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.