Identifies the origin of the order from the counterparty of the execution or trade.
| 1 | = | Order received from a customer | Added EP135
| | [OrderReceivedFromCustomer] |
| 2 | = | Order received from within the firm | Added EP135
| | [OrderReceivedFromWithinFirm] |
| 3 | = | Order received from another broker-dealer | Added EP135
| | [OrderReceivedFromAnotherBrokerDealer] |
| 4 | = | Order received from a customer or originated from within the firm | Added EP135
Updated EP256
| | [OrderReceivedFromCustomerOrWithFirm] |
| 5 | = | Order received from a direct access or sponsored access customer | Added EP222
| | [OrderReceivedFromDirectAccessCustomer] |
| 6 | = | 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] |
| 7 | = | 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] |