ARTICLE
23 February 2017

Federal Register: SEC Requests Comments On FINRA CAT Plan Compliance Proposal

CW
Cadwalader, Wickersham & Taft LLP

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Cadwalader, established in 1792, serves a diverse client base, including many of the world's leading financial institutions, funds and corporations. With offices in the United States and Europe, Cadwalader offers legal representation in antitrust, banking, corporate finance, corporate governance, executive compensation, financial restructuring, intellectual property, litigation, mergers and acquisitions, private equity, private wealth, real estate, regulation, securitization, structured finance, tax and white collar defense.
The SEC requested comments on a FINRA proposal to adopt the FINRA Rule 6800 Series.
United States Corporate/Commercial Law

The SEC requested comments on a FINRA proposal to adopt the FINRA Rule 6800 Series. The FINRA Rule 6800 Series sets forth the compliance rules that require FINRA members to adhere to the provisions of the National Market System Plan Governing the Consolidated Audit Trail. The request for comments was published in the Federal Register.

Comments on the proposed rule series must be submitted by March 2, 2017.

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