30 August, 2021
Working Group Updates
30 August, 2021
- FIF CAT Tech Specs Working Group. The CAT Tech Specs Working Group reviewed best practices for reporting partial cancel scenarios. The Working Group reviewed issues and questions raised by FIF members relating to the following: the requirement to report multiple cancel requests for a single cancel; reporting mass cancels to CAT; DMA route modification and cancel scenarios; and FLEX options scenarios. The Working Group discussed decommissioning of EBS and EBS reporting for orders that are routed to and executed by an execution venue. The Working Group discussed responses from FINRA CAT to FIF comments and questions relating to the following: accountHolderType field in Allocation events; electronicTimestamp field in MEOT and MOOT events; CAT reporting for options errors; FAQ searches; additional Phase 2d Reporting Scenarios for Multi-Leg Orders; reporting accountHolderType for Relationship FDIDs; and the LCE and PBG handlingInstruction values.
- FIF CAT CAIS Working Group. The CAT CAIS Working Group reviewed FIF member comments and questions for FINRA CAT relating to: mass transfer of FDIDs across CAT Reporter firms; Natural Person and Legal Entity customerType values; removing information that was erroneously reported to CAIS; and reporting the roleStartDate for the period prior to July 11, 2022. The Working Group continued its review of FIF member responses to the FIF survey on key open issues for CAIS. The Working Group discussed the reporting of accountType and customerType values. The Working Group discussed the reporting of registeredRepCRD and branchOfficeCRD values. The Working Group reviewed the August 24, 2021 updates to the Full CAIS Technical Specifications.
Eduard Kotlyar