19 July, 2021
Working Group Update 7/19/2021
19 July, 2021
- FIF CAT Tech Specs Working Group. The CAT Tech Specs Working Group discussed issues and questions from FIF members relating to the new AVP allocationType for Phase 2d, the SLD handlingInstruction, and manual algo instruction scenarios. The Working Group continued its discussion of options error scenarios and reporting for partial cancels for Phase 2d, including a review of survey responses from FIF members relating to partial cancels. The Working Group reviewed responses from FINRA CAT to FIF member questions relating to options allocations, manual responses to options solicitations, allocations to broker accounts, Automated Investment Plans, and partial cancels. The Working Group discussed comments and questions for FINRA CAT relating to reporting for options allocation events, minQty, reporting of pairedOrderID, and reporting for the equity leg of a bond swap negotiated through a broker’s broker.
- FIF CAT CAIS Working Group. The CAT CAIS Working Group continued its review of CAT CAIS Industry Member Reporting Scenarios for full CAIS reporting, including reporting for Relationship FDIDs, DVP/RVP accounts with a clearing number, and DVP/RVP accounts with a bank depository ID. The Working Group discussed reporting for prime broker scenarios and various issues relating to the definition of CAT customer and the reporting of various accountType and customerType values.
Eduard Kotlyar