Event Materials

On Tuesday, September 14, 2021 at 10:00 am ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar focused on the transition from Phase 2c to Phase 2d CAT reporting as it relates to schema changes, timing, reporting requirements and other related items. 

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.

For the month of September 2021, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host the Monthly CAT Implementation Update on the second Thursday, September 9, 2021, at 4:15 pm ET. The Monthly CAT Implementation Update meetings provide the industry with a high level overview of materials and guidance published on the www.catnmsplan.com website during the month.

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 7, 2021 at 4:15 p.m. Eastern Time, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar for ARCAOP members regarding the opportunities and procedures for testing CAT submissions from the ARCAOP Pillar mandatory Saturday industry tests.

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 a monthly Industry Testing Checkpoint Call for CAIS/LTID on Wednesday, September 1, 2021 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 host a Monthly CAT Implementation Update on the third Thursday of every month at 4:15 pm ET. The Monthly CAT Implementation Update meetings provide the industry with a high level overview of materials and guidance published on the www.catnmsplan.com website during the month.

On August 19, 2021, in addition to the regularly scheduled monthly implementation update, staff from FINRA (SRO) will provide an update on the status of OATS retirement.  

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 on August 10, 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.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a monthly Industry Testing Checkpoint Call for CAIS/LTID on Wednesday, August 4, 2021 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.