Latest Updates | CATNMSPLAN

12/05/2022
FAQ| Q. Customer and Account Information
Q3. When must Industry Members submit Customer Account Information and Customer Identifying Information to the CAT?
12/05/2022
FAQ| Q. Customer and Account Information
Q51. How should an Industry Member populate the roleStartDate field if it did not record the date on which the Customer entered into the specified role on the account?
12/05/2022
FAQ| Q. Customer and Account Information
Q42. A broker-dealer systematized a Customer’s account information on a specific date, but the new account form was dated with a date prior to the systematized date. Is it permitted for the broker-dealer to report the later systematized date as the fdidDate on the related FDID Record?
12/05/2022
FAQ| Q. Customer and Account Information
Q68. How must Industry Members report an FDID Record to CAIS in the scenario where the Authorized Trader is a government employee of a U.S. state, county or municipality and acting in the capacity of a guardian or conservator for a minor or incapacitated person, and the government employee Authorized Trader does not provide a year of birth or input identifier (such as a social security number) citing exemptions from the definition of “customer” under the Customer Identification Program (“CIP”) Rules?
12/05/2022
FAQ| Q. Customer and Account Information
Q58. To facilitate reporting of correct Customer names as required by the CAT NMS Plan, the Full CAIS Technical Specifications require Natural Person first and last names to be reported in two separate fields. Accordingly, if both the firstName and lastName fields for Natural Person Customers are not populated, the Customer Record will be rejected. The Plan Participants understand that some Industry Members have historically maintained the first and last names in a single field within their system and may be unable to parse them into separate fields by March 17, 2023. How must Industry Members report Natural Person Customers if the first and last names are not able to be parsed within the Industry Member’s system by March 17, 2023 (the Full CAIS Go-Live date)?
12/05/2022
FAQ| Q. Customer and Account Information
Q18. When are account movements between broker-dealers (e.g., merger/acquisition) required to be linked in CAIS?
11/30/2022
Reference Material
Small Firm Roadmap to March 17, 2023
11/30/2022
Basic page
CAT CAIS- Known Issues List - Full CAIS
11/30/2022
Basic page
Industry Member Specifications
11/30/2022
Event
CAIS Industry Testing Checkpoint Call (November 30, 2022)
11/30/2022
Basic page
Planned Full CAIS Technical Specification Updates
11/29/2022
CAT Alert
CAT Alert 2021-04-Phase 2e: Transitioning from LTID Account Phase to Full CAIS Phase
11/29/2022
CAT Alert
CAT Alert 2021-02- Standards for Completing the Customer And Account Reporting Disclosure Form
11/23/2022
Event
CAIS Industry Testing Checkpoint Call (November 22, 2022)
11/22/2022
Governance
Notice of Filing of Exemptive Request Letter Related to the Fourth Financial Accountability Milestone

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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
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
All Topics