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UPCOMING EVENT

Aug

17

CAIS Industry Testing Checkpoint Call (August 17, 2022)

04:15PM EDT

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Displaying 1 - 10 of 1153 results

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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

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08/11/2022
Event
CAIS Industry Testing Checkpoint Call (August 10, 2022)
- CAIS Industry Testing Checkpoint Call (August 10, 2022) - Presentation
- SIFMA Industry Testing Checkpoint Call (August 10, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
08/10/2022
Governance
Exemptive Request Letter Related to LTID Reporting
08/09/2022
FAQ
Q64. 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

Q. Customer and Account Information
08/09/2022
Event
CAT Technical Specification Working Group - August 9, 2022
- CAT Technical Specification Working Group (August 9, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements
08/09/2022
FAQ
Q50. Is a Global Intermediary Identification Number (“GIIN”) an accepted identifier to generate a foreignTIDType for a foreign legal entity?

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Q. Customer and Account Information
08/09/2022
FAQ
U16. Are accounts maintained by a clearing firm that are owned or controlled by another broker-dealer considered “customer” accounts for purposes of reporting Allocation Reports to CAT?

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U. Allocations
08/09/2022
FAQ
C5. When should the value ‘O’ (Market Making) be used for accountHolderType?

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C. Definitions
08/04/2022
Event
CAIS Industry Testing Checkpoint Call (August 3, 2022)
- CAIS Industry Testing Checkpoint Call (August 3, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
08/04/2022
FAQ
F7. What is the difference between order level linkage and fulfillment level linkage on a representative order?

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F. Representative Orders
08/04/2022
FAQ
F6. Are there any exceptions to the requirement to link Representative Orders with the underlying order(s)?

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F. Representative Orders

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