Phase 2d
Last Updated: 11/25/2022
| # | Status | Summary | Posted Date | Spec Publish Date | Spec Version | Effective Date - Test | Effective Date - Prod |
|---|---|---|---|---|---|---|---|
| 1 | Published | Change the cancelQty field on Request events (MEICR, MEOCR, MOICR, MOOCR, MLICR, and MLOCR) from Conditional to Required. | 11/9/2021 | 7/29/2022 | 4.0.0 r16 | 10/3/2022 | 12/5/2022 |
| 2 | Published | Validate values supplied in firmDesignatedID fields against CAIS data | 12/22/2021 | 3/25/2022 | 4.0.0 r14 | 5/16/2022 | January 2023 |
| 3 | Published | Add new event – MLOE – Multi-Leg Order Effective event. | 12/22/2021 | 12/20/2021 | 4.0.0 r12 | 10/3/2022 | 12/5/2022 |
| 4 | Published | Change the multiLegInd field from Conditional to Required | 12/22/2021 | 7/29/2022 | 4.0.0 r16 | 10/3/2022 | 12/5/2022 |
| 5 | Published | Change the data type of ‘CASH’ handlingInstructions from Boolean to Price. | 3/29/2022 | 7/29/2022 | 4.0.0 r16 | 10/3/2022 | 12/5/2022 |
| 6 | Published | Reject Multi-Leg events if the value supplied in the underlying field is invalid. | 5/2/2022 | 7/29/2022 | 4.0.0 r16 | 10/3/2022 | 12/5/2022 |
| 7 | Published | Add deskOrderID field to Order Internal Route events to uniquely identify MEIC, MEICR, MEIM, MEIMR, MEIR, MOIC, MOICR, MOIM, MOIMR, MOIR, MLIC, MLICR, MLIM, MLIMR, MLIR | 3/29/2022 | 7/29/2022 | 4.0.0 r16 | 10/3/2022 | 12/5/2022 |
| 8 | Published | Add new intra-firm linkage warning error code: 395 - Early Reported Event. | 4/29/2022 | 5/16/2022 | 4.0.0 r15 | 6/20/2022 | January 2023 |
| 9 | Published | Provide a new linkage summary feedback file containing missing or invalid FDIDs. | 4/29/2022 | 5/16/2022 | 4.0.0 r15 | 6/20/2022 | January 2023 |
| 10 | Published | Remove metadata file submission requirement and related file integrity errors. | 4/29/2022 | 7/29/2022 | 4.0.0 r16 | 10/3/2022 | 12/5/2022 |
| 11 | Published | Change the tapeTradeID field on Option Trade Event from Conditional to Required | 6/9/2022 | 7/29/2022 | 4.0.0 r16 | 10/3/2022 | 12/5/2022 |
| 12 | Published | Add priorDeskOrderID field to MEIM, MOIM, MLIM. | 7/12/2022 | 7/29/2022 | 4.0.0 r16 | 10/3/2022 | 12/5/2022 |
| 13 | Published | Add the following new error codes: 2229- Invalid deskOrderID 2230- Invalid priorDeskOrderID |
7/12/2022 | 7/29/2022 | 4.0.0 r16 | 10/3/2022 | 12/5/2022 |
| 14 | Published | Make changes to support the IMs using FINRA ADF for posting quotes. 1. Add new event - MENQS - New Quote Supplement event. 2. Add new event - MERQS - Quote Route Supplement event. 3. Add representativeQuoteInd, askAggregatedOrders, and bidAggregatedOrders fields to MENQ event. 4. Add destinationType and session to MERQ event. |
8/12/2022 | 7/29/2022 | 4.0.0 r16 | 3/13/2023 | 3/27/2023 |
| 15 | Open | To support IMs using FINRA ADF, change firmDesignatedID and accountHolderType fields on MENQ event from Required to Conditional. | 8/12/2022 | 12/16/2022 | 4.0.0 r18 | 3/13/2023 | 3/27/2023 |
| 16 | Open | Starting December 5, 2022, allow Industry Members to report notional orders with quantity = 0 along with the 'CASH' handlingInstructions value. | 9/20/2022 | 12/16/2022 | 4.0.0 r18 | 10/3/2022 | 12/5/2022 |
| 17 | Open | Update section 2.4.2.1 FDID Validation to indicate that the FDID validation process in the test environment uses CAIS data from the production environment. | 10/26/2022 | 12/16/2022 | 4.0.0 r18 | 10/3/2022 | 12/5/2022 |
Phase 2a/2b
Last Updated: 01/11/2022
| # | Status | Summary | Publish Date | Spec Version |
|---|---|---|---|---|
| N/A as of 01/11/2022 |
Phase 2c
Last Updated: 01/11/2022
| # | Status | Summary | Publish Date | Spec Version |
|---|---|---|---|---|
| 1 | Open | Update section 3.4 to clarify requirements for options prior to Phase 2d outlined in Scenario 3.7.3. | N/A | N/A |
| 2 | Open | Clarify description of solicitationFlag field to be consistent with new FAQ C8. | N/A | N/A |
*Planned Technical Specification Updates are subject to approval by the CAT NMS Plan Operating Committee.