Cms Press Releases

Keeping up with Consolidated Audit Trail (CAT) Compliance is now one of the most critical priorities for broker-dealers and trading firms.

In today's securities environment, compliance with the Rule 613–mandated Consolidated Audit Trail (CAT) isn't simply a regulatory requirement. It's a cornerstone of operational integrity.

The Compliance Landscape: A Turning Point The first half of 2025 has been a defining period for financial firms.

In today's highly regulated trading environment, maintaining flawless compliance is no longer just a requirement — it's a competitive advantage.

regulatory expectations for broker-dealers have evolved faster than ever.

Navigating the maze of SEC Rules 17a-3 and 17a-4 remains one of the most persistent compliance challenges in modern financial operations.

Navigating the maze of SEC Rules 17a-3 and 17a-4 remains one of the most persistent compliance challenges for broker-dealers. For years, the industry standard has revolved around one key pillar — storage.

For trading firms facing intensifying oversight and evolving regulatory requirements, the challenge of managing FINRA CAT and FINRA CAIS compliance has never been greater.

In today's environment of heightened regulatory scrutiny, firms face unprecedented pressure to ensure accuracy and transparency in their trading compliance processes.

In a world of surging regulatory demands, fragmented systems, and ticking compliance clocks, manual processes no longer suffice.

From Compliance Chaos to Control: Why Firms Need a Regulatory Surveillance and Management System (RSMS) In today's regulatory environment, every new update from FINRA CAT or FINRA CAIS feels like a fire alarm.

In today's highly regulated financial markets, compliance is no longer just a requirement — it's a competitive necessity.

Feeling the heat of CAT regulatory audits? You're not alone. Compliance expectations from FINRA and the SEC are becoming more complex, and firms are under constant pressure to prove their Consolidated Audit Trail (CAT) compliance.

In today's capital markets, regulatory requirements are becoming increasingly data-intensive.

Financial institutions face immense pressure to adapt rapidly to regulatory changes, especially when it comes to high-volume, high-stakes reporting obligations like the Consolidated Audit Trail (CAT) Compliance and the Customer Account Information System.

Static Documents: The Legacy of WSPs Traditionally, WSPs have existed as static, text-heavy documents — often stored as PDFs or binders.

In the fast-evolving landscape of financial regulation, firms are under immense pressure to meet stringent compliance requirements from regulators such as FINRA and the SEC.

In pharmaceutical R&D and quality control, precision is non-negotiable. Impurity profiling ensures safe, effective drugs, compliant with global regulatory mandates.

Introduction: Safeguarding Market Integrity In an era of fast-paced trading, maintaining compliance and fairness is paramount for financial institutions.

In today's highly regulated capital markets, compliance is no longer optional — it's a business-critical necessity.

In the fast-paced financial services industry, staying ahead of regulatory requirements isn't optional — it's essential.

How RSMS Protects Financial Firms from Regulatory Risks Today's financial environment demands strict adherence to regulations like FINRA CAT and CAIS.

Regulatory demands in the financial markets are intensifying. Buy-side and sell-side firms must now ensure not only operational efficiency but also unwavering Regulatory Surveillance and Management System (RSMS) integration, seamless Customer Account...

As financial regulations grow more complex each year, compliance officers face an uphill battle — especially when traditional manual systems fall short.

In today's hyper-regulated financial landscape, firms are wrestling with an ever-growing web of oversight demands from bodies like FINRA and the SEC.

In the ever-evolving financial services landscape, regulatory compliance isn't just a necessity — it's a strategic tool.

In today's increasingly data-driven regulatory environment, FINRA CAT compliance isn't just a priority — it's a necessity.

As financial markets move through the second half of 2025, regulatory compliance is proving to be one of the biggest operational challenges for broker-dealers and investment firms.

Introduction As regulatory requirements continue to tighten in the financial services industry, firms are turning to cloud-based solutions to manage complex reporting mandates.

The Consolidated Audit Trail (CAT) is a unified system, mandated by SEC Rule 613 and implemented via FINRA's Rule 6800 series, designed to collect comprehensive data on every order, modification, cancellation, and execution involving U.S.

As regulatory frameworks become more data-driven and technology-dependent, the importance of data integrity in financial compliance has never been greater.