CAT Transaction Open Issues List (By Type)
Type: Production Environment File Submission and Data Integrity
Last Updated: 10/14/2021
| # | 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 | 2021 | 2021 | Statistics |
| 2 |
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 as late events. Impact is limited to two days -11/27/2020 & 12/24/2020. | Code Release | Low |
2021 |
2021 | Statistics |
| 3 | Open | N/A | File statistics 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 | Low | 2021 | 2021 | Reporter Portal |
| 4 | Open | 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 | Low | 2021 | 2021 | Reporter Portal |
| 5 | Open | 2129 | FINRA CAT is incorrectly accepting firmDetails with no firmDesignatedID populated on Fulfillment and Fulfillment Amendment Events. | Code Release | Low |
2c: 10/11/2021 2d:10/11/2021 |
2c: 10/11/2021 2d: 12/13/2021 |
Ingestion Validations |
| 6 | Open |
2121 |
FINRA CAT is incorrectly accepting clientDetails with no orderID populated on Fulfillment and Fulfillment Amendment Events. | Code Release | Low |
2c: 10/11/2021 2d:10/11/2021 |
2c: 10/11/2021 2d: 12/13/2021 |
Ingestion Validations |
| 7 | Open |
2098 |
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 | Medium |
2d Only Change 2d:10/25/2021 |
2d Only Change 2d: 12/13/2021 |
Ingestion Validations |
Type: Production Environment Intrafirm, Interfirm, Exchange and TRF Linkage
Last Updated: 10/14/2021
| # | 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 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 | Update: Currently evaluating alternative approach | Update: 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 | Update: 1Q 2022 | Update 1Q 2022 | 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 |
Update: 2021 |
Update: 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 | 396 | FINRA CAT is incorrectly generating warning errors on secondary events in instances where the parent DAY order was subsequently modified to a GTC order. | Code Release | Medium | 2Q 2022 | 2Q 2022 | Intrafirm Linker Feedback |
| 6 | Open | 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 | Medium | 10/24/2021 | 10/24/2021 | Interfirm & TRF Linker Feedback |
| 7 | Open | 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 | Medium | 3Q 2021 | 3Q 2021 | Options Exchange Linker Feedback |
Type: Production Environment CAT Transaction Planned Enhancements List
Last Updated: 10/14/2021
| # | Status | Error Code | Summary | Resolution | Priority | Test Environment Targeted Release Date/Workaround | Production Environment 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 | To be scheduled | To be scheduled | 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 | To be scheduled | To be scheduled | Ingestion Validations |
| 3 | Open | 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 | Low |
2c: 9/20/2021 2d: 10/11/2021 |
2c: 9/20/2021 2d: 12/13/2021 |
Ingestion Validations |
| 4 | Open | 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 | Low |
Update 2c: 10/13/2021 2d: 10/11/2021 |
2c: 10/13/2021 2d: 12/13/2021 |
Ingestion Validations |
Type: Testing Environment File Submission and Data Integrity
Last Updated: 10/14/2021
| # | Status | Error Code | Summary | Resolution | Priority | Test Environment Targeted Release Date/Workaround | Production Environment Targeted Release Date/Workaround | Area |
|---|---|---|---|---|---|---|---|---|
| 1 | New - Open | 2023 | FINRA CAT is incorrectly rejecting MEMR, MOMR, and MLMR events when destinationType= ‘F’ and dupROIDCond is populated. |
Code Release |
Medium | 11/29/2021 | Not Applicable | Ingestion Validations |
Type: Testing Environment Intrafirm, Interfirm, Exchange and TRF Linkage
Last Updated: 10/14/2021
| # | Status | Error Code | Summary | Resolution | Priority | Test Environment Targeted Release Date/Workaround | Production Environment Targeted Release Date/Workaround | Area |
|---|---|---|---|---|---|---|---|---|
| N/A as of 10/14/2021 |
CAT Transaction Closed Issues List
Last Updated: 10/14/2021
| # | 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 |
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 |