What address should an Industry Member report to CAT CAIS for accounts that are owned by the Industry Member such as proprietary trading accounts and inventory accounts?
The Industry Member must populate as ‘ADDRESS1’ the same principal business address as is listed on its Uniform Application for Broker-Dealer Registration (or “Form BD”). If the Industry Member listed a separate mailing address on its Form BD, it must populate this address as ‘ADDRESS2’.
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Yes