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Q. Customer and Account Information

This topic includes information related to the requirements for reporting customer and account data to the CAT.

UPCOMING EVENT

Apr

05

Monthly CAIS Industry Testing Checkpoint Call (April 5, 2023...

04:15PM EDT

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All Topics

A. General

B. Reporting Requirements

C. Definitions

D. Order Receipt

E. Order Routing and Execution

F. Representative Orders

G. Manual Orders

H. ATS

I. Foreign Securities

J. OTC Equity Securities

K. Options

L. Equity Floor Brokers

M. Firm Designated ID

N. Third Party Reporting

O. Technical Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

R. Clock Synchronization

S. Security

T. Production Readiness Testing

U. Allocations

Sort by

Order

03/24/2023
Event
Monthly CAT Update (March 23, 2023)
- Monthly CAT Update (March 23, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
03/21/2023
FAQ
Q16. Can an Industry Member submit the same CAIS record every business day? Or should the Industry Member submit only a delta record? For example, if a record is submitted on T and nothing changes, can the same record be submitted on T+1, T+2, etc.? Or should the Industry Member only resubmit the record if a required data element changes?

Topics

Q. Customer and Account Information
03/02/2023
Event
CAIS Industry Testing Checkpoint Call (March 1, 2023)
- CAIS Industry Testing Checkpoint Call (March 1, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
03/02/2023
Event
Monthly CAT Update (April 20, 2023)

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
03/02/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (April 5, 2023)

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
02/24/2023
Event
Monthly CAT Update (February 23, 2023)
- Monthly CAT Update (February 23, 2023) - Presentation
- Processing Changes to the Transaction Report Card - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
02/23/2023
Event
CAIS Industry Testing Checkpoint Call (February 22, 2023)
- CAIS Industry Testing Checkpoint Call (February 22, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
02/14/2023
CAT Alert
CAT Alert 2022-01: Full CAIS Reporting Timeline and Interim Reporting Obligations

Topics

Q. Customer and Account Information
02/08/2023
Event
CAIS Industry Testing Checkpoint Call (February 8, 2023)
- CAIS Industry Testing Checkpoint Call (February 8, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
02/02/2023
Event
CAIS Industry Testing Checkpoint Call (February 1, 2023)
- CAIS Industry Testing Checkpoint Call (February 1, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information

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