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X. Reference Database
Displaying 21 - 26 of 26 results
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A. General
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05/05/2026
FAQ
X7.
FAQ B53 states that account transfers between broker-dealers are not orders, as defined by Rule 613. How should such activity be reflected in the Reference Database?
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X. Reference Database
05/05/2026
FAQ
X1.
Can an Industry Member submit the same record to the Reference Database every business day? Or should the Industry Member submit only a delta record? For example, if a record is submitted on T and nothing changes, can the same record be submitted on T+1, T+2, etc.? Or should the Industry Member only resubmit the record if a required data element changes?
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X. Reference Database
05/05/2026
FAQ
X12.
If an Industry Member has received a “Not Held” order, which only gives the Industry Member discretion as to the price and time of execution of the order, must the Industry Member be identified as a CAT Customer on the related FDID Record in the Reference Database?
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X. Reference Database
05/05/2026
FAQ
X14.
How should Industry Members populate the customerType field for a CAT Customer who has a US Taxpayer Identification Number but a foreign address, foreign identification/passport or is otherwise identified as foreign by the Industry Member?
Topics
X. Reference Database
05/05/2026
FAQ
X18.
How must Industry Members report an FDID Record to the Reference Database when a disregarded entity and its parent company have the same Employer Identification Number (EIN) and are both CAT Customers associated to the same FDID? Does the reporting requirement change if the disregarded entity has a different EIN from its parent company?
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X. Reference Database
04/23/2026
Newsletter
Monthly CAT Update Newsletter: April 2026
Monthly CAT Update (April 23, 2026) - Newsletter
Topics
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B. Reporting Requirements
V. CAT Billing
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