Successful FINRA CAT and CAIS Reporting - Part 2

Oyster Stew - A Broth of Financial Services Commentary and Insights

English - November 02, 2023 13:00 - 24 minutes - 16.6 MB - ★★★★★ - 7 ratings
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Previous Episode: Finding Success with FINRA CAT / CAIS Reporting - Part 1

Next Episode: SEC Exam Priorities - Broker-Dealer Trade Practices

Join us for Part 2 of our discussion with Mark Hendrickson from D.A. Davidson Companies about where CAT and CAIS reporting stands today, the pain points firms are facing and what they should be doing to manage the current and upcoming reporting requirements.

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