Codes that apply special information that the Broker / Dealer needs to report, as specified by the customer.
NOTE: This field and its values have no bearing on the ExecInst (18) and TimeInForce (59) fields. These values should not be used instead of ExecInst or TimeInForce. This field and its values are intended for compliance reporting only.
For OrderHandlingInstSource (1032) = 1 (FINRA/NASD OATS), valid values are (as of OATS Phase III as provided by FINRA [former NASD].
See also www.finra.org/filing-reporting/oats/oats-phase-iii for a complete list).
For OrderHandlingInstSource (1032) = 2 (FIA Execution Source Code), only one enumeration value may be specified.
| Code | Meaning |
|---|---|
| A | Phone simple |
| B | Phone complex |
| C | FCM provided screen |
| D | Other provided screen |
| E | Client provided platform controlled by FCM |
| F | Client provided platform direct to exchange |
| H | Algo engine |
| J | Price at execution (price added at initial order entry, trading, middle office or time of give-up) |
| W | Desk - electronic |
| X | Desk - pit |
| Y | Client - electronic |
| Z | Client - pit |
| ADD | Add-on order |
| AON | All or none |
| CND | Conditional order |
| CNH | Cash not held |
| CSH | Delivery instructions - cash |
| DIR | Directed order |
| DLO | Discretionary limit order |
| E.W | Exchange for physical transaction |
| FOK | Fill or kill |
| IDX | Intraday cross |
| IO | Imbalance only |
| IOC | Immediate or cancel |
| ISO | Intermarket sweep order |
| LOO | Limit on open |
| LOC | Limit on Close |
| MAO | Market at Open |
| MAC | Market at close |
| MOO | Market on open |
| MOC | Market on close |
| MPT | Merger related transfer position |
| MQT | Minimum quantity |
| MTL | Market to limit |
| ND | Delivery instructions - next day |
| NH | Not held |
| OPT | Options related transaction |
| OVD | Over the day |
| PEG | Pegged |
| RSV | Reserve size order |
| S.W | Stop stock transaction |
| SCL | Scale |
| SLR | Delivery instructions - sellers option |
| TMO | Time order |
| TS | Trailing stop |
| WRK | Work |
| F0 | Stay on offerside |
| F3 | Go along |
| F6 | Participate do not initiate |
| F7 | Strict scale |
| F8 | Try to scale |
| F9 | Stay on bidside |
| FA | No cross |
| FB | OK to cross |
| FC | Call first |
| FD | Percent of volume |
| FH | Reinstate on system failure |
| FI | Institution only |
| FJ | Reinstate on trading halt |
| FK | Cancel on trading half |
| FL | Last peg |
| FM | Mid-price peg |
| FN | Non-negotiable |
| FO | Opening peg |
| FP | Market peg |
| FQ | Cancel on system failure |
| FR | Primary peg |
| FS | Suspend |
| FT | Fixed peg to local best bid or offer at time of order |
| FW | Peg to VWAP |
| FX | Trade along |
| FY | Try to stop |
| FZ | Cancel if not best |
| Fb | Strict limit |
| Fc | Ignore price validity checks |
| Fd | Peg to Limit Price |
| Fe | Work to target strategy |
| G | G Order(FINRA OATS), FCM API or FIX(FIA Execution Source) |