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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 271 - 280 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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08/31/2022
Event
CAIS Industry Testing Checkpoint Call (August 31, 2022)
- CAIS Industry Testing Checkpoint Call (August 31, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
08/25/2022
Event
CAIS Industry Testing Checkpoint Call (August 24, 2022)
- CAIS Industry Testing Checkpoint Call (August 24, 2022)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
08/24/2022
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r17
08/23/2022
FAQ
T7. Clarifications to the descriptions of the ‘AUTHREP’ and ‘AUTH3RD’ values for the role field were published in version 2.0 r8 of the CAT Reporting Customer and Account Technical Specifications for Industry Members-Full CAIS (“Technical Specifications”) on April 8, 2022. The revised descriptions will require a change to the value my firm must populate in the role field. Given the time constraints between publication and the Production Readiness Certification Deadline for Full CAIS (July 25, 2022), is my firm required to change the ‘AUTH3RD’ value to ‘AUTHREP’ for FDID Records my firm intended to use to conduct testing for production readiness for Full CAIS reporting?

Topics

T. Production Readiness Testing
08/23/2022
Event
Monthly CAT Update (August 23, 2022)
- Monthly CAT Update (August 23, 2022)- Presentation
- 2022 SIFMA Test (August 23, 2022)- Presentation
Audio file

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A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/23/2022
FAQ
Q66. An Industry Member chooses to optionally report a DVP/RVP account that does not have a clearing number or DTC number. In this scenario, how should the DVPCustodianID field be populated when a DVP/RVP account is temporarily not assigned a clearing number or DTC number because the account is new, or the current clearing number or DTC number has been removed from DTCC's ALERT service and no new clearing number or DTC number is available?

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Q. Customer and Account Information
08/18/2022
Event
CAIS Industry Testing Checkpoint Call (August 17, 2022)
- CAIS Industry Testing Checkpoint Call (August 17, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
08/17/2022
Reference Material
Response to Comments on Proposed CAT NMS Plan Amendment Related to Alternative Funding Model
08/16/2022
Event
CAT CAIS Technical Specification Working Group - August 16, 2022
- CAT CAIS Technical Specification Working Group (August 16, 2022) - Presentation
Audio file

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Q. Customer and Account Information
08/11/2022
FAQ
M7. How will regulators use the Firm Designated ID (FDID)?

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M. Firm Designated ID

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