Event Materials

On Wednesday, October 13, 2021 at 4:15 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar focused on the transition from LTID to Full CAIS reporting as it relates to schema changes, timing and other related issues. 

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.

Starting on September 14, 2021, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host bi-weekly Industry Testing Checkpoint Calls every other Tuesday 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.

On Wednesday, October 6, 2021 at 4:15 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar focusing on Full CAIS Certification ahead of the Customer and Account Information Testing Environment opening on January 31, 2022. The webinar will follow the regularly scheduled Industry Testing Checkpoint Call for CAIS/LTID. 

Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please be advised that the Zoom Webinar information differs from that of the regularly scheduled CAIS/LTID Checkpoint call. 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 on September 28, 2021.

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.

On September 22, 2021 at 4:15 p.m. Eastern Time, Consolidated Audit Trail, LLC (CAT LLC) will host an industry webinar on CAT funding models. The presentation material for the webinar is available at CAT Funding Webinar- Presentation. CAT LLC requests that persons who would like to submit questions do so in advance through the following link: [email protected]. Please submit all questions by close of business, Tuesday, September 21, 2021.

Please note that Consolidated Audit Trail, 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. These webinars will be recorded. The presentation documents and recordings will be posted.

On September 21, 2021 at 4:15 p.m. Eastern Time, Consolidated Audit Trail, LLC (CAT LLC) will host an industry webinar on CAT costs. The presentation material for the webinar is available at CAT Costs Webinar- Presentation. CAT LLC requests that persons who would like to submit questions do so in advance through the following link: [email protected]. Please submit all questions by close of business, Monday, September 20, 2021.

Please note that Consolidated Audit Trail, 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. These webinars will be recorded. The presentation documents and recordings will be posted.
 

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an Industry Testing Checkpoint Call on September 14, 2021.

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.