OrderModificationRequest | FINRA CAT (4.0.0-r18) | Orchimate

Message

OrderModificationRequest (MEOMR)

33285

The Order Modification Request event is required when a request is received to modify the Material Terms of an order if the request is not captured in the requestTimestamp field of the Order Modified event. Industry Members are not required to report an Order Modification Request event to CAT if the order is terminal (e.g., it has already been fully executed or cancelled) in Phase 2d. However, this activity may be required in future phases of CAT.

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	MEOMR
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 orderKeyDate of the order event for which the modification was requested.
77	orderID	Text	Y	The orderID of the order event for which the modification was requested.
123	symbol	Symbol	Y	The symbol of the stock in the symbology of the primary listing exchange or FINRA for OTC Equity Securities.
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 of receipt of the modification request. 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 modification is requested manually.
37	electronicTimestamp	Timestamp		The time at which the event is systematized. Required when manualFlag is ‘true’ and the event is systematized.
102	receiverIMID	IndustryMemberID		Required when the modification request is received from an Industry Member or an exchange (senderType is ‘F’, ‘E’, or ‘O’). The IMID of the Industry Member receiving the modification request.
115	senderIMID	String		Required when the modification request is received from an Industry Member or an exchange. When senderType is ‘F’ or ‘O’, this value is the IMID of the sending Industry Member from which the order is routed. When senderType is ‘E’, this value is the Exchange ID of the sending entity from which the modification was requested.
116	senderType	senderTypeCodeSet		Required when the modification request is received from an Industry Member or an exchange. Indicates the type of origin from which the modification was requested. senderType ‘O’ must only be populated if the symbol is an OTC symbol in a foreign equity security.
107	reservedForFutureUse	Text		Field is Reserved for Future Use and must remain blank.
107001	reservedForFutureUse1	Text		Field is Reserved for Future Use and must remain blank.
120	side	sideCodeSet	Y	The side of the order. For this Reportable Event, only same-side adjustments are allowed (e.g., sell long to short sell).
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 being submitted (e.g., market, limit).
	timeInForce	timeInForce	Y	The Time in Force for the order (e.g., DAY, IOC, GTC).
129	tradingSession	tradingSessionCodeSet	Y	The trading session(s) during which an order is eligible to trade.
51	isoInd	isoIndCodeSet	Y	Indicates the order was 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		Specifying 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.
107002	reservedForFutureUse2	Text		Field is Reserved for Future Use and must remain blank.
107003	reservedForFutureUse3	Text		Field is Reserved for Future Use and must remain blank.
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 this 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 of the modification request. When provided, must be greater than or equal to zero. If no current workingPrice, value must be “0”.
33	displayQty	WholeQuantity		The displayed quantity for this order at the time of the modification request. 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 types as selected from a list of order types defined by this ATS.
65	nbbPrice	Price		The NBBO at the time of the modification request. 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 time of the modification request. 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 time of the modification request. 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 time of the modification request. 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’.
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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OrderModificationRequest (MEOMR)