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P. Feedback and Error Correction

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

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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

V. CAT Billing

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Order

04/07/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (April 7, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (4/7/21)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
03/31/2021
Event
Industry Testing Checkpoint Call (March 30, 2021)
- Industry Testing Checkpoint Call (March 30, 2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
03/18/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (3/18/21)
- Monthly CAT Implementation Update (3/18/21)- Presentation
- OATS Retirement Status Update (3/18/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
03/03/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (3/3/21)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (3/3/21)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
02/18/2021
Event
Monthly CAT Implementation Update (2/18/21)
- Monthly CAT Implementation Update (2/18/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
02/03/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (02/03/2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (2/3/2020)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
01/21/2021
Event
Monthly CAT Implementation Update (1/21/21)
- Monthly CAT Implementation Update (1/21/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/19/2021
Event
Phase 2c Cutover- Part 2 and Weekly Industry Testing Checkpoint Call (1/19/2021)
- Phase 2c Cutover- Part 2 and Weekly Industry Testing Checkpoint Call (1/19/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

O. Technical Requirements

P. Feedback and Error Correction
01/12/2021
Event
Weekly Industry Testing Checkpoint Call (1/12/2021)
- Weekly Industry Testing Checkpoint Call (1/12/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
01/06/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (01/06/2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (01/06/2020)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information

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