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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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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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10/29/2020
FAQ
Q13. How should an Industry Member populate the ltidEffectiveDate if it did not record the date on which the LTID or ULTID became associated to the FDID within its systems?

Topics

Q. Customer and Account Information
10/28/2020
Event
Biweekly CAIS/LTID Industry Testing Checkpoint Call (10/28/2020)
- Biweekly CAIS/LTID Industry Testing Checkpoint Call (10/28/2020)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
10/26/2020
FAQ
Q4. Are Industry Members required to report a Legal Entity Identifier (LEI) for their Customers to the CAT?

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Q. Customer and Account Information
10/26/2020
FAQ
Q38. Why is there a question on the CAT CAIS Registration Form asking for a Legal Entity Identifier (LEI)?

Topics

Q. Customer and Account Information
10/15/2020
Event
Monthly CAT Implementation Update (10/15/20)
- Monthly CAT Implementation Update (10/15/20)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
10/14/2020
Event
Biweekly CAIS/LTID Industry Testing Checkpoint Call (10/14/2020)
- Biweekly CAIS/LTID Industry Testing Checkpoint Call (10/14/2020)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/30/2020
Event
Biweekly CAIS/LTID Industry Testing Checkpoint Call (9/30/2020)
- Biweekly CAIS/LTID Industry Testing Checkpoint Call (9/30/2020)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/22/2020
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.1.2

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Q. Customer and Account Information
09/22/2020
FAQ
Q35. Where can Industry Members find information regarding production readiness testing requirements for CAT CAIS?

Topics

Q. Customer and Account Information
09/22/2020
FAQ
Q34. Where can I find a list of the LTIDs?

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Q. Customer and Account Information

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