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Q. Customer and Account Information

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

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Monthly CAIS/LTID Industry Testing Checkpoint Call (February...

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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

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01/20/2022
Event
Monthly CAT Update (January 19, 2022)
- Monthly CAT Update (January 19, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/18/2022
Event
Monthly CAT Update (February 16, 2022)

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/14/2022
Technical Specifications
Full CAIS Industry Member Release Rollout

Topics

Q. Customer and Account Information
01/14/2022
Timeline Activity
Deadline to Request Production Readiness Certification for Full CAIS

Topics

Q. Customer and Account Information
01/14/2022
FAQ
Q56. What Customer information should be reported to the CAT when a legal entity (an “entity authorized trader” for purposes of this FAQ only) - such as a registered investment adviser or a bank trust department - is authorized to provide trading instructions for an account, and the Industry Member receives trading instructions for the account from a natural person who is employed by the entity authorized trader and who is authorized to trade for that account on behalf of the entity authorized trader? For the purposes of this FAQ, neither the entity authorized trader nor the employee authorized to trade for the account on behalf of the entity authorized trader is an account holder for the account at issue.

Topics

Q. Customer and Account Information
01/13/2022
FAQ
Q16. Can an Industry Member submit the same CAIS record every business day? Or should the Industry Member submit only a delta record? For example, if a record is submitted on T and nothing changes, can the same record be submitted on T+1, T+2, etc.? Or should the Industry Member only resubmit the record if a required data element changes?

Topics

Q. Customer and Account Information
01/13/2022
FAQ
Q10. Is the ltidEffectiveDate the date when the LTID was assigned by the SEC or the date that the firm was provided the LTID?

Topics

Q. Customer and Account Information
01/13/2022
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (February 9, 2022)

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
01/13/2022
FAQ
Q26. What actions does a Reporting Agent need to take to certify the broker-dealers (CRDs) it will be reporting on behalf of?

Topics

Q. Customer and Account Information
01/13/2022
Event
Small Firms CAIS Report Cards Webinar (January 13, 2022)
- Small Firms CAIS Report Cards Webinar (January 13, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

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