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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

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09/01/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (September 1, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (9/1/21)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
08/19/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (August 19, 2021)
- Monthly CAT Implementation Update (August 19, 2021)-Presentation
- FINRA (SRO) Status Update on OATS Retirement (August 19, 2021)-Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/10/2021
Event
Industry Testing Checkpoint Call (August 10, 2021)
- Industry Testing Checkpoint Call (August 10, 2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
08/04/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (August 4, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (8/4/21)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
07/16/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (July 15, 2021)
- Monthly CAT Implementation Update (7/15/21)- Presentation
- OATS Retirement Status Update (7/15/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
07/14/2021
Event
Industry Testing Checkpoint Call (July 13, 2021)
- Industry Testing Checkpoint Call (July 13, 2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
07/07/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (July 7, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (7/7/21)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
06/18/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (June 17, 2021)
- Monthly CAT Implementation Update- Presentation
- FINRA (SRO) Status Update on OATS Retirement- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
06/09/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call and CAIS Report Card (June 9, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (6/9/21)- Presentation
- CAIS Report Card Webinar (6/9/21)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
06/08/2021
Event
Industry Testing Checkpoint Call (June 8, 2021)
- Industry Testing Checkpoint Call (6/08/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

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