Capital Market Solutions

Accurate Consolidated Audit Trail (CAT) reporting is an important regulatory responsibility for broker-dealers operating in U.S. financial markets.

Learn how RSMS and RSMS Vault help financial firms manage regulatory reporting, SEC Rule 606 workflows, surveillance, and electronic record retention.

Capital Market Solutions provides specialized technology to help financial firms manage regulatory surveillance, FINRA CAT reporting, SEC Rule 605 and 606 compliance, and electronic recordkeeping, supporting more efficient compliance workflows.

Regulatory transparency is essential in today's financial markets, and SEC Rule 606 Reporting helps broker-dealers demonstrate how customer orders are routed for execution.

Financial markets depend on accurate data to maintain transparency, accountability, and investor confidence.

As regulatory oversight intensifies, Consolidated Audit Trail (CAT) compliance has become one of the most critical priorities for broker-dealers and trading firms.

Financial firms face mounting pressure from FINRA's Consolidated Audit Trail (CAT) and Customer Account Information System (CAIS) requirements, which demand precise reporting of customer and account data alongside trade events.

Regulatory reporting in U.S. securities markets has never been more complex.

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.