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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 CAT Update (November 20, 2025)

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Displaying 101 - 110 of 308 results

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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

V. CAT Billing

W. Fee Dispute Resolution

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Order

01/25/2023
Event
CAIS Industry Testing Checkpoint Call (January 25, 2023)
- CAIS Industry Testing Checkpoint Call (January 25, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
01/19/2023
Event
Monthly CAT Update (January 19, 2023)
- Monthly CAT Update (January 19, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/19/2023
Event
CAIS Industry Testing Checkpoint Call (January 18, 2023)
- CAIS Industry Testing Checkpoint Call (January 18, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
01/12/2023
Event
CAIS Industry Testing Checkpoint Call (January 11, 2023)
- CAIS Industry Testing Checkpoint Call (January 11, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
01/10/2023
Event
CAIS Industry Testing Checkpoint Call (February 15, 2023)
- CAIS Industry Testing Checkpoint Call (February 15, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
01/04/2023
Event
CAIS Industry Testing Checkpoint Call (January 4, 2023)
- CAIS Industry Testing Checkpoint Call (January 4, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
12/22/2022
Event
CAIS Industry Testing Checkpoint Call (December 21, 2022)
- CAIS Industry Testing Checkpoint Call (December 21, 2022) - Presentation
- Material Inconsistencies Webinar (December 21, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
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
12/15/2022
Event
CAIS Industry Testing Checkpoint Call (December 14, 2022)
- CAIS Industry Testing Checkpoint Call (December 14, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
12/15/2022
Event
Monthly CAT Update (December 15, 2022)
- Monthly CAT Update (December 15, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

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