Finding Success with FINRA CAT / CAIS Reporting - Part 1

Oyster Stew - A Broth of Financial Services Commentary and Insights

English - October 19, 2023 12:00 - 31 minutes - 21.8 MB - ★★★★★ - 7 ratings
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Previous Episode: Broker-Dealer Growth - Is Affiliation the Right Option?

Next Episode: Successful FINRA CAT and CAIS Reporting - Part 2

FINRA’s Consolidated Audit Trail, or CAT, continues to evolve from account-centric trade reporting requirements to now including customer-centric CAIS reporting.

Today's podcast guest is Mark Hendrickson, Head of Trading and Streetside Operations at DA Davidson Companies. Mark is also an Industry Advisory Committee Member representing clearing firms on the US Advisory Operating Committee of the Consolidated Audit Trail. Join us as Oyster CEO Buddy Doyle and Consultants Jeffrey Gearhart and Ralph Magee chat with Mark about

· the current state of CAT/CAIS reporting,

· industry concerns,

· what we see coming in 2024 and beyond, and

· how DA Davidson has been proactive and successful in preparing for and executing its CAT requirements.

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