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UPCOMING EVENT

May

01

CAIS Industry Testing Checkpoint Call (May 1, 2024)

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

Q. Customer and Account Information

R. Clock Synchronization

S. Security

T. Production Readiness Testing

U. Allocations

V. CAT Billing

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Event
Industry Testing Checkpoint Call (March 16, 2021)
- Industry Testing Checkpoint Call (3/16/2021)- Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction
Reference Material
Notice of Filing of Exemptive Request Letter Related to Phase 2c Cutover
Reference Material
Q1 2021 QPR
Reference Material
Q3 2021 QPR
Reference Material
Q4 2021 QPR
Reference Material
Q1 2022 QPR
Timeline Activity
First Day of Interim Reporting Obligation 1
Timeline Activity
Last Day of Interim Reporting Obligation 1
Timeline Activity
First Day of Interim Reporting Obligation 2
Timeline Activity
Last Day of Interim Reporting Obligation 2

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