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search results for “Cais"
- FAQQ41. 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?As outlined in FAQ Q40, all Active Accounts with activity on or after June 12, 2022 must be reported to CAIS with the implementation of Phase 2e (Full CAIS). Industry Members are required to report the current state of the customer information and account records in effect at the time the account…
- FAQBeginning April 26, 2021, Large Industry Members will be required to report into CAIS LTID all FDIDs with associated LTIDs or ULTIDs with Reportable Activity on or after April 26, 2021. Firms may choose to report accounts without associated LTIDs or ULTIDs, but there is no requirement to do so…
- FAQThere is no record limit for files submitted to CAT CAIS through SFTP. However, files submitted through SFTP are limited to a maximum uncompressed size of 7GB. Files sizes <= 1GB are recommended as feedback will be returned faster. For more information, see CAIS Technical Specification section 5…
- FAQCAIS LTID opened for Production on December 14, 2020. Once a CAT Reporter was certified, it was enabled to submit into Production. Any data submitted into Production, even before the April 26, 2021 mandatory reporting date, was considered “live” data and any changes to the reportable attributes of…
- CAT AlertOn January 13, 2026, the SEC approved an amendment (“the Amendment”) to the CAT NMS Plan relating to the Customer and Account Information System (“CAIS”). This CAT Alert addresses the Industry Member impacting items in the Amendment.On March 27, 2026, the SEC approved another amendment to the CAT…Topics
- FAQYes, Production data may be submitted to the CAIS Test environment. Optionally, data submitted to the CAIS Test environment can be obfuscated; however it is not required. For more information on testing in the CAT CAIS Test environment, see the Testing section of the CAT Reporting Customer and…
- FAQQ40. The CAT NMS Plan specifies that “Active Account” information needs to be populated in CAIS with the implementation of Phase 2e (Full CAIS). What is an “Active Account”?Section 1.1 of the CAT NMS Plan defines “Active Accounts” as “an account that has had activity in Eligible Securities within the last six months.” Section 6.4(d)(iv) of the Plan, as well as the SRO CAT Compliance Rules, requires each Industry Member to “submit an initial set of the Customer…
- FAQQ72. In a Mass Transfer of FDIDs across Industry Members, what constitutes an “Active Account” required to be reported to CAIS by the acquiring firm and when is it required to be reported to CAIS?In a Mass Transfer scenario, an “Active Account” is reportable to CAIS once there is Transaction-reportable activity for the FDID under the acquiring Industry Member’s CRD number. The Mass Transfer must be reported in accordance with the guidance in the Full CAIS Technical Specifications for…
- Technical Specifications
- FAQQ43. The CAT Reporting Technical Specifications for Industry Members allows for a firmDesignatedID value of ‘PENDING’ if an FDID has not yet been created when an order has been received. Should Industry Members report a firmDesignatedID value of ‘PENDING’ to CAT CAIS?No. CAT CAIS will reject a firmDesignatedID value of ‘PENDING’. Once the FDID becomes available, the Industry Member must report the actual FDID in the firmDesignatedID field to CAT CAIS in the phase in which the Industry Member is required to report FDIDs to CAT CAIS. The CAT NMS Plan requires…