07 September, 2021
Working Group Updates
07 September, 2021
- FIF CAT Tech Specs Working Group. The Tech Specs Working Group reviewed draft comments and questions for FINRA CAT on reporting request events for sponsored broker workflows, rejections of route cancel requests, reporting the LCE handlingInstruction, reporting multiple cancel requests for a single orderID, reporting mass cancels, and the pairedOrderID field. The Working Group discussed new FAQ D37 relating to reporting the DIR handlingInstruction for sponsored access and DMA workflows. The Working Group discussed FINRA’s plans for retirement of EBS. The Working Group discussed issues and questions from FIF members relating to multi-leg orders where there are different underlying equities, the transition from Phase 2c to 2d, and “post and wait” functionality.
- FIF CAT CAIS Working Group. The CAT CAIS Working Group reviewed FIF member responses to the FIF survey on the registeredRepCRD and branchOfficeCRD fields. The Working Group reviewed draft comments and questions for FINRA CAT relating to the reporting of the registeredRepCRD and branchOfficeCRD fields, the “Applied for” status for CAT Customers, the fdidType field, the fdidEndReason of TRANSFERRED, and reporting for countries with no national identity cards. The Working Group reviewed the updated CAIS file format diagram, incorporating the August 24, 2021 updates to Full CAIS Technical Specifications. The Working Group continued its review of the August 24, 2021 updates to Full CAIS Technical Specifications.
Eduard Kotlyar