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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

May

15

Monthly CAT Update (May 15, 2025)

04:15PM EDT

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Displaying 161 - 170 of 299 results

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Filter by Topic

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

Sort by

Order

05/17/2022
FAQ
Q62. Since clearing firms rely on their correspondent firms to provide Customer information required for CAIS reporting, can a clearing firm, reporting its version of a Customer on an FDID record, replicate the attribute value for certain required data elements as provided by its correspondent firm?

Topics

Q. Customer and Account Information
05/17/2022
FAQ
Q61. Must the Industry Member be identified as a CAT Customer on the related FDID Record in CAIS when there are standing instructions on the Customer’s account, when the Industry Member originates an order in a Customer’s account to satisfy a legal requirement or SEC/SRO rule or when the Industry Member liquidates fractional shares held in a Customer’s account to facilitate operational processes?

Topics

Q. Customer and Account Information
05/17/2022
Event
Monthly CAT Update (May 17, 2022)
- Monthly CAT Update (May 17, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
05/05/2022
Event
CAIS Industry Testing Checkpoint Call (May 4, 2022)
- CAIS Industry Testing Checkpoint Call (May 4, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
05/03/2022
FAQ
Q60. If an Industry Member has received a “Not Held” order, which only gives the Industry Member discretion as to the price and time of execution of the order, must the Industry Member be identified as a CAT Customer on the related FDID Record in CAIS?

Topics

Q. Customer and Account Information
04/21/2022
Timeline Activity
Deadline to Request Production Readiness Certification for Full CAIS

Topics

Q. Customer and Account Information
04/21/2022
Event
CAIS Industry Testing Checkpoint Call (April 21, 2022)
- CAIS Industry Testing Checkpoint Call (April 21, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
04/21/2022
Event
Monthly CAT Update (April 20, 2022)
- Monthly CAT Update (April 20, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
04/12/2022
Event
CAT CAIS Technical Specification Working Group - April 12, 2022
Audio file

Topics

Q. Customer and Account Information
04/08/2022
Event
CAIS Industry Testing Checkpoint Call (April 7, 2022)
- CAIS Industry Testing Checkpoint Call (April 7, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information

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