Law360, New York (March 27, 2017, 11:09 AM EDT) -- Nicolas Morgan
Thomas A. Zaccaro
During his Senate confirmation hearings last week, incoming U.S. Securities and Exchange Commission Chairman Jay Clayton commented that “We should be looking with technology at better and more efficient ways to monitor ... individual advisors and brokers.” Assuming he is confirmed and follows through on that sentiment, Clayton and his fellow commissioners will be well-positioned to leapfrog a long-brewing but soon-to-be-obsolete regulatory proposal: the Consolidated Audit Trail (CAT).
CAT was only recently approved by the commission, in November 2016, but it has been many years in the making. The idea of creating a single...
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