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.
| — FIA Execution Source Code — |
|---|
| A | = | Phone simple | Added EP133
| | [PhoneSimple] |
| B | = | Phone complex | Added EP133
| | [PhoneComplex] |
| C | = | FCM provided screen | Added EP133
| | [FCMProvidedScreen] |
| D | = | Other provided screen | Added EP133
| | [OtherProvidedScreen] |
| E | = | Client provided platform controlled by FCM | Added EP133
| | [ClientProvidedPlatformControlledByFCM] |
| F | = | Client provided platform direct to exchange | Added EP133
| | [ClientProvidedPlatformDirectToExchange] |
| H | = | Algo engine | Added EP133
| | [AlgoEngine] |
| J | = | Price at execution (price added at initial order entry, trading, middle office or time of give-up) | Added EP133
| | [PriceAtExecution] |
| W | = | Desk - electronic | Added EP133
| | [DeskElectronic] |
| X | = | Desk - pit | Added EP133
| | [DeskPit] |
| Y | = | Client - electronic | Added EP133
| | [ClientElectronic] |
| Z | = | Client - pit | Added EP133
| | [ClientPit] |
| — FINRA OATS — |
|---|
| ADD | = | Add-on order | Added EP-1
Updated EP135
| | [AddOnOrder] |
| AON | = | All or none | Added EP-1
Updated EP135
| | [AllOrNone] |
| CND | = | Conditional order | Added EP135
| | [ConditionalOrder] |
| CNH | = | Cash not held | Added EP-1
Updated EP135
| | [CashNotHeld] |
| CSH | = | Delivery instructions - cash | Added EP135
| | [DeliveryInstructionsCash] |
| DIR | = | Directed order | Added EP-1
Updated EP135
| | [DirectedOrder] |
| DLO | = | Discretionary limit order | Added EP135
| | [DiscretionaryLimitOrder] |
| E.W | = | Exchange for physical transaction | Added EP-1
Updated EP135
| | [ExchangeForPhysicalTransaction] |
| FOK | = | Fill or kill | Added EP-1
Updated EP135
| | [FillOrKill] |
| IDX | = | Intraday cross | Added EP135
| | [IntraDayCross] |
| IO | = | Imbalance only | Added EP-1
Updated EP135
| | [ImbalanceOnly] |
| IOC | = | Immediate or cancel | Added EP-1
Updated EP135
| | [ImmediateOrCancel] |
| ISO | = | Intermarket sweep order | Added EP135
| | [IntermarketSweepOrder] |
| LOO | = | Limit on open | Added EP-1
Updated EP135
| | [LimitOnOpen] |
| LOC | = | Limit on Close | Added EP-1
Updated EP135
| | [LimitOnClose] |
| MAO | = | Market at Open | Added EP-1
Updated EP135
| | [MarketAtOpen] |
| MAC | = | Market at close | Added EP-1
Updated EP135
| | [MarketAtClose] |
| MOO | = | Market on open | Added EP-1
Updated EP135
| | [MarketOnOpen] |
| MOC | = | Market on close | Added EP-1
Updated EP135
| | [MarketOnClose] |
| MPT | = | Merger related transfer position | Added EP135
| | [MergerRelatedTransferPosition] |
| MQT | = | Minimum quantity | Added EP-1
Updated EP135
| | [MinimumQuantity] |
| MTL | = | Market to limit | Added EP135
| | [MarketToLimit] |
| ND | = | Delivery instructions - next day | Added EP135
| | [DeliveryInstructionsNextDay] |
| NH | = | Not held | Added EP-1
Updated EP135
| | [NotHeld] |
| OPT | = | Options related transaction | Added EP135
| | [OptionsRelatedTransaction] |
| OVD | = | Over the day | Added EP-1
Updated EP135
| | [OverTheDay] |
| PEG | = | Pegged | Added EP-1
Updated EP135
| | [Pegged] |
| RSV | = | Reserve size order | Added EP-1
Updated EP135
| | [ReserveSizeOrder] |
| S.W | = | Stop stock transaction | Added EP-1
Updated EP135
| | [StopStockTransaction] |
| SCL | = | Scale | Added EP-1
Updated EP135
| | [Scale] |
| SLR | = | Delivery instructions - sellers option | Added EP135
| | [DeliveryInstructionsSellersOption] |
| TMO | = | Time order | Added EP-1
Updated EP135
| | [TimeOrder] |
| TS | = | Trailing stop | Added EP-1
Updated EP135
| | [TrailingStop] |
| WRK | = | Work | Added EP-1
Updated EP135
| | [Work] |
| F0 | = | Stay on offerside | Added EP135
| | [StayOnOfferside] |
| F3 | = | Go along | Added EP135
| | [GoAlong] |
| F6 | = | Participate do not initiate | Added EP135
| | [ParticipateDoNotInitiate] |
| F7 | = | Strict scale | Added EP135
| | [StrictScale] |
| F8 | = | Try to scale | Added EP135
| | [TryToScale] |
| F9 | = | Stay on bidside | Added EP135
| | [StayOnBidside] |
| FA | = | No cross | Added EP135
| | [NoCross] |
| FB | = | OK to cross | Added EP135
| | [OKToCross] |
| FC | = | Call first | Added EP135
| | [CallFirst] |
| FD | = | Percent of volume | Added EP135
| | [PercentOfVolume] |
| FH | = | Reinstate on system failure | Added EP135
| | [ReinstateOnSystemFailure] |
| FI | = | Institution only | Added EP135
| | [InstitutionOnly] |
| FJ | = | Reinstate on trading halt | Added EP135
| | [ReinstateOnTradingHalt] |
| FK | = | Cancel on trading half | Added EP135
| | [CancelOnTradingHalf] |
| FL | = | Last peg | Added EP135
| | [LastPeg] |
| FM | = | Mid-price peg | Added EP135
| | [MidPricePeg] |
| FN | = | Non-negotiable | Added EP135
| | [NonNegotiable] |
| FO | = | Opening peg | Added EP135
| | [OpeningPeg] |
| FP | = | Market peg | Added EP135
| | [MarketPeg] |
| FQ | = | Cancel on system failure | Added EP135
| | [CancelOnSystemFailure] |
| FR | = | Primary peg | Added EP135
| | [PrimaryPeg] |
| FS | = | Suspend | Added EP135
| | [Suspend] |
| FT | = | Fixed peg to local best bid or offer at time of order | Added EP135
| | [FixedPegToLocalBBO] |
| FW | = | Peg to VWAP | Added EP135
| | [PegToVWAP] |
| FX | = | Trade along | Added EP135
| | [TradeAlong] |
| FY | = | Try to stop | Added EP135
| | [TryToStop] |
| FZ | = | Cancel if not best | Added EP135
| | [CancelIfNotBest] |
| Fb | = | Strict limit | Added EP135
| | [StrictLimit] |
| Fc | = | Ignore price validity checks | Added EP135
| | [IgnorePriceValidityChecks] |
| Fd | = | Peg to Limit Price | Added EP135
| | [PegToLimitPrice] |
| Fe | = | Work to target strategy | Added EP135
| | [WorkToTargetStrategy] |
| — SHARED — |
|---|
| G | = | G Order(FINRA OATS), FCM API or FIX(FIA Execution Source) | Added EP133
Updated EP135
| | [GOrderAndFCMAPIorFIX] |