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UPCOMING EVENT
Dec
19
Monthly CAT Update (December 19, 2024)
04:15PM EST
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A. General
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01/20/2022
Event
Monthly CAT Update (January 19, 2022)
Monthly CAT Update (January 19, 2022) - Presentation
Audio file
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
01/14/2022
FAQ
Q56.
What Customer information should be reported to the CAT when a legal entity (an “entity authorized trader” for purposes of this FAQ only) - such as a registered investment adviser or a bank trust department - is authorized to provide trading instructions for an account, and the Industry Member receives trading instructions for the account from a natural person who is employed by the entity authorized trader and who is authorized to trade for that account on behalf of the entity authorized trader? For the purposes of this FAQ, neither the entity authorized trader nor the employee authorized to trade for the account on behalf of the entity authorized trader is an account holder for the account at issue.
Topics
Q. Customer and Account Information
01/13/2022
FAQ
Q10.
Is the ltidEffectiveDate the date when the LTID was assigned by the SEC or the date that the firm was provided the LTID?
Topics
Q. Customer and Account Information
01/13/2022
FAQ
Q26.
What actions does a Reporting Agent need to take to certify the broker-dealers (CRDs) it will be reporting on behalf of?
Topics
Q. Customer and Account Information
01/13/2022
Event
Small Firms CAIS Report Cards Webinar (January 13, 2022)
Small Firms CAIS Report Cards Webinar (January 13, 2022) - Presentation
Audio file
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
01/12/2022
Event
Small Firms Transaction Report Cards Webinar (January 12, 2022)
Small Firms Transaction Report Cards Webinar (January 12, 2022) - Presentation
Audio file
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
01/06/2022
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (January 5, 2022)
Monthly CAIS/LTID Industry Testing Checkpoint Call (January 5, 2022) - Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
01/06/2022
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r13
01/04/2022
Announcement
2022 Annual Clock Synchronization Certification
Topics
R. Clock Synchronization
12/22/2021
Event
Industry Testing Checkpoint Call (December 21, 2021)
Industry Testing Checkpoint Call (December 21, 2021) - Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
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