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UPCOMING EVENT
Dec
19
Monthly CAT Update (December 19, 2024)
04:15PM EST
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Displaying 41 - 50 of 1453 results
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A. General
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F. Representative Orders
G. Manual Orders
H. ATS
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J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
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08/27/2024
Event
CAT CAIS Technical Specifications Working Group - August 27, 2024
CAT CAIS Technical Specifications Working Group (August 27, 2024)- Presentation
Audio file
Topics
Q. Customer and Account Information
08/22/2024
Technical Specifications
Order Routing Field Mapping between CAT and Exchanges v2.13
Topics
B. Reporting Requirements
E. Order Routing and Execution
08/16/2024
Event
Industry Member CAIS Report Card Webinar (August 15, 2024)
Industry Member CAIS Report Card Webinar (August 15, 2024) - Presentation
Audio file
08/16/2024
Event
Monthly CAT Update (August 15, 2024)
Monthly CAT Update (August 15, 2024) - Presentation
Audio file
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
08/14/2024
Reference Material
Self-Reporting Deviations Of Clock Synchronization Standards Form
Topics
A. General
08/14/2024
Reference Material
Annual Clock Synchronization Certification Form (2024)
Topics
R. Clock Synchronization
08/08/2024
FAQ
V27.
Will invoices be rounded to the nearest penny?
Topics
V. CAT Billing
08/08/2024
Reference Material
CAT Fee Alert 2024-2
Topics
V. CAT Billing
08/08/2024
FAQ
V25.
How would CAT fees be assessed with regard to ATSs?
Topics
V. CAT Billing
08/08/2024
FAQ
V23.
How will transactions in fractional shares be treated under the funding model?
Topics
V. CAT Billing
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