Caterpillar Inc. Company information, investor information, news and careers. Cat products and services. Dow Jones Top 30. NYSE Symbol CAT.

Among other things, the rule requires the self-regulatory organizations (SROs) to jointly submit a plan – called an NMS plan – to create, implement and maintain a consolidated audit trail. The rule specifies the type of data to be collected and when the …

SEC Rule 613 requires FINRA and the national securities exchanges to jointly submit a National Market System (NMS) plan detailing how they would develop, implement and maintain a consolidated audit trail that collects and accurately identifies every order, cancellation, modification and trade execution for all exchange-listed equities and ...

2 天之前 · On July 11, 2012, the U.S. Securities and Exchange Commission (SEC) voted to adopt Rule 613 under Regulation NMS requiring the national securities exchanges and national securities associations listed here (collectively, the SROs) to submit an NMS plan (Plan) to the SEC to create, implement, and maintain a consolidated audit trail (CAT).

Cat® product offerings include articulated trucks, backhoe loaders, dozers, engines, excavators, generators, motor graders, skid steer loaders and wheel loaders. Investors Investors

2025年2月10日 · The Consolidated Audit Trail (“CAT”) is a seminal example of how data collection can be used for good purpose. The CAT helps make our markets safer, more efficient, and can act as a powerful tool in ferreting out wrongdoing. Yet today, by eliminating critical data collection, we undermine its use and our own effectiveness.

The SEC established the Consolidated Audit Trail (the CAT) to enable regulators to track all order and trading activity throughout the U.S. markets for listed equities and options.

2023年9月6日 · The Securities and Exchange Commission today approved an amendment to the National Market System Plan governing the Consolidated Audit Trail (CAT) (the “CAT NMS Plan”) to adopt a revised funding model, called the “Executed Share Model,” for the CAT and establish a fee schedule for CAT fees for the self-regulatory organizations that are ...

2025年3月12日 · Markets change, but our community always has the latest news, in-depth analysis, and powerful stock ratings. Latest SEC filings for Caterpillar Inc. (CAT).

2024年8月5日 · The CAT offers regulators at the SEC, stock exchanges and the brokerage industry’s oversight body, the Financial Industry Regulatory Authority, a clear look into trading.