Beginning with the implementation of Phase 2e (Full CAIS), the addressList field at the account level is required to be populated for each FDID reported to CAIS. Industry Members must report one mailing address associated with the account in the ‘ADDRESS1’ value of the addrType field. The mailing address submitted is the destination where account correspondence is sent at the account level. In addition to the requirement to distinguish a mailing address for the account, Industry Members have the ability to report an additional three addresses associated with the FDID at the account level via the ‘ADDRESS2’, ‘ADDRESS3’, and ‘ADDRESS4’ values. If multiple addresses are associated with a particular account, then Industry Members must submit these additional addresses to CAIS if such address information is reasonably available. For example, Industry Members that maintain three mailing addresses for a particular account would populate such address information as addrType values of ‘ADDRESS1’, ‘ADDRESS2’, and ‘ADDRESS3’.

As noted in FAQ M12, the Firm Designated ID applies to a trading account, not to a particular Customer. However, in addition to supporting address records maintained at the account level, CAIS supports the ability for Industry Members to report up to four addresses associated with a particular customer record via the addressList field. In instances where an Industry Member maintains separate addresses at the account and customer level, then all such reasonably available addresses must be reported to CAIS.

For more information on the requirements for the data attributes for Customer information pursuant to the CAT NMS Plan, see Sections 9.1 and 9.2 of Appendix D.