Event Materials

On Wednesday, January 15, 2020, at 4:15 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an Industry Webinar. This Webinar will cover a variety of topics including: updates on AWS PrivateLink, private line, and Multi-Factor Authentication; an overview of the Alternative Industry Test Approach; a refresher on the Production Readiness Certification process; a walkthrough of the Industry Test Release 1.3 functionality; and a preview of the redesigned catnmsplan.com website. The event will be held at 4:15 pm ET.

Please note that FINRA CAT, LLC is now utilizing 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. The presentation document and recording will be posted.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host Weekly Industry Testing Checkpoint Calls every Tuesday at 4:15 pm ET beginning on January 7, 2020 through March 17, 2020. The events will be held at 4:15 pm ET.

Please note that FINRA CAT, LLC is now utilizing 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. The presentation document and recording will be posted.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host Weekly Industry Testing Checkpoint Calls every Tuesday at 4:15 pm ET beginning on January 7, 2020 through March 17, 2020. The events will be held at 4:15 pm ET.

Please note that FINRA CAT, LLC is now utilizing 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. The presentation document and recording will be posted.

On Monday, December 30, 2019, at 4:15 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an Industry Testing Checkpoint Call. The event will be held at 4:15 pm ET

Please note that FINRA CAT, LLC is now utilizing 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. The presentation document and recording will be posted.

On Tuesday, December 17, 2019, at 4:15 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a CAT Reporter Portal Industry Webinar and Demo that will cover the Industry Test Release 1.2 Go-Live Checkpoint and a CAT Reporter Portal Demo of CAT Reporter Portal Basic Reporting Statistics and Manual File Upload. The event will be held at 4:15 pm ET.

Please note that FINRA CAT, LLC is now utilizing 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. The presentation document and recording will be posted.

On Wednesday, December 18, 2019, at 4:15 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an Industry Webinar. This Webinar will cover the FDID and LTID reporting requirements included in the Initial CAT Reporting Customer and Account Technical Specifications for Industry Members- LTID . The event will be held at 4:15 pm ET.

Please note that FINRA CAT, LLC is now utilizing 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. The presentation document and recording will be posted

On Monday, December 9, 2019, at 2 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a CAT Reporter Portal Industry Webinar and Demo that will cover Industry Test Release 1.2 functionality (Basic Reporting Statistics, Manual File Upload, Submission). The event will be held at 2 pm ET.

Please note that FINRA CAT, LLC is now utilizing 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. The presentation document and recording will be posted.