CAT CAIS- Known Issues List - Full CAIS

CAT CAIS Open Issues List (Full CAIS)

Last Updated: 05/30/2023

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. Any rejections and repairs made for data submitted after these dates will be accurately reflected on the rejections screen. Users may still encounter this issue for prior rejections.	TBD	High	Go-forward Fix: 06/05/2023 Data Fix: TBD	Go-Forward Fix: 06/26/2023 Data 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	Go-forward Fix: TBD Data Fix: TBD	Go-forward Fix: TBD Data Fix: TBD	Data Validation
3	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	Updated - Open	N/A	Intermittent instances where the Submissions Report is displaying incorrect outstanding counts for rejections and inconsistencies.	Code Release	Medium	Inconsistencies Fix: 10/31/22 Rejections Fix: TBD	Inconsistencies Fix: 11/07/22 Rejections Fix: TBD	Reporter Portal
8	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 can now filter for error identification dates, and the feedback will match the rejections on the reporter portal screen. However, the downloaded CSV file still displays the original error identification date or original submission ID for all the new rejections.	Code Release	Medium	Filter Fix: 1/16/23 Download Fix: TBD	Filter Fix: 1/23/23 Download 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: 06/05/2023	Fix: 06/26/2023	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: 06/05/2023	Fix: 06/26/2023	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: 06/05/2023	Fix: 06/26/2023	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	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: 06/05/2023	Fix: 06/26/2023	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. Any rejections and repairs made for data submitted after these dates will be accurately reflected on the rejections screen. Users may still encounter this issue for prior rejections.	TBD	Medium	Go-forward Fix: 06/05/2023 Data Fix: TBD	Go-forward Fix: 06/26/2023 Data 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
28	Open	N/A	Incorrectly accepting submissions that include an Extended Text character and/or a prohibited delimiter in the postalCode field. These submissions should reject with a 22034 or 22522 error. Prohibited delimiters for Text fields are comma, pipe, double quote, and the ‘@’ symbol.	Code Release	Low	Fix: TBD	Fix: TBD	Data Validation
29	Open	N/A	Limited instances where one of the TIDS feedback versions is missing. Processing of the corresponding data files is not impacted by this issue.	TBD	Low	Fix: TBD	Fix: TBD	Feedback
30	New - Open	22042	Erroneously generating Error Code 22042 in instances where a single Customer is identified in the fdidCustomerList twice with roles that start and end on the same day, and the ended role is not listed first within the fdidCustomerList.	Code Release	Low	Fix: TBD Workaround: Within the fdidCustomerList, list the Customer’s ended role first and the active role second	Fix: TBD Workaround: Within the fdidCustomerList, list the Customer’s ended role first and the active role second	Data Validation

CAT CAIS Planned Enhancements - Open (Full CAIS)

Last Updated: 05/30/2023

#	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

Status

Error Code

Summary

Resolution

Priority

Test Environment Targeted Release Date/Workaround

Production/Production Mirror Environments Targeted Release Date/Workaround

Area

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

Manual Form Submission

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

Manual Form Submission

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: 05/30/2023

#	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: 05/30/2023

#	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

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
All Topics

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
All Topics