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17 lines
965 B
TeX
17 lines
965 B
TeX
\section{Regulatory Reporting}
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\label{sec:reporting}
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The ATS generates the following regulatory reports:
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\begin{itemize}[nosep]
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\item \textbf{OATS} (Order Audit Trail System): All order events with timestamps, required by FINRA.
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\item \textbf{CAT} (Consolidated Audit Trail): Customer and order event information, required by SEC Rule 613.
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\item \textbf{Form ATS-N}: Quarterly operational reports filed with the SEC.
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\item \textbf{FOCUS Reports}: Monthly and quarterly financial reports, required by FINRA Rule 4524.
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\item \textbf{SAR/CTR}: Suspicious Activity Reports and Currency Transaction Reports per FinCEN requirements.
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\item \textbf{Blue Sky}: State-level notice filings for securities offerings.
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\end{itemize}
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All reports are generated from on-chain data, ensuring that regulatory submissions exactly reflect the executed state of the system. The immutability of on-chain records eliminates the possibility of post-hoc report manipulation.
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