Loading Events

« All Events

  • This event has passed.

Consolidated Audit Trail (CAT) Industry Call for FINRA Small Firm Members

September 27, 2017 @ 4:00 pm - 5:00 pm

FINRA is hosting a call and WebEx presentation related to the Consolidated Audit Trail on Wednesday, September 27, 2017, at 4:15 p.m. The purpose of the call is to help FINRA members that have never reported to OATS understand their CAT reporting obligations under SEC Rule 613. Topics include:

  • CAT Reporting Obligations
  • Important Dates
  • Technical Specifications Feedback
  • Question and Answer Session

Firms may register for the WebEx presentation at FINRA’s WebEx Site and will be given the dial-in number upon registration.

Details

Date:
September 27, 2017
Time:
4:00 pm - 5:00 pm
Event Category:
Event Tags:
Website:
www.finra.org

Organizer

FINRA
View Organizer Website
Copyright© 2024 The LeGaye Law Firm P.C.