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search results for “Cais"
- AnnouncementThe Participants have determined to delay the full Customer Account Information System (“CAIS”) compliance deadline from July 11, 2022, to December 12, 2022. This extension of the compliance deadline will assist in addressing reporting challenges and delays in error feedback and processing, and…
- CAT AlertSEC's CAIS Exemption Order (CAT Alert 2025-1) provides notice to Industry Members that on February 10, 2025, the SEC published an order (the “Exemption Order”) granting exemptive relief related to the reporting of names, addresses, and years of birth for natural persons reported with transformed…
- Planned LTID Phase Technical Specification Update Last Updated: 11/02/2022 # Status Summary Publish Date Spec Version 1 Open Clarify that malformed LTID can be corrected by sending the same FDID with corrected LTID entry - does NOT require…
- EventAudio fileOn Wednesday, November 29, 2023 at 4:15 pm Eastern Time and Wednesday, December 6, 2023 at 4:15 pm Eastern Time, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a two-part industry webinar covering upcoming CAIS releases. Part one will provide an overview of the planned releases, and…
- EventAudio fileOn Wednesday, November 29, 2023 at 4:15 pm Eastern Time and Wednesday, December 6, 2023 at 4:15 pm Eastern Time, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a two-part industry webinar covering upcoming CAIS releases. Part one will provide an overview of the planned releases, and…
- Reference Material
- 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…
- Technical Specifications
- Reference Material
- EventAudio fileConsolidated Audit Trail, LLC and FINRA CAT, LLC will host an Industry Testing Checkpoint Call for CAIS on Wednesday, February 23, 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…