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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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Displaying 201 - 210 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

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Order

08/19/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (August 19, 2021)
- Monthly CAT Implementation Update (August 19, 2021)-Presentation
- FINRA (SRO) Status Update on OATS Retirement (August 19, 2021)-Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/17/2021
Event
CAT CAIS Technical Specification Working Group Q&A - August 17, 2021
- CAT CAIS Technical Specification Working Group Q&A (8/17/2021)-Presentation
Audio file

Topics

Q. Customer and Account Information
08/04/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (August 4, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (8/4/21)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
07/28/2021
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.2.1 (Redlined)

Topics

Q. Customer and Account Information
07/27/2021
Event
CAT CAIS Technical Specification Working Group Q&A - July 27, 2021
- CAT CAIS Technical Specification Working Group Q&A (7/27/2021)-Presentation
Audio file

Topics

Q. Customer and Account Information
07/16/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (July 15, 2021)
- Monthly CAT Implementation Update (7/15/21)- Presentation
- OATS Retirement Status Update (7/15/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
07/13/2021
FAQ
Q49. Following the closure of an account and the associated FDID being ended in CAIS, is an Industry Member required to re-activate the FDID in CAIS for non-CAT reportable entries, such as delayed dividend payments?

Topics

Q. Customer and Account Information
07/07/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (July 7, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (7/7/21)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
06/29/2021
Event
CAT CAIS Technical Specification Working Group Q&A - June 29, 2021
- CAT CAIS Technical Specification Working Group Q&A (6/29/21)- Q&A
Audio file

Topics

B. Reporting Requirements

Q. Customer and Account Information
06/18/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (June 17, 2021)
- Monthly CAT Implementation Update- Presentation
- FINRA (SRO) Status Update on OATS Retirement- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

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