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.
Blogs
Stay updated on cutting-edge solutions tailored for financial markets.
Maximizing Efficiency and Precision in Regulatory Data Reconciliation with Comparative Review and Recon
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,
How RSMS Vault Transforms SEC Record Retention for Broker-Dealers
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
5 Regulatory Risk Blind Spots? Here’s How RSMS Uncovers Them
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.
From Chaos to Control: Streamlining Regulatory Compliance with Centralized Data
Discover why robust CAT WSPs are critical for FINRA compliance in 2025. Learn how RSMS simplifies exception handling, reporting, and audit readiness.
Improving CAT Regulatory Audit and Inquiries Response with RSMS
Discover why robust CAT WSPs are critical for FINRA compliance in 2025. Learn how RSMS simplifies exception handling, reporting, and audit readiness.
Simplifying SEC Compliance in the Cloud Age with RSMS Vault
Discover why robust CAT WSPs are critical for FINRA compliance in 2025. Learn how RSMS simplifies exception handling, reporting, and audit readiness.
Navigating CAT WSPs: What Firms Need To Know
Discover why robust CAT WSPs are critical for FINRA compliance in 2025. Learn how RSMS simplifies exception handling, reporting, and audit readiness.
Halfway Through 2025 – An RSMS Perspective on Regulatory Compliance
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.
Be Audit Ready: How RSMS Helps Firms in Regulatory Review
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.
Top 5 CAT WSP Areas Drawing FINRA’s Attention in 2025
Keeping up with the Consolidated Audit Trail (CAT) has become a critical part of every firm’s compliance priorities....
The Role of Correct Reporting in FINRA Regulatory Compliance: RSMS as a Game-Changer
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...
How RSMS Helps Catch Exceptions Before They Become Problems
Discover the key weaknesses often overlooked in FINRA CAT Written Supervisory Procedures (WSPs) and how Capital Market Solutions’ RSMS platform
The Importance of Data Integrity in CAIS Submissions
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...
Begin 2025 with Confidence and In Control of Regulatory Compliance
As we step into 2025, the world of regulatory compliance continues to grow more complex and demanding...
7 Key Benefits of Automated Data Management for Buy and Sell-Side Firms
Explore 7 key benefits of automated data management for buy and sell-side firms, including accuracy...
Navigating FINRA Mandates with Scalable Compliance Tools
Optimize FINRA compliance with RSMS by Capital Market Solutions. Automate CAT/CAIS reporting, manage exceptions, and ensure real-time monitoring.
How Cloud Solutions Revolutionize Regulatory Compliance in Financial Markets
Explore how cloud solutions by Capital Market Solutions revolutionize regulatory compliance in financial markets.

Cloud Solutions
How Cloud Solutions Revolutionize Regulatory Compliance in Financial Markets
Explore how cloud solutions by Capital Market Solutions revolutionize regulatory compliance in financial markets. Discover efficient, secure, and agile tools like RSMS for meeting FINRA CAT and CAIS requirements.
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