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UPCOMING EVENT
Mar
13
Part 1: CAIS Report Card Webinar
04:15PM EDT
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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
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R. Clock Synchronization
S. Security
T. Production Readiness Testing
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Reference Material
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r23
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