9e. BD – Trade and Ownership Reporting Requirements (Basic)

Attendees will learn about transactional and ownership reporting requirements that firms may be subject to depending on their business model and potential opportunities for added efficiencies.  This session will provide a description of each filing, including differences, similarities, and nuances and also includes a discussion about the effects of CAT.

Learning Objectives:

  • Review schedule 13(d), 13(g), 13(f), and 13(h) requirements, include filing requirements, due dates, and the applicability of each filing.
  • Review OATs, TRACE, and RTRS reporting requirements.
  • Learn about the Consolidated Audit Trail (CAT) and the associated reporting requirements.
  • Learn about some considerations that firms should consider in light of operations, technological, and regulatory challenges with complying with the CAT due dates.


Sponsored by:

Basic                        Program Level: Date: October 21, 2020 Time: 10:00 am - 11:15 am Elton Chan John Gentile

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