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UPCOMING EVENT

Jul

10

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

04:15PM EDT

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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

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V. CAT Billing

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03/07/2022
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r10
03/01/2022
Event
Full CAIS 101 (March 1, 2022)
- Full CAIS 101 (March 1, 2022) - Presentation
Audio file

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Q. Customer and Account Information
02/23/2022
Event
CAIS Industry Testing Checkpoint Call (February 23, 2022)
- CAIS Industry Testing Checkpoint Call (February 23, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
02/22/2022
FAQ
Q39. This FAQ has been retired. Please refer to the scenario titled “DVP/RVP Account with a Clearing Number” in the Industry Member CAIS Reporting Scenarios document.

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Q. Customer and Account Information
02/22/2022
FAQ
K25. When must the ‘OPT’ handlingInstructions value be used in Phase 2d?

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K. Options
02/16/2022
Event
Monthly CAT Update (February 16, 2022)
- Monthly CAT Update (February 16, 2022) - Presentation
Audio file

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A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
02/15/2022
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r9
02/09/2022
Event
Monthly CAIS Industry Testing Checkpoint Call (February 9, 2022)
- Monthly CAIS Industry Testing Checkpoint Call (February 9, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
02/08/2022
FAQ
Q57. If there is a CAT Customer with multiple valid Input Identifiers who is associated with a single account at a CAT Reporter firm, which Input Identifier must be used to generate a Transformed Identifier for the Customer?

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Q. Customer and Account Information
02/04/2022
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v2.2.1

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