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 |