Capital Market Solutions

Capital Market Solutions (CMS) is a leading provider of Regulatory Surveillance, Compliance, and Regulatory Reporting solutions.

Navigating the complexities of FINRA's Consolidated Audit Trail (CAT) has become one of the most difficult, resource-intensive compliance challenges for broker-dealers.

SEC Rule 17a-4 remains a cornerstone of regulatory compliance for broker-dealers, governing how critical business records must be retained, accessed, and produced during audits and examinations.

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.