Capital Market Solutions

  Capital Market Solutions (CMS) is a leading provider of Regulatory Surveillance, Compliance, and Regulatory Reporting solutions. RSMS — CMS’s trusted and proven compliance platform — is widely used for  Consolidated Audit Trail (CAT) Compliance ,  FINRA CAT ,  CAIS Reporting , and Trading Compliance. With deep integrations across major OMS and EMS platforms, RSMS ensures seamless, fast onboarding and reliable operations for broker-dealer firms. RSMS is engineered for accuracy, efficiency, and near-zero rejection rates, giving firms a complete, unified ecosystem for regulatory reporting. With growing demand from the market and existing clients, CMS is now introducing  SEC Rule 605/606 reporting  within the RSMS platform — closely integrated with CAT and CAIS workflows for a smooth and consistent compliance experience. Understanding SEC Rule 606 Requirements Rule 606  aims to bring complete transparency to how broker-dealers route non-directed cust...

  For broker-dealers, meeting  SEC Rule 17a-4  is not merely a compliance checkbox — it’s an ongoing commitment to trust, transparency, and operational integrity. The regulation demands far more than simple data storage. From  WORM (Write Once, Read Many)  compliance to  HOLD provisions , supervisory oversight, and auditable retention, the requirements are complex and uncompromising. The challenge? Most firms still rely on outdated, fragmented systems that were never built for today’s regulatory intensity or digital agility. Compliance teams spend valuable time reconciling manual logs, monitoring exceptions, and piecing together workflows — all while juggling mounting oversight expectations. It’s time for a smarter, more resilient approach. The Compliance Challenge Legacy WORM-compliant solutions were designed to “lock data,” not to help teams manage, monitor, and audit it effectively. These tools satisfy the basic rule, but not the real-world demands of a ...