Topics | CATNMSPLAN

Content type

Topics

Year

Q. Customer and Account Information

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

UPCOMING EVENT

Dec

19

Monthly CAT Update (December 19, 2024)

04:15PM EST

Add To My Calendar

Displaying 1 - 10 of 295 results

11/21/2024
Technical Specifications
Full CAIS Industry Member Release Rollout

Topics

Q. Customer and Account Information
11/21/2024
Event
Monthly CAT Update (November 21, 2024)
- Monthly CAT Update (November 21, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
11/12/2024
Event
Monthly CAT Update (January 16, 2025)

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information

V. CAT Billing
11/05/2024
FAQ
Q19. When will the FDID Refresh Reports be delivered in the Production Environment and by what date must Industry Members comply with the Periodic Customer & Account Information Refresh requirement?

Topics

Q. Customer and Account Information
10/18/2024
Event
Monthly CAT Update (October 17, 2024)
- Monthly CAT Update (October 17, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/20/2024
Event
Monthly CAT Update (September 19, 2024)
- Monthly CAT Update (September 19, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/04/2024
Event
Monthly CAT Update (December 19, 2024)

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/27/2024
Event
CAT CAIS Technical Specifications Working Group - August 27, 2024
- CAT CAIS Technical Specifications Working Group (August 27, 2024)- Presentation
Audio file

Topics

Q. Customer and Account Information
08/16/2024
Event
Monthly CAT Update (August 15, 2024)
- Monthly CAT Update (August 15, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
07/18/2024
Event
Monthly CAT Update (July 18, 2024)
- Monthly CAT Update (July 18, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

1
2
3
4
5
6
7
8
9
…
Next ›
Last »

Need Help?

Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].

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
V. CAT Billing
W. Fee Dispute Resolution
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
V. CAT Billing
W. Fee Dispute Resolution
All Topics