Finra Cat Press Releases

For broker-dealers, meeting SEC Rule 17a-4 is not merely a compliance checkbox — it's an ongoing commitment to trust, transparency, and operational integrity. The regulation demands far more than simple data storage.

In today's fast-paced financial markets, compliance is more than a regulatory checkbox — it's a critical part of maintaining trust, efficiency, and operational stability.

How RSMS Empowers Firms to Reduce Risk, Boost Accuracy & Stay Ahead of Compliance In today's regulatory environment, the accuracy and integrity of customer and account data aren't just technical concerns — they're business-critical.

In the ever-evolving world of regulatory compliance, data consistency isn't just a buzzword — it's a necessity.

Introduction When financial firms push the boundaries of risk — even unintentionally — the consequences can be serious.

When it comes to staying compliant in today's complex regulatory landscape, one of the most critical checkpoints for broker-dealers is the FINRA Audit Examination.

In today's fast-evolving financial landscape, compliance is no longer just a regulatory checkbox — it's a critical pillar of trust and transparency. One of the most significant regulatory developments in the U.S.

In today's fast-evolving regulatory landscape, broker-dealers are under increasing pressure to ensure accuracy and transparency in their trade and account reporting.

In today's high-stakes regulatory environment, timing is everything.

The Consolidated Audit Trail (CAT) is a comprehensive, centralized database collecting every order, modification, cancellation, and execution of U.S. equities and options trades, mandated by SEC Rule 613 and implemented under FINRA's Rule 6800 series .

Navigating FINRA CAT Compliance: Why the Consolidated Audit Trail Matters for Your Firm

In today's data-driven capital markets, compliance isn't just a box to check — it's a full-time, high-stakes responsibility.

Revolutionizing Regulatory Compliance: FINRA CAT Reporting & RSMS by Cap Market Solutions

In the intricate world of financial markets, regulatory reporting isn't merely a formality; it's the bedrock of trust and accountability.

Stay Ahead of Compliance: How RSMS Ensures CAT & CAIS Audit Readiness

But which aspects of your CAT WSPs are most likely to capture FINRA's attention? Below, we highlight the five key areas where firms must excel — and show how RSMS (Regulatory Surveillance and Management System) by Capital Market Solutions