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.

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.

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,