Skip to main content

Content type

Topics

Year

Technical Specifications
Reference Data
Communication
Guidance
Timeline
About
CAT Fees
Reporter Portal
- Access Information

Content type

Topics

Year

Topics

Home

Filter by Content Type

Filter by Topic

All Topics

A. General

B. Reporting Requirements

C. Definitions

D. Order Receipt

E. Order Routing and Execution

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

V. CAT Billing

Sort by

Order

Subscribe

All Topics

Below is a summary of all available content.

UPCOMING EVENT

Jul

10

CAIS Industry Testing Checkpoint Call and Industry Member C...

04:15PM EDT

Add To My Calendar

Displaying 281 - 290 of 1380 results

Filter by Content Type

Filter by Topic

All Topics

A. General

B. Reporting Requirements

C. Definitions

D. Order Receipt

E. Order Routing and Execution

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

V. CAT Billing

Sort by

Order

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?

Topics

Q. Customer and Account Information
08/11/2022
FAQ
Q41. FAQ Q40 states that all accounts with any CAT-reportable activity on or after June 12, 2022 must be reported to CAIS with the implementation of Phase 2e (Full CAIS). Are Industry Members required to capture and report updates or changes to customer and account information that occur between June 12, 2022 and the first time the record is required to be reported to CAIS?

Topics

Q. Customer and Account Information
08/11/2022
FAQ
Q44. How should Industry Members report customer and account address information to CAIS?

Topics

Q. Customer and Account Information
08/11/2022
FAQ
Q45. FAQ Q44 states that an Industry Member must report all addresses at the Customer-level and Account-level if such address information is reasonably available. If an Industry Member happens to maintain multiple addresses for an Account and/or Customer, that are not directly used for routine account and/or customer communications, are they still required to be reported to CAIS?

Topics

Q. Customer and Account Information
08/11/2022
FAQ
Q54. Starting with the implementation of Phase 2e (Full CAIS), Industry Members must report one mailing address associated to the FDID in the ‘ADDRESS1’ value of the addrType field. If an FDID is based on a relationship that represents multiple customers with different addresses, and the Industry Member does not store an address for the relationship, but maintains the addresses at the customer level, what address should the Industry Member report to CAIS for ‘ADDRESS1’?

Topics

Q. Customer and Account Information
08/11/2022
Event
CAIS Industry Testing Checkpoint Call (August 10, 2022)
- CAIS Industry Testing Checkpoint Call (August 10, 2022) - Presentation
- SIFMA Industry Testing Checkpoint Call (August 10, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
08/10/2022
Governance
Exemptive Request Letter Related to LTID Reporting
08/09/2022
FAQ
C5. When should the value ‘O’ (Market Making) be used for accountHolderType?

Topics

C. Definitions
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?

Topics

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

Topics

Q. Customer and Account Information

Pagination

« First
‹ Previous
…
25
26
27
28
29
30
31
32
33
…
Next ›
Last »

Need Help?

Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].

©2020- FINRA. All rights reserved.
FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Footer

Contact Us
Subscribe
Legal Notice
Privacy Policy