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UPCOMING EVENT

Mar

23

Monthly CAT Update (March 23, 2023)

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Displaying 81 - 90 of 1225 results

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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

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T. Production Readiness Testing

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10/06/2022
Event
CAIS Industry Testing Checkpoint Call (October 05, 2022)
- CAIS Industry Testing Checkpoint Call (October 05, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
10/04/2022
FAQ
Q67. Are Industry Members required to report addresses at the Customer level and the account level?

Topics

Q. Customer and Account Information
10/04/2022
FAQ
Q12. Are regulators expecting complete accuracy with respect to the ltidEndReason and roleEndReason?

Topics

Q. Customer and Account Information
09/29/2022
Event
CAIS Industry Testing Checkpoint Call (September 28, 2022)
- CAIS Industry Testing Checkpoint Call (September 28, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/27/2022
Event
Monthly CAT Update (September 27, 2022)
- Monthly CAT Update (September 27, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/22/2022
Event
CAIS Industry Testing Checkpoint Call (September 21, 2022)
- CAIS Industry Testing Checkpoint Call (September 21, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/22/2022
FAQ
Q36. Is there a record limit for files submitted to CAT CAIS through SFTP?

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Q. Customer and Account Information
09/20/2022
Reference Material
Customer & Account Technical Specifications for Industry Members v2.0 r9.2 (Clean)
09/20/2022
Event
CAT CAIS Technical Specification Working Group - September 20, 2022
- CAT CAIS Technical Specification Working Group (September 20, 2022) - Presentation
Audio file

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Q. Customer and Account Information
09/20/2022
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r9.2 (Redlined)

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