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UPCOMING EVENT
May
15
Monthly CAT Update (May 15, 2025)
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08/02/2023
FAQ
Q8.
May Industry Members provide Customer Account Information on all of their accounts, not just Active Accounts or those Active Accounts in scope for a given phase of reporting?
Topics
Q. Customer and Account Information
08/02/2023
FAQ
Q18.
When are account movements between broker-dealers (e.g., merger/acquisition) required to be linked in CAIS?
Topics
Q. Customer and Account Information
08/02/2023
FAQ
Q21.
What is the reporting deadline for reporting Customer and Account information for the LTID Phase and Full Customer and Account Phase?
Topics
Q. Customer and Account Information
08/02/2023
FAQ
Q27.
When will CAIS open for Production, and what happens after that date?
Topics
Q. Customer and Account Information
08/02/2023
FAQ
Q28.
What is expected to be in CAIS LTID on April 26, 2021, when mandatory reporting starts?
Topics
Q. Customer and Account Information
08/02/2023
FAQ
Q40.
The CAT NMS Plan specifies that “Active Account” information needs to be populated in CAIS with the implementation of Phase 2e (Full CAIS). What is an “Active Account”?
Topics
Q. Customer and Account Information
08/02/2023
FAQ
Q42.
A broker-dealer systematized a Customer’s account information on a specific date, but the new account form was dated with a date prior to the systematized date. Is it permitted for the broker-dealer to report the later systematized date as the fdidDate on the related FDID Record?
Topics
Q. Customer and Account Information
08/02/2023
FAQ
M16.
FAQ M1 identifies certain limited circumstances where a change/replacement in Firm Designated ID (FDID) value associated with a particular trading account or Relationship ID would be permissible. If an Industry Member changes an FDID due to one of these limited circumstances prior to Full CAIS, what additional steps are required?
Topics
M. Firm Designated ID
08/02/2023
FAQ
Q51.
How should an Industry Member populate the roleStartDate field if it did not record the date on which the Customer entered into the specified role on the account?
Topics
Q. Customer and Account Information
08/02/2023
FAQ
Q58.
To facilitate reporting of correct Customer names as required by the CAT NMS Plan, the Full CAIS Technical Specifications require Natural Person first and last names to be reported in two separate fields. Accordingly, if both the firstName and lastName fields for Natural Person Customers are not populated, the Customer Record will be rejected. The Plan Participants understand that some Industry Members have historically maintained the first and last names in a single field within their system and may be unable to parse them into separate fields by the implementation schedule set forth in CAT Alerts 2022-01 and 2023-01. How must Industry Members report Natural Person Customers if the first and last names are not able to be parsed within the Industry Member’s system by the time the Customer Record is required to be reported to CAIS ?
Topics
Q. Customer and Account Information
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