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CAIS Industry Testing Checkpoint Call (May 8, 2024)

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A. General

B. Reporting Requirements

C. Definitions

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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

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V. CAT Billing

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09/11/2023
FAQ
B44. In what phase are bids or offers in CAT reportable securities that are provided by an Industry Member or received from another Industry Member off a national securities exchange reportable to CAT?

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B. Reporting Requirements
09/11/2023
FAQ
B43. Are verbal and manual quotes subject to the reporting requirements of Phases 2a, 2b, 2c or 2d?

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B. Reporting Requirements
09/07/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (September 6, 2023)
- Monthly CAIS Industry Testing Checkpoint Call (September 6, 2023) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
09/05/2023
Technical Specifications
CAIS TIDS Feedback Schema
09/05/2023
Technical Specifications
CAIS TIDS Schema
09/05/2023
Technical Specifications
CAIS Data File Schema
09/05/2023
Technical Specifications
CAIS Data Feedback Schema
08/22/2023
Event
CAT CAIS Technical Specifications Working Group - August 22, 2023
- CAT CAIS Technical Specifications Working Group (August 22, 2023) - Presentation
Audio file

Topics

Q. Customer and Account Information
08/17/2023
Event
Monthly CAT Update (August 17, 2023)
- Monthly CAT Update (August 17, 2023) - Presentation
Audio file

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A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/15/2023
Event
CAT Technical Specifications Working Group - August 15, 2023
- CAT Technical Specifications Working Group (August 15, 2023) - Presentation
Audio file

Topics

B. Reporting Requirements

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