Skip to main content

SEC Rule 613: Consolidated Audit Trail

SEC Rule 613, the Consolidated Audit Trail (CAT), requires U.S. broker-dealers to report their equity and option order life cycle information to a central repository. Read on for more details.

SEC Rule 613, the Consolidated Audit Trail (CAT), requires U.S. broker-dealers to report their equity and option order life cycle information to a central repository. Read on for more details.

Download PDF

Related FORsights

Like what you see?
Subscribe to receive tailored insights directly to your inbox.