Event Materials

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a Monthly CAT Update on Thursday, September 18, 2025 at 4:15 pm ET. The Monthly CAT Update meetings provide the industry with a high level overview of 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.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a Monthly CAT Update on Thursday, August 21, 2025 at 4:15 pm ET. The Monthly CAT Update meetings provide the industry with a high level overview of 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.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a Monthly CAT Update on Thursday, July 17, 2025 at 4:15 pm ET. The Monthly CAT Update meetings provide the industry with a high level overview of 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.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a Monthly CAT Update on Thursday, June 26, 2025 at 4:15 pm ET. The Monthly CAT Update meetings provide the industry with a high level overview of 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.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a Monthly CAT Update on Thursday May 15, 2025 at 4:15 pm ET. The Monthly CAT Update meetings provide the industry with a high level overview of 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.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a Monthly CAT Update on Thursday April 17, 2025 at 4:15 pm ET. The Monthly CAT Update meetings provide the industry with a high level overview of 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.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a Monthly CAT Update on Thursday March 20, 2025 at 4:15 pm ET. The Monthly CAT Update meetings provide the industry with a high level overview of 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.

On Tuesday, March 18, 2025 at 4:15 pm Eastern Time, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host Part 2 of a two-part industry webinar on upcoming CAIS Report Card Enhancements. Part one, on Thursday, March 13, 2025 will provide an overview on the change in how the CAIS Compliance Error Rate will be calculated beginning with the October 2025 CAIS Report Card. It will also focus on the implementation of Tier Sizes and Peer Groups for the CAIS Report Card. Part two will provide an overview on supplemental monthly statistics which will be added beginning with the October 2025 CAIS Report Card.

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 Thursday, March 13, 2025 at 4:15 pm Eastern Time and Tuesday, March 18, 2025 at 4:15 pm Eastern Time, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a two-part industry webinar on upcoming CAIS Report Card Enhancements. Part one will provide an overview on the change in how the CAIS Compliance Error Rate will be calculated beginning with the October 2025 CAIS Report Card. It will also focus on the implementation of Tier Sizes and Peer Groups for the CAIS Report Card. Part two will provide an overview on supplemental monthly statistics which will be added beginning with the October 2025 CAIS Report Card.

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.