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UPCOMING EVENT

May

08

CAIS Industry Testing Checkpoint Call (May 8, 2024)

04:15PM EDT

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Displaying 141 - 150 of 1359 results

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A. General

B. Reporting Requirements

C. Definitions

D. Order Receipt

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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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08/03/2023
Governance
Proposed CAT NMS Plan Amendment to Implement a Revised Linkage Timeline (8/3/2023)
08/03/2023
Governance
SEC Granting Temporary Exemptive Relief of Certain Floor Activities and Upstairs Activity
08/03/2023
Governance
Response to Comments on Order Instituting Proceedings on Proposed CAT NMS Plan Amendment Related to Funding Proposal (7/28/23)
08/03/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (August 2, 2023)
- Monthly CAIS Industry Testing Checkpoint Call (August 2, 2023) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
08/02/2023
Announcement
Update on CAIS Compliance Deadlines

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Q. Customer and Account Information
08/02/2023
Reference Material
Customer & Account Technical Specifications for Industry Members v2.0 r10 (Clean)
08/02/2023
Announcement
4/20/2023 This Announcement Has Been Superseded

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Q. Customer and Account Information
08/02/2023
FAQ
Q65. To facilitate reporting of Authorized Traders as required by the CAT NMS Plan, the Full CAIS Technical Specifications require a firstName, lastName, yearOfBirth, tidType and tidValue to be reported for all Natural Person Authorized Traders. Accordingly, if these fields for Natural Person Customers are not populated, the Customer Record will be rejected. The Plan Participants understand that some Industry Members have not historically collected and systematized a tidValue and yearOfBirth for Natural Person Authorized Traders and may be unable to report them as required by the Full CAIS Technical Specifications per the implementation schedule as set forth in CAT Alerts – 2022-01 and 2023-01. How must Industry Members report Natural Person Customers if they are not able to provide all required information by the Full CAIS Compliance Go-Live date?

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Q. Customer and Account Information
08/02/2023
FAQ
Q59. What FDIDs are in scope for Full CAIS reporting?

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Q. Customer and Account Information
08/02/2023
FAQ
Q58. To facilitate reporting of correct Customer names as required by the CAT NMS Plan, the Full CAIS Technical Specifications require Natural Person first and last names to be reported in two separate fields. Accordingly, if both the firstName and lastName fields for Natural Person Customers are not populated, the Customer Record will be rejected. The Plan Participants understand that some Industry Members have historically maintained the first and last names in a single field within their system and may be unable to parse them into separate fields by the implementation schedule set forth in CAT Alerts 2022-01 and 2023-01. How must Industry Members report Natural Person Customers if the first and last names are not able to be parsed within the Industry Member’s system by the time the Customer Record is required to be reported to CAIS ?

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Q. Customer and Account Information

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