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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 301 - 310 of 311 results

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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

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Order

03/21/2018
FAQ
Q5. What is the definition of customer under the CAT NMS Plan? Who is the customer for purposes of the CAT: the end customer, the introducing broker or the clearing broker?

Topics

Q. Customer and Account Information
09/02/2015
Governance
Supplement #2 to Exemptive Request Letter: Account Effective Date

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A. General

Q. Customer and Account Information
Timeline Activity
Full CAIS Final Technical Specification Published

Topics

Q. Customer and Account Information
Timeline Activity
LTID Account Information Reporting Production Environment Opens

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Q. Customer and Account Information
Timeline Activity
Customer and Account Information - Compliance Go-Live

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Q. Customer and Account Information
Timeline Activity
LTID Account Information Testing Environment Opens

Topics

Q. Customer and Account Information
Timeline Activity
LTID Account Information Reporting Go-Live for Phases 2a, 2b, 2c and 2d (Small Industry Members)

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Q. Customer and Account Information
Timeline Activity
Customer and Account Information - Test Environment Opens

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Q. Customer and Account Information
Timeline Activity
LTID Technical Specification Published

Topics

Q. Customer and Account Information
Timeline Activity
LTID Account Information Reporting Go-Live for Phase 2d (Large Industry Members)

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Q. Customer and Account Information

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