Skip to main content
Welcome to the new FINRA.org. Learn more about our updates.
Create your own user feedback survey

Small Firm Report: Consolidated Audit Trail (CAT) – Audio Recording

August 12, 2019

FINRA President and CEO Robert Cook was joined by Senior Vice President of Member Relations and Education Chip Jones, Vice President Dave Chapman, as well as Senior Director, CAT Business Operations, FINRA CAT, LLC Paul McKenney, to discuss current progress and reporting obligations for the Consolidated Audit Trail (CAT).

Speakers:

  • Robert Cook, FINRA President and Chief Executive Officer
  • Chip Jones, Senior Vice President of Member Relations and Education
  • Dave Chapman, Vice President of Market Analysis and Audit Trail Group
  • Paul McKenney, Senior Director, CAT Business Operations, FINRA CAT, LLC
Register

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.