Skip to main content

Report Card: Transaction Open Issues List

Last Updated: 7/22/2021

# Summary Impact Scope Impacted Dates Resolution Target Resolution Date
1 Repairs not reflected in very limited cases. Error rate is overstated De minimis impact to overall compliance error rate  July - present Go-forward fix TBD
2 Unique ROE IDs that are unlinked for multiple reasons on different processing dates are improperly counted once per processing date.
Please note unique ROE IDs that are unlinked for multiple reasons on the same processing date are correctly counted once.
Error rate is overstated De minimis impact to overall compliance error rate August - present Go-forward fix TBD

 

Report Card: Transaction Closed Issues List

Last Updated: 7/22/2021

# Summary Impact Scope Impacted Dates Resolution Target Resolution Date
1 Improperly excluding counts for events occurring on the first trade day of a month, and reported early, such that the event was received on the last processing date of the prior month. For example, event occurs on 12/1/2020 at 5am, and is reported to CAT on 12/1/2020 before 8am, which is the processing date for CAT Trading Day of 11/30/2020. Events and any related errors are excluded from the report card. De minimis impact to overall compliance error rate  July 2020 - March 2021 Data Fix March 2021