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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

Jan

22

Monthly CAT Update (January 22, 2026)

04:15PM EST

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Displaying 51 - 60 of 309 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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01/22/2024
CAT Alert
CAT Alert 2023-01: Interim Reporting Obligation 4 and Full CAIS Go-Live

Topics

Q. Customer and Account Information
01/18/2024
Event
Monthly CAT Update (January 18, 2024)
- Monthly CAT Update (January 18, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/10/2024
Event
Monthly CAIS Industry Testing Checkpoint Call (January 10, 2024)
- Monthly CAIS Industry Testing Checkpoint Call (January 10, 2024) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
12/29/2023
Announcement
1/5/2024 - 1/8/2024 CAT CAIS Maintenance - Reminder

Topics

Q. Customer and Account Information
12/20/2023
Event
Monthly CAT Update (December 19, 2023)
- Monthly CAT Update (December 19, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
12/14/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (December 13, 2023)
- Monthly CAIS Industry Testing Checkpoint Call (December 13, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
12/07/2023
Event
Part 2: CAIS Releases (December 6, 2023)
- Part 2: CAIS Releases (December 6, 2023) - Presentation
Audio file

Topics

Q. Customer and Account Information
11/30/2023
Event
Part 1: CAIS Releases (November 29, 2023)
- Part 1: CAIS Releases (November 29, 2023) - Presentation
Audio file

Topics

Q. Customer and Account Information
11/17/2023
Event
Monthly CAT Update (November 16, 2023)
- Monthly CAT Update (November 16, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
11/07/2023
FAQ
Q72. In a Mass Transfer of FDIDs across Industry Members, what constitutes an “Active Account” required to be reported to CAIS by the acquiring firm and when is it required to be reported to CAIS?

Topics

Q. Customer and Account Information

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