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Firms that meet the definition of a Small Industry Member and do not report to OATS have a CAT reporting obligation beginning on December 13, 2021, which is simultaneous to the commencement of Phase 2d. As such, Small Industry Members that do not report to OATS and plan to start reporting on December 13, 2021 should code their CAT reporting systems to the Phase 2d CAT Reporting Technical Specifications for Industry Members to be published on June 30, 2020.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host Daily Industry Testing Checkpoint Calls every day at 4:15 pm ET beginning on June 15, 2020 until further notice. 

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.

On Wednesday, June 10, 2020 at 3:30 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar focusing on how and when to use and submit the self reporting clock synchronization deviations and erroneous data forms.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host Weekly Industry Testing Checkpoint Calls every Tuesday at 4:15 pm ET beginning on January 7, 2020 until further notice. The events will be held at 4:15 pm ET.

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.