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CAT Transaction Open Issues List (By Type)

Type: File Submission and Data Integrity

​Last Updated: 1/12/2021

 # Status Error Code Summary Resolution Priority Test Environment Targeted Release Date/Workaround Production Environment Targeted Release Date/Workaround Area
1 Open 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

Low 2Q 2021 2Q 2021 Statistics
2 Open N/A FINRA CAT is incorrectly accepting timeInForce of GTD without a valid date. Code Release Medium

2c only: 1/25/2021

2c only: 4/26/2021 Ingestion Feedback & Statistics
3

Open

N/A FINRA CAT did not recognize the early close and improperly marked as late, events that occurred between 1:15 and 4:15 pm ET and were reported by 8 am ET on the next CAT Trading Day. Impact is limited to two days -11/27/2020 & 12/24/2020. Code Release Low

2021

2021 Statistics
4 Open N/A The below values are not yet implemented:
  • handlingInstructions values ‘TTF’, ‘TTO’, and ‘TTS’. 
Code Release
 
Medium

2a/2b: 1/25/2021

2a/2b: 2/14/2021 Ingestion
2c: 1/25/2021 2c: 4/26/2021

 

Type: Intrafirm, Interfirm, Exchange and TRF Linkage

​Last Updated: 1/12/2021

 # Status Error Code Summary Resolution Priority Test Environment Targeted Release Date/Workaround Production Environment Targeted Release Date/Workaround Area
1 Open N/A Parent not found 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 Currently evaluating alternative approach Currently evaluating alternative approach 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 1Q 2021 1Q 2021 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 Medium 1Q 2021 1Q 2021 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 two days -11/27/2020 & 12/24/2020. Code Release Low 2021 2021 Interfirm
Exchange 
Trade
Linker Feedback
5 Open

5004 7004 8004 9004

 

FINRA CAT is incorrectly removing from intervenue linkage route events for orders originated prior to Go-Live.  Code Release Medium

1/25/2021

1/25/2021 Interfirm
Exchange
Trade
Linker Feedback
6

Open

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 Medium 2a/2b: 2/8/2021 2a/2b: 2/8/2021 Interfirm
Linker Feedback
2c: 2/8/2021 2c: 4/26/202
7 NEW- Open 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 Medium 1/25/2021 1/25/2021 Exchange
Linkage Statistics

 

CAT Transaction Planned Enhancements List

​Last Updated: 1/12/2021

 # Status Error Code Summary Resolution Priority Test Environment Targeted Release Date/Workaround Production Environment Targeted Release Date/Workaround Area
1 Open 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

Low 2c only: March 2021 2c only: 4/26/2021 Ingestion Validations
2 Open 2122 Incorrect error code is generated when an array field (e.g., clientDetails) is provided as a Name/Value pair.

Code Release

Low To be scheduled To be scheduled Ingestion Validations
3 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 To be scheduled To be scheduled Ingestion Validations

CAT Transaction Closed Issues List

​Last Updated: 1/12/2021