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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)

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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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08/02/2023
FAQ
Q27. When will CAIS open for Production, and what happens after that date?

Topics

Q. Customer and Account Information
08/02/2023
Announcement
4/20/2023 This Announcement Has Been Superseded

Topics

Q. Customer and Account Information
08/02/2023
FAQ
Q21. What is the reporting deadline for reporting Customer and Account information for the LTID Phase and Full Customer and Account Phase?

Topics

Q. Customer and Account Information
08/02/2023
FAQ
Q58. To facilitate reporting of correct Customer names as required by the CAT NMS Plan, the Full CAIS Technical Specifications require Natural Person first and last names to be reported in two separate fields. Accordingly, if both the firstName and lastName fields for Natural Person Customers are not populated, the Customer Record will be rejected. The Plan Participants understand that some Industry Members have historically maintained the first and last names in a single field within their system and may be unable to parse them into separate fields by the implementation schedule set forth in CAT Alerts 2022-01 and 2023-01. How must Industry Members report Natural Person Customers if the first and last names are not able to be parsed within the Industry Member’s system by the time the Customer Record is required to be reported to CAIS ?

Topics

Q. Customer and Account Information
08/02/2023
Announcement
Update on CAIS Compliance Deadlines

Topics

Q. Customer and Account Information
06/23/2023
FAQ
Q67. Are Industry Members required to report addresses at the Customer level and the account level?

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Q. Customer and Account Information
06/15/2023
Event
Monthly CAT Update (June 15, 2023)
- Monthly CAT Update (June 15, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
06/07/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (June 7, 2023)
- Monthly CAIS Industry Testing Checkpoint Call (June 7, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
05/30/2023
Announcement
5/27/22 This Announcement Has Been Superseded

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information
05/23/2023
FAQ
Q68. How must Industry Members report an FDID Record to CAIS in the scenario where the Authorized Trader is a government employee of a U.S. state, county or municipality and acting in the capacity of a guardian or conservator for a minor or incapacitated person, and the government employee Authorized Trader does not provide a year of birth or Input Identifier (such as a social security number) citing exemptions from the definition of “customer” under the Customer Identification Program (“CIP”) Rules?

Topics

Q. Customer and Account Information

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