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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

May

01

CAIS Industry Testing Checkpoint Call (May 1, 2024)

04:15PM EDT

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Displaying 261 - 270 of 275 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

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Order

03/19/2020
Governance
Approval Order of Exemptive Request Letter related to Customer and Account Information

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Q. Customer and Account Information
03/19/2020
Announcement
Approval Order of Exemptive Request Letter related to Customer and Account Information

Topics

Q. Customer and Account Information
12/18/2019
Event
Industry Webinar – Initial CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID (12/18/2019)
- CAT Customer and Account Information System (CAIS) Specification for Firm Designated ID (FDID) and Large Trader ID (LTID)
Audio file

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B. Reporting Requirements

M. Firm Designated ID

Q. Customer and Account Information
03/21/2018
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
03/21/2018
FAQ
Q2. Are CAT Reporters required to report Customer-IDs to the CAT?

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Q. Customer and Account Information
03/21/2018
FAQ
Q1. What customer information must Industry Members report to the CAT?

Topics

Q. Customer and Account Information
Timeline Activity
Full CAIS Final Technical Specification Published

Topics

Q. Customer and Account Information
Timeline Activity
LTID Account Information Reporting Production Environment Opens

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Q. Customer and Account Information
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)

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Q. Customer and Account Information

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