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Displaying 341 - 347 of 347

search results for “Cais"

12/29/2020
Event
Weekly Industry Testing Checkpoint Call (12/29/2020)
- Weekly Industry Testing Checkpoint Call (12/29/2020)- Presentation
Audio file

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host Weekly Industry Testing Checkpoint Calls every Tuesday at 4:15 pm ET beginning on January 7, 2020 until further notice. The events will be held at 4:15 pm ET. Please note that FINRA CAT, LLC is now utilizing Zoom to conduct industry…

Topics

B. Reporting Requirements

P. Feedback and Error Correction
10/27/2020
Event
Weekly Industry Testing Checkpoint Call (10/27/2020)
- Weekly Industry Testing Checkpoint Call (10/27/2020)- Presentation
Audio file

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host Weekly Industry Testing Checkpoint Calls every Tuesday at 4:15 pm ET beginning on January 7, 2020 until further notice. The events will be held at 4:15 pm ET. Please note that FINRA CAT, LLC is now utilizing Zoom to conduct industry…

Topics

B. Reporting Requirements

P. Feedback and Error Correction
09/01/2020
Event
Weekly Industry Testing Checkpoint Call (9/1/2020)
- Weekly Industry Testing Checkpoint Call (9/1/2020)- Presentation
Audio file

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host Weekly Industry Testing Checkpoint Calls every Tuesday at 4:15 pm ET beginning on January 7, 2020 until further notice. The events will be held at 4:15 pm ET. Please note that FINRA CAT, LLC is now utilizing Zoom to conduct industry…

Topics

B. Reporting Requirements

P. Feedback and Error Correction
09/23/2020
Event
Phase 2c Industry Webinar (9/23/20)
- Phase 2c Industry Webinar (9/23/20)- Presentation
Audio file

On Wednesday, September 23, 2020 at 10 am ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar focusing on Phase 2c, highlighting the differences from Phase 2a/2b with a specific focus on allocations. Please note that FINRA CAT, LLC is now utilizing Zoom to conduct…

Topics

B. Reporting Requirements

U. Allocations
09/28/2023
Event
Part 1: CAT Billing Webinar
- CAT Billing Webinar - Presentation
Audio file

On September 28, 2023 at 10:00 a.m. Eastern Time, FINRA CAT, LLC will host a CAT Billing Industry Webinar. The CAT Billing Webinar will be limited to the operational implementation of the CAT Reporter billing process.Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please…

Topics

V. CAT Billing
02/04/2020
CAT NMS Plan
DateDetailsSeptember 3, 2026 SEC Approved CAT NMS Plan as of 9/3/2026 On September 3, 2026, the CAT NMS Plan was amended to include MX2 LLC as a Participant.June 22, 2026 June 22, 2026 - CAT LLC Comment Letter on SEC Concept Release on CAT and Other…
02/04/2020
Exemptive Request Letters
DateDetailsSeptember 1, 2026 SEC Notice of Request for Exemption Related to Period 4 of the Financial Accountability Milestones On September 1, 2026, the SEC published notice of CAT LLC’s request for exemptive relief relating to the recovery of certain costs…