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Update on CAIS Compliance Deadlines

On August 2, 2023 Consolidated Audit Trail, LLC and FINRA CAT, LLC published new CAT Alert 2023-01. It establishes new Interim Reporting Obligation 4 and Full CAIS Compliance Go-Live dates for Industry Members. The new deadlines are:

          Interim Reporting Obligation 4:          May 24, 2024
          Compliance Go-Live:                               May 31, 2024

More detail will be provided during the August 2, 2023 CAIS Industry Testing Checkpoint Call.