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UPCOMING EVENT
Dec
19
Monthly CAT Update (December 19, 2024)
04:15PM EST
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06/07/2022
Reference Material
Linkage Summary Feedback File – JSON Sample
06/06/2022
Reference Material
CAT NMS LLC 2021 and 2020 Financial Statements
06/02/2022
Event
CAIS Industry Testing Checkpoint Call (June 1, 2022)
CAIS Industry Testing Checkpoint Call (June 1, 2022) - Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
05/24/2022
Event
CAT Transaction and CAIS Technical Specification Working Group - May 24, 2022
CAT IM Technical Specifications Updates (May 24, 2022) - Presentation
CAT CAIS Technical Specifications Updates (May 24, 2022) - Presentation
CAIS TSWG Q&A (May 24, 2022) - Presentation
Audio file
Topics
A. General
B. Reporting Requirements
Q. Customer and Account Information
05/23/2022
Reference Material
May 20, 2022 Letter to SEC- Proposed Amendment to Reporter Agreement and Reporting Agent Agreement
05/23/2022
Event
CAT CAIS Technical Specifications Working Group - May 3, 2022
CAT Full CAIS Technical Specifications Updates (May 3, 2022) - Presentation
Audio file
Topics
Q. Customer and Account Information
05/19/2022
Event
CAIS Industry Testing Checkpoint Call (May 18, 2022)
CAIS Industry Testing Checkpoint Call (May 18, 2022) - Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
05/17/2022
Event
Monthly CAT Update (May 17, 2022)
Monthly CAT Update (May 17, 2022) - Presentation
Audio file
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
05/17/2022
FAQ
Q61.
Must the Industry Member be identified as a CAT Customer on the related FDID Record in CAIS when there are standing instructions on the Customer’s account, when the Industry Member originates an order in a Customer’s account to satisfy a legal requirement or SEC/SRO rule or when the Industry Member liquidates fractional shares held in a Customer’s account to facilitate operational processes?
Topics
Q. Customer and Account Information
05/17/2022
FAQ
Q62.
Since clearing firms rely on their correspondent firms to provide Customer information required for CAIS reporting, can a clearing firm, reporting its version of a Customer on an FDID record, replicate the attribute value for certain required data elements as provided by its correspondent firm?
Topics
Q. Customer and Account Information
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