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P. Feedback and Error Correction

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

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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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04/25/2024
Event
CAIS Industry Testing Checkpoint Call (April 24, 2024)
- CAIS Industry Testing Checkpoint Call (April 24, 2024) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
04/18/2024
Event
Monthly CAT Update (April 18, 2024)
- Monthly CAT Update (April 18, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
04/10/2024
Event
CAIS Industry Testing Checkpoint Call (April 10, 2024)
- CAIS Industry Testing Checkpoint Call (April 10, 2024) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
03/27/2024
Event
CAIS Industry Testing Checkpoint Call (March 27, 2024)
- CAIS Industry Testing Checkpoint Call (March 27, 2024) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
03/21/2024
Event
Monthly CAT Update (March 21, 2024)
- Monthly CAT Update (March 21, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
03/13/2024
Event
CAIS Industry Testing Checkpoint Call (March 13, 2024)
- CAIS Industry Testing Checkpoint Call (March 13, 2024) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
02/15/2024
Event
Monthly CAT Update (February 15, 2024)
- Monthly CAT Update (February 15, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
02/08/2024
Event
Monthly CAIS Industry Testing Checkpoint Call (February 7, 2024)
- Monthly CAIS Industry Testing Checkpoint Call (February 7, 2024) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
01/18/2024
Event
Monthly CAT Update (January 18, 2024)
- Monthly CAT Update (January 18, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/10/2024
Event
Monthly CAIS Industry Testing Checkpoint Call (January 10, 2024)
- Monthly CAIS Industry Testing Checkpoint Call (January 10, 2024) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information

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