| Tag | Name | Type | Description | AssociatedDataTag | AbbrName | BaseCategory | BaseCategoryAbbrName | NotReqXML | EnumDatatype | UnionDataType |
|---|---|---|---|---|---|---|---|---|---|---|
| 1030 | Identifies the broker-dealer department that first took the order. | |||||||||
| 1031 | Codes that apply special information that the Broker / Dealer needs to report, as specified by the customer. NOTE: This field and its values have no bearing on the ExecInst and TimeInForce fields. These values should not be used instead of ExecInst or TimeInForce. This field and its values are intended for compliance reporting and/or billing purposes only. For OrderHandlingInstSrc(1032) = 1 (FINRA OATS), valid values are (as of OATS Phase 3 as provided by FINRA. See also http://www.finra.org/Industry/Compliance/MarketTransparency/OATS/PhaseIII/index.htm for a complete list. For OrderHandlingInstSrc(1032) = 2 (FIA Execution Source Code), only one enumeration value may be specified. | |||||||||
| 1032 | OrderHandlingInstSource | int | Identifies the class or source of the order handling instruction values. Scope of this will apply to both CustOrderHandlingInst(1031) and DeskOrderHandlingInst(1035). Conditionally required when CustOrderHandlingInst(1031) or DeskOrderHandlingInst(1035) is specified. | OrdHndlInstSrc | 0 | |||||
| 1033 | DeskType | String | Identifies the type of Trading Desk. Conditionally required when InformationBarrierID(1727) is specified for OATS. | DskTyp | 0 | |||||
| 1034 | DeskTypeSource | int | Identifies the class or source of DeskType(1033) values. Conditionally required when DeskType(1033) is specified. | DskTypSrc | 0 | |||||
| 1035 | DeskOrderHandlingInst | Codes that apply special information that the broker-dealer needs to report. |
| Tag | Name | Type | Description | AssociatedDataTag | AbbrName | BaseCategory | BaseCategoryAbbrName | NotReqXML | EnumDatatype | UnionDataType |
|---|---|---|---|---|---|---|---|---|---|---|
| 1724 | OrderOrigination | int | Identifies whether the order was received from a customer of the firm, originated by the firm, or whether the order was received from another broker-dealer. | OrdOrigntn | 0 | |||||
| 1725 | OriginatingDeptID | String | An identifier representing the department or desk within the firm that originated the order. | OrigntngDeptID | 0 | |||||
| 1726 | ReceivingDeptID | String | An identifier representing the department or desk within the firm that received the order. | RcvgDeptID | 0 | |||||
| 1727 | InformationBarrierID | String | The identifier of the information barrier in place for a trading unit that will meet the criteria of the "no-knowledge" exception in FINRA Rule 5320.02. | InfoBrrID | 0 |
| Tag | Value | SymbolicName | Group | Sort | Description | Definition |
|---|---|---|---|---|---|---|
| 522 | 1 | Individual investor | ||||
| 522 | 2 | Public company | ||||
| 522 | 3 | Private company | ||||
| 522 | 4 | Individual trustee | ||||
| 522 | 5 | Company trustee | ||||
| 522 | 6 | Pension plan | ||||
| 522 | 7 | Custodian under Gifts to Minors Act | ||||
| 522 | 10 | Networking sub-account | ||||
| 522 | 12 | Corporate body | ||||
| 1031 | ADD | AddOnOrder | FINRA OATS | 1 | Add-on order | |
| 1031 | AON | AllOrNone | FINRA OATS | 2 | All or none | |
| 1031 | CNH | CashNotHeld | FINRA OATS | 4 | Cash not held | |
| 1031 | DIR | DirectedOrder | FINRA OATS | 6 | Directed order | |
| 1031 | E.W | ExchangeForPhysicalTransaction | FINRA OATS | 8 | Exchange for physical transaction | |
| 1031 | FOK | FillOrKill | FINRA OATS | 9 | Fill or kill | |
| 1031 | IO | ImbalanceOnly | FINRA OATS | 12 | Imbalance only | |
| 1031 | IOC | ImmediateOrCancel | FINRA OATS | 13 | Immediate or cancel | |
| 1031 | LOO | LimitOnOpen | FINRA OATS | 15 | Limit on open | |
| 1031 | LOC | LimitOnClose | FINRA OATS | 16 | Limit on Close | |
| 1031 | MAO | MarketAtOpen | FINRA OATS | 17 | Market at Open | |
| 1031 | MAC | MarketAtClose | FINRA OATS | 18 | Market at close | |
| 1031 | MOO | MarketOnOpen | FINRA OATS | 19 | Market on open | |
| 1031 | MOC | MarketOnClose | FINRA OATS | 20 | Market on close | |
| 1031 | MQT | MinimumQuantity | FINRA OATS | 22 | Minimum quantity | |
| 1031 | NH | NotHeld | FINRA OATS | 25 | Not held | |
| 1031 | OVD | OverTheDay | FINRA OATS | 27 | Over the day | |
| 1031 | PEG | Pegged | FINRA OATS | 28 | Pegged | |
| 1031 | RSV | ReserveSizeOrder | FINRA OATS | 29 | Reserve size order | |
| 1031 | S.W | StopStockTransaction | FINRA OATS | 30 | Stop stock transaction | |
| 1031 | SCL | Scale | FINRA OATS | 31 | Scale | |
| 1031 | TMO | TimeOrder | FINRA OATS | 33 | Time order | |
| 1031 | TS | TrailingStop | FINRA OATS | 34 | Trailing stop | |
| 1031 | WRK | Work | FINRA OATS | 35 | Work | |
| 1031 | G | GOrderAndFCMAPIorFIX | SHARED | 0 | G Order(FINRA OATS), FCM API or FIX(FIA Execution Source) | |
| 1032 | 1 | FINRAOATS | 1 | FINRA OATS | ||
| 1033 | A | Agency | FINRA OATS | 1 | Agency | |
| 1033 | AR | Arbitrage | FINRA OATS | 2 | Arbitrage | |
| 1033 | D | Derivatives | FINRA OATS | 6 | Derivatives | |
| 1033 | IN | International | FINRA OATS | 8 | International | |
| 1033 | IS | Institutional | FINRA OATS | 9 | Institutional | |
| 1033 | O | Other | FINRA OATS | 10 | Other | |
| 1033 | PF | PreferredTrading | FINRA OATS | 11 | Preferred trading | |
| 1033 | PR | Proprietary | FINRA OATS | 12 | Proprietary | |
| 1033 | PT | ProgramTrading | FINRA OATS | 13 | Program trading | |
| 1033 | S | Sales | FINRA OATS | 14 | Sales | |
| 1033 | T | TradingDeskSystem | FINRA OATS | 16 | Trading desk or system non-market maker | |
| 1034 | 1 | FINRAOATS | 1 | FINRA OATS |
| Tag | Value | SymbolicName | Group | Sort | Description | Definition |
|---|---|---|---|---|---|---|
| 522 | 14 | InstitutionalCustomer | 14 | Institutional customer | ||
| 522 | 15 | Combined | 15 | Combined | ||
| 522 | 16 | MemberFirmEmployee | 16 | Member firm employee or associated person | ||
| 522 | 17 | MarketMakingAccount | 17 | Market making account | ||
| 522 | 18 | ProprietaryAccount | 18 | Proprietary account | ||
| 522 | 19 | NonbrokerDealer | 19 | Non-broker-dealer | ||
| 522 | 20 | UnknownBeneficialOwnerType | 20 | Unknown beneficial owner type | ||
| 522 | 21 | FirmsErrorAccount | 21 | Error account of firm | ||
| 1724 | 1 | OrderReceivedFromCustomer | 1 | Order received from a customer | ||
| 1724 | 2 | OrderReceivedFromWithinFirm | 2 | Order received from within the firm | ||
| 1724 | 3 | OrderReceivedFromAnotherBrokerDealer | 3 | Order received from another broker-dealer | ||
| 1724 | 4 | OrderReceivedFromCustomerOrWithFirm | 4 | Order received from a customer or orginated with the firm | ||
| 1031 | CND | ConditionalOrder | FINRA OATS | 3 | Conditional order | |
| 1031 | CSH | DeliveryInstructionsCash | FINRA OATS | 5 | Delivery instructions - cash | |
| 1031 | DLO | DiscretionaryLimitOrder | FINRA OATS | 7 | Discretionary limit order | |
| 1031 | IDX | IntraDayCross | FINRA OATS | 11 | Intraday cross | |
| 1031 | ISO | IntermarketSweepOrder | FINRA OATS | 14 | Intermarket sweep order | |
| 1031 | MPT | MergerRelatedTransferPosition | FINRA OATS | 21 | Merger related transfer position | |
| 1031 | MTL | MarketToLimit | FINRA OATS | 23 | Market to limit | |
| 1031 | ND | DeliveryInstructionsNextDay | FINRA OATS | 24 | Delivery instructions - next day | |
| 1031 | OPT | OptionsRelatedTransaction | FINRA OATS | 26 | Options related transaction | |
| 1031 | SLR | DeliveryInstructionsSellersOption | FINRA OATS | 32 | Delivery instructions - sellers option | |
| 1031 | F0 | StayOnOfferside | FINRA OATS | 36 | Stay on offerside | |
| 1031 | F3 | GoAlong | FINRA OATS | 37 | Go along | |
| 1031 | F6 | ParticipateDoNotInitiate | FINRA OATS | 38 | Participate do not initiate | |
| 1031 | F7 | StrictScale | FINRA OATS | 39 | Strict scale | |
| 1031 | F8 | TryToScale | FINRA OATS | 40 | Try to scale | |
| 1031 | F9 | StayOnBidside | FINRA OATS | 41 | Stay on bidside | |
| 1031 | FA | NoCross | FINRA OATS | 42 | No cross | |
| 1031 | FB | OKToCross | FINRA OATS | 43 | OK to cross | |
| 1031 | FC | CallFirst | FINRA OATS | 44 | Call first | |
| 1031 | FD | PercentOfVolume | FINRA OATS | 45 | Percent of volume | |
| 1031 | FH | ReinstateOnSystemFailure | FINRA OATS | 46 | Reinstate on system failure | |
| 1031 | FI | InstitutionOnly | FINRA OATS | 47 | Institution only | |
| 1031 | FJ | ReinstateOnTradingHalt | FINRA OATS | 48 | Reinstate on trading halt | |
| 1031 | FK | CancelOnTradingHalf | FINRA OATS | 49 | Cancel on trading half | |
| 1031 | FL | LastPeg | FINRA OATS | 50 | Last peg | |
| 1031 | FM | MidPricePeg | FINRA OATS | 51 | Mid-price peg | |
| 1031 | FN | NonNegotiable | FINRA OATS | 52 | Non-negotiable | |
| 1031 | FO | OpeningPeg | FINRA OATS | 53 | Opening peg | |
| 1031 | FP | MarketPeg | FINRA OATS | 54 | Market peg | |
| 1031 | FQ | CancelOnSystemFailure | FINRA OATS | 55 | Cancel on system failure | |
| 1031 | FR | PrimaryPeg | FINRA OATS | 56 | Primary peg | |
| 1031 | FS | Suspend | FINRA OATS | 57 | Suspend | |
| 1031 | FT | FixedPegToLocalBBO | FINRA OATS | 58 | Fixed peg to local best bid or offer at time of order | |
| 1031 | FW | PegToVWAP | FINRA OATS | 59 | Peg to VWAP | |
| 1031 | FX | TradeAlong | FINRA OATS | 60 | Trade along | |
| 1031 | FY | TryToStop | FINRA OATS | 61 | Try to stop | |
| 1031 | FZ | CancelIfNotBest | FINRA OATS | 62 | Cancel if not best | |
| 1031 | Fb | StrictLimit | FINRA OATS | 63 | Strict limit | |
| 1031 | Fc | IgnorePriceValidityChecks | FINRA OATS | 64 | Ignore price validity checks | |
| 1031 | Fd | PegToLimitPrice | FINRA OATS | 65 | Peg to Limit Price | |
| 1031 | Fe | WorkToTargetStrategy | FINRA OATS | 66 | Work to target strategy | |
| 1033 | B | BlockTrading | FINRA OATS | 3 | Block trading | |
| 1033 | C | ConvertibleDesk | FINRA OATS | 4 | Convertible desk | |
| 1033 | CR | CentralRiskBooks | FINRA OATS | 5 | Central risk books | |
| 1033 | EC | EquityCapitalMarkets | FINRA OATS | 7 | Equity capital markets | |
| 1033 | SW | Swaps | FINRA OATS | 15 | Swaps | |
| 1033 | TR | Treasury | FINRA OATS | 17 | Treasury |
| ComponentID | TagText | Indent | Position | Reqd | Description |
|---|---|---|---|---|---|
| 14 | 1724 | 0 | 86.51 | 0 | |
| 14 | 1725 | 0 | 86.52 | 0 | |
| 14 | 1726 | 0 | 86.53 | 0 | |
| 14 | 522 | 0 | 86.54 | 0 | |
| 17 | 1724 | 0 | 87.51 | 0 | |
| 17 | 1725 | 0 | 87.52 | 0 | |
| 17 | 1726 | 0 | 87.53 | 0 | |
| 17 | 522 | 0 | 87.54 | 0 | |
| 9 | 1724 | 0 | 160.51 | 0 | |
| 9 | 1725 | 0 | 160.52 | 0 | |
| 9 | 1726 | 0 | 160.53 | 0 | |
| 9 | 522 | 0 | 160.54 | 0 | |
| 1020 | 1727 | 1 | 4.5 | 0 |