Event Materials

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a Monthly CAT Update on Thursday October 17, 2024 at 4:15 pm ET. The Monthly CAT Update meetings provide the industry with a high level overview of statistics, open issues, newly published guidance, announcements and reminders.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a Monthly CAT Update on Thursday September 19, 2024 at 4:15 pm ET. The Monthly CAT Update meetings provide the industry with a high level overview of statistics, open issues, newly published guidance, announcements and reminders.

On Thursday, August 15, 2024 at 4:15 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar to provide an overview of the CAIS Report Card to be implemented beginning with the month of June 2024. The webinar will follow the regularly scheduled Monthly CAT Update. 

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a Monthly CAT Update on Thursday August 15, 2024 at 4:15 pm ET. The Monthly CAT Update meetings provide the industry with a high level overview of statistics, open issues, newly published guidance, announcements and reminders.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a Monthly CAT Update on Thursday July 18, 2024 at 4:15 pm ET. The Monthly CAT Update meetings provide the industry with a high level overview of statistics, open issues, newly published guidance, announcements and reminders.

On Wednesday, July 10, 2024 at 4:15 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar to provide an overview of the CAIS Report Card to be implemented beginning with the month of June 2024. The webinar will follow the regularly scheduled Industry Testing Checkpoint Call for CAIS. 

Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to ensure your firm has the ability to view Zoom content. If you are unable to download and run Zoom, please click the “join from your browser” link. This webinar will be recorded. The presentation document and recording will be posted.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an Industry Testing Checkpoint Call for CAIS on Wednesday, July 10, 2024 at 4:15 pm ET.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a Monthly CAT Update on Thursday June 20, 2024 at 4:15 pm ET. The Monthly CAT Update meetings provide the industry with a high level overview of statistics, open issues, newly published guidance, announcements and reminders.

Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to ensure your firm has the ability to view Zoom content. If you are unable to download and run Zoom, please click the “join from your browser” link. This webinar will be recorded. The presentation document and recording will be posted.