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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

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02/28/2024
Event
CAIS Industry Testing Checkpoint Call (February 28, 2024)
- CAIS Industry Testing Checkpoint Call (February 28, 2024) - Presentation
Audio file

Topics

Q. Customer and Account Information
02/15/2024
Event
Monthly CAT Update (February 15, 2024)
- Monthly CAT Update (February 15, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
02/15/2024
FAQ
F7. What is the difference between order level linkage and fulfillment level linkage on a representative order?

Topics

F. Representative Orders
02/15/2024
FAQ
F6. Are there any exceptions to the requirement to link Representative Orders with the underlying order(s)?

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F. Representative Orders
02/15/2024
FAQ
F5. Are Industry Members required to link a Representative Order with the underlying order(s) for the Representative Order?

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F. Representative Orders
02/13/2024
Governance
Notice of Filing of Exemptive Request Letter Related to Responses to Electronic RFQs
02/13/2024
Technical Specifications
Order Routing Field Mapping between CAT and Exchanges v2.9

Topics

B. Reporting Requirements

E. Order Routing and Execution
02/08/2024
Event
Monthly CAIS Industry Testing Checkpoint Call (February 7, 2024)
- Monthly CAIS Industry Testing Checkpoint Call (February 7, 2024) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
02/05/2024
Reference Material
Trade Details Schema
01/30/2024
Reference Material
Q4 2023 QPR

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