Financial industry Regulatory Authority (Finra)
CAT Roll-Out Smooth, but System Still Needs Work
There were no major hiccups when the CAT was rolled-out to SROs on November 15 but it is still not ready for full industry implementation.
After Delays, CAT Reporting Begins Tomorrow
The Consolidated Audit Trail will begin receiving reports on November 15, a year after it was supposed to start.
Regulators Warn on Phishing Scams
Increasingly sophisticated schemes are targeting firms and individuals, watchdogs say.
Five Things to Consider About Crypto SROs
The idea of self-regulation makes for a good soundbite, but the practicality of the matter leaves much to be desired.
CAT Got Your Tongue?: An Inside Look at the Consolidated Audit Trail's Sluggish Rollout
When the Consolidated Audit Trail failed to go live in November last year, questions came as to why—but answers were not easy to come by.
Citi Pays $11.5M in Finra Fines and Compensation for Ratings Failings
Finra says Citi's inaccurate ratings led to numerous porblems for portfolio manager clients and retail investors.
House Approves Market Data Protection Act
Market Data Protection Act will increase security requirements for market data held by the SEC and FINRA, lawmakers say.
AI-Spy: Machines Close in on Pricing Manipulators
Artificial intelligence is gaining traction among regulators, exchanges and financial firms sifting through massive amounts of data to spot potential pricing manipulation. Kirsten Hyde asks whether the industry is ready to go all in on AI.
Regulators 2.0: Embrace Tech or Be Overwhelmed by Data
To handle the massive increases in data volumes expected from Mifid II regulation and the US Consolidated Audit Trail, regulators are examining their own data governance and technology use, report Joanne Faulkner and Kirsten Hyde.
Orchard Launches Platform Connecting Lenders and Investors
The platform, Deals, offers a marketplace environment for lenders to look for investors.
Finra and AIG Reap Benefits from Cloud Migrations
AWS migrations have expanded data access and saved money, executives say
ITG Unveils TCA Platform for Fixed Income
Fixed income expansion aimed at addressing new best execution requirements under European rules
Finra to Sunset Oats Over a Two-Year Period
Shutting down Oats may take two years and depend on CAT data accuracy.
Thesys Moves Forward with CAT, Signs Contract with SROs
According to regulatory filings, the CAT will cost the industry $50.7 million for the fiscal year beginning November 2016.
CAT Constructor: Why Thesys Won, Finra Lost and What Comes Next
On January 17, the self-regulatory organizations announced that Thesys Technologies had won the right to build the Consolidated Audit Trail, putting it in charge of what will be one of the biggest financial technology projects in the history of the…
Trumid Aims to Introduce Market Intelligence to Bond Trading Screens with Bond Stream
Application aims to enhance market intelligence in bond trading through customizable view of Trace data feeds on a single screen.
Convergex Taps Ancoa for AWS-Hosted Market Surveillance Platform
Agency-only brokerage taps Ancoa for hosted platform in response to increasing regulatory demand for market surveillance tools.
CAT Selection Shows Industry's Interest in Change
Thesys choice upsets the status quo.
Thesys Selected by SROs to Build Massive Audit Trail
Vendor selected from 31 bidders to build, implement and maintain the Consolidated Audit Trail.
Decision to be Made on CAT Plan Processor Soon, Sources Say
The announcement of which firm will be responsible for building the massive audit trail could come as soon as tomorrow.
Duplicate Reporting Remains Major Issue for CAT Going Forward
Requiring SROs to report data to obsolete platforms is counterintuitive to the entire industry.
SEC Approves CAT Plan, Will Select Firm to Build It Within 2 Months
The regulator modified several points of the NMS plan prior to approval.
Will Robots Save Us From Robots?
Is artificial intelligence the key to properly surveilling the markets?
Tick Size Pilot Program Launches
The SEC's project to better understand the impact of changing the tick size for securities of small-cap companies kicks off today.