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UPCOMING EVENT
Dec
19
Monthly CAT Update (December 19, 2024)
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08/17/2022
Reference Material
Response to Comments on Proposed CAT NMS Plan Amendment Related to Alternative Funding Model
08/16/2022
Event
CAT CAIS Technical Specification Working Group - August 16, 2022
CAT CAIS Technical Specification Working Group (August 16, 2022) - Presentation
Audio file
Topics
Q. Customer and Account Information
08/11/2022
FAQ
M7.
How will regulators use the Firm Designated ID (FDID)?
Topics
M. Firm Designated ID
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
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