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Q. Customer and Account Information

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

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24

CAIS Industry Testing Checkpoint Call (April 24, 2024)

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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

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02/28/2024
Event
Monthly CAT Update (June 20, 2024)

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
02/15/2024
Event
Monthly CAT Update (February 15, 2024)
- Monthly CAT Update (February 15, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
02/08/2024
Event
Monthly CAIS Industry Testing Checkpoint Call (February 7, 2024)
- Monthly CAIS Industry Testing Checkpoint Call (February 7, 2024) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
01/22/2024
FAQ
Q55. When an Industry Member receives a Material Inconsistency notification, is it required to contact its Customer to confirm the Customer’s information?

Topics

Q. Customer and Account Information
01/22/2024
CAT Alert
CAT Alert 2023-01: Interim Reporting Obligation 4 and Full CAIS Go-Live

Topics

Q. Customer and Account Information
01/22/2024
CAT Alert
CAT Alert 2022-01: Full CAIS Reporting Timeline and Interim Reporting Obligations

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Q. Customer and Account Information
01/18/2024
Event
Monthly CAT Update (January 18, 2024)
- Monthly CAT Update (January 18, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/10/2024
Event
Monthly CAIS Industry Testing Checkpoint Call (January 10, 2024)
- Monthly CAIS Industry Testing Checkpoint Call (January 10, 2024) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
12/29/2023
Announcement
1/5/2024 - 1/8/2024 CAT CAIS Maintenance - Reminder

Topics

Q. Customer and Account Information
12/20/2023
Event
Monthly CAT Update (December 19, 2023)
- Monthly CAT Update (December 19, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

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