OrderAdjusted | FINRA CAT (4.0.0-r18) | Orchimate

Message

OrderAdjusted (MEOJ)

24618

An Order Adjusted event must be used when the display price or quantity changes as the result of a Display ATS matching engine action and not from a customer/client instruction. The Order Adjusted event may be used by non-ATS firms instead of an Order Modified event to report changes to the price or quantity of an order.

The following rules apply:

If any of the price fields change, then all price fields (i.e., price, displayPrice, and workingPrice) must be reported to represent current state of the order relative to price. The quantity fields are not required.
If any of the quantity fields change, then all quantity fields (i.e., quantity, minQty, leavesQty, displayQty) must be reported to represent the current state of the order relative to quantity. The price fields are not required.

Any modification that cannot be fully represented in this Reportable Event must be reported via the Order Modified event. This includes modifications received from another Industry Member where a routedOrderID is required, and modifications to the orderType.

Industry Members may assign a new Order Key to Order Adjusted events. If a unique orderID is assigned, the priorOrderID must be populated with the orderID of the order that is being adjusted, and the priorOrderKeyDate must be populated. If the order has been adjusted more than once, the priorOrderID must refer to orderID of the immediately preceding adjustment which will not be the original Order ID.

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	MEOJ
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	When a new Order Key is assigned, the date and time the orderID was assigned. When a new Order Key is not assigned, the orderKeyDate of order event which is being modified.
77	orderID	Text	Y	When a new Order Key is assigned, the internal order ID assigned to the order by the Industry Member. Must be unique within orderKeyDate, CATReporterIMID, and symbol combination. When a new Order Key is not assigned, the orderID of order event which is being modified.
123	symbol	Symbol	Y	The symbol of the stock in the symbology of the primary listing exchange or FINRA for OTC Equity Securities.
92	priorOrderKeyDate	Timestamp		If a new Order ID has been assigned, this is the orderKeyDate of the event being adjusted.
91	priorOrderID	Text		If a new Order ID has been assigned, this is the orderID of the event being adjusted. When populated, the priorOrderID must not be equal to the orderID within the record.
80	originatingIMID	CATReporterIMID		An identifier used in instances of a merger or acquisition where the originating firm had open limit orders on its books that will be executed or otherwise resolved under the surviving firm. Must be provided to support linkage to an event that was reported with a different CATReporterIMID.
39	eventTimestamp	Timestamp	Y	The date/time at which the order was modified (e.g., the time that the order was confirmed to be modified in the firm’s OMS/EMS). 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 adjusted manually.
37	electronicTimestamp	Timestamp		The time at which the event is systematized. Required when manualFlag is ‘true’ and the event is systematized.
49	initiator	initiatorCodeSet	Y	Indicates who initiated the order adjustment.
84	price	Price		The limit price of the order. When provided, must be greater than or equal to zero. Required when price, displayPrice, or workingPrice changed.
96	quantity	RealQuantity		The order quantity. Required when quantity, minQty, leavesQty, or displayQty changed.
60	minQty	WholeQuantity		The minimum quantity of an order to be executed. Required when applicable and when quantity, minQty, leavesQty, or displayQty changed. Must be > 0.
52	leavesQty	RealQuantity		The number of shares of the order left open after the adjustment/modification has occurred. Required when quantity, minQty, leavesQty, or displayQty changed. Must be less than or equal to quantity.
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 of the order. When provided, must be greater than or equal to zero. Required when applicable and when price, workingPrice, or displayPrice changed.
135	workingPrice	Price		The working price of the order. When provided, must be greater than or equal to zero. Required when applicable and when price, workingPrice, or displayPrice changed.
33	displayQty	WholeQuantity		The displayed quantity for this order. Required when applicable and when quantity, minQty, leavesQty, or displayQty changed.
65	nbbPrice	Price		The NBBO at the moment the order was modified. 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 modified. 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 modified. 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 modified. 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’.
	timeInForce	timeInForce	Y	The Time in Force for the order.
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. Required if changed.

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OrderAdjusted (MEOJ)