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Content type

Topics

Year

Q. Customer and Account Information

This topic includes information related to the requirements for reporting customer and account data to the CAT.

UPCOMING EVENT

May

15

Monthly CAT Update (May 15, 2025)

04:15PM EDT

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Displaying 1 - 10 of 299 results

04/17/2025
Event
Monthly CAT Update (April 17, 2025)
- Monthly CAT Update (April 17, 2025)
Audio file

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information

V. CAT Billing
04/17/2025
Technical Specifications
Full CAIS Industry Member Release Rollout

Topics

Q. Customer and Account Information
04/01/2025
Event
Monthly CAT Update (March 20, 2025)
- Monthly CAT Update (March 20, 2025) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information

V. CAT Billing
03/25/2025
FAQ
Q19. When will the FDID Refresh Reports be delivered in the Production Environment and by what date must Industry Members comply with the Periodic Customer & Account Information Refresh requirement?

Topics

Q. Customer and Account Information
03/18/2025
Event
Part 2: CAIS Report Card Webinar
- Part 2: CAIS Report Card Webinar (March 18, 2025) - Presentation
Audio file

Topics

Q. Customer and Account Information
03/13/2025
Event
Part 1: CAIS Report Card Webinar
- Part 1: CAIS Report Card Webinar (March 13, 2025) - Presentation
Audio file

Topics

Q. Customer and Account Information
02/24/2025
CAT Alert
CAT Alert 2025-02: Update Regarding SEC’s CAIS Exemption Order

Topics

Q. Customer and Account Information
02/20/2025
Event
Monthly CAT Update (February 20, 2025)
- Monthly CAT Update (February 20, 2025) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information

V. CAT Billing
02/14/2025
CAT Alert
CAT Alert 2025-01: SEC's CAIS Exemption Order

Topics

Q. Customer and Account Information
01/16/2025
Event
Monthly CAT Update (January 16, 2025)
- Monthly CAT Update (January 16, 2025) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information

V. CAT Billing

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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
V. CAT Billing
W. Fee Dispute Resolution
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
V. CAT Billing
W. Fee Dispute Resolution
All Topics