Statement from Thomas Gira, FINRA Executive Vice President, Market Regulation and Transparency Services Regarding the Consolidated Audit Trail

FINRA is committed to working with the CAT NMS Plan Participants, the Securities and Exchange Commission and the securities industry to ensure an efficient and effective implementation of the Consolidated Audit Trail.

About FINRA
FINRA is a not-for-profit organization dedicated to investor protection and market integrity. It regulates one critical part of the securities industry – brokerage firms doing business with the public in the United States. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers a dispute resolution forum for investors and brokerage firms and their registered employees. For more information, visit www.finra.org.