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UPCOMING EVENT

Nov

30

CAIS Industry Testing Checkpoint Call (November 30, 2022)

04:15PM EST

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M. Firm Designated ID

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10/24/2022
Announcement
2022 Consolidated Audit Trail Advisory Committee List

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A. General
10/21/2022
Technical Specifications
Industry Member Reporting Scenarios v4.10

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B. Reporting Requirements
10/21/2022
Technical Specifications
Industry Member Reporting Scenarios v4.10 (Redlined)

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B. Reporting Requirements
10/19/2022
Event
CAIS Industry Testing Checkpoint Call (October 19, 2022)
- CAIS Industry Testing Checkpoint Call (October 19, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
10/18/2022
FAQ
U31. Since Clearing Firms rely on their correspondent firms to provide account holder information, can a clearing firm reporting an allocation event (MEPA/MOPA) or amended allocation event (MEAA/MOAA) report the accountHolderType as provided by its correspondent firm?

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U. Allocations
10/18/2022
Event
CAT CAIS Technical Specifications Working Group - October 18, 2022
- CAT CAIS Technical Specifications Working Group (October 18, 2022) - Presentation
Audio file

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Q. Customer and Account Information
10/13/2022
Event
CAIS Industry Testing Checkpoint Call (October 12, 2022)
- CAIS Industry Testing Checkpoint Call (October 12, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
10/06/2022
Event
CAIS Industry Testing Checkpoint Call (October 05, 2022)
- CAIS Industry Testing Checkpoint Call (October 05, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
10/06/2022
CAT Alert
CAT Alert 2021-02- Standards for Completing the Customer And Account Reporting Disclosure Form

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A. General
10/04/2022
FAQ
Q67. Are Industry Members required to report addresses at the Customer level and the account level?

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Q. Customer and Account Information

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