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Consolidated Audit Trail

SKU: SEC009
Total Credits
0.5 - 1.1
Price$50
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Description

Attend this program to hear how to prepare for compliance with the consolidated audit trail.

During this session, panelists discuss how to prepare for compliance with the consolidated audit trail (CAT), including, firm obligations, deadlines, and resources. The panel also provides an update on the CAT National Market System (NMS) Plan.

After attending this session, you will be able to:

  • Review industry test release updates
  • Discuss upcoming key dates
  • Summarize how to prepare and what resources are available

Lecturer Bios

Jon Kroeper, Esq.

Jon Kroeper is the Executive Vice President of the Quality of Markets Section of FINRA’s Market Regulation Department. The Quality of Markets Section is responsible for the conduct of post-trade surveillance and investigations related to data integrity, market conduct rules, and trading-manipulation matters in the U.S. equity and fixed income markets regulated by FINRA as a self-regulatory organization and as a provider of regulatory services to other U.S. SROs. Prior to joining FINRA's predecessor NASD in early 2007, Mr. Kroeper served as Counsel to U.S. Securities and Exchange Commission Chairman Chris Cox in 2006 and 2007, and Counsel to Commissioner Paul S. Atkins in 2005. From 2000 to 2005, Mr. Kroeper was First Vice President and Associate General Counsel for Instinet Group Incorporated.

Mr. Kroeper began his career at the U.S. Securities and Exchange Commission in 1994, serving as a senior counsel in the Division of Market Regulation and subsequently as Counsel to Commissioner Laura S. Unger. Mr. Kroeper received a bachelor’s degree from Georgetown University and a law degree, cum laude, from Chicago-Kent College of Law.

Shelly Bohlin

Shelly Bohlin is President and Chief Operating Officer of FINRA CAT LLC, a subsidiary of FINRA that is the Plan Processor for the Consolidated Audit Trail (CAT). She also co-chairs the CAT Industry Member Technical Specifications Working Group. In addition, Ms. Bohlin served on the CAT Plan Participant Leadership Team until FINRA was selected as the CAT Plan Processor.

Previously, Ms. Bohlin was Vice President in the Quality of Markets Section of FINRA’s Market Regulation Department. She oversaw the Market Analysis and Audit Trail Group, which is responsible for monitoring member-firm compliance with FINRA rules and federal securities laws related to market making, order handling, trade reporting and FINRA’s Order Audit Trail System (OATS). She is a Certified Public Accountant and has a B.S.B.A. in Finance and Accounting from the University of Arkansas

David Chapman, Esq.

David Chapman is Vice President in the Market Regulation Department of FINRA where he manages the Market Analysis and Audit Trail teams. These teams are responsible for conducting investigations regarding various reporting and market structure rules.

Prior to this position, Mr. Chapman managed the Market Manipulation Investigations and Trading Systems teams, where he led investigations into various market based manipulative activities. Mr. Chapman has worked in the financial services industry for 29 years and has been with FINRA for the last 25 years. Mr. Chapman earned a B.B.A. in Accounting, M.S. in Finance, both from Loyola University Maryland, and a J.D. from the Columbus School of Law at Catholic University.

Timothy Thompson, Esq.

Timothy Thompson is Senior Vice President in FINRA’s Department of Market Regulation. More specifically, Mr. Thompson serves as the Firm Group Leader for the Trading and Execution (T&E) firm group. In that role, Mr. Thompson is responsible for FINRA’s examination and risk monitoring program related to broker-dealers engaged in trading on the U.S. equities and options trading markets. The firms included in the T&E firm group include proprietary trading firms, market making firms, alternative trading systems and institutional brokerage firms.

The T&E firm group also performs trading reviews of firms in other firm groups (i.e., broker-dealers whose primary business is not trading). In addition, T&E performs examination work on behalf of the U.S. securities exchanges, which have an obligation to oversee such activity. Prior to joining FINRA in January 2015, Mr. Thompson served for more than 10 years as the Chief Regulatory Officer of the Chicago Board Options Exchange where he oversaw a comprehensive regulatory program consisting of, among others, trading examinations, financial and operational examinations, market surveillance, and insider trading surveillance.

The insider trading surveillance was performed on behalf of all U.S. options exchanges. Mr. Thompson also oversaw the Cboe’s regulatory program for the Cboe Futures Exchange during his tenure. Prior to becoming the CRO for Cboe, Mr. Thompson served as the Chief Compliance Officer and General Counsel for Botta Capital Management, the Associate General Counsel for Cboe, and a Branch Chief for the Securities and Exchange Commission in the financial responsibility area of the SEC’s Division of Market Regulation (which is now the Division of Trading and Markets).

Mr. Thompson graduated cum laude from the University of Michigan Law School and summa cum laude from the University of Notre Dame.



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