Notice
8 Jul 2025
compliance, finance, securities regulation, cat fees, consolidated audit trail, industry members
💰FINRA's Proposed Rule Change
The SEC publishes a notice detailing FINRA's proposed fee changes for Industry Members related to the Consolidated Audit Trail system. The amendment introduces CAT Fee 2025-2, which aims to cover reasonably budgeted costs for the CAT, impacting transactions carried out by various financial entities.
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Compliance, Financial Regulation
23 Jan 2025
compliance, securities, fees, nasdaq, consolidated audit trail, industry members
Regulatory Compliance, Financial Obligations
16 Jan 2025
financial implications, miami international, cat fee, industry members, regulatory compliance, securities exchange
Regulatory Compliance, Financial Obligations
16 Jan 2025
consolidated audit trail, securities and exchange commission, miami international securities exchange, industry members, fee schedule
Regulatory Compliance, Financial Implications
8 Jan 2025
sec, financial regulation, consolidated audit trail, box exchange, fee schedule, industry members