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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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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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08/08/2023
Reference Material
Small Firm Roadmap to May, 31, 2024

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B. Reporting Requirements

Q. Customer and Account Information
08/08/2023
CAT Alert
CAT Alert 2021-04-Phase 2e: Transitioning from LTID Account Phase to Full CAIS Phase

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Q. Customer and Account Information
08/03/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (August 2, 2023)
- Monthly CAIS Industry Testing Checkpoint Call (August 2, 2023) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
08/02/2023
Announcement
4/20/2023 This Announcement Has Been Superseded

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Q. Customer and Account Information
08/02/2023
FAQ
Q58. To facilitate reporting of correct Customer names as required by the CAT NMS Plan, the Full CAIS Technical Specifications require Natural Person first and last names to be reported in two separate fields. Accordingly, if both the firstName and lastName fields for Natural Person Customers are not populated, the Customer Record will be rejected. The Plan Participants understand that some Industry Members have historically maintained the first and last names in a single field within their system and may be unable to parse them into separate fields by the implementation schedule set forth in CAT Alerts 2022-01 and 2023-01. How must Industry Members report Natural Person Customers if the first and last names are not able to be parsed within the Industry Member’s system by the time the Customer Record is required to be reported to CAIS ?

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Q. Customer and Account Information
08/02/2023
Announcement
Update on CAIS Compliance Deadlines

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Q. Customer and Account Information
08/02/2023
FAQ
Q42. A broker-dealer systematized a Customer’s account information on a specific date, but the new account form was dated with a date prior to the systematized date. Is it permitted for the broker-dealer to report the later systematized date as the fdidDate on the related FDID Record?

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Q. Customer and Account Information
08/02/2023
FAQ
Q59. What FDIDs are in scope for Full CAIS reporting?

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Q. Customer and Account Information
08/02/2023
FAQ
Q40. The CAT NMS Plan specifies that “Active Account” information needs to be populated in CAIS with the implementation of Phase 2e (Full CAIS). What is an “Active Account”?

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Q. Customer and Account Information
08/02/2023
FAQ
Q8. May Industry Members provide Customer Account Information on all of their accounts, not just Active Accounts or those Active Accounts in scope for a given phase of reporting?

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Q. Customer and Account Information

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