OrderModified | FINRA CAT (4.0.0-r18) | Orchimate

Message

OrderModified (MEOM)

30124

Industry Members must report an Order Modified event to CAT when the Material Terms of an order have been changed (e.g., price, quantity) or when an order is cancel/replaced. All attributes and Material Terms of the modified order listed on this event must be restated with the modification(s) reflected. If the order is a representative order, the aggregatedOrders field must be restated every time the order is modified or cancel/replaced. Changes to the orders being represented in the aggregatedOrders field are considered a modification to the order. The side field is required to be reported, but side adjustments are only allowed for same-side changes, including changes between Short Sale and Sell Long.

If a modification results in the generation of new order with a new Order Key which replaces the prior order, the orderID field must capture the identifier for the new order, and the prior order fields must reflect the order that is being replaced. If the order has been modified more than once with a new orderID assigned with each modification, the priorOrderID must refer to orderID of the immediately preceding modification which will not be the original Order ID. If the orderID remains the same during the modification, the priorOrderID must remain blank.

Industry Members are not required to report the modification request 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. If a modification request was received that was too late to modify, and the order was not terminal (e.g., the order was “in-flight” and there was no confirmation time), the request must be reported as an Order Modification Request event.

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	MEOM
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 the CAT 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 the Order Modified (Cancel/Replace) 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 Key has been assigned, this is the orderKeyDate of the event being modified.
91	priorOrderID	Text		If a new Order Key has been assigned, this is the orderID of the event being modified. 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 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 modified or replaced manually.
58	manualOrderKeyDate	Timestamp		The orderKeyDate of the related manual order. Required when manualOrderID is populated.
57	manualOrderID	Text		When this is a duplicative electronic message of a previously (separately) reported manual Order Modified and Cancel/Replaced event, this field is to capture the internal order ID of the manual order. Required when electronicDupFlag is ‘true’.
36	electronicDupFlag	electronicDupFlagCodeSet	Y	Indicates whether this is a duplicative electronic message of a manual event.
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 is received from an Industry Member or an exchange. The IMID of the Industry Member receiving the routed order modification. When senderType is ‘F’, this value must equal the destination field on the Order Route event reported by the routing Industry Member. When senderType is ‘O’, this value must equal the destination on the Order Route event if an Order Route event is reported by the destination. When senderType is ‘E’, this value must equal the routingParty on the Participant Order Modification event reported by the exchange.
115	senderIMID	String		Required when the modification is received from an Industry Member or an exchange. When senderType is ‘F’, this value is the IMID of the sending Industry Member from which the order is routed, and must equal the senderIMID in the Order Route event reported by the routing Industry Member. When senderType is ‘O’, this value is the IMID of the sending Industry Member from which the order is routed, and must equal the senderIMID in the Order Route event if an Order Route event is reported by the routing Industry Member. When senderType is ‘E’, this value is the Exchange ID of the sending entity from which the order is routed, and must equal the exchange field in the Participant Order Modification event reported by the exchange.
116	senderType	senderTypeCodeSet		Required when the modification is received from an Industry Member or an exchange. Indicates the type of origin from which the order is routed.
111	routedOrderID	Text		The ID for the order as sent by the routing entity. Must be unique per combination of Event Date, symbol, senderIMID, and receiverIMID. Required when senderType is ‘F’, ‘E’, or ‘O’, and manualFlag is ‘false’.
109	requestTimestamp	Timestamp		The date/time the modification was requested. Required if a request was received, and the request is not captured in a separate MEOMR event. Must not be populated if the request is captured in a separate MEOMR event. 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. Not required if the order is terminal (e.g., it has already been fully executed or cancelled) in Phase 2d. May be required in future phases of CAT.
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.
107002	reservedForFutureUse2	Text		Field is Reserved for Future Use and must remain blank.
49	initiator	initiatorCodeSet	Y	Indicates who initiated the order modification.
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.
52	leavesQty	RealQuantity	Y	The number of shares of the order left open after the modification has occurred. Must be less than or equal to quantity.
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.
	aggregatedOrders	aggregatedOrders		When applicable, the order ID of each customer/client order being represented. Refer to Appendix C for representative order linkage requirements.
105	representativeInd	representativeIndCodeSet	Y	Indicates if the order is a representative order and if linkage is required.
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. 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 the order was modified. 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 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’.
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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OrderModified (MEOM)