SEC Issues Order to Reduce Operating Costs of Consolidated Audit Trail

The CAT NMS Plan is a critical infrastructure component that captures and stores trade data from all U.S. markets. However, its implementation has been met with significant challenges, including high compliance costs.

What it means:

• The SEC's order grants relief from certain requirements of the CAT NMS Plan for a limited period.
• This move is intended to ease compliance burdens and reduce operating costs for market participants.

Risk Assessment

Our risk assessment indicates a high level of risk associated with this development. Potential impact on market data and compliance costs warrants careful monitoring by investors.

• High Risk Level: The SEC's order may lead to changes in market data collection and reporting requirements, which could have far-reaching consequences for market participants.
• High Credibility: The SEC's decision is based on a thorough analysis of the CAT NMS Plan's implementation challenges.

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