FINRA CAT requests Industry Member feedback in support of the Plan Processor’s annual review of the Business Clock requirements for the Consolidated Audit Trail. FINRA CAT has prepared a survey of 32 questions for Industry Members to complete regarding their current clock synchronization standards and practices, based on the type of CAT Reporter, type of Industry Member and type of system.
The Business Clock Synchronization Survey is available in two formats. The PDF may be completed and emailed to [email protected] or used as a preview for the web-based survey:
- 2021 Business Clock Synchronization Survey (PDF)
- 2021 Business Clock Synchronization Survey (Web-Based Survey)
Survey Participants who submit a completed survey and provide a business email will receive a copy of aggregated and anonymized summary results.
The survey is open until September 10, 2021.