Why This Course is Important
Without this course, learners may lack a thorough understanding of the regulatory, privacy, and operational changes the CAT proposed rule brings, missing critical opportunities to engage in the public comment process and to prepare for upcoming compliance requirements.
Course Details
This is a self-paced eLearning course based on the Federal Register Document titled Concept Release on Consolidated Audit Trail and Other Audit Trails and Data Sources.
Key regulatory references include:
- 17 CFR Part 240 – General Rules and Regulations, Securities Exchange Act of 1934
- 17 CFR Part 242 – Regulations M, Sho, ATS, AC, NMS, SE, and SBSR, and Customer Margin Requirements for Security Futures
Course SKU
FR-26-1873-1