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UPCOMING EVENT
Dec
19
Monthly CAT Update (December 19, 2024)
04:15PM EST
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04/20/2021
FAQ
Q43.
The CAT Reporting Technical Specifications for Industry Members allows for a firmDesignatedID value of ‘PENDING’ if an FDID has not yet been created when an order has been received. Should Industry Members report a firmDesignatedID value of ‘PENDING’ to CAT CAIS?
Topics
Q. Customer and Account Information
04/20/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r3
04/20/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r4
04/16/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (4/15/21)
Monthly CAT Implementation Update (4/15/21)- Presentation
OATS Retirement Status Update (4/15/21)- Presentation
Audio file
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
04/15/2021
FAQ
Q20.
When is an LTID considered to be reportable into CAIS?
Topics
Q. Customer and Account Information
04/14/2021
Event
Industry Testing Checkpoint Call (April 13, 2021)
Industry Testing Checkpoint Call (4/13/2021)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
04/13/2021
Technical Specifications
Customer and Account Industry Member Submission Schema v1.2
04/07/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (April 7, 2021)
Monthly CAIS/LTID Industry Testing Checkpoint Call (4/7/21)- Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
04/06/2021
FAQ
U19.
How should the DVPCustodianID field in the Post-Trade Allocation event (MEPA) be populated when an allocation involves a foreign entity for which a DTC number is known?
Topics
U. Allocations
04/06/2021
FAQ
U24.
Is an Industry Member that is a clearing broker required to report an allocation report before all required information about the allocation is known? Specifically, allocations to DVP accounts require the DVPCustodianID field to be populated. How would the clearing firm report an allocation report if the DVPCustodianID is not yet available?
Topics
U. Allocations
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