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M. Firm Designated ID
This topic includes information related to the Firm Designated ID (“FDID”) and use cases.
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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
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12/20/2022
Event
CAT Technical Specifications Working Group - December 20, 2022
CAT Technical Specifications Working Group (December 20, 2022) - Presentation
Audio file
Topics
B. Reporting Requirements
M. Firm Designated ID
Q. Customer and Account Information
11/15/2022
Event
CAT Technical Specifications Working Group - November 15, 2022
CAT Technical Specification Working Group (November 15, 2022)- Presentation
Audio file
Topics
B. Reporting Requirements
M. Firm Designated ID
Q. Customer and Account Information
08/11/2022
FAQ
M7.
How will regulators use the Firm Designated ID (FDID)?
Topics
M. Firm Designated ID
08/11/2022
FAQ
M16.
FAQ M1 identifies certain limited circumstances where a change/replacement in Firm Designated ID (FDID) value associated with a particular trading account or Relationship ID would be permissible. If an Industry Member changes an FDID due to one of these limited circumstances prior to Full CAIS, what additional steps are required?
Topics
M. Firm Designated ID
10/05/2021
FAQ
M14.
If an Industry Member does not have an account number available to its order handling and/or execution system at the time of order receipt, what should be reported as the Firm Designated ID (FDID)?
Topics
M. Firm Designated ID
10/05/2021
FAQ
M3.
Can a Firm Designated ID (FDID) change each Trading Day?
Topics
M. Firm Designated ID
10/05/2021
FAQ
M10.
CAT FAQ M2 states acceptable Firm Designated IDs may include, without limitation, a newly created unique identifier or an internal only identifier used by a broker-dealer that cannot be used to effect a transaction, and would not constitute "Customer Account Information" or “Customer Identifying Information” as defined in the CAT NMS Plan. Are there prescribed methodologies for masking account numbers?
Topics
M. Firm Designated ID
10/05/2021
FAQ
M2.
Can actual account numbers be used as the FDID when submitting data to CAT?
Topics
M. Firm Designated ID
10/05/2021
FAQ
M1.
What is a Firm Designated ID (FDID)?
Topics
M. Firm Designated ID
10/05/2021
FAQ
M6.
If an Industry Member CAT Reporter uses multiple reporting vendors for both Transaction and Customer and Account reporting, should the same FDID be reported by each vendor on behalf of the Industry Member CAT Reporter?
Topics
M. Firm Designated ID
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