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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

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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

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12/17/2021
Technical Specifications
Appendix E - Region Codes
12/16/2021
Event
Monthly CAT Implementation Update (December 15, 2021)
- Monthly CAT Implementation Update (December 15, 2021)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
12/16/2021
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r6

Topics

B. Reporting Requirements
12/15/2021
Event
Industry Testing Checkpoint Call (December 14, 2021)
- Industry Testing Checkpoint Call (December 14, 2021)- Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction
12/15/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r8
12/14/2021
FAQ
F1. What is a representative order?

Topics

F. Representative Orders
12/14/2021
FAQ
E10. Can an order be marked as Short Exempt on the Order Route event if the order was reported as a regular short sale on the related New Order event?

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E. Order Routing and Execution
12/14/2021
Event
CAT CAIS Technical Specification Working Group Q&A - December 14, 2021
Audio file

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Q. Customer and Account Information
12/09/2021
Reference Material
December 8, 2021 Letter to SEC- Withdrawal of Funding Model Amendment
12/08/2021
Event
Industry Testing Checkpoint Call (December 7, 2021)
- Industry Testing Checkpoint Call (December 7, 2021) - Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction

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