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CAT Transaction Open Issues List (By Type)

Type: File Submission and Data Integrity

​Last Updated: 10/27/2020

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

Medium 4Q 2020 4Q 2020 Statistics
2 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 To be scheduled To be scheduled Statistics
3 Open N/A FINRA CAT is incorrectly accepting timeInForce of GTD without a valid date. Code Release Medium

4Q 2020

4Q 2020 Ingestion Feedback & Statistics
4 Open 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 Low 10/31/2020 10/31/2020 Reference Data Issue

 

Type: Intrafirm

​Last Updated: 10/27/2020

 # 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 Solution and/or Workaround to be provided no later than October 26, 2020 Solution and/or Workaround to be provided no later than October 26, 2020 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 4Q 2020 4Q 2020 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 4Q 2020 4Q 2020 Linker Feedback & Statistics

 

Type: Interfirm

​Last Updated: 10/27/2020

 # Status Error Code Summary Resolution Priority Test Environment Targeted Release Date/Workaround Production Environment Targeted Release Date/Workaround Area
1 Open N/A FINRA CAT is incorrectly providing Route/Accept unlinked feedback to small firms not required to report until 2d. Code Release Medium 11/10/2020 11/10/2020 Linker Feedback
2     Open 8003 8004 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 Medium To be scheduled To be scheduled Linker Feedback

 

Type: Exchange/TRF

​Last Updated: 10/27/2020

 # Status Type Error Code Summary Resolution Priority Test Environment Targeted Release Date/Workaround Production Environment Targeted Release Date/Workaround Area
1 Open Exchange/TRF 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 Medium 11/10/2020 11/10/2020 Linker Feedback
2 Open Exchange/TRF 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
Code Release Medium 11/10/2020 11/10/2020 Linker Feedback
3 Open Exchange/TRF 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 Medium 11/10/2020 11/10/2020 Linker Feedback
4  Open Exchange/TRF 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 High 11/10/2020 11/10/2020 Linker Feedback
5 Open Exchange/TRF 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 High 11/10/2020 11/10/2020 Linker Feedback
6 Open Exchange/TRF N/A 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 Solution and/or
Workaround to be provided
no later than October 26,
2020
Solution and/or
Workaround to be provided
no later than October 26,
2020
Reporter Portal

 

CAT Transaction Planned Enhancements List

​Last Updated: 10/27/2020

 # 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 To be scheduled To be scheduled 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: 10/27/2020