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UPCOMING EVENT

Nov

30

CAIS Industry Testing Checkpoint Call (November 30, 2022)

04:15PM EST

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Displaying 21 - 30 of 1198 results

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G. Manual Orders

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I. Foreign Securities

J. OTC Equity Securities

K. Options

L. Equity Floor Brokers

M. Firm Designated ID

N. Third Party Reporting

O. Technical Requirements

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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
11/01/2022
FAQ
Q68. How must Industry Members report an FDID Record to CAIS in the scenario where the Authorized Trader is a government employee of a U.S. state, county or municipality and acting in the capacity of a guardian or conservator for a minor or incapacitated person, and the government employee Authorized Trader does not provide a year of birth or input identifier (such as a social security number) citing exemptions from the definition of “customer” under the Customer Identification Program (“CIP”) Rules?

Topics

Q. Customer and Account Information
10/31/2022
Governance
Notice of Filing of Exemptive Request Letter Related to Unique CCID
10/31/2022
Governance
Notice of Filing of Exemptive Request Letter Related to Unique CCID for Foreign Customers
10/31/2022
Reference Material
Q3 2022 QPR
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
10/28/2022
CAT Alert
CAT Alert 2021-04-Phase 2e: Transitioning from LTID Account Phase to Full CAIS Phase

Topics

Q. Customer and Account Information
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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