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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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05/05/2022
Event
CAIS Industry Testing Checkpoint Call (May 4, 2022)
- CAIS Industry Testing Checkpoint Call (May 4, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
04/21/2022
Event
CAIS Industry Testing Checkpoint Call (April 21, 2022)
- CAIS Industry Testing Checkpoint Call (April 21, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
04/21/2022
Event
Monthly CAT Update (April 20, 2022)
- Monthly CAT Update (April 20, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
04/08/2022
Event
CAIS Industry Testing Checkpoint Call (April 7, 2022)
- CAIS Industry Testing Checkpoint Call (April 7, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
03/29/2022
Event
Cost Savings and Processing Efficiencies
- Cost Savings and Processing Efficiencies (March 29, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
03/24/2022
Event
CAIS Industry Testing Checkpoint Call (March 23, 2022)
- CAIS Industry Testing Checkpoint Call (March 23, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
03/16/2022
Event
Monthly CAT Update (March 16, 2022)
- Monthly CAT Update (March 16, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
03/09/2022
Event
CAIS Industry Testing Checkpoint Call (March 9, 2022)
- CAIS Industry Testing Checkpoint Call (March 9, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
02/23/2022
Event
CAIS Industry Testing Checkpoint Call (February 23, 2022)
- CAIS Industry Testing Checkpoint Call (February 23, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
02/16/2022
Event
Monthly CAT Update (February 16, 2022)
- Monthly CAT Update (February 16, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

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