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UPCOMING EVENT

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CAIS Industry Testing Checkpoint Call (May 1, 2024)

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A. General

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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

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10/12/2023
FAQ
V6. How many types of CAT fees are there?

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V. CAT Billing
10/12/2023
FAQ
V5. How is “executed equivalent shares” defined?

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V. CAT Billing
10/12/2023
FAQ
V4. How is a CAT Executing Broker’s CAT fee calculated?

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V. CAT Billing
10/12/2023
FAQ
V3. How is “CAT Executing Broker” defined for CAT billing purposes?

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V. CAT Billing
10/12/2023
FAQ
V2. Which Industry Members will receive a CAT invoice?

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V. CAT Billing
10/12/2023
FAQ
V1. How is the cost of the CAT being funded?

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V. CAT Billing
10/12/2023
CAT Alert
CAT Alert – 2023-02: CAT Billing

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A. General

V. CAT Billing
10/12/2023
FAQ
A10. This FAQ has been retired. Please refer to FAQ V1.

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A. General
10/11/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (October 11, 2023)
- Monthly CAIS Industry Testing Checkpoint Call (October 11, 2023) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
09/28/2023
Event
Part 1: CAT Billing Webinar
- CAT Billing Webinar - Presentation
Audio file

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V. CAT Billing

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