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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 261 - 270 of 295 results

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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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Order

08/27/2020
FAQ
Q24. Do Reporting Agents need to certify separately from the BDs they are supporting?

Topics

Q. Customer and Account Information
08/27/2020
FAQ
Q29. Do proprietary trading firms that do not handle customer orders have an obligation to report to CAT CAIS?

Topics

Q. Customer and Account Information
08/27/2020
FAQ
Q23. Do introducing and non-self-clearing executing brokers have CAIS LTID reporting obligations?

Topics

Q. Customer and Account Information
08/27/2020
FAQ
Q22. If an account does not have an account holder or authorized trader with an LTID or ULTID, but has other individuals or entities with an LTID or ULTID that may have some other relationship to the account, must that account be reported in the LTID Phase of CAIS?

Topics

Q. Customer and Account Information
08/26/2020
Event
Weekly CAIS/LTID Industry Testing Checkpoint Call (8/26/2020)
- Weekly CAIS/LTID Industry Testing Checkpoint Call (8/26/2020)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
08/12/2020
Event
LTID Submission Webinar (8/12/2020)
- LTID Submission Webinar (8/12/2020)- Presentation
Audio file

Topics

M. Firm Designated ID

Q. Customer and Account Information

T. Production Readiness Testing
07/10/2020
Event
CAT Customer and Account Reporting Requirements and CAIS Technical Specification Overview
- CAT Customer and Account Reporting Requirements and CAIS Technical Specification Overview (July 2020)- Presentation
Audio file

Topics

Q. Customer and Account Information
05/19/2020
FAQ
Q9. What is an Unidentified Large Trader ID (ULTID) and are all Industry Members required to report ULTIDs to CAT CAIS?

Topics

Q. Customer and Account Information
05/19/2020
FAQ
Q14. If an Industry Member erroneously ends an LTID to FDID association and needs to reestablish it, what should the ltidEffectiveDate be?

Topics

Q. Customer and Account Information
05/19/2020
FAQ
Q17. Are Industry Members required to report LTIDs for dormant or inactive accounts? For example, an Industry Member has a customer that qualifies as a Large Trader but that customer has not had any account activity for several months.

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Q. Customer and Account Information

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