Capital Market Solutions

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

As the regulatory landscape continues to evolve, broker-dealers and market participants are feeling increased pressure from the Financial Industry Regulatory Authority (FINRA).

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

FINRA CAIS Compliance: Transforming a Regulatory Burden into a Competitive Advantage

The Consolidated Audit Trail (CAT) has significantly transformed trade reporting by providing regulators with a comprehensive view of order and trade activities across U.S. equities and options markets.