Please see the Industry Member CAIS Onboarding Guide for complete details.

For the LTID Phase, Reporting Agents should aggregate the number of accounts with associated LTIDs across all of its broker-dealers (CRDs) it is reporting for. The certification requirements will apply against the aggregate totals of CAIS-reportable accounts with the added requirement that at least one record from every broker-dealer (CRD) that is reportable is included in the certification.

For the Full CAIS Phase, Reporting Agents must provide production data for at least 75% of the FDID population (aggregated across all CAT Reporters for which organization submits data) or 1,000 records, whichever is fewer. In addition, all CAT Customer record(s) corresponding to the submitted FDID records must be provided. Finally, the CAT Customer records for the submitted FDID records must include at least one of each TID Type where the Reporting Agent reports on behalf of a CAT Reporter that has at least one CAT Customer with that TID Type, including:

• SSN/ITIN for a US Natural Person
• EIN for a US Legal Entity
• FOREIGN for a non-US Natural Person or Legal Entity