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Daily Dashboard | SEC: Consolidated Audit Trail won't contain investors' sensitive data Related reading: Global News Roundup: March 30–April 6, 2020



The U.S. Securities and Exchange Commission is exempting personally identifiable information from the Consolidated Audit Trail, Financial Advisor IQ reports. In a statement, SEC Chairman Jay Clayton said broker-dealers will only need to report an account holder’s name, not their Social Security number, individual taxpayer identification number, birthdate or account number. It “represents an important step in significantly reducing the risk of retail investor identity theft associated with the (CAT),” Clayton said.
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