Codes that apply special information that the broker-dealer needs to report.
| — 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] |