- FAQ| Q. Customer and Account Information
- FAQ| Q. Customer and Account InformationQ41. FAQ Q40 states that all accounts with any CAT-reportable activity on or after January 11, 2022 must be reported to CAIS on or by July 11, 2022. Are updates or changes to customer and account information that occur between January 11, 2022 and July 10, 2022 required to be captured and reported to CAIS on July 11, 2022?
On July 11, 2012, the U.S. Securities and Exchange Commission (SEC) voted to adopt Rule 613 under Regulation NMS requiring the national securities exchanges and national securities associations listed here (collectively, the SROs) to submit an NMS plan (Plan) to the SEC to create, implement, and maintain a consolidated audit trail (CAT).