Top 5 FINRA CAT WSP Focus Areas for 2025: How RSMS Ensures Seamless Compliance

EDISON, N.J. - May 27, 2025 - PRLog -- Staying compliant with the FINRA Consolidated Audit Trail (CAT) remains a top priority for broker-dealers in 2025. With regulatory expectations rising and oversight intensifying, firms must ensure their Written Supervisory Procedures (WSPs) are comprehensive, actionable, and aligned with FINRA's scrutiny.Whether it's addressing data quality, resolving submission errors, or responding to regulatory queries, the margin for error has never been slimmer.

But which aspects of your CAT WSPs are most likely to capture FINRA's attention? Below, we highlight the five key areas where firms must excel — and show how RSMS (Regulatory Surveillance and Management System) by Capital Market Solutions supports firms in navigating FINRA CAT requirements confidently and efficiently.
https://capmarketsolutions.com/top-5-cat-wsp-areas-drawing-finras-attention-in-2025/

Top 5 FINRA CAT WSP Priorities for 2025

1. Accurate CAT Reporting:
2. Complete Reporting:
3. Timely Submissions:
4. Managing Error Corrections:
5. Responding to Regulatory Inquiries:
6. https://capmarketsolutions.com/cat/