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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
M3.
This FAQ has been retired and archived. Please refer to FAQ M1.
Topics
M. Firm Designated ID
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?
Topics
X. Reference Database
05/05/2026
FAQ
A34.
Why is there a question on the CAT Registration Forms (Transaction and Reference Database Registration) asking for a Legal Entity Identifier (LEI)?
Topics
A. General
05/05/2026
FAQ
X5.
When reporting a piggyback clearing scenario to the Reference Database, which Industry Member’s CRD number must the clearing firm populate in the correspondentCRD field when Firm A is piggybacking off of Firm B’s relationship with the clearing firm?
Topics
X. Reference Database
05/05/2026
FAQ
M6.
If an Industry Member uses multiple reporting vendors for both Transaction system and Reference Database reporting, must each vendor use the same firmDesignatedID value representing a single, unique account, relationship or entity identifier when reporting to CAT?
Topics
M. Firm Designated ID
05/05/2026
FAQ
X16.
How must an FDID Record be reported to the Reference Database when the account holder is a foreign trust or foreign estate where an allowable Input Identifier value does not exist because the foreign country or foreign municipality does not require or issue any kind of identifier for the foreign trust or foreign estate, and no such other allowable Input Identifier exists? For example, the foreign trust or foreign estate has no associated Legal Entity Identifier (LEI), and is also not assigned any National Registration or Tax Identifier, or any other governmental-issued identifier by a non-national level government body or agency, such as a corporate registry.
Topics
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?
Topics
X. Reference Database
05/05/2026
FAQ
M16.
This FAQ has been retired and archived.
Topics
M. Firm Designated ID
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
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