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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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Displaying 181 - 190 of 295 results

Filter by Content Type

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

01/13/2022
Event
Small Firms CAIS Report Cards Webinar (January 13, 2022)
- Small Firms CAIS Report Cards Webinar (January 13, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/06/2022
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (January 5, 2022)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (January 5, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
12/16/2021
Event
Monthly CAT Implementation Update (December 15, 2021)
- Monthly CAT Implementation Update (December 15, 2021)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
12/14/2021
Event
CAT CAIS Technical Specification Working Group Q&A - December 14, 2021
Audio file

Topics

Q. Customer and Account Information
12/01/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (December 1, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (12/1/21)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
11/19/2021
Event
Monthly CAT Implementation Update (November 18, 2021)
- Monthly CAT Implementation Update (November 18, 2021)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
11/17/2021
Event
CAT CAIS Technical Specification Working Group Q&A - November 16, 2021
- CAT CAIS Technical Specifications Working Group Q&A (November 16, 2021)- Q&A
- CAT CAIS Technical Specifications Working Group Q&A (November 16, 2021)- Presentation
Audio file

Topics

Q. Customer and Account Information
11/03/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (November 3, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (11/3/21)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
11/02/2021
Event
CAT CAIS Technical Specification Working Group Q&A - November 2, 2021
- CAT CAIS Technical Specification Working Group Q&A (November 2, 2021) - Presentation
Audio file

Topics

Q. Customer and Account Information
10/21/2021
Event
Monthly CAT Implementation Update (October 21, 2021)
- Monthly CAT Implementation Update (October 21, 2021) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

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