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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 31 - 40 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

04/10/2024
Reference Material
Industry Member CAIS Onboarding Guide v1.10

Topics

Q. Customer and Account Information
03/27/2024
Event
CAIS Industry Testing Checkpoint Call (March 27, 2024)
- CAIS Industry Testing Checkpoint Call (March 27, 2024) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
03/21/2024
Event
Monthly CAT Update (March 21, 2024)
- Monthly CAT Update (March 21, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
03/13/2024
Event
CAIS Industry Testing Checkpoint Call (March 13, 2024)
- CAIS Industry Testing Checkpoint Call (March 13, 2024) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
02/28/2024
Event
CAIS Industry Testing Checkpoint Call (February 28, 2024)
- CAIS Industry Testing Checkpoint Call (February 28, 2024) - Presentation
Audio file

Topics

Q. Customer and Account Information
02/15/2024
Event
Monthly CAT Update (February 15, 2024)
- Monthly CAT Update (February 15, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
02/08/2024
Event
Monthly CAIS Industry Testing Checkpoint Call (February 7, 2024)
- Monthly CAIS Industry Testing Checkpoint Call (February 7, 2024) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
01/22/2024
FAQ
Q55. When an Industry Member receives a Material Inconsistency notification, is it required to contact its Customer to confirm the Customer’s information?

Topics

Q. Customer and Account Information
01/22/2024
CAT Alert
CAT Alert 2023-01: Interim Reporting Obligation 4 and Full CAIS Go-Live

Topics

Q. Customer and Account Information
01/22/2024
CAT Alert
CAT Alert 2022-01: Full CAIS Reporting Timeline and Interim Reporting Obligations

Topics

Q. Customer and Account Information

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