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U. Allocations
This topic includes information related to Allocation events.
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10/18/2022
FAQ
U31.
Since Clearing Firms rely on their correspondent firms to provide account holder information, can a clearing firm reporting an allocation event (MEPA/MOPA) or amended allocation event (MEAA/MOAA) report the accountHolderType as provided by its correspondent firm?
Topics
U. Allocations
08/09/2022
FAQ
U16.
Are accounts maintained by a clearing firm that are owned or controlled by another broker-dealer considered “customer” accounts for purposes of reporting Allocation Reports to CAT?
Topics
U. Allocations
04/04/2022
FAQ
U30.
The TIDType field became effective on Transaction events on December 13, 2021 as an optional field and was retired effective March 25, 2022. As such, this FAQ regarding TIDType is retired. Please refer to Version 4.0.0 r13 of the Phase 2d Technical Specifications for more information.
Topics
U. Allocations
04/04/2022
FAQ
U29.
The TIDType field became effective on Transaction events on December 13, 2021 as an optional field and was retired effective March 25, 2022. As such, this FAQ regarding TIDType is retired. Please refer to Version 4.0.0 r13 of the Phase 2d Technical Specifications for more information.
Topics
U. Allocations
09/21/2021
FAQ
U22.
What are the requirements for clearing firms to report allocations to average price accounts of an Introducing Broker that may be exclusively for a specific client of the Introducing Broker?
Topics
U. Allocations
08/31/2021
FAQ
U10.
Are Clearing Member Trade Assignments (“CMTAs”) required to be reported to CAT?
Topics
U. Allocations
08/31/2021
FAQ
U9.
What value should be used to populate the eventTimestamp in the Post-Trade Allocation event (MEPA) or Option Post-Trade Allocation event (MOPA)?
Topics
U. Allocations
08/31/2021
FAQ
U14.
When may the Amended Allocation/Option Amended Allocation (MEAA/MOAA) events be reported to CAT?
Topics
U. Allocations
08/31/2021
FAQ
U8.
Are allocations to a registered investment advisor (RIA)/money manager’s average price account required to be reported even if the shares are only held there temporarily before being allocated to individual customer accounts? For example, an RIA manages two customer accounts at a self-clearing firm. The RIA places a single order in its account that will be later allocated between the two customer accounts. The shares are booked to an average price account designated for the RIA at the self-clearing firm until the RIA provides subaccount allocation instructions and the allocations are made to the individual customer accounts.
Topics
U. Allocations
06/25/2021
FAQ
U1.
The newOrderFDID field in the Post-Trade Allocation/Option Post-Trade Allocation Event (MEPA/MOPA) and Amended Allocation/Option Amended Allocation Event (MEAA/MOAA) is described as “The FDID of the related New Order event, if available in the booking system.” What does “if available in the booking system” mean?
Topics
U. Allocations
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