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search results for “Cais"
- CAT CAIS Open Issues List (Full CAIS)
- Technical Specifications
- On March 27, 2026, the SEC approved an amendment to the CAT NMS Plan to implement certain cost savings initiatives. As a result of the approved amendment and the cessation of certain regulatory obligations, FINRA CAT has ceased the issuance of the CAIS Report Card. The CAIS Compliance…
- Technical Specifications
- Technical Specifications
- Technical Specifications
- EventAudio fileOn Wednesday, June 9, 2021 at 4:15 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar to provide an overview of the CAIS Report Card. The webinar will follow the regularly scheduled Industry Testing Checkpoint Call for CAIS/LTID. Please note that FINRA…
- AnnouncementThe CAT CAIS Production Environment will be unavailable from approximately 8:00 a.m. ET Friday, January 5, 2024 until approximately 5:00 p.m. ET Monday, January 8, 2024 due to scheduled maintenance. Because CAIS will not be able to accept submissions of new customer and account information…
- AnnouncementOn August 2, 2023 Consolidated Audit Trail, LLC and FINRA CAT, LLC published new CAT Alert 2023-01. It establishes new Interim Reporting Obligation 4 and Full CAIS Compliance Go-Live dates for Industry Members. The new deadlines are: Interim Reporting Obligation…
- CAT CAIS Open Issues List (LTID Phase) Last Updated: 08/24/2022 Please see the CAT CAIS- Known Issues List (Full CAIS), which notes open issues that impact the LTID Phase when applicable.