Critical CAT WSP Areas Firms Must Address for FINRA Compliance in 2025
As regulatory oversight intensifies, Consolidated Audit Trail (CAT) compliance has become one of the most critical priorities for broker-dealers and trading firms. In 2025, FINRA CAT examinations are increasingly focused not just on whether firms submit data — but how well their Written Supervisory Procedures (WSPs) support accurate, complete, and timely reporting . With evolving guidance, tighter timelines, and heightened expectations around data quality, firms can no longer rely on reactive compliance practices. Understanding which CAT-related WSP areas draw the most regulatory attention is essential to staying inspection-ready. Below are the top CAT WSP focus areas FINRA is scrutinizing in 2025 , and how modern platforms like a Regulatory Surveillance and Management System (RSMS) and CAIS-Connect help firms stay ahead. 1. Accurate CAT Reporting Accuracy remains the cornerstone of FINRA CAT compliance ...