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P. Feedback and Error Correction

This section provides information related to CAT file and data submission feedback and the error correction process.

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CAIS Industry Testing Checkpoint Call (May 8, 2024)

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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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Event
Industry Testing Checkpoint Call (March 16, 2021)
- Industry Testing Checkpoint Call (3/16/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
CAT Alert
CAT Alert 2019-04 - Feedback Definition for Named Errors

Topics

P. Feedback and Error Correction
Event
Daily Industry Testing Checkpoint Call (6/24/2020)

Topics

B. Reporting Requirements

P. Feedback and Error Correction
Event
Weekly Industry Checkpoint Call (3/24/2020)
- Weekly Industry Testing Checkpoint Call (3/24/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
Event
Industry Testing Checkpoint Call (2/16/2021)
- Industry Testing Checkpoint Call (2/16/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
Event
Daily Industry Testing Checkpoint Call (6/15/2020)

Topics

B. Reporting Requirements

P. Feedback and Error Correction
Event
Industry Testing Checkpoint Call (2/2/2021)
- Industry Testing Checkpoint Call (2/2/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
Event
Daily Industry Testing Checkpoint Call (6/17/2020)

Topics

B. Reporting Requirements

P. Feedback and Error Correction
Event
Daily Industry Testing Checkpoint Call (6/22/2020)

Topics

B. Reporting Requirements

P. Feedback and Error Correction

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