Skip to main content

Content type

Topics

Year

Technical Specifications
Reference Data
Communication
Guidance
Timeline
About
CAT Fees
Reporter Portal
- Access Information

Content type

Topics

Year

Topics

Home

Filter by Content Type

Filter by Topic

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

Sort by

Order

Subscribe

Q. Customer and Account Information

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

UPCOMING EVENT

Feb

20

Monthly CAT Update (February 20, 2025)

04:15PM EST

Add To My Calendar

Displaying 211 - 220 of 295 results

Filter by Content Type

Filter by Topic

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

Sort by

Order

06/15/2021
FAQ
Q48. What address should an Industry Member report to CAT CAIS for accounts that are owned by the Industry Member such as proprietary trading accounts and inventory accounts?

Topics

Q. Customer and Account Information
06/15/2021
Event
CAT CAIS Technical Specification Working Group Q&A - June 15, 2021
- CAT CAIS Technical Specification Working Group Q&A (6/15/2021)- Q&A
- CAT CAIS Technical Specification Working Group Q&A (6/15/2021)-Presentation
Audio file

Topics

B. Reporting Requirements

Q. Customer and Account Information
06/11/2021
Timeline Activity
Customer and Account Information - Production Environment Opens

Topics

Q. Customer and Account Information
06/10/2021
Event
Small Firms Roadmap to December 13, 2021 (June 10, 2021)
- Small Firms Roadmap to December 13, 2021 (6/10/2021)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information

T. Production Readiness Testing
06/09/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call and CAIS Report Card (June 9, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (6/9/21)- Presentation
- CAIS Report Card Webinar (6/9/21)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
05/21/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (5/20/21)
- Monthly CAT Implementation Update (5/20/21)- Presentation
- OATS Retirement Status Update (5/20/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
05/18/2021
Event
CAT Customer and Account Reporting Requirements and CAIS Technical Specification Overview (May 18, 2021)
- CAIS Tech Spec Update (5/18/2021)- Presentation
Audio file

Topics

M. Firm Designated ID

Q. Customer and Account Information
05/18/2021
FAQ
Q47. How should Industry Members utilize the ‘ADVISER’ value in the customerType field?

Topics

Q. Customer and Account Information
05/18/2021
FAQ
Q46. How should Industry Members populate the customerType field for a Customer who has a US Taxpayer Identification Number but a foreign address, foreign identification/passport or is otherwise identified as foreign by the Industry Member?

Topics

Q. Customer and Account Information
05/05/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call and Transformed Identifiers Creation Webinar (May 5, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (5/5/21)- Presentation
- TID Creation Webinar (5/5/21)- Presentation
Audio file

Topics

M. Firm Designated ID

P. Feedback and Error Correction

Q. Customer and Account Information

Pagination

« First
‹ Previous
…
18
19
20
21
22
23
24
25
26
…
Next ›
Last »

Need Help?

Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].

©2020- FINRA. All rights reserved.
FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Footer

Contact Us
Subscribe
Legal Notice
Privacy Policy