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UPCOMING EVENT

Nov

30

CAIS Industry Testing Checkpoint Call (November 30, 2022)

04:15PM EST

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B. Reporting Requirements

C. Definitions

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F. Representative Orders

G. Manual Orders

H. ATS

I. Foreign Securities

J. OTC Equity Securities

K. Options

L. Equity Floor Brokers

M. Firm Designated ID

N. Third Party Reporting

O. Technical Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

R. Clock Synchronization

S. Security

T. Production Readiness Testing

U. Allocations

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08/11/2022
FAQ
Q21. What is the reporting deadline for reporting Customer and Account information for the LTID phase and full Customer and Account phase?

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Q. Customer and Account Information
08/11/2022
FAQ
Q19. When will full account refreshes be required?

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Q. Customer and Account Information
08/11/2022
FAQ
Q18. When are account movements between broker-dealers (e.g., merger/acquisition) required to be linked in CAIS?

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Q. Customer and Account Information
08/11/2022
FAQ
Q15. If an Industry Member ends an LTID to FDID association for a legitimate reason (such as the customer no longer qualified as a large trader), and later is required to reestablish it, what should the ltidEffectiveDate be?

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Q. Customer and Account Information
08/11/2022
FAQ
Q8. May Industry Members provide Customer Account Information on all of their accounts, not just Active Accounts or those Active Accounts in scope for a given phase of reporting?

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Q. Customer and Account Information
08/10/2022
Governance
Exemptive Request Letter Related to LTID Reporting
08/09/2022
FAQ
Q64. When a clearing firm is optionally reporting allocations to an account that is owned or controlled by an introducing broker/correspondent, what value should the clearing firm populate in the accountType field for the related FDID Record?

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Q. Customer and Account Information
08/09/2022
Event
CAT Technical Specification Working Group - August 9, 2022
- CAT Technical Specification Working Group (August 9, 2022) - Presentation
Audio file

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A. General

B. Reporting Requirements
08/09/2022
FAQ
Q50. Is a Global Intermediary Identification Number (“GIIN”) an accepted identifier to generate a foreignTIDType for a foreign legal entity?

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Q. Customer and Account Information
08/09/2022
FAQ
U16. Are accounts maintained by a clearing firm that are owned or controlled by another broker-dealer considered “customer” accounts for purposes of reporting Allocation Reports to CAT?

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U. Allocations

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