Code Set
DeskTypeCodeSet
| ID | 1033 |
| Type | String |
| Pedigree | Added EP9, Updated EP135 |
Identifies the type of Trading Desk.
Conditionally required when InformationBarrierID(1727) is specified for OATS.
Conditionally required when InformationBarrierID(1727) is specified for OATS.
| FINRA OATS | ||||
|---|---|---|---|---|
| Name | Value | Synopsis | Elaboration | Pedigree |
| Agency | A | Agency | Added EP-1, Updated EP135 | |
| Arbitrage | AR | Arbitrage | Added EP-1, Updated EP135 | |
| BlockTrading | B | Block trading | Added EP135 | |
| ConvertibleDesk | C | Convertible desk | Added EP135 | |
| CentralRiskBooks | CR | Central risk books | Added EP135 | |
| Derivatives | D | Derivatives | Added EP-1, Updated EP135 | |
| EquityCapitalMarkets | EC | Equity capital markets | Added EP135 | |
| International | IN | International | Added EP-1, Updated EP135 | |
| Institutional | IS | Institutional | Added EP-1, Updated EP135 | |
| Other | O | Other | Added EP-1, Updated EP135 | |
| PreferredTrading | PF | Preferred trading | Added EP-1, Updated EP135 | |
| Proprietary | PR | Proprietary | Added EP-1, Updated EP135 | |
| ProgramTrading | PT | Program trading | Added EP-1, Updated EP135 | |
| Sales | S | Sales | Added EP-1, Updated EP135 | |
| Swaps | SW | Swaps | Added EP135 | |
| TradingDeskSystem | T | Trading desk or system non-market maker | Added EP-1, Updated EP135 | |
| Treasury | TR | Treasury | Added EP135 | |
| FloorBroker | FB | Floor Broker | Added EP264 | |
Used in groups:
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