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Phase: 2a
Date Information Category Audience
08/10/2020
Production Environment opens for Firm to Firm Linkage validations
Release 3 - Interfirm Linkage
Testing & Readiness
  • Large Industry Members
  • Small OATS Reporters
08/17/2020
Equities ONLY- Report Card Availability
Release Availability & Compliance
  • Large Industry Members
  • Small OATS Reporters
09/09/2020
Test Environment opens for Equities 2a Exchange and TRF Linkage validations
Release 4 - TRF/Exchange Linkage
Testing & Readiness
  • Large Industry Members
  • Small OATS Reporters
09/28/2020
Production Environment opens for Equities 2a Exchange and TRF Linkage validations
Release 4 - TRF/Exchange Linkage
Testing & Readiness
  • Large Industry Members
  • Small OATS Reporters
10/26/2020
Production Environment Go-Live for Firm to Firm Linkage validations
Release 3 - Interfirm Linkage
Release Availability & Compliance
  • Large Industry Members
  • Small OATS Reporters
10/26/2020
Production Environment Go-Live for Equities 2a Exchange and TRF Linkage validations
Release 4 - TRF/Exchange Linkage
Release Availability & Compliance
  • Large Industry Members
  • Small OATS Reporters
12/13/2021
Small Firms: Production Go-Live for Equities 2a file submission and data integrity validations
Release Availability & Compliance
  • Small Non-OATS Reporters
Phase: 2b
Date Information Category Audience
08/10/2020
Production Environment opens for Firm to Firm Linkage validations
Release 3 - Interfirm Linkage
Testing & Readiness
  • Large Industry Members
08/24/2020
Production Environment Go-Live for Options 2b Intrafirm Linkage validations
Release 2 - Intrafirm Linkage
Release Availability & Compliance
  • Large Industry Members
09/09/2020
Test Environment opens for Options 2b Exchange Linkage validations
Release 4 - TRF/Exchange Linkage
Testing & Readiness
  • Large Industry Members
09/15/2020
Equities AND Options- Report Card Availability
Release Availability & Compliance
  • Large Industry Members
09/28/2020
Production Environment opens for Options 2b Exchange Linkage validations
Release 4 - TRF/Exchange Linkage
Testing & Readiness
  • Large Industry Members
01/04/2021
Production Environment Go-Live for Firm to Firm Linkage validations
Release 3 - Interfirm Linkage
Release Availability & Compliance
  • Large Industry Members
01/04/2021
Production Environment Go-Live for Options 2b Exchange Linkage validations
Release 4 - TRF/Exchange Linkage
Release Availability & Compliance
  • Large Industry Members
12/13/2021
Small Firms: Production Go-Live for Options 2b file submission and data integrity validations
Release Availability & Compliance
  • Small OATS Reporters
  • Small Non-OATS Reporters
Phase: 2c
Date Information Category Audience
08/24/2020
LTID Account Information Testing Environment Opens
Testing & Readiness
  • Developers
  • Industry Members
  • Plan Participants/Other Regulators
  • Service Bureaus
12/14/2020
LTID Account Information Reporting Production Environment Opens
Release Availability & Compliance
  • Developers
  • Industry Members
  • Plan Participants/Other Regulators
  • Service Bureaus
01/31/2021
Test Environment Opens for Equities Phase 2c file submission and data integrity validations
Testing & Readiness
  • Industry Members
04/26/2021
Production Go-Live for Equities 2c file submission and data integrity validations
Release Availability & Compliance
  • Large Industry Members
04/26/2021
LTID Account Information Reporting Go-Live for Phases 2a 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 file submission and data integrity validations
Release Availability & Compliance
  • Small OATS Reporters
  • Small Non-OATS Reporters
Phase: 2d
Date Information Category Audience
06/30/2021
Test Environment Opens for Options Phase 2d file submission and data integrity validations
Testing & Readiness
  • Industry Members
12/13/2021
Production Go-Live for Options 2d file submission and data integrity validations
Release Availability & Compliance
  • Large Industry Members
12/13/2021
Small Firms: Production Go-Live for Options 2d file submission and data integrity validations
Release Availability & Compliance
  • Small OATS Reporters
  • Small Non-OATS Reporters
12/13/2021
LTID Account Information Reporting Go-Live for Phases 2b and 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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