloted and developed by Harold B. Hofmann, then the Vice President of Operations at the Toronto Stock Exchange.
How do you use a CAT system?
Have your fare ready.Exact fare or a CATS pass is acceptable. All fares are posted on the farebox as you enter the bus.If you need a transfer, please ask the driver. Transfers are good for 105 minutes. ... Once you arrive at your bus stop, make sure that the route you are using is listed on the bus stop sign.
What is a CAT plan?
CAT plans identify specific locations and specific bike or pedestrian needs ("location-based needs", or LBNs) which can be referenced to help scope projects.
What is CAIS reporting?
The Consolidated Audit Trail ("CAT") provided a roadmap to assist "Small Industry Members" in meeting their Customer and Account Information System ("CAIS") reporting obligations. All Industry Members (Large and Small) must report Customer and Account information to CAT CAIS for all Active Accounts by July 11, 2022.
What is CAT Phase 2e?
Phase 2e (Full CAIS) has a compliance date of July 11, 2022. At the end of January 2022, FINRA CAT will open the CAIS test environment. Firms are encouraged to take advantage of this testing window with a goal of transitioning their data schema to the Full CAIS version in late April of 2022.
What does finra mean?
the Financial Industry Regulatory AuthorityTo protect investors and ensure the market's integrity, FINRA—the Financial Industry Regulatory Authority—is a government-authorized not-for-profit organization that oversees U.S. broker-dealers.
When did cat Go Public?
December 2, 1929Common stock is the New York Stock Exchange (NYSE: CAT). Public trading first began on the New York Stock Exchange on December 2, 1929. Caterpillar Inc.
When did finra cat go live?
The industry has successfully implemented phase 2a,2b and 2c of CAT reporting and testing has begun for phase 2d which has a compliance go-live date of December 13th, 2021. For the most part, transactional reporting has gone well. Phase 2d will bring more complex products requiring multi-leg reporting scenarios.
How many shares does Caterpillar have?
Caterpillar 2021 shares outstanding were 0.549B, a 0.02% decline from 2020. Caterpillar 2020 shares outstanding were 0.549B, a 3.33% decline from 2019. Caterpillar 2019 shares outstanding were 0.568B, a 5.32% decline from 2018.
Is cat a system?
CATS (Computer Aided Transcription System) is an EDA software for mask data preparation (MDP) in integrated circuit design and manufacturing.
What does cat stand for in terminal?
Cat(concatenate) command is very frequently used in Linux. It reads data from the file and gives their content as output. It helps us to create, view, concatenate files.
What does cat stand for Linux?
concatenateCat is short for concatenate. This command displays the contents of one or more files without having to open the file for editing. In this article, learn how to use the cat command in Linux.
Where is the cat bladder?
The bladder is located above the urinary opening but below the rib cage in the back of the belly. Press your fingers gently into the cat's abdomen at the bottom of the belly and feel for a firm, round ball. The bladder has been described as feeling like a water balloon.
What is CAT audit trail?
Consolidated Audit Trail (CAT) SIFMA has long supported the efforts of the Securities and Exchange Commission (SEC) to create a comprehensive Consolidated Audit Trail that would enable regulators to efficiently and accurately track all activity throughout the U.S. for listed-equities and options.
When is SIFMA's 48th annual conference?
SIFMA’s 48th annual Operations Conference & Exhibition returned to Miami on October 4-7 with four days of live expert-led content – focused on the next wave of innovation and operational resiliency – plus access to the exhibit hall and networking. Explore key takeaways in our post-event synopsis, “The Future of Operations Starts Now”.
