BOX Exchange (“BOX”) is issuing this regulatory circular to inform BOX Participants of a scheduled industry presentation by the Cross Market Regulation Working Group (“CMRWG”) and FINRA CAT regarding SRO regulation of Consolidated Audit Trail (“CAT”) Compliance Rules and FINRA CAT’s role in CAT compliance.
Please see the ISG CMRWG Regulatory Notice 2020-02 that was issued by the participants of the ISG CMRWG.
