Market Conduct Annual Statement Validation Exception Report

The MCAS Validation Exceptions report provides information regarding errors related to a company's Market Conduct Annual Statement filing. Users may select an individual company to review any validation exceptions associated with that filing.  At present, only consistency (AKA  "crosscheck") validations are reported.

Validations are stored on multiple filing types, including:

• Original - Validation exceptions that existed on the original filing. 
• Current - Validation exceptions that currently exist on the database.
• Amended - Validation exceptions associated with a complete refiling of the MCAS data. 
• All Types - All Types reflects validation exceptions that exist for all of the above file types.

Filing Set allows the user to select validation exceptions for a particular data set or line of business. MCAS Validation exceptions may be sorted by filing period, filing set, or table name.  To access MCAS Validation Exceptions:

To View MCAS Validation Exception reports using the iSite+ Report Categories  

Search for an entity or entities by performing a Company/Firm Search.

1. Check entity/entities on which to report from those in the Company List box.
2. Select the Market Conduct Annual Statement category from the Categories Screen.
3. Click on the MCAS Validation Exception link.
4. Select the desired options for the report from the drop-down lists on the MCAS Validation Exceptions Criteria page. See above for definitions of the available selection criteria.
5. Click the Submit button to generate the report. The MCAS Validation Exceptions Report page will display based on the criteria selected.
6. To print the MCAS Validation Exceptions Report or to save it to your computer, select the appropriate command from the File menu at the top of the window.
7. To close the MCAS Validation Exceptions Report, click the close (X) button in the upper right corner of the report window or select the Close option from the File menu at the top of the window.