The Securities and Exchange Commission (SEC) requires firms to create, preserve, and retrieve records that reflect the full scope of their securities business.

The Securities and Exchange Commission (SEC) requires firms to create, preserve, and retrieve records that reflect the full scope of their securities business.

Compliance teams today are feeling the squeeze. Regulatory scrutiny has intensified, and FINRA CAT reporting sits right at the center of that pressure.

At its core, RSMS helps firms comply with CAT and CAIS by surfacing issues early, validating submissions before they’re filed, and giving teams actionable insight rather than noise. Our secure cloud deployment means faster rollout, easier scaling,

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.

Enhance CAT & CAIS compliance with RSMS Vault—streamline audits, ensure data accuracy, and simplify regulatory inquiries for FINRA & SEC oversight.

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....