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CAT CAIS Open Issues List (Full CAIS)

Additional Releases (Full CAIS)
Last Updated:
 #StatusError CodeSummaryResolutionPriorityTest Environment Targeted Release Date/WorkaroundProduction/Production Mirror Environments Targeted Release Date/WorkaroundArea
1OpenN/AFiles 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 ReleaseLowFix: TBDFix: TBDFeedback Files

C2024-37

Open

N/A

Erroneously accepting Date fields as strings. The Date fields should only accept integer data types.

Code Release

Low

Fix: TBD

Fix: TBD

Data Validation

CAT CAIS Planned Enhancements - Open (Full CAIS)
Last Updated:
 #StatusError CodeSummaryResolutionPriorityTest Environment Targeted Release Date/WorkaroundProduction/Production Mirror Environments Targeted Release Date/WorkaroundArea

1

Open

N/A

Daily feedback will not be returned when the relationship between the Industry Member and the CAT Submitter has been expired in the Reporter Portal. 

Code Release

Low

TBD

TBD

Reporter Portal

 

CAT CAIS Closed Issues List
Last Updated:
 #StatusError CodeSummaryResolutionPriorityTargeted Release DateArea
1ClosedN/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

2ClosedN/A

Feedback File - absent fields:

  • ‘receivedCorrectionActionCount’
  • ‘successfulCorrectionActionCount’
  • ‘version’
Code ReleaseComplete

11/9/20- Test

N/A- Prod

Reporter Portal
3Closed21010Submission file naming convention does not allow <Group>. Generates ‘File Integrity Error’ responseCode ReleaseComplete

11/9/20- Test

N/A- Prod

Reporter Portal
4ClosedN/ANull value in CAT Reporter Organization Name reporting relationship generates not-null exception & terminates file submission. Code ReleaseComplete

11/23/20- Test

N/A- Prod

Reporter Portal
5ClosedN/ACAIS Technical Specifications schema discrepancy regarding field: ‘firmDesignatedID’. Alphanumeric (current) vs Text String (intended) to allow for ASCII chars.Code ReleaseComplete

12/6/20- Test

N/A- Prod

Reporter Portal
6ClosedN/ALeading (padded) zeroes within numeric JSON attribute cause parsing error after file validation – submission does not reach COMPLETED state. Code ReleaseComplete

12/6/20- Test

N/A- Prod

Reporter Portal
7ClosedN/AFeedback file contains errant field (not included in Tech Spec): "firmRecordID" - should be named "fdidRecordID".Code ReleaseComplete

12/6/20- Test

N/A- Prod

Reporter Portal
8ClosedN/AUnhandled 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 ReleaseComplete1/31/21Reporter Portal
9ClosedN/AFile submission sporadically terminated due to incompatible arrangement of compressed submission file contents.Code ReleaseComplete

2/7/21- Test

2/14/21- Prod

Reporter Portal
10ClosedN/ASubmissions 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 ReleaseComplete

3/1/21- Test

N/A- Prod

Reporter Portal
11Closed22020Errant "largeTraderRecordID“ in feedback file and should not be when error code associated to FDID.Code ReleaseComplete

2/28/21- Test

3/14/21- Prod

Reporter Portal
12ClosedN/AErrant 'expiration date' in one or more CRD reporting relationships - CAIS file validation terminates - unable to parse relationship dataCode ReleaseComplete

2/28/21- Test

3/14/21- Prod

Reporter Portal
13ClosedN/AFeedback file – misalignment. FailedCorrectionItem is currently paired with rejectionID. This should be paired with failedRejectionID.Code ReleaseComplete

12/6/20- Test

12/13/20- Prod

Reporter Portal
14ClosedN/ATypeError when submission file contains a decimal in an integer field. This should result in a data-type error.Code ReleaseComplete

2/28/21- Test

3/14/21- Prod

Reporter Portal
15ClosedN/ACRD Dropdown in CAIS Reporter Portal doesn’t allow scrolling for a large list.Code ReleaseComplete3/14/21Reporter Portal
16Closed21006Rejection 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 ReleaseComplete

2/28/21- Test

Prod- 3/14/21

Reporter Portal
17Closed23007If 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 ReleaseComplete

3/28/21- Test

4/11/21- Prod

Reporter Portal
18 Closed21020Invalid Submission File extension causes submission to stall. Should return integrity error.Code ReleaseComplete

3/28/21- Test

4/11/21- Prod

Reporter Portal
19 ClosedN/AMissing attributes in certain versions of feedback file; should be present in all versions (“receiptTimestamp” and various “Count” attributes).Code ReleaseComplete

4/11/21- Test

4/25/21-Prod

Reporter Portal
20 ClosedN/AUnexpected response occurs when submitted "reporterCRD" value exceeds numeric limit; should return invalid CRD error.Code ReleaseComplete

4/11/21- Test

4/25/21-Prod

Reporter Portal
21 ClosedN/AIf a firm submits using an invalid FDID type, the submission will not process successfully.Code ReleaseComplete4/25/21Reporter Portal
22 Closed21006Error occurs when sequence of read, delete, insert functions happen out of order during parallel file processing.Code ReleaseComplete

4/11/21- Test

4/25/21-Prod

Reporter Portal
23ClosedN/AIf 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 ReleaseComplete5/23/21Reporter Portal
24ClosedN/AIf a user presses the reset button on the manual submission screen in the CAIS Portal it will clear out the fdidRecordID.Code ReleaseComplete5/23/21Reporter Portal
25ClosedN/AIf 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 ReleaseComplete6/20/21Reporter Portal
26Closed23001Attempting 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 ReleaseComplete8/29/21Reporter Portal
27ClosedN/ADuplicate FDID rejections only showing one rejection to be repaired.  Rejected counts will be greater than repaired + outstanding when this occurs.Code ReleaseComplete8/29/21Reporter Portal
28ClosedN/AOutstanding 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 ReleaseComplete1.2.6 Deployment - 9/26/21Reporter Portal
29ClosedN/ASubmission 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 ReleaseComplete

2/27/2022- Test

N/A- Prod

Data Validation
 
30Closed22062
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 ReleaseComplete

2/27/2022- Test

N/A- Prod

Data Validation
31Closed22531Legal Entity CAT Customers are rejected for not having a populated LEI, even when the customer is not reported with a foreignTIDType of LEI.Code ReleaseComplete

2/27/2022- Test

N/A- Prod

Data Validation
32Closed22900Rejections 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 ReleaseComplete

2/27/2022- Test

N/A- Prod

Submission Feedback
33Closed21014The 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 ReleaseComplete

2/27/2022- Test

N/A- Prod

Submission Feedback
34ClosedN/AThe Submission Summary page, displayed when the user finalizes a Manual Form Submission, does not show all fields included in the submission.Code ReleaseComplete

2/27/2022- Test

N/A- Prod

Manual Form Submission
35ClosedN/ASubmissions 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 ReleaseComplete

2/27/2022- Test

N/A- Prod

Manual Form Submission
 
36Closed22042The 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 ReleaseComplete

2/27/2022- Test

N/A- Prod

Reporter Portal
37ClosedN/ASubmissions 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 ReleaseComplete

2/27/2022- Test

N/A- Prod

Manual Form Submission
38ClosedN/AIntermittent 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 ReleaseComplete

3/27/2022- Test

N/A- Prod

Data Validation
39ClosedN/AThe 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 ReleaseComplete

3/27/2022- Test

N/A- Prod

Manual Form Submission
40Closed23999(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 ReleaseComplete

3/27/2022- Test

N/A- Prod

Submission Feedback
41Closed22503If 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 ReleaseComplete

3/27/2022- Test

N/A- Prod

Submission Feedback
42ClosedN/ALegal 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 ReleaseComplete

3/27/2022- Test

N/A- Prod

Material Inconsistencies
 
43ClosedN/AThe Inconsistencies table shows duplicated Material Inconsistencies in some instances. Display only-issue: Only one Material Inconsistency is included in the submission feedback.Code ReleaseComplete

3/27/2022- Test

N/A- Prod

Reporter Portal
44ClosedN/AIn 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 ReleaseComplete

3/27/2022- Test

N/A- Prod

Reporter Portal
45ClosedN/ADownloads 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 ReleaseComplete

3/27/2022- Test

N/A- Prod

Reporter Portal
46ClosedN/AProcessed 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 ReleaseComplete

3/27/2022- Test

N/A- Prod

Reporter Portal
47ClosedN/AUsers in the Reporter Portal UI are not able to download the Nightly Inconsistencies Report.Code ReleaseComplete

3/27/2022- Test

N/A- Prod

Reporter Portal
48Closed22048EIN starting with “00-” fails validation due to range validation rules. Code ReleaseComplete

3/27/2022- Test

N/A- Prod

Reporter Portal
49ClosedN/ASubmission 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 ReleaseComplete

3/27/2022- Test

N/A- Prod

Data Validation
 
50ClosedN/ASubmissions of a Natural Person with an “EIN” TID, or a Legal Entity with an “SSN/ITIN” TID, are not being rejected. Code ReleaseComplete

3/27/2022- Test

N/A- Prod

Data Validation
51ClosedN/ASubmission files are not processed to completion when violating schema expectations by including one or more Address records contain a repeated addrType value.Code ReleaseComplete

3/27/2022- Test

N/A- Prod

Data Validation
52ClosedN/ASubmission 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 ReleaseComplete

3/27/2022- Test

N/A- Prod

Data Validation
53ClosedN/AThe count of items displayed shows the selected total results per page value, rather than the actual count of items displayed.Code ReleaseComplete

3/27/2022- Test

N/A- Prod

Reporter Portal
54ClosedN/AUsers 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 ReleaseComplete

3/27/2022- Test

N/A- Prod

Reporter Portal
55ClosedN/AThe 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 ReleaseComplete

3/27/2022- Test

N/A- Prod

Reporter Portal
56ClosedN/ANightly Inconsistencies Report link within the Inconsistencies tab of the Reporter Portal does not navigate the user correctly to the Nightly Inconsistencies page.Code ReleaseComplete

3/27/2022- Test

N/A- Prod

Reporter Portal
57ClosedN/AFilter by specific CRD within the Submission Reports does not filter properly for aggregated values. Code ReleaseComplete

3/27/2022- Test

N/A- Prod

Reporter Portal
58ClosedN/AIf 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 ReleaseComplete

3/27/2022- Test

N/A- Prod

Reporter Portal
59ClosedN/AThe Submission Reports overlays that show results by specific CRD does not allow the user to 'unsort' the CRD column.Code ReleaseComplete

3/27/2022- Test

N/A- Prod

Reporter Portal
60ClosedN/ALegal Entity manual submission form displays ‘PERMANENT’ as a selection under Foreign TID Types dropdown. Code ReleaseComplete

3/27/2022- Test

N/A- Prod

Manual Form Submission
61ClosedN/ASelecting an “Error Identification Date” within the Rejections page of the Reporter Portal may display an “Error Loading Data” message.Code ReleaseComplete

4/10/2022 - Test

N/A- Prod

Reporter Portal
62Closed23999(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 ReleaseComplete

3/27/22- Test

4/24/22- Prod

Submission Feedback
63ClosedN/AThe 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 ChangesComplete

5/1/22- Test

N/A- Prod

Environment Access, Data Processing
64 ClosedN/ALTID 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 ReleaseComplete

5/1/22- Test

5/4/22- Prod

Data Validation
65ClosedN/AIntermittent 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 ReleaseComplete

5/1/22- Test

5/4/22- Prod

Data Validation
66ClosedN/AIntermittent 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 ReleaseComplete

5/1/22- Test

5/4/22- Prod

Data Ingestion
67Closed22044Intermittent 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 ReleaseComplete

5/4/22 - Test

5/18/22 - Prod

Data Ingestion
68ClosedN/AIn 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 ReleaseComplete

5/25/22 - Test

6/13/22 - Prod

Data Validation
69Closed22061FDID 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 ReleaseComplete

5/25/22 - Test

6/13/22 - Prod

Data Validation
70ClosedN/AUsers are not able to include a correctionList entry in a Manual Form Submission. This impacts error codes 22001 and 22900. Code ReleaseComplete

5/25/22 - Test

6/13/22 - Prod

Manual Form Submission
71ClosedN/ASubmission Report shows more results than the selected records per page when the user changes to a new View Data As perspective.Code ReleaseComplete

5/25/22 - Test

6/13/22 - Prod

Reporter Portal
72ClosedN/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 6/13/2022. 

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 ReleaseComplete 

5/25/22 - Test

6/13/22 - Prod

Planned Full CAIS Technical Specification Update 
73ClosedN/AData file submissions intermittently display on the Reporter portal as in progress and completed simultaneously.Code ReleaseComplete

6/26/22 - Test

7/1/22 - Prod

Reporter Portal
74ClosedN/ASome nightly inconsistencies feedback files may be null or may not contain the identified Impacted inconsistencies for the day.Code ReleaseComplete

6/26/22 - Test

7/1/22 - Prod

Inconsistencies
 
75ClosedN/ACounts 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
 
76ClosedN/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 ReleaseComplete

6/26/22 - Test

7/1/22 - Prod

Reporter Portal 
77ClosedN/AIntermittent 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 ReleaseComplete

6/26/22 - Test

7/1/22 - Prod

Data Ingestion
78ClosedN/AUsers 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 ReleaseComplete

6/13/22 - Test

7/1/22 - Prod

Reporter Portal
79ClosedN/AThe correspondentCRD attribute is incorrectly named catCorrespondentCRD within the Submission Inconsistencies Feedback File.Code ReleaseComplete

6/26/22 - Test

7/1/22 - Prod

Reporter Portal
80ClosedN/AInstances of files failing to complete processing when a large number of updateNotifications are included in the file.Code ReleaseComplete

6/26/22 - Test

7/1/22 - Prod

Data Validation
81ClosedN/AInstances of the Submission Report showing a file as “Processing” when the file has completed processing and processing feedback has been published.Code ReleaseComplete

6/29/22 - Test

N/A - Prod

Reporter Portal
82ClosedN/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 ReleaseComplete

6/27/22 - Test

7/1/22 - Prod

Full CAIS Specifications Update  
83ClosedN/AInstances 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 ReleaseComplete

6/8/22 - Test

7/1/22 - Prod

Data Validation
84ClosedN/ASome rejection repairs are not properly reflected in the Submission Report information. This also impacts statistics in the monthly Report Card.Code ReleaseComplete

6/26/22 - Test

7/1/22 - Prod

Data Validation & Report Cards
85ClosedN/AThe 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 ReleaseComplete

7/6/22 - Test

N/A- Prod

Data Validation
86ClosedN/ACounts 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 ReleaseComplete 

7/12/22 - Test

7/15/22 - Prod

Feedback and
Reporter Portal
87Closed N/AIntermittent 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 ReleaseComplete
 

7/31/22 - Test

8/13/22 - Prod

Data Validation
 
88ClosedN/ALarge files containing over 15 million records failed to complete processing.Code ReleaseComplete

7/31/22 - Test

8/13/22 - Prod

Validation
89Closed 22042A 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
90ClosedN/AThe 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 ReleaseComplete

8/11/22 - Test

8/13/22 - Prod

Feedback Files
91ClosedN/AFiles 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 ReleaseComplete

8/11/22 - Test

8/13/22 - Prod

Validation
92Closed22041Instances 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 ReleaseComplete

9/19/22 - Test

10/3/22 - Prod

Data Validation
 
93ClosedN/AIntermittent 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 ReleaseComplete

9/19/22 - Test

10/3/22 - Prod

Feedback Files
94ClosedN/AWithin 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 ReleaseComplete

9/19/22 - Test

10/3/22 - Prod

Submission Report
95ClosedN/ATimestamps 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 ReleaseComplete

9/19/22 - Test

10/3/22 - Prod

Inconsistencies
96ClosedN/AThe reporterCRD attribute within the Nightly Inconsistencies Feedback File is being output as a String data type instead of Unsigned.Code ReleaseComplete

9/19/22 - Test

10/3/22 - Prod

Inconsistencies
97ClosedN/AInstances of rejections and inconsistencies not being repaired due to database load backlog.Code ReleaseComplete

9/19/22 - Test

10/3/22 - Prod

Error Repairs and Inconsistencies
98Closed22041, 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 ReleaseComplete

9/19/22 - Test

10/3/22 - Prod

Feedback Files
99ClosedN/AIn the event a correction or deletion within the correctionList is rejected, the failedRejectionID attribute is missing from the CAIS Data Feedback file.Code ReleaseComplete

9/19/22 - Test

10/3/22 - Prod

Feedback Files
100ClosedN/AThe /reports directory is not being made available via SFTP in the Industry Test environment, and the FDID Version Report cannot be posted.Code ReleaseComplete

9/19/22 - Test

10/3/22 - Prod

Reports
101Closed22044Intermittent 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 ReleaseComplete

9/19/22 - Test

10/3/22 - Prod

Data Validation
102Closed23004, 23005, 22503, 22525Instances of rejections being erroneously produced due to database ingest backlog.Code ReleaseComplete

9/19/22 - Test

10/3/22 - Prod

Error Repairs and Inconsistencies
103ClosedN/AUnable to retrieve the FDID Reconciliation Report.Code ReleaseComplete

9/19/22 - Test

10/3/22 - Prod

Reports
104Closed30002,
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 ReleaseComplete

9/19/22 - Test

10/3/22 - Prod

Inconsistencies
Feedback Files
105Closed22523
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 ReleaseComplete

9/22/22 - Test

10/3/22 - Prod

Data Validation
106ClosedN/AUser 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 ReleaseComplete

9/22/22 - Test

10/3/22 - Prod

Reporter Portal
107ClosedN/AError Repair Deadline field is not being displayed on rejection and inconsistencies screen.Code ReleaseComplete

10/12/22 - Test

N/A - Prod

Reporter Portal
108ClosedN/ANightly inconsistencies feedback and sentinel files are not being generated in the Test Environment. Code ReleaseComplete

10/17/22 - Test

N/A - Prod

Feedback Files
109ClosedN/AIntermittent instances where the CAIS data feedback file does not include all the feedback stages in statusHistory.Code ReleaseComplete

10/10/22 - Test

10/17/22 - Prod

Feedback Files
110ClosedN/AFDID Reconciliation Report does not always populate.Code ReleaseComplete

10/10/22 - Test

10/17/22 - Prod

Reports
111ClosedN/AHigh 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 ReleaseComplete

9/19/22 - Test

10/3/22 - Prod

Reporter Portal
112ClosedN/AThe 365-day grace period is currently only provided for ‘IMPACTED’ inconsistencies. This fix will apply the grace period to ‘TRIGOTHER’ inconsistencies as well.Code ReleaseComplete

10/31/22 - Test

11/7/22 - Prod

Inconsistencies
113ClosedN/ATriggered 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 ReleaseComplete

10/31/22 - Test

11/7/22 - Prod

Reporter Portal
114ClosedN/AIn 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 ReleaseComplete

10/31/22 - Test

11/7/22 - Prod

Reporter Portal
115ClosedN/AThe results returned in the inconsistencies screen do not match the total count displayed in the bottom right corner on the screen.Code ReleaseComplete

10/31/22 - Test

11/7/22 - Prod

Reporter Portal
116ClosedN/AUser is unable to view the inconsistencies on the screen unless the user applies a filter value. Code ReleaseComplete

11/4/22 - Test

11/7/22 - Prod

Reporter Portal
117Closed22041If 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 ReleaseComplete

11/4/22 - Test

11/7/22 - Prod

Data Validation and Reporter Portal
118ClosedN/ACustomer Rejections from days prior to 10/3 release are not being displayed on the Customer Rejections Screen.Code ReleaseComplete

10/18/22 - Test

10/21/22 - Prod

Reporter Portal
119ClosedN/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/AComplete

3/28/22 - Test

4/25/22 - Prod

Planned  Full CAIS Technical Specification Update
120ClosedNA

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/AComplete

4/11/22 - Test

4/25/22 - Prod

Planned  Full CAIS Technical Specification Update
121ClosedN/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 ReleaseComplete

11/21/22 - Test

12/19/22 - Prod

Reporter Portal
122ClosedN/AUse of manual submission form is currently unavailable for submitter firms submitting on behalf of other reporter firms.Code ReleaseComplete

11/21/22 - Test

12/19/22 - Prod

Reporter Portal
123ClosedN/ADuplicate rows are present in the downloaded file when downloading the Rejections table from the Reporter UI.Code ReleaseComplete

06/05/23 - Test

06/26/23 - Prod

Reporter UI
124Closed22526,
22914
Incorrectly generating Error code 22526 (customerRecordID not present in paired Identifiers file) instead of 22914 when the Paired TID Record fails validation.Code ReleaseComplete

06/05/23 - Test

06/26/23 - Prod

Data 
Validation
125ClosedN/ARejection 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.Data FixComplete 

06/05/23 - Test

N/A - Prod

Reporter Portal
126ClosedN/AResolved rejections and inconsistencies continue to be displayed on the screens even after 10 days of resolution.Code Release Complete 

06/05/23 - Test

06/26/23 - Prod

Reporter Portal
127Closed 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 ReleaseComplete

06/05/23 - Test

06/26/23 - Prod

Data 
Validation
128ClosedN/AIntermittent instances where Rejections and Inconsistencies may result in an incomplete CSV download error or an error that prevents the file from downloading.Code ReleaseComplete

06/05/23 - Test

06/26/23 - Prod

Reporter Portal
129ClosedMultiple

Incorrectly rejecting extended text data type fields when the field includes limited set of printable ASCII characters on extended range. 

UPDATE: Clarify in the Specification that certain ASCII characters in the extended range are not printable after UTF-8 encoding.
 

Specification UpdateCompleteSpecification Update: 8/2/2023
 
Data 
Validation
130ClosedN/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.

UPDATE: This is expected behavior so that the Industry Member can view the historical lineage of each rejection. 

User Guide UpdateCompleteUpdate the CAIS Reporter Portal User GuideReporter Portal
131ClosedN/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’.

Specification UpdateCompleteSpecification Update: 8/2/2023
 
Feedback Files
Reporter Portal
132ClosedN/AFDID Version Report includes FDIDs that have been previously ended. RetirementCompleteReport will be retired effective 9/2023 Reports
 
133ClosedN/A

The following updates to the Full CAIS Technical Specifications for Industry Members - v2.0 r10 was published on 8/2/2023 and become effective on 8/8/2022.

  • Clarify that a total of 2,000 Customer Records can currently be associated with an FDID Record. Create additional Error Code for more granularity on this validation, currently feedback provided under Error Code 23999 (Unhandled Exception).
  • Remove error code 22066 (roleStartDate set prior to fdidDate).
N/AComplete

7/31/2022 - Test

8/8/2022 - Prod

Planned Full CAIS Technical Specification Update

134

Closed 

N/A

Intermittent issues with filtering results on rejections and inconsistencies.

Code ReleaseComplete

         9/25/2023 - Test

10/23/2023 - Prod

Reporter Portal

135

Closed 

N/A

Intermittent instances where the Submissions Report is displaying incorrect outstanding counts for rejections and inconsistencies.

Code Release

Complete

Inconsistencies Fix: 10/31/2022 - Test 11/7/2022 - Prod

Rejections Fix: 9/25/2023 - Test 10/23/2023 - Prod

Reporter Portal

136

Closed 

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

Complete

Filter Fix: 1/16/2023 - Test - 1/23/2023 - Prod 

Download Fix: 9/25/2023 - Test - 10/23/2023 - Prod

Reporter Portal

137

Closed 

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

Complete

 9/25/2023 - Test

10/23/2023 - Prod

Feedback Files

138

Closed 

N/A

User is unable to filter on the submission date due to submission timestamp available in UTC format.

Code Release

Complete

9/25/2023 - Test

10/23/2023 - Prod

Reporter Portal

139

Closed

22523

Starting on 10/3/2022: Properly rejected Customer Records also erroneously receive Error Code 22523. Repair of the valid rejection will repair the 22523 rejection.

Code Release

Complete

9/25/2023 - Test

10/23/2023 - Prod

Data Validation

140

Closed 

22528

For rejections with Error Code 22528, while the Customer Record rejection is provided in the feedback file, the FDID Record associated to the rejected Customer Record is erroneously not provided in the feedback file. The FDID Record should be rejected with Error Code 22048. In addition, Customer Records rejected with Error Code 22528 are erroneously counted as both Accepted and Rejected in the Submission Report on the portal.

Code Release

Complete

9/25/2023 - Test

10/23/2023 - Prod

Data Validation

141

Closed

22914

The 22914 rejections are currently unrepairable.

Error Code 22914 will be added to the list of acceptable codes for use in the correctionList.

Code Release

Complete

9/25/2023 - Test

10/23/2023 - Prod

Data Validation

142

Closed 

22501

The 22501 rejections are currently unrepairable.

Error Code 22501 will be added to the list of acceptable codes for use in the correctionList.

Code Release

Complete

9/25/2023 - Test

10/23/2023 - Prod

Data Validation

143

Closed

N/A

The following updates to the Full CAIS Technical Specifications for Industry Members - v2.0 r10 was published on 8/2/2023 and became effective on 10/23/2023.

  • Add a new fdidEndReason value of 'INACTIVE’ and clarify in Section 3.8 that ‘INACTIVE’ will be available prior to the periodic full account refresh requirement.

N/A

Complete

9/25/2023 - Test

10/23/2023 - Prod

Planned Full CAIS Technical Specification Update

145

Closed

N/A

The following updates to the Full CAIS Technical Specifications for Industry Members – V2.1 was published on 12/29/2023 and became effective on 2/26/2024.

  • Expand the correctionList to allow a correctionAction of ‘DELETE’ for all Data Validation Errors (Error Codes 22001 through 
    23999).
  • Retire Error Codes 22503 and 22525.

N/A

Complete

01/29/2024 - Test

02/26/2024 - Prod

Planned Full CAIS Technical Specification Update

146

Closed

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.

Code Release / Data Fix

Complete

Go-forward Fix: 06/05/2023 - Test

Go-Forward Fix: 06/26/2023 - Prod

Data Fix: N/A - Test

Data Fix: 02/26/2024 - Prod

 

Reporter Portal

147

Closed

Multiple

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

Code Release / Data Fix

Complete

Data Fix: 01/29/2024 - Test

Data Fix: 02/26/2024 - Prod

Data Validation

148

Closed

N/A

Intermittent instances where FDID Reconciliation Report may return stale information.


Users may still encounter this issue for prior submissions.

Code Release / Data Fix

Complete

Go-forward Fix: 6/05/2023 - Test

Go-forward Fix: 6/26/2023 - Prod

Data Fix: N/A - Test

Data Fix: 02/26/2024 - Prod

Reports

149

Closed

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.

Code Release

Complete

Deployed: 01/16/2023 - Test

Deployed: 01/23/2023 - Prod

Fix: 01/29/2024 - Test

Fix: 02/26/2024 - Prod

 Guidance:
Industry Members should resubmit the FDID Record (with all LTID and Customer associations) in order to repair the rejections.

Data Validation

150

Closed

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

Complete

N/A - Test

02/26/2024 - Prod

Reporter Portal

151

Closed

24001,
24005

Correction attempt with a rejectionID unknown to CAIS generates an incorrect warning of 24005 instead of 24001.

Code Release

Complete

01/29/2024 - Test

02/26/2024 - Prod

Data Validation

152

Closed

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

Complete

01/29/2024 - Test

02/26/2024 - Prod

Data Validation

153

Closed

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.

Code Release / Data Fix

Complete

Go-forward Fix: 06/05/2023 - Test

Go-forward Fix: 06/26/2023 - Prod

Data Fix: N/A - Test

Data Fix: 02/26/2024 - Prod

Reporter Portal

154

Closed

30004

Intermittent instances of incorrectly generating Inconsistency Code 30004 when the tidType is not ‘FOREIGN’.

Code Release

Complete

01/29/2024 - Test

02/26/2024 - Prod

Inconsistencies

155

Closed

N/A

Intermittent slowness when downloading a large number of rejections from the Portal.

Code Release

Complete

12/11/2023 - Test

02/26/2024 - Prod

Reporter Portal

156

Closed

N/A

Use of the Manual Submission within the Reporter Portal 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 CAIS Reporter Portal does allow for the Extended Text properly.

Code Release

Complete

03/12/2024 - Test

04/08/2024 - Prod

Reporter Portal

157

Closed

22523

Prior to 10/2/2022: Limited instances where Customer Records properly rejected with Error Code 22900 also erroneously received Error Code 22523. The 22523 rejections are currently unrepairable.

Code Release/Data Fix

Complete

N/A - Test

Go-forward Fix: 10/03/2022 -Prod

Data Fix: 04/08/2024 - Prod

Work around: Effective 2/26/2024, Industry Members can use the expanded correctionList to delete the unrepairable rejections - Prod

Data Validation

158

Closed

22034

Incorrectly generating Error Code 22034 (Data type violation – FDID) when submitting records with a branchOfficeCRD or registeredRepCRD using the manual submission in the CAIS Reporter Portal.

Code Release

Complete

03/12/2024 - Test

04/08/2024 - Prod

Data Validation

159

Closed

N/A

Limited instances where one of the feedback versions is missing.

Code Release

Complete

03/12/2024 - Test

04/08/2024 - Prod

Feedback

160

Closed

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

Complete

03/12/2024 - Test

04/08/2024 - Prod

Workaround: Within the fdidCustomerList, list the Customer’s ended role first and the active role second.

Data Validation

161

Closed

22502, 22522, 22528

Limited instances of customer rejections that are not repairable.

Code Release/Data Fix

Complete

Go-forward Fix: 9/25/2023   - Test

Go-forward Fix: 10/23/2023 - Prod

Data fix: N/A - Test

Data fix: 04/08/2024 - Prod

Workaround: Effective 1/29/2024, Industry Members can use the expanded correctionList to delete the unrepairable rejections - Test

Workaround: Effective 2/26/2024, Industry Members can use the expanded correctionList to delete the unrepairable rejections - Prod

Data Validation

162

Closed

N/A

In instances where a firm repairs a firmDesignatedID value that was duplicated, an fdidRecordID value that was duplicated, or a customerRecordID value that was duplicated within the original submission, the count of repaired FDIDs or Customers in the Submission Report is understated.

Code Release

Complete

03/12/2024 - Test

04/08/2024 - Prod

Reporter Portal

163

Closed

N/A

Intermittent instances where a single FDID or Customer Record that was rejected more than 500 times and has not been repaired, the Account Rejections and Customer Rejections screens incorrectly display a status of “Outstanding (0)”. The number of outstanding rejections for the FDID or Customer Record should be populated with a number greater than zero.

Code Release

Complete

03/12/2024 - Test

04/08/2024 - Prod

Reporter Portal

164

Closed

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

Complete

09/16/2024 - Test

10/21/2024 - Prod

Data Validation

165

Closed

22071

Erroneously accepting FDID Records with multiple Customers where at least one active Customer has a role indicating no trading capabilities (e.g., NTHOLDER) and at least one Customer with a role indicating trading capabilities (e.g., role of ‘AUTHREP’ and hasDiscretion is ‘true’) is no longer active (i.e., roleEndDate is populated with a current or past date). These records should be rejected with Error Code 22071.

Code Release

Complete

10/21/2024 - Test

10/21/2024 - Prod

Data Validation

C2024-22

Closed

N/A

Manual entry submissions between 7 p.m. Eastern Time and 12 a.m. Eastern Time results in a file integrity error due to incorrect handling of the timestamp. Manually entered records should be submitted prior to 7 p.m. Eastern Time or after 12 a.m. Eastern Time. Manual uploads via the CAIS Reporter Portal are not affected.

Please note that after daylight savings, the time will change from 7 p.m. to 8 p.m. Eastern Time.

Code Release

Complete

03/12/2024 - Test

04/08/2024 - Prod

Reporter Portal

C2024-23

Closed

N/A

The associated customer count on the FDID Reconciliation Report includes both active and inactive customers. The count should only include active customers.

Code Release

Complete

03/12/2024 - Test

04/08/2024 - Prod

Reporter Portal

C2024-24

Closed

N/A

Reporter CRD dropdown on the Reporter Portal is erroneously limited to only 10 Reporting Relationships. Submitters with more than 10 Reporting Relationships cannot submit on behalf of or view statistics and errors for all their Reporting Relationships. Submissions made via SFTP and their feedback are not impacted.

Code Release 

Complete

02/7/2024 - Test

N/A - Prod

Reporter Portal

C2024-25

Closed

N/A

Incorrectly accepting, rather than rejecting, in instances where the correctionAction is 'CORRECTION' and there is no correcting value provided or the wrong record type is specified as the correcting value.

Data Fix

Complete

Go-forward Fix: 9/25/2023   - Test

Go-forward Fix: 10/23/2023 - Prod

Data Fix: N/A - Test

Data Fix: 04/08/2024 - Prod

Data Validation

C2024-26

Closed

N/A

Limited instances where FDID and Customer Records are not repairable via resubmission.

Data Fix

Complete

Data Fix: N/A - Test

Data Fix: 04/08/2024 - Prod

Work around: Effective 1/29/2024, Industry Members can use the expanded correctionList to delete the unrepairable rejections - Test

Work around: Effective 2/26/2024, Industry Members can use the expanded correctionList to delete the unrepairable rejections - Prod

Data Validation

C2024-27

Closed

N/A

customerRecordIDs exceeding 16 characters are incorrectly displayed on the Customer Rejections screen as being rounded at the 16th character. Feedback files, including the Outstanding Rejections Feedback Files, contain the correct customerRecordID.

Code Release

Complete

04/08/2024 - Test

04/08/2024 - Prod

Reporter Portal

C2024-28

Closed

N/A

Some users are unable to download the Outstanding Rejections or Outstanding Inconsistency Feedback files from the ‘Download Feedback’ Screen. Files are available for download via SFTP.

Code Release

Complete

03/01/2024 - Test

03/01/2024  - Prod

Reporter Portal

C2024-29

Closed

22076, 22077, 23999

Limited instances of records in the Outstanding Rejections Feedback File not having a populated errorCode value.

Code Release

Complete

03/01/2024 - Test

03/01/2024  - Prod

Work around: All outstanding rejection IDs are searchable on the portal.

Feedback Files

C2024-30

Closed

N/A

Users on Windows 11 Operating System are not able to use the Reporter Portal File Submission feature. SFTP Submissions and the Reporter Portal Manual Entry form are not affected.

Code Release

Complete

03/01/2024 - Test

03/01/2024  - Prod

Data Validation

C2024-31

Closed 

N/A

Limited Customer Rejections identified prior to 10/02/2022 remain in the Outstanding Errors file after an accepted correction. Limited Customer Rejections identified prior to 10/02/2022 remain in the Outstanding Errors file after an accepted correction.

FINRA CAT will contact the impacted firms.
 

Data Fix 

Complete

Data Fix: N/A- Test

Data Fix: 04/29/2024- Prod

Data Validation 

C2024-32

Closed

N/A

The sort feature on the 'Completion Date' column within the "Completed Submissions" page is not working correctly.

Code Release

Complete

8/12/2024 - Test

8/19/2024 - Prod

Reporter Portal

C2024-33

Closed

N/A

Limited instances of rejections addressed via the correctionList display an inaccurate Status on the Reporter Portal screens. The Outstanding Rejections Feedback File is accurate.

Less than 20 Industry Members are impacted and all impacted Industry Members were contacted.

Code Release

Complete

April 29, 2024 - Test

April 29, 2024 - Prod

Data Fix: N/A - Test

Data Fix: May 12, 2024 - Prod

Reporter Portal

C2024-34

Closed

N/A

Limited instances where one of the TID feedback versions is missing.

Code Release

Complete

May 23, 2024 - Test

May 23, 2024 - Prod

Feedback Files

C2024-35

Closed

22068

FDID Records properly rejected with Error Code 22009 also erroneously receive Error Code 22068. Repair of the valid rejection via resubmission of the full record will repair the 22068 rejection. 

Code Release 

Complete

9/16/2024 - Test

10/21/2024 - Prod

Data Validation

C2024-36

Closed

22004

FDID Records properly rejected with Error Code 22024 also erroneously receive Error Code 22002 and 23004.  Repair of the rejections will result in over credit.

Code Release 

Complete

9/16/2024 - Test

10/21/2024 - Prod

Data Validation

C2024-38

Closed

N/A

Starting on 7/14/2024 in the Production Environment, the Error Repair Deadline for Account and Customer Rejections display an incorrect value.

Code Release and Data Fix

Complete

Go-forward Fix:

7/18/2024 - Test

Data Fix: N/A - Test

Go-forward Fix:

7/18/2024 - Prod

Data Fix: 7/18/2024 - Prod

Reporter Portal

C2024-39

Closed

N/A

The system is incorrectly rounding user entered values in limited  instances where the data type is 'Unsigned' and the user entered values are greater than or equal to 17 digits. This issue does not impact record validation, however, the rounded value is being returned on the feedback files and on the rejection screens.

Code Release

Complete

10/21/2024 - Test

10/28/2024 - Prod

Manual Form Submission

C2024-40

Closed 

N/A

Account Rejections page is not displaying FDIDs that contain a '#' character within it.

Code Release 

Complete 

 

Test: 9/16/2024

Prod: 9/16/2024

Reporter Portal (Account Rejections page)

C2024-41

Closed 

N/A

User is presented with the "Error Loading Data: OK" error when the User clicks on the Aggregated Statistics section in the Submission Report screen.

Code Release 

Complete 

Test: 9/16/2024

Prod: 9/16/2024

Reporter Portal (Submission Report)

CAT CAIS Planned Enhancements - Closed
Last Updated:
 #StatusError CodeSummaryResolutionPriorityTargeted Release DateArea
1Closed22013

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

2Closed22025
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 ReleaseComplete

3/28/21-Test

4/11/21-Prod

Reporter Portal / SFTP
3ClosedN/ACAT 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 ReleaseComplete5/23/21Reporter Portal / SFTP
4Closed N/ACAT 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 ReleaseComplete6/20/2021Reporter Portal
5ClosedN/AUpdate 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 ReleaseComplete

3/27/22- Test

4/24/22-Prod

Submission Data File
6ClosedN/ACertain 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 ReleaseComplete

3/27/22- Test

N/A- Prod

Manual Form Submission
7ClosedN/AUser 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 ReleaseComplete

3/27/22- Test

N/A- Prod

Manual Form Submission
8Closed23005Setting 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 ReleaseComplete

3/27/22- Test

N/A- Prod

Manual Form Submission
 
9ClosedN/AUpdate Rejection screen for Submitters to only show rejections for FDIDs that they submitted.Code ReleaseComplete

1/30/22- Test

4/24/22- Prod

Reporter Portal
10ClosedN/AUpdate SFTP feedback file to include “CANCELLED_BY_SUPPORT” status. Code ReleaseComplete

5/25/22- Test

6/13/22- Prod

Reporter Portal
11Closed23999Increase 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 ReleaseComplete

7/31/22- Test

8/13/22- Prod

Data Validation
12ClosedN/AFor 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 ReleaseComplete

9/19/22- Test

10/3/22- Prod

Feedback Files

13

Closed

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 ReleaseComplete2022 - Test
2022 - Prod
Manual Form Submission

14

Closed

N/A

Certain columns are not displayed in the Submission Report by default.Code ReleaseComplete

Workaround: User may add the columns to their view.

2022 - Test
2022 - Prod

Reporter Portal

15

Closed

N/A

Make the group number available on the Manual Form Submission prior to submitting.

Code Release

Complete

03/12/2024 - Test

04/08/2024 - Prod

Manual Form Submission

16

Closed

N/A

Update “Overall Compliance Error Rate” to “CAIS Compliance Error Rate” on Submission Report Screen.

Code Release

Complete

04/08/2024 - Test

04/08/2024 - Prod

Submission Report

17

Closed

N/A

Update label descriptions in the CAIS Reporter Portal to conform with the Full CAIS Technical Specifications.

Code Release

Complete

08/12/2024 - Test

08/19/2024 - Prod

Reporter Portal

18

Closed

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

Complete

9/16/2024 - Test

9/16/2024 - Prod

Manual Form Submission

19

Closed 

N/A

The Country Code dropdowns in the Manual Form Submission have been enhanced to sort by country name rather than country code with US and Canada appearing at the top of the list.

Code Release

Complete

9/16/2024 - Test

9/16/2024 - Prod

Manual Form Submission