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2/1/2023 This Announcement Has Been Superseded

The last two Industry Member Compliance dates noted in CAT Alert 2022-01, Interim Reporting Obligation 4 and Full CAIS Compliance Go-Live, currently March 10 and March 17 respectively, will be moved to future dates to be announced shortly.  The new dates are not anticipated to be before the second half of 2023 and will include sufficient time for Industry Members to correct errors once known issues that could impact their CAT reporting compliance obligations have been sufficiently remediated. Additional information will be provided in an updated CAT Alert when available. 

  • To remediate open issues impacting Industry Member feedback and tools, FINRA CAT will implement a series of releases throughout 2023. Each Industry Member impacting release will be announced prior to the Test and Production Environment deployments, along with the specific defects that are being remediated by each release.
  • The first Full CAIS Report Card will be published for the first full month following the Full CAIS Compliance Go-Live date.