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UPCOMING EVENT
Jul
18
Monthly CAT Update (July 18, 2024)
04:15PM EDT
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03/21/2023
FAQ
Q16.
Can an Industry Member submit the same CAIS record every business day? Or should the Industry Member submit only a delta record? For example, if a record is submitted on T and nothing changes, can the same record be submitted on T+1, T+2, etc.? Or should the Industry Member only resubmit the record if a required data element changes?
Topics
Q. Customer and Account Information
03/13/2023
Reference Material
Proposed CAT NMS Plan Amendment Related to Funding Proposal (3/13/2023)
03/07/2023
Announcement
2023 Entitlement Certification Period - CAT Organizations With Super Account Administrators (SAAs)
Topics
A. General
03/02/2023
Event
CAIS Industry Testing Checkpoint Call (March 1, 2023)
CAIS Industry Testing Checkpoint Call (March 1, 2023) - Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
03/02/2023
Reference Material
Withdrawal of 2022 Funding Model Amendment (3/01/2023)
02/28/2023
FAQ
B74.
Is an Order Cancelled event (“MEOC”) required for Good till Cancelled (“GTC”) orders if an issue symbol is delisted?
Topics
B. Reporting Requirements
02/28/2023
FAQ
B77.
What are the CAT reporting obligations when a security is the subject of a corporate action (e.g. merger/acquisition) and is now a different security but trades under the same issue symbol and the customer/client wants to trade the new security?
Topics
B. Reporting Requirements
02/24/2023
Event
Monthly CAT Update (February 23, 2023)
Monthly CAT Update (February 23, 2023) - Presentation
Processing Changes to the Transaction Report Card - Presentation
Audio file
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
02/23/2023
Event
CAIS Industry Testing Checkpoint Call (February 22, 2023)
CAIS Industry Testing Checkpoint Call (February 22, 2023) - Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
02/21/2023
Reference Material
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r17
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