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FINRA CAT4.0.0-r18

Represents the type of beneficial owner of the account for which an order was received or originated, or to which the shares/contracts are allocated.

Indicates whether the event is a new event, a correction, a repair or a record level deletion.

Indicates if the order is being routed to an affiliate or received from an affiliate of the Industry Member.

Indicates the type of allocation being made. Refer to FAQ U26 for additional information.

ATS only field. Indicates if the order is displayed outside of the ATS to subscribers only, or via publicly disseminated quotation data.

Represents instances when a trade was cancelled because the trade was rejected by the TRF/ADF/ORF, when a trade executed in a foreign market was cancelled, or when a customer/client fulfillment is cancelled. In such instances, set to ‘true’.

Specifies the capacity in which the Industry Member acted.

Indicates if a customer/client has instructed that a limit order must not be displayed or that a block size order must be displayed contrary to what is required by SEC Rule 604 or FINRA’s Customer Limit Order Display Rule.

Represents the internal department, unit or desk originating or accepting the order.

Indicates whether the destination of the route is an Industry Member, an exchange or a foreign broker-dealer.

On Order Route events and Route Modified events, indicates when a modification to an order previously routed to a national securities exchange requires the use of the original routedOrderID.

On New Quote and Quote Received events, indicates when the quote event maintains the same routedQuoteID.

Indicates whether the event is a duplicative electronic message of a manual event. Must be present if true.

The SRO-assigned identifier of the Exchange to which an order was routed.

Specifies the type of the fulfillment. Refer to Appendix C for additional information on Representative Order linkage requirements.

Indicates who initiated a cancel or modification request. If an order is modified or cancelled based on an implicit customer/client instruction, then the initiator field must be populated with a value of ‘F’. Refer to CAT FAQ B63 for additional information.

Indicates if the account meets the definition of institution under FINRA Rule 4512(c).

Indicates the order was an Intermarket Sweep Order

The primary listing exchange of the instrument.

Indicates whether an order was received or handled manually.

For equities MEOT events, the national securities exchange or transaction reporting system operated by a registered securities association where the trade was reported.

For options MOOT events, the options exchange where the trade occurred.

Market Participant Status Code - indicates if the market maker's quote was open or closed.

Indicates when the immediately preceding event in the order life cycle is a Multi-Leg order event.

ATS only field. Source of the NBBO data used.

Identifies if an order is the result of a negotiated trade between two parties.

Identifies instances when the quoting system allows only one quote to be active at a time for the particular market maker.

Indicates when exchange rules require an order to be marked as open or close upon entry into the exchange. Must be reported as a point-in-time value on each event (therefore, this may differ between New Option Order and Option Order Route for the same orderID).

The type of order being submitted.

On multi-leg order events, indicates how the net price was represented in the price field.

Indicates if the quote was not accepted by the destination.

Indicates if the quote message received by an IDQS is a request for a bid or an ask.

Indicates the type of desk or department within the firm that received the order. More granular than the field deptType. Only required when the destination of an internal route is a desk.

Indicates the reason that a unique identifier (e.g., Branch Sequence Number, Compliance ID) was not supplied to a transaction reporting system.

Indicates the type of representative order being reported and whether linkage is required. Refer to Appendix C for additional information on Representative Order linkage requirements.

Indicates if the quote represents customer/client orders.

Indicates the routed order was not accepted by the destination (i.e., rejected, no response).

Identifies from where a routed order originated.

Side of the event. Allowable side values are based on the corresponding Event Type and side as shown below.

Identifies if a Trade event is one sided, and which side of the trade the Industry Member is populating in the Trade Side Details.

Indicates if the order was originated in response to an RFQ or other solicitation process.

The trading session(s) during which an order is eligible to trade.

Reportable Events for equities that are Eligible Securities. The following table lists each equity event type with its corresponding Message Type code.

Indicates when the quote is unsolicited.

Indicates when a quote is unpriced.