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Planned Full CAIS Technical Specification Update

​Last Updated: 06/27/2022

# Status Summary Publish Date Spec Version Effective Date Test Effective Date Prod
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


2  Published Add an additional foreignTIDType value of an other government assigned identifier (“OTHGOVT”) that is known to have been assigned by a non-national level government entity, such as a local government entity. The OTHGOVT foreignTIDType will be added as the last entry in the Foreign TID Type hierarchy, after “DRIVERLICENSE,” and will be usable for both Natural Person and Legal Entity CAT Customers. 4/8/2022 2.0 r8 6/27/2022 7/1/2022
3 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
4 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 January 16, 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 January 16, 2023, the role for the Industry Member must be reported as ‘AUTHREP’.  TBD 2.0 r10 N/A N/A
5 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
6 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
7 Open Clarify that a total of 100 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 N/A N/A
8 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
9 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
10 Open Remove submissionStatus from Submission Inconsistencies Feedback File.  TBD 2.0 r10 TBD TBD


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