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Phase 2a/2b

​Last Updated: 10/27/2020

 # Status Summary Publish Date Spec Version
1 *NEW* Open New senderType value ‘O’: 
  • OTC Equity symbol in a foreign security was received by another Industry Member with instructions to execute the order in a foreign market. The receiving Industry Member voluntarily reports the receipt and route to CAT while the sending Industry Member did not report to CAT.
  • Linkage will be attempted but no unlinks will be returned if a corresponding ROID is not found reported by the sender.
11/6/20 2.2.1 r8
2 Open New destinationType value ‘O’: 
  • OTC Equity symbol in a foreign security was sent to another Industry Member, who may route the order to a foreign market for execution.
  • Linkage will be attempted but no unlinks will be returned if a corresponding ROID is not found reported by the receiver. 
11/6/20 2.2.1 r8
3 *New*
Open
New handlingInstructions ‘STOPF’ and ‘CSC’. 11/6/20 2.2.1 r8
4 *New*
Open
New sections for STOP and Conditional Orders. 11/6/20 2.2.1 r8
5 Open Clarify that MEOJ must not be used in instances where a modification is received from another Industry Member and a routedOrderID is required.  11/6/20 2.2.1 r8
6

Open

Clarify guidance for correcting ingestion errors received on a submission intended to correct a linkage error. 11/6/20 2.2.1 r8
7 Open Correction to Table 72:  Linkage Error – Named on Unlinked Trade Report – rptngSideShortCode is being returned as a Text (2) field. 11/6/20 2.2.1 r8
8 Open

Add Error Codes to support Exchange Linkage:

  • 6017 destination did not match: A matching routedOrderID was identified in an exchange order; however, the destination on the Order Route event did not match the exchange ID on the exchange order.
  • 7018 Named – destination did not match: Named on an exchange order, but the exchange ID on the exchange order does not match the destination reported on the corresponding Order Route event.
  • 6019 receiverIMID did not match: A matching routedOrderID was identified in an exchange order; however, the receiverIMID on the Order Accepted or Order Modified event did not match the routingParty on the exchange order.
  • 7020 Named – receiverIMID did not match: Named on an exchange order, but the routingParty on the exchange order does not match the receiverIMID reported on the corresponding Order Route event.
11/6/20 2.2.1 r8
9 Open Clarify definition of handlingInstructions value WDP: Discretion on Limit Price Within a Specified Range. 11/6/20 2.2.1 r8
10 Open

Additional guidance surrounding delete instructions:

  • A repair or delete instruction must be reported using the error ROE ID provided by CAT when a CAT record was malformed or had an error associated with the eventTimestamp or firmROEID.  
  • Firm identified errors associated with the CAT Reporter IMID must be corrected using the Delete Instruction.
11/6/20 2.2.1 r8
11 Open Updates to section 7 introducing outstanding errors.  11/6/20 2.2.1 r8
12 Open Clarify the definition of handlingInstructions value ‘BIN’ (Buy-In). 11/6/20 2.2.1 r8
13 Open Clarify that 6000 and 7000 series error codes apply to both sending IMs (MEORs) and receiving outbound routers (MEOAs). 11/6/20 2.2.1 r8
14 Open Clarify that leading zeros will also be removed for Interfirm Linkage in addition to Exchange Linkage. 11/6/20

2.2.1 r8

 

Phase 2c

​Last Updated: 10/27/2020

 # Status Summary Publish Date Spec Version
1

Open

Add allocationType values:
DVPF - Allocation to a DVP account Free of Payment
CUSF – Allocation to a custody account Free of Payment
STO – Step out/ step in

11/6/20

3.1.0 r7

 

Phase 2d

​Last Updated: 10/27/2020

 # Status Summary Publish Date Spec Version
1 Open Revisit field position changes - Field positions that were previously used for nextUnlinked and priorUnlinked fields will be marked with a new value retiredField. Any new field names that were added to these field positions will be moved to a  new field position.  11/6/20

4.0.0 r3

2 Open orderType field on MOOE event should be ‘R’.  11/6/20 4.0.0 r3
3 Open Remove the requirement for Industry members to change and provide a new unique orderID on CAT Order Modification and Order Adjustment events.  11/6/20 4.0.0 r3
4 Open Add multiLegInd to MEOT event. 11/6/20 4.0.0 r3