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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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Order

02/23/2023
Event
CAIS Industry Testing Checkpoint Call (February 22, 2023)
- CAIS Industry Testing Checkpoint Call (February 22, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
02/08/2023
Event
CAIS Industry Testing Checkpoint Call (February 8, 2023)
- CAIS Industry Testing Checkpoint Call (February 8, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
02/02/2023
Event
CAIS Industry Testing Checkpoint Call (February 1, 2023)
- CAIS Industry Testing Checkpoint Call (February 1, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
02/01/2023
FAQ
Q71. How must Industry Members report an FDID Record to CAIS when a Natural Person and two trusts are all CAT Customers associated with the same FDID and the Tax Identifier of the two trusts is the same as the Natural Person’s Social Security Number (SSN)?

Topics

Q. Customer and Account Information
01/25/2023
Event
CAIS Industry Testing Checkpoint Call (January 25, 2023)
- CAIS Industry Testing Checkpoint Call (January 25, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
01/19/2023
Event
Monthly CAT Update (January 19, 2023)
- Monthly CAT Update (January 19, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/19/2023
Event
CAIS Industry Testing Checkpoint Call (January 18, 2023)
- CAIS Industry Testing Checkpoint Call (January 18, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
01/12/2023
Event
CAIS Industry Testing Checkpoint Call (January 11, 2023)
- CAIS Industry Testing Checkpoint Call (January 11, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
01/10/2023
Event
CAIS Industry Testing Checkpoint Call (February 15, 2023)
- CAIS Industry Testing Checkpoint Call (February 15, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
01/04/2023
Event
CAIS Industry Testing Checkpoint Call (January 4, 2023)
- CAIS Industry Testing Checkpoint Call (January 4, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information

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