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Q. Customer and Account Information

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

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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

V. CAT Billing

W. Fee Dispute Resolution

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Order

07/14/2022
Event
CAIS Industry Testing Checkpoint Call (July 13, 2022)
- CAIS Industry Testing Checkpoint Call (July 13, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
07/06/2022
Event
CAIS Industry Testing Checkpoint Call (July 6, 2022)
- CAIS Industry Testing Checkpoint Call (July 6, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
06/29/2022
Event
CAIS Industry Testing Checkpoint Call (June 29, 2022)
- CAIS Industry Testing Checkpoint Call (June 29, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
06/28/2022
Event
Monthly CAT Update (June 28, 2022)
- Monthly CAT Update (June 28, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
06/23/2022
Event
CAIS Industry Testing Checkpoint Call (June 22, 2022)
- CAIS Industry Testing Checkpoint Call (June 22, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
06/21/2022
Event
CAT CAIS Technical Specification Working Group - June 21, 2022
- CAT CAIS Technical Specification Working Group (June 21, 2022) - Presentation
Audio file

Topics

Q. Customer and Account Information
06/16/2022
Event
CAIS Industry Testing Checkpoint Call (June 15, 2022)
- CAIS Industry Testing Checkpoint Call (June 15, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
06/14/2022
Event
CAT CAIS Technical Specification Working Group - June 14, 2022
- CAT CAIS Technical Specification Working Group (June 14, 2022) - Presentation
- CAT CAIS Technical Specification Working Group (June 14, 2022) - Q & A
Audio file

Topics

Q. Customer and Account Information
06/09/2022
Event
CAIS Industry Testing Checkpoint Call (June 8, 2022)
- CAIS Industry Testing Checkpoint Call (June 8, 2022) - presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
06/02/2022
Event
CAIS Industry Testing Checkpoint Call (June 1, 2022)
- CAIS Industry Testing Checkpoint Call (June 1, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information

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