Topics | CATNMSPLAN

05/05/2026

FAQ

X18. How must Industry Members report an FDID Record to the Reference Database when a disregarded entity and its parent company have the same Employer Identification Number (EIN) and are both CAT Customers associated to the same FDID? Does the reporting requirement change if the disregarded entity has a different EIN from its parent company?

Topics

X. Reference Database

05/05/2026

FAQ

X17. How must a CAT Customer’s tidValue (“TID value”) be generated when the CAT Customer does not have a US-assigned Input Identifier but has more than one foreign Input Identifier of a specific type– such as multiple Tax Identifiers or multiple Legal Entity Identifiers (LEI)?

Topics

X. Reference Database

05/05/2026

FAQ

X16. How must an FDID Record be reported to the Reference Database when the account holder is a foreign trust or foreign estate where an allowable Input Identifier value does not exist because the foreign country or foreign municipality does not require or issue any kind of identifier for the foreign trust or foreign estate, and no such other allowable Input Identifier exists? For example, the foreign trust or foreign estate has no associated Legal Entity Identifier (LEI), and is also not assigned any National Registration or Tax Identifier, or any other governmental-issued identifier by a non-national level government body or agency, such as a corporate registry.

Topics

X. Reference Database

05/05/2026

FAQ

X15. Is a Global Intermediary Identification Number (“GIIN”) an accepted identifier to generate a foreignTIDType for a foreign legal entity?

Topics

X. Reference Database

05/05/2026

FAQ

X13. Must the Industry Member be identified as a CAT Customer on the related FDID Record in the Reference Database when there are standing instructions on the CAT Customer’s account, when the Industry Member originates an order in a CAT Customer’s account to satisfy a legal requirement or SEC/SRO rule or when the Industry Member liquidates fractional shares held in a CAT Customer’s account to facilitate operational processes?

Topics

X. Reference Database

05/05/2026

FAQ

X14. How should Industry Members populate the customerType field for a CAT Customer who has a US Taxpayer Identification Number but a foreign address, foreign identification/passport or is otherwise identified as foreign by the Industry Member?

Topics

X. Reference Database

05/05/2026

FAQ

X6. Following the closure of an account and the associated FDID being ended in the Reference Database, is an Industry Member required to re-activate the FDID in the Reference Database for non-CAT reportable entries, such as delayed dividend payments?

Topics

X. Reference Database

05/05/2026

FAQ

X5. When reporting a piggyback clearing scenario to the Reference Database, which Industry Member’s CRD number must the clearing firm populate in the correspondentCRD field when Firm A is piggybacking off of Firm B’s relationship with the clearing firm?

Topics

X. Reference Database

05/05/2026

FAQ

X4. An Industry Member chooses to optionally report a DVP/RVP account that does not have a clearing number or DTC number. In this scenario, how should the DVPCustodianID field be populated when a DVP/RVP account is temporarily not assigned a clearing number or DTC number because the account is new, or the current clearing number or DTC number has been removed from DTCC's ALERT service and no new clearing number or DTC number is available?

Topics

X. Reference Database

05/05/2026

FAQ

X3. 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

X. Reference Database

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
X. Reference Database
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
X. Reference Database
All Topics

All Topics