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- EventAudio fileConsolidated Audit Trail, LLC and FINRA CAT, LLC will host an Industry Testing Checkpoint Call for CAIS on Thursday, April 7, 2022 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 ability to…
- EventAudio fileConsolidated Audit Trail, LLC and FINRA CAT, LLC will host an Industry Testing Checkpoint Call for CAIS on Thursday, April 21, 2022 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 ability to…
- EventAudio fileConsolidated Audit Trail, LLC and FINRA CAT, LLC will host an Industry Testing Checkpoint Call for CAIS on Wednesday, May 4, 2022 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 ability to…
- Technical Specifications
- EventAudio fileConsolidated Audit Trail, LLC and FINRA CAT, LLC will host an Industry Testing Checkpoint Call for CAIS on Wednesday, August 17, 2022 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 ability…
- FAQQ70. When reporting a piggyback clearing scenario to CAIS, which Industry Member’s CRD number must the clearing firm populate in the correspondentCRD field when Firm A is piggybacking off of Firm B’s relationship with the clearing firm?When the piggyback firm is fully disclosed, the correspondentCRD field must be populated with the CRD number of the introducing firm that has the relationship with the customer. For example, in a piggyback scenario where the piggyback firm is fully disclosed and Firm A (with customer relationships)…
- FAQQ3. When must Industry Members submit Customer Account Information and Customer Identifying Information to the CAT?The reporting of Customer Identifying Information and Customer Account Information consists of two phases, an earlier phase in which Industry Members must report to the CAT certain account information regarding account holders with a Large Trader Identification (LTID) number or an Unidentified…
- EventAudio fileA live demonstration of the functionality available on the CAT CAIS Reporter Portal was recorded during this Technical Specifications Working Group. This demonstration is available as a video tutorial on the Video Tutorials page: Part 3: Overview and Demonstration of the CAT CAIS Reporter…
- Report Card: CAIS Open Issues List Last Updated: 9/8/2022 # Summary Impact Scope Impacted Dates Resolution Target Resolution Date n/a Report Card: CAIS Closed Issues List…