Skip to main content

CAT Transaction and CAT CAIS Production and Prod-Mirror Test Environments will be unavailable from 8 pm ET on May 14, 2021 through 2 pm ET on May 16, 2021 due to enhanced disaster recovery testing.

CAT Compliance Industry Webinar (7/29/2020)

On Wednesday, July 29, 2020 at 10 am ET, regulatory staff from the SROs and FINRA CAT, LLC will host an industry webinar focusing on the regulatory landscape for Industry Member CAT compliance and the respective roles of FINRA CAT, the Plan Participants and the SROs as regulators.

Please note that FINRA CAT, LLC is now utilizing 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. The presentation document and recording will be posted.