Event Materials

On August 2, 2022 and August 3, 2022, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a two-part industry webinar focused on Full CAIS Error Repairs, Corrections and Material Inconsistencies. Part 1 will take place on Tuesday, August 2, 2022 at 10 am ET and will focus on the error repair process and the process for submitting firm-identified corrections and updates. Part 2 will take place on Wednesday, August 3, 2022 at 10 am ET and will focus on material inconsistencies and the material inconsistency resolution procedure. 

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 27, 2022 at 4:15 pm ET.

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 a Monthly CAT Update on Thursday, July 28, 2022 at 10:30 am 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.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an Industry Testing Checkpoint Call for CAIS on Wednesday, July 20, 2022 at 4:15 pm ET.

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 13, 2022 at 4:15 pm ET.

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 6, 2022 at 4:15 pm ET.

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, June 29, 2022 at 4:15 pm ET.

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 a Monthly CAT Update on Tuesday, June 28, 2022 at 9:00 am 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.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an Industry Testing Checkpoint Call for CAIS on Wednesday, June 22, 2022 at 4:15 pm ET.

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.