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The CAT is in danger, says Barron’s
The Consolidated Audit Trail (CAT) is a powerful tool to detect market manipulation, but the industry is complaining about skyrocketing costs.
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SIFMA C&L 2025: Mapping the future of financial markets regulation
We kick off coverage of the recent SIFMA C&L conference with a report on SEC Acting Chair Mark Uyeda’s opening remarks.
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Uyeda signals new approach to retail investment in private companies
Acting chair said SEC’s mission is to facilitate capital formation, while protecting investors and maintaining fair and efficient markets.
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SEC announces exemption for CAT personal information requirement
The decision provoked a dissent from SEC commissioner Caroline Crenshaw.
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Tweet-related crypto class action to proceed, but faces significant headwinds
Class action against cryptocurrency exchanges for losses allegedly caused by collusion to delist the Bitcoin Satoshi Vision cryptocurrency.
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SIFMA 2024: Robert Cook talks about Reg BI and CAT
FINRA’s CEO discussed how the SEC’s flurry of rulemaking has affected his agency.
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Dissent over SEC changes to CAT funding scheme
SEC amendment to National market System Plan draws criticism from industry groups and divides commissioners.