Notices

Regulatory Notice 20-31
FINRA Reminds Firms of Their Supervisory Responsibilities Relating to CAT
Monday, August 31, 2020
Information Notice – 7/17/20
Consolidated Audit Trail: Industry Presentation by CMRWG on CAT Compliance Rules
Friday, July 17, 2020
Regulatory Notice 20-20
FINRA Provides Updates on Regulatory Coordination Concerning CAT Reporting Compliance
Monday, June 29, 2020

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