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Content type

Topics

Year

P. Feedback and Error Correction

This section provides information related to CAT file and data submission feedback and the error correction process.

UPCOMING EVENT

Nov

21

Monthly CAT Update (November 21, 2024)

04:15PM EST

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Displaying 1 - 10 of 276 results

10/18/2024
Event
Monthly CAT Update (October 17, 2024)
- Monthly CAT Update (October 17, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/20/2024
Event
Monthly CAT Update (September 19, 2024)
- Monthly CAT Update (September 19, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/04/2024
Event
Monthly CAT Update (December 19, 2024)

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/04/2024
Event
Monthly CAT Update (November 21, 2024)

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/16/2024
Event
Monthly CAT Update (August 15, 2024)
- Monthly CAT Update (August 15, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
07/18/2024
Event
Monthly CAT Update (July 18, 2024)
- Monthly CAT Update (July 18, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
06/20/2024
Event
Monthly CAT Update (June 20, 2024)
- Monthly CAT Update (June 20, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
06/05/2024
Event
CAIS Industry Testing Checkpoint Call (June 5, 2024)
- CAIS Industry Testing Checkpoint Call (June 5, 2024) - Presentation
Audio file

Topics

M. Firm Designated ID

P. Feedback and Error Correction

Q. Customer and Account Information
05/17/2024
Event
Monthly CAT Update (May 16, 2024)
- Monthly CAT Update (May 16, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
05/08/2024
Event
CAIS Industry Testing Checkpoint Call (May 8, 2024)
- CAIS Industry Testing Checkpoint Call (May 8, 2024) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information

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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
All Topics

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
All Topics