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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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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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05/04/2021
Event
CAT CAIS Technical Specification Working Group Q&A - 5/4/21
- CAT CAIS Technical Specification Working Group Q&A - 5/4/21
- Reporting and Repair Deadlines and Examples - 5/4/21
Audio file

Topics

B. Reporting Requirements

Q. Customer and Account Information
04/20/2021
FAQ
Q43. The CAT Reporting Technical Specifications for Industry Members allows for a firmDesignatedID value of ‘PENDING’ if an FDID has not yet been created when an order has been received. Should Industry Members report a firmDesignatedID value of ‘PENDING’ to CAT CAIS?

Topics

Q. Customer and Account Information
04/16/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (4/15/21)
- Monthly CAT Implementation Update (4/15/21)- Presentation
- OATS Retirement Status Update (4/15/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
04/15/2021
FAQ
Q20. When is an LTID considered to be reportable into CAIS?

Topics

Q. Customer and Account Information
04/07/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (April 7, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (4/7/21)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
04/05/2021
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.2

Topics

Q. Customer and Account Information
03/18/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (3/18/21)
- Monthly CAT Implementation Update (3/18/21)- Presentation
- OATS Retirement Status Update (3/18/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

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

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
03/02/2021
Event
CAT CAIS Technical Specification Working Group Q&A - 3/2/21
- CAT CAIS Technical Specification Working Group Q&A - 3/2/21
Audio file

Topics

B. Reporting Requirements

Q. Customer and Account Information
02/18/2021
Event
Monthly CAT Implementation Update (2/18/21)
- Monthly CAT Implementation Update (2/18/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

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