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Displaying 781 - 790 of 1541 results

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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

W. Fee Dispute Resolution

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03/09/2021
Reference Material
Customer & Account Technical Specifications for Industry Members v2.0 r1
03/09/2021
FAQ
B49. Are Industry Members that are a clearing firm required to report the booking of shares into a customer account that result from an options exercise or assignment to CAT?

Topics

B. Reporting Requirements
03/05/2021
Event
Requests for Quotes (RFQs) and Other Forms of Solicitation (March 4, 2021)
- Requests for Quotes (RFQs) and Other Forms of Solicitation (March 4, 2021)- Presentation
Audio file

Topics

B. Reporting Requirements
03/05/2021
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r11

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B. Reporting Requirements
03/05/2021
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r7

Topics

B. Reporting Requirements
03/05/2021
Technical Specifications
Industry Member Reporting Scenarios v3.10

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B. Reporting Requirements
03/05/2021
Technical Specifications
Industry Member Reporting Scenarios v4.1

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B. Reporting Requirements
03/03/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (3/3/21)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (3/3/21)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
03/02/2021
Event
CAT CAIS Technical Specification Working Group Q&A - 3/2/21
- CAT CAIS Technical Specification Working Group Q&A - 3/2/21
Audio file

Topics

B. Reporting Requirements

Q. Customer and Account Information
02/25/2021
Event
Industry Member Report Card 101 Webinar (2/24/21)
- Industry Member Report Card 101 Webinar (2/24/21)- Presentation
Audio file

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A. General

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