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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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01/04/2023
Event
CAIS Industry Testing Checkpoint Call (January 4, 2023)
- CAIS Industry Testing Checkpoint Call (January 4, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
12/22/2022
Event
CAIS Industry Testing Checkpoint Call (December 21, 2022)
- CAIS Industry Testing Checkpoint Call (December 21, 2022) - Presentation
- Material Inconsistencies Webinar (December 21, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
12/15/2022
Event
CAIS Industry Testing Checkpoint Call (December 14, 2022)
- CAIS Industry Testing Checkpoint Call (December 14, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
12/15/2022
Event
Monthly CAT Update (December 15, 2022)
- Monthly CAT Update (December 15, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
12/08/2022
Event
CAIS Industry Testing Checkpoint Call (December 7, 2022)
- CAIS Industry Testing Checkpoint Call (December 7, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
11/30/2022
Event
CAIS Industry Testing Checkpoint Call (November 30, 2022)
- CAIS Industry Testing Checkpoint Call (November 30, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
11/23/2022
Event
CAIS Industry Testing Checkpoint Call (November 22, 2022)
- CAIS Industry Testing Checkpoint Call (November 22, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
11/17/2022
Event
Monthly CAT Update (November 17, 2022)
- Monthly CAT Update (November 17, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
11/17/2022
Event
CAIS Industry Testing Checkpoint Call (November 16, 2022)
- CAIS Industry Testing Checkpoint Call (November 16, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
11/09/2022
Event
CAIS Industry Testing Checkpoint Call (November 9, 2022)
- CAIS Industry Testing Checkpoint Call (November 9, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information

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