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search results for “Cais"

07/27/2021
Event
CAT CAIS Technical Specification Working Group Q&A - July 27, 2021
- CAT CAIS Technical Specification Working Group Q&A (7/27/2021)-Presentation
Audio file

Topics

Q. Customer and Account Information
09/01/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (September 1, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (9/1/21)- Presentation
Audio file

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a monthly Industry Testing Checkpoint Call for CAIS/LTID on Wednesday, September 1, 2021 at 4:15 pm ET. Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to ensure your firm…

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
08/17/2021
Event
CAT CAIS Technical Specification Working Group Q&A - August 17, 2021
- CAT CAIS Technical Specification Working Group Q&A (8/17/2021)-Presentation
Audio file

Topics

Q. Customer and Account Information
09/21/2021
Event
CAT CAIS Technical Specification Working Group Q&A - September 21, 2021
- CAT CAIS Technical Specification Working Group Q&A (September 21, 2021) - Presentation
Audio file

Topics

Q. Customer and Account Information
10/05/2021
Event
CAT CAIS Technical Specification Working Group Q&A - October 5, 2021
- CAT CAIS Technical Specification Working Group Q&A (October 5, 2021) - Presentation
Audio file

Topics

Q. Customer and Account Information
11/03/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (November 3, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (11/3/21)- Presentation
Audio file

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a monthly Industry Testing Checkpoint Call for CAIS/LTID on Wednesday, November 3, 2021 at 4:15 pm ET. Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to ensure your firm has…

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
10/19/2021
Event
CAT CAIS Technical Specification Working Group Q&A - October 19, 2021
- CAT CAIS Technical Specification Working Group Q&A (October 19, 2021) - Presentation
Audio file

Topics

Q. Customer and Account Information
11/02/2021
Event
CAT CAIS Technical Specification Working Group Q&A - November 2, 2021
- CAT CAIS Technical Specification Working Group Q&A (November 2, 2021) - Presentation
Audio file

Topics

Q. Customer and Account Information
12/01/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (December 1, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (12/1/21)- Presentation
Audio file

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a monthly Industry Testing Checkpoint Call for CAIS/LTID on Wednesday, December 1, 2021 at 4:15 pm ET. Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to ensure your firm has…

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
11/17/2021
Event
CAT CAIS Technical Specification Working Group Q&A - November 16, 2021
- CAT CAIS Technical Specifications Working Group Q&A (November 16, 2021)- Q&A
- CAT CAIS Technical Specifications Working Group Q&A (November 16, 2021)- Presentation
Audio file

Topics

Q. Customer and Account Information

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B. Reporting Requirements
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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
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R. Clock Synchronization
S. Security
T. Production Readiness Testing
U. Allocations
V. CAT Billing
W. Fee Dispute Resolution
X. Reference Database
All 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
V. CAT Billing
W. Fee Dispute Resolution
X. Reference Database
All 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
V. CAT Billing
W. Fee Dispute Resolution
X. Reference Database
All 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
V. CAT Billing
W. Fee Dispute Resolution
X. Reference Database
All Topics