Insights & Resources
Ralph Magee
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New FINRA Account Holder Type Consistency Interactive Report Card
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Eleventh Circuit Ruling Puts SEC’s CAT Funding Model in Question
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CAT Compliance – Build the Surveillance Framework Regulators Demand
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Inside the Latest CAT and CAIS Reporting Issues
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CAIS Reporting and the FDID Refresh Report
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Compliance Alert – CAT Clock Synchronization Certification Deadline
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FINRA CAT Alert 2025-1: Immediate Steps for CAIS Compliance
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CAT Reporting: Insights from FINRA’s Annual Report
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Industry Update: T+1, CAT and CAIS Reporting
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FINRA CAT Reporting Deadlines Approach
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CAT and CAIS Compliance Update
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FINRA CAT Provides New CAIS Timeline
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Successful FINRA CAT and CAIS Reporting
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Finding Success with CAT CAIS Reporting
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Key Steps: Consolidated Audit Trail Funding Model Amendment
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New CAT Violations: What They Mean For You
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New Delays to CAT CAIS Reporting
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FINRA CAT Announces New Training Initiative
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You Own the Risk – Have You Done Your FINRA CAT Due Diligence?
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FINRA Brightens Spotlight on CAT in 2023
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CAT Interim Reporting Obligation Delayed
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CAT CAIS Reporting – Time to Test and Prepare
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No Time to Waste – CAT Phase 2e (CAIS) Reporting Obligation Dates Announced
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Consolidated Audit Trail Phase 2e Delayed
