Customer and Account Reporting Disclosure Form

Introduction

The Customer and Account Reporting Disclosure Form is used for two purposes:

(1) Type 1 Disclosure (optional): Industry Members and CAT Reporting Agents may choose to self-report issues related to an Industry Member’s Customer and Account Information (“CAIS”) submissions (e.g., erroneously reported Customer and Account Information, non-reporting or other data issues). This type of disclosure is not required.

(2) Type 2 Disclosure (required): Industry Members and CAT Reporting Agents must use this Form to notify FINRA CAT of changes in Firm Designated ID (“FDID”) associated with a trading account prior to such information being reported to CAT CAIS.

Please refer to CAT Alert 2021-02 prior to completing this Form. Contact the FINRA CAT Helpdesk with any questions.

The information provided may be shared with one or more of your CAT reporting regulators.

Industry Members must not disclose personally identifiable information (“PII”) on the Form.

Industry Members must not provide FDID mapping information to FINRA CAT on this Form.

Once submitted, the information in this Form cannot be edited by the submitter. Upon submission, you may print a full copy of the Form for your books and records.