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UPCOMING EVENT

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24

CAIS Industry Testing Checkpoint Call (April 24, 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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08/25/2020
Announcement
Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)

Topics

A. General
08/25/2020
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.1.1
08/20/2020
Event
Industry Member Compliance Report Card
- Industry Member Compliance Report Card- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
08/19/2020
Event
Interfirm Linkage Overview (8/19/2020)
- Interfirm Linkage Overview (8/19/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
08/18/2020
Event
Weekly Industry Testing Checkpoint Call (8/18/2020)
- Weekly Industry Testing Checkpoint Call (8/18/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
08/12/2020
Technical Specifications
Industry Member Reporting Scenarios v3.4 (Redlined)
08/12/2020
Event
Interfirm Linkage Overview (8/12/2020)
- Interfirm Linkage Overview (8/12/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
08/12/2020
Event
LTID Submission Webinar (8/12/2020)
- LTID Submission Webinar (8/12/2020)- Presentation
Audio file

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M. Firm Designated ID

Q. Customer and Account Information

T. Production Readiness Testing
08/12/2020
FAQ
B64. If executions against an order are tracked throughout the day but a single average price fill is provided to the client after the order is completed or at the end of the day, are fulfillments required throughout the day with a fulfillment amendment requirement with each new execution?

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B. Reporting Requirements
08/12/2020
FAQ
N7. If a firm uses a third party CAT Reporting Agent to submit data on its behalf, can the firm satisfy its CAT recordkeeping obligations by having the third party retain the data and provide it upon request?

Topics

N. Third Party Reporting

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