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CAIS Monthly Report Card Glossary

Last Updated: 5/26/2021

Field Name

Definition

Accepted Records Count This statistic indicates the number of FDID submission records which were accepted into CAIS with no data validation errors during the month for each Reporter.
CAT Reporter CRD CRD number assigned to each Reporter in the file.
CAT Reporter CRD Name Firm name associated to each CRD number in the file on the date the report was generated.
Compliance Error Percentage Compliance Error Percentage is defined as the Compliance Error Records Count, divided by the Processed Records Count, converted into a percentage value.
Compliance Error Records Count This statistic indicates the number of FDID records which are subject to Compliance Error Rate calculations, including late repairs and outstanding rejections.
The Compliance Error Records Count is defined as the Late Corrected Records Count plus the Outstanding Errors count.
Exceeds Max. Compliance Error Rate Days Count This statistic indicates the number of days in the month in which the CAT Reporter exceeded the maximum compliance error rate (currently set to 5%).
Industry Compliance Error Percentage Industry Compliance Error Percentage is defined as the Compliance Error Records count, divided by the Processed Records Count for all Industry Members that reported during the month. 
Late Repaired Records Count This statistic indicates the number of rejected FDID submission records which were repaired after the repair window defined by the CAT NMS Plan. Any attempt to repair a record late (i.e., late resubmission of an FDID currently having an error) will count as a late repair for report card purposes.
Late Repaired Records Percentage The Late Repaired Records Percentage is defined as the Late Repaired Records Count divided by the Repaired Records Count.
Outstanding Records Count This statistic indicates the number of rejected FDID submission records remaining to repair on the date the report was generated. The Outstanding Errors Count is defined as the Rejected Records Count, minus the Repaired Records Count.
Outstanding Records Percentage Outstanding Records Percentage is defined as the Outstanding Records Count, divided by the Rejected Records Count.
Peer Group Compliance Error Percentage Peer Group Compliance Error Percentage is defined as the Compliance Error Records Count, divided by the Processed Records Count, for all CAT Reporters in each tier. This value will be the same for all CAT Reporters in a particular Peer Group for the month. This field is a placeholder and will be NULL until implemented in a future release.
Processed Records Count This statistic indicates the number of FDID records which were submitted to CAIS via any submission method during the month for each Reporter. An FDID record submitted in multiple submissions over the course of the month would be counted each time it is submitted.
Record Type Set to "FDID" for release 1.2; will either be set to "FDID" for FDID records or "Customer" for customer records in release 2.0+.
Rejected Records Count This statistic indicates the number of FDID submission records during the month for each Reporter which were rejected by the CAIS validation engine due to the FDID submission having at least one data validation error.
Rejected Records Percentage The Rejected Records Percentage is defined as the Rejected Records Count, divided by the Processed Records Count.
Repaired Records Count This statistic indicates the number of rejected FDID submission records which were repaired during the month for each Reporter, including both late and timely repairs. Any attempt to repair a record (i.e., resubmission of an FDID currently having an error) will count as a repair for report card purposes.
Repaired Records Percentage The Repaired Records Percentage is defined as the Repaired Records Count, divided by the Rejected Records Count.
Report Card Month Month (MM) for which the report card was generated.
Report Card Version Version number of the Report Card for the period. 
Report Card Year Year (YYYY) for which the report card was generated.
Tier This field is a placeholder and will be NULL until implemented in a future release.

 

CAIS Daily Stats Glossary

Last Updated: 05/26/2021

Field Name

Definition

CAT Reporter CRD CRD number assigned to each Reporter in the file.
CAIS Processing Date Date for which each of the daily metrics was generated.
CAIS Report Date Date the Daily Stats were generated.
Record Type FDID
CAT Reporter CRD Name Firm name associated to each CRD number in the file.
Processed Records Count For each Reporter, this statistic indicates the number of FDID records which were submitted to CAIS via any submission method on each date. An FDID record submitted in multiple submissions over the course of the month would be counted each time it is submitted. Each processed record must be attributed to the date of processing.
Accepted Records Count For each Reporter, this statistic indicates the number of FDID submission records which were accepted into CAIS with no data validation errors on each date. Each accepted record must be attributed to the date of processing.
Rejected Records Count For each Reporter, this statistic indicates the number of FDID submission records which were rejected on each date by the CAIS validation engine due to the FDID submission having at least one data validation error. Each rejected record must be attributed to the date of processing.
Rejected Records Percentage Rejected Records Percentage = (rejected records count / processed records count) * 100
Repaired Records Count This statistic indicates the number of outstanding rejected FDIDs which were repaired, including both late repairs and timely repairs. Any attempt to repair a record (i.e. resubmission of an FDID currently having an error) will count as a repair for report card purposes. Each repair must be attributed to the date of rejection, not the date on which the repair itself was processed.
Repaired Records Percentage Repaired Records Percentage = (repaired records count / rejected records count) * 100
Late Repaired Records Count This statistic indicates the number of outstanding rejected FDIDs which were repaired after the repair window defined by the CAT NMS Plan. Any late attempt to repair a record (i.e. resubmission of an FDID currently having an error) will count as a late repair for report card purposes. Each repair must be attributed to the date of rejection, not the date on which the repair itself was processed.
Late Repaired Records Percentage Late Repaired Records Percentage = (late repaired records count / repaired records count) * 100
Outstanding Records Count This statistic indicates the number of rejected FDID submission records for which no repairs were attempted on each date, including the first two processing dates of the following month.
Outstanding Errors Count = rejected records count - repaired records count
Outstanding Records Percentage Outstanding records percentage = (outstanding records count / rejected records count) * 100
Compliance Error Records Count This statistic indicates the number of FDID records which are subject to Compliance Error Rate calculations, including late repairs, and outstanding rejections.
Compliance Error Records Count = late corrected records count + outstanding errors count
Compliance Error Percentage Compliance Error Percentage = (compliance error records count / processed records count) * 100