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search results for “Cais"
- CAT AlertThis CAT Alert describes how Industry Members must transition from the LTID Account Phase of CAIS reporting to Full CAIS (Phase 2e) of CAIS reporting for data and Transformed Identifier (TID) submissions.
- CAT AlertThis CAT Alert announces new Interim Reporting Obligation 4 and Full CAIS Compliance Go-Live dates for Industry Members.
- CAT AlertThis CAT Alert describes the Full Customer and Account Information System (CAIS) reporting implementation schedule for Industry Members and CAT Reporting Agents to achieve Full CAIS Compliance.
- CAT AlertThis CAT Alert provides Industry Members additional CAIS reporting guidance in light of the SEC’s February 10, 2025 order granting exemptive relief related to the reporting of names, addresses, and years of birth for natural persons reported with transformed social security numbers/individual tax…
- CAT AlertSEC's CAIS Exemption Order (CAT Alert 2025-1) provides notice to Industry Members that on February 10, 2025, the SEC published an order (the “Exemption Order”) granting exemptive relief related to the reporting of names, addresses, and years of birth for natural persons reported with transformed…
- Technical Specifications
- Technical Specifications
- FAQAll accounts, Relationships or Entity IDs (as represented by the FDID/Firm Designated ID) with any CAT-reportable activity (equities, options and/or multileg events) on or after June 12, 2022 must be reported to CAIS with the implementation of Phase 2e (Full CAIS). See CAT Alerts 2022-01 and…
- FAQQ33. May an Industry Member leverage a previously established Reporting Relationship for CAIS? For example, if an Industry Member has already authorized a submitter to report transaction data to CAT, must that Industry Member also authorize the same submitter to report data to CAIS?Because all CAIS data is maintained separately from transaction data for data security reasons, Industry Members are required to establish separate Reporting Relationships for CAIS. It is acceptable to have relationships with the same party for both CAT transaction data and CAIS; however they are…
- FAQQ18. When are account movements between broker-dealers (e.g., merger/acquisition) required to be linked in CAIS?Account movements must be linked in CAIS beginning in Phase 2e (Full CAIS May 31, 2024).