FINRA Provides Members An Onboarding Guide For CAT

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.