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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

Sep

18

Monthly CAT Update (September 18, 2025)

04:15PM EDT

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Displaying 301 - 308 of 308 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

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 (November 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
Event
Monthly CAT Update (October 16, 2025)

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information

V. CAT Billing
Timeline Activity
LTID Technical Specification Published

Topics

Q. Customer and Account Information

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