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UPCOMING EVENT
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Monthly CAT Update (January 16, 2025)
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08/02/2022
Reference Material
CAT LLC- Q3 2022 Financial and Operating Budget
08/01/2022
Announcement
2022 Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)
Topics
A. General
07/29/2022
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r15
07/29/2022
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r16
07/28/2022
Event
CAIS Industry Testing Checkpoint Call (July 27, 2022)
CAIS Industry Testing Checkpoint Call (July 27, 2022) - Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
07/28/2022
Event
Monthly CAT Update (July 28, 2022)
Monthly CAT Update (July 28, 2022) - Presentation
Audio file
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
07/26/2022
FAQ
Q63.
How must an FDID Record be reported to CAIS when the account holder is a foreign trust or foreign estate where an allowable Input Identifier value does not exist because the foreign country or foreign municipality does not require or issue any kind of identifier for the foreign trust or foreign estate, and no such other allowable Input Identifier exists? For example, the foreign trust or foreign estate has no associated Legal Entity Identifier (LEI), and is also not assigned any National Registration or Tax Identifier, or any other governmental-issued identifier by a non-national level government body or agency, such as a corporate registry.
Topics
Q. Customer and Account Information
07/20/2022
Event
CAIS Industry Testing Checkpoint Call (July 20, 2022)
CAIS Industry Testing Checkpoint Call (July 20, 2022) - Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
07/14/2022
Event
CAIS Industry Testing Checkpoint Call (July 13, 2022)
CAIS Industry Testing Checkpoint Call (July 13, 2022) - Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
07/08/2022
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r14
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