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CAIS Industry Testing Checkpoint Call (May 8, 2024)

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A. General

B. Reporting Requirements

C. Definitions

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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

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T. Production Readiness Testing

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V. CAT Billing

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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

Topics

A. General
02/23/2021
FAQ
E25. When should the cancelFlag field be set to true on the Trade event (“MEOT”)?

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E. Order Routing and Execution
02/23/2021
Reference Material
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.2 (Clean)
02/23/2021
FAQ
B72. Is my response to a Request for Quotes (“RFQ”) or other solicitation process required to be reported as a New Order event (“MENO”) or New Option Order event (“MONO”) in Phase 2a or Phase 2b if my response is selected as the winning bid?

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B. Reporting Requirements
02/22/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0
02/18/2021
Event
Monthly CAT Implementation Update (2/18/21)
- Monthly CAT Implementation Update (2/18/21)- Presentation
Audio file

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A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
02/17/2021
Event
CAIS Onboarding & LTID Submission for Small Firms (2/17/21)
- CAIS Onboarding & LTID Submission for Small Firms (2/17/2021)- Presentation
Audio file

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M. Firm Designated ID

Q. Customer and Account Information

T. Production Readiness Testing
02/16/2021
Event
CAT Technical Specification Working Group Q&A - 2/16/21
- Technical Specifications Updates Presentation - 2/16/21
- CAT Technical Specification Working Group Q&A - 2/16/21
Audio file

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B. Reporting Requirements

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