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Phase: 2a
Date Information Category Audience
12/13/2021
Small Firms: Production Go-Live for Equities 2a reporting requirements
Release Availability & Compliance
  • Small Non-OATS Reporters
Phase: 2b
Date Information Category Audience
12/13/2021
Small Firms: Production Go-Live for Options 2b reporting requirements
Release Availability & Compliance
  • Small OATS Reporters
  • Small Non-OATS Reporters
Phase: 2c
Date Information Category Audience
01/25/2021
Test Environment Opens for Equities Phase 2c reporting requirements
Testing & Readiness
  • Industry Members
04/09/2021
Deadline to Request Production Readiness Certification for CAIS (account information related to LTIDs)
Registration & Onboarding
  • Industry Members
  • Service Bureaus
04/26/2021
Production Go-Live for Equities 2c reporting requirements
Release Availability & Compliance
  • Large Industry Members
04/26/2021
LTID Account Information Reporting Go-Live for Phases 2a, 2b and 2c (Large Industry Members)
Release Availability & Compliance
  • Developers
  • Large Industry Members
  • Plan Participants/Other Regulators
  • Service Bureaus
12/13/2021
Small Firms: Production Go-Live for Equities 2c reporting requirements
Release Availability & Compliance
  • Small OATS Reporters
  • Small Non-OATS Reporters
Phase: 2d
Date Information Category Audience
06/28/2021
Test Environment Opens for Options Phase 2d reporting requirements
Testing & Readiness
  • Industry Members
12/13/2021
Production Go-Live for Options 2d reporting requirements
Release Availability & Compliance
  • Large Industry Members
12/13/2021
Small Firms: Production Go-Live for Options 2d reporting requirements
Release Availability & Compliance
  • Small OATS Reporters
  • Small Non-OATS Reporters
12/13/2021
LTID Account Information Reporting Go-Live for Phase 2d (Large Industry Members)
Release Availability & Compliance
  • Developers
  • Large Industry Members
  • Plan Participants/Other Regulators
  • Service Bureaus
12/13/2021
LTID Account Information Reporting Go-Live for Phases 2a, 2b, 2c and 2d (Small Industry Members)
Release Availability & Compliance
  • Developers
  • Small OATS Reporters
  • Small Non-OATS Reporters
  • Plan Participants/Other Regulators
  • Service Bureaus
Phase: 2e
Date Information Category Audience
01/29/2021
Full CAIS Final Technical Specification Published
Specifications & User Guide
  • Developers
  • Industry Members
  • Plan Participants/Other Regulators
  • Service Bureaus
01/31/2022
Customer and Account Information - Test Environment Opens
Testing & Readiness
  • Industry Members
07/11/2022
Customer and Account Information - Production Environment Go-Live
Release Availability & Compliance
  • Industry Members

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