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  • 06/01/2022
    Webinar

    Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an Industry Testing Checkpoint Call for CAIS on Wednesday, June 1, 2022 at 4:15 pm ET.

    Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to ensure your firm has the ability to view Zoom content. If you are unable to download and run Zoom, please click the “join from your browser” link. This webinar will be recorded. The presentation document and recording will be posted.

  • 06/08/2022
    Webinar

    On June 8, 2022 and June 9, 2022, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a two-part industry webinar focused on Full CAIS Error Repairs, Corrections and Material Inconsistencies. Part 1 will take place on Wednesday, June 8, 2022 at 11 am ET and will focus on the error repair process and the process for submitting firm-identified corrections and updates. Part 2 will take place on Thursday, June 9, 2022 at 11 am ET and will focus on material inconsistencies and the material inconsistency resolution procedure. 

    Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to ensure your firm has the ability to view Zoom content. If you are unable to download and run Zoom, please click the “join from your browser” link. This webinar will be recorded. The presentation document and recording will be posted. 

  • 06/08/2022
    Webinar

    Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an Industry Testing Checkpoint Call for CAIS on Wednesday, June 8, 2022 at 4:15 pm ET.

    Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to ensure your firm has the ability to view Zoom content. If you are unable to download and run Zoom, please click the “join from your browser” link. This webinar will be recorded. The presentation document and recording will be posted.

  • 06/09/2022
    Webinar

    On June 8, 2022 and June 9, 2022, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a two-part industry webinar focused on Full CAIS Error Repairs, Corrections and Material Inconsistencies. Part 1 will take place on Wednesday, June 8, 2022 at 11 am ET and will focus on the error repair process and the process for submitting firm-identified corrections and updates. Part 2 will take place on Thursday, June 9, 2022 at 11 am ET and will focus on material inconsistencies and the material inconsistency resolution procedure. 

    Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to ensure your firm has the ability to view Zoom content. If you are unable to download and run Zoom, please click the “join from your browser” link. This webinar will be recorded. The presentation document and recording will be posted. 

  • 06/28/2022
    Webinar

    Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a Monthly CAT Update on Tuesday, June 28, 2022 at 9:00 am ET. The Monthly CAT Update meetings provide the industry with a high level overview of statistics, open issues, newly published guidance, announcements and reminders.

    Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to ensure your firm has the ability to view Zoom content. If you are unable to download and run Zoom, please click the “join from your browser” link. This webinar will be recorded. The presentation document and recording will be posted.