Topics | CATNMSPLAN

Content type

Topics

Year

Q. Customer and Account Information

This topic includes information related to the requirements for reporting customer and account data to the CAT.

UPCOMING EVENT

Dec

06

Part 2: CAIS Releases (December 6, 2023)

04:15PM EST

Add To My Calendar

Displaying 1 - 10 of 257 results

11/30/2023
Event
Part 1: CAIS Releases (November 29, 2023)
- Part 1: CAIS Releases (November 29, 2023) - Presentation
Audio file

Topics

Q. Customer and Account Information
11/17/2023
Event
Monthly CAT Update (November 16, 2023)
- Monthly CAT Update (November 16, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
11/16/2023
Technical Specifications
Full CAIS Industry Member Release Rollout

Topics

Q. Customer and Account Information
11/09/2023
Event
Part 2: CAIS Releases (December 6, 2023)

Topics

Q. Customer and Account Information
11/08/2023
Event
Part 2: CAT Billing Webinar
- Part 2: CAT Billing Webinar - Presentation
Audio file

Topics

Q. Customer and Account Information
11/07/2023
FAQ
Q72. In a Mass Transfer of FDIDs across Industry Members, what constitutes an “Active Account” required to be reported to CAIS by the acquiring firm and when is it required to be reported to CAIS?

Topics

Q. Customer and Account Information
11/02/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (November 1, 2023)
- Monthly CAIS Industry Testing Checkpoint Call (November 1, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
10/20/2023
Event
Monthly CAT Update (October 19, 2023)
- Monthly CAT Update (October 19, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
10/11/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (October 11, 2023)
- Monthly CAIS Industry Testing Checkpoint Call (October 11, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/22/2023
Event
Monthly CAT Update (September 21, 2023)
- Monthly CAT Update (September 21, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

1
2
3
4
5
6
7
8
9
…
Next ›
Last »

Need Help?

Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].

A. General
B. Reporting Requirements
C. Definitions
D. Order Receipt
E. Order Routing and Execution
F. Representative Orders
G. Manual Orders
H. ATS
I. Foreign Securities
J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
R. Clock Synchronization
S. Security
T. Production Readiness Testing
U. Allocations
V. CAT Billing
All Topics

A. General
B. Reporting Requirements
C. Definitions
D. Order Receipt
E. Order Routing and Execution
F. Representative Orders
G. Manual Orders
H. ATS
I. Foreign Securities
J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
R. Clock Synchronization
S. Security
T. Production Readiness Testing
U. Allocations
V. CAT Billing
All Topics