FINRA CAT

Business services, namely, maintaining a consolidated database of securities transactions; business management services relating to computer technologies, business automation, and customer support services; interactive record-keeping services for use in regulatory compliance by governmental and non-governmental professionals in the field of financial securities

Providing an online computer database with information regarding securities transactions; financial services, namely, storing, documenting and providing data relating to securities transactions; providing financial information relating to regulatory compliance in the financial securities industry

Educational services, namely, providing educational materials in the nature of non-downloadable brochures and information sheets in the fields of regulatory reporting of financial transactions, information security, and definition of financial securities data; planning and conducting educational events in the fields of reporting of financial transactions, information security, and definition of financial securities data, and distribution of educational materials in the nature of printed and downloadable brochures and information sheets in the fields of regulatory reporting of financial transactions, information security, and definition of financial securities data in connection therewith

Providing online non-downloadable software, namely, an online database pertaining to securities transactions, securities customer and account; providing online non-downloadable software, namely, an online repository for tracking, maintaining, processing and storing data; electronic data storage; providing online non-downloadable software, namely, providing software for monitoring, tracking, logging, analyzing, auditing and reporting in the fields of regulatory compliance and financial securities; Providing online non-downloadable software for archiving and retrieving data

Providing information relating to regulatory compliance in the financial securities industry