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05/24/2023
Reference Material
CAT Reporter Agreement (Redlined PDF for reference)
05/24/2023
Reference Material
CAT Reporting Agent Agreement (PDF for reference)
Topics
A. General
05/24/2023
Reference Material
CAT Reporter Agreement (PDF for reference)
Topics
A. General
05/23/2023
FAQ
Q68.
How must Industry Members report an FDID Record to CAIS in the scenario where the Authorized Trader is a government employee of a U.S. state, county or municipality and acting in the capacity of a guardian or conservator for a minor or incapacitated person, and the government employee Authorized Trader does not provide a year of birth or Input Identifier (such as a social security number) citing exemptions from the definition of “customer” under the Customer Identification Program (“CIP”) Rules?
Topics
Q. Customer and Account Information
05/22/2023
Governance
Notice of Filing of Exemptive Request Letter Related to the Fourth Financial Accountability Milestone
05/19/2023
Event
Monthly CAT Update (May 18, 2023)
Monthly CAT Update (May 18, 2023) - Presentation
Audio file
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
05/18/2023
Governance
Response to Comments on Proposed CAT NMS Plan Amendment Related to Funding Proposal
05/15/2023
Event
Monthly CAT Update (October 19, 2023)
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
05/11/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (May 10, 2023)
Monthly CAIS Industry Testing Checkpoint Call (May 10, 2023) - Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
04/28/2023
Reference Material
Q1 2023 QPR
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