CAT Registration For Customer and Account Information System (CAIS)

Company Information

Organization Legal Name

Primary Business Name

CRD # (Industry Member)/ORG ID# (Service Bureaus)

Does your firm have a Legal Entity Identifier (“LEI”)?

Yes

If Yes, provide the LEI#

Main Address

Street

City

State

Country

Zip

Primary CAIS Contact

Primary Contact Name

Primary Contact Email

Primary Contact Phone

Secondary CAIS Contact

Secondary Contact Name

Secondary Contact Email

Secondary Contact Phone

Organization Type

Industry Member Firm

Third Party Service Bureau

Approximately how many accounts (in aggregate) will you be submitting to CAIS?

Is your firm a clearing firm?

YES

If YES, what is your firm’s clearing function(s):

Prime Broker

Self-Clearing

Clearing on behalf of introducing firms

If clearing on behalf of correspondents, will you be submitting account and customer information to CAIS on behalf of correspondent firms?

YES

Primary CAT CAIS Report Source

Self-Reporting

CAT Reporting Agent

Secondary CAT CAIS Report Source (Optional)

Self-Reporting

CAT Reporting Agent

Specify Vendor Name(s) (Optional)

Submission Connectivity

Existing CAT Connectivity

New Connectivity

Reporting Agent

Preferred Connectivity Type If Self Reporting

SFTP

AWS Private Link

CAIS Reporter Portal

CAPTCHA

This question is for testing whether or not you are a human visitor and to prevent automated spam submissions.

Need Help?

Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].

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
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
All Topics