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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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G. Manual Orders
H. ATS
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K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
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08/11/2022
FAQ
M7.
How will regulators use 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
M2.
Can actual account numbers be used as the FDID when submitting data to CAT?
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
M1.
What is a Firm Designated ID (FDID)?
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
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
10/05/2021
FAQ
M12.
Where can I find additional information regarding the Firm Designated Identifier (FDID)?
Topics
M. Firm Designated ID
05/18/2021
FAQ
M17.
Is an Industry Member permitted to submit a different firmDesignatedID to CAIS than was populated as the firmDesignatedID on the related Transaction Order event for a specific trading account, Relationship ID or Entity ID within the firm?
Topics
M. Firm Designated ID
05/18/2021
Event
CAT Customer and Account Reporting Requirements and CAIS Technical Specification Overview (May 18, 2021)
CAIS Tech Spec Update (5/18/2021)- Presentation
Audio file
Topics
M. Firm Designated ID
Q. Customer and Account Information
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