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search results for “Cais"
- 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
- Reference Material
- 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…
- FAQQ48. What address should an Industry Member report to CAT CAIS for accounts that are owned by the Industry Member such as proprietary trading accounts and inventory accounts?The Industry Member must populate as ‘ADDRESS1’ the same principal business address as is listed on its Uniform Application for Broker-Dealer Registration (or “Form BD”). If the Industry Member listed a separate mailing address on its Form BD, it must populate this address as ‘ADDRESS2’.
- 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…
- 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…
- Reference Material