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CAIS Industry Testing Checkpoint Call (May 8, 2024)

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Displaying 591 - 600 of 1354 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

V. CAT Billing

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04/05/2021
Technical Specifications
Industry Member Reporting Scenarios v3.11
04/05/2021
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.2

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Q. Customer and Account Information
04/01/2021
Reference Material
Response to Comments Regarding the CAT Reporter Agreement and CAT Reporting Agent Agreement
04/01/2021
Announcement
Response to Comment Letters Regarding the Proposed Amendment to Revise the CAT Reporter Agreement and CAT Reporting Agent Agreement

Topics

A. General
03/31/2021
Event
Industry Testing Checkpoint Call (March 30, 2021)
- Industry Testing Checkpoint Call (March 30, 2021)- Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction
03/31/2021
Reference Material
Plan Amendment Related to Revised Funding Model 3/31/21
03/24/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r1
03/24/2021
Event
Phase 2d OTC Link ATS Scenarios Deep Dive (March 24, 2021)
- Phase 2d OTC Link ATS Scenarios Deep Dive (March 24, 2021) - Presentation
Audio file

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B. Reporting Requirements

J. OTC Equity Securities
03/23/2021
FAQ
A33. Are order events occurring prior to an IPO symbol’s inclusion on the CAT Reportable Securities List reportable to CAT in Phase 2a?

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A. General
03/23/2021
Event
Industry Member Report Card – Reporting Scenario Examples (March 23, 2021)
- Industry Member Report Card – Reporting Scenario Examples (March 23, 2021) - Presentation
Audio file

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