Code Set
OrderOriginationCodeSet
| ID | 1724 |
| Type | int |
| Pedigree | Added EP135, Updated EP222 |
Identifies the origin of the order.
| Name | Value | Synopsis | Elaboration | Pedigree |
|---|---|---|---|---|
| OrderReceivedFromCustomer | 1 | Order received from a customer | Added EP135 | |
| OrderReceivedFromWithinFirm | 2 | Order received from within the firm | Added EP135 | |
| OrderReceivedFromAnotherBrokerDealer | 3 | Order received from another broker-dealer | Added EP135 | |
| OrderReceivedFromCustomerOrWithFirm | 4 | Order received from a customer or originated from within the firm | Added EP135, Updated EP256 | |
| OrderReceivedFromDirectAccessCustomer | 5 | Order received from a direct access or sponsored access customer | Added EP222 | |
| OrderReceivedFromForeignDealerEquivalent | 6 | Order received from a foreign dealer equivalent | A foreign dealer equivalent is a person in the business of trading securities in a foreign jurisdiction in a manner analogous to an investment dealer and that is subject to the regulatory jurisdiction of a signatory to the International Organization of Securities Commissions’ (IOSCO) Multilateral Memorandum of Understanding in that foreign jurisdiction. | Added EP256, Updated EP294 |
| OrderReceivedFromExecutionOnlyService | 7 | Order received from an execution-only service | The acceptance and execution of orders from customers for trades that the broker-dealer has not recommended and for which the broker-dealer takes no responsibility as to the appropriateness or suitability of orders accepted or account positions held. | Added EP256 |
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Used in groups:
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