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CAT CAIS Open Issues List

​Last Updated: 8/04/2021

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

Code Release

Low

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

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

Fix: Release planning in progress.

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

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

Fix: Release planning in progress.

Reporter Portal
 
2 Open 23999 OutOfMemoryError in Submission Engine. When attempting to compile feedback file, submission engine runs out of memory if too many rejections present. Code Release Medium

Workaround: Error Rejections reported in CAIS feedback files are restricted to 1000 entries. Error code 23999 is returned in the feedback file if greater than 1000 errors are reported. Industry Members should address rejections 1000 at a time or submit files with fewer than 1000 records to ensure that the feedback file contains all error codes.

Fix: TBD

Workaround: Error Rejections reported in CAIS feedback files are restricted to 1000 entries. Error code 23999 is returned in the feedback file if greater than 1000 errors are reported. Industry Members should address rejections 1000 at a time or submit files with fewer than 1000 records to ensure that the feedback file contains all error codes.

Fix: TBD

Submission Feedback File
3  Open 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 Low

Workaround: Perform two separate submissions to correct the data validation error. First submission: Set the fdidDate attribute to the currently stored value and set fdidEndDateNULL: 'true'. Second submission: set the fdidDate attribute to the desired value.

Fix: Update data validation logic to allow setting future fdidDate and fdidEndDateNull: 'true' in the same submission file. 

1.2.5 Deployment – 8/29/21

Workaround: Perform two separate submissions to correct the data validation error. First submission: Set the fdidDate attribute to the currently stored value and set fdidEndDateNULL: 'true'. Second submission: set the fdidDate attribute to the desired value.

Fix: Update data validation logic to allow setting future fdidDate and fdidEndDateNull: 'true' in the same submission file. 

1.2.5 Deployment – 8/29/21

Reporter Portal
4 Open 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
Low 1.2.5 Deployment – 8/29/21 1.2.5 Deployment – 8/29/21 Reporter Portal

 

CAT CAIS Planned Enhancements - Open

​Last Updated: 8/04/2021

 # Status Error Code Summary Resolution Priority Test Environment Targeted Release Date/Workaround Production Environment Targeted Release Date/Workaround Area
1 Open N/A Update Rejection screen for Submitters to only show rejections for FDIDs that they submitted Code Release Low January 2022 May 2022 Reporter Portal

 

CAT CAIS Closed Issues List

​Last Updated: 8/04/2021

 # Status Error Code Summary Resolution Priority  Targeted Release Date Area
1 Closed N/A
 
Defining a customer reporting relationship without an expiration date causes all users for the CAT Submitter firm to no longer be able to login to CAIS.
 

Code Release

Complete

11/9/20- Test

N/A- Prod

Reporter Portal

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

11/9/20- Test

N/A- Prod

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

11/9/20- Test

N/A- Prod

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

11/23/20- Test

N/A- Prod

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

12/6/20- Test

N/A- Prod

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

12/6/20- Test

N/A- Prod

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

12/6/20- Test

N/A- Prod

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

1/31/21

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

2/7/21- Test

2/14/21- Prod

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

3/1/21- Test

N/A- Prod

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

2/28/21- Test

3/14/21- Prod

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

2/28/21- Test

3/14/21- Prod

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

12/6/20- Test

12/13/20- Prod

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

2/28/21- Test

3/14/21- Prod

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

2/28/21- Test

Prod- 3/14/21

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

3/28/21- Test

4/11/21- Prod

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

3/28/21- Test

4/11/21- Prod

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

4/11/21- Test

4/25/21-Prod

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

4/11/21- Test

4/25/21-Prod

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

4/11/21- Test

4/25/21-Prod

Reporter Portal
23 Closed N/A If a user uploads 2 files with the same file name in rapid succession, the first submission can get stuck. The second one will successfully process. Code Release Complete 5/23/21 Reporter Portal
24 Closed N/A If a user presses the reset button on the manual submission screen in the CAIS Portal it will clear out the fdidRecordID. Code Release Complete 5/23/21 Reporter Portal
25 Closed N/A If a firm submits a file using a large number of duplicate fdid record ids, it can cause the submission to get hung up and not finish processing. Code Release Complete 6/20/21 Reporter Portal

CAT CAIS Planned Enhancements - Closed

​Last Updated: 8/04/2021

 # 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