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UPCOMING EVENT

Feb

08

CAIS Industry Testing Checkpoint Call (February 8, 2023)

04:15PM EST

Add To My Calendar

Displaying 1 - 10 of 1219 results

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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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02/02/2023
Event
CAIS Industry Testing Checkpoint Call (February 1, 2023)
- CAIS Industry Testing Checkpoint Call (February 1, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
02/01/2023
Announcement
2/1/2023 CAIS Compliance Date Update

Topics

B. Reporting Requirements
02/01/2023
FAQ
Q71. How must Industry Members report an FDID Record to CAIS when a Natural Person and two trusts are all CAT Customers associated with the same FDID and the Tax Identifier of the two trusts is the same as the Natural Person’s Social Security Number (SSN)?

Topics

Q. Customer and Account Information
02/01/2023
Technical Specifications
2022-23 Industry Member Releases- Scope and Schedule
02/01/2023
Technical Specifications
Full CAIS Industry Member Release Rollout

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Q. Customer and Account Information
01/27/2023
CAT Alert
CAT Alert 2022-01 – Phase 2e: Full CAIS Reporting Timeline and Interim Reporting Obligations

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Q. Customer and Account Information
01/27/2023
FAQ
Q19. When will full account refreshes be required?

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Q. Customer and Account Information
01/27/2023
FAQ
Q16. Can an Industry Member submit the same CAIS record 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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Q. Customer and Account Information
01/25/2023
Event
CAIS Industry Testing Checkpoint Call (January 25, 2023)
- CAIS Industry Testing Checkpoint Call (January 25, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
01/20/2023
Event
CAIS Industry Testing Checkpoint Call (March 29, 2023)

Topics

P. Feedback and Error Correction

Q. Customer and Account Information

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