Pursuant to the CAT NMS Plan, Customer Account Information generally includes, account number, account type, customer type, date account opened, and large trader identifier (if applicable). Customer Identifying Information means information of sufficient detail to identify a customer. The CAT NMS Plan currently requires that if the customer is an individual, the Customer Identifying Information includes the individual’s name, address, date of birth, individual tax payer identification number/social security number, and individual’s role in the account (e.g., primary holder, joint holder, guardian, trustee person with the power of attorney). If the customer is a legal entity, the Customer Identifying Information includes the legal entity’s name, address, Employer Identification Number/Legal Entity Identifier (“LEI”) or other comparable common entity identifier (if applicable), provided, however, that an Industry Member that has an LEI for a customer must submit the customer’s LEI in addition to other information of sufficient detail to identify a customer. As discussed below in FAQ S7, the Participants requested an exemption from the SEC from certain provisions of the CAT NMS Plan so that social security numbers/taxpayer identification numbers, dates of birth and account numbers of individual customers would not be reported to the CAT Central Repository.

This FAQ was retired on January 29, 2025.