The SEC approved a proposal by FINRA to adopt the FINRA Rule 6800 Series. The series sets forth compliance rules that require FINRA members to adhere to the provisions of the National Market System Plan Governing the Consolidated Audit Trail ("CAT Plan").
The final rule was published in the Federal Register.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
