CAT Reporting Technical Specifications for Industry Members

1740 BROADWAY, 14TH FLOOR, NEW YORK, NY 10019 CAT Reporting Technical Specifications for Industry Members10/30/2018 Version iExecutive Reporting Member Data ID and Submitter Handling Member Identifier (IMID) Designated ID (FDID) Actions , Conditional, and Optional Fields Linkage Responsibilities of Sender/Receiver in Order of Route Linkage Reporting Trading Systems ( ATSs ) Best Bid and Offer (NBBO) Order Received Order Events Immediately Order Events Followed by Separate Electronic Messages Order Order Supplemental Modify Route (Potential Phase 2c Event) Cancel Route (Potential Phase 2c Event) Internal Internal Internal Route Modified (Phase 2c) Internal Route Canceled (Phase 2c) Order Order Order Modified and Cancel/Replace Modified (Cancel/Replace) Supplement Adjusted as the Result of a Fulfillment Fulfillment Fulfillment Allocation (Phase 2c) Leg Option Option Order Order Supplement Option Order (Phase 2d) Order Order Route Order Modify Route Event (Potential Phase 2d) Order Cancel Route Event (Potential Phase 2d) Order Order Internal Order Internal Route Order Internal Route Modify Event (Phase 2d) Order Internal Route Canceled Event (Phase 2d) Option Order Option Order Option Order Modified Option Order Order Modified and Cancel/Replace Order Modified Supplement Order Adjusted Order Canceled Order Fu

Preface i Executive Summary iv 1. Introduction 1 1.1. CAT Overview 1 2. CAT Reporting Fundamentals 2 2.1. Industry Member Perspective 2 2.2. Key Data Elements 2

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