AmendedAllocation (MEAA)
| ID | 19428 |
An Amended Allocation event is used to report to CAT when an allocation is updated such that a CAT reportable attribute is changed after the shares/contracts were originally booked in a customer account, and must always reflect the current state of the allocation. This Reportable Event must capture the entire state of the allocation after it has been amended, even though some of the data elements may remain unchanged.
Changes to CAT reportable attributes of an allocation after the original booking of shares/contracts are required to be reported to CAT as either an Allocation Amendment event or the cancellation of a Post-Trade Allocation event followed by a new Post-Trade Allocation event regardless if they occur pre-settlement or post-settlement.
Since changes to an allocation may occur any time after the original booking, the Amended Allocation event is due at 8AM on the next CAT Trading Day after the change was booked, even if it is on a different day than the original Allocation event. Refer to CAT FAQ U14 for additional information.
Amended Allocation events must not be reported to CAT in scenarios where: • An Industry Member makes a correction via a debit/credit to the customer's/client’s account instead of modifying the allocation given to the customer/client. • Changes do not impact CAT reportable attributes of the allocation.
Any changes to the FDID that the shares/contracts were originally booked to may be reported as either an Amended Allocation event or the cancellation of a Post-Trade Allocation event followed by a new Post-Trade Allocation event regardless if they occur pre-settlement or post-settlement.
Amended Allocation events must not be used to correct ingestion errors on a previously submitted MEPA/MEAA event.
Field | Name | Type | Req'd | Comments | Pedigree |
|---|---|---|---|---|---|
2 | Y | Indicates whether the event is a new event, a firm initiated correction or a repair of a CAT error. | |||
38 | Required when actionType is ‘RPR’ | ||||
44 | Y | An identifier assigned to the record by the reporting firm. Formatted as Must be unique for the Event Date and CAT Reporter IMID. | |||
131 | Y | MEAA | |||
22 | The SRO-assigned identifier that an Industry Member uses to report to CAT. | ||||
7 | Y | When a new Allocation Key is assigned, the date and time the allocationID was assigned. When a new Allocation Key is not assigned, the allocationKeyDate of the allocation event being modified. | |||
5 | Y | When a new Allocation Key is assigned, the internal allocation ID assigned to the allocation event by the Industry Member. Must be unique within allocationKeyDate, CATReporterIMID, and symbol combination. When a new Allocation Key is not assigned, the allocationID of the allocation event being modified. | |||
87 | In cases when a new allocationID is assigned, the priorAllocationKeyDate is the allocationKeyDate of the allocation event that is being modified. Required if priorAllocationID is populated. | ||||
86 | If a new allocation ID is assigned, this is the allocationID of the event being modified. | ||||
123 | Y | The symbol of the stock in the symbology of the primary listing exchange or FINRA for OTC Equity Securities. | |||
39 | Y | The date/time the time the allocation amendment was processed. Timestamp must be reported to seconds or a finer increment up to nanoseconds. | |||
96 | Y | Quantity being allocated. | |||
84 | Y | Price of the allocated shares. Must be greater than or equal to zero. | |||
120 | Y | The side of customer receiving the allocation. | |||
42 | Y | The FDID of the account receiving the allocation, including subaccounts. Refer to Appendix G: Data Dictionary for definition and guidance for populating this field. | |||
108 | Field position is retired and must remain blank. | ||||
50 | Y | Indicates if the account meets the definition of institution under FINRA Rule 4512(c). | |||
126 | Y | The trade date of the securities being allocated. Used to validate the symbol field on this event. | |||
119 | The settlement date of the securities being allocated. Not required for when-issued securities. | ||||
8 | Y | Indicates the type of allocation being made (e.g., custody, DVP, step out, correspondent flip). | |||
35 | Required when allocationType is ‘DVP’ or ‘DVPF’. If the custodian is a US broker-dealer, this field must be populated with the clearing number of the custodian. If the custodian is a bank and is not a registered broker-dealer, this field must be populated with the DTC number of the bank. If there is no clearing number or DTC number, this field must be populated with a value of ‘FOREIGN’. Refer to CAT FAQ U19 for additional guidance. | ||||
23 | The CRD number of the related Introducing Broker or Correspondent firm, if applicable. | ||||
71 | The FDID of the related New Order event, if available in the booking system. Requirements for populating this field may be expanded in future phases of CAT. | ||||
6 | The date/time the time the allocation amendment instruction was received. | ||||
19 | Y | Must be marked as ‘true’ if the allocation was cancelled. | |||
20 | When cancelFlag is ‘true’, the time at which the allocation was cancelled. | ||||
108001 | Field position is retired and must remain blank. | ||||
1 | Y | Represents the type of beneficial owner of the account to which the shares were allocated. |
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