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UPCOMING EVENT

Dec

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Monthly CAT Update (December 18, 2025)

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Displaying 251 - 260 of 1541 results

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A. General

B. Reporting Requirements

C. Definitions

D. Order Receipt

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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

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12/18/2023
Reference Material
Independent Audit of Costs Incurred Prior to Effective Date of the Plan
12/14/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (December 13, 2023)
- Monthly CAIS Industry Testing Checkpoint Call (December 13, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
12/08/2023
Technical Specifications
CAT Technical Specifications for Billing Trade Details v1.0 r1

Topics

V. CAT Billing
12/07/2023
Announcement
2023 Consolidated Audit Trail Advisory Committee List

Topics

A. General
12/07/2023
Event
Part 2: CAIS Releases (December 6, 2023)
- Part 2: CAIS Releases (December 6, 2023) - Presentation
Audio file

Topics

Q. Customer and Account Information
12/05/2023
Reference Material
SEC Granting Exemptive Relief Related to Recordkeeping Requirements for Industry Test Data
11/30/2023
Event
Part 1: CAIS Releases (November 29, 2023)
- Part 1: CAIS Releases (November 29, 2023) - Presentation
Audio file

Topics

Q. Customer and Account Information
11/30/2023
Technical Specifications
CAT Technical Specifications for Billing Trade Details v1.0

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V. CAT Billing
11/30/2023
Reference Material
CAT Industry Member Technical Specifications (2d) v4.1.0
11/30/2023
Reference Material
Outstanding Rejections Metadata Feedback File Schema

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