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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

Sep

19

Monthly CAT Update (September 19, 2024)

04:15PM EDT

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Displaying 1 - 10 of 289 results

09/04/2024
Event
Monthly CAT Update (October 17, 2024)

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/04/2024
Event
Monthly CAT Update (December 19, 2024)

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/04/2024
Event
Monthly CAT Update (November 21, 2024)

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/27/2024
Event
CAT CAIS Technical Specifications Working Group - August 27, 2024
- CAT CAIS Technical Specifications Working Group (August 27, 2024)- Presentation
Audio file

Topics

Q. Customer and Account Information
08/16/2024
Event
Monthly CAT Update (August 15, 2024)
- Monthly CAT Update (August 15, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/15/2024
Technical Specifications
Full CAIS Industry Member Release Rollout

Topics

Q. Customer and Account Information
07/25/2024
FAQ
Q19. When will full account refreshes be required?

Topics

Q. Customer and Account Information
07/18/2024
Event
Monthly CAT Update (July 18, 2024)
- Monthly CAT Update (July 18, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
07/18/2024
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.2 (Clean)

Topics

Q. Customer and Account Information
07/11/2024
Event
CAIS Industry Testing Checkpoint Call (July 10, 2024)
- CAIS Industry Testing Checkpoint Call - Presentation
Audio file

Topics

M. Firm Designated ID

Q. Customer and Account Information

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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