Topics | CATNMSPLAN

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

Jun

07

Monthly CAIS Industry Testing Checkpoint Call (June 7, 2023)

04:15PM EDT

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Displaying 1 - 10 of 248 results

05/19/2023
Event
Monthly CAT Update (May 18, 2023)
- Monthly CAT Update (May 18, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
05/15/2023
Event
Monthly CAT Update (August 17, 2023)

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
05/15/2023
Event
Monthly CAT Update (June 15, 2023)

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
05/15/2023
Event
Monthly CAT Update (September 21, 2023)

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
05/11/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (May 10, 2023)
- Monthly CAIS Industry Testing Checkpoint Call (May 10, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
05/10/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (June 7, 2023)

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
04/21/2023
Event
Monthly CAT Update (April 20, 2023)
- Monthly CAT Update (April 20, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
04/06/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (April 5, 2023)
- Monthly CAIS Industry Testing Checkpoint Call (April 5, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
03/24/2023
Event
Monthly CAT Update (March 23, 2023)
- Monthly CAT Update (March 23, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
03/02/2023
Event
CAIS Industry Testing Checkpoint Call (March 1, 2023)
- CAIS Industry Testing Checkpoint Call (March 1, 2023) - 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