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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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11/03/2022
Event
CAIS Industry Testing Checkpoint Call (November 2, 2022)
- CAIS Industry Testing Checkpoint Call (November 2, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
10/27/2022
Event
CAIS Industry Testing Checkpoint Call (October 26, 2022)
- CAIS Industry Testing Checkpoint Call (October 26, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
10/26/2022
Event
Monthly CAT Update (October 26, 2022)
- Monthly CAT Update (October 26, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
10/19/2022
Event
CAIS Industry Testing Checkpoint Call (October 19, 2022)
- CAIS Industry Testing Checkpoint Call (October 19, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
10/13/2022
Event
CAIS Industry Testing Checkpoint Call (October 12, 2022)
- CAIS Industry Testing Checkpoint Call (October 12, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
10/06/2022
Event
CAIS Industry Testing Checkpoint Call (October 05, 2022)
- CAIS Industry Testing Checkpoint Call (October 05, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/29/2022
Event
CAIS Industry Testing Checkpoint Call (September 28, 2022)
- CAIS Industry Testing Checkpoint Call (September 28, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/27/2022
Event
Monthly CAT Update (September 27, 2022)
- Monthly CAT Update (September 27, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/22/2022
Event
CAIS Industry Testing Checkpoint Call (September 21, 2022)
- CAIS Industry Testing Checkpoint Call (September 21, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/15/2022
Event
CAIS Industry Testing Checkpoint Call (September 14, 2022)
- CAIS Industry Testing Checkpoint Call (September 14, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information

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