By unifying comparative review workflows and providing an intuitive, comprehensive interface purpose-built for CAT reporting, RSMS gives compliance and operations teams the means to achieve a new level of insight, control, and confidence.

Reconciling CAT events with a firm’s internal transaction records is layered with technical and operational challenges. Firms are required to aggregate information flowing from a multitude of internal and external sources, across trade orders,

Blog How RSMS Vault Transforms SEC Record Retention for Broker-Dealers Navigating the maze of SEC rules 17a-3 and 17a-4 is one of the most persistent

Below, we dissect five of the most common and consequential regulatory risk blind spots and how our Regulatory Surveillance Management System (RSMS) is purpose-built to uncover and neutralize each one, transforming operational vulnerability into compliance control. Let’s begin.

Discover why robust CAT WSPs are critical for FINRA compliance in 2025. Learn how RSMS simplifies exception handling, reporting, and audit readiness.

Discover why robust CAT WSPs are critical for FINRA compliance in 2025. Learn how RSMS simplifies exception handling, reporting, and audit readiness.

Discover why robust CAT WSPs are critical for FINRA compliance in 2025. Learn how RSMS simplifies exception handling, reporting, and audit readiness.

Discover why robust CAT WSPs are critical for FINRA compliance in 2025. Learn how RSMS simplifies exception handling, reporting, and audit readiness.

Explore how RSMS helped firms navigate stricter FINRA CAT & CAIS compliance in H1 2025, and why advanced regtech is key to staying audit-ready and risk-resilient for the rest of the year.

You know that feeling when you’re piecing together a giant puzzle, except some of the pieces don’t quite fit, and you’re not even sure if they belong to the same picture?

Discover the key weaknesses often overlooked in FINRA CAT Written Supervisory Procedures (WSPs) and how Capital Market Solutions’ RSMS platform

Navigating the maze of regulatory obligations has become a defining challenge for firms across the United States.

As regulatory environments evolve, firms face mounting expectations for data quality and transparency.

Have you noticed how keeping up with regulatory compliance feels more challenging than ever?

Regulatory reporting is a cornerstone of trust and accountability in financial markets. It keeps firms aligned with regulations

Ensuring error-free regulatory reporting remains one of the most critical challenges for many firms.

Keeping up with the Consolidated Audit Trail (CAT) has become a critical part of every firm’s compliance priorities....

Have you ever wondered why accurate reporting matters so much for compliance in today’s business world?...

The financial industry is a complex ecosystem overseen by stringent regulatory requirements. Among these, the FINRA CAT...

The 2025 FINRA Annual Regulatory Oversight Report is a treasure trove of regulatory insights and practical recommendations...

As we progress through 2025, the financial services industry continues to be shaped by evolving regulatory expectations...

Discover the key weaknesses often overlooked in FINRA CAT Written Supervisory Procedures (WSPs) and how Capital Market Solutions’ RSMS platform

The regulatory environment is evolving very fast and now ensuring data integrity is not just a best practice—it has become a crucia...

In today's complex financial landscape, regulatory compliance has become more critical and challenging than ever before...

The financial services industry operates in a heavily regulated environment. As the landscape becomes increasingly complex...

As we step into 2025, the world of regulatory compliance continues to grow more complex and demanding...

Explore 7 key benefits of automated data management for buy and sell-side firms, including accuracy...

Optimize FINRA compliance with RSMS by Capital Market Solutions. Automate CAT/CAIS reporting, manage exceptions, and ensure real-time monitoring.

Explore how cloud solutions by Capital Market Solutions revolutionize regulatory compliance in financial markets.