SEC 就综合审计追踪及其他审计追踪和数据源征求公众意见

美国证券交易委员会今天发布了一份概念发布，征求公众意见，以支持对综合审计追踪 (CAT) 以及目前在美国证券市场监管中使用的其他审计追踪和相关数据源进行全面审查。该概念发布征求对主题的评论，包括但不限于 CAT 资金和成本管理、CAT 的监管目的、CAT 的结构和治理、CAT 的设计和范围、CAT 的网络安全和数据隐私以及其他审计跟踪和相关数据源，以及有关隐私和保密考虑、公民自由保护和监管需求之间适当平衡的评论。
“在我的领导下，委员会在 CAT 改革方面取得了有意义的进展，并在监管使用、成本、资金和安全考虑之间取得了更好的平衡，”SEC 主席 Paul S. Atkins 说道。 “去年，委员会发布了豁免救济，并批准了对管理 CAT 的国家市场体系计划的修正案，这些修正案除其他好处外，还使 CAT 的预计年度运营成本减少了 1 亿多美元，并永久消除了向 CAT 报告个人身份信息的情况。”
“然而，我们可以而且必须做得更多，”阿特金斯主席继续说道。 “因此，概念发布寻求对 CAT 的基础和存在方面进行评论。委员会意识到需要解决 CAT 的许多方面问题，而公众意见是目前正在进行的全面审查的关键部分。”
美国证券交易委员会交易和市场部主任 Jamie Selway 表示：“该部门期待与公众就 CAT 的全面审查进行接触。我们预计委员会今天发布的概念发布将引发有意义的对话。”
SEC 概念发布是委员会在采取任何相关监管行动之前获取公众对政策主题意见的一种手段。概念发布通常会概述感兴趣的主题，确定潜在的选项，并提出具体问题供公众评论者考虑。
在此概念发布中，委员会欢迎就与发布中确定的主题或评论者以其他方式提出的有关 CAT 的主题相关的可能监管回应发表评论，包括对此类监管回应可能产生的任何成本、负担或收益的评论。
概念发布在联邦公报上发布后，公众意见征询期将持续 60 天。

The Securities and Exchange Commission today issued a concept release soliciting public comment in support of a comprehensive review of the Consolidated Audit Trail (CAT) and other audit trails and related data sources currently used in the regulation of U.S. securities markets. The concept release seeks comment on topics including, but not limited to, CAT funding and cost management, the regulatory purpose of the CAT, the structure and governance of the CAT, the design and scope of the CAT, and the cybersecurity and data privacy of the CAT and other audit trails and related data sources, as well as comments regarding the appropriate balance between privacy and confidentiality considerations, civil liberties protections, and regulatory need.
“Under my leadership, the Commission has made meaningful progress to reform the CAT and strike a better balance between regulatory use, costs, funding, and security considerations,” said SEC Chairman Paul S. Atkins. “Over the last year, the Commission has issued exemptive relief and approved amendments to the national market system plan governing the CAT that have, among other benefits, reduced the CAT’s projected annual operating costs by over $100 million and permanently eliminated the reporting of personal identifiable information to the CAT.”
“However, we can – and must – do more,” Chairman Atkins continued. “Accordingly, the concept release seeks comment on foundational and existential aspects of the CAT. The Commission is aware of the need to address many aspects of the CAT, and public comment is a crucial piece of the comprehensive review currently under way.”
Jamie Selway, Director of the SEC’s Division of Trading and Markets, said, “The Division is looking forward to engaging with the public with respect to our comprehensive review of the CAT. We anticipate that the concept release issued by the Commission today will provoke meaningful dialogue.”
SEC concept releases are a means for the Commission to obtain public input on policy topics in advance of pursuing any related regulatory action. Concept releases typically outline a topic of interest, identify potential options, and raise specific questions for public commenters to consider.
In this concept release, the Commission welcomes comment on possible regulatory responses related to topics identified in the release or otherwise proposed by commenters with respect to the CAT, including comments on any costs, burdens, or benefits that may result from such regulatory responses.
The public comment period will remain open for 60 days following publication of the concept release in the Federal Register.