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A. General

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F. Representative Orders

G. Manual Orders

H. ATS

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J. OTC Equity Securities

K. Options

L. Equity Floor Brokers

M. Firm Designated ID

N. Third Party Reporting

O. Technical Requirements

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09/29/2020
Event
TRF Linkage Industry Webinar (9/29/20)
- TRF Linkage Industry Webinar (9/29/20)- Presentation
Audio file

Topics

B. Reporting Requirements

E. Order Routing and Execution

P. Feedback and Error Correction
09/17/2020
Event
Monthly CAT Implementation Update (9/17/20)
- Monthly CAT Implementation Update (9/17/20)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

U. Allocations
09/16/2020
Event
Biweekly CAIS/LTID Industry Testing Checkpoint Call (9/16/2020)
- Biweekly CAIS/LTID Industry Testing Checkpoint Call (9/16/2020)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/15/2020
Event
Weekly Industry Testing Checkpoint Call (9/15/2020)
- Weekly Industry Testing Checkpoint Call (9/15/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
09/08/2020
Event
CAT Technical Specification Working Group Q&A - 9/8/20
- CAT Technical Specification Working Group Q&A 9/8/20- Presentation
Audio file

Topics

B. Reporting Requirements

I. Foreign Securities

P. Feedback and Error Correction
09/02/2020
Event
Weekly CAIS/LTID Industry Testing Checkpoint Call (9/2/2020)
- Weekly CAIS/LTID Industry Testing Checkpoint Call (9/2/2020)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/01/2020
Event
Weekly Industry Testing Checkpoint Call (9/1/2020)
- Weekly Industry Testing Checkpoint Call (9/1/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
08/26/2020
Event
Weekly CAIS/LTID Industry Testing Checkpoint Call (8/26/2020)
- Weekly CAIS/LTID Industry Testing Checkpoint Call (8/26/2020)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
08/25/2020
Event
Weekly Industry Testing Checkpoint Call (8/25/2020)
- Weekly Industry Testing Checkpoint Call (8/25/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
08/20/2020
Event
Industry Member Compliance Report Card
- Industry Member Compliance Report Card- Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction

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