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A. General

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F. Representative Orders

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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

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10/18/2022
FAQ
U31. Since Clearing Firms rely on their correspondent firms to provide account holder information, can a clearing firm reporting an allocation event (MEPA/MOPA) or amended allocation event (MEAA/MOAA) report the accountHolderType as provided by its correspondent firm?

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U. Allocations
10/13/2022
Event
CAIS Industry Testing Checkpoint Call (October 12, 2022)
- CAIS Industry Testing Checkpoint Call (October 12, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
10/06/2022
Event
CAIS Industry Testing Checkpoint Call (October 05, 2022)
- CAIS Industry Testing Checkpoint Call (October 05, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
10/04/2022
FAQ
Q12. Are regulators expecting complete accuracy with respect to the ltidEndReason and roleEndReason?

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Q. Customer and Account Information
09/29/2022
Event
CAIS Industry Testing Checkpoint Call (September 28, 2022)
- CAIS Industry Testing Checkpoint Call (September 28, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
09/27/2022
Event
Monthly CAT Update (September 27, 2022)
- Monthly CAT Update (September 27, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/22/2022
Event
CAIS Industry Testing Checkpoint Call (September 21, 2022)
- CAIS Industry Testing Checkpoint Call (September 21, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
09/22/2022
FAQ
Q36. Is there a record limit for files submitted to CAT CAIS through SFTP?

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Q. Customer and Account Information
09/20/2022
Event
CAT CAIS Technical Specification Working Group - September 20, 2022
- CAT CAIS Technical Specification Working Group (September 20, 2022) - Presentation
Audio file

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Q. Customer and Account Information
09/20/2022
Reference Material
Customer & Account Technical Specifications for Industry Members v2.0 r9.2

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