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UPCOMING EVENT
Dec
19
Monthly CAT Update (December 19, 2024)
04:15PM EST
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08/09/2022
FAQ
C5.
When should the value ‘O’ (Market Making) be used for accountHolderType?
Topics
C. Definitions
08/09/2022
FAQ
U16.
Are accounts maintained by a clearing firm that are owned or controlled by another broker-dealer considered “customer” accounts for purposes of reporting Allocation Reports to CAT?
Topics
U. Allocations
08/09/2022
FAQ
Q50.
Is a Global Intermediary Identification Number (“GIIN”) an accepted identifier to generate a foreignTIDType for a foreign legal entity?
Topics
Q. Customer and Account Information
08/09/2022
Event
CAT Technical Specification Working Group - August 9, 2022
CAT Technical Specification Working Group (August 9, 2022) - Presentation
Audio file
Topics
A. General
B. Reporting Requirements
08/09/2022
FAQ
Q64.
When a clearing firm is optionally reporting allocations to an account that is owned or controlled by an introducing broker/correspondent, what value should the clearing firm populate in the accountType field for the related FDID Record?
Topics
Q. Customer and Account Information
08/04/2022
Event
CAIS Industry Testing Checkpoint Call (August 3, 2022)
CAIS Industry Testing Checkpoint Call (August 3, 2022) - Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
08/03/2022
Event
Part 2: Full CAIS Error Repairs, Corrections and Material Inconsistencies (August 3, 2022)
Part 2: Full CAIS Error Repairs, Corrections and Material Inconsistencies (August 3, 2022) - Presentation
Audio file
Topics
Q. Customer and Account Information
08/02/2022
Event
Part 1: Full CAIS Error Repairs, Corrections and Material Inconsistencies (August 2, 2022)
Part 1: Full CAIS Error Repairs, Corrections and Material Inconsistencies (August 2, 2022) - Presentation
Audio file
Topics
Q. Customer and Account Information
08/02/2022
Reference Material
CAT LLC- Q3 2022 Financial and Operating Budget
08/01/2022
Announcement
2022 Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)
Topics
A. General
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