Topics | CATNMSPLAN

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

Q27. When will CAIS open for Production, and what happens after that date?

Topics

Q. Customer and Account Information

08/02/2023

FAQ

Q28. What is expected to be in CAIS LTID on April 26, 2021, when mandatory reporting starts?

Topics

Q. Customer and Account Information

08/02/2023

FAQ

Q40. The CAT NMS Plan specifies that “Active Account” information needs to be populated in CAIS with the implementation of Phase 2e (Full CAIS). What is an “Active Account”?

Topics

Q. Customer and Account Information

08/02/2023

FAQ

Q42. A broker-dealer systematized a Customer’s account information on a specific date, but the new account form was dated with a date prior to the systematized date. Is it permitted for the broker-dealer to report the later systematized date as the fdidDate on the related FDID Record?

Topics

Q. Customer and Account Information

08/02/2023

FAQ

M16. FAQ M1 identifies certain limited circumstances where a change/replacement in Firm Designated ID (FDID) value associated with a particular trading account or Relationship ID would be permissible. If an Industry Member changes an FDID due to one of these limited circumstances prior to Full CAIS, what additional steps are required?

Topics

M. Firm Designated ID

08/02/2023

FAQ

Q51. How should an Industry Member populate the roleStartDate field if it did not record the date on which the Customer entered into the specified role on the account?

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

FAQ

Q59. What FDIDs are in scope for Full CAIS reporting?

Topics

Q. Customer and Account Information

08/02/2023

FAQ

Q65. To facilitate reporting of Authorized Traders as required by the CAT NMS Plan, the Full CAIS Technical Specifications require a firstName, lastName, yearOfBirth, tidType and tidValue to be reported for all Natural Person Authorized Traders. Accordingly, if these fields for Natural Person Customers are not populated, the Customer Record will be rejected. The Plan Participants understand that some Industry Members have not historically collected and systematized a tidValue and yearOfBirth for Natural Person Authorized Traders and may be unable to report them as required by the Full CAIS Technical Specifications per the implementation schedule as set forth in CAT Alerts – 2022-01 and 2023-01. How must Industry Members report Natural Person Customers if they are not able to provide all required information by the Full CAIS Compliance Go-Live date?

Topics

Q. Customer and Account Information

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
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
All Topics

All Topics