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UPCOMING EVENT

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08

CAIS Industry Testing Checkpoint Call (May 8, 2024)

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A. General

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C. Definitions

D. Order Receipt

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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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09/21/2021
Event
CAT CAIS Technical Specification Working Group Q&A - September 21, 2021
- CAT CAIS Technical Specification Working Group Q&A (September 21, 2021) - Presentation
Audio file

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Q. Customer and Account Information
09/21/2021
Technical Specifications
Industry Member Reporting Scenarios v4.6

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B. Reporting Requirements
09/21/2021
FAQ
Q52. What date should Industry Members use to populate the “end date” fields (e.g., fdidEndDate, roleEndDate) when an event has triggered the closure of an account? For example, when a minor reaches the age of majority for a custodial account (e.g., UGMA/UTMA) or upon the death of an account holder for a beneficiary account, how should Industry Members populate these fields?

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Q. Customer and Account Information
09/21/2021
FAQ
K19. Which handlingInstructions value should Industry Members populate on option events when the limit price is based on option Greeks or another formula based on market conditions?

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K. Options
09/21/2021
FAQ
B75. Are Industry Members required to capture and report a requestTimestamp on modify/cancel events initiated by the firm?

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B. Reporting Requirements
09/21/2021
FAQ
Q53. FAQ B53 states that account transfers between broker-dealers are not orders, as defined by Rule 613. How should such activity be reflected in CAIS?

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Q. Customer and Account Information
09/21/2021
FAQ
K20. When must the pairedOrderID be reported to CAT?

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K. Options
09/21/2021
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v2.1
09/16/2021
Reference Material
CAT Costs (September 21, 2021) - Presentation
09/16/2021
Reference Material
CAT Funding (September 22, 2021) - Presentation

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