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UPCOMING EVENT
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Monthly CAT Update (January 16, 2025)
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05/17/2022
FAQ
Q61.
Must the Industry Member be identified as a CAT Customer on the related FDID Record in CAIS when there are standing instructions on the Customer’s account, when the Industry Member originates an order in a Customer’s account to satisfy a legal requirement or SEC/SRO rule or when the Industry Member liquidates fractional shares held in a Customer’s account to facilitate operational processes?
Topics
Q. Customer and Account Information
05/17/2022
FAQ
Q62.
Since clearing firms rely on their correspondent firms to provide Customer information required for CAIS reporting, can a clearing firm, reporting its version of a Customer on an FDID record, replicate the attribute value for certain required data elements as provided by its correspondent firm?
Topics
Q. Customer and Account Information
05/16/2022
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r15
05/15/2022
Reference Material
May 13, 2022 Letter to SEC- Alternative Funding Model ("Executed Share Model")
05/05/2022
Event
CAIS Industry Testing Checkpoint Call (May 4, 2022)
CAIS Industry Testing Checkpoint Call (May 4, 2022) - Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
05/05/2022
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r9.1
05/04/2022
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r9 (Redlined)
05/04/2022
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r9
05/03/2022
FAQ
Q60.
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 CAIS?
Topics
Q. Customer and Account Information
04/29/2022
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r13
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