Event Materials

On Wednesday, May 5, 2021 at 4:15 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar to review the requirements for translating Input Identifiers of CAT Customers to Transformed Identifier Values. All Industry Members are required to report Transformed Identifier Values for CAT Customers to the Customer and Account Information System (CAIS) beginning in July 2022. This webinar will also provide an overview of the paired files submission process for the CAIS Data file and Transformed Identifiers file. The webinar will follow the regularly scheduled  Industry Testing Checkpoint Call for CAIS/LTID.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host Industry Testing Checkpoint Calls every other Tuesday at 4:15 pm ET beginning on February 2, 2021 until further notice. 

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.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host Industry Testing Checkpoint Calls every other Tuesday at 4:15 pm ET beginning on February 2, 2021 until further notice. 

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, April 7, 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 will host Industry Testing Checkpoint Calls every other Tuesday at 4:15 pm ET beginning on February 2, 2021 until further notice. 

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, March 24, 2021 at 4:15 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar focused on OTC Link ATS reporting scenarios. This session will be a follow-up to the March 10, 2021 industry webinar focused on the Phase 2d CAT quote and order reporting requirements for OTC Link ATS subscribers.

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 March 23, 2021 at 4:15 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar to walk through various reporting scenario examples and how the related data appears on the Industry Member Report Cards.

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.