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CAT Transaction Open Issues List (By Type)

Type: Production Environment File Submission and Data Integrity

​Last Updated: 7/14/2021

 # 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 New-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 New-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 New-Open 2129 FINRA CAT is incorrectly accepting firmDetails with no firmDesignatedID populated on Fulfillment and Fulfillment Amendment Events. Code Release Low To be scheduled To be scheduled Ingestion Validations
6 New-Open

2121
2122

FINRA CAT is incorrectly accepting clientDetails with no orderID populated on Fulfillment and Fulfillment Amendment Events. Code Release Low To be scheduled To be scheduled Ingestion Validations
7 New-Open

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 Medium To be scheduled To be scheduled Ingestion Validations

 

Type: Production Environment Intrafirm, Interfirm, Exchange and TRF Linkage

​Last Updated: 7/14/2021

 # Status Error Code Summary Resolution Priority Test Environment Targeted Release Date/Workaround Production Environment Targeted Release Date/Workaround Area
1 Open 3504 FINRA CAT is generating an incorrect parent not found error for representative orders originated to aggregate other representative orders. Code Release  Medium Update: 8/2/20121 Update: 8/2/2021 Intrafirm Linkage Feedback
2 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 Update: Currently evaluating alternative approach Update: Currently evaluating alternative approach Error Summary & Error Search
Reporter Portal
3 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
4 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
Note that this issue only impacts Options Intravenue Exchange Errors

Update: 2021
Note that this issue only impacts Options Intravenue Exchange Errors

Intrafirm Linker Feedback & Statistics
5 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
6  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 Update: 2Q 2022 Update: 2Q 2022 Intrafirm 
Linker Feedback
7 Updated-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 Update: 3Q 2021 Update: 3Q 2021 Interfirm & TRF 
Linker Feedback
8 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: 7/14/2021

 # 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 New-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 To be scheduled To be scheduled Ingestion Validations
4 New-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 To be scheduled To be scheduled Ingestion Validations

 

CAT Transaction Closed Issues List

​Last Updated: 7/14/2021

 # 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 3/23/2020
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
Feedback

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
4/30/2020-Test
5/4/2020- Prod
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:

  • handlingInstructions values ‘TTF’, ‘TTO’, and ‘TTS’. 
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