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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

May

08

CAIS Industry Testing Checkpoint Call (May 8, 2024)

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Displaying 101 - 110 of 271 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

Sort by

Order

09/20/2022
Event
CAT CAIS Technical Specification Working Group - September 20, 2022
- CAT CAIS Technical Specification Working Group (September 20, 2022) - Presentation
Audio file

Topics

Q. Customer and Account Information
09/15/2022
Event
CAIS Industry Testing Checkpoint Call (September 14, 2022)
- CAIS Industry Testing Checkpoint Call (September 14, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/07/2022
Event
CAIS Industry Testing Checkpoint Call (September 07, 2022)
- CAIS Industry Testing Checkpoint Call (September 07, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
08/31/2022
Event
CAIS Industry Testing Checkpoint Call (August 31, 2022)
- CAIS Industry Testing Checkpoint Call (August 31, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
08/25/2022
Event
CAIS Industry Testing Checkpoint Call (August 24, 2022)
- CAIS Industry Testing Checkpoint Call (August 24, 2022)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
08/23/2022
FAQ
Q66. An Industry Member chooses to optionally report a DVP/RVP account that does not have a clearing number or DTC number. In this scenario, how should the DVPCustodianID field be populated when a DVP/RVP account is temporarily not assigned a clearing number or DTC number because the account is new, or the current clearing number or DTC number has been removed from DTCC's ALERT service and no new clearing number or DTC number is available?

Topics

Q. Customer and Account Information
08/23/2022
Event
Monthly CAT Update (August 23, 2022)
- Monthly CAT Update (August 23, 2022)- Presentation
- 2022 SIFMA Test (August 23, 2022)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/18/2022
Event
CAIS Industry Testing Checkpoint Call (August 17, 2022)
- CAIS Industry Testing Checkpoint Call (August 17, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
08/16/2022
Event
CAT CAIS Technical Specification Working Group - August 16, 2022
- CAT CAIS Technical Specification Working Group (August 16, 2022) - Presentation
Audio file

Topics

Q. Customer and Account Information
08/11/2022
Event
CAIS Industry Testing Checkpoint Call (August 10, 2022)
- CAIS Industry Testing Checkpoint Call (August 10, 2022) - Presentation
- SIFMA Industry Testing Checkpoint Call (August 10, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information

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