Skip to main content
Content type
Announcement
CAT Alert
Event
FAQ
Reference Material
Timeline Activity
other
Topics
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
All Topics
Year
- Any -
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Technical Specifications
Industry Member Specifications
Industry Member Reporting Scenarios
Participant Specifications
Gap Analysis
Reference Data
Communication
Events
Announcements
CAT Alerts
Plan Participant Contact List
Guidance
FAQs
Registration & Onboarding
Topics
Clock Synchronization
Event Materials
Forms
CAT Alerts
Transaction Compliance Glossary
CAIS Compliance Glossary
Video Tutorials
Timeline
About
CAT NMS Plan
Exemptive Request Letters
Implementation Plan
One-time Written Assessments
Audited Financial Statements
Plan Participants
CAT Financial and Operating Budget
Reporter Portal
Content type
Announcement
CAT Alert
Event
FAQ
Reference Material
Timeline Activity
other
Topics
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
All Topics
Year
- Any -
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Latest Updates
Home
Subscribe
11/30/2022
Event
CAIS Industry Testing Checkpoint Call (November 30, 2022)
11/30/2022
Technical Specifications
Full CAIS Industry Member Release Rollout
11/30/2022
Reference Material
Small Firm Roadmap to March 17, 2023
11/29/2022
CAT Alert
CAT Alert 2021-04-Phase 2e: Transitioning from LTID Account Phase to Full CAIS Phase
11/29/2022
CAT Alert
CAT Alert 2021-02- Standards for Completing the Customer And Account Reporting Disclosure Form
11/25/2022
Technical Specifications
2022-23 Industry Member Releases- Scope and Schedule
11/23/2022
CAT Alert
CAT Alert 2022-01 – Phase 2e: Full CAIS Reporting Timeline and Interim Reporting Obligations
11/23/2022
Event
CAIS Industry Testing Checkpoint Call (November 22, 2022)
11/22/2022
Governance
Notice of Filing of Exemptive Request Letter Related to the Fourth Financial Accountability Milestone
11/22/2022
Announcement
Update on CAIS Reporting Deadlines
11/21/2022
Reference Material
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r16
11/17/2022
Event
Monthly CAT Update (November 17, 2022)
11/17/2022
Event
CAIS Industry Testing Checkpoint Call (November 16, 2022)
11/16/2022
Governance
Response to Order Instituting Proceedings on Proposed CAT NMS Plan Amendment Related to Alternative Funding
11/16/2022
Event
Monthly CAT Update (December 15, 2022)
Pagination
1
2
3
4
5
6
7
8
9
…
›
Next ›
»
Last »