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UPCOMING EVENT

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06

CAIS Industry Testing Checkpoint Call (July 6, 2022)

04:15PM EDT

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Displaying 81 - 90 of 1129 results

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G. Manual Orders

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J. OTC Equity Securities

K. Options

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M. Firm Designated ID

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03/09/2022
Technical Specifications
Industry Member Reporting Scenarios v4.9

Topics

B. Reporting Requirements
03/09/2022
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r7

Topics

B. Reporting Requirements
03/09/2022
Event
CAIS Industry Testing Checkpoint Call (March 9, 2022)
- CAIS Industry Testing Checkpoint Call (March 9, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
03/09/2022
Technical Specifications
Industry Member Reporting Scenarios v4.9 (Redlined)

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B. Reporting Requirements
03/07/2022
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r10
03/01/2022
Event
Full CAIS 101 (March 1, 2022)
- Full CAIS 101 (March 1, 2022) - Presentation
Audio file

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Q. Customer and Account Information
02/23/2022
Event
CAIS Industry Testing Checkpoint Call (February 23, 2022)
- CAIS Industry Testing Checkpoint Call (February 23, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
02/22/2022
FAQ
K25. When must the ‘OPT’ handlingInstructions value be used in Phase 2d?

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K. Options
02/22/2022
FAQ
Q39. This FAQ has been retired. Please refer to the scenario titled “DVP/RVP Account with a Clearing Number” in the Industry Member CAIS Reporting Scenarios document.

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Q. Customer and Account Information
02/18/2022
FAQ
M16. FAQ M1 identifies certain limited circumstances where a change/replacement in Firm Designated ID (FDID) value associated with a particular trading account or Relationship ID would be permissible. If an Industry Member changes an FDID due to one of these limited circumstances prior to Full CAIS (July 11, 2022), what additional steps are required?

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M. Firm Designated ID

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