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A. General

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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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03/24/2022
Event
CAIS Industry Testing Checkpoint Call (March 23, 2022)
- CAIS Industry Testing Checkpoint Call (March 23, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
03/23/2022
CAT Alert
CAT Alert 2020-04 - Standards for Self Reporting Erroneous Events to FINRA CAT

Topics

A. General
03/21/2022
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r11
03/16/2022
Event
Monthly CAT Update (March 16, 2022)
- Monthly CAT Update (March 16, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
03/15/2022
Event
CAT CAIS Technical Specification Working Group - March 15, 2022
- CAT CAIS Technical Specification Working Group (March 15, 2022) - Presentation
Audio file

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Q. Customer and Account Information
03/09/2022
Event
CAIS Industry Testing Checkpoint Call (March 9, 2022)
- CAIS Industry Testing Checkpoint Call (March 9, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
03/09/2022
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r7

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B. Reporting Requirements
03/09/2022
Technical Specifications
Industry Member Reporting Scenarios v4.9

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B. Reporting Requirements
03/07/2022
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r10
03/01/2022
Event
Full CAIS 101 (March 1, 2022)
- Full CAIS 101 (March 1, 2022) - Presentation
Audio file

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Q. Customer and Account Information

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