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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

W. Fee Dispute Resolution

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10/18/2022
FAQ
U31. Since Clearing Firms rely on their correspondent firms to provide account holder information, can a clearing firm reporting an allocation event (MEPA/MOPA) or amended allocation event (MEAA/MOAA) report the accountHolderType as provided by its correspondent firm?

Topics

U. Allocations
10/13/2022
Event
CAIS Industry Testing Checkpoint Call (October 12, 2022)
- CAIS Industry Testing Checkpoint Call (October 12, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
10/06/2022
Event
CAIS Industry Testing Checkpoint Call (October 05, 2022)
- CAIS Industry Testing Checkpoint Call (October 05, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
10/04/2022
FAQ
Q12. Are regulators expecting complete accuracy with respect to the ltidEndReason and roleEndReason?

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Q. Customer and Account Information
09/29/2022
Event
CAIS Industry Testing Checkpoint Call (September 28, 2022)
- CAIS Industry Testing Checkpoint Call (September 28, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
09/27/2022
Event
Monthly CAT Update (September 27, 2022)
- Monthly CAT Update (September 27, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/22/2022
FAQ
Q36. Is there a record limit for files submitted to CAT CAIS through SFTP?

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Q. Customer and Account Information
09/22/2022
Event
CAIS Industry Testing Checkpoint Call (September 21, 2022)
- CAIS Industry Testing Checkpoint Call (September 21, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
09/20/2022
Event
CAT CAIS Technical Specification Working Group - September 20, 2022
- CAT CAIS Technical Specification Working Group (September 20, 2022) - Presentation
Audio file

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Q. Customer and Account Information
09/20/2022
Reference Material
Customer & Account Technical Specifications for Industry Members v2.0 r9.2

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