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UPCOMING EVENT

Jul

10

CAIS Industry Testing Checkpoint Call and Industry Member C...

04:15PM EDT

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Displaying 211 - 220 of 1380 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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02/24/2023
Event
Monthly CAT Update (February 23, 2023)
- Monthly CAT Update (February 23, 2023) - Presentation
- Processing Changes to the Transaction Report Card - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
02/23/2023
Event
CAIS Industry Testing Checkpoint Call (February 22, 2023)
- CAIS Industry Testing Checkpoint Call (February 22, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
02/21/2023
Reference Material
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r17
02/15/2023
Governance
Response to Comments Regarding Partial Amendment of Executed Share Model (02/15/23)
02/08/2023
Event
CAIS Industry Testing Checkpoint Call (February 8, 2023)
- CAIS Industry Testing Checkpoint Call (February 8, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
02/02/2023
Event
CAIS Industry Testing Checkpoint Call (February 1, 2023)
- CAIS Industry Testing Checkpoint Call (February 1, 2023) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
02/01/2023
FAQ
Q71. How must Industry Members report an FDID Record to CAIS when a Natural Person and two trusts are all CAT Customers associated with the same FDID and the Tax Identifier of the two trusts is the same as the Natural Person’s Social Security Number (SSN)?

Topics

Q. Customer and Account Information
01/27/2023
FAQ
Q19. When will full account refreshes be required?

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Q. Customer and Account Information
01/25/2023
Event
CAIS Industry Testing Checkpoint Call (January 25, 2023)
- CAIS Industry Testing Checkpoint Call (January 25, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
01/19/2023
Event
Monthly CAT Update (January 19, 2023)
- Monthly CAT Update (January 19, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

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