OrderFulfillment (MEOF)
| ID | 39914 |
The Order Fulfillment event is used to report the execution of a customer/client order that is not required to be reported for public dissemination purposes. Order Fulfillment events are required in scenarios where:
- A representative order was used to facilitate the execution of the customer/client order.
- An order is routed to a foreign market and the resulting foreign execution is not captured by CAT.
The Order Fulfillment event is designed to capture the customer/client details and the firm side details. Firm side details provide linkage to the representative order used to facilitate the execution of the customer/client order.
The fulfillmentLinkType field is used to indicate if the firm side details are required. Appendix C contains detailed descriptions of representative order scenarios and illustrates when marking of the representative order, linkage between the represented order and the representative order, and Order Fulfillment linkage is required.
Field | Name | Type | Req'd | Comments | Pedigree |
|---|---|---|---|---|---|
2 | Y | Indicates whether the event is a new event, firm initiated correction or a repair of a CAT error. | |||
38 | Required when actionType is ‘RPR’. Must be blank when actionType is ‘NEW’. | ||||
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 | MEOF | |||
22 | The SRO-assigned identifier that an Industry Member uses to report to CAT. If populated, must equal the CATReporterIMID in the filename. | ||||
41 | Y | The date and time the fulfillmentID was assigned. | |||
45 | Y | The unique identifier for the fulfillment. The combination of reporter, fillKeyDate, symbol and fulfillmentID must be unique. | |||
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 when the fulfillment was processed by the Industry Member. 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 | Y | Must be marked as ‘true’ if this is a manual process. | |||
37 | The time at which the event is systematized. Required when manualFlag is ‘true’ and the event is systematized. | ||||
46 | Y | Refer to Appendix C for representative order linkage requirements. | |||
19 | Y | Must be marked as ‘true’ if the fulfillment was cancelled. | |||
20 | When cancelFlag is ‘true’, the time at which the fulfillment was cancelled. 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. | ||||
96 | Y | Quantity being executed and assigned. It may or may not be the full quantity of the order. | |||
84 | Y | Price of the executed shares. Must be greater than or equal to zero. | |||
21 | Y | The capacity in which the Industry Member acted. | |||
clientDetails | Y | See Table 53: Fulfillment Side Details below. | |||
firmDetails | Used to capture the Industry Member side order details. Applicable if there is only one orderID associated with this side of the fulfillment. If more than one representative order was used to fill the customer/client order, this field must be blank and the firmDetails for each related representative order must be populated in separate MEOFS events. If firmDetails are captured in an MEOFS event, the fulfillmentLinkType field must be populated with a value of ‘YS’. See Table 53: Fulfillment Side Details below. Refer to Appendix C for more details. | ||||
48 | 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. |
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