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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

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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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02/09/2022
Event
Monthly CAIS Industry Testing Checkpoint Call (February 9, 2022)
- Monthly CAIS Industry Testing Checkpoint Call (February 9, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
02/03/2022
Event
CAT Processing Update (February 2, 2022)
- CAT Processing Update (2.02.22) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction
01/20/2022
Event
Monthly CAT Update (January 19, 2022)
- Monthly CAT Update (January 19, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/13/2022
Event
Small Firms CAIS Report Cards Webinar (January 13, 2022)
- Small Firms CAIS Report Cards Webinar (January 13, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/12/2022
Event
Small Firms Transaction Report Cards Webinar (January 12, 2022)
- Small Firms Transaction Report Cards Webinar (January 12, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction
01/06/2022
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (January 5, 2022)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (January 5, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
12/22/2021
Event
Industry Testing Checkpoint Call (December 21, 2021)
- Industry Testing Checkpoint Call (December 21, 2021) - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
12/16/2021
Event
Monthly CAT Implementation Update (December 15, 2021)
- Monthly CAT Implementation Update (December 15, 2021)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
12/15/2021
Event
Industry Testing Checkpoint Call (December 14, 2021)
- Industry Testing Checkpoint Call (December 14, 2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
12/08/2021
Event
Industry Testing Checkpoint Call (December 7, 2021)
- Industry Testing Checkpoint Call (December 7, 2021) - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

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