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A. General
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F. Representative Orders
G. Manual Orders
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J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
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08/02/2023
FAQ
Q51.
How should an Industry Member populate the roleStartDate field if it did not record the date on which the Customer entered into the specified role on the account?
Topics
Q. Customer and Account Information
08/02/2023
FAQ
Q3.
When must Industry Members submit Customer Account Information and Customer Identifying Information to the CAT?
Topics
Q. Customer and Account Information
08/02/2023
FAQ
M16.
FAQ M1 identifies certain limited circumstances where a change/replacement in Firm Designated ID (FDID) value associated with a particular trading account or Relationship ID would be permissible. If an Industry Member changes an FDID due to one of these limited circumstances prior to Full CAIS, what additional steps are required?
Topics
M. Firm Designated ID
08/02/2023
FAQ
Q42.
A broker-dealer systematized a Customer’s account information on a specific date, but the new account form was dated with a date prior to the systematized date. Is it permitted for the broker-dealer to report the later systematized date as the fdidDate on the related FDID Record?
Topics
Q. Customer and Account Information
08/02/2023
FAQ
Q40.
The CAT NMS Plan specifies that “Active Account” information needs to be populated in CAIS with the implementation of Phase 2e (Full CAIS). What is an “Active Account”?
Topics
Q. Customer and Account Information
08/02/2023
FAQ
Q28.
What is expected to be in CAIS LTID on April 26, 2021, when mandatory reporting starts?
Topics
Q. Customer and Account Information
08/02/2023
FAQ
Q27.
When will CAIS open for Production, and what happens after that date?
Topics
Q. Customer and Account Information
08/02/2023
FAQ
Q21.
What is the reporting deadline for reporting Customer and Account information for the LTID Phase and Full Customer and Account Phase?
Topics
Q. Customer and Account Information
08/02/2023
Reference Material
Industry Member CAIS Onboarding Guide v1.9
Topics
Q. Customer and Account Information
08/02/2023
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
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