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Displaying 201 - 210 of 1359 results

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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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03/02/2023
Reference Material
Withdrawal of 2022 Funding Model Amendment (3/01/2023)
02/28/2023
FAQ
B74. Is an Order Cancelled event (“MEOC”) required for Good till Cancelled (“GTC”) orders if an issue symbol is delisted?

Topics

B. Reporting Requirements
02/28/2023
FAQ
B77. What are the CAT reporting obligations when a security is the subject of a corporate action (e.g. merger/acquisition) and is now a different security but trades under the same issue symbol and the customer/client wants to trade the new security?

Topics

B. Reporting Requirements
02/24/2023
Event
Monthly CAT Update (February 23, 2023)
- Monthly CAT Update (February 23, 2023) - Presentation
- Processing Changes to the Transaction Report Card - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
02/23/2023
Event
CAIS Industry Testing Checkpoint Call (February 22, 2023)
- CAIS Industry Testing Checkpoint Call (February 22, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
02/21/2023
Reference Material
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r17
02/15/2023
Governance
Response to Comments Regarding Partial Amendment of Executed Share Model (02/15/23)
02/08/2023
Event
CAIS Industry Testing Checkpoint Call (February 8, 2023)
- CAIS Industry Testing Checkpoint Call (February 8, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
02/02/2023
Event
CAIS Industry Testing Checkpoint Call (February 1, 2023)
- CAIS Industry Testing Checkpoint Call (February 1, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
02/01/2023
FAQ
Q71. How must Industry Members report an FDID Record to CAIS when a Natural Person and two trusts are all CAT Customers associated with the same FDID and the Tax Identifier of the two trusts is the same as the Natural Person’s Social Security Number (SSN)?

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Q. Customer and Account Information

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