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Planned LTID Phase Technical Specification Update

​Last Updated: 7/20/2021

 # Status Summary Publish Date Spec Version
1 Open

Clarify that malformed LTID can be corrected by sending the same FDID with corrected LTID entry - does NOT require correctionAction message              

July 2021 V1.2.3

 

Planned Full CAIS Technical Specification Update

​Last Updated: 7/20/2021

 # Status Summary Publish Date Spec Version
1 Open Clarify that IF an SSN/ITIN/EIN is available for use as an Input Identifier for TID generation, it must be used even if other Foreign identifiers are also present July 2021

2.0r4

2 Open Clarify that malformed LTID can be corrected by sending the same FDID with corrected LTID entry - does NOT require correctionAction message July 2021 2.0r4
3 Open Update Inconsistencies Feedback File Name schema (§7.1.1) to include Submitter ID July 2021 2.0r4
4 Open Update the Description for the 'ADVISER' customertype to be consistent with FAQ Q47 July 2021 2.0r4
5 Open Modify the regionCode and postalCode reporting lists in Appendix E to remove the lists for countries other than the United States and Canada. For regions outside of the United States and Canada, regionCode and postalCode fields will be a text field and ISO 3166-2 format validations not enforced July 2021 2.0r4
6 Open Clarify definition of customerType value of ‘EMPLOYEE’ to note “associated person” as defined in Section 3(a)(18) of the Securities Exchange Act of 1934 July 2021 2.0r4
7 Open Include a new conditional field for DBA (Doing Business As) July 2021 2.0r4
8 Open Clarify the guidance on acceptable foreignTIDType for Natural Person and Legal Entity CAT Customer types July 2021 2.0r4
9 Open

Expand accountName attribute to allow up to 180 characters instead of current 40

July 2021 2.0r4
10 Open Update the branchOfficeCRD field to be Conditional rather than required and clarify description July 2021 2.0r4