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UPCOMING EVENT

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CAIS Industry Testing Checkpoint Call (May 1, 2024)

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Displaying 911 - 920 of 1358 results

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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

U. Allocations

V. CAT Billing

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04/02/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r1
04/02/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r1 (Redlined)
04/02/2020
Technical Specifications
CAT Industry Member Reporting Scenarios v3.0
04/02/2020
Technical Specifications
CAT Industry Member Reporting Scenarios v3.0 (Redlined)
04/01/2020
Event
Weekly Industry Checkpoint Call (3/31/2020)
- Weekly Industry Checkpoint Call (3/31/2020)- Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction
03/30/2020
Announcement
Request to Approve the Participants' 2/19/20 Request for Exemptive Relief
03/26/2020
Event
CAT Technical Specification Working Group Q&A - 3/26/20
- CAT Technical Specification Working Group Q&A 3/26/20 - Presentation
Audio file

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B. Reporting Requirements

E. Order Routing and Execution

R. Clock Synchronization
03/24/2020
FAQ
H1. If an Industry Member holds a peg order, is the Industry Member required to report to the CAT a modification to the peg order every time the market moves?

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H. ATS
03/19/2020
Governance
Approval Order of Exemptive Request Letter related to Customer and Account Information

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Q. Customer and Account Information
03/19/2020
Announcement
Approval Order of Exemptive Request Letter related to Customer and Account Information

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Q. Customer and Account Information

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