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UPCOMING EVENT

May

08

CAIS Industry Testing Checkpoint Call (May 8, 2024)

04:15PM EDT

Add To My Calendar

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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

V. CAT Billing

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Timeline Activity
Publication of IMID/IMID Conflicts and Issue Sample List
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Onboarding Guide Update to include Multi-Factor Authentication
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
CAT Secure Reporting Gateway available for network testing
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Plan Participant UAT begins for Industry Test Release 1.1 (November 18 functionality) and Reference Data Release
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
CAT Reporter Portal User Guide Published for Industry Test Release 1.1 (November 18 functionality)
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Industry Test Release 1.1
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Plan Participant UAT begins for Industry Test Release 1.2 (December 16 functionality)
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
CAT Reporter Portal User Guide Published for Industry Test Release 1.2 (December 16 functionality)
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Industry Test Release 1.2
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Connectivity Supplement updated to include AWS PrivateLink information
Release 1 - File Submission and Data Integrity Validations

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