TagField NameAbbr NameData TypeUnion DatatypeDescriptionPedigree

Identifies the origin of the order.


Order received from a customer

Added EP135 [OrderReceivedFromCustomer]

Order received from within the firm

Added EP135 [OrderReceivedFromWithinFirm]

Order received from another broker-dealer

Added EP135 [OrderReceivedFromAnotherBrokerDealer]

Order received from a customer or originated from within the firm

Added EP135 Updated EP256 [OrderReceivedFromCustomerOrWithFirm]

Order received from a direct access or sponsored access customer

Added EP222 [OrderReceivedFromDirectAccessCustomer]

Order received from a foreign dealer equivalent

A foreign dealer equivalent is a person in the business of trading securities in a foreign jurisdiction in a manner analogous to an investment dealer and that is subject to the regulatory jurisdiction of a signatory to the International Organization of Securities Commissions’ (IOSCO) Multilateral Memorandum of Understanding
in that foreign jurisdiction.

Added EP256 [OrderReceivedFromForeignDealerEquivalent]

Order received from an execution-only service

The acceptance and execution of orders from customers for trades that the broker-dealer has not recommended and for which the broker-dealer takes no responsibility as to the appropriateness or suitability of orders accepted or account positions held.

Added EP256 [OrderReceivedFromExecutionOnlyService]
Added EP135 Updated EP222

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