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UPCOMING EVENT

Feb

09

Monthly CAIS/LTID Industry Testing Checkpoint Call (February...

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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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12/01/2021
FAQ
Q55. When an Industry Member receives a Material Inconsistency notification, is it required to contact its Customer to confirm the Customer’s information?

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Q. Customer and Account Information
12/01/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r7
12/01/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (December 1, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (12/1/21)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
12/01/2021
Event
Industry Testing Checkpoint Call (November 30, 2021)
- Industry Testing Checkpoint Call (November 30, 2021) - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
11/30/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r8
11/30/2021
FAQ
B42. Are Industry Members required to report the receipt of a cancellation or modification instruction to the CAT if the order is terminal (i.e., it has already been fully executed or cancelled)?

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B. Reporting Requirements
11/30/2021
FAQ
F7. What is the difference between order level linkage and fulfillment level linkage on a representative order?

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F. Representative Orders
11/30/2021
FAQ
F6. Are there any exceptions to the requirement to link Representative Orders with the underlying order(s)?

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F. Representative Orders
11/30/2021
FAQ
F5. Are Industry Members required to link a Representative Order with the underlying order(s) for the Representative Order?

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F. Representative Orders
11/24/2021
Technical Specifications
Transition Support: Schema Changes to Existing Phase 2c Events v1.3

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B. Reporting Requirements

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