Skip to main content

Content type

Topics

Year

Technical Specifications
Reference Data
Communication
Guidance
Timeline
About
Reporter Portal

Content type

Topics

Year

Topics

Home

Filter by Content Type

Filter by Topic

All Topics

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

Sort by

Order

Subscribe

All Topics

Below is a summary of all available content.

UPCOMING EVENT

Jul

06

CAIS Industry Testing Checkpoint Call (July 6, 2022)

04:15PM EDT

Add To My Calendar

Displaying 21 - 30 of 1129 results

Filter by Content Type

Filter by Topic

All Topics

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

Sort by

Order

06/06/2022
Reference Material
CAT NMS LLC 2021 and 2020 Financial Statements
06/06/2022
Technical Specifications
2022-23 Industry Member Releases- Scope and Schedule
06/02/2022
Event
CAIS Industry Testing Checkpoint Call (June 1, 2022)
- CAIS Industry Testing Checkpoint Call (June 1, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
06/02/2022
Technical Specifications
CAIS Data File Schema
05/24/2022
Event
CAT Transaction and CAIS Technical Specification Working Group - May 24, 2022
Audio file

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information
05/23/2022
Event
CAT CAIS Technical Specifications Working Group - May 3, 2022
- CAT Full CAIS Technical Specifications Updates (May 3, 2022) - Presentation
Audio file

Topics

Q. Customer and Account Information
05/23/2022
Reference Material
May 20, 2022 Letter to SEC- Proposed Amendment to Reporter Agreement and Reporting Agent Agreement
05/19/2022
Event
CAIS Industry Testing Checkpoint Call (May 18, 2022)
- CAIS Industry Testing Checkpoint Call (May 18, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
05/17/2022
FAQ
Q62. Since clearing firms rely on their correspondent firms to provide Customer information required for CAIS reporting, can a clearing firm, reporting its version of a Customer on an FDID record, replicate the attribute value for certain required data elements as provided by its correspondent firm?

Topics

Q. Customer and Account Information
05/17/2022
FAQ
Q61. Must the Industry Member be identified as a CAT Customer on the related FDID Record in CAIS when there are standing instructions on the Customer’s account, when the Industry Member originates an order in a Customer’s account to satisfy a legal requirement or SEC/SRO rule or when the Industry Member liquidates fractional shares held in a Customer’s account to facilitate operational processes?

Topics

Q. Customer and Account Information

Pagination

« First
‹ Previous
1
2
3
4
5
6
7
8
9
…
Next ›
Last »

Need Help?

Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].

©2020- FINRA. All rights reserved.
FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Footer

Contact Us
Subscribe
Legal Notice
Privacy Policy