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CAT CAIS Open Issues List

​Last Updated: 4/13/2021

 # Status Error Code Summary Resolution Priority Test Environment Targeted Release Date/Workaround Production Environment Targeted Release Date/Workaround Area
1 Open N/A Using Private Line or Private Link, logout from MDP does not automatically logout user on CAIS - (SRG works fine)

Code Release

Low

Workaround: User navigates to CAIS and clicks logout button. User automatically logged out after 30 mins inactivity.

Resolving this issue requires updates to TDS Reporter Portal, which are not scheduled yet.

Fix: Release planning in progress.

Workaround: User navigates to CAIS and clicks logout button. User automatically logged out after 30 mins inactivity.

Resolving this issue requires updates to TDS Reporter Portal, which are not scheduled yet.

Fix: Release planning in progress.

Reporter Portal
 
2 Open N/A OutOfMemoryError in Submission Engine. When attempting to compile feedback file, submission engine runs out of memory if too many rejections present. Code Release Medium

Workaround: Rejections reported in  feedback file restricted to 1000 and error code 23999 returned in feedback file.

Fix: 1.2.2 Deployment – TBD

Workaround: Rejections reported in  feedback file restricted to 1000 and error code 23999 returned in feedback file.

Fix: 1.2.2 Deployment –  TBD

Submission Feedback File
3 Open N/A Missing attributes in certain versions of feedback file; should be present in all versions (“receiptTimestamp” and various “Count” attributes). Code Release Low

Completed on 4/11/21
 

Fix: Update Validation and Submission engine to add the missing attributes.

1.2 Deployment – 4/25/21

Reporter Portal
4 Open N/A Unexpected 400 error occurs when submitted “reporterCRD” value exceeds numeric limit; should return invalid CRD error. Code Release Low

Completed on 4/11/21

Fix: Return invalid CRD error when “reporterCRD” value exceeds numeric limit.

1.2 Deployment – 4/25/21

Reporter Portal
5  Open 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 Low

Fix: Update submissions processing so that duplicate file submissions only create one unique submission id.

1.2.2 Deployment – 5/16/21

Fix: Update submissions processing so that duplicate file submissions only create one unique submission id.

1.2.2 Deployment – 5/16/21

Reporter Portal
6 Open N/A If a firm submits using an invalid FDID type, the submission will not process successfully. Code Release Low

Fix: Update submission processing to return a record level rejection for an invalid FDID type.

1.2.2 Deployment – 5/16/21

Fix: Update submission processing to return a record level rejection for an invalid FDID type.

1.2.2 Deployment – 5/16/21

Reporter Portal
7 NEW - Open 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 Low

Workaround: Review file to ensure no fdid record ids are duplicated.

Fix: Update submission processing to ensure that files with large numbers of duplicate record ids process successfully and return errors for every duplicate record id.

1.2.2 Deployment – 5/16/21

Workaround: Review file to ensure no fdid record ids are duplicated.

Fix: Update submission processing to ensure that files with large numbers of duplicate record ids process successfully and return errors for every duplicate record id.

1.2.2 Deployment – 5/16/21

Reporter Portal

 

CAT CAIS Planned Enhancements - Open

​Last Updated: 4/13/2021

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

NEW - Open

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

Low 1.2.2 - TBD 1.2.2 - TBD

Reporter Portal/SFTP

 

CAT CAIS Closed Issues List

​Last Updated: 4/13/2021

 # Status Error Code Summary Resolution Priority Test Environment Targeted Release Date Production Environment 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

11/9/2020

N/A
 

Reporter Portal

2 Closed N/A Feedback File - absent fields:
  • ‘receivedCorrectionActionCount’
  • ‘successfulCorrectionActionCount’
  • ‘version’
Code Release Complete 11/9/2020 N/A Reporter Portal
3 Closed 21010 Submission file naming convention does not allow <Group>. Generates ‘File Integrity Error’ response Code Release Complete 11/9/2020 N/A 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 N/A 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 12/6/2020 N/A 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 12/6/2020 N/A Reporter Portal
7 Closed N/A Feedback file contains errant field (not included in Tech Spec): "firmRecordID" - should be named "fdidRecordID". Code Release Complete 12/6/2020 N/A 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 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

2/14/21 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 N/A 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 3/14/21 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 3/14/21 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 12/13/20 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 3/14/21 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 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 3/14/21 Reporter Portal
17 NEW-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 Low Completed on 3/28/21 Completed on 4/11/21 Reporter Portal
18 NEW- Closed 21006 Error occurs when sequence of read, delete, insert functions happen out of order during parallel file processing. Code Release Low Completed on 3/28/21 Completed on 4/11/21 Reporter Portal
19 NEW- Closed 21020 Invalid Submission File extension causes submission to stall. Should return integrity error. Code Release Low Completed on 3/28/21 Completed on 4/11/21 Reporter Portal

CAT CAIS Planned Enhancements - Closed

​Last Updated: 4/13/2021

 # Status Error Code Summary Resolution Priority Test Environment Targeted Release Date Production Environment 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

High 3/1/21 3/15/21

Ingestion Validations

2 NEW-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 Low Completed on 3/28/2021 Completed on 4/11/2021 Reporter Portal / SFTP