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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.

UPCOMING EVENT

Apr

17

Monthly CAT Update (April 17, 2025)

04:15PM EDT

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Displaying 21 - 30 of 299 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

06/05/2024
Event
CAIS Industry Testing Checkpoint Call (June 5, 2024)
- CAIS Industry Testing Checkpoint Call (June 5, 2024) - Presentation
Audio file

Topics

M. Firm Designated ID

P. Feedback and Error Correction

Q. Customer and Account Information
05/29/2024
Event
CAIS Industry Testing Checkpoint Call (May 29, 2024)
- CAIS Industry Testing Checkpoint Call (May 29, 2024) - Presentation
Audio file

Topics

M. Firm Designated ID

Q. Customer and Account Information
05/22/2024
Event
CAIS Industry Testing Checkpoint Call (May 22, 2024)
- CAIS Industry Testing Checkpoint Call (May 22, 2024) - Presentation
Audio file

Topics

M. Firm Designated ID

Q. Customer and Account Information
05/17/2024
Event
Monthly CAT Update (May 16, 2024)
- Monthly CAT Update (May 16, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
05/16/2024
Event
CAIS Industry Testing Checkpoint Call (May 15, 2024)
- CAIS Industry Testing Checkpoint Call (May 15, 2024) - Presentation
Audio file

Topics

M. Firm Designated ID

Q. Customer and Account Information
05/08/2024
Event
CAIS Industry Testing Checkpoint Call (May 8, 2024)
- CAIS Industry Testing Checkpoint Call (May 8, 2024) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
05/01/2024
Event
CAIS Industry Testing Checkpoint Call (May 1, 2024)
- CAIS Industry Testing Checkpoint Call (May 1, 2024) - Presentation
Audio file

Topics

Q. Customer and Account Information
04/25/2024
Event
CAIS Industry Testing Checkpoint Call (April 24, 2024)
- CAIS Industry Testing Checkpoint Call (April 24, 2024) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
04/18/2024
Event
Monthly CAT Update (April 18, 2024)
- Monthly CAT Update (April 18, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
04/10/2024
Event
CAIS Industry Testing Checkpoint Call (April 10, 2024)
- CAIS Industry Testing Checkpoint Call (April 10, 2024) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information

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