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search results for “Cais"
- EventAudio fileConsolidated Audit Trail, LLC and FINRA CAT, LLC will host Weekly Industry Testing Checkpoint Calls for CAIS/LTID every Wednesday at 4:15 pm ET beginning on August 26, 2020 until further notice. The events will be held at 4:15 pm ET. Update - Effective September 2, 2020, these calls will be held…
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- EventAudio fileConsolidated Audit Trail, LLC and FINRA CAT, LLC will host a monthly Industry Testing Checkpoint Call for CAIS/LTID on Wednesday, March 3, 2021 at 4:15 pm ET. Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to ensure your firm has…
- 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…
- FAQConcurrent with Phase 2c (April 26, 2021), LTIDs or ULTIDs associated with FDIDs must be reported in the LTID Phase of CAIS (“CAIS LTID”) when all three of the following conditions are met: a. The Industry Member is a Large Industry Member (which is an Industry…
- EventAudio fileConsolidated Audit Trail, LLC and FINRA CAT, LLC will host a monthly Industry Testing Checkpoint Call for CAIS/LTID on Wednesday, April 7, 2021 at 4:15 pm ET. Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to ensure your firm has…
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- EventAudio fileConsolidated Audit Trail, LLC and FINRA CAT, LLC will host a monthly Industry Testing Checkpoint Call for CAIS/LTID on Wednesday, July 7, 2021 at 4:15 pm ET. Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to ensure your firm has the…
- EventAudio file