Nellie Hestin

Nellie Hestin

McGuireWoods LLP

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Update on FINRA’s Use of CAT Data – They Are “Just Scratching the Surface”

During FINRA’s 2023 Annual Conference held on May 16-18, 2023, several panels provided insight into how FINRA is currently using CAT data for market surveillance and how FINRA plans to use the data going forward to both...more

5/22/2023  /  Broker-Dealer , Compliance , Consolidated Audit Trail , Financial Industry Regulatory Authority (FINRA) , Securities and Exchange Commission (SEC)
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