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06/16/2022
Event
CAIS Industry Testing Checkpoint Call (June 15, 2022)
06/14/2022
Event
CAT CAIS Technical Specification Working Group - June 14, 2022
06/13/2022
Governance
Notice of Filing of Exemptive Request Letter Related to Verbal Floor and Upstairs Activity
06/09/2022
Event
CAIS Industry Testing Checkpoint Call (June 8, 2022)
06/07/2022
Reference Material
Linkage Summary Feedback File – CSV Sample
06/07/2022
Reference Material
Linkage Summary Feedback File – JSON Sample
06/06/2022
Reference Material
CAT NMS LLC 2021 and 2020 Financial Statements
06/02/2022
Event
CAIS Industry Testing Checkpoint Call (June 1, 2022)
05/24/2022
Event
CAT Transaction and CAIS Technical Specification Working Group - May 24, 2022
05/23/2022
Event
CAT CAIS Technical Specifications Working Group - May 3, 2022
05/23/2022
Reference Material
May 20, 2022 Letter to SEC- Proposed Amendment to Reporter Agreement and Reporting Agent Agreement
05/20/2022
Basic page
Video Tutorials
05/19/2022
Event
CAIS Industry Testing Checkpoint Call (May 18, 2022)
05/17/2022
Event
Monthly CAT Update (May 17, 2022)
05/17/2022
FAQ
| Q. Customer and Account Information
Q61.
Must the Industry Member be identified as a CAT Customer on the related FDID Record in CAIS when there are standing instructions on the Customer’s account, when the Industry Member originates an order in a Customer’s account to satisfy a legal requirement or SEC/SRO rule or when the Industry Member liquidates fractional shares held in a Customer’s account to facilitate operational processes?
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