- within Intellectual Property, International Law, Food, Drugs, Healthcare and Life Sciences topic(s)
FINRA provided a Consolidated Audit Trail ("CAT") Onboarding Guide to members. The Guide provides information for first-time users to access CAT Test and Production Environments.
The FINRA Guide includes resources on the Industry Member CAT CAIS Reporter Portal ("Portal"), a tool that allows CAT Reporters to monitor and manage data submissions to the CAT Customer and Account Information System ("CAIS"). The Portal is designed to (i) provide complete and accurate data to CAIS, and (ii) provide access to reporting statistics, including information on an Industry Member's submission and error rates.
FINRA stated that the full CAIS Production will open on April 25, 2022, and will continue between that date and July 11, 2022.
Primary Sources
- FINRA CAT Industry Member Onboarding Guide
- Industry Member CAT CAIS Reporter Portal User Guide
- CAT NMS Plan FAQ K24: When Should Industry Members Report the "FB" Handling Instruction on an Order Route Event?
- CAT NMS Plan FAQ Q27: When Will CAIS Open for Production, and What Happens after That Date?
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
