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X. Reference Database
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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
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
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?
Topics
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?
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?
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X. Reference Database
04/23/2026
Newsletter
Monthly CAT Update Newsletter: April 2026
Monthly CAT Update (April 23, 2026) - Newsletter
Topics
A. General
B. Reporting Requirements
V. CAT Billing
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