OATS Announcements

Posted: September 20, 2017

Consolidated Audit Trail (CAT) Industry Call for FINRA Small Firm Members

FINRA is hosting a call and WebEx presentation related to the Consolidated Audit Trail on Wednesday, September 27, 2017, at 4:15 p.m. The purpose of the call is to help FINRA members that have never reported to OATS understand their CAT reporting obligations under SEC Rule 613. Topics include:

  • CAT Reporting Obligations
  • Important Dates
  • Technical Specifications Feedback
  • Question and Answer Session

Firms may register for the WebEx presentation at FINRA’s WebEx Site and will be given the dial-in number upon registration.