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.

MEIMR

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

The orderKeyDate of the order event for which the internal route modification was requested.

The orderID of the order event for which the internal route modification was requested.

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

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 the internal route modification request was received. 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 internal route modification was requested 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 the internal route modification request.

Indicates the type of desk that received the internal route modification request. 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.

Field position is retired and must remain blank.

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.

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.