Streamlining CAT Reporting: How RSMS Enhances FINRA CAT and CAIS Compliance

EDISON, N.J. - June 30, 2025 - PRLog -- In today's fast-evolving regulatory landscape, broker-dealers are under increasing pressure to ensure accuracy and transparency in their trade and account reporting. With the expansion of FINRA CAT and FINRA CAIS requirements, firms must adopt smarter tools to maintain compliance, avoid penalties, and keep up with regulatory expectations.

Capital Market Solutions (CMS) addresses these challenges head-on with its Regulatory Surveillance and Management System (RSMS) — a purpose-built platform designed to streamline Consolidated Audit Trail (CAT) Compliance and enhance operational visibility through advanced comparative review features.

The Growing Complexity of FINRA CAT and CAIS Requirements
The Consolidated Audit Trail (CAT) initiative by FINRA and the SEC is one of the most ambitious surveillance systems in the financial services industry. It requires firms to submit detailed, time-sequenced data on orders, quotes, trades, and customer accounts. In parallel, FINRA CAIS mandates accurate reporting of customer and account-level information for linkage to CAT events.

https://capmarketsolutions.com/cais/
Errors in these submissions — whether from mismatches, timing issues, or incorrect firm-designated IDs — can lead to enforcement actions, regulatory inquiries, or reputational damage. Manual tracking and fragmented processes are no longer sustainable, especially for high-volume or multi-platform environments.
https://capmarketsolutions.com/cat/