Why On-Time Reporting Matters — And How RSMS Is Leading the Industry

EDISON, N.J. - June 27, 2025 - PRLog -- In today's high-stakes regulatory environment, timing is everything. From broker-dealers to alternative trading systems, firms are under mounting pressure to ensure that their reporting not only meets accuracy benchmarks but also strict submission timelines. With FINRA CAT deadlines, CAIS requirements, and new data integrity expectations, late or inconsistent reports can quickly result in penalties, audit flags, or reputational damage.

That's where Capital Market Solutions (CMS) steps in — with a technology-first approach to Consolidated Audit Trail (CAT) Compliance and seamless reporting powered by RSMS and CAIS-Connect.

The Real Impact of Late Reporting
It's not just about checking a box. Late regulatory reporting often leads to:

Increased scrutiny from FINRA and the SEC
Higher rejection rates on submissions
Loss of regulatory confidence
Costly remediation and operational risks
In the case of FINRA CAT, even slight delays or timestamp mismatches can lead to rejections. With CAIS (Customer and Account Information System) mandates, real-time exception management is vital to meet both Phase 2e requirements and upcoming industry-wide changes.

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