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G. Manual 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

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01/03/2024
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.1.0 r1 (Clean)
01/03/2024
Reference Material
Outstanding Material Inconsistencies Metadata Feedback File Schema
01/02/2024
Reference Material
Clock Sync Annual Certification Industry Member (01/02/2024)

Topics

R. Clock Synchronization
01/02/2024
Announcement
2024 Annual Clock Synchronization Certification

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R. Clock Synchronization
12/29/2023
Announcement
1/5/2024 - 1/8/2024 CAT CAIS Maintenance - Reminder

Topics

Q. Customer and Account Information
12/22/2023
Reference Material
IM Reporter Portal User Guide v1.6

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P. Feedback and Error Correction
12/21/2023
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.1.0 (Clean)
12/20/2023
Event
Monthly CAT Update (December 19, 2023)
- Monthly CAT Update (December 19, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
12/18/2023
Reference Material
Independent Audit of Costs Incurred Prior to Effective Date of the Plan
12/14/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (December 13, 2023)
- Monthly CAIS Industry Testing Checkpoint Call (December 13, 2023) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information

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