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Displaying 531 - 540 of 1643 results

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A. General

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F. Representative Orders

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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

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10/27/2022
Event
CAIS Industry Testing Checkpoint Call (October 26, 2022)
- CAIS Industry Testing Checkpoint Call (October 26, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
10/26/2022
Event
Monthly CAT Update (October 26, 2022)
- Monthly CAT Update (October 26, 2022) - Presentation
Audio file

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A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
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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P. Feedback and Error Correction

Q. Customer and Account Information
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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P. Feedback and Error Correction

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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Q. Customer and Account Information

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