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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?
Topics
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?
Topics
X. Reference Database
05/05/2026
FAQ
X2.
Is an Industry Member permitted to submit a CAT Customer’s Sensitive Identifier, name, address, date of birth or account number to the Reference Database?
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X. Reference Database
05/05/2026
FAQ
X11.
What CAT Customer information should be reported to the CAT when a legal entity (an “entity authorized trader” for purposes of this FAQ only) - such as a registered investment adviser or a bank trust department - is authorized to provide trading instructions for an account, and the Industry Member receives trading instructions for the account from a natural person who is employed by the entity authorized trader and who is authorized to trade for that account on behalf of the entity authorized trader? For the purposes of this FAQ, neither the entity authorized trader nor the employee authorized to trade for the account on behalf of the entity authorized trader is an account holder for the account at issue.
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X. Reference Database
04/23/2026
Newsletter
Monthly CAT Update Newsletter: April 2026
Monthly CAT Update (April 23, 2026) - Newsletter
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B. Reporting Requirements
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