Why FINRA Enforcement Around CAT/CAIS Is Getting More Aggressive

BERLIN, N.J. - June 3, 2025 - PRLog -- As the regulatory landscape continues to evolve, broker-dealers and market participants are feeling increased pressure from the Financial Industry Regulatory Authority (FINRA). One area drawing particular scrutiny is compliance with the Consolidated Audit Trail (CAT) and Customer Account Information System (CAIS) reporting obligations. Over the past year, FINRA has stepped up its enforcement efforts, sending a clear message: non-compliance will not be tolerated.

In this blog, we'll explore why FINRA is becoming more aggressive with CAT/CAIS enforcement, what this means for your firm, and how a robust system like RSMS (Regulatory Surveillance and Management System) can help mitigate risk.

1. The Maturation of CAT and CAIS Reporting Frameworks

2. High Stakes: Data Quality and Market Transparency

3. Enforcement Actions and Formal Reviews Are Increasing

4. Why FINRA Is Cracking Down Now

5. What This Means for Broker-Dealers and Firms

6. How RSMS Helps You Stay Ahead
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Conclusion

FINRA's aggressive stance on CAT and CAIS enforcement signals a new era of regulatory accountability. As the margin for error shrinks, firms must invest in the right tools and processes to stay compliant — or risk costly penalties.
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Ready to future-proof your compliance program?
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Contact Capital Market Solutions to schedule a demo of RSMS today.