Simplifying FINRA CAT Compliance: How RSMS Is Changing the Game

EDISON, N.J. - July 7, 2025 - PRLog -- In the evolving landscape of regulatory compliance, FINRA CAT (Consolidated Audit Trail) reporting remains a high-stakes challenge for broker-dealers. As deadlines tighten and complexities grow, firms need tools that not only meet regulatory demands — but also simplify the entire process. That's exactly where RSMS steps in.

The latest solution from Capital Market Solutions, RSMS is streamlining CAT reporting through smarter, faster comparative reviews — ensuring CAT and CAIS data stays clean, compliant, and audit-ready.

What Is FINRA CAT, and Why Does It Matter?
The Consolidated Audit Trail (CAT) is a massive regulatory reporting initiative by FINRA and the SEC, requiring firms to report detailed trade and customer data daily. The goal? Market transparency and investor protection.

But with millions of daily records to manage, traditional reporting tools struggle to keep up. That's where automation and accuracy come into play — and that's where RSMS delivers.

RSMS: A Smarter Approach to CAT & CAIS Reviews
The Regulatory Surveillance & Management System (RSMS) is designed to go beyond basic error detection. It provides:

https://capmarketsolutions.com/cat/

https://capmarketsolutions.com/rsms/
Seamless Sync with CAIS & CAIS-Connect
RSMS doesn't stop at CAT reporting. With native support for CAIS and the CAIS-Connect API, it helps ensure complete and accurate customer and account reporting.

https://capmarketsolutions.com/cais/