OrderAccepted | FINRA CAT (4.0.0-r18) | Orchimate

Message

OrderAccepted (MEOA)

16094

An Order Accepted event must be reported to CAT when an Industry Member receives an order from another CAT Reporter (i.e., Industry Member, ATS or exchange), or from another IMID belonging to the same Industry Member (i.e., the same CRD).

New customer orders, orders received from a non-broker-dealer affiliate, and orders received from a non-reporting foreign broker-dealer must be reported using a New Order event.

Field	Name	Type	Req'd	Comments
2	actionType	actionTypeCodeSet	Y	Indicates whether the event is a new event, a firm initiated correction or a repair of a CAT error.
38	errorROEID	Unsigned		Required when actionType is ‘RPR’. Must be blank when actionType is ‘NEW’.
44	firmROEID	Text	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	type	typeCodeSet	Y	MEOA
22	CATReporterIMID	CATReporterIMID		The SRO-assigned identifier that an Industry Member uses to report to CAT. If populated, must equal the CATReporterIMID in the filename.
78	orderKeyDate	Timestamp	Y	The date and time the orderID was assigned.
77	orderID	Text	Y	Order ID assigned to the order by the Industry Member upon acceptance. Must be unique within orderKeyDate, CATReporterIMID, and symbol combination.
123	symbol	Symbol	Y	The symbol of the stock in the symbology of the primary listing exchange or FINRA for OTC Equity Securities.
39	eventTimestamp	Timestamp	Y	The date/time of receipt of the order. If manualFlag is ‘true’, timestamp must be reported to seconds. If manualFlag is ‘false’, timestamp must be reported to milliseconds or a finer increment up to nanoseconds.
56	manualFlag	manualFlagCodeSet	Y	Must be marked as ‘true’ if the order is received or captured manually.
36	electronicDupFlag	electronicDupFlagCodeSet	Y	Indicates whether this is a duplicative electronic message of a manual event.
37	electronicTimestamp	Timestamp		The time at which the event is systematized. Required when manualFlag is ‘true’ and the event is systematized.
102	receiverIMID	IndustryMemberID	Y	The IMID of the Industry Member receiving the order. When senderType is ‘F’, this value must equal the destination field on the Order Route event reported by the routing Industry Member. When senderType is ‘O’, this value must equal the destination on the Order Route event if an Order Route event is reported by the destination. When senderType is ‘E’, this value must equal the routingParty on the Order Route event reported by the exchange.
115	senderIMID	String	Y	When senderType is ‘F’, this value is the IMID of the sending Industry Member from which the order is routed, and must equal senderIMID in the Order Route event reported by the routing Industry Member. When senderType is ‘O’, this value is the IMID of the sending Industry Member from which the order is routed, and must equal the senderIMID in the Order Route event if an Order Route event is reported by the routing Industry Member. When senderType is ‘E’, this value is the Exchange ID of the sending entity from which the order is routed, and must equal the exchange field in the Order Route event reported by the exchange.
116	senderType	senderTypeCodeSet	Y	Indicates the type of origin from which the order is routed. senderType ‘O’ must only be populated if the symbol is an OTC symbol in a foreign equity security.
111	routedOrderID	Text		The ID for the order as sent by the routing entity. Must be unique per combination of Event Date, symbol, senderIMID, and receiverIMID. Required when manualFlag is ‘false’.
58	manualOrderKeyDate	Timestamp		The orderKeyDate of the related manual order. Required when manualOrderID is populated.
57	manualOrderID	Text		When this is a duplicative electronic message of a previously (separately) reported manual Order Accepted event, this field is to capture the internal order ID of the manual order. Required when electronicDupFlag is ‘true’.
3	affiliateFlag	affiliateFlagCodeSet	Y	Indicates if the routing party is an affiliate of the Industry Member.
28	deptType	deptTypeCodeSet	Y	This is the category of internal department, unit or desk receiving the order.
120	side	sideCodeSet	Y	The side of the order.
84	price	Price		The limit price of the order. When provided, must be greater than or equal to zero. Required when orderType is ‘LMT’. Must be blank when orderType is ‘MKT’.
96	quantity	RealQuantity	Y	The order quantity.
60	minQty	WholeQuantity		The minimum quantity of an order to be executed. Required when applicable. Must be > 0.
79	orderType	orderTypeCodeSet	Y	The type of order as routed to the destination reporting the accepted event.
	timeInForce	timeInForce	Y	The Time in Force for the order.
129	tradingSession	tradingSessionCodeSet	Y	The trading session(s) during which an order is eligible to trade.
51	isoInd	isoIndCodeSet	Y	Indicates the order was accepted as an Intermarket Sweep Order.
	handlingInstructions	handlingInstructions		The order handling instructions for the order.
27	custDspIntrFlag	custDspIntrFlagCodeSet	Y	Indicates if a customer/client has instructed that a limit order should not be displayed or that a block size order should be displayed.
48	infoBarrierID	Text		Specifies the identifier of the information barrier in place for a trading unit that will meet the criteria of the “no-knowledge” exception in FINRA Rule 5320.02. Any alphanumeric not containing a delimiter.
117	seqNum	Alphanumeric		The sequence number assigned to the CAT event by the ATS’s matching engine. Any alphanumeric not containing a delimiter.
12	atsDisplayInd	atsDisplayIndCodeSet		Indicates if the order is displayed outside of the ATS to subscribers only, or via publicly disseminated quotation data.
32	displayPrice	Price		The displayed price for the order. When provided, must be greater than or equal to zero. If atsDisplayInd is ‘Y’, ‘S’, or ‘A’, displayPrice must be the price at which the order was displayed. If atsDisplayInd is ‘N’, displayPrice must be ‘0’.
135	workingPrice	Price		The working price of the order at the time it wasaccepted. When provided, must be greater than or equal to zero. If no current workingPrice, value must be ‘0’.
33	displayQty	WholeQuantity		The displayed quantity of the order. If the atsDisplayInd is populated as ‘Y’, ‘S’, or ‘A’, displayQty must be the quantity at which the order was displayed. If the atsDisplayInd is ‘N’, displayQty must be ‘0’.
13	atsOrderType	StringList		Shows the ATS-specific order type as selected from a list of order types defined by this Industry Member via the CAT Reporter Portal.
65	nbbPrice	Price		The NBBO at the moment the order was received. Prices are required, quantities are optional. When provided, must be greater than or equal to zero. If no price or quantity, fields must be populated with a value of ‘0’.
66	nbbQty	WholeQuantity		The NBBO at the moment the order was received. Prices are required, quantities are optional. When provided, must be greater than or equal to zero. If no price or quantity, fields must be populated with a value of ‘0’.
67	nboPrice	Price		The NBBO at the moment the order was received. Prices are required, quantities are optional. When provided, must be greater than or equal to zero. If no price or quantity, fields must be populated with a value of ‘0’.
68	nboQty	WholeQuantity		The NBBO at the moment the order was received. Prices are required, quantities are optional. When provided, must be greater than or equal to zero. If no price or quantity, fields must be populated with a value of ‘0’.
63	nbboSource	nbboSourceCodeSet		Source of the NBBO data used. If nbboSource is ‘NA’, NBBO price and quantity fields must be populated with a value of ‘0’ and the nbboTimestamp must be blank.
64	nbboTimestamp	Timestamp		The date/time at which the NBBO was referenced upon the receipt of the order. Must be blank if nbboSource is ‘NA’.
122	solicitationFlag	solicitationFlagCodeSet	Y	Indicates if the order was received in response to an RFQ or other solicitation process. This field is not used to indicate if a registered representative of the firm solicited a customer/client order.
81	pairedOrderID	Text		The pairedOrderID field may be populated if two or more offsetting orders are received with instructions to cross.
70	netPrice	Price		The net price of the order when tied to stock, tied to fixed income, tied to futures, tied to a non-CAT reportable product, or part of another trading strategy in which the order is traded at a net price. When netPrice is populated, the price field must be blank or populated with a value of zero. Refer to CAT FAQ B71 for additional information.

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OrderAccepted (MEOA)