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Consolidated Audit Trail (CAT) Reporting

Consolidated Audit Trail (CAT) Reporting

Consolidated Audit Trail (CAT) Reporting

n-Tier’s web-based user interface provides full visibility and searchability of CAT data and feedback


Get extensive exception management capabilities with single, bulk, and multi-day correction across one field or multiple fields. Build further with numerous rules, validation logic, and controls designed to detect reporting issues not covered by FINRA CAT feedback or captured in the Compliance Error Rate.

n-Tier’s web-based user interface provides full visibility and searchability of CAT data and feedback


Get extensive exception management capabilities with single, bulk, and multi-day correction across one field or multiple fields. Build further with numerous rules, validation logic, and controls designed to detect reporting issues not covered by FINRA CAT feedback or captured in the Compliance Error Rate.

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Named Best Reporting Solution for CAT, 2021 & 2022

Where the Rubber Meets the Road

Taking an Automated Approach to the Next Chapter of CAT

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CAT Implementation

As Dust Settles from CAT Implementation, Regulators Turn Up Heat on Data Quality – and Broker-Dealers Must Adapt

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n-Tier’s CAT Reporting offering includes:

Report Generation

Report generation and submission within the critical path or as a secondary submitter

Aggregate Sources

Consolidation of reports from both external vendors and internal reporting systems

CAT Event Flexibility

Support for all CAT events across both equities and options with base-line validations for events

Extensive Validation

Back to source validation capabilities along with cross event and cross reporting obligation

Fast Reconciliation

Bulk modification capabilities which can easily and quickly correct errors at scale

Flexible Reporting

Systematic and ad-hoc report generation and creation

CAT resubmissions

Easily identify and correct reporting errors.

On-site or Cloud

Run on-site or as a fully hosted cloud-based solution

Meet your challenges with the leading CAT reporting platform in the industry.

Refine your reporting workflow through flexible customization as well as supervisory tools, reporting, and auditing features.

  • Securely produce automated workflows for report validation, generation, and distribution.
  • Enhance data quality with features that identify and reconcile data issues.
  • Ensure data governance with layered access security for data management and review.
  • Streamline the capture and storage of large volumes of data.
  • Gain cost-effective integration supporting the collection, storage, and processing of large data.
  • Simplify integration through on-site or cloud solutions tailored to your requirements.

Contact our specialists to discuss applying deep industry expertise and innovative software solutions to your unique challenges.

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Experience Our Solutions

Find out how to leverage a configurable solution for monitoring and managing data completeness and accuracy, across critical business processes.

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Experience Our Solutions

Experience Our Solutions

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