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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.