PostTradeAllocation (MEPA)
| ID | 30401 |
Industry Members that perform allocations are required to submit a Post-Trade Allocation event to CAT any time shares are allocated to a customer account regardless of whether the Industry Member was involved in executing the underlying order(s). Refer to Section 3.3 for additional information on the requirements for reporting allocation events to CAT.
Field | Name | Type | Req'd | Comments | Pedigree |
|---|---|---|---|---|---|
2 | Y | Indicates whether the event is a new event, a firm initiated correction or a repair of a CAT error. | |||
38 | Required when actionType is ‘RPR’ | ||||
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 | MEPA | |||
22 | The SRO-assigned identifier that an Industry Member uses to report to CAT. | ||||
7 | Y | The date and time the allocationID was assigned. | |||
5 | Y | The internal allocation ID assigned to the allocation event by the Industry Member. The combination of CATReporterIMID, allocationKeyDate, symbol and allocationID 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 the shares allocated are booked into the customer’s/client’s account. Timestamp must be reported to seconds or a finer increment up to nanoseconds. | |||
19 | Y | Must be marked as ‘true’ if the allocation was cancelled. | |||
20 | When cancelFlag is ‘true’, the time at which the allocation was cancelled. | ||||
96 | Y | Quantity being allocated. | |||
84 | Y | Price of the allocated shares. Must be greater than or equal to zero. | |||
120 | Y | The side of customer/client receiving the allocation. | |||
42 | Y | The FDID of the account receiving the allocation, including subaccounts. Refer to Appendix G: Data Dictionary for definition and guidance for populating this field. | |||
108 | Field position is retired and must remain blank. | ||||
50 | Y | Indicates if the account meets the definition of institution under FINRA Rule 4512(c). | |||
126 | Y | The trade date of the securities being allocated. Used to validate the symbol field on this event. | |||
119 | The settlement date of the securities being allocated. Not required for when-issued securities. | ||||
8 | Y | Indicates the type of allocation being made (e.g., custody, DVP, step out, correspondent flip). | |||
35 | Required when allocationType is ‘DVP’ or ‘DVPF’. If the custodian is a US broker-dealer, this field must be populated with the clearing number of the custodian. If the custodian is a bank and is not a registered broker-dealer, this field must be populated with the DTC number of the bank. If there is no clearing number or DTC number, this field must be populated with a value of ‘FOREIGN’. Refer to CAT FAQ U19 for additional guidance. | ||||
23 | The CRD number of the related Introducing Broker or Correspondent firm, if applicable. | ||||
71 | The FDID of the related New Order event, if available in the booking system. Requirements for populating this field may be expanded in future phases of CAT. | ||||
6 | The date/time the time the allocation instruction was received. | ||||
108001 | Field position is retired and must remain blank. | ||||
1 | Y | Represents the type of beneficial owner of the account to which the shares were allocated. |
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