Topics | CATNMSPLAN

Content type

Topics

Year

Q. Customer and Account Information

This topic includes information related to the requirements for reporting customer and account data to the CAT.

UPCOMING EVENT

Oct

11

Monthly CAIS Industry Testing Checkpoint Call (October 11, 2...

04:15PM EDT

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Displaying 1 - 10 of 250 results

09/28/2023
Event
CAT Billing Webinar
- CAT Billing Webinar - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/22/2023
Event
Monthly CAT Update (September 21, 2023)
- Monthly CAT Update (September 21, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/21/2023
Technical Specifications
Full CAIS Industry Member Release Rollout

Topics

Q. Customer and Account Information
09/07/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (September 6, 2023)
- Monthly CAIS Industry Testing Checkpoint Call (September 6, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
08/29/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (October 11, 2023)

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
08/22/2023
Event
CAT CAIS Technical Specifications Working Group - August 22, 2023
- CAT CAIS Technical Specifications Working Group (August 22, 2023) - Presentation
Audio file

Topics

Q. Customer and Account Information
08/17/2023
Event
Monthly CAT Update (August 17, 2023)
- Monthly CAT Update (August 17, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/08/2023
CAT Alert
CAT Alert 2021-04-Phase 2e: Transitioning from LTID Account Phase to Full CAIS Phase

Topics

Q. Customer and Account Information
08/08/2023
Reference Material
Small Firm Roadmap to May, 31, 2024

Topics

B. Reporting Requirements

Q. Customer and Account Information
08/03/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (August 2, 2023)
- Monthly CAIS Industry Testing Checkpoint Call (August 2, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information

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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
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
All Topics