Notice
14 Feb 2025
securities trading, consumer privacy, regulatory compliance, cat nms plan, sec
🔒SEC Grants Exemptive Relief for Customer Data Reporting Requirements
The SEC has issued an order granting exemptive relief from certain reporting requirements under the CAT NMS Plan, specifically for names, addresses, and years of birth associated with transformed SSNs or ITINs. This decision aims to balance regulatory objectives with privacy concerns, enhancing data protection while retaining essential regulatory tools.
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Compliance, Regulatory Requirements
23 Jan 2025
compliance, sec, trading, securities, cat nms plan, exemptive relief