Equities
- CAT Reportable Equity Securities Symbol Master SOD
- CAT Reportable Equity Securities Symbol Master EOD
Options
- CAT Reportable Options Securities Symbol Master SOD
- CAT Reportable Options Securities Symbol Master EOD
Members
File Descriptions and Layouts
CAT Reportable Equity Securities Symbol Master
The CAT Reportable Equity Securities Symbol Master is a list of all NMS stocks and CAT-reportable OTC equity securities representing the current transaction date. FINRA CAT will publish two files each day, one representing the list of reportable equity securities as of the start of the transaction date (SOD) and a second file representing the list of reportable equity securities at the end of the transaction date (EOD). The file names are: FINRACATReportableEquitySecurities_SOD and FINRACATReportableEquitySecurities_EOD.
The SOD CAT Reportable Equity Securities Symbol Master will be published by 6 a.m. ET, and the EOD file will be published by 6 p.m. ET. The EOD file contains any securities added during the transaction date. Securities deleted during the transaction date are not included in the EOD file. To ensure all securities reportable during any given transaction date are identified for reporting, firms are encouraged to use both the SOD and EOD files.
The CAT Reportable Equity Securities Symbol Master is defined as follows:
| Field Name | Maximum data length | Definition |
|---|---|---|
| symbol | 14 characters | Issue Symbol The unique symbol for the CAT Reportable security. For exchange-listed securities, the symbol represents the format published by the primary listing market. |
| issueName | 255 characters | Issue Name |
| listingExchange | 1 character | Primary Listing Exchange A = NYSE American N = NYSE O = OTCBB P = NYSE ARCA Q = Nasdaq U = OTC Equity V = IEX Z = Cboe BZX Else NULL |
| testIssueFlag | 1 character | Test Issue Flag Y = test security N = not a test security |
CAT Reportable Options Symbol Master
The CAT Reportable Options Symbol Master is a list of simple options representing the current transaction date. FINRA CAT will publish two files each day, one representing the list of reportable options as of the start of the transaction date (SOD) and a second file representing the list of reportable options at the end of the transaction date (EOD). The file names are: FINRACATReportableOptions_SOD and FINRACATReportableOptions_EOD.
The CAT Reportable Options Symbol Master does not include complex order symbols because complex orders will be reported using the option/equity symbols comprising the individual legs.
The SOD CAT Reportable Options Symbol Master will be published by 6 a.m. ET and the EOD CAT Reportable Options Symbol Master will be published by 8 p.m. ET. The EOD file contains any options added during the transaction date and provided to FINRA CAT prior to the EOD file generation as well as those listed for the entire trading day. Options deleted during the day are not included in the EOD file.
Effective 2/24/2020, Options Test Symbols will be included in the SOD and EOD lists to support Industry Member testing. All Options test symbols have an established Equity test symbol as the Primary Deliverable and an expiration date of 12/31/2399. These symbols are available for firms to use in the Industry Test environment only; they will not be available for submission into the Production environment and will be removed from the list prior to Production go-live. View list of Test Options Symbols.
The CAT Reportable Options Symbol Master is defined as follows:
| Field Name | Maximum data length | Definition |
|---|---|---|
| optionKind | 14 characters | Type of Option OCC Option Sub-Classification or, for FLEX Percent Options, classification provided by the exchange; values: STAN = Standard BINY = Binary FLEX = FLEX FLEXPCT = FLEX Percent RNGE = Range Null (not available in EOD file for some records added intraday) |
| optionID | 22 characters | OSI Symbol Option symbol in the format of the Option Symbology Initiative |
| primaryDeliverable | 6 characters | Primary Deliverable Symbol The symbol of the primary deliverable of the option. |
| exerciseStyle | 1 character | Exercise Style Values: A = American E = European Null (not available in EOD file for some records added intraday) |
| settlementType | 2 characters | Settlement Type Values: AM PM AS = Asian CQ = Cliquet Null (not available in EOD file for some records added intraday) |
CAT Industry Member Identifier List
FINRA CAT publishes a daily list of Industry Members including for each Industry Member: CRD number, all Industry Member Identifiers (IMIDs) for the firm as provided by each SRO, and the Industry Member’s default IMID, as provided on the CAT registration form.
FINRA CAT also produces a daily IMID conflict list to identify instances where a single IMID is used by more than one Industry Member.
These lists will be available for manual and machine-to-machine download at 6 a.m. ET each transaction date beginning November 18, 2019. The file names are: IMID_Daily_List and IMID_Conflict_List.
The CAT Industry Member Identifier Daily List List is defined as follows:
| Field Name | Maximum data length | Definition |
|---|---|---|
| CRDID | numeric | CRD Identifier Central Registration Depository numeric identifier associated with the firm |
| FINRAMember | 1 character | FINRA Member Y if the CRD number belongs to a FINRA Member Firm; otherwise, null Note: this field will be null for all firms initially in November, but will be populated at a later date. |
| firmName | 255 characters | Firm Name Firm Name associated with the CRD ID |
| IMID | 5 characters | Industry Member Identifier Market Participant Identifier (MPID), mnemonic, or other SRO-assigned identifier associated with this CRD ID. |
| exchangeID | 20 characters | Exchange Identifier BOX = BOX Options Exchange CBOE = CBOE Exchange C2 = CBOE C2 Options BYX = CBOE BYX Exchange BZX = CBOE BZX Equities BZXOP = CBOE BZX Options EDGA = CBOE EDGA Exchange EDGX = CBOE EDGX Equities EDGXOP = CBOE EDGX Options IEX = Investors' Exchange MIAMI = Miami International Securities Exchange PEARL = MIAX PEARL EMLD = MIAX Emerald BX = Nasdaq BX Equities NOBO = Nasdaq BX Options PSX = Nasdaq PHLX Equities PHLX = Nasdaq PHLX Options NSDQ = Nasdaq Stock NOM = Nasdaq Options ISE = Nasdaq ISE GEMX = Nasdaq GEMX MRX = Nasdaq MRX AMER = NYSE American Equities AMEROP = NYSE American Options ARCA = NYSE ARCA Equities ARCAOP = NYSE ARCA Options NYSE = The New York Stock Exchange CHX = NYSE CHX NSX = NYSE National FINRA = FINRA |
| ATSFlag | 1 character | ATS Flag Y if this MPID is an ATS, otherwise null. |
| defaultIMIDFlag | 1 character | Default Industry Member Identifier Flag Y is the IMID is identified as the default for this CRD ID, otherwise null. Note: if no default IMID was provided by a firm during CAT Registration, no default IMID will be identified for the firm in this list. |
CAT Industry Member Identifier Conflict List
The CAT Industry Member Identifier Conflict List is defined as follows:
| Field Name | Maximum data length | Definition |
|---|---|---|
| CRDID | numeric | CRD Identifier Central Registration Depository numeric identifier associated with the firm that has a shared SRO-assigned identifier |
| firmName | 255 characters | Firm Name Firm Name associated with the CRD ID |
| Conflict IMID | 5 characters | Conflict IMID Industry Member Identifier that is associated with this CRD ID and also another CRD ID on the list |
| exchangeID | 20 characters | Exchange Identifier The exchange or SRO associated with the conflict IMID in use by this CRD number (see exchangeID list above) |
| defaultIMIDFlag | 1 character | Default IMID Flag Indicates whether the MPID is identified as the default IMID for this CRD ID. |
File Retrieval Instructions
The reference data lists may be downloaded either by typing the URL(s) for the associated list in one of the supported browsers or via command line. Firms may use any standard transfer utility like CURL to download the list. Listed below is the specific sequence of commands required to retrieve the two lists using CURL for WINDOWS utility when executed from a WINDOWS platform.
Enter the following commands from the windows command prompt.
| Equity Start Of Day | curl https://files.catnmsplan.com/symbol-master/FINRACATReportableEquitySecurities_SOD.txt |
| Equity End Of Day | curl https://files.catnmsplan.com/symbol-master/FINRACATReportableEquitySecurities_EOD.txt |
| Options Start Of Day | curl https://files.catnmsplan.com/symbol-master/FINRACATReportableOptions_SOD.txt |
| Options End Of Day | curl https://files.catnmsplan.com/symbol-master/FINRACATReportableOptions_EOD.txt |
| Member List | curl https://files.catnmsplan.com/firm-data/IMID_Daily_List.txt |
| Member Conflict List | curl https://files.catnmsplan.com/firm-data/IMID_Conflict_List.txt |