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Content type

Topics

Year

P. Feedback and Error Correction

This section provides information related to CAT file and data submission feedback and the error correction process.

UPCOMING EVENT

Oct

05

CAIS Industry Testing Checkpoint Call (October 05, 2022)

04:15PM EDT

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Displaying 1 - 10 of 221 results

09/29/2022
Event
CAIS Industry Testing Checkpoint Call (September 28, 2022)
- CAIS Industry Testing Checkpoint Call (September 28, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/27/2022
Event
Monthly CAT Update (September 27, 2022)
- Monthly CAT Update (September 27, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/22/2022
Event
CAIS Industry Testing Checkpoint Call (September 21, 2022)
- CAIS Industry Testing Checkpoint Call (September 21, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/20/2022
Event
CAIS Industry Testing Checkpoint Call (November 2, 2022)

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/20/2022
Event
Monthly CAT Update (October 26, 2022)

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/20/2022
Event
CAIS Industry Testing Checkpoint Call (November 16, 2022)

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/20/2022
Event
CAIS Industry Testing Checkpoint Call (November 9, 2022)

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/15/2022
Event
CAIS Industry Testing Checkpoint Call (September 14, 2022)
- CAIS Industry Testing Checkpoint Call (September 14, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/07/2022
Event
CAIS Industry Testing Checkpoint Call (September 07, 2022)
- CAIS Industry Testing Checkpoint Call (September 07, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
08/31/2022
Event
CAIS Industry Testing Checkpoint Call (August 31, 2022)
- CAIS Industry Testing Checkpoint Call (August 31, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information

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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