CAT Transaction Open Issues List (By Type)
Type: Production Environment File Submission and Data Integrity
Last Updated: 08/21/2024
# | Status | Error Code | Summary | Resolution | Priority | Test Environment Targeted Release Date/Workaround | Production/Production Mirror Environments Targeted Release Date/Workaround | Area |
---|---|---|---|---|---|---|---|---|
1 | Open | N/A | FINRA CAT did not recognize the early close and improperly marked events that occurred between 1:15 and 4:15 pm ET and were reported by 8 am ET on the next CAT Trading Day as late events. Impact is limited to days when the market closes early. | Code Release | Low | 2024 | 2024 | Statistics |
TF2024-02 | Open | Multiple | Industry Members are unable to repair rejections via manual submission when the original submission was in CSV format and the following fields contained only delimiters: firmDetails, clientDetails, sellDetails, buyDetails, aggregatedOrders, bidAggregatedOrders, askAggregatedOrders. Submissions in JSON format are not affected. | Code Release | Medium | 4Q2024 | 4Q2024 | Reporter Portal |
Type: Production Environment Intrafirm, Interfirm, Exchange and TRF Linkage
Last Updated: 08/21/2024
# | Status | Error Code | Summary | Resolution | Priority | Test Environment Targeted Release Date/Workaround | Production/Production Mirror Environments Targeted Release Date/Workaround | Area |
---|---|---|---|---|---|---|---|---|
1 | Open | N/A | Parent not found and Named errors that are reconciled continue to be displayed as ‘U’ (Unrepaired) in Error Summary & Error Search screens. Feedback & Reporting Summary statistics are not impacted by this issue. | Code Release | High | 2024 | 2024 | Error Summary & Error Search Reporter Portal |
2 | Open | 3601 | Out of Sequence Errors that are caused by an incorrect Time Stamp on the parent event are not being properly reconciled when the parent Time Stamp is corrected. Repaired counts and Adjusted Unlinked Rate are impacted by this issue. | Code Release | High | 2024 | 2024 | Intrafirm Statistics |
3 | Open | Multiple | Parent not found errors are being generated for open option orders when the option symbol changes due to corporate action. | Code Release | Low | 2024 | 2024 | Intrafirm Linker Feedback & Statistics |
4 | Open | 9004 8004 7004 5004 | FINRA CAT did not recognize the early close and improperly marked as unlinked, certain events that occurred between 1:15 and 4:15 pm ET and were reported by 8 am ET on the next CAT Trading Day. Any events that were marked as unlinked were automatically reconciled the following day. Impact is limited to days when the market closes early. | Code Release | Low | 2024 | 2024 | Interfirm Exchange Trade Linker Feedback |
5 | Open | 5008 | FINRA CAT is erroneously generating TRF errors for new listing symbols in instances where the TRF execution date is prior to the symbol effective date. | Code Release | Low | 2024 | 2024 | Trade Linker Feedback |
6 | Open | 3501 | FINRA CAT is incorrectly generating unlinked errors on the fourth pass when the primary and secondary events are reported on different event dates. This issue only occurs when an order is not reported as a long lived order. | Code Release | Low | 2024 | 2024 | Intrafirm Linker Feedback & Statistics |
TL2024-01 | Open | 8003 | Linkage errors are not showing as resolved when the route event has a timestamp after market hours and the counterparty’s modification event was reported on time and has a timestamp reflecting a subsequent calendar date. | Code Release | Medium | TBD | TBD | Interfirm Linker Feedback |
TL2024-04 | New-Open | 8004 | FINRA CAT is incorrectly accepting 144A equity symbols. | Code Release | High | 4Q2024 | 4Q2024 | Ingestion Validations, Interfirm Linker Feedback & Statistics |
Type: Production Environment CAT Transaction Planned Enhancements List
Last Updated: 08/21/2024
# | Status | Error Code | Summary | Resolution | Priority | Test Environment Targeted Release Date/Workaround | Production/Production Mirror Environments Targeted Release Date/Workaround | Area |
---|---|---|---|---|---|---|---|---|
1 | Open | 2122 | Incorrect error code is generated when an array field (e.g., clientDetails) is populated as a Name/Value pair. | Code Release | Low | 2024 | 2024 | Ingestion Validations |
2 | Open | 2027 | Incorrect error code is being generated when eventTimestamp is a future date (2027- eventTimestamp must be in the correct format instead of 2139 - eventTimestamp is greater than the current date and time). | Code Release | Low | 2024 | 2024 | Ingestion Validations |
3 | New-Open | N/A | Update the Rules/Validations for the Effective Date of an ATS Order Type in the CAT Reporter Portal to allow the Effective Date to be prior to the current date. ATSs must register their order types with CAT at least 20 business days prior to the order type becoming effective using the CAT Reporter Portal. | Code Release | High | No later than 10/21/2024 | No later than 10/28/2024 | Ingestion Validations, Reporter Portal & Statistics |
CAT Transaction Closed Issues List
Last Updated: 08/21/2024
# | Status | Error Code | Summary | Resolution | Priority | Targeted Release Date | Area |
---|---|---|---|---|---|---|---|
1 | Closed | N/A | CAT Reporters were unable to upload files when they are east of the GMT time zone. | Code Release | Complete | 12/16/2019 | File Submission |
2 | Closed | 2031 | MEOT Records with <BLANK> Firm Designated ID rejecting as invalid. | Code Release | Complete | 12/19/2019 | Validations |
3 | Closed | 1107 | Metadata file rejecting as “Not Readable” when the last delimiter is missing in CSV. | Code Release | Complete | 12/19/2019 | Validations |
4 | Closed | Multiple | Allowable values included in latest Technical Specification 2.2.1 r2 need to be updated in Industry Test. | Code Release | Complete | 12/19/2019 | Validations |
5 | Closed | N/A | Acknowledgement Feedback Files only include base filename. Per specification, acknowledgements should include the full filename. | Code Release | Complete | 12/19/2019 | Validations |
6 | Closed | 2156 | FINRA CAT is accepting the following scenario instead of rejecting - Values populated in ‘Reserved for Future Use’ fields. | Configuration Change | Complete | 12/19/2019 | Validations |
7 | Closed | N/A | FINRA CAT experienced an SFTP connectivity issue on December 18, 2019 at 9:37 p.m. to December 19 at 11:05 a.m. CAT Reporters were unable to submit via SFTP during this time period; however, Manual File Upload via the CAT Reporter Portal was not impacted. | Code Release | Complete | N/A | File Submission |
8 | Closed | Multiple | FINRA CAT is accepting the following scenario instead of rejecting - Equity events where the representative indicator or the fulfillment link type value is ‘O’. | Code Release | Complete | 1/7/2020 | Validations |
9 | Closed | 2091 | FINRA CAT is accepting the following scenario instead of rejecting - Route Event with Destination Type of ‘E’ or ‘F’ and Sender IMID of <BLANK>. | Code Release | Complete | 1/7/2020 | Validations |
10 | Closed | N/A | For Name/Value Pair Data type fields providing a null value for a required field such as timeInForce of ‘GTD’ with a value of null instead of expiration date causes ingestion processing issues. | Code Release | Complete | 1/7/2020 | Validations |
11 | Closed | 1121 | Metadata file having base file name of data file instead of the full file name does not generate time out error on data file. | Code Release | Complete | 1/7/2020 | Validations |
12 | Closed | 2098 | Reference Data timing issue with equity symbols that became effective on the day of event submission. | Code Release | Complete | 1/9/2020 | Validations |
13 | Closed | 2008 | ATS Order Types created via the Reporter Portal are being capitalized. This will result in invalid ATS Order Type rejections as validations are case sensitive. | Code Release | Complete | 1/12/2020 | Validations |
14 | Closed | N/A | Intermittently missing a few feedback files. | Code Release | Complete | 2/5/2020 | Validations |
15 | Closed | N/A | FINRA CAT Network Team is assisting some firms with additional details related to their use of IP proxy-based access. FINRA CAT is updating the Connectivity Supplement with additional firewall and URL information in support of Industry member’s use of IP Proxy based access. These details are also provided in the Appendix of the 12/17 Industry Release Checkpoint Presentation. | Documentation Update | Complete | N/A | Network |
16 | Closed | N/A | Metadata File Rejection count does not correctly count all metadata rejection scenarios. | Code Release | Complete | 2/24/2020 | Statistics |
17 | Closed | 2098 | Equity symbols expiring intra-day rejecting as invalid. | Code Release | Complete | 2/24/2020 | Validations |
18 | Closed | 2036 | handlingInstructions value of ‘RAR’ (optional for 2a) rejecting as invalid. | Code Release | Complete | 2/24/2020 | Validations |
19 | Closed | 2043 | manualOrderID (optional for 2a) blank – Rejecting as Invalid manualOrderID when electronicDupFlag is populated as true. | Code Release | Complete | 2/24/2020 | Validations |
20 | Closed | 2048 | For ATS firms, <BLANK> nbboTimestamp if nbboSource = NA rejecting as invalid. | Code Release | Complete | 2/24/2020 | Validations |
21 | Closed | N/A | Firms not getting credit for rejections corrected via a file delete instruction. | Code Release | Complete | 3/23/2020 | Statistics |
22 | Closed | N/A | Late flag determination is incorrect for events received after 4:15 PM and reported on time. | Code Release | Complete | 3/23/2020 | Statistics |
23 | Closed | N/A | Event Submissions count on Reporting Summary tab does not match the Event Submission by Type count in limited instances. | Code Release | Complete | 3/23/2020 | Portal |
24 | Closed | 2060 | Options test symbols are being rejected. | Code Release | Complete | 3/23/2020 | Validations |
25 | Closed | 2081 | receivedQuoteID (optional for 2a) blank – Rejecting as Invalid receivedQuoteID . | Code Release | Complete | 3/23/2020 | Validations/ Reporter Portal |
26 | Closed | 2133 | Multi-dimensional array fields in MEOTS, MOOF and MOFA events – Rejecting as invalid because portal includes additional fields (FDID and accountHolderType) that are not applicable to these specific events. | Code Release | Complete | 3/23/2020 | Reporter Portal |
27 | Closed | 2142 | Space in multi-dimensional array field not treated as blank. E.g space in aggregatedOrders when representativeInd is populated as 'YF', 'YE' or 'N' - Rejecting as Invalid aggregatedOrders (Error Code 2142). | Code Release | Complete | 3/23/2020 | Validations |
28 | Closed | N/A | FINRA CAT is accepting some timestamps with an invalid syntax. | Code Release | Complete | 3/23/2020 | Validations |
29 | Closed | 1116 | Isolated issue where exceeding length in file version field in metadata file – Not generating integrity failed feedback. | Code Release | Complete | 3/23/2020 | Validations |
30 | Closed | N/A | Reporter portal is not always displaying all the processed files in the File status screen. | Code Release | Complete | 4/1/2020 | Reporter Portal |
31 | Closed | 2153 | Isolated instances of data file not readable error for well-formed JSON and CSV data files. | Code Release | Complete | 4/13/2020 | Validations |
32 | Closed | 2019 | NYSE floor broker booth numbers are not included in reference data causing Route event rejections. | Reference Data Update | Complete | 4/17/2020 | Reference Data |
33 | Closed | Multiple | Fulfillment events with a fulfillmentLinkType of YF and YE are incorrectly being included in feedback files. | Code Release | Complete | 4/24/2020- Test 5/4/2020- Prod | Intrafirm Feedback |
34 | Closed | Multiple | FINRA CAT is incorrectly unlinking a two-sided event (trade and fulfillment) associated with a long lived order when the order originated prior to T-4. ‘T’ being the event date on the trade/fulfillment. | Code Release | Complete | 5/4/2020- Test 5/4/2020- Prod | Intrafirm |
35 | Closed | N/A | Incorrect processing date on Linkage Feedback file for errors/warning generated for an event reported on a prior processing date. | Code Release | Complete | 4/30/2020-Test 5/4/2020- Prod | Interfirm Feedback |
36 | Closed | N/A | In Industry Test only, Intrafirm statistics beyond T+1 are not correctly displayed. | Code Release | Complete | In progress | Intrafirm Statistics |
37 | Closed | N/A | Isolated issue with Timeout Warnings at Integrity phase resulting in missing File Integrity feedback. | Monitoring for recurrence | Monitoring for recurrence | N/A | Integrity Feedback |
38 | Closed | 1121 | Few firms are incorrectly receiving file integrity errors due to pairing issues between the meta and data files. | Monitoring for recurrence | Complete | N/A | Integrity Feedback |
39 | Closed | N/A | Firms are unable to edit a record in the Pending Submissions screen if they are using Firefox browser and have logged into the Portal via SRG. This issue does not impact creating or submitting an event via the Portal. | Monitoring for recurrence | Complete | N/A | Reporter Portal |
40 | Closed | N/A | Linkage Warning count in Intrafirm statistics does not include Error Code 397 (Late Reported Intrafirm Event). | Code Release | Complete | 5/18/2020- Test 5/18/2020- Prod | Intrafirm Statistics |
41 | Closed | N/A | Few firms are experiencing isolated timeout issues errors when accessing the Error Summary Screen in the Portal. | Code Release | Complete | 4/20/2020- Test 5/18/2020- Prod | Reporter Portal |
42 | Closed | 3502 | FINRA CAT is generating Unlinked Error instead of a Warning when the order referenced in the side details of the trade originated prior to go-live. | Code Release | Complete | 5/12/2020- Test 5/18/2020- Prod | Intrafirm Feedback |
43 | Closed | 2019 | FINRA CAT is accepting the following scenario instead of rejecting - destinationType = F and destination not provided on Order Route. | Code Release | Complete | 5/11/2020- Test 5/18/2020- Prod | Ingestion Validations |
44 | Closed | Multiple | FINRA CAT is accepting negative values in quantity fields. | Code Release | Complete | 5/11/2020- Test 5/18/2020- Prod | Ingestion Validations |
45 | Closed | Multiple | FINRA CAT is accepting the following scenario instead of rejecting - Future dates in some fields. | Code Release | Complete | 5/11/2020- Test 5/18/2020- Prod | Ingestion Validations |
46 | Closed | Multiple | Error Summary screen does not display the new Error Codes per IM Tech Spec version 2.2.1 r5. | Datafix | Complete | 5/21/2020- Test 5/21/2020- Prod | Ingestion Reporter Portal |
47 | Closed | Multiple | FINRA CAT is incorrectly generating unlinked errors in instances when a DAY order originates after business hours on the Trade Date prior to TIF Expiration Date. | Code Release | Complete | 5/29/2020- Test 5/29/2020- Prod | Intrafirm Feedback |
48 | Closed | N/A | Reporter portal is incorrectly displaying 'No Intrafirm Statistics Available’ when a firm has no Intrafirm Errors | Code Release | Complete | 6/1/2020- Test 6/1/2020- Prod | Reporter Portal |
49 | Closed | N/A | Due to processing issues in the Test Environment, users will not receive linkage feedback on IM equities submissions for the 6/12/2020 Processing Date. Options feedback was delayed but otherwise unaffected. An announcement has been posted to the CAT Reporter Portal. | Code Release | Complete | 6/15/2020- Test 6/15/2020- Prod | Intrafirm Linkage Feedback |
50 | Closed | N/A | FINRA CAT is incorrectly accepting pipe ( | ) value in text fields within multi-dimensional array (e.g. orderID in aggregatedOrders). | Code Release | Complete | 6/12/2020- Test 6/19/2020- Prod | Ingestion Validation |
51 | Closed | N/A | The CAT Reporter Portal allows users to successfully create events without all required fields populated if the user clicks the “Create” button more than once while populating the event. The record is then rejected upon submission as all required fields are not populated. | Code Release | Complete | 6/22/2020- Test 6/22/2020- Prod | Reporter Portal Create Event |
52 | Closed | 2153 | Receipt of improperly Bz2 compressed file results in no ingestion feedback being provided to the submitter. The file should fail ingestion as unreadable. | Code Release | Complete | 6/22/2020- Test 6/22/2020- Prod | Integrity Validation |
53 | Closed | N/A | Reporter Portal is not displaying Intrafirm repaired counts in Reporting Summary in Industry Test Environment. This has not been observed in Production Environment. | Code Release | Complete | 6/22/2020- Test 6/22/2020- Prod | Intrafirm Reporter Portal |
54 | Closed | N/A | Reporter Portal is not accurately reflecting Repair Count and Adjusted Error Rate when corrections submitted for a single day per firm exceed 100,000. Additionally, Error Counts on Error Summary screen do not reflect errors in excess of 100,000. | Code Release | Complete | 6/22/2020- Test 6/29/2020- Prod | Events Statistics |
55 | Closed | N/A | FINRA CAT is incorrectly generating a parent not found error for certain secondary events where the parent originated on a non-business day. | Code Release | Complete | 6/15/2020- Test 6/29/2020- Prod | Intrafirm Linkage Feedback |
56 | Closed | N/A | FINRA CAT generated some incorrect unlinked errors (3501) due to a processing issue that impacted GTC orders that originated on 5/21, 5/22 and 6/8. | Code Release | Complete | Complete | Intrafirm Linkage Feedback |
57 | Closed | 3501 | Prior to go-live for warning error code 398 in Production is set to May 4, 2020 for Equities and Options and Industry Test is set to April 20, 2020. FINRA CAT will reset this date to June 22, 2020 for Equities and July 20, 2020 for Options. | Code Release | Complete | 7/20/2020– Test (Equities/Options) 7/2/2020- Prod (Equities) 7/20/2020– Prod (Options) | Intrafirm Linkage Feedback |
58 | Closed | N/A | The Accepted Late on the Reporter Portal incorrectly includes rejections. Compliance Error Rate is accurate and is not impacted by this issue. | Code Release | Complete | 7/27/2020- Test 7/27/2020- Prod | Reporter Portal |
59 | Closed | N/A | The Error Repair screen displays an incorrect date value for orders with timeInForce= DAY. This is display only. | Code Release | Complete | 7/27/2020- Test 7/27/2020- Prod | Reporter Portal |
60 | Closed | 2044 | FINRA CAT is incorrectly accepting trade events when both marketCenterID and reporting Exception Code are not populated. Beginning 7/27/20, this will result in an ingestion error. | Code Release | Complete | 7/20/2020- Test 7/27/2020- Prod | Ingestion Feedback |
61 | Closed | 3501 | FINRA CAT is incorrectly generating parent not found errors for MONOS events that reference an orderID belonging to an MOOA event. | Code Release | Complete | 7/15/2020- Test 7/27/2020- Prod | Intrafirm Linkage Feedback |
62 | Closed | 2045 | Remove minQty must be less than or equal to quantity validation. | Code Release | Complete | 7/27/2020- Test 7/27/2020- Prod | Ingestion Validations |
63 | N/A | 1103 | In very limited instances, FINRA CAT is incorrectly providing duplicate file feedback when a file is only submitted once. | Code Release | Complete | N/A Under Monitoring | File Integrity Feedback |
64 | Closed | N/A | Error Code Count screen on the portal is not displaying the errors for firms that have ‘Named Errors’. This issue only impacts the Industry Test Environment. | Code Release | Complete | 8/10/2020- Test N/A- Prod | Statistics |
65 | Closed | N/A | Named Errors in linkage errors feedback file to include timestamps in STRING format (YYYYMMDD HHMMSS.CCCNNNNN), and size and quantity to exclude trailing zeroes. This issue only impacts the Industry Test Environment. | Code Release | Complete | 8/5/2020- Test N/A- Prod | Interfirm Feedback |
66 | Closed | 2060 | Reporter Portal is missing a space in the optionID value displayed on the Error Value on the Error Correction screen. Copying and pasting the Error Value generates a 2060 rejection. | Code Release | Complete | 8/17/2020-Test 8/17/2020- Prod | Reporter Portal |
67 | Closed | N/A | Error Search screen is displaying the repaired by file name in the file name column. | Code Release | Complete | 8/17/2020-Test 8/17/2020- Prod | Reporter Portal |
68 | Closed | N/A | Reporter Portal is not displaying Named Error Counts on Reporting Summary screen if a firm has no submissions on a given day. | Code Release | Complete | 8/17/2020-Test 8/17/2020- Prod | Statistics |
69 | Closed | N/A | For events unlinked for both Intrafirm and Interfirm, the error is only reflected in the Intrafirm Error count on the Reporting Summary page. | Code Release | Complete | 8/17/2020-Test 8/17/2020- Prod | Statistics |
70 | Closed | N/A | Few firms were not receiving Named Errors in linkage feedback files in preferred format. | Code Release | Complete | 8/17/2020-Test 8/17/2020- Prod | Interfirm Feedback |
71 | Closed | N/A | Named Exchange Errors (CBOE Exchange) to include firmID concatenated with firmSubId (8 character value) in sessionID in error feedback file. | Code Release | Complete | 9/28/2020- Test N/A- Prod | Linker Feedback |
72 | Closed | Multiple | Named TRF Errors includes blank value for issue symbol and an incorrect eventTimestamp format in error feedback file. | Code Release | Complete | 9/21/2020- Test N/A- Prod | Linker Feedback |
73 | Closed | 2007 | Unable to group repair Error Code 2007 (Missing or Invalid atsDisplayInd) when the CAT Reporter IMID is a non ATS firm. | Code Release | Complete | 9/21/2020- Test N/A- Prod | Reporter Portal |
74 | Closed | Multiple | FINRA CAT is resending TRF Linkage errors on subsequent processing dates. | Code Release | Complete | 10/9/2020- Test 10/9/2020- Prod | Linker Feedback Reporter Portal TRF Statistics |
75 | Closed | N/A | Reporting Summary Screen Export functionality and a display issue such that the IMIDs and corresponding counts are not aligned in the CSV export. This impact all statistics displayed on this screen. | Code Release | Complete | 10/26/2020- Test 10/26/2020- Prod | Reporter Portal |
76 | Closed | 9003 9004 7004 | FINRA CAT is generating Unlinked Error Codes for unlinked order modification events. These will be excluded from linkage feedback when a matching routed order ID is not found. | Code Release | Complete | 10/26/2020- Test 10/26/2020- Prod | Linker Feedback Reporter Portal |
77 | Closed | 6003 7004 | FINRA CAT is generating unlinked errors for equity routes to/accepts from options exchanges related to the equity leg of complex orders. These routes will be excluded from unlinked feedback. | Code Release | Complete | 10/26/2020- Test 10/26/2020- Prod | Linker Feedback |
78 | Closed | 7008 | FINRA CAT is returning blank values for equity symbol and option ID in unlinked named errors (Exchange linkages only). | Code Release | Complete | 10/26/2020- Test 10/26/2020- Prod | Linker Feedback Reporter Portal Error Search |
79 | Closed | 7008 | FINRA CAT is generating Named Unlinked Exchange errors where the new equity exchanges LTSE, MEMX and PEARLEQ are submitting Test symbols. Does not impact Compliance Error Rate. | Code Release | Complete | 10/26/2020- Test 10/26/2020- Prod | Linker Feedback |
80 | Closed | 2060 | Intraday additions of FLEX options received by FINRA CAT after 6 pm are added to the FINRA CAT Options list effective the next day resulting in rejections for events reported for the prior day. | Code Release | Complete | 10/31/2020- Test 10/31/2020- Prod | Reference Data Issue |
81 | Closed | 7004 5004 | FINRA CAT is generating unlinked named errors for exchange and TRF linkages in cases when the IM event occurred between 4:15pm and midnight and is not reported to CAT by 8am on the following business day. Does not impact Compliance Error Rate. | Code Release | Complete | 10/26/2020- Test 10/26/2020- Prod | Exchange Trade Linker Feedback |
82 | Closed | 6017 7018 6019 7020 | FINRA CAT is adding additional error codes to support Exchange Linkage: 6017 destination did not match 7018 Named – destination did not match 6019 receiverIMID did not match 7020 Named – receiverIMID did not match | Code Release | Complete | 11/10/2020- Test 11/10/2020- Prod | Exchange Linker Feedback |
83 | Closed | 4013 5014 | FINRA CAT is adding additional error codes to support TRF Linkage: 4013 CATReporterIMID did not match 5014 Named – CATReporterIMID did not match | Code Release | Complete | 11/10/2020- Test 11/10/2020- Prod | Trade Linker Feedback |
84 | Closed | 7004 | FINRA CAT is generating unlinked named errors for GTC order restatements on NASDAQ (Exchange linkages only). Does not impact Compliance Error Rate. | Code Release | Complete | 11/10/2020- Test 11/10/2020- Prod | Exchange Linker Feedback |
85 | Closed | 5004 | FINRA CAT is generating unlinked named errors on the 4th processing day for late submitted or corrected TRF trade reports (TRF linkages only). Does not impact Compliance Error Rate. | Code Release | Complete | 11/10/2020- Test 11/10/2020- Prod | Trade Linker Feedback |
86 | Closed | N/A | FINRA CAT is incorrectly providing Route/Accept unlinked feedback to small firms not required to report until 2d. | Code Release | Complete | 11/30/2020- Test 11/30/2020- Prod | Interfirm Exchange Trade Linker Feedback |
87 | Closed | 8003 8004 6003 7004 | FINRA CAT is generating Unlinked Error Codes for order events containing the handlingInstruction “SR”. These will be excluded from linkage feedback when a matching routed order ID is not found. | Code Release | Complete | 11/30/2020- Test 11/30/2020- Prod | Interfirm Exchange Linker Feedback |
88 | Closed | 7008 | FINRA CAT will include the OSI symbol in Exchange Named Errors in the linkage feedback files. | Code Release | Complete | 11/30/2020- Test 11/30/2020- Prod | Exchange Linker Feedback |
89 | Closed | N/A | On 3 days, some firms were unable to view the linker error feedback file via the Reporter Portal download functionality. | Code Release | Complete | N/A | Reporter Portal Download Feedback |
90 | Closed | N/A | FINRA CAT is incorrectly marking New Order Supplements as late that were submitted on a subsequent date to update an FDID of 'PENDING’. DeMinimis impact to Daily Compliance Rate and Report Cards. | Code Release | Complete | 12/1/2020- Test 12/14/2020-Prod | Statistics |
91 | Closed | 6000 Series | FINRA CAT is not generating Unlink Exchange Errors when dupROIDCond is set to true. | Code Release | Complete | 12/11/2020- Test 12/11/2020- Prod | Exchange Linker Feedback |
92 | Closed | 4003 | Unlink TRF Errors due to Late reported TRF events do not reconcile when the TRF Events get reported. | Code Release | Complete | 12/11/2020- Test 12/11/2020- Prod | Trade Linker Feedback |
93 | Closed | 8003 8004 9003 9004 | FINRA CAT will accept destinationType and senderType value of ‘O’ for route and accept events. Such events will be excluded from linkage feedback when routedOrderID is not found. Subsequent enhancement will enforce validation of allowable value ‘O’ only for events reported in OTC equity symbol of a foreign security. | Code Release | Complete | 12/1/2020- Test 12/14/2020- Prod | Interfirm Linkage Feedback |
94 | Closed | 6011 7012 | FINRA CAT is incorrectly reporting a “multiple mismatch” error instead of “routedOrderID mismatch” error in certain scenarios where the firm uses the same routedOrderID across symbols. | Code Release | Complete | 12/29/2020- Test 12/29/2020- Prod | Interfirm Exchange Trade Linker Feedback |
95 | Closed | 396 | Intra-Linkage Warning Code 396 (Incorrect timeInForce on related Primary event) is not yet implemented. | Code Release | Complete | 1/9/2021- Test 1/9/2021- Prod | Intrafirm |
96 | Closed | 5004 7004 8004 9004 | FINRA CAT is incorrectly removing from intervenue linkage route events for orders originated prior to Go-Live. | Code Release | Complete | 1/25/2021- Test 1/25/2021- Prod | Interfirm Exchange Trade Linker Feedback |
97 | Closed | 7004 | Named Errors related to exchange linkage are not reconciled when the CAT Reporter IMID and senderIMID are not the same on the late/corrected route. Does not impact Compliance Error Rate. | Code Release | Complete | 1/25/2021- Test 1/25/2021- Prod | Exchange Linkage Statistics |
98 | Closed | 3501 | FINRA CAT is not reconciling MEIM/MEIC unlinked errors that are corrected by a late reported/corrected/repaired secondary MEIR in instances where the Order ID remains the same. | Code Release | Complete | 2/8/2021- Test N/A- Prod | Intrafirm Reporting Statistics |
99 | Closed | 3505 | FINRA CAT is not reconciling unlinked electronic duplicate errors that are corrected by a late reported/corrected/repaired manual order. | Code Release | Complete | 2/8/2021- Test N/A- Prod | Intrafirm Reporting Statistics |
100 | Closed | N/A | Beginning with the 1/25/21 CAT Processing Date, Interfirm Unlinked Errors Corrections are not being properly reconciled when senderIMID and receiverIMID belong to the same firm and one side reported late. Repaired counts and Adjusted Unlinked Rate are impacted by this issue. | Code Release | Complete | 2a/2b: 2/14/2021- Test | Interfirm Exchange Trade Linker Feedback |
2c: 2/14/2021- Prod | |||||||
101 | Closed | N/A | On Processing Date 2/8/21, FINRA CAT generated duplicate interfirm linkage feedback in the production environment. As a result, outstanding interfirm linkage errors for 2/3/21 through 2/5/21 were double counted on 2/8/21 and displayed in linkage statistics and outstanding error files for those trade dates. The issue is expected to be corrected by 2/16/21. | Code Release | Complete | N/A- Test 2/16/2021- Prod | Interfirm Linker Feedback & Statistics |
102 | Closed | 8003 8004 9003 9004 | FINRA CAT is incorrectly generating interfirm unlinked errors for OTC equity securities when both sides report but the destinationType/ senderType don’t match. For example, destinationType= O and senderType= F. | Code Release | Complete | 2/8/2021- Test 2/8/20201- Prod | Interfirm Linker Feedback |
103 | Closed | 2081 | FINRA CAT is incorrectly rejecting a Quote Received event (MEQR) when receivedQuoteID is not populated. | Code Release | Complete | 2/21/2021- Test N/A- Prod | Ingestion Validations |
104 | Closed | 2176 | FINRA CAT is incorrectly accepting future dates in the tradeDate field in Allocation Events (MEPA, MEAA). | Code Release | Complete | 2/21/2021- Test N/A- Prod | Ingestion Validations |
105 | Closed | 2146 | FINRA CAT is incorrectly rejecting an Order Fulfillment Amendment Event (MEFA) when clientDetails is not populated. | Code Release | Complete | 2/21/2021- Test N/A- Prod | Ingestion Validations |
106 | Closed | N/A | Portal Error Correction is accepting values that have been removed from the 2c spec. Such records are subsequently rejected with Ingestion Feedback. | Code Release | Complete | 2/21/2021- Test N/A- Prod | Portal Correction |
107 | Closed | 2145 | FINRA CAT is incorrectly rejecting fulfillment events when fulfillmentLinkType is ‘YE’ and firmDetails are populated. | Code Release | Complete | 2/21/2021- Test N/A- Prod | Ingestion Validations |
108 | Closed | 2179 | FINRA CAT is not rejecting allocation events when allocationType is ‘DVPF’ and DVPCustodianID is not populated. Note that beginning February 21, 2021, new allowable values ‘FDVP’ and ‘FDVF’ will be available for use in test, and conditional check will be enhanced to include these values. | Code Release | Complete | 2/21/2021- Test N/A- Prod | Ingestion Validations |
109 | Closed | 2147 | Portal is not displaying Error Code 2147 (missing or invalid firmDetails) for an MEOFS event where firmDetails is a required field. Firms are getting accurate ingestion feedback. This Error Code will be added back to the Technical Specifications as well as be displayed on the reporter portal screen as a valid error code. | Code Release | Complete | 4/4/2021- Test N/A- Prod | Reporter Portal Error Summary Error Search |
110 | Closed | 3501 | FINRA CAT is incorrectly generating an unlinked error on T+4 on MEAA events when the parent MEPA is reported on a prior date. | Code Release | Complete | 3/29/2021- Test N/A- Prod | Linkage Feedback |
111 | Closed | 3601 | FINRA CAT is incorrectly generating an out of sequence error on a route event when the eventTimestamp on the MEOR is prior to the eventTimestamp on the parent MEIM. | Code Release | Complete | 3/29/2021- Test N/A- Prod | Linkage Feedback |
112 | Closed | 8003 8004 9003 9004 | FINRA CAT incorrectly generated route link key duplicate errors on 02/11, 02/16 and 02/23. As a result, 44 Industry Members received a limited number of incorrect interfirm linkage errors. Update: Three additional dates (03/05, 03/12 and 03/24) have been identified as impacted by this issue. | Code Release | Complete | N/A- Test 4/13/2021- Prod | Interfirm Linker Feedback |
113 | Closed | 3004 3007 | FINRA CAT is incorrectly generating an order key duplicate error when the key is duplicated between a primary MEOM and primary MEIM. | Code Release | Complete | 4/9/2021 - Test N/A - Prod | Linkage Feedback |
114 | Closed | N/A | FINRA CAT is incorrectly accepting invalid name/value in timeInForce of GTD/DAY. | Code Release | Complete | 1/25/2021 - Test 4/26/2021 -Prod | Ingestion Feedback & Statistics |
115 | Closed | N/A | The below values are not yet implemented:
| Code Release | Complete | 1/25/2021-Test 2/14/2021-Prod 2a/2b 4/26/2021-Prod 2c | Ingestion |
116 | Closed | 2133 | For Name/Value Pair Data type fields, providing a value that is not in allowable values list returns error code 2133 (Additional Field) instead of error code 2101 (Missing or Invalid timeInForce). | Code Release | Complete | March 2021-Test 2c 4/26/2021-Prod 2c | Ingestion Validations |
117 | Closed | Multiple | FINRA CAT is improperly suppressing interfirm unlinked errors for the equity leg of complex orders. The unlinked error should only be suppressed for the equity leg of complex orders routed to or from an options exchange. | Code Release | Complete | 4/26/2021 - Test 4/26/2021 - Prod | Interfirm Link Feedback |
118 | Closed | Multiple | Named Errors related to interfirm and exchange linkage are not reconciled in certain edge scenarios such as when a route/accept is rejected or has a linkage error due to mismatched senderIMID/receiverIMID. Does not impact Compliance Error Rate. | Code Release | Complete | 4/16/2021 - Test 4/26/2021 - Prod | Interfirm Exchange Linker Feedback |
119 | Closed | 3501 | FINRA CAT is incorrectly generating an out of sequence error on an internal route event when the eventTimestamp on the MEIR/MOIR is prior to the eventTimestamp on the parent MEOM/MEIM/MOOM/MOIM event. | Code Release | Complete | 4/26/2021 - Test 4/26/2021 - Prod | Linkage Feedback |
120 | Closed | 2044 | FINRA CAT is incorrectly rejecting records in instances where marketCenterID is populated and reportingExceptionCode is populated with a value of ‘C’. | Code Release | Complete | 5/10/2021 - Test 5/10/2021- Prod | Ingestion Feedback & Statistics |
121 | Closed | 2067 | FINRA CAT is incorrectly rejecting MEOE events in instances where orderType is ‘LMT’ and price is not populated. | Code Release | Complete | 5/10/2021 - Test 5/10/2021- Prod | Ingestion Feedback & Statistics |
122 | Closed | 2101 | FINRA CAT is incorrectly rejecting records in instances where timeInForce is populated with a weekend date for a GTX or a DAY order. | Code Release | Complete | 5/10/2021 - Test 5/10/2021- Prod | Ingestion Feedback & Statistics |
123 | Closed | 2177 | Change settlementDate field from Required to Conditional to facilitate reporting of allocations in “when-issued” and “when-distributed” securities. | Code Release | Complete | 5/10/2021 - Test 5/10/2021- Prod | Ingestion Feedback & Statistics |
124 | Closed | N/A | FINRA CAT is incorrectly displaying Option series ID on Error Search screen for Interfirm Named Errors. Linkage feedback files are not impacted by this issue. | Code Release | Complete | 5/7/2021 - Test 5/7/2021- Prod | Reporter Portal Error Search |
125 | Closed | 3501 | FINRA CAT is generating an incorrect intrafirm error when MEIM or MEIC reuses the order key from an MEOM or MEIM. | Code Release | Complete | 5/22/2021 - Test 5/22/2021- Prod | Intrafirm Linkage Feedback |
126 | Closed | 3505 | FINRA CAT is generating an incorrect intrafirm error when when an electronic duplicate event for a long-lived manual order is reported on a subsequent date. | Code Release | Complete | 5/22/2021 - Test 5/22/2021- Prod | Intrafirm Linkage Feedback |
127 | Closed | 6003 7004 8003 8004 9003 9004 | FINRA CAT is generating an incorrect unlinked error when the date portion of the Route Event timestamp is on a weekend and the date portion of the Accept/Modify Event timestamp is for the next business day. | Code Release | Complete | 6/21/2021 - Test 6/21/2021- Prod | Interfirm & Exchange Linkage Feedback |
128 | Closed | 3501 | Due to a Reference Data issue involving a corporate action for symbol IAC some incorrect linkage errors were generated the week of 5/25. The issue continues to impact open GTC Orders in IAC. | Code Release | Complete | 6/18/2021 - Test 6/18/2021- Prod | Intrafirm Linkage Feedback |
129 | Closed | 3504 | FINRA CAT is generating an incorrect parent not found error for representative orders originated to aggregate other representative orders. | Code Release | Complete | 8/10/2021 - Test 8/10/2021- Prod | Interfirm Linkage Feedback |
130 | Closed | Multiple | FINRA CAT is not generating unlinked named errors when the unlinked error is originated from an exchange modification event. | Code Release | Complete | 8/23/2021 - Test N/A- Prod | Exchange Linkage Feedback |
131 | Closed | 6003 | FINRA CAT is generating an incorrect unlinked error when the date portion of the Route Event timestamp is on a weekend and the date portion of the Modify Event timestamp is for the next business day. | Code Release | Complete | 9/24/2021 - Test 9/24/2021- Prod | Interfirm & Exchange Linkage Feedback |
132 | Closed | N/A | Multiple updates to the Industry Member Technical Specifications (2d) v4.0.0 r10 published on 8/2/21 and became effective on 10/11/21.
| Code Release | Complete | 10/11/2021 - Test N/A- Prod | IM Technical Specifications Update |
133 | Closed | N/A | Multiple updates to the Industry Member Technical Specifications (2d) v4.0.0 r11 published on 10/8/21 and became effective on 10/11/21.
| Code Release | Complete | 10/11/2021 - Test N/A- Prod | IM Technical Specifications Update |
134 | Closed | N/A | FINRA CAT is providing an incorrect feedbackVersion in the feedback metafile for linkage discovery errors. | Code Release | Complete | 9/24/2021-Test 2c 9/24/2021-Prod 2c 10/11/2021-Test 2d N/A-Prod 2d | Linker Feedback |
135 | Closed | 2110 | FINRA CAT is incorrectly rejecting side details with no orderID and orderKeyDate on MOOT event. | Code Release | Complete | 10/11/2021 - Test N/A- Prod | Ingestion Validations |
136 | Closed | 2145 | FINRA CAT is incorrectly accepting firmDetails with no orderID populated on Fulfillment and Fulfillment Amendment Events in instances when the fulfillmentLinkType is 'OML'. | Code Release | Complete | 10/11/2021 - Test N/A- Prod | Ingestion Validations |
137 | Closed | N/A | The 'ERP' handlingInstructions value is available in the Phase 2c Production Environment. Please note that the 'ERP' handlingInstructions value is not added to the Phase 2c Schema. | Code Release | Complete | N/A - Test 10/13/2021 - Prod | IM Technical Specifications Update |
138 | Closed | N/A | The following update to the Industry Member Technical Specifications (2d) v4.0.0 r10 published on 8/2/21 and became effective on 10/25/21.
| Code Release | Complete | 10/25/2021 - Test N/A - Prod | IM Technical Specifications Update |
139 | Closed | 8003 8004 9003 9004 4003 5004 | FINRA CAT is incorrectly generating an unlinked error for the first time on T+4 for previously linked events in scenarios when the two events that were initially linked occurred on two separate trade dates. For example, an order routed at 6 pm on one calendar day and is reported as accepted by the receiving firm at 8 am on the next calendar day. | Code Release | Complete | 10/24/2021 - Test 10/24/2021 - Prod | Interfirm & TRF Linker Feedback |
140 | Closed | N/A | FINRA CAT is incorrectly counting MEOMR events as eligible for interfirm linkage. Link eligible counts on Reporting Summary and Counterparty statistics are impacted by this issue. There is no impact to linkage feedback. | Code Release | Complete | 10/25/2021 - Test N/A - Prod | Interfirm Reporter Portal Statistics |
141 | Closed | N/A | The following updates to the Industry Member Technical Specifications (2d) v4.0.0 r11 were published on 10/8/21 and became effective on 11/15/21.
| Code Release | Complete | 11/15/2021 - Test N/A - Prod | IM Technical Specifications Update |
142 | Closed | 2023 | FINRA CAT is incorrectly rejecting MEMR, MOMR, and MLMR events when destinationType= ‘F’ and dupROIDCond is populated. | Code Release | Complete | 11/15/2021 - Test N/A - Prod | Ingestion Validations |
143 | Closed | 6021 6023 6025 6027 6029 | FINRA CAT is not displaying unlinked MOOT events in Reporting Summary and Counterparty Statistics screens. Linkage feedback is not impacted by this issue. | Code Release | Complete | 11/15/2021 - Test N/A - Prod | Reporter Portal Statistics |
144 | Closed | 2129 | FINRA CAT is incorrectly accepting firmDetails with no firmDesignatedID populated on Fulfillment and Fulfillment Amendment Events. | Code Release | Complete | 10/11/2021-Test 2c 10/11/2021-Prod 2c 10/11/2021-Test 2d 12/13/21-Prod 2d | Ingestion Validations |
145 | Closed | 2121 2122 | FINRA CAT is incorrectly accepting clientDetails with no orderID populated on Fulfillment and Fulfillment Amendment Events. | Code Release | Complete | 10/11/2021-Test 2c 10/11/2021-Prod 2c 10/11/2021-Test 2d 12/13/21-Prod 2d | Ingestion Validations |
146 | Closed | 2098 2060 | FINRA CAT is incorrectly rejecting allocation events when the symbol was effective on the tradeDate but not effective on the event date on the allocation event. | Code Release | Complete | 10/25/2021-Test 2d 12/13/21-Prod 2d | Ingestion Validations |
147 | Closed | 6003 | Industry Members are incorrectly receiving options exchange unlinked errors for subsequent day order modifications/ adjustments to long lived orders previously routed to the exchange. Options exchanges must report modifications in these instances. Nine firms impacted. | N/A | Complete | 12/13/2021-Test 12/13/21-Prod | Options Exchange Linker Feedback |
148 | Closed | 6003 7004 8003 8004 9003 9004 | FINRA CAT is generating an incorrect unlinked error when the date portion of the Route Event timestamp is on a weekend and the date portion of the Accept/Modify Event timestamp is for the next business day. | Code Release | Complete | 12/13/2021-Test 12/13/21-Prod | Interfirm & Exchange Linkage Feedback |
149 | Closed | 7000 series | FINRA CAT is not reconciling Exchange Named Errors when an Industry Member submits a repair/late data. | Code Release | Complete | 11/30/2021-Test 12/13/21-Prod | Exchange Linkage Feedback & Reporting Statistics |
150 | Closed | 2060 | Enhance OSI symbol validations to accept symbols that are on the CAT Reportable Securities list even if event date is prior to effective date. | Code Release | Complete | 9/20/2021-Test 2c 9/20/2021-Prod 2c 10/11/2021-Test 2d 12/13/21-Prod 2d | Ingestion Validations |
151 | Closed | 2101 | Accept, rather than reject, routes to a foreign destination when the date in the name/value pair for timeInForce values of ‘DAY’ and ‘GTX’ is T+2 to accommodate orders routed on a foreign holiday. | Code Release | Complete | 10/13/2021-Test 2c 10/13/2021-Prod 2c 10/11/2021-Test 2d 12/13/21-Prod 2d | Ingestion Validations |
152 | Closed | 9013 8003 8004 | FINRA CAT incorrectly generated duplicate quote route key errors on MEQR events and erroneous unlinked errors on MERQ events on 12/13/2021. | Code Release | High | 12/14/2021-Test 12/14/21-Prod | Interfirm Linkage Feedback |
153 | Closed | 6003 | FINRA CAT incorrectly generated unlinked exchange route errors from 12/13/2021 to 12/17/2021 for equity electronic cross orders due to erroneous route link key duplicate errors on exchange data. | Code Release | High | 12/20/2021-Test 12/20/21-Prod | Exchange Linkage Feedback |
154 | Closed | N/A | The following update to the Industry Member Technical Specifications (2d) v4.0.0 r12 was published on 12/20/21; however the updated guidance was communicated to the Industry on 11/10/21 for 2d reporting purposes:
| Code Release | Complete | 11/09/2021 - Test 12/13/21- Prod | IM Technical Specifications Update |
155 | Closed | N/A | The following updates to the Industry Member Technical Specifications (2d) v4.0.0 r12 were published on 12/20/21; however, the guidance was communicated to the industry for 2d reporting purposes on 12/7/21:
| Code Release | Complete | N/A - Test 12/13/21- Prod | IM Technical Specifications Update |
156 | Closed | N/A | The following updates to the Industry Member Technical Specifications (2d) v4.0.0 r12 were published on 12/20/21 and the effective date became 11/15/21
| Code Release | Complete | 11/15/2021 - Test 12/13/21- Prod | Ingestion Validations |
157 | Closed | Multiple | FINRA CAT did not provide TRF Unlinked Errors in linkage feedback for 12/13/2021 and 12/14/2021. | Code Release | Complete | 12/15/2021 | TRF Linkage Feedback |
158 | Closed | Multiple | FINRA CAT incorrectly generated MOOT Unlinked events in instances where the exchange side of the trade does not have order details on either side. | Code Release | Complete | 12/23/2021 | MOOT Linker Feedback |
159 | Closed | 3501 | FINRA CAT is incorrectly generating unlinked errors on the fourth pass when the MEQR and corresponding MEQC are reported on different event dates. | Code Release | Complete | 01/14/2022 | Intrafirm Linker Feedback |
160 | Closed | 3601 | FINRA CAT is incorrectly generating out of sequence errors for subsequent quote events in instances when the new quote events are reported with the same quote key. | Code Release | Complete | 01/14/2022 | Intrafirm Linker Feedback |
161 | Closed | 3501 | FINRA CAT is incorrectly generating Intrafirm parent not found errors on subsequent events in instances where a multi-leg order is split into a simple option or simple equity child order or internal route event. For example, an MLNO is followed by a MECO for a single equity leg; any subsequent event, such as a cancellation (MECOC), generates a parent not found error. | Code Release | Complete | 12/29/2021 | Intrafirm Linker Feedback |
162 | Closed | N/A | Change the data type of 'DLVT' handlingInstructions from Text to an Array. | Code Release | Complete | 2/07/2022 - Test 03/21/2022- Prod | IM Technical Specifications Update |
163 | Closed | Multiple | The following updates to the Industry Member Technical Specifications (2d) v4.0.0 r14 were published on 3/25/22 and the effective date became 3/21/2022: Added new error codes to reject Multi-Leg events
| Code Release | Complete | 02/07/2022 - Test 03/21/2022- Prod | IM Technical Specifications Update |
164 | Closed | 3501 | FINRA CAT is incorrectly generating Intrafirm parent not found errors on simple option or simple equity route modification and cancellation events that are associated with a multi-leg order. For example, an MLNO is followed by a MOOR for a single option leg; any modification (MOMR) or cancellation (MOCR) of this route generates a parent not found error. | Code Release | Complete | 2Q2022 | Intrafirm Linker Feedback |
165 | Closed | 6003 | FINRA CAT incorrectly generated unlinked errors on option route modify events due to missing session value on exchange events. This issue has been fixed as of 3/28/2022. Impact is limited to 4 days - 3/22/2022 through 3/25/2022. | Code Release Data Fix | Complete | 2Q2022 | Exchange Linker Feedback |
166 | Closed | 397 | Retire Intra-Firm linkage warning error code: 397 - Late Reported Event. | Code Release | Complete | 4/29/2022 - Test 5/16/2022- Prod | Intrafirm |
167 | Closed | N/A | Change to deliver Named Errors in the Test Environment only to CAT Reporters who report data to the Test Environment. | Code Release | Complete | 5/16/2022 - Test N/A- Prod | IM Technical Specifications Update |
168 | Closed | N/A | Multiple updates to the Industry Member Technical Specifications (2d) v4.0.0 r11 and v4.0.0 r14 published on 10/8/22 and 3/25/22, respectively, and became effective on 7/11/22:
| Code Release | Complete | 5/16/2022 - Test 7/11/2022 - Prod | IM Technical Specifications Update |
169 | Closed | 2095 2111 2118 2123 2128 | FINRA CAT is accepting incorrect values for side field. For example, a value of ‘SL’ for an option event or value of ‘B’ for sellDetails.side. | Code Release | Complete | 7/11/2022 - Test 7/11/2022 - Prod | Data Ingestion |
170 | Closed | Multiple | FINRA CAT is incorrectly generating unlinked errors on few Test Symbols that were incorrectly accepted in production. | Code Release | Complete | N/A - Test 7/11/2022 - Prod | Data Ingestion & Linkage |
171 | Closed | N/A | FINRA CAT is incorrectly requiring the firms to re-enter allocationKeyDate, tradeDate and side values on the Error Correction Screen for intrafirm errors on allocation events. | Code Release | Complete | 6/13/2022 - Test 6/13/2022 - Prod | Error Correction Reporter Portal |
172 | Closed | 2207 2156 | On the Error Correction Screen, FINRA CAT is incorrectly displaying the first field position as the field with the error for records that have multiple “retired” or “reserved for future use” fields. This is only a display issue. | Code Release | Complete | 8/1/2022 - Test 8/1/2022 - Prod | Error Correction Reporter Portal |
173 | Closed | 2227 2228 | Add the following error code to reject Trade events: Add the following error code to reject Order Fulfillment events: | Code Release | Complete | 7/11/2022 - Test 7/11/2022 - Prod | IM Technical Specifications Update |
174 | Closed | 6029 | FINRA CAT is erroneously generating ‘Duplicate Exchange Trade Linkage Key’ linkage errors for manual option trade (MOOT) events in certain cases when the same tapeTradeID is reported on multiple events by the same Industry Member. | Code Release | Complete | 9/19/2022 - Test 9/19/2022 - Prod | Linker Duplicate Validation |
175 | Closed | 2210 | FINRA CAT is accepting the following scenario instead of rejecting: a multi-leg event that has an underlying that is not valid on event date. | Code Release | Complete | 10/27/2022 - Test N/A - Prod | Validations |
176 | Closed | N/A | FINRA CAT is not including the totalRecordsCount in Data Ingestion Feedback files for CSV submissions. | Code Release | Complete | 10/27/2022 - Test N/A - Prod | Feedback |
177 | Closed | Multiple | FINRA CAT is incorrectly reporting inflated counts of FDID validation errors in Linkage Error Summary feedback files. This results in the feedback counts not matching the FDID statistics in the Reporting Summary. Reporting Summary counts are accurate. | Code Release | Complete | 11/02/2022 - Test N/A - Prod | Feedback |
178 | Closed | N/A | Industry Members are intermittently experiencing a delayed display of file submissions and status in the File statistics screen on the Reporter Portal. This issue does not impact file feedback files. | Code Release | Complete | 2022 | Reporter Portal |
179 | Closed | 2060 2098 | Industry Members are unable to see the error description on the individual records in Error Search screen when trying to repair an invalid symbol or optionID. This issue does not impact feedback and reporting statistics. | Code Release | Complete | 2022 | Reporter Portal |
180 | Closed | 9003 9004 | FINRA CAT is incorrectly generating an unlinked error for the first time on T+4 for previously linked events in scenarios when the two events that were initially linked occurred on two separate trade dates. For example, an order routed at 6 pm on one calendar day and modify is reported by the receiving firm on the next trading day. | Code Release | Complete | 2022 | Interfirm Linker Feedback |
181 | Closed | 6003 | FINRA CAT incorrectly generated unlinked errors on some exchange route events on 12/13/2021 for prior 3 days due to erroneous duplicate order key rejections on exchange data. | Code Release | Complete | 2/24/2022 | Exchange Linker Feedback |
182 | Closed | N/A | The following update to the Industry Member Technical Specifications (2d) v4.0.0 r16 was published on 7/29/22 and became effective on 12/5/22.
| Code Release | Complete | 10/3/2022 - Test 12/5/2022 - Prod | IM Technical Specifications Update |
183 | Closed | N/A | The following update to the Industry Member Technical Specifications (2d) v4.0.0 r12 was published on 12/20/21 and became effective on 12/5/22.
| Code Release | Complete | 10/3/2022 - Test 12/5/2022 - Prod | IM Technical Specifications Update |
184 | Closed | N/A | The following update to the Industry Member Technical Specifications (2d) v4.0.0 r16 was published on 7/29/22 and became effective on 12/5/22.
| Code Release | Complete | 10/3/2022 - Test 12/5/2022 - Prod | IM Technical Specifications Update |
185 | Closed | N/A | The following update to the Industry Member Technical Specifications (2d) v4.0.0 r16 was published on 7/29/22 and became effective on 12/5/22.
| Code Release | Complete | 10/3/2022 - Test 12/5/2022 - Prod | IM Technical Specifications Update |
186 | Closed | N/A | The following update to the Industry Member Technical Specifications (2d) v4.0.0 r16 was published on 7/29/22 and became effective on 12/5/22.
| Code Release | Complete | 10/3/2022 - Test 12/5/2022 - Prod | IM Technical Specifications Update |
187 | Closed | N/A | The following update to the Industry Member Technical Specifications (2d) v4.0.0 r16 was published on 7/29/22 and became effective on 12/5/22.
| Code Release | Complete | 10/3/2022 - Test 12/5/2022 - Prod | IM Technical Specifications Update |
188 | Closed | N/A | The following update to the Industry Member Technical Specifications (2d) v4.0.0 r16 was published on 7/29/22 and became effective on 12/5/22.
| Code Release | Complete | 10/3/2022 - Test 12/5/2022 - Prod | IM Technical Specifications Update |
189 | Closed | N/A | The following update to the Industry Member Technical Specifications (2d) v4.0.0 r16 was published on 7/29/22 and became effective on 12/5/22.
| Code Release | Complete | 10/3/2022 - Test 12/5/2022 - Prod | IM Technical Specifications Update |
190 | Closed | N/A | The following update to the Industry Member Technical Specifications (2d) v4.0.0 r16 was published on 7/29/22 and became effective on 12/5/22.
| Code Release | Complete | 10/3/2022 - Test 12/5/2022 - Prod | IM Technical Specifications Update |
191 | Closed | N/A | The following updates to the Industry Member Technical Specifications (2d) v4.0.0 r16 were published on 7/29/22 and became effective on 12/5/22.
| Code Release | Complete | 10/3/2022 - Test 12/5/2022 - Prod | IM Technical Specifications Update |
192 | Closed | N/A | File status screen is incorrectly displaying a blank integrity status in instances where the failure was due to a timeout or a duplicate file submission. | Code Release | Complete | 12/5/2022 - Test 12/5/2022 - Prod | Reporter Portal |
193 | Closed | N/A | Successful file delete submissions are incorrectly getting counted in the rejected files count in the statistics. Does not impact Compliance Error Rate. | Code Release | Complete | 12/5/2022 - Test 12/5/2022 - Prod | Statistics |
194 | Closed | N/A | The footer on the Reporting Summary page incorrectly indicates that FDID data is included starting November 2022. The footer will be removed. | Code Release | Complete | 12/5/2022 - Test 12/5/2022 - Prod | Reporter Portal |
195 | Closed | N/A | Between 9/10/22 and 12/7/22, repair credit was not given for linkage errors when a File Delete Instruction was submitted subsequent to the event date of the events in the file. | Code Release | Complete | 12/7/2022 - Prod | Linker |
196 | Closed | N/A | The following updates to the Industry Member Technical Specifications (2d) v4.0.0 r18 were published on 12/16/22 and became effective on 12/5/22.
| Code Release | Complete | 10/3/2022 - Test 12/5/2022 - Prod | IM Technical Specifications Update |
197 | Closed | N/A | User is unable to make a group repair for late reported events when the user tries to make the group repair by selecting the trade date filter. The functionality works when the user selects the process date filter. | Code Release | Complete | 01/9/2023 - Test 01/23/2023 - Prod | Reporter Portal |
198 | Closed | N/A | The following updates to the Industry Member Technical Specifications (2d) v4.0.0 r16 were published on 7/29/22 and became effective on 3/27/23. Make changes to support the IMs using FINRA ADF for posting quotes. 1. Add new event - MENQS - New Quote Supplement event. | Code Release | Complete | 03/6/2023 - Test 03/27/2023 - Prod | IM Technical Specifications Update |
199 | Closed | N/A | The following updates to the Industry Member Technical Specifications (2d) v4.0.0 r18 were published on 12/16/22 and became effective on 3/27/23. To support IMs using FINRA ADF, change firmDesignatedID and accountHolderType fields on MENQ event from Required to Conditional. | Code Release | Complete | 03/6/2023 - Test 03/27/2023 - Prod | IM Technical Specifications Update |
200 | Closed | 3501 3502 | FINRA CAT is incorrectly generating unlinked errors on the fourth pass (or first pass for long-lived quotes) when the primary and secondary events are reported on different event dates. | Code Release | Complete | 03/6/2023 - Test 03/27/2023 - Prod | Interfirm Exchange Trade Linker Feedback |
201 | Closed | N/A | The following updates to the Industry Member Technical Specifications (2d) v4.0.0 r19 were published on 4/11/23 and became effective on 7/24/23.
| Code Release | Complete | 06/5/2023 - Test 07/24/2023 - Prod | IM Technical Specifications Update |
202 | Closed | 6003 | FINRA CAT is incorrectly generating unlinked errors in instances where an exchange’s outbound routing broker reports an Order Modify Request from the exchange. | Code Release | Complete | 06/30/2023 - Test 06/30/2023 - Prod | Exchange Linker Feedback |
203 | Closed | 396 3501 | FINRA CAT is incorrectly generating warning and parent not found errors on secondary events in instances where the parent DAY order was subsequently modified to a GTC order. | Code Release | Complete | 03/24/2023 - Test 03/27/2023 - Prod | Intrafirm Linker Feedback |
204 | Closed | 7004 7006 7008 7010 7012 7018 7020 | FINRA CAT is incorrectly not generating named errors to IMs on day 2 on instances when forward errors are generated for early reported exchange events on day 2. For example, an aftermarket exchange accept which is early reported for day 1 will not generate the named error when the errors are generated to exchange on day 2. | Code Release | Complete | 09/09/2023 - Test 09/09/2023 - Prod | Exchange Linker Feedback |
205 | Closed | 8003 8004 9003 9004 | FINRA CAT is incorrectly generating an unlinked error for the first time on T+4 for previously linked events in scenarios when the two events that were initially linked occurred on two separate trade dates. For example, an order routed at 6 pm on one calendar day and is reported as accepted by the receiving firm at 8 am on the next calendar day. | Code Release | Complete | 09/09/2023 - Test 09/09/2023 - Prod | Interfirm Linker Feedback |
206 | Closed | 3501 | FINRA CAT is incorrectly generating unlinked errors on a subsequent processing date when the quote cancelled event (MEQC) is reported on a different event date than the new quote event (MENQ). | Code Release | Complete | 09/09/2023 - Test 09/09/2023 - Prod | Intrafirm Linker Feedback |
207 | Closed | 3021 | FINRA CAT is incorrectly rejecting allocation amendments as key duplicates when the amendments are reported on the subsequent day. | Code Release | Complete | 09/09/2023 - Test 09/09/2023 - Prod | Intrafirm Linker Feedback |
208 | Closed | N/A | The following update to the Industry Member Technical Specifications (2d) v4.0.0 r20 was published on 7/31/23 and became effective on 9/18/23.
| Code Release | Complete | 07/03/2023 - Test 09/18/2023 - Prod | IM Technical Specifications Update |
209 | Closed | 2045 | FINRA CAT is rejecting minQty value of '0' (zero) in the Test Environment. The requirement to populate a value greater than '0' (zero) is being removed, as outlined in the Planned Industry Member Technical Specifications Updates List. | Code Release | Complete | 10/23/2023 - Test N/A - Prod | Ingestion Validations |
210 | Closed | 9003 | FINRA CAT is not reconciling Interfirm linkage corrections when both events are reported outside of regular market hours and one of the events is reported late within the window (i.e., prior to T+4 8am). | Code Release | Complete | 1/17/2023 - Test 1/26/2024 - Prod | Interfirm Linker Feedback |
211 | Closed | N/A | The following updates to the Industry Member Technical Specifications (2d) v4.1.0 were published on 11/30/2023 and became effective on 2/5/2024. Auction-related handlingInstructions updates:
| Code Release | Complete | 1/22/2024 - Test 2/5/2024 - Prod | IM Technical Specifications Update |
212 | Closed | N/A | The following update to the Industry Member Technical Specifications (2d) v4.0.0r14 was published on 3/25/2022 and became effective on 2/26/2024.
| Code Release | Complete | 5/16/2022 - Test 2/26/2024 - Prod | IM Technical Specifications Update |
213 | Closed | N/A | The following updates to the Industry Member Technical Specifications (2d) v4.0.0r15 were published on 5/16/2022 and became effective on 2/26/2024.
| Code Release | Complete | 6/20/2022 - Test 2/26/2024 - Prod | IM Technical Specifications Update |
214 | Closed | N/A | The following update to the Industry Member Technical Specifications (2d) v4.0.0r18 was published on 12/16/2022 and became effective on 2/26/2024.
| Code Release | Complete | 1/10/2023 - Test 2/26/2024 - Prod | IM Technical Specifications Update |
215 | Closed | N/A | The following update to the Industry Member Technical Specifications (2d) v4.1.0 was published on 11/30/2023 and became effective on 7/1/2024.
| Code Release | Complete | 05/13/2024 - Test 07/01/2024 - Prod | IM Technical Specifications Update |
216 | Closed | N/A | The following update to the Industry Member Technical Specifications (2d) v4.1.0r2 was published on 03/28/2024 and became effective on 7/1/2024.
Indicates that the limit price provided in the price field is specified as a percentage of a benchmark price. For example, price=7.25 indicates that the limit price of the order is 7.25% of the closing price of the underlying security. This value will be Boolean. The Compliance date for CAT Reporting is 7/1/2024. | Code Release | Complete | 05/13/2024 - Test 07/01/2024 - Prod | IM Technical Specifications Update |
TF2024-03 | Closed | 2250 | FINRA CAT is incorrectly rejecting Multi-Leg Routed Quote events when quotePriceType is not populated. | Code Release | Complete | 6/3/24 - Test N/A - Prod | Ingestion Feedback |
TF2024-04 | Closed | 2091 | FINRA CAT is incorrectly rejecting Quote Received events when senderType is N or S and senderIMID is not populated. | Code Release | Complete | 6/3/24 - Test N/A - Prod | Ingestion Feedback |
TL2024-02 | Closed | 3503 | FINRA CAT is incorrectly not generating “parent not found” errors for the fulfillment events with fulfillmentLinkType values ‘YE’ and ‘FOR’ when the customer side of the fulfillment event does not link to a parent order. For example, when a customer MENO is not reported to CAT and the MEOF linking to the customer order is reported with fulfillmentLinkType of ‘YE’, the parent not found error is incorrectly not generated for the MEOF event. | Code Release | Complete | 06/2024 - Test 06/2024 - Prod | Intrafirm |
TL2024-03 | Closed | 5004 | FINRA CAT is incorrectly generating TRF named errors for reversals submitted to the TRF. | Code Release | Complete | 07/12/2024 - Test 07/12/2024 - Prod | Trade |
CAT Transaction Closed Planned Enhancements List
Last Updated: 08/21/2024
# | Status | Error Code | Summary | Resolution | Priority | Targeted Release Date | Area |
---|---|---|---|---|---|---|---|
1 | Closed | N/A | Increase Portal Display limitation for Linkage Errors from current display limitation of 10,000 errors to display up to 10,000 FDID Validation Errors and up to 10,000 other linkage errors per IMID and process date. If there are more than 10,000 errors per IMID and process date for either error category, no errors will be displayed for that category of errors. Go-Forward implementation starting on 4/8/2024 process date. | Code Release | Complete | 04/08/2024 - Test | Reporter Portal |