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11/21/2022
Reference Material
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r16
11/17/2022
Event
Monthly CAT Update (November 17, 2022)
11/17/2022
Event
CAIS Industry Testing Checkpoint Call (November 16, 2022)
11/16/2022
Governance
Response to Order Instituting Proceedings on Proposed CAT NMS Plan Amendment Related to Alternative Funding
11/15/2022
Event
CAT Technical Specifications Working Group - November 15, 2022
11/14/2022
Reference Material
CAT LLC- Q4 2022 Financial and Operating Budget
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
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?
10/27/2022
Event
CAIS Industry Testing Checkpoint Call (October 26, 2022)
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