Planned LTID Phase Technical Specification Update
Last Updated: 4/13/2021
| # | Status | Summary | Publish Date | Spec Version |
|---|---|---|---|---|
| 1 | Open |
Clarify FDID rules and character handling after conversion from Alphanumeric to Text data type |
April 2021 | 1.2r2 |
| 2 | Open | Clarify that both Submitters and CAT Reporter Firms will have access to the Feedback File when the Submitter is submitting on behalf of another firm | April 2021 | 1.2r2 |
| 3 | Open | Revise the statement in Section 6.1.1 - Feedback Generation - to reflect the current feedback file versioning approach. | April 2021 | 1.2r2 |
Planned Full CAIS Technical Specification Update
Last Updated: 4/13/2021
| # | Status | Summary | Publish Date | Spec Version |
|---|---|---|---|---|
| 1 | Open | Clarify FDID rules and character handling after conversion from Alphanumeric to Text data type | April 2021 | 2.0r2 |
| 2 | Open | Clarify that both Submitters and CAT Reporter Firms will have access to the Feedback File when the Submitter is submitting on behalf of another firm | April 2021 | 2.0r2 |
| 3 | Open | Revise the statement in Section 6.1.1 - Feedback Generation - to reflect the current feedback file versioning approach. | April 2021 | 2.0r2 |
| 4 | Open | Update description for the bankDepositoryID and primeBrokerID attributes to note they are only required when the accountType attribute contains a value of DVP/RVP | April 2021 | 2.0r2 |
| 5 | Open | Change the bankDepositoryID, primeBrokerID, and clearingBrokerID to be Array type attributes rather than Alphanumeric, allowing a firm to report multiple values for a single FDID record | April 2021 | 2.0r2 |
| 6 | Open | Incorporate the changes to validations that compare FDID dates to the LTID dates of associated LTIDs from the LTID Phase specification update | April 2021 | 2.0r2 |
| 7 | Open | Add correspondentCRD attribute to the Main JSON Object Level, allowing firms to denote reporting of customer and account data of a correspondent introducing broker firm | April 2021 | 2.0r2 |
| 8 | Open | Change approach to submissions, to allow reporting of a single customer record in a single submission record with differing data | April 2021 | 2.0r2 |
| 9 | Open | Remove Material and Minor Inconsistency against First Name and Last Name of Natural Person CAT Customers | April 2021 | 2.0r2 |