Latest Updates | CATNMSPLAN

08/19/2022
Announcement
2022 Consolidated Audit Trail Advisory Committee List
08/18/2022
FAQ| Q. Customer and Account Information
Q42. A broker-dealer systematized a Customer Record on a specific date, but the Customer had opened an account with the firm prior to that date. Is it permitted for the broker-dealer to report the later date when the broker-dealer systematized the Customer record as the account effective date?
08/18/2022
Event
CAIS Industry Testing Checkpoint Call (August 17, 2022)
08/18/2022
FAQ| Q. Customer and Account Information
Q51. How should an Industry Member populate the roleStartDate field if it did not record the date on which the Customer entered into the specified role on the account?
08/17/2022
Reference Material
Response to Comments on Proposed CAT NMS Plan Amendment Related to Alternative Funding Model
08/16/2022
Event
CAT CAIS Technical Specification Working Group - August 16, 2022
08/11/2022
FAQ| M. Firm Designated ID
M7. How will regulators use the Firm Designated ID (FDID)?
08/11/2022
FAQ| Q. Customer and Account Information
Q41. FAQ Q40 states that all accounts with any CAT-reportable activity on or after June 12, 2022 must be reported to CAIS with the implementation of Phase 2e (Full CAIS). Are Industry Members required to capture and report updates or changes to customer and account information that occur between June 12, 2022 and the first time the record is required to be reported to CAIS?
08/11/2022
FAQ| Q. Customer and Account Information
Q59. What FDIDs are in scope for Full CAIS reporting?
08/11/2022
FAQ| Q. Customer and Account Information
Q27. When will CAIS open for Production, and what happens after that date?
08/11/2022
FAQ| Q. Customer and Account Information
Q15. If an Industry Member ends an LTID to FDID association for a legitimate reason (such as the customer no longer qualified as a large trader), and later is required to reestablish it, what should the ltidEffectiveDate be?
08/11/2022
FAQ| M. Firm Designated ID
M16. FAQ M1 identifies certain limited circumstances where a change/replacement in Firm Designated ID (FDID) value associated with a particular trading account or Relationship ID would be permissible. If an Industry Member changes an FDID due to one of these limited circumstances prior to Full CAIS, what additional steps are required?
08/11/2022
FAQ| Q. Customer and Account Information
Q18. When are account movements between broker-dealers (e.g., merger/acquisition) required to be linked in CAIS?
08/11/2022
FAQ| Q. Customer and Account Information
Q21. What is the reporting deadline for reporting Customer and Account information for the LTID phase and full Customer and Account phase?
08/11/2022
FAQ| Q. Customer and Account Information
Q54. Starting with the implementation of Phase 2e (Full CAIS), Industry Members must report one mailing address associated to the FDID in the ‘ADDRESS1’ value of the addrType field. If an FDID is based on a relationship that represents multiple customers with different addresses, and the Industry Member does not store an address for the relationship, but maintains the addresses at the customer level, what address should the Industry Member report to CAIS for ‘ADDRESS1’?

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A. General
B. Reporting Requirements
C. Definitions
D. Order Receipt
E. Order Routing and Execution
F. Representative Orders
G. Manual Orders
H. ATS
I. Foreign Securities
J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
R. Clock Synchronization
S. Security
T. Production Readiness Testing
U. Allocations
All Topics

A. General
B. Reporting Requirements
C. Definitions
D. Order Receipt
E. Order Routing and Execution
F. Representative Orders
G. Manual Orders
H. ATS
I. Foreign Securities
J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
R. Clock Synchronization
S. Security
T. Production Readiness Testing
U. Allocations
All Topics