Topics

Starting in Phases 2c (for equities) and 2d (for options), “if available in the booking system” means that the FDID is either directly available in the booking system, or can be made available through a simple reference data lookup, or can be readily accessed by the booking system through an existing system integration. For example, if the FDID is directly stored or can be directly queried by the booking system, the newOrderFDID field should be populated.

On Thursday, June 24, 2021 at 1 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar focusing on the Phase 2d reporting requirements.

Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to ensure your firm has the ability to view Zoom content. If you are unable to download and run Zoom, please click the “join from your browser” link. This webinar will be recorded. The presentation document and recording will be posted.

Changes to CAT reportable attributes of an allocation after the original booking of shares/contracts are required to be reported to CAT as either an Amended Allocation/Option Amended Allocation (MEAA/MOAA) event or the cancellation of a Post-Trade Allocation/Option Post-Trade Allocation (MEPA/MOPA) event followed by a new Post-Trade Allocation/Option Post-Trade Allocation event regardless if they occur pre-settlement or post-settlement. 

On Tuesday, September 14, 2021 at 10:00 am ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar focused on the transition from Phase 2c to Phase 2d CAT reporting as it relates to schema changes, timing, reporting requirements and other related items.