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Displaying 361 - 370 of 1492 results

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I. Foreign Securities

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L. Equity Floor Brokers

M. Firm Designated ID

N. Third Party Reporting

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10/24/2022
Announcement
2022 Consolidated Audit Trail Advisory Committee List

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A. General
10/21/2022
Technical Specifications
Industry Member Reporting Scenarios v4.10

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B. Reporting Requirements
10/19/2022
Event
CAIS Industry Testing Checkpoint Call (October 19, 2022)
- CAIS Industry Testing Checkpoint Call (October 19, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
10/18/2022
Event
CAT CAIS Technical Specifications Working Group - October 18, 2022
- CAT CAIS Technical Specifications Working Group (October 18, 2022) - Presentation
Audio file

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Q. Customer and Account Information
10/18/2022
FAQ
U31. Since Clearing Firms rely on their correspondent firms to provide account holder information, can a clearing firm reporting an allocation event (MEPA/MOPA) or amended allocation event (MEAA/MOAA) report the accountHolderType as provided by its correspondent firm?

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U. Allocations
10/13/2022
Event
CAIS Industry Testing Checkpoint Call (October 12, 2022)
- CAIS Industry Testing Checkpoint Call (October 12, 2022) - Presentation
Audio file

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10/06/2022
Event
CAIS Industry Testing Checkpoint Call (October 05, 2022)
- CAIS Industry Testing Checkpoint Call (October 05, 2022) - Presentation
Audio file

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Q. Customer and Account Information
10/04/2022
FAQ
Q12. Are regulators expecting complete accuracy with respect to the ltidEndReason and roleEndReason?

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09/29/2022
Event
CAIS Industry Testing Checkpoint Call (September 28, 2022)
- CAIS Industry Testing Checkpoint Call (September 28, 2022) - Presentation
Audio file

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Q. Customer and Account Information
09/27/2022
Event
Monthly CAT Update (September 27, 2022)
- Monthly CAT Update (September 27, 2022) - Presentation
Audio file

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B. Reporting Requirements

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