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- EventAudio file
- EventAudio fileOn Thursday, July 9, 2020 at 11 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…
- EventAudio file
- FAQQ52. What date should Industry Members use to populate the “end date” fields (e.g., fdidEndDate, roleEndDate) when an event has triggered the closure of an account? For example, when a minor reaches the age of majority for a custodial account (e.g., UGMA/UTMA) or upon the death of an account holder for a beneficiary account, how should Industry Members populate these fields?If the Industry Member’s practice is to close an account and open a new account in the scenario where there is a triggering event, the Industry Member must populate the “end date” fields with the date that is maintained in its books and records. The updated record is required to be reported to…
- 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…
- Reference Material
- FAQQ60. If an Industry Member has received a “Not Held” order, which only gives the Industry Member discretion as to the price and time of execution of the order, must the Industry Member be identified as a CAT Customer on the related FDID Record in CAIS?Whether the Industry Member should be identified as a CAT Customer depends on whether the Industry Member is an account holder or has authority to place orders for the account without prior approval of the account holder(s). Absent this authority from the account holder(s) (and assuming the…