Industry CAT CAIS LTID Test Release Status - August 4, 2021 - CATNMSPLAN
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Industry CAT CAIS LTID Test Release Status August 4, 2021
• Industry Test Release Update
• Open Issues List
• Recently Closed Issues
• Planned Enhancements
• CAT SIFMA Test
• General Announcements & Reminders
• Q&A
2
Industry CAT CAIS LTID Test Release Update
04/26/2021 01/31/2022 02/2022 04/25/2022 7/11/2022
CAIS LTID Mandatory Industry Test Release Full CAIS Certification Full CAIS Production Full CAIS Mandatory
Reporting* Full CAIS Opens Opens Reporting
• CAIS LTID reporting • Full CAIS Reporter Portal • Full CAIS Self-Reporter • LTID Phase Reporting • LTID Phase Reporting
required for Phases 2a, Industry Test Open - Certification remains available deprecated
2b, and 2c (Large Manual Submission and • Full CAIS Submitter • Full CAIS Reporter Portal • Full CAIS reporting
Industry Members) File Upload Certification* Production Open - required for all Phases
• CAIS LTID Rejection • Industry Test Open for • Full CAIS Certification for Manual Submission and • Full CAIS Rejection
Repair timeline Machine-to-Machine File an Industry Member only File Upload
using Submitter(s)
Repair timeline enforced
enforced & Data Integrity • Production Open for • Full CAIS Inconsistency
Validations & Feedback Machine-to-Machine File Repair timeline enforced
* Large Industry Member • Industry Test Open for & Data Integrity
Phase 2d reporting Inconsistency Feedback Validations & Feedback
required on 12/13/2021 & Repair • Production Open for
* Small Industry • Prod Mirror remains Inconsistency Feedback
Members Phase 2a, 2b, open for LTID Phase & Repair
2c, and 2d reporting testing • Full CAIS Reporter
required on 12/13/2021 Statistics available
*Reporting Relationships established for LTID Phase reporting do
not need to be re-established for Full CAIS Phase reporting.
4
Production Environment
Monday, 7/26 Tuesday, 7/27 Wednesday, 7/28 Thursday, 7/29 Friday, 7/30 Saturday, 7/31 Sunday, 8/1
Number of Firms
1,244
Registered
Number of Firms
999
Certified
Number of Total
49 67 58 64 62 16 5
Submitters
Number of Unique
402 494 483 505 502 72 5
Firms
Total: 716 Total: 806 Total: 851 Total: 866 Total: 865 Total: 79 Total: 6
Number of Files
Reporter Portal: 9 Reporter Portal: 19 Reporter Portal: 15 Reporter Portal: 13 Reporter Portal: 17 Reporter Portal: 1 Reporter Portal: 4
Received SFTP: 707 SFTP: 787 SFTP: 836 SFTP: 853 SFTP: 848 SFTP: 78 SFTP: 2
Number of Files
3 39 5 23 35 0 0
Rejected
File Reject Rate 0.42% 4.84% 0.59% 2.66% 4.05% 0.00% 0.00%
5
Production Environment
Monday, 7/26 Tuesday, 7/27 Wednesday, 7/28 Thursday, 7/29 Friday, 7/30 Saturday, 7/31 Sunday, 8/1
Records Accepted 588,959 1,200,361 939,342 913,116 981,965 630,771 825
Records Rejected 18 112 55 86 63 22 0
Records Submitted 588,977 1,200,473 939,397 913,202 982,028 630,793 825
Record Rejection Rate 0.00% 0.01% 0.01% 0.01% 0.01% 0.00% 0.00%
6Error Test Environment Production Environment Area
# Status Issue Summary Resolution Priority
Code Targeted Release Date/Workaround Targeted Release Date/Workaround Affected
Workaround: User navigates to CAIS and clicks Workaround: User navigates to CAIS and clicks
logout button. User automatically logged out logout button. User automatically logged out
Using Private Line or Private Link, after 30 mins inactivity. after 30 mins inactivity.
logout from MDP does not Code Reporter
1 Open N/A Low
automatically logout user on CAIS - Release Resolving this issue requires updates to TDS Resolving this issue requires updates to TDS Portal
(SRG works fine). Reporter Portal, which are not scheduled yet. Reporter Portal, which are not scheduled yet.
Fix: Release planning in progress. Fix: Release planning in progress.
Workaround: Error Rejections reported in CAIS Workaround: Error Rejections reported in CAIS
feedback files are restricted to 1000 entries. feedback files are restricted to 1000 entries.
Error code 23999 is returned in the feedback file Error code 23999 is returned in the feedback file
OutOfMemoryError in Submission
if greater than 1000 errors are reported. if greater than 1000 errors are reported.
Engine. When attempting to compile Submission
Code Industry Members should address rejections Industry Members should address rejections
2 Open 23999 feedback file, submission engine runs Medium Feedback
Release 1000 at a time or submit files with fewer than 1000 at a time or submit files with fewer than
out of memory if too many File
1000 records to ensure that the feedback file 1000 records to ensure that the feedback file
rejections present.
contains all error codes. contains all error codes.
Fix: TBD Fix: TBD
*** The Known Issues List is published on www.catnmsplan.com under “Industry Member Specifications” *** 7Error Test Environment Production Environment Area
# Status Issue Summary Resolution Priority
Code Targeted Release Date/Workaround Targeted Release Date/Workaround Affected
Workaround: Perform two separate submissions Workaround: Perform two separate submissions
to correct the data validation error. First to correct the data validation error. First
Attempting to reactivate a previously submission: Set the fdidDate attribute to the submission: Set the fdidDate attribute to the
ended FDID by clearing the stored currently stored value and set fdidEndDateNULL: currently stored value and set fdidEndDateNULL:
fdidEndDate (fdidEndDateNULL: ‘true’. Second submission: set the fdidDate ‘true’. Second submission: set the fdidDate
‘true’), and updating the fdidDate Code attribute to the desired value. attribute to the desired value. Reporter
3 Open 23001 Low
with a date value greater than the Release Portal
previously stored fdidEndDate in the Fix: Update data validation logic to allow setting Fix: Update data validation logic to allow setting
same submission file, generates an future fdidDate and fdidEndDateNull: ‘true’ in future fdidDate and fdidEndDateNull: ‘true’ in
errant data validation error. the same submission file. the same submission file.
1.2.5 Deployment – 8/29/21 1.2.5 Deployment – 8/29/21
Duplicate FDID rejections only
showing one rejection to be
Code Reporter
4 Open N/A repaired. Rejected counts will be Low 1.2.5 Deployment – 8/29/21 1.2.5 Deployment – 8/29/21
Release Portal
greater than repaired + outstanding
when this occurs.
*** The Known Issues List is published on www.catnmsplan.com under “Industry Member Specifications” *** 8Error Test Environment Production Environment Area
# Status Issue Summary Resolution Priority
Code Release Date Release Date Affected
1 N/A
*** The Known Issues List is published on www.catnmsplan.com under “Industry Member Specifications” *** 9Test Environment Production Environment
Error
# Status Summary Resolution Priority Targeted Release Targeted Release Area
Code
Date Date
Update Rejection screen for Submitters to only show rejections for Code Reporter
1 Open N/A Low January 2022 May 2022
FDIDs that they submitted Release Portal
10Test Environment Production Environment
Error
# Status Summary Resolution Priority Targeted Release Targeted Release Area
Code
Date Date
1 N/A
11# Status Summary Publish Date Spec Version
1 Open Clarify that malformed LTID can be corrected by sending the same FDID with corrected LTID entry - does NOT require correctionAction message August 2021 V1.2.3
12# Status Summary Publish Date Spec Version
Clarify that IF an SSN/ITIN/EIN is available for use as an Input Identifier for TID generation, it must be used even if other Foreign identifiers are
1 Open August 2021 2.0r4
also present
2 Open Clarify that malformed LTID can be corrected by sending the same FDID with corrected LTID entry - does NOT require correctionAction message August 2021 2.0r4
3 Open Update Inconsistencies Feedback File Name schema (§7.1.1) to include Submitter ID August 2021 2.0r4
4 Open Update the Description for the ‘ADVISER’ customerType value to be consistent with FAQ Q47 August 2021 2.0r4
Modify the regionCode and postalCode reporting lists in Appendix E to remove the lists for countries other than the United States and Canada. For
5 Open August 2021 2.0r4
regions outside of the United States and Canada, regionCode and postalCode fields will be a text field and format validations will not be enforced.
Clarify definition of customerType value of ‘EMPLOYEE’ to note “associated person” as defined in Section 3(a)(18) of the Securities Exchange Act
6 Open August 2021 2.0r4
of 1934
7 Open Include a new conditional field for DBA (Doing Business As) August 2021 2.0r4
8 Open Clarify the guidance on acceptable foreignTIDType for Natural Person and Legal Entity CAT Customer types August 2021 2.0r4
9 Open Expand accountName attribute to allow up to 180 characters instead of current 40 August 2021 2.0r4
13# Status Summary Publish Date Spec Version
10 Open Update the branchOfficeCRD field to be Conditional rather than required and clarify description August 2021 2.0r4
11 Open Expand legalName field to allow 180 characters. August 2021 2.0r4
14CAT SIFMA Test
FINRA CAT along with selected CAT Reporters will participate in the SIFMA 2021 test in
similar fashion to its participation in the 2020 SIFMA test. However, for the 2021 test
FINRA CAT plans to use its Enhanced Disaster Recovery environment (EDR) in AWS
East-2 Region
This annual test will occur on Saturday 10/23/2021 (8AM to 2PM EST).
FINRA CAT will conduct this test out of its EDR region and will utilize the Industry Test Production
Mirror (CTPM) environment in that region. (Please utilize the connectivity guides for additional network
connectivity configurations)
CAT submitters are encouraged to test their network connectivity to this new region beginning
9/1/2021 and complete this pre-test on or before 9/25/2021.
This test will require both CAIS and Transaction submissions
Selected CAT Reporters have been notified and will receive additional instructions and test scripts
FINRA CAT will host a SIFMA Test meeting with selected submitters on Tuesday 10/19/21 (meeting invite
will be distributed in September 2021)
16IM Transaction
Plan Participants IM CAIS Submitters
Submitters
• All Plan Participants will • CAT Submitters who • CAT Submitters who
be required to submit one account for at least 5% or account for at least 5% or
day of transaction data more of CAT reportable more of CAT reportable
The following events in the six-month events in the six-month
selection period immediately period immediately
criteria was preceding the designation, preceding the designation,
and whose cumulative and whose cumulative
used to select activity represents at least
activity represents at least
participating 50% of the reportable 50% of the reportable
entities: events for the designated events for the designated
period period
17Submitted on
10/20/21 10/23/21 Test
Plan Participants • Machine to Machine submission Production data date
IM Transaction • SFTP submission
10/20/21
Submitted on
10/23/21 Test
• Web File Upload
Submitters • Web Manual Entry (minimum of five order events) Production data date
• SFTP submission Submitted on
IM CAIS Submitters • Web File Upload 10/20/21 10/23/21 Test
• Web Manual Entry (minimum of five update events) Production data date
18SIFMA Test Roadmap
Environment Unavailable Environment Available
10/21/21 10/23/21 (8AM – 2PM) 10/23 – 10/25 10/26/21 ->
East 2 East 2 East 2 East 2
East 1 East 1 East 1 East 1
- EDR - EDR - EDR - EDR
Prod Prod Prod Prod Prod Prod Prod Prod
IT IT IT IT IT IT IT IT
Prod Prod Prod Prod Prod Prod Prod Prod
Mirror Mirror Mirror Mirror Mirror Mirror Mirror MirrorGeneral Announcements & Reminders
Any continued Production Readiness Certifications for LTID are to be
completed in the Prod Mirror environment.
Registration for CAIS LTID requires Reporters to indicate their
approximate number of FDIDs that have associated LTIDs.
For Reporting Agents, this should be the aggregate total of all FDIDs
with associated LTIDs.
Only Reporters and Reporting Agents that pass certification will be
able to submit data into the Production environment.
21 Industry Test environment is available to Industry Members again
CAT CAIS LTID Checkpoint Calls to be held monthly on Wednesdays
at 4:15 E.T. – the next call is scheduled for September 1
Upcoming CAIS Webinars:
October 6 – Full CAIS Certification
October 13 – LTID to Full CAIS Cutover
ConnectivityGuides, Reporting Scenarios, Use Cases, and updated
FAQs available at catnmsplan.com
22Questions may be directed to the FINRA CAT Helpdesk at 888-696-3348 or help@finracat.com
23• For participants using computer audio:
• Click the “Raise Hand” button at the bottom of the participants window.
• A visual prompt will indicate that your line has been unmuted.
• For participants using phone audio:
• Enter *9 on your phone keypad.
• An audio prompt will indicate that your line has been unmuted.
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