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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 231 - 240 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

02/17/2021
Event
CAIS Onboarding & LTID Submission for Small Firms (2/17/21)
- CAIS Onboarding & LTID Submission for Small Firms (2/17/2021)- Presentation
Audio file

Topics

M. Firm Designated ID

Q. Customer and Account Information

T. Production Readiness Testing
02/09/2021
Event
CAT Customer and Account Reporting Requirements and CAIS Technical Specification Overview (2/9/21)
- CAT Customer and Account Reporting Requirements and CAIS Technical Specification Overview(February 2021)- Presentation
Audio file

Topics

M. Firm Designated ID

Q. Customer and Account Information

T. Production Readiness Testing
02/03/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (02/03/2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (2/3/2020)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
01/21/2021
Event
Monthly CAT Implementation Update (1/21/21)
- Monthly CAT Implementation Update (1/21/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/11/2021
Timeline Activity
Deadline to Request Production Readiness Certification for CAIS (account information related to LTIDs)

Topics

Q. Customer and Account Information
01/06/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (01/06/2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (01/06/2020)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
12/17/2020
Event
Monthly CAT Implementation Update (12/17/20)
- Monthly CAT Implementation Update (12/17/20)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
12/09/2020
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (12/09/2020)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (12/9/2020)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
11/19/2020
Event
Monthly CAT Implementation Update (11/19/20)
- Monthly CAT Implementation Update (11/19/20)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
11/18/2020
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (11/18/2020)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (11/18/2020)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information

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