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Event
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other
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A. General
B. Reporting Requirements
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E. Order Routing and Execution
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J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
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T. Production Readiness Testing
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02/21/2023
Reference Material
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r17
02/15/2023
Governance
Response to Comments Regarding Partial Amendment of Executed Share Model (02/15/23)
02/14/2023
CAT Alert
CAT Alert 2022-01: Full CAIS Reporting Timeline and Interim Reporting Obligations
02/08/2023
Event
CAIS Industry Testing Checkpoint Call (February 8, 2023)
02/02/2023
Event
CAIS Industry Testing Checkpoint Call (February 1, 2023)
02/01/2023
Technical Specifications
Full CAIS Industry Member Release Rollout
02/01/2023
FAQ
| Q. Customer and Account Information
Q71.
How must Industry Members report an FDID Record to CAIS when a Natural Person and two trusts are all CAT Customers associated with the same FDID and the Tax Identifier of the two trusts is the same as the Natural Person’s Social Security Number (SSN)?
02/01/2023
Announcement
2/1/2023 CAIS Compliance Date Update
01/27/2023
FAQ
| Q. Customer and Account Information
Q19.
When will full account refreshes be required?
01/25/2023
Event
CAIS Industry Testing Checkpoint Call (January 25, 2023)
01/19/2023
Event
CAIS Industry Testing Checkpoint Call (January 18, 2023)
01/19/2023
Event
Monthly CAT Update (January 19, 2023)
01/12/2023
Event
CAIS Industry Testing Checkpoint Call (January 11, 2023)
01/10/2023
Event
CAIS Industry Testing Checkpoint Call (February 15, 2023)
01/09/2023
Announcement
Update on CAIS Reporting Deadlines
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