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April 2020

CAT Deadline

April 20

Phase 2a is a multi-phase Equity reporting timeline for firms that are current OATS reporters.  The initial test environment for file submission will open in December 2019 with the production “go-live” scheduled for April 2020.  There are a series of ongoing later dates where firms will need to confirm their intra-firm and inter-firm linkage capabilities, as well as correct data and linkage error notices sent to them by FINRA. Production Environment Go-Live for file submission and data integrity validations Test…

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May 2020

CAT Options Deadline

May 18
stock market chart

CAT 2b Options Deadline Phase 2b is the multi-phase Options reporting module for Large Industry Members (greater than $500k capitalization).  Similar to the Equity phase, the test environment for file submission will open in December 2019, but the production “go-live” for file submission will be on May 18, 2020.

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June 2020

Reg BI Implementation Deadline!

June 30

June 30, 2020 is is implementation deadline for Reg BI Getting help with the process of conflict identification, mitigation and disclosure, as well as updating policies and procedures will provide your firm with an objective view of conflicts and allows your team to continue meeting its regular compliance obligations with limited disruption. Our team of former General Counsels, Chief Compliance Officers, SEC, FINRA and State Regulators team up with our business consultants to create exceptional compliance programs.  ​ Oyster Consulting has the knowledge and experience…

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