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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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Displaying 181 - 190 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

03/24/2022
Event
CAIS Industry Testing Checkpoint Call (March 23, 2022)
- CAIS Industry Testing Checkpoint Call (March 23, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
03/16/2022
Event
Monthly CAT Update (March 16, 2022)
- Monthly CAT Update (March 16, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
03/15/2022
Event
CAT CAIS Technical Specification Working Group - March 15, 2022
- CAT CAIS Technical Specification Working Group (March 15, 2022) - Presentation
Audio file

Topics

Q. Customer and Account Information
03/09/2022
Event
CAIS Industry Testing Checkpoint Call (March 9, 2022)
- CAIS Industry Testing Checkpoint Call (March 9, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
03/01/2022
Event
Full CAIS 101 (March 1, 2022)
- Full CAIS 101 (March 1, 2022) - Presentation
Audio file

Topics

Q. Customer and Account Information
02/23/2022
Event
CAIS Industry Testing Checkpoint Call (February 23, 2022)
- CAIS Industry Testing Checkpoint Call (February 23, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
02/22/2022
FAQ
Q39. This FAQ has been retired. Please refer to the scenario titled “DVP/RVP Account with a Clearing Number” in the Industry Member CAIS Reporting Scenarios document.

Topics

Q. Customer and Account Information
02/16/2022
Event
Monthly CAT Update (February 16, 2022)
- Monthly CAT Update (February 16, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
02/09/2022
Event
Monthly CAIS Industry Testing Checkpoint Call (February 9, 2022)
- Monthly CAIS Industry Testing Checkpoint Call (February 9, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
02/08/2022
FAQ
Q57. If there is a CAT Customer with multiple valid Input Identifiers who is associated with a single account at a CAT Reporter firm, which Input Identifier must be used to generate a Transformed Identifier for the Customer?

Topics

Q. Customer and Account Information

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