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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.

UPCOMING EVENT

Jan

16

Monthly CAT Update (January 16, 2025)

04:15PM EST

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Displaying 281 - 290 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

Sort by

Order

01/30/2015
FAQ
Q5. What is the definition of customer under the CAT NMS Plan? Who is the customer for purposes of the CAT: the end customer, the introducing broker or the clearing broker?

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Q. Customer and Account Information
Event
Monthly CAT Update (April 17, 2025)

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information

V. CAT Billing
Timeline Activity
Full CAIS Final Technical Specification Published

Topics

Q. Customer and Account Information
Event
Monthly CAT Update (March 20, 2025)

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information

V. CAT Billing
Timeline Activity
LTID Account Information Reporting Production Environment Opens

Topics

Q. Customer and Account Information
Timeline Activity
Customer and Account Information - Compliance Go-Live

Topics

Q. Customer and Account Information
Event
Monthly CAT Update (February 20, 2025)

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information

V. CAT Billing
Timeline Activity
LTID Account Information Testing Environment Opens

Topics

Q. Customer and Account Information
Timeline Activity
LTID Account Information Reporting Go-Live for Phases 2a, 2b, 2c and 2d (Small Industry Members)

Topics

Q. Customer and Account Information
Timeline Activity
Customer and Account Information - Test Environment Opens

Topics

Q. Customer and Account Information

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