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UPCOMING EVENT
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Mar
23
Monthly CAT Update (March 23, 2023)
04:15PM EDT
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12/05/2022
FAQ
Q18.
When are account movements between broker-dealers (e.g., merger/acquisition) required to be linked in CAIS?
Topics
Q. Customer and Account Information
11/30/2022
Event
CAIS Industry Testing Checkpoint Call (November 30, 2022)
CAIS Industry Testing Checkpoint Call (November 30, 2022) - Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
11/30/2022
Reference Material
Small Firm Roadmap to March 17, 2023
Topics
B. Reporting Requirements
Q. Customer and Account Information
11/29/2022
CAT Alert
CAT Alert 2021-04-Phase 2e: Transitioning from LTID Account Phase to Full CAIS Phase
Topics
Q. Customer and Account Information
11/29/2022
CAT Alert
CAT Alert 2021-02- Standards for Completing the Customer And Account Reporting Disclosure Form
Topics
A. General
11/23/2022
Event
CAIS Industry Testing Checkpoint Call (November 22, 2022)
CAIS Industry Testing Checkpoint Call (November 22, 2022) - Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
11/22/2022
Governance
Notice of Filing of Exemptive Request Letter Related to the Fourth Financial Accountability Milestone
11/21/2022
Reference Material
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r16
11/17/2022
Event
Monthly CAT Update (November 17, 2022)
Monthly CAT Update (November 17, 2022) - Presentation
Audio file
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
11/17/2022
Event
CAIS Industry Testing Checkpoint Call (November 16, 2022)
CAIS Industry Testing Checkpoint Call (November 16, 2022) - Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
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