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- Report Card: CAIS Open Issues List Last Updated: 9/8/2022 # Summary Impact Scope Impacted Dates Resolution Target Resolution Date n/a Report Card: CAIS Closed Issues List…
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- EventAudio fileOn January 13, 2022 at 1 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar to provide a basic overview of the Industry Member CAIS Report Cards. Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to ensure your…
- EventAudio fileConsolidated Audit Trail, LLC and FINRA CAT, LLC will host a monthly Industry Testing Checkpoint Call for CAIS on Wednesday, February 9, 2022 at 4:15 pm ET. Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to ensure your firm has the…
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- FAQAll accounts, Relationships or Entity IDs (as represented by the FDID/Firm Designated ID) with any CAT-reportable activity (equities, options and/or multileg events) on or after June 12, 2022 must be reported to CAIS with the implementation of Phase 2e (Full CAIS). See CAT Alerts 2022-01 and…
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