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Planned Full CAIS Technical Specification Updates

​Last Updated: 11/22/2022

# Status Summary Publish Date Spec Version Effective Date Test Effective Date Prod/Prod Mirror
1 Published Add a new fdidEndReason value of 'INACTIVE' as option to end FDIDs that have had no CAT-reportable activity events (e.g., MENO, MEOR, MEOT, etc.) associated with the Account in the prior six months. For the purposes of periodic refresh requirements, monthly refresh report excludes any FDID with an fdidEndReason of 'INACTIVE' populated and an fdidEndDate set on or before the date of the report. 3/9/2022 2.0 r7

TBD

TBD
2 Open Update the description of Error Code 22523 – Customer Record rejected because an associated FDID was rejected – to include that the Error Code is also returned in the event the Customer Record is not associated to at least one FDID within the submission file. TBD 2.0 r10 N/A N/A
3 Open Update the October 11, 2022 date in the description of the role value of ‘AUTH3RD’ to be consistent with revised FAQ T7. Specifically, prior to June 12, 2023, this role may be used when the Industry Member itself has authority to place orders for the Account without prior approval of the account holder(s) and is not the holder of the account. Effective June 12, 2023, the role for the Industry Member must be reported as ‘AUTHREP’. TBD 2.0 r10 N/A N/A
4 Open Clarify the description of the customerType value of ‘RIC’- Customer is a Registered Investment Company, as defined in the Investment  Company Act of 1940 (15 U.S.C. § 80a–3(a)(1)), if maintained in the Industry Member’s general customer and account records. TBD 2.0 r10 N/A N/A
5 Open Update the definition of the sentinel file for the Nightly Inconsistencies scans to remove the .bz2 compression. The sentinel file does not contain any significant data and does not require the compression. TBD 2.0 r10 N/A N/A
6 Open Clarify that a total of 2,000 Customer Records can currently be associated with an FDID Record. Create additional Error Code for more granularity on this validation, currently feedback provided under Error Code 23999 (Unhandled Exception). TBD 2.0 r10 7/31/2022 8/8/2022
7 Open Update the Table 17 and Table 18 entries for the file status of COMPLETED_FILE_TIMEOUT to include the status is also returned in the CAIS Data Feedback or TIDS Feedback files in the event the paired file is received but reaches a COMPLETED_INTEGRITY_ERROR state. TBD 2.0 r10 N/A N/A
8 Open Clarify that the nightly inconsistencies scan feedback for Material Inconsistencies where the Industry Member is Impacted by submissions of another Industry Member is provided to the Impacted Industry Member no later than 8AM ET each processing day. TBD 2.0 r10 N/A N/A
9 Open Remove error code 22066 (roleStartDate set prior to fdidDate). TBD 2.0 r10 7/31/2022 8/8/2022
10 Open Add warning code 24008 (Data Type Violation within correctionList) – present in LTID Specification but was not copied over to Full CAIS Specifications. TBD 2.0 r10 N/A N/A
11 Open Update Table 19 to clarify that updateNotifications is a Main JSON Object. TBD 2.0 r10 N/A N/A
12 Open Update Table 17 to clarify that correspondentCRD is only populated in the feedback file when correspondentCRD is populated in the submission file.  TBD 2.0 r10 N/A N/A
13 Open Update Table 17 to clarify that the data type for addrType is Choice rather than Text (2). TBD 2.0 r10 N/A N/A
14 Open
  • Table 17: Update the statusHistory to include COMPLETED_INTEGRITY_ERROR and INCOMPLETE_PROCESSING FAILURE. 
  • Table 18: Update statusHistory to include COMPLETED_FILE_TIMEOUT and INCOMPLETE_PROCESSING_FAILURE. 
  • Table 19: Update submissionStatus to include COMPLETED_WITH_REJECTIONS, COMPLETED_WITHOUT_REJECTIONS, and CANCELLED_BY_SUPPORT, as well as remove COMPLETED. Note: the submissionStatus attribute is slated for removal from the Submission Inconsistencies Feedback File in the future (effective date is TBD).
TBD 2.0 r10 N/A N/A
15 Open Clarify the description of customerType value of ‘BD’ - Customer is a US registered Broker/Dealer, if maintained in the Industry Member’s general customer and account records. Effective July 11, 2023, ‘BD’ must be populated for all US registered Broker/Dealer customer types, including for broker-dealer Customers that were not identified as ‘BD’ prior to July 11, 2023. TBD 2.0 r10 N/A N/A

 

*Planned Technical Specification Updates are subject to approval by the CAT NMS Plan Operating Committee.