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UPCOMING EVENT

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30

CAIS Industry Testing Checkpoint Call (November 30, 2022)

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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

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10/04/2022
FAQ
Q12. Are regulators expecting complete accuracy with respect to the ltidEndReason and roleEndReason?

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Q. Customer and Account Information
10/04/2022
FAQ
D10. How should orders received with instructions from the customer to buy as much stock as possible for a specific dollar amount (e.g., $1,000), commonly referred to as "cash" orders, be reported to CAT?

Topics

D. Order Receipt
09/29/2022
Event
CAIS Industry Testing Checkpoint Call (September 28, 2022)
- CAIS Industry Testing Checkpoint Call (September 28, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/27/2022
Event
Monthly CAT Update (September 27, 2022)
- Monthly CAT Update (September 27, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/22/2022
Event
CAIS Industry Testing Checkpoint Call (September 21, 2022)
- CAIS Industry Testing Checkpoint Call (September 21, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
09/22/2022
FAQ
Q36. Is there a record limit for files submitted to CAT CAIS through SFTP?

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Q. Customer and Account Information
09/20/2022
Reference Material
Customer & Account Technical Specifications for Industry Members v2.0 r9.2 (Clean)
09/20/2022
Event
CAT CAIS Technical Specification Working Group - September 20, 2022
- CAT CAIS Technical Specification Working Group (September 20, 2022) - Presentation
Audio file

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Q. Customer and Account Information
09/20/2022
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r9.2 (Redlined)
09/20/2022
FAQ
Q51. How should an Industry Member populate the roleStartDate field if it did not record the date on which the Customer entered into the specified role on the account?

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Q. Customer and Account Information

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