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search results for “Cais"
- FAQYes. If an introducing broker or non-self-clearing executing broker has Reportable Events for an account with associated LTIDs or ULTIDs, they must report such accounts to CAIS LTID as described in FAQ Q20.
- Timeline Activity
- EventAudio fileOn August 2, 2022 and August 3, 2022, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a two-part industry webinar focused on Full CAIS Error Repairs, Corrections and Material Inconsistencies. Part 1 will take place on Tuesday, August 2, 2022 at 10 am ET and will focus on the error repair…
- EventAudio fileOn August 2, 2022 and August 3, 2022, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a two-part industry webinar focused on Full CAIS Error Repairs, Corrections and Material Inconsistencies. Part 1 will take place on Tuesday, August 2, 2022 at 10 am ET and will focus on the error repair…
- EventAudio fileOn Tuesday, February 9, 2021 at 1 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar to highlight the customer and account reporting requirements of the CAT NMS Plan and give an overview of the Customer & Account Technical Specifications…
- 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
- FAQQ35. Where can Industry Members find information regarding production readiness testing requirements for CAT CAIS?The requirements are detailed in the CAT CAIS Industry Member Onboarding Guide.
- EventAudio fileOn Tuesday, May 18, 2021 at 9 am ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar to highlight the customer and account reporting requirements of the CAT NMS Plan and give an overview of the CAT Reporting Customer and Account Technical Specifications for…
- 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…
- This webpage provides information for CAT Reporters on how to gain access to the Reference Database Reporter Portal Test and Production environments for the first time. Industry Members and CAT Reporting Agents that report to CAT on behalf of Industry Members must complete all onboarding steps to…