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search results for “Cais"
- FAQQ71. How must Industry Members report an FDID Record to CAIS when a Natural Person and two trusts are all CAT Customers associated with the same FDID and the Tax Identifier of the two trusts is the same as the Natural Person’s Social Security Number (SSN)?Per the Full CAIS Technical Specifications, each CAT Customer must only have one active role in association to the FDID at a time. Therefore, an attempt to associate two or more active CAT Customers with the same SSN to the same FDID will result in a rejection. When multiple trusts (or sole…
- Reference Database Registration & OnboardingThis page provides information related to Reference Database Registration & OnboardingCAT Transaction Registration & OnboardingThis page provides information related to CAT Transaction Registration & Onboarding
- 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…
- EventAudio fileConsolidated Audit Trail, LLC and FINRA CAT, LLC will host a Monthly CAT Update on Thursday August 15, 2024 at 4:15 pm ET. The Monthly CAT Update meetings provide the industry with a high level overview of statistics, open issues, newly published guidance, announcements and reminders. The Monthly…
- AnnouncementAs previously announced, the last two Industry Member Compliance deadlines noted in CAT Alert 2022-01, Interim Reporting Obligation 4 and Full CAIS Compliance Go-Live, have been delayed to future dates. The new deadlines will be announced no later than August 15, 2023 and will not be before the…
- FAQQ61. Must the Industry Member be identified as a CAT Customer on the related FDID Record in CAIS when there are standing instructions on the Customer’s account, when the Industry Member originates an order in a Customer’s account to satisfy a legal requirement or SEC/SRO rule or when the Industry Member liquidates fractional shares held in a Customer’s account to facilitate operational processes?Whether the Industry Member should be identified as a CAT Customer on the FDID Record 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…
- Reference MaterialJune 22, 2026 - CAT LLC Comment Letter on SEC Concept Release on CAT and Other Audit Trails and Data Sources
- Reference Material
- EventAudio fileOn Thursday, June 10, 2021 at 11 am ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar to review the steps that Small Firms must take to prepare for reporting to the CAT Transaction System and CAT Customer and Account Information System ("CAIS") by the compliance…