Skip to main content

Small Firms Roadmap to December 13, 2021 (June 10, 2021)

On Thursday, June 10, 2021 at 11 am ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar to review the steps that Small Firms must take to prepare for reporting to the CAT Transaction System and CAT Customer and Account Information System ("CAIS") by the compliance date of December 13, 2021.

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.