SEC Issues Order to Reduce Operating Costs of Consolidated Audit Trail

The Securities and Exchange Commission has taken steps to reduce the operational costs associated with the Consolidated Audit Trail (CAT NMS Plan). The move aims to simplify trading practices while maintaining regulatory oversight.

What's Changing?

• The SEC has granted conditional exemptive relief related to certain requirements of the National Market System Plan governing the CAT NMS Plan, Rule 613 of Regulation NMS, and other relevant rules.
• This order is designed to reduce operating costs for trading venues and other market participants by easing some reporting requirements.

Risk Assessment

Analyst view: The SEC's decision may lead to increased scrutiny on U.S. retail investors' trades, as the regulatory body seeks to maintain oversight while reducing operational costs.

• Risk level: High
• Credibility: High
• Warning for readers: U.S. retail investors may face increased scrutiny on their trades as a result of this SEC action.

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