CAT CAIS Open Issues List (Full CAIS)

​Last Updated: 01/25/2023

Additional Releases (Full CAIS)

 # Status Error Code Summary Resolution Priority Test Environment Targeted Release Date/Workaround Production/Production Mirror Environments Targeted Release Date/Workaround Area
1

Open

 N/A

Intermittent instances where rejections, inconsistencies details and repair credit may be incomplete on the reporter portal screens. 

Rejections and Inconsistencies details are being delivered via feedback files.

 TBD High Fix: TBD

Fix: TBD

 Reporter Portal
2 Open

23004,
23005,
24001, 24005

An attempt to resolve certain errors may incorrectly generate additional erroneous rejections and/or warnings. 

Additionally, FDID Reconciliation Report may be impacted by this issue.

 TBD High Fix: TBD

Fix: TBD

 Data Validation
3 UPDATED-Open 30002,
30003,
30004,
22503,
22525
 

An attempt to resolve a material inconsistency may incorrectly generate additional erroneous rejections and/or inconsistencies. 

FINRA CAT has temporarily disabled the Material Inconsistency and related updateNotification validations.

 TBD High

Deployed: 01/16/2023

Workaround/Guidance:
1. Industry Members may ignore the outstanding Material Inconsistency Errors.
2. Industry Members may resubmit the FDID Record (with all LTID and Customer associations) in order to repair the rejections.


Deployed: 01/23/2023

Workaround/Guidance:
1. Industry Members may ignore the outstanding Material Inconsistency 
Errors.
2. Industry Members may resubmit the 
FDID Record (with all LTID and Customer associations) in order to repair the rejections.

 Data Validation
4 Open N/A Intermittent instances where Rejections and Inconsistencies may result in an incomplete CSV download error or an error that prevents the file from downloading. Code Release High Fix: TBD Fix: TBD Reporter Portal
5 Open N/A Intermittent issues with filtering results on rejections and inconsistencies. TBD High Fix: TBD Fix: TBD Reporter Portal
6 Open N/A Files containing more than 6 Million total records (FDIDs + CAT Customers) may not return feedback in the times specified within the Full CAIS Technical Specifications. Code Release Medium

Fix: TBD

Fix: TBD

Feedback Files
7 Open N/A Submissions Report is displaying negative outstanding counts for rejections and inconsistencies. Also,  the export is missing FDID accepted and FDID rejected columns.  Code Release Medium Inconsistencies Fix: 10/31/22
Rejections Fix: TBD		 Inconsistencies Fix: 11/07/22
Rejections Fix: TBD		 Reporter Portal
8 UPDATED-Open N/A Use of the Manual Submission within the Reporter Portal UI does not currently allow a user to enter extended text characters properly for the accountName field. Submission of extended text characters in the field via SFTP or upload of files within the Reporter Portal does allow for the extended text properly. Code Release Low Fix: TBD Fix: TBD Reporter Portal
9 Open  N/A In instances when an attempt to repair is also rejected, the user is unable to view the new rejection on the error identification date which means the feedback does not match the rejections on the reporter portal screen. Code Release

Medium

 Fix: TBD Fix: TBD Reporter Portal
10

Open

 N/A Instances when an error occurs for a customer record where the same CAT customer is reported with multiple customerRecordID values, SFTP feedback will include only one of the customerRecordIDs.  The portal feedback displays all customerRecordIDs related to the error. Code Release Medium Fix: TBD
Specification Update: TBD		 Fix: TBD
Specification Update: TBD		 Feedback Files
11 Open N/A When a filter has been applied to the Rejections table, the CSV file downloaded includes all records in the table rather than only filtered records. Code Release Low Fix: TBD Fix: TBD Reporter Portal
12 Open N/A In limited instances, for dates 9/22/22 and 9/23/22, impacted inconsistencies were erroneously duplicated for the same Customer. Resolving one of them using the updateNotification does not resolve all of the Customer’s outstanding Inconsistencies. Data Fix Low Fix: TBD Fix: TBD Reporter Portal
13 Open N/A

The customerRejectionEventID conditional attribute within the CAIS Data Feedback File is not present for rejections against customer records.

This field is displayed on the reporter portal as a ‘Text’ rather than ‘Unsigned’.

 Code Release Low Specification Update: TBD Specification Update: TBD Feedback Files
Reporter Portal
14 Open 24001,
24005		 Correction attempt with a rejectionID unknown to CAIS generates an incorrect warning of 24005 instead of 24001. Code Release Low Fix: TBD Fix: N/A Data Validation
15 Open N/A FDID Version Report includes FDIDs that have been previously ended. Code Release Low Fix: TBD Fix: TBD Reports
16 Open N/A Duplicate rows are present in the downloaded file when downloading the Rejections table from the Reporter UI. Code Release Low Fix: TBD Fix: TBD Reporter UI
17 Open 22526,
22914		 Incorrectly generating Error code 22526 (customerRecordID not present in paired Identifiers file) instead of 22914 when the Paired TID Record fails validation. Code Release Medium Fix: TBD Fix: TBD Data 
Validation
18 Open 30002,
30003,
30004		 Intermittent instances where the CAIS system incorrectly generates subsequent nightly inconsistencies on customer records that have already been resolved with a prior submission. Code Release Low Fix: TBD Fix: TBD Data 
Validation
19 Open N/A Rejection feedback and material inconsistences for files submitted as of 11/21/22 are currently unavailable in the CAT CAIS Industry Test environment reporter portal. This feedback is available via SFTP.  TBD High Fix: TBD Fix: N/A Reporter Portal
20 Open N/A Resolved rejections and inconsistencies continue to be displayed on the screens even after 10 days of resolution. TBD Low Fix: TBD Fix: TBD Reporter Portal
21 Open N/A User is unable to filter on the submission date due to submission timestamp available in UTC format. Code Release Low Fix: TBD Fix: TBD Reporter Portal
22 Open 22523 Intermittent instances of incorrectly generated error code 22523 (Customer Record rejected because an associated FDID was Rejected) where the firm is not able to resolve the error.  Code Release Medium Fix: TBD Fix: TBD Data 
Validation
23 UPDATED-Open 22016,
22015		 Rejection feedback does not include the FDIDs being rejected in instances when the ltidEffectiveDate and/or ltidEndDate values are missing or not properly formatted. In such scenarios the customer record is rejected with the error code 22523 (Customer Record rejected because an associated FDID was Rejected). Code Release Medium Fix: TBD Fix: TBD Data 
Validation
24 Open Multiple Incorrectly rejecting extended text data type fields when the field includes limited set of printable ASCII characters on extended range. Code Release Low Fix: TBD Fix: TBD Data 
Validation
25 Open 22034 Incorrectly generating error code 22034 (Data type violation – FDID) when submitting records with a branchOfficeCRD or registeredRepCRD using the Manual Submission Form. TBD Low Fix: TBD Fix: TBD Data 
Validation
26 Open N/A Intermittent instances of rejection and inconsistency repairs not being properly reflected in the submissions report. TBD Medium Fix: TBD Fix: TBD Reporter Portal
27 Open 30004 Intermittent instances of incorrectly generating inconsistency code 30004 when the TID Type is not Foreign.  TBD Low Fix: TBD Fix: TBD Inconsistencies

 

CAT CAIS Planned Enhancements - Open (Full CAIS)

​Last Updated: 01/25/2023

 # Status Error Code Summary Resolution Priority Test Environment Targeted Release Date/Workaround Production/Production Mirror Environments Targeted Release Date/Workaround Area
1 Open N/A The Update button on a Manual Form Submission is enabled when viewing a previously added record. The button should be disabled until at least one field is updated by the user. Code Release Low Fix: TBD Fix: TBD Manual Form Submission
2 Open N/A

When selecting date values in the Manual Form Submission, the date is not selected when the user first clicks a date. The date is only selected on the second click.

 Code Release Low Fix: TBD Fix: TBD Manual Form Submission
3 Open N/A Certain columns are not displayed in the Submission Report by default. Code Release Low

Workaround: User may add the columns to their view.

Fix: TBD

 Fix: N/A Reporter Portal

 

CAT CAIS Closed Issues List

​Last Updated: 01/25/2023

 # Status Error Code Summary Resolution Priority Targeted Release Date Area
1 Closed N/A
 

Defining a customer reporting relationship without an expiration date causes all users for the CAT Submitter firm to no longer be able to login to CAIS.

Code Release

Complete

11/9/20- Test

N/A- Prod

Reporter Portal
2 Closed N/A Feedback File - absent fields:
  • ‘receivedCorrectionActionCount’
  • ‘successfulCorrectionActionCount’
  • ‘version’
 Code Release Complete

11/9/20- Test

N/A- Prod

 Reporter Portal
3 Closed 21010 Submission file naming convention does not allow <Group>. Generates ‘File Integrity Error’ response Code Release Complete

11/9/20- Test

N/A- Prod

 Reporter Portal
4 Closed N/A Null value in CAT Reporter Organization Name reporting relationship generates not-null exception & terminates file submission.  Code Release Complete

11/23/20- Test

N/A- Prod

 Reporter Portal
5 Closed N/A CAIS Technical Specifications schema discrepancy regarding field: ‘firmDesignatedID’. Alphanumeric (current) vs Text String (intended) to allow for ASCII chars. Code Release Complete

12/6/20- Test

N/A- Prod

 Reporter Portal
6 Closed N/A Leading (padded) zeroes within numeric JSON attribute cause parsing error after file validation – submission does not reach COMPLETED state.  Code Release Complete

12/6/20- Test

N/A- Prod

 Reporter Portal
7 Closed N/A Feedback file contains errant field (not included in Tech Spec): "firmRecordID" - should be named "fdidRecordID". Code Release Complete

12/6/20- Test

N/A- Prod

 Reporter Portal
8 Closed N/A Unhandled Exception: Attempt to submit 0 byte submission file causes validation engine exception. Intended behavior is for validation engine to invalidate file and notify user of the issue.  Code Release Complete

1/31/21

 Reporter Portal
9 Closed N/A File submission sporadically terminated due to incompatible arrangement of compressed submission file contents. Code Release Complete

2/7/21- Test

2/14/21- Prod

 Reporter Portal
10 Closed N/A Submissions not processing correctly due to a missing date in Reporter/Submitter relationship. This only impacted CT for a day and will not impact Prod as it was introduced during the 1.1.4 CT deployment. The 1.1.4 Prod deployment has been updated to not cause this issue. Code Release Complete

3/1/21- Test

N/A- Prod

 Reporter Portal
11 Closed 22020 Errant "largeTraderRecordID“ in feedback file and should not be when error code associated to FDID. Code Release Complete

2/28/21- Test

3/14/21- Prod

 Reporter Portal
12 Closed N/A Errant 'expiration date' in one or more CRD reporting relationships - CAIS file validation terminates - unable to parse relationship data Code Release Complete

2/28/21- Test

3/14/21- Prod

 Reporter Portal
13 Closed N/A Feedback file – misalignment. FailedCorrectionItem is currently paired with rejectionID. This should be paired with failedRejectionID. Code Release Complete

12/6/20- Test

12/13/20- Prod

 Reporter Portal
14 Closed N/A TypeError when submission file contains a decimal in an integer field. This should result in a data-type error. Code Release Complete

2/28/21- Test

3/14/21- Prod

 Reporter Portal
15 Closed N/A CRD Dropdown in CAIS Reporter Portal doesn’t allow scrolling for a large list. Code Release Complete 3/14/21 Reporter Portal
16 Closed 21006 Rejection Report CSV: Downloadable rejection report contains errant record set for file integrity error 21006. Expected behavior is file integrity errors do not populate rejection report CSV download.  Code Release Complete

2/28/21- Test

Prod- 3/14/21

 Reporter Portal
17 Closed 23007 If a firm attempts to clear the end date using ltidEndDate: NULL and set a new ltidEffectiveDate in the same submission, they will receive an integrity error. Code Release Complete

3/28/21- Test

4/11/21- Prod

 Reporter Portal
18  Closed 21020 Invalid Submission File extension causes submission to stall. Should return integrity error. Code Release Complete

3/28/21- Test

4/11/21- Prod

 Reporter Portal
19  Closed N/A Missing attributes in certain versions of feedback file; should be present in all versions (“receiptTimestamp” and various “Count” attributes). Code Release Complete

4/11/21- Test

4/25/21-Prod

 Reporter Portal
20  Closed N/A Unexpected response occurs when submitted "reporterCRD" value exceeds numeric limit; should return invalid CRD error. Code Release Complete

4/11/21- Test

4/25/21-Prod

 Reporter Portal
21  Closed N/A If a firm submits using an invalid FDID type, the submission will not process successfully. Code Release Complete 4/25/21 Reporter Portal
22  Closed 21006 Error occurs when sequence of read, delete, insert functions happen out of order during parallel file processing. Code Release Complete

4/11/21- Test

4/25/21-Prod

 Reporter Portal
23 Closed N/A If a user uploads 2 files with the same file name in rapid succession, the first submission can get stuck. The second one will successfully process. Code Release Complete 5/23/21 Reporter Portal
24 Closed N/A If a user presses the reset button on the manual submission screen in the CAIS Portal it will clear out the fdidRecordID. Code Release Complete 5/23/21 Reporter Portal
25 Closed N/A If a firm submits a file using a large number of duplicate fdid record ids, it can cause the submission to get hung up and not finish processing. Code Release Complete 6/20/21 Reporter Portal
26 Closed 23001 Attempting to reactivate a previously ended FDID by clearing the stored fdidEndDate (fdidEndDateNULL: ‘true’), and updating the fdidDate with a date value greater than the previously stored fdidEndDate in the same submission file, generates an errant data validation error.  Code Release Complete 8/29/21 Reporter Portal
27 Closed N/A Duplicate FDID rejections only showing one rejection to be repaired.  Rejected counts will be greater than repaired + outstanding when this occurs. Code Release Complete 8/29/21 Reporter Portal
28 Closed N/A Outstanding Record count and Repair count are greater than total number of rejected records in the submission report If there are duplicate FDIDs coupled with other errors on the FDID. Code Release Complete 1.2.6 Deployment - 9/26/21 Reporter Portal
29 Closed N/A Submission files may not complete processing if they include an FDID that was previously accepted in an LTID Phase submission with one or more LTIDs, and is reported in the Full CAIS Phase submission with the exact same LTIDs. Code Release Complete

2/27/2022- Test

N/A- Prod

 Data Validation
 
30 Closed 22062
22063		 Field length validation on primeBrokerID and bankDepositoryID erroneously rejects records if the value is not the exact length. Each attribute should allow values up to the stated length, rather than expecting that exact length. Code Release Complete

2/27/2022- Test

N/A- Prod

 Data Validation
31 Closed 22531 Legal Entity CAT Customers are rejected for not having a populated LEI, even when the customer is not reported with a foreignTIDType of LEI. Code Release Complete

2/27/2022- Test

N/A- Prod

 Data Validation
32 Closed 22900 Rejections for a malformed TID record are erroneously included in the Submission Feedback file with an error code of 22914 rather than 22900. These rejections are not able to be repaired by resubmission of the same CAT Customer, which is not accepted for rejections of error code 22914. Code Release Complete

2/27/2022- Test

N/A- Prod

 Submission Feedback
33 Closed 21014 The CAIS Data file does not proceed to the COMPLETED_FILE_TIMEOUT status when the paired TIDs file is not posted within the 60 minute window, and feedback is not provided that the file has timed out.  Code Release Complete

2/27/2022- Test

N/A- Prod

 Submission Feedback
34 Closed N/A The Submission Summary page, displayed when the user finalizes a Manual Form Submission, does not show all fields included in the submission. Code Release Complete

2/27/2022- Test

N/A- Prod

 Manual Form Submission
35 Closed N/A Submissions using the Manual Form Submission functionality does not result in the generation of a TIDs file if the user does not include any CAT Customer associations to the FDID. This only impacts firms attempting to test ending an FDID Record. Code Release Complete

2/27/2022- Test

N/A- Prod

 Manual Form Submission
 
36 Closed 22042 The Completed Submissions and Submission Reports tables may show incorrect counts for CAT Customers Processed, Accepted, and Rejected when the FDID to which the CAT Customer is associated is rejected for Error Code 22042. Code Release Complete

2/27/2022- Test

N/A- Prod

 Reporter Portal
37 Closed N/A Submissions using the Manual Form Submission functionality that include one or more CAT Customer records having a populated Address Record with a Country of US or Canada are rejected for an invalid regionCode.
 		 Code Release Complete

2/27/2022- Test

N/A- Prod

 Manual Form Submission
38 Closed N/A Intermittent instances of CAIS Data files and TIDs files that are not able to be processed due to improperly formatted data within the file. Files may get stuck in a 'File Acknowledged' state and not properly reach a failed state.  Code Release Complete

3/27/2022- Test

N/A- Prod

 Data Validation
39 Closed N/A The Manual Form Submission fields for Correspondent CRD and Prior CAT Reporter CRD are only allowing selection from the CRDs with which the firm has a submission relationship. The fields should allow all valid CRDs. Code Release Complete

3/27/2022- Test

N/A- Prod

 Manual Form Submission
40 Closed 23999 (Applicable to v2.0.0 submissions) OutOfMemoryError in Submission Engine. When attempting to compile feedback file, submission engine runs out of memory if too many rejections present. Code Release Complete

3/27/2022- Test

N/A- Prod

 Submission Feedback
41 Closed 22503 If a CAT Customer submission is rejected for error code 22503 - including the updateNotification as true for the first submission of a CAT Customer - the record is listed with both 22503 and 22523 - indicating the CAT Customer is rejected because the FDID is rejected. Only 22503 should be listed. While two error codes are generated, only one error is included in statistics. Code Release Complete

3/27/2022- Test

N/A- Prod

 Submission Feedback
42 Closed N/A Legal Entity Material Inconsistencies are not included in the Nightly Scans Feedback for Impacted firms when the other Industry Member has resolved their Material Inconsistency. Code Release Complete

3/27/2022- Test

N/A- Prod

 Material Inconsistencies
 
43 Closed N/A The Inconsistencies table shows duplicated Material Inconsistencies in some instances. Display only-issue: Only one Material Inconsistency is included in the submission feedback. Code Release Complete

3/27/2022- Test

N/A- Prod

 Reporter Portal
44 Closed N/A In certain instances, the Submission files status may be listed with a status of 'Completed - With Rejections' when there are no rejections against the file. Code Release Complete

3/27/2022- Test

N/A- Prod

 Reporter Portal
45 Closed N/A Downloads of the Completed Submissions and Submission statistics from the Reporter Portal do not include the Triggered Inconsistencies, Late Repairs, or Outstanding Inconsistencies columns. Statistics are displayed in the Reporter Portal UI. Code Release Complete

3/27/2022- Test

N/A- Prod

 Reporter Portal
46 Closed N/A Processed and Repaired record counts within the Completed Submissions data table within the Reporter Portal may not match the count of records included in the file. Code Release Complete

3/27/2022- Test

N/A- Prod

 Reporter Portal
47 Closed N/A Users in the Reporter Portal UI are not able to download the Nightly Inconsistencies Report. Code Release Complete

3/27/2022- Test

N/A- Prod

 Reporter Portal
48 Closed 22048 EIN starting with “00-” fails validation due to range validation rules.  Code Release Complete

3/27/2022- Test

N/A- Prod

 Reporter Portal
49 Closed N/A Submission files are not processed to completion when one or more Address records contain one of the following countryCode values: 
AN - Netherlands Antilles
DJ - Djibouti
DK - Denmark
DM - Dominica
DO - Dominican Republic
IQ - Iraq
LR - Liberia		 Code Release Complete

3/27/2022- Test

N/A- Prod

 Data Validation
 
50 Closed N/A Submissions of a Natural Person with an “EIN” TID, or a Legal Entity with an “SSN/ITIN” TID, are not being rejected.  Code Release Complete

3/27/2022- Test

N/A- Prod

 Data Validation
51 Closed N/A Submission files are not processed to completion when violating schema expectations by including one or more Address records contain a repeated addrType value. Code Release Complete

3/27/2022- Test

N/A- Prod

 Data Validation
52 Closed N/A Submission files are not processed to completion when violating schema expectations by including an array attribute (e.g. fdidCustomerList) that is improperly included as an object. Code Release Complete

3/27/2022- Test

N/A- Prod

 Data Validation
53 Closed N/A The count of items displayed shows the selected total results per page value, rather than the actual count of items displayed. Code Release Complete

3/27/2022- Test

N/A- Prod

 Reporter Portal
54 Closed N/A Users are not able to select 100 results per page. Additionally, when the user changes the results per page and saves their view, the results per page change is not saved. Code Release Complete

3/27/2022- Test

N/A- Prod

 Reporter Portal
55 Closed N/A The Completed Submissions table does not show the status of the TIDs file. Only the status of the CAIS Data file is displayed and included in the export. Code Release Complete

3/27/2022- Test

N/A- Prod

 Reporter Portal
56 Closed N/A Nightly Inconsistencies Report link within the Inconsistencies tab of the Reporter Portal does not navigate the user correctly to the Nightly Inconsistencies page. Code Release Complete

3/27/2022- Test

N/A- Prod

 Reporter Portal
57 Closed N/A Filter by specific CRD within the Submission Reports does not filter properly for aggregated values.  Code Release Complete

3/27/2022- Test

N/A- Prod

 Reporter Portal
58 Closed N/A If a user attempts to download a feedback file within the Reporter Portal, they are unable to retrieve the file if it was submitted by another firm on their behalf and said submitter firm has deleted the feedback file. Code Release Complete

3/27/2022- Test

N/A- Prod

 Reporter Portal
59 Closed N/A The Submission Reports overlays that show results by specific CRD does not allow the user to 'unsort' the CRD column. Code Release Complete

3/27/2022- Test

N/A- Prod

 Reporter Portal
60 Closed N/A Legal Entity manual submission form displays ‘PERMANENT’ as a selection under Foreign TID Types dropdown.  Code Release Complete

3/27/2022- Test

N/A- Prod

 Manual Form Submission
61 Closed N/A Selecting an “Error Identification Date” within the Rejections page of the Reporter Portal may display an “Error Loading Data” message. Code Release Complete

4/10/2022 - Test

N/A- Prod

 Reporter Portal
62 Closed 23999 (Applicable to v1.0.0 submissions) OutOfMemoryError in Submission Engine. When attempting to compile feedback file, submission engine runs out of memory if too many rejections present. Code Release Complete

3/27/22- Test

4/24/22- Prod

 Submission Feedback
63 Closed N/A The CAIS Test environment experienced degraded performance late last week, resulting in intermittent inability to access the system and increasing the backlog of files requiring processing. Configuration Changes Complete

5/1/22- Test

N/A- Prod

 Environment Access, Data Processing
64  Closed N/A LTID Phase files containing more than 120,000 records are not completing processing when the fdidRecordCount field is placed in the file after the fdidList multi-dimension array. Code Release Complete

5/1/22- Test

5/4/22- Prod

 Data Validation
65 Closed N/A Intermittent instances of CAIS Data files remaining in a FILE_INTEGRITY_PASSED status for an extended time and not completing processing, when a large number of FDID records within a single file each have a large number of data validation errors. Code Release Complete

5/1/22- Test

5/4/22- Prod

 Data Validation
66 Closed N/A Intermittent instances of CAIS Data files remaining in a RECORD_SCAN_COMPLETED status for an extended time and not completing processing, when the file contains FDID records that have been previously accepted in to CAIS with a common Customer that has associations to a significant number of FDIDs (1000+), and the new submission file implicitly ends associations to the previously associated Customer. Code Release Complete

5/1/22- Test

5/4/22- Prod

 Data Ingestion
67 Closed 22044 Intermittent instances of CAIS Data files remaining in a FILE_INTEGRITY_PASSED status for an extended time and not completing processing, when the file contains FDID records with associations to more than one customer, and at least one of the associations does not have a populated roleStartDate. Code Release Complete

5/4/22 - Test

5/18/22 - Prod

 Data Ingestion
68 Closed N/A In certain cases where multiple records are rejected for a malformed or duplicated FDID, or malformed TID, the multiple rejection instances are counted as a single processed record and rejection, resulting in a lower count of processed records than were in the submission file.  Code Release Complete

5/25/22 - Test

6/13/22 - Prod

Data Validation
69 Closed 22061 FDID records are incorrectly rejected when the fdidCustomerList includes records with a role of TRDHOLDER or NTHOLDER and the hasDiscretion attribute is included in the file with a null.  Code Release Complete

5/25/22 - Test

6/13/22 - Prod

 Data Validation
70 Closed N/A Users are not able to include a correctionList entry in a Manual Form Submission. This impacts error codes 22001 and 22900.  Code Release Complete

5/25/22 - Test

6/13/22 - Prod

 Manual Form Submission
71 Closed N/A Submission Report shows more results than the selected records per page when the user changes to a new View Data As perspective. Code Release Complete

5/25/22 - Test

6/13/22 - Prod

 Reporter Portal
72 Closed N/A

The following update to the Full CAIS Technical Specifications for Industry Members - v2.0 r8 was published on 4/8/2022 and became effective on 5/25/2022. 

Add a multi-dimensional array on the FDID, called authTraderNamesList, for reporting of Natural Person Authorized Traders where an Industry Member has not historically collected and systematized all data required to report the trader as a Natural Person CAT Customer, and will not be able to collect and systematize the data by July 11, 2022. The Authorized Trader Names List must only include Natural Person Authorized Traders, where the IM does not have all data required to report the Authorized Trader as a full CAT Customer record.

 Code Release Complete 

5/25/22 - Test

6/13/22 - Prod

 Planned Full CAIS Technical Specification Update 
73 Closed N/A Data file submissions intermittently display on the Reporter portal as in progress and completed simultaneously. Code Release Complete

6/26/22 - Test

7/1/22 - Prod

 Reporter Portal
74 Closed N/A Some nightly inconsistencies feedback files may be null or may not contain the identified Impacted inconsistencies for the day. Code Release Complete

6/26/22 - Test

7/1/22 - Prod

 Inconsistencies
 
75 Closed N/A Counts of Customers and FDIDs in submission file do not match the receivedFDIDRecordCount, receivedNaturalRecordCount, or receivedLegalEntityRecordCount attributes in the CAIS Data Feedback File when records are rejected due to a malformed/duplicated FDID or malformed TID. Code Release
 		 Complete

6/26/22 - Test

7/1/22 - Prod

 Data Validation
 
76 Closed N/A

Submission files transitioned to a COMPLETED_FILE_TIMEOUT state due to one of the intended paired files failing Integrity check, not being submitted in a timely fashion, or failing unexpectedly, display errantly on the In Progress tab within the Reporter Portal UI. 

Expected behavior is the timed out file moves to the Completed Submissions tab. COMPLETED_FILE_TIMEOUT feedback is available for the submission file on the SFTP site.

 Code Release Complete

6/26/22 - Test

7/1/22 - Prod

 Reporter Portal 
77 Closed N/A Intermittent instances of CAIS Data files remaining in a FILE_INTEGRITY_PASSED status for an extended time and not completing processing, when the same CAT Customer is reported with multiple customerRecordID values, one for each association to the FDID Record, when reporting via Option 2 in Scenario 3.5.1.     Code Release Complete

6/26/22 - Test

7/1/22 - Prod

 Data Ingestion
78 Closed N/A Users from Self-Reporter firms are not able to access the Customer Rejections tab within the Reporter Portal. Attempting to access the page returns an error indicating the user is “Not authorized for requested CRD”. Code Release Complete

6/13/22 - Test

7/1/22 - Prod

 Reporter Portal
79 Closed N/A The correspondentCRD attribute is incorrectly named catCorrespondentCRD within the Submission Inconsistencies Feedback File. Code Release Complete

6/26/22 - Test

7/1/22 - Prod

 Reporter Portal
80 Closed N/A Instances of files failing to complete processing when a large number of updateNotifications are included in the file. Code Release Complete

6/26/22 - Test

7/1/22 - Prod

 Data Validation
81 Closed N/A Instances of the Submission Report showing a file as “Processing” when the file has completed processing and processing feedback has been published. Code Release Complete

6/29/22 - Test

N/A - Prod

 Reporter Portal
82 Closed N/A

The following update to the Full CAIS Technical Specifications for Industry Members v2.0r8 was published on 4/8/2022 and the effective date became 7/1/2022.

Added additional foreignTIDType value of  OTHGOVT.

 Code Release Complete

6/27/22 - Test

7/1/22 - Prod

 Full CAIS Specifications Update  
83 Closed N/A Instances of an LTID Phase submission file not completing processing and remaining in a RECORD_SCAN_COMPLETED as a result of an error in the handling of the Submission ID. The feedback file available on the SFTP will contain any identified rejections, however the final transition to the Completed state is not received. Code Release Complete

6/8/22 - Test

7/1/22 - Prod

 Data Validation
84 Closed N/A Some rejection repairs are not properly reflected in the Submission Report information. This also impacts statistics in the monthly Report Card. Code Release Complete

6/26/22 - Test

7/1/22 - Prod

 Data Validation & Report Cards
85 Closed N/A The Transformed Identifiers (TIDS) feedback files for the Test environment have not been generated and posted to the SFTP as expected from the evening of 6/30 through 7/6. Files will be generated and posted for these prior submissions. Code Release Complete

7/6/22 - Test

N/A- Prod

 Data Validation
86 Closed N/A Counts of customer records received and successful in the CAIS Data Feedback file are reconciled to a count of unique TIDs, rather than the count of customerRecordID values in the file. This also occurs for the count of Customer records Processed, Accepted, and Rejected displayed within the CAIS Reporter Portal on the Completed Submissions and Submission Report. Code Release Complete 

7/12/22 - Test

7/15/22 - Prod

 Feedback and
Reporter Portal
87 Closed  N/A Intermittent instances where not all TIDs feedback file versions are being generated for a submission. Final feedback is provided including all status transitions, however one or more feedback file versions are missing. Code Release Complete
 

7/31/22 - Test

8/13/22 - Prod

 Data Validation
 
88 Closed N/A Large files containing over 15 million records failed to complete processing. Code Release Complete

7/31/22 - Test

8/13/22 - Prod

 Validation
89 Closed  22042 A single customer cannot currently have a new role which starts on the same date that a previous role was ended.
 		 Code Release
 		 Complete
 

7/31/22 - Test

8/13/22 - Prod

 Validation
90 Closed N/A The inconsistencyEventID attribute within the Submission Inconsistencies Feedback File is not present for any inconsistency. However, this attribute is present within the CAIS Reporter Portal UI. Code Release Complete

8/11/22 - Test

8/13/22 - Prod

 Feedback Files
91 Closed N/A Files containing postalCode values that are not set as string data types do not result in the record being rejected but instead transition to an Incomplete Processing Failure status.
 		 Code Release Complete

8/11/22 - Test

8/13/22 - Prod

 Validation
92 Closed 22041 Instances of CAIS Data feedback containing 22041 errors when the customerRecordID is present in the file on either a Natural Person or Legal Entity customer record, and the same customerRecordID has a malformed TID warning in the CAIS TIDS feedback. A 22048 error is expected instead of the 22041 error. Code Release Complete

9/19/22 - Test

10/3/22 - Prod

 Data Validation
 
93 Closed N/A Intermittent instances where feedback file versions are not correctly being generated for a submission. This issue may impact any version of both CAIS Data and TIDs feedback files. This issue also impacts LTID Phase (v1) reporting. Code Release Complete

9/19/22 - Test

10/3/22 - Prod

 Feedback Files
94 Closed N/A Within the CAIS Reporter Portal Submission Report, counts of customer records repaired and outstanding are counted by TID rather than customerRecordID. Repaired and outstanding rejections counts may not match the count of records rejected. Code Release Complete

9/19/22 - Test

10/3/22 - Prod

 Submission Report
95 Closed N/A Timestamps in the Nightly Inconsistencies Feedback File are in ISO format (e.g., 2022-08-01T23:29:29.971Z) instead of the Timestamp format prescribed in the CAIS Technical Specifications. Code Release Complete

9/19/22 - Test

10/3/22 - Prod

 Inconsistencies
96 Closed N/A The reporterCRD attribute within the Nightly Inconsistencies Feedback File is being output as a String data type instead of Unsigned. Code Release Complete

9/19/22 - Test

10/3/22 - Prod

 Inconsistencies
97 Closed N/A Instances of rejections and inconsistencies not being repaired due to database load backlog. Code Release Complete

9/19/22 - Test

10/3/22 - Prod

 Error Repairs and Inconsistencies
98 Closed 22041, 22042, 22526
 		 Incorrect error codes produced (22041, 22042) when a customerRecordID has an entry in the CAIS Data File but no entry in the TIDs File. 22526 is expected to be returned in this scenario.  Code Release Complete

9/19/22 - Test

10/3/22 - Prod

 Feedback Files
99 Closed N/A In the event a correction or deletion within the correctionList is rejected, the failedRejectionID attribute is missing from the CAIS Data Feedback file. Code Release Complete

9/19/22 - Test

10/3/22 - Prod

 Feedback Files
100 Closed N/A The /reports directory is not being made available via SFTP in the Industry Test environment, and the FDID Version Report cannot be posted. Code Release Complete

9/19/22 - Test

10/3/22 - Prod

 Reports
101 Closed 22044 Intermittent instances of CAIS Data files resulting in an INCOMPLETE_PROCESSING_FAILURE status when the file contains FDID records with associations to more than one customer, and at least one of the associations does not have a populated roleStartDate. Code Release Complete

9/19/22 - Test

10/3/22 - Prod

 Data Validation
102 Closed 23004, 23005, 22503, 22525 Instances of rejections being erroneously produced due to database ingest backlog. Code Release Complete

9/19/22 - Test

10/3/22 - Prod

 Error Repairs and Inconsistencies
103 Closed N/A Unable to retrieve the FDID Reconciliation Report. Code Release Complete

9/19/22 - Test

10/3/22 - Prod

 Reports
104 Closed 30002,
30003,
30004		 Nightly inconsistencies feedback and sentinel files are not being generated in the Test and Production Environments. As a result of this issue firms are not able to access the inconsistency feedback SFTP folders.
Please note that the first nightly inconsistencies feedback after Full CAIS Release 5 will include inconsistencies from 9/23/2022 through 9/30/2022 with an Error Identification Date of 10/3/22.		 Code Release Complete

9/19/22 - Test

10/3/22 - Prod

 Inconsistencies
Feedback Files
105 Closed 22523
22048		 FDID and Customer Errors identified during processing may not include the related error codes 22048 and 22523. Related feedback and statistics are impacted.  Code Release Complete

9/22/22 - Test

10/3/22 - Prod

 Data Validation
106 Closed N/A User is presented with the “Error Loading Data: OK” error on the Rejections screen. However, the user is able to see the rejections data if any filter value is applied. Code Release Complete

9/22/22 - Test

10/3/22 - Prod

 Reporter Portal
107 Closed N/A Error Repair Deadline field is not being displayed on rejection and inconsistencies screen. Code Release Complete

10/12/22 - Test

N/A - Prod

 Reporter Portal
108 Closed N/A Nightly inconsistencies feedback and sentinel files are not being generated in the Test Environment.  Code Release Complete

10/17/22 - Test

N/A - Prod

 Feedback Files
109 Closed N/A Intermittent instances where the CAIS data feedback file does not include all the feedback stages in statusHistory. Code Release Complete

10/10/22 - Test

10/17/22 - Prod

 Feedback Files
110 Closed N/A FDID Reconciliation Report does not always populate. Code Release Complete

10/10/22 - Test

10/17/22 - Prod

 Reports
111 Closed N/A High volumes of Rejections and Inconsistencies may result in a time-out on the UI before being displayed to the user. Limiting the number of Rejections and Inconsistencies available in the UI is under analysis. Code Release Complete

9/19/22 - Test

10/3/22 - Prod

 Reporter Portal
112 Closed N/A The 365-day grace period is currently only provided for ‘IMPACTED’ inconsistencies. This fix will apply the grace period to ‘TRIGOTHER’ inconsistencies as well. Code Release Complete

10/31/22 - Test

11/7/22 - Prod

 Inconsistencies
113 Closed N/A Triggered Inconsistencies are not appearing in Inconsistencies screen until the inconsistency is resolved and the counts are not being displayed in the Submission Report as well as the Completed Submissions screens. Inconsistencies feedback file is not impacted by this issue. Code Release Complete

10/31/22 - Test

11/7/22 - Prod

 Reporter Portal
114 Closed N/A In scenarios where there are multiple rejections for an FDID or Customer, some resolved and some outstanding, the CSV export of the FDID and Customer rejections screen is not displaying the accurate ‘resolved’ status. The reporter portal screen is not impacted by this issue. Code Release Complete

10/31/22 - Test

11/7/22 - Prod

 Reporter Portal
115 Closed N/A The results returned in the inconsistencies screen do not match the total count displayed in the bottom right corner on the screen. Code Release Complete

10/31/22 - Test

11/7/22 - Prod

 Reporter Portal
116 Closed N/A User is unable to view the inconsistencies on the screen unless the user applies a filter value.  Code Release Complete

11/4/22 - Test

11/7/22 - Prod

 Reporter Portal
117 Closed 22041

If there are multiple FDIDs within a submission file that are linked to a customerRecordID which does not exist in the file, the file completes processing but 22041 is not returned for all FDIDs affected. Only one of the FDIDs affected will receive a 22041 error.

Statistics are impacted by this issue.

 Code Release Complete

11/4/22 - Test

11/7/22 - Prod

 Data Validation and Reporter Portal
118 Closed N/A Customer Rejections from days prior to 10/3 release are not being displayed on the Customer Rejections Screen. Code Release Complete

10/18/22 - Test

10/21/22 - Prod

 Reporter Portal
119 Closed N/A

The following update to the Full CAIS Technical Specifications for Industry Members - v2.0 r6 was published on 12/17/2021 and became effective in Production on 4/25/2022.

  • Added 'DRIVERLICENSE' foreignTIDType value 
  • Added 'AE', 'AA' and 'AP' as valid United States  regionCode values
 N/A Complete

3/28/22 - Test

4/25/22 - Prod

 Planned  Full CAIS Technical Specification Update
120 Closed NA

The following update to the Full CAIS Technical Specifications for Industry Members - v2.0 r7 was published on 3/9/2022 and became effective in Production on 4/25/2022.

  • Removed 'CP' and 'OTHBKR' as acceptable values for customerType for Legal Entity CAT customers 
  • Removed 'BROKERAGE' and 'ADVISED' as acceptable values for the accountType attribute 
  • Removed primeBrokerID and bankDepositoryID fields and added DVPCustodianID field 
 N/A Complete

4/11/22 - Test

4/25/22 - Prod

 Planned  Full CAIS Technical Specification Update
121 Closed N/A

Account/Customer Rejections screen incorrectly displays a status of ‘Outstanding (0)’ and the details screen incorrectly displays a status of ‘Outstanding’ instead of ‘Resolved’. The individual records on details screen are accurately labeled as ‘Resolved’. 

Statistics and feedback are not impacted by this issue. 

 Code Release Medium

11/21/22 - Test

12/19/22 - Prod

 Reporter Portal
122 Closed N/A Use of manual submission form is currently unavailable for submitter firms submitting on behalf of other reporter firms. Code Release Medium

11/21/22 - Test

12/19/22 - Prod

 Reporter Portal

 

CAT CAIS Planned Enhancements - Closed

​Last Updated: 01/25/2023

 # Status Error Code Summary Resolution Priority Targeted Release Date Area
1 Closed 22013

CAT CAIS will accept alpha characters in largeTraderRecordID field for ULTID records.

For ULTID records, the identifier must start with ‘ULT’, followed by alphanumeric [0-9A-Z] characters for the fourth through eighth positions, followed by a dash, followed by four alphanumeric [0-9A-Z] characters. (e.g., ULTXXXXX-XXXX)

Code Release

 Complete

3/1/21- Test

3/15/21-Prod

Ingestion Validations
2 Closed 22025
22026
22027
23002
23003		 The noted error codes were deprecated in the LTID Technical Specification published on 3/23, as part of the LTID date validation relaxation. The relaxed validation functionality was not released to the Test Environment until 3/28, and will not be released to the Production Environment until 4/11. During the time period between the publication of the updated Technical Specification and release of the functionality, firms will still receive these errors against their submissions. Code Release Complete

3/28/21-Test

4/11/21-Prod

 Reporter Portal / SFTP
3 Closed N/A CAT CAIS will allow SFTP users to delete any files within the feedback directory. This is agnostic of origin for the posted file - SFTP or UI - and may allow firms to delete UI posted files that a user hasn't downloaded the feedback for. This is consistent with the functionality of the Transaction system. Code Release Complete 5/23/21 Reporter Portal / SFTP
4 Closed  N/A CAT CAIS will be adding a sort on CRD for the CRD Selector within the CAIS Reporter Portal UI, so that users can more easily find a specific firm within the list of firms for which they can submit. Code Release Complete 6/20/2021 Reporter Portal
5 Closed N/A Update CAIS Data File properties to change fdidCustomerList multi-dimensional array from Required to Conditional. This change will allow Industry Members to optionally exclude the list from submission when they are ending an FDID record that has previously been accepted in to CAIS with at least one associated CAT Customer. Code Release Complete

3/27/22- Test

4/24/22-Prod

 Submission Data File
6 Closed N/A Certain fields in the Manual Form Submission functionality may allow the user to enter characters that would cause a rejection of the submission record - such as including an '@' character within the Firm Designated ID field. Code Release Complete

3/27/22- Test

N/A- Prod

 Manual Form Submission
7 Closed N/A User is not prompted with a warning the entered data will not be saved if they attempt to navigate away from the Manual Form Submission page. Code Release Complete

3/27/22- Test

N/A- Prod

 Manual Form Submission
8 Closed 23005 Setting a 'Replaced By FDID' value that is the same as the 'Firm Designated ID' value is not prevented within the Reporter Portal. It is not acceptable to set both values the same. Code Release Complete

3/27/22- Test

N/A- Prod

 Manual Form Submission
 
9 Closed N/A Update Rejection screen for Submitters to only show rejections for FDIDs that they submitted. Code Release Complete

1/30/22- Test

4/24/22- Prod

 Reporter Portal
10 Closed N/A Update SFTP feedback file to include “CANCELLED_BY_SUPPORT” status.  Code Release Complete

5/25/22- Test

6/13/22- Prod

 Reporter Portal
11 Closed 23999 Increase the current 100 Customer Record limit on number of CAT Customers that can be associated with an FDID Record. The increased limit will allow 2,000 Customer Records to be associated to the FDID. Code Release Complete

7/31/22- Test

8/13/22- Prod

 Data Validation
12 Closed N/A For both TRIG-SELF and TRIG-OTHER inconsistencies, the materialInconsistencies count within the Submission Inconsistencies Feedback File is 1 (e.g., "30003:1"). The count will be updated to 0 for TRIG-SELF inconsistencies and 1+ for TRIG-OTHER inconsistencies. Code Release Complete

9/19/22- Test

10/3/22- Prod

 Feedback Files

 

Need Help?

Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].