Displaying 151 - 160 of 223
search results for “Cais"
- EventAudio file
- EventAudio fileConsolidated Audit Trail, LLC and FINRA CAT, LLC will host a monthly Industry Testing Checkpoint Call for CAIS/LTID on Wednesday, January 5, 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…
- EventAudio fileOn November 2, 2022 at 1:00 pm ET, FINRA CAT, LLC will host an industry webinar to provide an overview of the Full CAIS Report Card to be implemented beginning with the month of January 2023. Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to…
- Reference Material
- CAT AlertThis CAT Alert provides Industry Members additional CAIS reporting guidance in light of the SEC’s February 10, 2025 order granting exemptive relief related to the reporting of names, addresses, and years of birth for natural persons reported with transformed social security numbers/individual tax…
- EventAudio fileConsolidated Audit Trail, LLC and FINRA CAT, LLC will host Biweekly Industry Testing Checkpoint Calls for CAIS/LTID every other Wednesday 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…
- EventAudio fileConsolidated Audit Trail, LLC and FINRA CAT, LLC will host Biweekly Industry Testing Checkpoint Calls for CAIS/LTID every other Wednesday 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…
- EventAudio fileConsolidated Audit Trail, LLC and FINRA CAT, LLC will host Biweekly Industry Testing Checkpoint Calls for CAIS/LTID every other Wednesday 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…
- EventAudio fileConsolidated Audit Trail, LLC and FINRA CAT, LLC will host a monthly Industry Testing Checkpoint Call for CAIS/LTID on Wednesday, January 6, 2021 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…
- EventAudio fileConsolidated Audit Trail, LLC and FINRA CAT, LLC will host a Monthly Industry Testing Checkpoint Call for CAIS/LTID on Wednesday, December 9, 2020 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…