Capital Market Solutions

We're all operating in a market where regulations evolve quickly, trading activity is increasingly complex, and compliance teams are stretched thinner than ever.

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.

In today's fast-changing regulatory environment, firms face more scrutiny than ever. The FINRA Consolidated Audit Trail (CAT) has added new layers of complexity for broker-dealers who handle large volumes of trades every day.

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 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.