Latest Updates | CATNMSPLAN

11/10/2022
Event
CAIS Industry Testing Checkpoint Call (November 30, 2022)
11/10/2022
Event
CAIS Industry Testing Checkpoint Call (December 7, 2022)
11/10/2022
Basic page
CAT CAIS- Known Issues List - Full CAIS
11/10/2022
Event
CAIS Industry Testing Checkpoint Call (December 14, 2022)
11/10/2022
Basic page
Industry Member Specifications
11/09/2022
Event
CAIS Industry Testing Checkpoint Call (November 9, 2022)
11/08/2022
Technical Specifications
Order Routing Field Mapping between CAT and Exchanges v2.5
11/03/2022
Event
CAIS Industry Testing Checkpoint Call (November 2, 2022)
11/02/2022
Event
Industry Member Full CAIS Report Card Webinar (November 2, 2022)
11/01/2022
FAQ| Q. Customer and Account Information
Q68. How must Industry Members report an FDID Record to CAIS in the scenario where the Authorized Trader is a government employee of a U.S. state, county or municipality and acting in the capacity of a guardian or conservator for a minor or incapacitated person, and the government employee Authorized Trader does not provide a year of birth or input identifier (such as a social security number) citing exemptions from the definition of “customer” under the Customer Identification Program (“CIP”) Rules?
11/01/2022
FAQ| Q. Customer and Account Information
Q70. When reporting a piggyback clearing scenario to CAIS, 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?
10/31/2022
Governance
Notice of Filing of Exemptive Request Letter Related to Unique CCID for Foreign Customers
10/31/2022
Governance
Notice of Filing of Exemptive Request Letter Related to Unique CCID
10/31/2022
FAQ| Q. Customer and Account Information
Q69. How must Industry Members report an FDID Record to CAIS 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?
10/31/2022
Reference Material
Q3 2022 QPR

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A. General
B. Reporting Requirements
C. Definitions
D. Order Receipt
E. Order Routing and Execution
F. Representative Orders
G. Manual Orders
H. ATS
I. Foreign Securities
J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
R. Clock Synchronization
S. Security
T. Production Readiness Testing
U. Allocations
All Topics

A. General
B. Reporting Requirements
C. Definitions
D. Order Receipt
E. Order Routing and Execution
F. Representative Orders
G. Manual Orders
H. ATS
I. Foreign Securities
J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
R. Clock Synchronization
S. Security
T. Production Readiness Testing
U. Allocations
All Topics