Achieving Error-Free FINRA CAT Reporting: How RSMS Transforms CAT Compliance

 

We’re all operating in a market where regulations evolve quickly, trading activity is increasingly complex, and compliance teams are stretched thinner than ever. It’s not just the rules — it’s the data, the reconciliations, the follow-ups, and the constant pressure to demonstrate control effectiveness. Compliance leaders tell us the same thing: too many disconnected tools, too many manual checks, and not enough time to actually manage risk.

That’s exactly why Capital Market Solutions built RSMS, a unified, cloud-based Regulatory Surveillance and Management System designed to simplify oversight across reporting regimes — especially Consolidated Audit Trail (CAT) compliance and FINRA CAT validation. RSMS brings surveillance, data validation, and regulatory reporting workflows together so firms can reduce operational friction and strengthen confidence with regulators and stakeholders.

The RSMS Advantage: Unified, Cloud-Based, and Built for CAT Compliance

Most firms struggle because their compliance processes live in silos. RSMS changes that by integrating:

  • Surveillance across key regulatory frameworks
  • Automated validation for FINRA CAT and CAIS submissions
  • Built-in reporting workflows and exception management
  • Centralized dashboards for risk visibility and control evidence

At its core, RSMS is engineered to elevate Consolidated Audit Trail (CAT) compliance by surfacing issues early, validating submissions before they’re filed, and giving teams actionable insights rather than noise. A secure, scalable cloud deployment accelerates implementation and lowers infrastructure costs, while flexible data connectors ensure RSMS fits seamlessly into your existing environment.

Comprehensive Surveillance: Continuous, Consistent, CAT-Ready

Regulatory surveillance must be both comprehensive and continuous. RSMS supports full FINRA CAT and CAIS validation, ensuring clean and accurate submissions. Transaction data flows smoothly through multiple formats — from FIX to CSV — and secure cloud connectivity streamlines integration and uploads.

RSMS also cross-validates regulatory reports with underlying trading activity, enhancing consistency and improving submission quality across the entire compliance lifecycle. The outcome: fewer gaps, fewer blind spots, and stronger evidence for supervisory controls.

Risk Management, Exception Handling, and Audit Readiness

Effective regulatory risk management means identifying issues early and addressing them with confidence. RSMS flags anomalies and exceptions in real time, guiding users through investigation and resolution steps within the platform.

A dynamic dashboard provides a complete 360° view of your firm’s compliance posture, featuring:

  • Historical performance and exception trends
  • Risk heat maps
  • Work-in-progress and time-to-close metrics

All exceptions are captured in a single integrated repository — critical for audit readiness, transparency, and demonstrating consistent application of WSPs. This structure strengthens governance, reduces compliance risk, and improves operational efficiency.

Data Validation and Regulatory Accuracy for CAT and CAIS

Precision is essential in regulatory reporting. RSMS validates incoming data, reconciles FINRA CAT submissions, and flags exceptions before anything is filed. By aligning reported data with actual trading activity, RSMS helps firms maintain industry-leading rejection and error rates in their CAT report cards.

The system’s reconciliation views, exception workflows, and evidence trails are intuitive, ensuring that every submission reflects complete, accurate, and traceable information — strengthening trust with regulators and leadership alike.

Why RSMS Is the Future of CAT Compliance and Regulatory Reporting

Compliance is becoming increasingly data-driven. Firms need platforms that are flexible, scalable, and built to adapt as Consolidated Audit Trail (CAT) rules evolve. RSMS delivers on all fronts.

By reducing manual reconciliation of CAT data and automating key processes, RSMS frees compliance teams to focus on supervisory oversight rather than repetitive tasks.

Example:
Before RSMS: A compliance analyst spends hours reconciling order events and correcting rejected CAT records.
With RSMS: The analyst opens the RSMS dashboard, instantly sees exceptions with correction guidance, reviews supporting data, and resolves everything directly in the platform — saving hours and improving accuracy.

This shift — from manual effort to insight-driven supervision — transforms compliance operations.

Simple, Fast Implementation

At Capital Market Solutions, we’ve designed RSMS for quick onboarding. The platform integrates with your existing ecosystem using flexible data connectors and supports industry-standard formats like FIX and CSV. Our secure cloud architecture ensures scalability during high-volume periods while minimizing maintenance demands.

Most customers go live in just weeks. From there, our experienced support team helps your compliance staff align workflows with supervisory models and WSP requirements.

Upgrade to a Unified RegTech Solution Purpose-Built for CAT

RSMS isn’t just another compliance tool — it’s a fully unified RegTech platform engineered to elevate regulatory confidence. By combining surveillance, exception management, regulatory validation, and risk analytics into one intelligent system, RSMS eliminates operational complexity, improves data accuracy, and strengthens supervisory governance without requiring additional headcount.
At Capital Market Solutions, we know that smarter compliance goes far beyond meeting requirements. It’s about building trust, ensuring transparency, and creating long-term resilience across your entire regulatory ecosystem.
See RSMS Transform Your CAT Compliance
Experience how RSMS streamlines Consolidated Audit Trail (CAT) compliance end-to-end — from validating FINRA CAT submissions in a click, to instantly surfacing exceptions, to providing complete visibility across supervisory workflows.
Modernize your regulatory oversight with a platform designed for accuracy, efficiency, and control.
Schedule your demo today and discover the power of unified RegTech.

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