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<title>Almaosborne - Latest News</title>
<link href="https://news.prfree.org/rss/almaosborne/latest.xml"></link>
<updated>2026-07-18T14:41:19+00:00</updated>
<id>urn:uuid:38b1db5b-76ba-a234-2b4e-64acc0e180b7</id>
<entry>
<title>How Integration Improves FINRA CAT Reporting Efficiency</title>
<link href="https://news.prfree.org/@almaosborne/how-integration-improves-finra-cat-reporting-efficiency-lrsv2bdb86vq"></link>
<id>urn:uuid:59a672b4-5e62-748e-13a3-b555f153c623</id>
<summary type="html"><![CDATA[Discover how system integration enhances efficiency and accuracy in FINRA CAT Reporting.]]></summary>
<updated>2026-04-29T11:58:53+00:00</updated>
</entry>
<entry>
<title>The Hidden Link Between CAIS Data and Market Surveillance Failures</title>
<link href="https://news.prfree.org/@almaosborne/the-hidden-link-between-cais-data-and-market-surveillance-failures-rz7v0taqkin1"></link>
<id>urn:uuid:d168d976-29b3-7191-11a1-20aebcf28490</id>
<summary type="html"><![CDATA[Learn how poor FINRA CAIS data leads to surveillance failures and compliance risks.]]></summary>
<updated>2026-04-29T10:42:22+00:00</updated>
</entry>
<entry>
<title>How to Overcome Data Challenges in Consolidated Audit Trail (CAT) Compliance</title>
<link href="https://news.prfree.org/@almaosborne/how-to-overcome-data-challenges-in-consolidated-audit-trail-cat-compliance-c23daaufbmcs"></link>
<id>urn:uuid:e112e316-c190-f62b-0834-825090b69713</id>
<summary type="html"><![CDATA[Learn how to tackle data challenges in Consolidated Audit Trail (CAT) compliance with proven strategies for accuracy and efficiency.]]></summary>
<updated>2026-04-28T06:21:25+00:00</updated>
</entry>
<entry>
<title>FINRA CAT Reporting and Data Management Strategies for 2026</title>
<link href="https://news.prfree.org/@almaosborne/finra-cat-reporting-and-data-management-strategies-for-2026-flgoc7xxvb85"></link>
<id>urn:uuid:da777e87-3536-0919-4507-7520749f782a</id>
<summary type="html"><![CDATA[Discover effective data management strategies to improve FINRA CAT Reporting accuracy and efficiency]]></summary>
<updated>2026-04-28T05:51:04+00:00</updated>
</entry>
<entry>
<title>Consolidated Audit Trail (CAT) Compliance: A Complete Guide for 2026</title>
<link href="https://news.prfree.org/@almaosborne/consolidated-audit-trail-cat-compliance-a-complete-guide-for-2026-w8s6lx3rujeb"></link>
<id>urn:uuid:4c829e2a-eafe-48ef-b958-0c4ce3f22b9e</id>
<summary type="html"><![CDATA[Understand Consolidated Audit Trail (CAT) Compliance requirements, reporting processes, and how firms can stay compliant in 2026.]]></summary>
<updated>2026-04-27T06:17:22+00:00</updated>
</entry>
<entry>
<title>How AI is Transforming FINRA CAT Surveillance in 2026</title>
<link href="https://news.prfree.org/@almaosborne/how-ai-is-transforming-finra-cat-surveillance-in-2026-h3dbgh56wknh"></link>
<id>urn:uuid:ddb37db6-0c9e-4e0c-2530-c9b0ac13e64f</id>
<summary type="html"><![CDATA[Learn how AI is revolutionizing FINRA CAT surveillance and compliance monitoring in 2026.]]></summary>
<updated>2026-04-27T05:26:10+00:00</updated>
</entry>
<entry>
<title>Top FINRA CAT Reporting Challenges and How to Overcome Them</title>
<link href="https://news.prfree.org/@almaosborne/top-finra-cat-reporting-challenges-and-how-to-overcome-them-evgkj0zx90u5"></link>
<id>urn:uuid:23806df6-0ac9-2bb8-41d2-62f427acf32b</id>
<summary type="html"><![CDATA[Discover the biggest FINRA CAT reporting challenges and practical solutions to overcome them]]></summary>
<updated>2026-04-24T09:39:32+00:00</updated>
</entry>
<entry>
<title>The Impact of FINRA CAIS on Data Standardization Across Systems</title>
<link href="https://news.prfree.org/@almaosborne/the-impact-of-finra-cais-on-data-standardization-across-systems-3n96hkrbe1rh"></link>
<id>urn:uuid:dde9b900-5cdf-cb3c-1101-406a45c3b166</id>
<summary type="html"><![CDATA[Understand how FINRA CAIS drives data standardization across multiple financial systems.]]></summary>
<updated>2026-04-24T07:51:59+00:00</updated>
</entry>
<entry>
<title>Understanding FINRA CAT Compliance: A Complete Guide for Broker-Dealers</title>
<link href="https://news.prfree.org/@almaosborne/understanding-finra-cat-compliance-a-complete-guide-for-broker-dealers-0vwvymbs3ux6"></link>
<id>urn:uuid:2e8a2f1b-3fe7-aed1-78e1-ad0a7dd0f427</id>
<summary type="html"><![CDATA[Learn everything about FINRA CAT compliance, reporting requirements, challenges, and solutions to ensure accurate and timely regulatory reporting.]]></summary>
<updated>2026-04-23T07:46:18+00:00</updated>
</entry>
<entry>
<title>Building a Scalable Strategy for FINRA CAIS Reporting</title>
<link href="https://news.prfree.org/@almaosborne/building-a-scalable-strategy-for-finra-cais-reporting-6ssjxl4eqe89"></link>
<id>urn:uuid:ce4758b6-2735-7a24-8a0f-8192b6f1fabb</id>
<summary type="html"><![CDATA[Learn how to build a scalable FINRA CAIS reporting strategy for long-term compliance success.]]></summary>
<updated>2026-04-23T04:52:05+00:00</updated>
</entry>
<entry>
<title>Customer Account Information System (CAIS) for Compliance</title>
<link href="https://news.prfree.org/@almaosborne/customer-account-information-system-cais-for-compliance-fshzzpjm5fkb"></link>
<id>urn:uuid:2a7e37f2-4ea6-66f8-089b-ff344d95750b</id>
<summary type="html"><![CDATA[: Learn how Customer Account Information System (CAIS) improves compliance, data accuracy, and reporting efficiency.
 Keywords: Customer Account Information System, CAIS compliance, regulatory reporting, financial compliance]]></summary>
<updated>2026-04-22T09:44:44+00:00</updated>
</entry>
<entry>
<title>Consolidated Audit Trail (CAT) Compliance Guide for Broker-Dealers</title>
<link href="https://news.prfree.org/@almaosborne/consolidated-audit-trail-cat-compliance-guide-for-broker-dealers-1jv3z3ga6zpd"></link>
<id>urn:uuid:ea980241-64e8-7fb9-51b6-5b69fb429cde</id>
<summary type="html"><![CDATA[Learn everything about Consolidated Audit Trail (CAT) compliance, its importance, challenges, and how firms can streamline reporting efficiently.]]></summary>
<updated>2026-04-22T06:48:38+00:00</updated>
</entry>
<entry>
<title>FINRA CAIS Explained: Complete Guide for Broker-Dealers</title>
<link href="https://news.prfree.org/@almaosborne/finra-cais-explained-complete-guide-for-broker-dealers-63h3kcrgxu2o"></link>
<id>urn:uuid:486d108e-27cf-7269-6f8a-304eb6a971a0</id>
<summary type="html"><![CDATA[Learn what FINRA CAIS is, how it works, and why broker-dealers must comply. Complete guide with benefits and challenges.]]></summary>
<updated>2026-04-22T05:20:09+00:00</updated>
</entry>
<entry>
<title>FINRA CAT Reporting Errors: Common Mistakes &amp; Fixes for Broker-Dealers</title>
<link href="https://news.prfree.org/@almaosborne/finra-cat-reporting-errors-common-mistakes-fixes-for-broker-dealers-nejprccnnzbf"></link>
<id>urn:uuid:8cb2e3c3-4803-3db2-c2b7-a0617fe4ae1a</id>
<summary type="html"><![CDATA[Discover the most common FINRA CAT reporting errors and learn how broker-dealers can avoid compliance risks with smarter reporting strategies.]]></summary>
<updated>2026-04-20T07:34:58+00:00</updated>
</entry>
<entry>
<title>Top CAT WSP Gaps That Trigger FINRA Attention in 2025</title>
<link href="https://news.prfree.org/@almaosborne/top-cat-wsp-gaps-that-trigger-finra-attention-in-2025-vuj5wo04cqx0"></link>
<id>urn:uuid:17a218e3-44ee-2e6e-4eff-35fa2032b56a</id>
<summary type="html"><![CDATA[With evolving guidance, tighter timelines, and heightened expectations around data quality, firms can no longer rely on reactive compliance practices. Understanding which CAT-related WSP areas draw the most]]></summary>
<updated>2026-01-02T11:12:54+00:00</updated>
</entry>
<entry>
<title>Ultimate Guide to CAT Reconciliation and CAIS Automation</title>
<link href="https://news.prfree.org/@almaosborne/ultimate-guide-to-cat-reconciliation-and-cais-automation-6nmeqo1nz906"></link>
<id>urn:uuid:98e8747e-5bef-e38b-a8bf-ddef84a4428b</id>
<summary type="html"><![CDATA[Effective practices include mapping internal records to CAT fields, archiving feedback for corrections, and daily portal reviews — even for low-error firms using agents. CM]]></summary>
<updated>2025-12-30T07:10:35+00:00</updated>
</entry>
<entry>
<title>Managing Hidden Compliance Risks in Customer Account Information Systems</title>
<link href="https://news.prfree.org/@almaosborne/managing-hidden-compliance-risks-in-customer-account-information-systems-jzb9ebhzhuxu"></link>
<id>urn:uuid:225eddd9-4696-56e1-ecac-d875ac331173</id>
<summary type="html"><![CDATA[Without a robust audit trail, firms struggle to defend their reporting during FINRA examinations. Inadequate documentation weakens credibility and increases the likelihood of extended regulatory reviews.]]></summary>
<updated>2025-12-29T09:52:19+00:00</updated>
</entry>
<entry>
<title>How Customer Account Information System (CAIS) Data Supports CAT Compliance</title>
<link href="https://news.prfree.org/@almaosborne/how-customer-account-information-system-cais-data-supports-cat-compliance-e58esyx660ff"></link>
<id>urn:uuid:536344ed-8c47-2c56-49f3-6369dd0c5340</id>
<summary type="html"><![CDATA[key risk indicators for regulators. Navigating FINRA CAT, Customer Account Information System (CAIS) alignment, and Consolidated Audit Trail (CAT) Compliance requires both expertise and the right technology.]]></summary>
<updated>2025-12-23T11:51:42+00:00</updated>
</entry>
<entry>
<title>How RegTech Is Transforming Error-Free FINRA Reporting</title>
<link href="https://news.prfree.org/@almaosborne/how-regtech-is-transforming-error-free-finra-reporting-a1cras75q5gi"></link>
<id>urn:uuid:484ac633-c9df-f171-f150-fd58baee142a</id>
<summary type="html"><![CDATA[Beyond technology, RSMS is supported by regulatory experts who continuously monitor evolving FINRA requirements. This ensures firms remain aligned with changing [CAT Compliance]]]></summary>
<updated>2025-12-22T10:09:01+00:00</updated>
</entry>
<entry>
<title>SEC Rule 17a-4 Explained: What Every Broker-Dealer Firm Needs to Know — and Why It Matters for CAT Compliance</title>
<link href="https://news.prfree.org/@almaosborne/sec-rule-17a-4-explained-what-every-broker-dealer-firm-needs-to-know-and-why-it-matters-for-cat-compliance-puxvvlhvrj35"></link>
<id>urn:uuid:377294a4-447c-6c94-dd13-8208ffc457cf</id>
<summary type="html"><![CDATA[Over-reliance on legacy storage without compliance oversight
Inconsistent retention mappings across data sources
No formal legal hold workflow]]></summary>
<updated>2025-12-19T11:08:04+00:00</updated>
</entry>
<entry>
<title>What Is FINRA CAT and CAIS? Understanding Regulatory Compliance in Capital Markets</title>
<link href="https://news.prfree.org/@almaosborne/what-is-finra-cat-and-cais-understanding-regulatory-compliance-in-capital-markets-saum8tu97s0p"></link>
<id>urn:uuid:0fde1ce4-4fc5-6450-3c5d-865b106a06a3</id>
<summary type="html"><![CDATA[Submission deadlines,
Reporting standards,
Required documentatio]]></summary>
<updated>2025-12-18T09:28:22+00:00</updated>
</entry>
<entry>
<title>FINRA CAT, CAIS &amp; Consolidated Audit Trail (CAT) Compliance: The Ultimate Guide for Broker-Dealers</title>
<link href="https://news.prfree.org/@almaosborne/finra-cat-cais-consolidated-audit-trail-cat-compliance-the-ultimate-guide-for-broker-dealers-y3dlil6orwc4"></link>
<id>urn:uuid:6555e54b-368d-c2c7-b11d-e123b7a73e8f</id>
<summary type="html"><![CDATA[How Capital Market Solutions Helps With CAT Compliance
At Capital Market Solutions, we understand the technical and operational complexity of CAT and CAIS compliance. Our RSMS (Regulatory Submission Management System) platform offers:]]></summary>
<updated>2025-12-17T12:56:33+00:00</updated>
</entry>
<entry>
<title>Consolidated Audit Trail (CAT) Compliance Explained: A Complete Guide for Broker-Dealers</title>
<link href="https://news.prfree.org/@almaosborne/consolidated-audit-trail-cat-compliance-explained-a-complete-guide-for-broker-dealers-pv29s1eq2h93"></link>
<id>urn:uuid:aaf5cf63-a8f2-8fe7-8941-42d40ba39ca4</id>
<summary type="html"><![CDATA[Provide audit trails and documentation for regulatory inquiries
Support CAIS reporting requirements and data governance initiatives
These systems not only ensure compliance today]]></summary>
<updated>2025-12-16T05:23:41+00:00</updated>
</entry>
<entry>
<title>Consolidated Audit Trail (CAT) Compliance Explained: What Every Broker-Dealer Firm Needs to Know</title>
<link href="https://news.prfree.org/@almaosborne/consolidated-audit-trail-cat-compliance-explained-what-every-broker-dealer-firm-needs-to-know-n3luo492fpkj"></link>
<id>urn:uuid:b0b8f211-5c0c-3d19-c83d-9dfb93b833a9</id>
<summary type="html"><![CDATA[Meet CAT Compliance with Confidence Using RSMS Vault
RSMS Vault, the latest regtech innovation from Capital Market Solutions, is purpose-built to support Consolidated Audit Trail (CAT) compliance and align seamlessly with FINRA CAT expectations.]]></summary>
<updated>2025-12-15T10:38:07+00:00</updated>
</entry>
<entry>
<title>The Ultimate Guide to CAT Compliance in 2025: Top Supervisory Procedures Firms Must Fix</title>
<link href="https://news.prfree.org/@almaosborne/the-ultimate-guide-to-cat-compliance-in-2025-top-supervisory-procedures-firms-must-fix-dpwb5vk18gzj"></link>
<id>urn:uuid:76473ae7-f391-6fe0-07e8-f897012ae2f3</id>
<summary type="html"><![CDATA[RSMS: Your Strategic Partner for Consolidated Audit Trail (CAT) Compliance
Mastering FINRA CAT compliance in 2025 requires the right tools, structure, and oversight. RSMS empowers firms through]]></summary>
<updated>2025-12-12T07:01:48+00:00</updated>
</entry>
<entry>
<title>Why Regulatory Compliance Feels More Challenging Than Ever</title>
<link href="https://news.prfree.org/@almaosborne/why-regulatory-compliance-feels-more-challenging-than-ever-zvzmc4pg585m"></link>
<id>urn:uuid:188224f6-1363-01f9-06b6-698c6bafc3a6</id>
<summary type="html"><![CDATA[With regulations becoming increasingly detailed — especially around FINRA CAT and the Consolidated Audit Trail — firms can no longer rely on outdated systems or manual processes. The future of regulatory compliance requires:]]></summary>
<updated>2025-12-10T10:36:36+00:00</updated>
</entry>
<entry>
<title>Customer Account Information System (CAIS) &amp; Consolidated Audit Trail (CAT) Compliance: What Firms Need to Know for 2025</title>
<link href="https://news.prfree.org/@almaosborne/customer-account-information-system-cais-consolidated-audit-trail-cat-compliance-what-firms-need-to-know-for-2025-5d2b9r8clu8r"></link>
<id>urn:uuid:1c77048a-1d60-54ed-112b-f4f84f479fa5</id>
<summary type="html"><![CDATA[Interpret new CAIS and CAT updates
Reduce aging errors]]></summary>
<updated>2025-12-08T12:12:55+00:00</updated>
</entry>
<entry>
<title>Why Data Consistency Is the Backbone of CAIS &amp; FINRA CAT Compliance — And How RSMS Simplifies It</title>
<link href="https://news.prfree.org/@almaosborne/why-data-consistency-is-the-backbone-of-cais-finra-cat-compliance-and-how-rsms-simplifies-it-0graj5923g5o"></link>
<id>urn:uuid:166c87b6-e0c4-81c4-8d5d-eb3e2aaca4ea</id>
<summary type="html"><![CDATA[Reduced compliance risk and fewer exceptions
Enhanced audit readiness and transparency
Optimized team productivity]]></summary>
<updated>2025-12-05T11:53:46+00:00</updated>
</entry>
<entry>
<title>RSMS Is Here to Make SEC Rule 605/606 Reporting Effortless for Broker-Dealers</title>
<link href="https://news.prfree.org/@almaosborne/rsms-is-here-to-make-sec-rule-605-606-reporting-effortless-for-broker-dealers-k9v10ee17f4s"></link>
<id>urn:uuid:053ccdcd-f09e-fed5-c0db-083b44eb5107</id>
<summary type="html"><![CDATA[Enhances consistency and eliminates discrepancies across regulatory filings
This means firms can maintain strong compliance oversight in one unified system.]]></summary>
<updated>2025-12-03T10:52:21+00:00</updated>
</entry>
<entry>
<title>Consolidated Audit Trail (CAT) Compliance: A Complete Guide to FINRA CAT Reporting</title>
<link href="https://news.prfree.org/@almaosborne/consolidated-audit-trail-cat-compliance-a-complete-guide-to-finra-cat-reporting-cbnjipk10fv9"></link>
<id>urn:uuid:0a38c0d6-7b01-949c-2ab6-3e97a048dc2c</id>
<summary type="html"><![CDATA[Real-time CAT reporting
Integrated surveillance and reporting dashboards
Enhanced CAIS validations
Automated exception management]]></summary>
<updated>2025-12-02T07:11:16+00:00</updated>
</entry>
<entry>
<title>Reliable, Automated SEC 605/606 Reporting—Powered by RSMS</title>
<link href="https://news.prfree.org/@almaosborne/reliable-automated-sec-605-606-reporting-powered-by-rsms-0nlodsb1j2zp"></link>
<id>urn:uuid:9a0ca0db-380b-9d7a-2a4d-3318cfaf3c8a</id>
<summary type="html"><![CDATA[Preparing a compliant Rule 606 report requires collecting and harmonizing data from multiple internal systems, execution venues, routing partners, and fee/rebate sources. Firms must:]]></summary>
<updated>2025-12-01T09:08:32+00:00</updated>
</entry>
<entry>
<title>Inside the Tech That’s Modernizing FINRA CAT Compliance: RSMS Vault</title>
<link href="https://news.prfree.org/@almaosborne/inside-the-tech-that-s-modernizing-finra-cat-compliance-rsms-vault-s07v917dur4c"></link>
<id>urn:uuid:a4850fcb-9780-f6a5-a2d5-6b389482b328</id>
<summary type="html"><![CDATA[Open incidents
CAIS population mismatches
Lifecycle break trends
Error rates
Late submissions]]></summary>
<updated>2025-11-26T09:04:48+00:00</updated>
</entry>
<entry>
<title>Navigating SEC 17a-4 Compliance: The Essential Guide for Broker-Dealers in 2025</title>
<link href="https://news.prfree.org/@almaosborne/navigating-sec-17a-4-compliance-the-essential-guide-for-broker-dealers-in-2025-sj0wpnba0ye2"></link>
<id>urn:uuid:4f3b1f00-5666-765b-2dca-7343399d1c7c</id>
<summary type="html"><![CDATA[deletions, ignored off-channel communications, and inadequate supervisory controls. Broker-dealers can mitigate these risks by adopting clear policies, leveraging compliant vendors, and instituting continuous]]></summary>
<updated>2025-11-24T11:27:29+00:00</updated>
</entry>
<entry>
<title>SEC Rule 17a-4: The Recordkeeping Standard Every Broker-Dealer Needs to Master</title>
<link href="https://news.prfree.org/@almaosborne/sec-rule-17a-4-the-recordkeeping-standard-every-broker-dealer-needs-to-master-utx5lzs7dc2m"></link>
<id>urn:uuid:3a84a278-3c2e-151b-5387-0ea3cf3833f4</id>
<summary type="html"><![CDATA[Introducing RSMS Vault: Purpose-Built for SEC 17a-4 & CAT Reporting Integrity
RSMS Vault by Capital Market Solutions brings a modern, cloud-native approach to record preservation and]]></summary>
<updated>2025-11-21T12:02:09+00:00</updated>
</entry>
<entry>
<title>Scaling Regulatory Oversight: A Cloud-Based Solution for CAT and FINRA CAT Compliance</title>
<link href="https://news.prfree.org/@almaosborne/scaling-regulatory-oversight-a-cloud-based-solution-for-cat-and-finra-cat-compliance-jg9ohbml0cmg"></link>
<id>urn:uuid:8a7b040a-0238-e781-b25e-3a43a72c4576</id>
<summary type="html"><![CDATA[Most customers go live in just weeks. From there, our experienced support team helps your compliance staff align workflows with supervisory models and WSP requirements.]]></summary>
<updated>2025-11-18T10:10:25+00:00</updated>
</entry>
<entry>
<title>Comparative Review with RSMS: A New Standard in Consolidated Audit Trail (CAT) Compliance</title>
<link href="https://news.prfree.org/@almaosborne/comparative-review-with-rsms-a-new-standard-in-consolidated-audit-trail-cat-compliance-mo0uu7hbdesu"></link>
<id>urn:uuid:75909d2d-b50c-dd97-29b1-8bcb0be89739</id>
<summary type="html"><![CDATA[Compliance teams no longer waste time switching tools or merging inconsistent data. The entire trade lifecycle — source data, CAT events, exceptions, and remediation steps — is visible at a glance.]]></summary>
<updated>2025-11-17T12:04:15+00:00</updated>
</entry>
<entry>
<title>SEC 17a-4 Recordkeeping: What Broker-Dealers Must Know in 2025</title>
<link href="https://news.prfree.org/@almaosborne/sec-17a-4-recordkeeping-what-broker-dealers-must-know-in-2025-2xzlkgcq59a7"></link>
<id>urn:uuid:0d4ad039-3799-0fbb-e0df-e23cca6187f7</id>
<summary type="html"><![CDATA[Consistent metadata
Standard naming conventions
Indexing and categorization]]></summary>
<updated>2025-11-14T11:10:06+00:00</updated>
</entry>
<entry>
<title>Staying Ahead of FINRA’s CAT Compliance Requirements in 2025</title>
<link href="https://news.prfree.org/@almaosborne/staying-ahead-of-finra-s-cat-compliance-requirements-in-2025-wsyhwc2es8uf"></link>
<id>urn:uuid:e7b00bc3-05eb-9463-f901-175748b753c6</id>
<summary type="html"><![CDATA[Error correction is a key focus area for FINRA reviews. Common WSP issues include lack of error tracking or reactive corrections.]]></summary>
<updated>2025-11-13T11:30:03+00:00</updated>
</entry>
<entry>
<title>CAT Compliance 2025: Strengthening Your FINRA CAT WSPs for Regulatory Readiness</title>
<link href="https://news.prfree.org/@almaosborne/cat-compliance-2025-strengthening-your-finra-cat-wsps-for-regulatory-readiness-og4yiumf82og"></link>
<id>urn:uuid:78313626-33b5-c761-f757-e6de994e9237</id>
<summary type="html"><![CDATA[Error Correction Procedures Even with strong systems, errors happen. The key is how your firm detects, documents, and corrects them. A robust WSP should define:]]></summary>
<updated>2025-11-11T12:47:54+00:00</updated>
</entry>
<entry>
<title>Understanding Consolidated Audit Trail (CAT) Compliance: Key Requirements for Broker-Dealers</title>
<link href="https://news.prfree.org/@almaosborne/understanding-consolidated-audit-trail-cat-compliance-key-requirements-for-broker-dealers-7cpo307nk0ib"></link>
<id>urn:uuid:b8380a50-02eb-1728-b92c-86604fd8b9cc</id>
<summary type="html"><![CDATA[When discussing CAT compliance, you’ll also hear references to “Finra CAT.” Essentially, FINRA (via its subsidiary or designated plan-processor) plays a key role in the CAT ecosystem: as a reporting agent]]></summary>
<updated>2025-11-10T11:17:29+00:00</updated>
</entry>
<entry>
<title>Comparative Review with RSMS — The Next Level of Visibility in FINRA CAT Compliance</title>
<link href="https://news.prfree.org/@almaosborne/comparative-review-with-rsms-the-next-level-of-visibility-in-finra-cat-compliance-r8pc22jnmcrp"></link>
<id>urn:uuid:e0f692ce-438d-ed42-2027-efde1a07ec86</id>
<summary type="html"><![CDATA[The challenge? Too many disconnected tools, too many manual reconciliations, and not enough visibility. That’s where RSMS (Regulatory Surveillance and Management System) from Capital Market Solutions]]></summary>
<updated>2025-11-05T07:12:43+00:00</updated>
</entry>
<entry>
<title>Simplifying FINRA CAT Compliance: Making Your WSPs Audit-Ready</title>
<link href="https://news.prfree.org/@almaosborne/simplifying-finra-cat-compliance-making-your-wsps-audit-ready-wcz9xobcl6gh"></link>
<id>urn:uuid:a1d45c77-ca40-d088-a88f-acf61246faff</id>
<summary type="html"><![CDATA[Damage to your firm’s reputation.
Increased costs from fixing issues after the fact.]]></summary>
<updated>2025-11-04T10:05:18+00:00</updated>
</entry>
<entry>
<title>Navigating 2025’s Compliance Challenges: How RSMS Helps Firms Stay Ahead in CAT and CAIS Reporting</title>
<link href="https://news.prfree.org/@almaosborne/navigating-2025-s-compliance-challenges-how-rsms-helps-firms-stay-ahead-in-cat-and-cais-reporting-fgsj0pfaplwd"></link>
<id>urn:uuid:7e5d9a4b-996f-1441-36f9-9b4182a62e76</id>
<summary type="html"><![CDATA[The Compliance Landscape: A Turning Point in 2025
The first half of 2025 has been a defining period for financial firms. Regulators — especially FINRA — have]]></summary>
<updated>2025-10-30T11:52:35+00:00</updated>
</entry>
<entry>
<title>How RSMS Vault Transforms FINRA CAT Compliance for Broker-Dealers</title>
<link href="https://news.prfree.org/@almaosborne/how-rsms-vault-transforms-finra-cat-compliance-for-broker-dealers-xn2brbpx4ofw"></link>
<id>urn:uuid:4459dad4-bd54-fff8-460a-c04e8acaca36</id>
<summary type="html"><![CDATA[Lower error rates through automated oversight
Eliminate spreadsheet-based tracking
Eliminate spreadsheet-based tracking]]></summary>
<updated>2025-10-29T07:34:46+00:00</updated>
</entry>
<entry>
<title>Automating FINRA CAT Reconciliation: How RSMS CAT‐Recon Simplifies Regulatory Compliance</title>
<link href="https://news.prfree.org/@almaosborne/automating-finra-cat-reconciliation-how-rsms-cat-recon-simplifies-regulatory-compliance-hix6pst9pfac"></link>
<id>urn:uuid:7a6fa1d7-dbce-d6fc-87b8-518733ba88d3</id>
<summary type="html"><![CDATA[Automating FINRA CAT Reconciliation: How RSMS CAT‐Recon Simplifies Regulatory Compliance
Automating FINRA CAT Reconciliation: How RSMS CAT‐Recon Simplifies Regulatory Compliance]]></summary>
<updated>2025-10-28T09:34:27+00:00</updated>
</entry>
<entry>
<title>Comparative Review with RSMS — The Next Level of Visibility in FINRA CAT and CAIS Compliance</title>
<link href="https://news.prfree.org/@almaosborne/comparative-review-with-rsms-the-next-level-of-visibility-in-finra-cat-and-cais-compliance-1b1zpju1wst6"></link>
<id>urn:uuid:b16e5e7a-60f3-9177-f929-5d9494bd5054</id>
<summary type="html"><![CDATA[Firms operating in today’s capital markets face growing demands to maintain flawless accuracy and transparency in FINRA CAT and FINRA CAIS reporting. The challenge isn’t just about meeting regulatory]]></summary>
<updated>2025-10-17T09:50:21+00:00</updated>
</entry>
<entry>
<title>Enhancing CAT Audit Readiness with RSMS: A Smarter Way to Manage Regulatory Inquiries</title>
<link href="https://news.prfree.org/@almaosborne/enhancing-cat-audit-readiness-with-rsms-a-smarter-way-to-manage-regulatory-inquiries-f0a51bniw8pd"></link>
<id>urn:uuid:2b1d4db2-f8a4-c7b2-83b9-60dfb2961560</id>
<summary type="html"><![CDATA[Enhance CAT & CAIS compliance with RSMS Vault—streamline audits, ensure data accuracy, and simplify regulatory inquiries for FINRA & SEC oversight.]]></summary>
<updated>2025-10-16T09:50:34+00:00</updated>
</entry>
<entry>
<title>RSMS Vault: Transforming SEC Record Retention into True Compliance Oversight</title>
<link href="https://news.prfree.org/@almaosborne/rsms-vault-transforming-sec-record-retention-into-true-compliance-oversight-4zseobrqnfku"></link>
<id>urn:uuid:5c196c61-e098-4d4c-544f-c0bb32159bb8</id>
<summary type="html"><![CDATA[But as compliance expectations evolve, ticking the WORM storage box is no longer enough. Modern SEC and FINRA oversight, including CAT and CAIS reporting, now demand a higher standard]]></summary>
<updated>2025-10-15T10:30:46+00:00</updated>
</entry>
<entry>
<title>How RSMS Vault Redefines SEC 17a-4 Record Retention and Compliance Oversight</title>
<link href="https://news.prfree.org/@almaosborne/how-rsms-vault-redefines-sec-17a-4-record-retention-and-compliance-oversight-no1lv5z0gbep"></link>
<id>urn:uuid:04252c66-92a9-6764-6278-c89724e18fe0</id>
<summary type="html"><![CDATA[Surveillance and Supervisory Controls
This interconnected approach gives broker-dealers a full compliance lifecycle solution — from data capture to audit reporting]]></summary>
<updated>2025-10-13T07:11:36+00:00</updated>
</entry>
<entry>
<title>Simplifying SEC Compliance in the Cloud Era with RSMS Vault</title>
<link href="https://news.prfree.org/@almaosborne/simplifying-sec-compliance-in-the-cloud-era-with-rsms-vault-bmyswt4fo1bb"></link>
<id>urn:uuid:37187f06-e4f6-2690-9321-c11936e26bb7</id>
<summary type="html"><![CDATA[For broker-dealers, meeting SEC Rule 17a-4 is not merely a compliance checkbox — it’s an ongoing commitment to trust, transparency, and operational integrity.]]></summary>
<updated>2025-10-08T08:53:52+00:00</updated>
</entry>
</feed>