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UPCOMING EVENT

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10

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

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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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07/28/2022
Event
Monthly CAT Update (July 28, 2022)
- Monthly CAT Update (July 28, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
07/26/2022
FAQ
Q63. How must an FDID Record be reported to CAIS when the account holder is a foreign trust or foreign estate where an allowable Input Identifier value does not exist because the foreign country or foreign municipality does not require or issue any kind of identifier for the foreign trust or foreign estate, and no such other allowable Input Identifier exists? For example, the foreign trust or foreign estate has no associated Legal Entity Identifier (LEI), and is also not assigned any National Registration or Tax Identifier, or any other governmental-issued identifier by a non-national level government body or agency, such as a corporate registry.

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Q. Customer and Account Information
07/20/2022
Event
CAIS Industry Testing Checkpoint Call (July 20, 2022)
- CAIS Industry Testing Checkpoint Call (July 20, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
07/14/2022
Event
CAIS Industry Testing Checkpoint Call (July 13, 2022)
- CAIS Industry Testing Checkpoint Call (July 13, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
07/08/2022
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r14
07/06/2022
Event
CAIS Industry Testing Checkpoint Call (July 6, 2022)
- CAIS Industry Testing Checkpoint Call (July 6, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
07/01/2022
Governance
Notice of Filing of Exemptive Request Letter to Related to Phase 2e Reporting Compliance
06/29/2022
Event
CAIS Industry Testing Checkpoint Call (June 29, 2022)
- CAIS Industry Testing Checkpoint Call (June 29, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
06/28/2022
FAQ
B68. If an Industry Member uses the same account for both market making and non-market making proprietary activity, what accountHolderType should be used when reporting to CAT?

Topics

B. Reporting Requirements
06/28/2022
Event
Monthly CAT Update (June 28, 2022)
- Monthly CAT Update (June 28, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

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