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UPCOMING EVENT

Nov

30

CAIS Industry Testing Checkpoint Call (November 30, 2022)

04:15PM EST

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Displaying 51 - 60 of 1198 results

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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

U. Allocations

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09/15/2022
Event
CAIS Industry Testing Checkpoint Call (September 14, 2022)
- CAIS Industry Testing Checkpoint Call (September 14, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
09/09/2022
Reference Material
September 8, 2022 Letter to SEC- Proposed Amendment to Reporter Agreement and Reporting Agent Agreement
09/07/2022
Event
CAIS Industry Testing Checkpoint Call (September 07, 2022)
- CAIS Industry Testing Checkpoint Call (September 07, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
09/07/2022
FAQ
Q65. To facilitate reporting of Authorized Traders as required by the CAT NMS Plan, the Full CAIS Technical Specifications require a firstName, lastName, yearOfBirth, tidType and tidValue to be reported for all Natural Person Authorized Traders. Accordingly, if these fields for Natural Person Customers are not populated, the Customer Record will be rejected. The Plan Participants understand that some Industry Members have not historically collected and systematized a tidValue and yearOfBirth for Natural Person Authorized Traders and may be unable to report them as required by the Full CAIS Technical Specifications by December 12, 2022 per the implementation schedule as set forth in CAT Alert – 2022-01. How must Industry Members report Natural Person Customers if they are not able to provide all required information by December 12, 2022 (the Full CAIS Compliance Go-Live date)?

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Q. Customer and Account Information
09/07/2022
Reference Material
Industry Member Schema v4.0.0 r17 (2d)
09/07/2022
FAQ
Q42. A broker-dealer systematized a Customer’s account information on a specific date, but the new account form was dated with a date prior to the systematized date. Is it permitted for the broker-dealer to report the later systematized date as the fdidDate on the related FDID Record?

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Q. Customer and Account Information
08/31/2022
Event
CAIS Industry Testing Checkpoint Call (August 31, 2022)
- CAIS Industry Testing Checkpoint Call (August 31, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
08/26/2022
Technical Specifications
CAIS TIDS Schema
08/25/2022
Event
CAIS Industry Testing Checkpoint Call (August 24, 2022)
- CAIS Industry Testing Checkpoint Call (August 24, 2022)- Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
08/24/2022
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r17

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