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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.

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Monthly CAT Update (January 16, 2025)

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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

V. CAT Billing

W. Fee Dispute Resolution

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07/18/2024
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.2 (Clean)

Topics

Q. Customer and Account Information
07/11/2024
Event
Industry Member CAIS Report Card Webinar (July 10, 2024)
- Industry Member CAIS Report Card Webinar (July 10, 2024) - Presentation
Audio file

Topics

M. Firm Designated ID

Q. Customer and Account Information
07/11/2024
Event
CAIS Industry Testing Checkpoint Call (July 10, 2024)
- CAIS Industry Testing Checkpoint Call - Presentation
Audio file

Topics

M. Firm Designated ID

Q. Customer and Account Information
06/20/2024
Event
Monthly CAT Update (June 20, 2024)
- Monthly CAT Update (June 20, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
06/05/2024
Event
CAIS Industry Testing Checkpoint Call (June 5, 2024)
- CAIS Industry Testing Checkpoint Call (June 5, 2024) - Presentation
Audio file

Topics

M. Firm Designated ID

P. Feedback and Error Correction

Q. Customer and Account Information
05/29/2024
Event
CAIS Industry Testing Checkpoint Call (May 29, 2024)
- CAIS Industry Testing Checkpoint Call (May 29, 2024) - Presentation
Audio file

Topics

M. Firm Designated ID

Q. Customer and Account Information
05/22/2024
Event
CAIS Industry Testing Checkpoint Call (May 22, 2024)
- CAIS Industry Testing Checkpoint Call (May 22, 2024) - Presentation
Audio file

Topics

M. Firm Designated ID

Q. Customer and Account Information
05/17/2024
Event
Monthly CAT Update (May 16, 2024)
- Monthly CAT Update (May 16, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
05/16/2024
Event
CAIS Industry Testing Checkpoint Call (May 15, 2024)
- CAIS Industry Testing Checkpoint Call (May 15, 2024) - Presentation
Audio file

Topics

M. Firm Designated ID

Q. Customer and Account Information
05/08/2024
Event
CAIS Industry Testing Checkpoint Call (May 8, 2024)
- CAIS Industry Testing Checkpoint Call (May 8, 2024) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information

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