Event Materials

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a Monthly CAT Update on Tuesday, December 19, 2023 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.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an Industry Testing Checkpoint Call for CAIS on Wednesday, December 13, 2023 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, November 29, 2023 at 4:15 pm Eastern Time and Wednesday, December 6, 2023 at 4:15 pm Eastern Time, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a two-part industry webinar covering upcoming CAIS releases. Part one will provide an overview of the planned releases, and part two will focus on detailed aspects of the releases, including outstanding errors and material inconsistencies.

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, November 29, 2023 at 4:15 pm Eastern Time and Wednesday, December 6, 2023 at 4:15 pm Eastern Time, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a two-part industry webinar covering upcoming CAIS releases. Part one will provide an overview of the planned releases, and part two will focus on detailed aspects of the releases, including outstanding errors and material inconsistencies. 

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, November 16, 2023 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.

On November 7, 2023 at 4:15pm Eastern Time, FINRA CAT, LLC will host a second Industry Webinar focused on CAT Billing. This CAT Billing Webinar will provide a demonstration of the CAT Reporter Portal and how to access CAT Billing documents, including CAT invoices. This webinar will also provide additional information on underlying trade details in relation to the CAT Reporter billing process and an overview of the CAT Contact Management System.

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, November 1, 2023 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, October 19, 2023 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.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an Industry Testing Checkpoint Call for CAIS on Wednesday, October 11, 2023 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 September 28, 2023 at 10:00 a.m. Eastern Time, FINRA CAT, LLC will host a CAT Billing Industry Webinar. The CAT Billing Webinar will be limited to the operational implementation of the CAT Reporter billing process.

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.