Orchimate 1.3.2 /

FINRA CAT4.0.0-r18

Orchestra Hub

Indicates whether the event is a new event, a firm initiated correction or a repair of a CAT error.

Required when actionType is ‘RPR’. Must be blank when actionType is ‘NEW’.

An identifier assigned to the record by the reporting firm. Formatted as _

Must be unique for the Event Date and CAT Reporter IMID.

MEIR

The SRO-assigned identifier that an Industry Member uses to report to CAT. If populated, must equal the CATReporterIMID in the filename.

The date and time the orderID was assigned.

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 the event that was internally routed.

The symbol of the stock in the symbology of the primary listing exchange or FINRA for OTC Equity Securities.

If a new Order ID has been assigned, this is the orderKeyDate of the event from which the Order Internal Route Accepted event originated.

Required when the parentOrderID is populated. Must be blank when parentOrderID is blank.

If a new Order ID has been assigned, this is the orderID of the event from which the Order Internal Route Accepted event originated. Must be unique within orderKeyDate, CATReporterIMID, and symbol combination.

When populated, the parentOrderID must not be equal to the orderID within the record.

Required when the parentOrderKeyDate is populated. If a new Order ID has not been assigned, must be blank.

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.

The date/time of receipt by the receiving desk. 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.

Must be marked as ‘true’ if the order is routed to another desk manually.

The time at which the event is systematized. Required when manualFlag is ‘true’ and the event is systematized.

The category of department, unit, or desk that received this Order Internal Route Accepted event.

Indicates the type of desk or department receiving the order. More granular than the field deptType.

Specifies the identifier of the information barrier in place for the desk to which the order was routed that will meet the criteria of the “no-knowledge” exception in FINRA Rule 5320.02.

Any alphanumeric not containing a delimiter.

The side of the order.

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’.

The order quantity.

The minimum quantity of an order to be executed. Required when applicable. Must be > 0.

The type of order received from the routing desk or department.

The order handling instructions for the order.

The Time in Force for the order.

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

Indicates when the order that was routed internally is related to a multi-leg order event. Refer to Section 5.2 for additional guidance.

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.