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05/05/2026
FAQ
X4. An Industry Member chooses to optionally report a DVP/RVP account that does not have a clearing number or DTC number. In this scenario, how should the DVPCustodianID field be populated when a DVP/RVP account is temporarily not assigned a clearing number or DTC number because the account is new, or the current clearing number or DTC number has been removed from DTCC's ALERT service and no new clearing number or DTC number is available?

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X. Reference Database
05/05/2026
FAQ
X15. Is a Global Intermediary Identification Number (“GIIN”) an accepted identifier to generate a foreignTIDType for a foreign legal entity?

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X. Reference Database
05/05/2026
FAQ
X8. In a Mass Transfer of FDIDs across Industry Members, what constitutes an “Active Account” required to be reported to the Reference Database by the acquiring firm and when is it required to be reported to the Reference Database?

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X. Reference Database
05/05/2026
FAQ
X3. When a clearing firm is optionally reporting allocations to an account that is owned or controlled by an introducing broker/correspondent, what value should the clearing firm populate in the accountType field for the related FDID Record?

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X. Reference Database
05/05/2026
FAQ
X13. Must the Industry Member be identified as a CAT Customer on the related FDID Record in the Reference Database when there are standing instructions on the CAT Customer’s account, when the Industry Member originates an order in a CAT Customer’s account to satisfy a legal requirement or SEC/SRO rule or when the Industry Member liquidates fractional shares held in a CAT Customer’s account to facilitate operational processes?

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X. Reference Database
05/05/2026
FAQ
X7. FAQ B53 states that account transfers between broker-dealers are not orders, as defined by Rule 613. How should such activity be reflected in the Reference Database?

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X. Reference Database
05/05/2026
FAQ
X1. Can an Industry Member submit the same record to the Reference Database every business day? Or should the Industry Member submit only a delta record? For example, if a record is submitted on T and nothing changes, can the same record be submitted on T+1, T+2, etc.? Or should the Industry Member only resubmit the record if a required data element changes?

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X. Reference Database
05/05/2026
FAQ
X12. If an Industry Member has received a “Not Held” order, which only gives the Industry Member discretion as to the price and time of execution of the order, must the Industry Member be identified as a CAT Customer on the related FDID Record in the Reference Database?

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X. Reference Database
05/05/2026
FAQ
X14. How should Industry Members populate the customerType field for a CAT Customer who has a US Taxpayer Identification Number but a foreign address, foreign identification/passport or is otherwise identified as foreign by the Industry Member?

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X. Reference Database
05/05/2026
FAQ
X18. How must Industry Members report an FDID Record to the Reference Database when a disregarded entity and its parent company have the same Employer Identification Number (EIN) and are both CAT Customers associated to the same FDID? Does the reporting requirement change if the disregarded entity has a different EIN from its parent company?

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X. Reference Database

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