Simplifying FINRA CAT Compliance: How RSMS Is Changing the Game

 

In the evolving landscape of regulatory compliance, FINRA CAT (Consolidated Audit Trail) reporting remains a high-stakes challenge for broker-dealers. As deadlines tighten and complexities grow, firms need tools that not only meet regulatory demands — but also simplify the entire process. That’s exactly where RSMS steps in.

The latest solution from Capital Market Solutions, RSMS is streamlining CAT reporting through smarter, faster comparative reviews — ensuring CAT and CAIS data stays clean, compliant, and audit-ready.

What Is FINRA CAT, and Why Does It Matter?

The Consolidated Audit Trail (CAT) is a massive regulatory reporting initiative by FINRA and the SEC, requiring firms to report detailed trade and customer data daily. The goal? Market transparency and investor protection.

But with millions of daily records to manage, traditional reporting tools struggle to keep up. That’s where automation and accuracy come into play — and that’s where RSMS delivers.

RSMS: A Smarter Approach to CAT & CAIS Reviews

The Regulatory Surveillance & Management System (RSMS) is designed to go beyond basic error detection. It provides:

  • Comparative Reviews: Easily compare CAT submissions across different reporting cycles
  • Built-in CAIS Integration: Validate customer data within CAT and CAIS with precision
  • Duplicate Detection: Flag and clean up duplicate submissions to reduce rejections
  • Rule-Based Automation: Stay aligned with current FINRA CAT validations

In short, RSMS helps you catch issues before the regulators do.

Seamless Sync with CAIS & CAIS-Connect

RSMS doesn’t stop at CAT reporting. With native support for CAIS and the CAIS-Connect API, it helps ensure complete and accurate customer and account reporting.

Real-time validation of customer records
Automated checks for missing or invalid data
Faster error correction and resubmission

By unifying CAT and CAIS logic, RSMS removes the guesswork and simplifies compliance workflows.

Built for Operations, Designed for Compliance

Whether you’re a compliance officer, operations manager, or tech partner, RSMS is built to work the way your team does. No more spreadsheets, manual validations, or clunky platforms — just fast, intuitive tools that help you stay compliant with confidence.

Final Thoughts

FINRA CAT, CAIS, and CAIS-Connect reporting don’t have to be a regulatory burden. With RSMS, firms now have a powerful ally in automation, accuracy, and audit-readiness.

Ready to simplify your CAT reporting process?

Visit Capital Market Solutions to learn more about RSMS and how it can transform your compliance strategy.

Location: New Jersey, USA

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