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U. Allocations
This topic includes information related to Allocation events.
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07/17/2020
FAQ
U6.
Are allocations to DVP accounts required to be reported? For example, an institution places an order with an executing broker-dealer and gives instructions to DVP the shares to two different custodial broker-dealers.
Topics
U. Allocations
07/17/2020
FAQ
U11.
My firm’s allocations typically occur around 10 pm ET. Is my firm required to report the Post-Trade Allocation events (MEPA) and Option Post-Trade Allocation events (MOPA) by 8 am the next day?
Topics
U. Allocations
07/17/2020
FAQ
U5.
Are allocations to a firm owned or controlled account required to be reported? For example, a registered representative of a self-clearing broker-dealer exercises discretion over multiple retail customer accounts and originates a single aggregated order that will be allocated to the specific customer accounts post trade. Shares are booked to a firm average price account until the sub-account allocations are made to the individual customer accounts.
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U. Allocations
07/17/2020
FAQ
U4.
If the firmDesignatedID (FDID) in the New Order event (MENO) or New Option Order event (MONO) is not required to be the same as the firmDesignatedID in the Post-Trade Allocation event (MEPA) or Option Post-Trade Allocation event (MOPA), how will the events be linked?
Topics
U. Allocations
02/20/2020
Event
Industry Webinar - FDID Refresher and Introduction to Allocation Reporting (2/19/2020)
FDID Refresher and Introduction to Allocation Reporting (2/19/2020) - Presentation
Audio file
Topics
M. Firm Designated ID
U. Allocations
09/11/2019
Event
Industry Webinar - Firm Designated ID (“FDID”) Follow-up (September 10, 2019)
Firm Designated ID (“FDID”) Follow-up (September 10, 2019) - Presentation
Audio file
Topics
M. Firm Designated ID
U. Allocations
04/16/2019
Event
Industry Update on the Consolidated Audit Trail Focusing on the Firm Designated Identifier (“FDID”) (4/16/2019)
FDID Guidance April 2019
Audio file
Topics
M. Firm Designated ID
U. Allocations
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