The list is the place to
Navigating The Process. implementers, software developers who maintain a version of the ACATS
ACVC 2.2 was released and used as ACATS 2.2. file), ACATS Modification List 2.6E (HTML
This version of the ACATS is version 3.0. file), ACATS Modification List 4.1M (HTML
file), ACATS Modification List 3.1BB (HTML
When the ACAA took over Ada conformity assessment,
file), ACATS Modification List 4.0M (HTML
file), ACATS Modification List 4.0E (HTML
file), ACATS Modification List 3.1AA
file), ACATS Modification List 3.1H (HTML
file), ACATS Modification List 3.1BB
file), ACATS Modification List 4.0G (HTML
file), ACATS Modification List 4.1E (HTML
Processor.
ZIP file (the file size is an estimate): ACATS41.ZIP (10228K) Compressed tar file (the file size is an estimate): acats_41.tar.Z (9947K) ACATS 3.1. file), ACATS Modification List 4.0C (HTML
file), ACATS Modification List 3.1S (HTML
file), ACATS Modification List 3.1L (HTML
file), ACATS Modification List 3.1G (HTML
to avoid confusion.
conventionally known as Ada 2005). (deleted) tests, modified (corrected) tests, and new tests. was replaced by ACATS 2.3 on April 1, 2000. Contact FINRA at 301-590-6500. with the Ada programming language standard (, The ACATS is an important part of the conformity
was replaced by ACATS 3.1 on April 1, 2014. Most transfers of customer accounts from one brokerage firm (the "carrying firm") to another (the "receiving firm") occur through the Automated Customer Account Transfer Service (ACATS), an electronic transfer system developed by the National Securities Clearing Corporation (NSCC) to automate and standardize the transfer of accounts.
from the Ada Information Clearinghouse (sponsored by the ARA). This version
as the ACVC prior to October 1998; the test suite documentation uses the
file), ACATS Modification List 3.1Q (HTML
The list is open to anyone with an interest in test
The 5A Report is a Surgical Summary Pie Chart which displays the number of patients waiting for surgery with an aCATS code and how many cases have been completed by percentage of in and out of window.
file), ACATS Modification List 2.6H (Text
In either case, a customer account transfer begins when a customer completes and submits a Transfer Initiation Form (TIF) to the receiving firm. The buy-in requirements under FINRA Rules 11810 and 11870 do not apply for the specified time period to securities identified on the DTC Master List of Inaccessible Certificates, provided that the member firm maintains a detailed record indicating the fail to deliver items related to the physical certificates identified on the DTC Master List of Inaccessible Certificates. to new language features defined in ISO/IEC 8652:1995/AMD 1:2007 (, The ACATS User's Guide describes the set of ACATS
The ACAA later released
FINRA, OGC (Word 2000 file), ACATS Development List 3devE (Text
file), ACATS Modification List 4.0A (HTML
File a complaint about fraud or unfair practices. The files here contain the entire
existing ACATS 3.1, and an associated set of test files. Compressed tar file (the file size is an estimate): The documentation is included in text and PDF forms.
This version was
Uniform Practice Code Rule 11870 requires a member to adopt specific measures to facilitate the portability of all transferable securities, including mutual fund shares. This report is used as a visual for surgeons and operational leadership. file), ACATS Modification List 4.1D (HTML
file), ACATS Modification List 4.0D (HTML
file), ACATS Modification List 4.1J (HTML
file), ACATS Development List 3devE
Note: 1. The Support directory contains support files used by multiple tests, including the
file), ACATS Modification List 3.1N (HTML
ACATS Modification List 4.1R (HTML
... ACATS Transfer Guide . file), ACATS Modification List 4.0H (HTML
(deleted) tests, modified (corrected) tests, and new tests. as the ACVC prior to October 1998; the test suite documentation uses the
http://archive.adaic.com/compilers/acvc/83acvc/, ACATS Modification List 4.1S (HTML
ACATS 4.0 development snapshots were provided to give the Ada community an
file), ACATS Modification List 4.1A (HTML
Once the transfer request is validated, the delivering firm will send a list of the assets in the account to the receiving firm via ACATS.
file), ACATS Modification List 4.1P (HTML
tests to be submitted as possible future ACATS Tests. Upon receiving a transfer instruction via ACATS, the carrying firm must either validate or take exception to the instruction within three business days.
Intra-firm account transfers must be conducted in a manner consistent with a member's obligation to observe high standards of commercial honor and just and equitable principles of trade. The documentation ("ACATS User's Guide") is included in HTML and PDF forms, or it can be accessed here in PDF or HTML. Receiving Firm Review.
They are formatted
FINRA operates the largest securities dispute resolution forum in the United States, Report a concern about FINRA at 888-700-0028. Negative response letters may be used for a bulk transfer of customer accounts to a broker-dealer that will provide certain trading services that have been discontinued by member, provided the letters contain the disclosures described in Notice to Members 02-57. was replaced by ACATS 2.2 on April 5, 1999.
like an ACATS Modification List as a list of changes to be made to the
Joint Program Office (AJPO). file), ACATS Modification List 3.1V (HTML
file), ACATS Modification List 4.1B (HTML
This version
Please see Interpreting the Rules for more information. Related: Broker Dealer Recruitment Disclosures – Complying with FINRA Rule 2273. The version of the ACVC current at the time (2.1)
file), ACATS Modification List 3.1J (HTML
file), ACATS Modification List 2.6D (HTML
file), Test Objective files (partial, Excel 2000). The ACATS User Guide, containing all the “basic” information about these transfers, is a 150 page PDF wall of text and diagrams, guaranteed to cure insomnia in all but the most passionate of brokerage engineers. The ACAA determined
Access ACATS user guides and NSCC file formats for the shortened cycle. Most files in the VCS are stored based on their prefixes. file), ACATS Modification List 4.1K (HTML
It was the first baseline version for the 2007 version of Ada (which is
file), ACATS Modification List 4.1N (HTML
file), ACATS Modification List 4.0L (HTML
It should be supplemented with additional training demonstrating how to use the ACATS application along with a thorough review of the ACATS User Guide, ACATS DTCC Web Portal User Guide, and ACATS Record Layouts.. file), ACATS Modification List 3.1D (HTML
This includes withdrawn
This site includes the official versions
Monday, February 24, 2020 is the first day of production. file), ACATS Modification List 3.1X (HTML
ACATS 3.0 development snapshots were provided to give the Ada community an
At times, investors transfer their securities accounts between broker-dealers. FINRA Rule 11870 governs the customer account transfer process. The ACATS is an important part of the conformity assessment process described in ISO/IEC-18009, Ada: Conformity of a Language Processor [ISO99] . aCATS Reports Guide - 10 Notes: found on the last page of the report: 01) Cases with multiple procedures are attributed to the primary or admitting surgeon providing care. (which have slashes after them, e.g. file), ACATS Modification List 4.1G (HTML
ACATS 3.0 was developed in stages during 2007. major release. (e.g., Ada Conformity Assessment Laboratories). Second sort is by Days to Target% In the Type list, select Full. was initially used as ACATS 2.1. announcements from the ACAA (such as the issuance of new ACATS Modication Lists,
Defense sponsored a similar conformity assessment process under the Ada
When it is not possible to use ACATS, either because the assets in the account are not transferable through ACATS, or because one or both of the parties to the transfer do not participate in ACATS, customer account transfers are handled manually. Report package, and the foundation files. changes and a few new tests. (Note that the ACATS was known
file), ACATS Modification List 4.1Q (HTML
The Ada Conformity Assessment Test Suite (ACATS)
The files here
The files here contain the entire test suite; use the, ACATS 2.3 is an old baseline version of the test suite. file), ACATS Modification List 3.1B (HTML
Requesting a Full ACATS Transfer. For instance, test
For updates and guidance related to COVID-19 / Coronavirus, click here. The formal procedures for conformity assessment are described in. file), ACATS Modification List 3.1AA (HTML
test suite; use the, ACATS 2.5 is an old baseline version of the test suite. file), ACATS Modification List 3.1F (HTML
including new and modified tests) and discussion about Ada Conformity Testing. The list contains
test suite; use the.
While there may be legitimate reasons why some transfers take longer than others, including the fact that some transfers cannot occur via ACATS, customers have the right to move their accounts freely, and should generally be able to expect that to happen quickly and efficiently.
The ACATS User's Guide is part of the ACATS and is distributed with the test programs and testing support packages. here to enter the version control system. 02) Sort order is by Scheduled/Preferred Surgery Date. file), ACATS Modification List 3.1K (HTML
The use of negative response letters to change the broker-dealer of record on a mutual fund or variable insurance product account held directly at the issuer. file), ACATS Modification List 3.1Y (HTML
file), ACATS Modification List 3.1E (HTML
To report on abuse or fraud in the industry, FinPro (The Financial Professional Gateway), Securities Industry Essentials Exam (SIE), Financial Industry Networking Directory (FIND), Broker Dealer Recruitment Disclosures – Complying with FINRA Rule 2273, 11870. To subscribe, send a message with the body text "Join ACAA" to, If you are interested in constructing potential ACATS Tests, join the ACATS Test
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