Not the Same CAT

Not the Same CAT

I do not think that it is an exaggeration to write that historically the public’s view of securities trade reporting has been a collective yawn. (In fact, that sentiment may also be true for industry participants – until, of course, it goes wrong.) This changed with a recent lawsuit filed in...

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Another Batch of Brain Droppings

George Carlin’s philosophy tome, Brain Droppings, is as an inspiration for my micro-blog on LinkedIn.  Below are some of my most recent posts. Firms Face Choppy Water Navigating SEC Compliance Dates “Regulation does not exist in a vacuum.” I appreciate Investment Adviser Association President Barr saying very publicly (and to...
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Even More Brain Droppings – Consolidated Audit Trail (CAT) Edition

I am convinced that if Plato was alive, then he would be spending his time at the D.C. Improv whenever he came to town.  Yesterday’s philosophers are today’s comedians, and as I noted earlier, George Carlin was one of the best.  Carlin captured his -uh- philosophy in many tomes, including Brain Droppings, which I shamelessly...
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