Topics

On September 22, 2021 at 4:15 p.m. Eastern Time, Consolidated Audit Trail, LLC (CAT LLC) will host an industry webinar on CAT funding models. The presentation material for the webinar is available at CAT Funding Webinar- Presentation. CAT LLC requests that persons who would like to submit questions do so in advance through the following link: [email protected].

On September 21, 2021 at 4:15 p.m. Eastern Time, Consolidated Audit Trail, LLC (CAT LLC) will host an industry webinar on CAT costs. The presentation material for the webinar is available at CAT Costs Webinar- Presentation. CAT LLC requests that persons who would like to submit questions do so in advance through the following link: [email protected]. Please submit all questions by close of business, Monday, September 20, 2021.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an Industry Testing Checkpoint Call on September 14, 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.

On Tuesday, September 14, 2021 at 10:00 am ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar focused on the transition from Phase 2c to Phase 2d CAT reporting as it relates to schema changes, timing, reporting requirements and other related items. 

For the month of September 2021, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host the Monthly CAT Implementation Update on the second Thursday, September 9, 2021, at 4:15 pm ET. The Monthly CAT Implementation Update meetings provide the industry with a high level overview of materials and guidance published on the www.catnmsplan.com website during the month.

On September 7, 2021 at 4:15 p.m. Eastern Time, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar for ARCAOP members regarding the opportunities and procedures for testing CAT submissions from the ARCAOP Pillar mandatory Saturday industry tests.