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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 211 - 220 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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09/21/2021
Event
CAT CAIS Technical Specification Working Group Q&A - September 21, 2021
- CAT CAIS Technical Specification Working Group Q&A (September 21, 2021) - Presentation
Audio file

Topics

Q. Customer and Account Information
09/21/2021
FAQ
Q53. FAQ B53 states that account transfers between broker-dealers are not orders, as defined by Rule 613. How should such activity be reflected in CAIS?

Topics

Q. Customer and Account Information
09/21/2021
FAQ
Q52. What date should Industry Members use to populate the “end date” fields (e.g., fdidEndDate, roleEndDate) when an event has triggered the closure of an account? For example, when a minor reaches the age of majority for a custodial account (e.g., UGMA/UTMA) or upon the death of an account holder for a beneficiary account, how should Industry Members populate these fields?

Topics

Q. Customer and Account Information
09/09/2021
Event
Monthly CAT Implementation Update (September 9, 2021)
- Monthly CAT Implementation Update (September 9, 2021) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/01/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (September 1, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (9/1/21)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
08/31/2021
Event
CAT CAIS Technical Specification Working Group - August 31, 2021
- CAT CAIS Technical Specification Working Group (8/31/21) - Presentation
Audio file

Topics

Q. Customer and Account Information
08/19/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (August 19, 2021)
- Monthly CAT Implementation Update (August 19, 2021)-Presentation
- FINRA (SRO) Status Update on OATS Retirement (August 19, 2021)-Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/17/2021
Event
CAT CAIS Technical Specification Working Group Q&A - August 17, 2021
- CAT CAIS Technical Specification Working Group Q&A (8/17/2021)-Presentation
Audio file

Topics

Q. Customer and Account Information
08/04/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (August 4, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (8/4/21)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
07/28/2021
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.2.1 (Redlined)

Topics

Q. Customer and Account Information

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