FlexAdvantage Blog

8
Oct

CAT Compliance Ramps Up on Sell Side with Interfirm Linkages

While adhering to the CAT reporting timeline, sell-side firms are responsible for monitoring the CAT Reporter Portal and for fixing errors and rejects that come back from FINRA. So far, experts say the industry is doing very well with their data submissions. But error rates could escalate as the industry tackles more thorny order events and submits higher volumes of data.

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