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search results for “Cais"
- FAQQ9. What is an Unidentified Large Trader ID (ULTID) and are all Industry Members required to report ULTIDs to CAT CAIS?As described in the Customer and Account Technical Specifications for Industry Members (LTID and Full CAIS), in the scenario a CAT Reporter that is a clearing firm or self-clearing firm determines a person (which includes both natural persons and legal entities under Section 13(h)(8)(E) of the…
- AnnouncementOn August 2, 2023 Consolidated Audit Trail, LLC and FINRA CAT, LLC published new CAT Alert 2023-01. It establishes new Interim Reporting Obligation 4 and Full CAIS Compliance Go-Live dates for Industry Members. The new deadlines are: Interim Reporting Obligation…
- EventAudio fileOn Wednesday, October 6, 2021 at 4:15 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar focusing on Full CAIS Certification ahead of the Customer and Account Information Testing Environment opening on January 31, 2022. The webinar will follow the regularly…
- Timeline Activity
- EventAudio fileOn Tuesday, March 18, 2025 at 4:15 pm Eastern Time, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host Part 2 of a two-part industry webinar on upcoming CAIS Report Card Enhancements. Part one, on Thursday, March 13, 2025 will provide an overview on the change in how the CAIS Compliance…
- EventAudio fileOn Thursday, March 13, 2025 at 4:15 pm Eastern Time and Tuesday, March 18, 2025 at 4:15 pm Eastern Time, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a two-part industry webinar on upcoming CAIS Report Card Enhancements. Part one will provide an overview on the change in how the CAIS…
- Technical Specifications
- EventAudio fileConsolidated Audit Trail, LLC and FINRA CAT, LLC will host a Full CAIS 101 webinar on Tuesday, March 1 at 9:15 am ET. This webinar is designed for Industry Members that may be new to, or less familiar with, the Full Customer and Account Information System (“CAIS”) and will provide an introduction…
- Reference Material
- FAQNo. Unless a new account or entity identifier is assigned to a client or customer, each Firm Designated ID (FDID) must be unique, persistent and consistent for each trading account within the firm and across all vendors and systems the Industry Member may use to report Transaction Order events…Topics