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UPCOMING EVENT

Jul

06

CAIS Industry Testing Checkpoint Call (July 6, 2022)

04:15PM EDT

Add To My Calendar

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K. Options

L. Equity Floor Brokers

M. Firm Designated ID

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05/17/2022
FAQ
T7. Clarifications to the descriptions of the ‘AUTHREP’ and ‘AUTH3RD’ values for the role field were published in version 2.0 r8 of the CAT Reporting Customer and Account Technical Specifications for Industry Members-Full CAIS (“Technical Specifications”) on April 8, 2022. The revised descriptions will require a change to the value my firm must populate in the role field. Given the time constraints between publication and the Production Readiness Certification Deadline for Full CAIS (July 1, 2022), is my firm required to change the ‘AUTH3RD’ value to ‘AUTHREP’ for FDID records my firm intended to use to conduct testing for production readiness for Full CAIS reporting?

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T. Production Readiness Testing
05/17/2022
Event
Monthly CAT Update (May 17, 2022)
- Monthly CAT Update (May 17, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
05/17/2022
Technical Specifications
CAIS Submission Inconsistencies Feedback Schema
05/17/2022
Technical Specifications
CAIS TIDS Feedback Schema
05/17/2022
Technical Specifications
CAIS TIDS Schema
05/17/2022
Technical Specifications
CAIS Data Feedback Schema
05/17/2022
Technical Specifications
CAIS Nightly Inconsistencies Feedback Schema
05/16/2022
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r15
05/16/2022
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r15 (Redlined)
05/15/2022
Reference Material
May 13, 2022 Letter to SEC- Alternative Funding Model ("Executed Share Model")

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