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Displaying 51 - 60 of 1617 results
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A. General
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H. ATS
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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
M10.
This FAQ has been retired and archived. Please refer to FAQ M2.
Topics
M. Firm Designated ID
05/05/2026
FAQ
M9.
This FAQ has been retired and archived. Please refer to M2.
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
05/05/2026
FAQ
X17.
How must a CAT Customer’s tidValue (“TID value”) be generated when the CAT Customer does not have a US-assigned Input Identifier but has more than one foreign Input Identifier of a specific type– such as multiple Tax Identifiers or multiple Legal Entity Identifiers (LEI)?
Topics
X. Reference Database
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
X15.
Is a Global Intermediary Identification Number (“GIIN”) an accepted identifier to generate a foreignTIDType for a foreign legal entity?
Topics
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?
Topics
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?
Topics
X. Reference Database
05/05/2026
FAQ
X6.
Following the closure of an account and the associated FDID being ended in the Reference Database, is an Industry Member required to re-activate the FDID in the Reference Database for non-CAT reportable entries, such as delayed dividend payments?
Topics
X. Reference Database
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