CAT Search | CATNMSPLAN

Content type

Topics

Year

Displaying 241 - 250 of 347

search results for “Cais"

10/28/2020
Event
Biweekly CAIS/LTID Industry Testing Checkpoint Call (10/28/2020)
- Biweekly CAIS/LTID Industry Testing Checkpoint Call (10/28/2020)- Presentation
Audio file

Consolidated 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…

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/16/2020
Event
Biweekly CAIS/LTID Industry Testing Checkpoint Call (9/16/2020)
- Biweekly CAIS/LTID Industry Testing Checkpoint Call (9/16/2020)- Presentation
Audio file

Consolidated 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…

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/30/2020
Event
Biweekly CAIS/LTID Industry Testing Checkpoint Call (9/30/2020)
- Biweekly CAIS/LTID Industry Testing Checkpoint Call (9/30/2020)- Presentation
Audio file

Consolidated 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…

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
01/06/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (01/06/2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (01/06/2020)- Presentation
Audio file

Consolidated 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…

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
12/09/2020
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (12/09/2020)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (12/9/2020)- Presentation
Audio file

Consolidated 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…

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
11/18/2020
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (11/18/2020)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (11/18/2020)- Presentation
Audio file

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a Monthly Industry Testing Checkpoint Call for CAIS/LTID on the November 18, 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 your firm…

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
02/03/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (02/03/2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (2/3/2020)- Presentation
Audio file

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a monthly Industry Testing Checkpoint Call for CAIS/LTID on Wednesday, February 3, 2021 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…

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
10/14/2020
Event
Biweekly CAIS/LTID Industry Testing Checkpoint Call (10/14/2020)
- Biweekly CAIS/LTID Industry Testing Checkpoint Call (10/14/2020)- Presentation
Audio file

Consolidated 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…

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/02/2026
Reference Material
SEC Notice of Request for Exemption Related to Period 4 of the Financial Accountability Milestones
09/16/2026
Reference Material
FINRA CAT Connectivity Supplement for Industry Members v1.20

Topics

A. General