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UPCOMING EVENT
Dec
19
Monthly CAT Update (December 19, 2024)
04:15PM EST
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Displaying 201 - 210 of 1452 results
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A. General
B. Reporting Requirements
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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
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08/03/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (August 2, 2023)
Monthly CAIS Industry Testing Checkpoint Call (August 2, 2023) - Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
08/03/2023
Governance
Response to Comments on Order Instituting Proceedings on Proposed CAT NMS Plan Amendment Related to Funding Proposal (7/28/23)
08/03/2023
Governance
SEC Granting Temporary Exemptive Relief of Certain Floor Activities and Upstairs Activity
08/03/2023
Governance
Proposed CAT NMS Plan Amendment to Implement a Revised Linkage Timeline (8/3/2023)
08/02/2023
FAQ
Q3.
When must Industry Members submit Customer Account Information and Customer Identifying Information to the CAT?
Topics
Q. Customer and Account Information
08/02/2023
FAQ
Q8.
May Industry Members provide Customer Account Information on all of their accounts, not just Active Accounts or those Active Accounts in scope for a given phase of reporting?
Topics
Q. Customer and Account Information
08/02/2023
FAQ
Q18.
When are account movements between broker-dealers (e.g., merger/acquisition) required to be linked in CAIS?
Topics
Q. Customer and Account Information
08/02/2023
FAQ
Q21.
What is the reporting deadline for reporting Customer and Account information for the LTID Phase and Full Customer and Account Phase?
Topics
Q. Customer and Account Information
08/02/2023
FAQ
Q27.
When will CAIS open for Production, and what happens after that date?
Topics
Q. Customer and Account Information
08/02/2023
FAQ
Q28.
What is expected to be in CAIS LTID on April 26, 2021, when mandatory reporting starts?
Topics
Q. Customer and Account Information
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