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UPCOMING EVENT

Jun

01

CAIS Industry Testing Checkpoint Call (June 1, 2022)

04:15PM EDT

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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

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05/24/2022
Event
CAT Transaction and CAIS Technical Specification Working Group - May 24, 2022
Audio file

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information
05/23/2022
Event
CAT CAIS Technical Specifications Working Group - May 3, 2022
- CAT Full CAIS Technical Specifications Updates (May 3, 2022) - Presentation
Audio file

Topics

Q. Customer and Account Information
05/23/2022
Reference Material
May 20, 2022 Letter to SEC- Proposed Amendment to Reporter Agreement and Reporting Agent Agreement
05/23/2022
Event
Part 2: Full CAIS Error Repairs, Corrections and Material Inconsistencies (June 9, 2022)

Topics

Q. Customer and Account Information
05/23/2022
Event
Part 1: Full CAIS Error Repairs, Corrections and Material Inconsistencies (June 8, 2022)

Topics

Q. Customer and Account Information
05/19/2022
Event
CAIS Industry Testing Checkpoint Call (May 18, 2022)
- CAIS Industry Testing Checkpoint Call (May 18, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
05/17/2022
FAQ
Q62. Since clearing firms rely on their correspondent firms to provide Customer information required for CAIS reporting, can a clearing firm, reporting its version of a Customer on an FDID record, replicate the attribute value for certain required data elements as provided by its correspondent firm?

Topics

Q. Customer and Account Information
05/17/2022
FAQ
Q61. Must the Industry Member be identified as a CAT Customer on the related FDID Record in CAIS when there are standing instructions on the Customer’s account, when the Industry Member originates an order in a Customer’s account to satisfy a legal requirement or SEC/SRO rule or when the Industry Member liquidates fractional shares held in a Customer’s account to facilitate operational processes?

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Q. Customer and Account Information
05/17/2022
FAQ
T7. Clarifications to the descriptions of the ‘AUTHREP’ and ‘AUTH3RD’ values for the role field were published in version 2.0 r8 of the CAT Reporting Customer and Account Technical Specifications for Industry Members-Full CAIS (“Technical Specifications”) on April 8, 2022. The revised descriptions will require a change to the value my firm must populate in the role field. Given the time constraints between publication and the Production Readiness Certification Deadline for Full CAIS (July 1, 2022), is my firm required to change the ‘AUTH3RD’ value to ‘AUTHREP’ for FDID records my firm intended to use to conduct testing for production readiness for Full CAIS reporting?

Topics

T. Production Readiness Testing
05/17/2022
Event
Monthly CAT Update (May 17, 2022)
- Monthly CAT Update (May 17, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

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