Capital Market Solutions

In the evolving landscape of regulatory compliance, FINRA CAT (Consolidated Audit Trail) reporting remains a high-stakes challenge for broker-dealers.

In today's fast-paced regulatory environment, staying ahead of FINRA CAT and CAIS obligations isn't just good governance — it's a business imperative.

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.

1. What is RSMS? RSMS (Regulatory Surveillance & Monitoring System) is a cloud‑based platform from Capital Market Solutions (CMS) designed to detect regulatory infringements such as market manipulation and compliance breaches, across multiple asset...

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