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Displaying 381 - 390 of 1638 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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11/08/2023
Event
Part 2: CAT Billing Webinar
- Part 2: CAT Billing Webinar - Presentation
Audio file

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V. CAT Billing
11/07/2023
FAQ
Q72. In a Mass Transfer of FDIDs across Industry Members, what constitutes an “Active Account” required to be reported to CAIS by the acquiring firm and when is it required to be reported to CAIS?

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Q. Customer and Account Information
11/02/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (November 1, 2023)
- Monthly CAIS Industry Testing Checkpoint Call (November 1, 2023) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
10/30/2023
Reference Material
Q3 2023 QPR
10/23/2023
Governance
Request for No-Action Relief related to 2X Load Testing
10/20/2023
Event
Monthly CAT Update (October 19, 2023)
- Monthly CAT Update (October 19, 2023) - Presentation
Audio file

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A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
10/12/2023
FAQ
V14. What should a firm do if payment was submitted but is not reflected on the CAT Reporter Portal?

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V. CAT Billing
10/12/2023
FAQ
V11. Is there a de minimis fee where an Industry Member would not receive an invoice?

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V. CAT Billing
10/12/2023
FAQ
V2. Which Industry Members will receive a CAT invoice?

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V. CAT Billing
10/12/2023
FAQ
V9. Will there be adjustments for trades that are cancelled or corrected?

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V. CAT Billing

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