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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

Feb

08

CAIS Industry Testing Checkpoint Call (February 8, 2023)

04:15PM EST

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Displaying 1 - 10 of 243 results

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
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 1, 2023)

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
01/20/2023
Event
CAIS Industry Testing Checkpoint Call (March 22, 2023)

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
01/20/2023
Event
CAIS Industry Testing Checkpoint Call (March 15, 2023)

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
01/20/2023
Event
CAIS Industry Testing Checkpoint Call (March 8, 2023)

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
01/19/2023
Event
Monthly CAT Update (January 19, 2023)
- Monthly CAT Update (January 19, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/19/2023
Event
CAIS Industry Testing Checkpoint Call (January 18, 2023)
- CAIS Industry Testing Checkpoint Call (January 18, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
01/12/2023
Event
CAIS Industry Testing Checkpoint Call (January 11, 2023)
- CAIS Industry Testing Checkpoint Call (January 11, 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