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UPCOMING EVENT

Jun

07

Monthly CAIS Industry Testing Checkpoint Call (June 7, 2023)

04:15PM EDT

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Displaying 1 - 10 of 1241 results

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J. OTC Equity Securities

K. Options

L. Equity Floor Brokers

M. Firm Designated ID

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05/24/2023
Governance
Notice of Filing of Exemptive Request Letter Related to Responses to Electronic RFQs
05/24/2023
Reference Material
CAT Reporting Agent Agreement (Redlined PDF for reference)
05/24/2023
Reference Material
CAT Reporter Agreement (Redlined PDF for reference)
05/24/2023
Reference Material
CAT Reporting Agent Agreement (PDF for reference)

Topics

A. General
05/24/2023
Reference Material
CAT Reporter Agreement (PDF for reference)

Topics

A. General
05/23/2023
FAQ
Q68. How must Industry Members report an FDID Record to CAIS in the scenario where the Authorized Trader is a government employee of a U.S. state, county or municipality and acting in the capacity of a guardian or conservator for a minor or incapacitated person, and the government employee Authorized Trader does not provide a year of birth or Input Identifier (such as a social security number) citing exemptions from the definition of “customer” under the Customer Identification Program (“CIP”) Rules?

Topics

Q. Customer and Account Information
05/23/2023
FAQ
Q65. To facilitate reporting of Authorized Traders as required by the CAT NMS Plan, the Full CAIS Technical Specifications require a firstName, lastName, yearOfBirth, tidType and tidValue to be reported for all Natural Person Authorized Traders. Accordingly, if these fields for Natural Person Customers are not populated, the Customer Record will be rejected. The Plan Participants understand that some Industry Members have not historically collected and systematized a tidValue and yearOfBirth for Natural Person Authorized Traders and may be unable to report them as required by the Full CAIS Technical Specifications per the implementation schedule as set forth in CAT Alert – 2022-01. How must Industry Members report Natural Person Customers if they are not able to provide all required information by the Full CAIS Compliance Go-Live date?

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Q. Customer and Account Information
05/19/2023
Event
Monthly CAT Update (May 18, 2023)
- Monthly CAT Update (May 18, 2023) - Presentation
Audio file

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A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
05/18/2023
Governance
Response to Comments on Proposed CAT NMS Plan Amendment Related to Funding Proposal
05/18/2023
Technical Specifications
2023 Industry Member Releases (Transaction) - Scope and Schedule

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