CAT CAIS Open Issues List (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 | 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 | Low | Fix: TBD | Fix: TBD | Feedback 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 |
| # | Status | Error Code | Summary | Resolution | Priority | Test Environment Targeted Release Date/Workaround | Production/Production Mirror Environments Targeted Release Date/Workaround | Area |
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| # | 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:
| 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 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 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.
| 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.
| 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 | Complete | 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 | Complete | 11/21/22 - Test 12/19/22 - Prod | Reporter Portal |
| 123 | Closed | N/A | Duplicate rows are present in the downloaded file when downloading the Rejections table from the Reporter UI. | Code Release | Complete | 06/05/23 - Test 06/26/23 - Prod | Reporter UI |
| 124 | Closed | 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 | Complete | 06/05/23 - Test 06/26/23 - Prod | Data Validation |
| 125 | Closed | 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. | Data Fix | Complete | 06/05/23 - Test N/A - Prod | Reporter Portal |
| 126 | Closed | N/A | Resolved 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 |
| 127 | Closed | 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 | Complete | 06/05/23 - Test 06/26/23 - Prod | Data Validation |
| 128 | Closed | 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 | Complete | 06/05/23 - Test 06/26/23 - Prod | Reporter Portal |
| 129 | Closed | Multiple | 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 Update | Complete | Specification Update: 8/2/2023 | Data Validation |
| 130 | Closed | 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. UPDATE: This is expected behavior so that the Industry Member can view the historical lineage of each rejection. | User Guide Update | Complete | Update the CAIS Reporter Portal User Guide | Reporter Portal |
| 131 | Closed | 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’. | Specification Update | Complete | Specification Update: 8/2/2023 | Feedback Files Reporter Portal |
| 132 | Closed | N/A | FDID Version Report includes FDIDs that have been previously ended. | Retirement | Complete | Report will be retired effective 9/2023 | Reports |
| 133 | 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 become effective on 8/8/2022.
| N/A | Complete | 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 Release | Complete | 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.
| 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.
| 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. | 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.
| 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, | 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: | 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, | 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, | 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 |
166 | Closed | N/A | The following updates to the Full CAIS Technical Specifications for Industry Members - v2.2 was published on 7/19/2024 and became effective on 12/9/2024. New error codes:
| Code Release | Complete | 9/16/2024 - Test 12/9/2024 - Prod | Planned Full CAIS Technical Specification Updates |
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) |
| # | 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 |
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 Release | Complete | 2022 - Test 2022 - Prod | Manual Form Submission |
14 | Closed | N/A | Certain columns are not displayed in the Submission Report by default. | Code Release | Complete | Workaround: User may add the columns to their view. 2022 - Test | 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 |
20 | Closed | 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 | Complete | 11/18/2024 - Test 12/09/2024 - Prod | Reporter Portal |
| 21 | Closed | N/A | Extend automatic timeout to 60 minutes from 30 minutes, with a pop-up screen after 50 minutes to allow Industry Members to extend their session. | Code Release | Complete | 6/11/2025 - Test 6/11/2025 - Prod | Reporter Portal |