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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

Feb

20

Monthly CAT Update (February 20, 2025)

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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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09/22/2020
FAQ
Q33. May an Industry Member leverage a previously established Reporting Relationship for CAIS? For example, if an Industry Member has already authorized a submitter to report transaction data to CAT, must that Industry Member also authorize the same submitter to report data to CAIS?

Topics

Q. Customer and Account Information
09/22/2020
FAQ
Q32. Can production data be used in the CAT CAIS Test environment?

Topics

Q. Customer and Account Information
09/22/2020
FAQ
Q37. How do the CAT reporting requirements for Large Trader IDs (LTIDs) and Legal Entity Identifiers (LEIs) differ?

Topics

Q. Customer and Account Information
09/17/2020
Event
Monthly CAT Implementation Update (9/17/20)
- Monthly CAT Implementation Update (9/17/20)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

U. Allocations
09/16/2020
FAQ
Q6. Are Industry Members required to report large trader identifiers (“LTIDs”) to the CAT and, if so, when?

Topics

Q. Customer and Account Information
09/16/2020
Event
Biweekly CAIS/LTID Industry Testing Checkpoint Call (9/16/2020)
- Biweekly CAIS/LTID Industry Testing Checkpoint Call (9/16/2020)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/09/2020
FAQ
Q31. When introducing brokers and executing brokers use a separate clearing broker for the accounts of their clients, what are the responsibilities for LTID reporting?

Topics

Q. Customer and Account Information
09/02/2020
Event
Weekly CAIS/LTID Industry Testing Checkpoint Call (9/2/2020)
- Weekly CAIS/LTID Industry Testing Checkpoint Call (9/2/2020)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
08/27/2020
FAQ
Q25. If my firm is a broker-dealer (CRD) that uses a Reporting Agent to report into CAT CAIS, does my firm need to certify separately if we have CAIS-reportable activity?

Topics

Q. Customer and Account Information
08/27/2020
FAQ
Q30. Where can I find more information on the SEC Large Trader Requirements?

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Q. Customer and Account Information

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