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UPCOMING EVENT
May
15
Monthly CAT Update (May 15, 2025)
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11/14/2022
Reference Material
CAT LLC- Q4 2022 Financial and Operating Budget
11/09/2022
Event
CAIS Industry Testing Checkpoint Call (November 9, 2022)
CAIS Industry Testing Checkpoint Call (November 9, 2022) - Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
11/03/2022
Event
CAIS Industry Testing Checkpoint Call (November 2, 2022)
CAIS Industry Testing Checkpoint Call (November 2, 2022) - Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
11/02/2022
Event
Industry Member Full CAIS Report Card Webinar (November 2, 2022)
Industry Member Full CAIS Report Card Webinar (November 2, 2022) - Presentation
Audio file
Topics
A. General
Q. Customer and Account Information
11/01/2022
FAQ
Q70.
When reporting a piggyback clearing scenario to CAIS, which Industry Member’s CRD number must the clearing firm populate in the correspondentCRD field when Firm A is piggybacking off of Firm B’s relationship with the clearing firm?
Topics
Q. Customer and Account Information
10/31/2022
FAQ
Q69.
How must Industry Members report an FDID Record to CAIS 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?
Topics
Q. Customer and Account Information
10/31/2022
Governance
Notice of Filing of Exemptive Request Letter Related to Unique CCID for Foreign Customers
10/31/2022
Governance
Notice of Filing of Exemptive Request Letter Related to Unique CCID
10/27/2022
Event
CAIS Industry Testing Checkpoint Call (October 26, 2022)
CAIS Industry Testing Checkpoint Call (October 26, 2022) - Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
10/26/2022
Event
Monthly CAT Update (October 26, 2022)
Monthly CAT Update (October 26, 2022) - Presentation
Audio file
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
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