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- FAQsThis page displays Frequently Asked Questions and responses related to various Consolidated Audit Trail topics. Registration & OnboardingThis page displays published guidance related to Transaction and CAIS Registration, Onboarding, and Connectivity and use of the Transaction and CAIS…
- EventAudio fileOn Wednesday, May 5, 2021 at 4:15 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar to review the requirements for translating Input Identifiers of CAT Customers to Transformed Identifier Values. All Industry Members are required to report Transformed Identifier…
- 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…
- 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…
- 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…
- FAQBeginning with the implementation of Phase 2e (Full CAIS), the addressList field at the account level is required to be populated for each FDID reported to CAIS. Industry Members must report one mailing address associated with the account in the ‘ADDRESS1’ value of the addrType field. The mailing…
- CAT AlertThis CAT Alert announces new Interim Reporting Obligation 4 and Full CAIS Compliance Go-Live dates for Industry Members.
- FAQQ25. If my firm is a broker-dealer (CRD) that uses a Reporting Agent to report into CAT CAIS, does my firm need to certify separately if we have CAIS-reportable activity?Yes, all broker-dealers will be required to be certified in order to gain access to the CAIS Production environment. The certification may be supported by their Reporting Agent. See the Industry Member CAIS Onboarding Guide for details on production readiness certification.
- AnnouncementThe last two Industry Member Compliance dates noted in CAT Alert 2022-01, Interim Reporting Obligation 4 and Full CAIS Compliance Go-Live, currently March 10 and March 17 respectively, will be moved to future dates to be announced shortly. The new dates are not anticipated to be before…Topics
- CAT AlertThe Customer and Account Reporting Disclosure Form is used for two purposes: (1) Type 1 Disclosure (optional): To self-report issues related to an Industry Member’s Customer and Account Information (“CAIS”) submissions (e.g., erroneously reported Customer and Account Information, non-reporting or…