ARTICLE
9 December 2019

FINRA Selects Amazon As Cloud Provider For CAT

CW
Cadwalader, Wickersham & Taft LLP

Contributor

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.
Amazon Press Release: FINRA CAT Selects AWS for Consolidated Audit Trail.
United States Finance and Banking

FINRA CAT, LLC, the FINRA Consolidated Audit Trail Plan ("CAT") Processor responsible for building and managing the platform, selected Amazon Web Services, Inc. as its cloud provider. (See also, previous coverage on FINRA CAT, LLC.)

The CAT system, implemented pursuant to Reg. NMS Rule 613, is intended to help regulators better monitor the equities and listed options markets "by creating an extensive audit trail of order information for all U.S. equity securities and listed options across U.S. markets and trading venues."

Primary Sources

  1. Amazon Press Release: FINRA CAT Selects AWS for Consolidated Audit Trail

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