Codes
In option H, if Qualifier is BUSE, Indicator must contain one of the following codes:
Buy: Transaction is a purchase of financial instrument by the instructing party.
Cross From: Transaction is a cross from (Funds Industry).
Cross To: Transaction is a cross to (Funds Industry).
Reinvestment of Dividend Order: Transaction is a reinvestment of dividend order (Funds Industry. Not to be used for corporate actions).
FPO Order: Transaction is an FPO (Follow on Public Offer) bid or order.
IPO Order: Transaction is an IPO (Initial Public Offering) bid or order.
IPP Order: Transaction is an IPP (Institutional Placement Programme) bid or order.
Redemption: Transaction is a redemption of funds.
Sell: Transaction is a sale of financial instrument by the instructing party.
Subscription: Transaction is a subscription to funds.
Switch From: Transaction is a change of an investment from one sub-fund to another sub-fund.
Switch To: Transaction is a change of an investment from one sub-fund to another sub-fund.
In option F, if Qualifier is TOOR and Data Source Scheme is not present, Indicator must contain one of the following codes:
All or None: A round-lot market or limit-price order which must be executed in its entirety or not at all; unlike 'fill or kill', these orders are not cancelled if not executed as soon as received.
Buy Contra Short Exempt: Order to buy contra short exempt.
Buy Contra Short: Order to buy contra short.
Buy Minus: Order to buy at a price lower than the current market price. This is an order to buy a stated amount of a financial instrument provided that its price is not higher than the last sale if the last sale was a minus or zero minus tick, not higher than the last sale minus the minimum fractional change in the stock if the last sale was a plus or zero plus tick. The price limit indicates the highest price at which the order can be executed.
Carefully: Order that is not to be executed as a whole because it may disturb the price.
Combination Order: Order that is linked to another order to buy or sell and must be executed as a unit, both or none, or cancelled as a unit.
Discretionary: Order where the executing broker or investment manager decides on the quantity or price.
Do Not Increase: Limit order to buy or stop order to sell or stop limit order that is not to be increased in shares on the ex-dividend date as a result of a stock dividend or distribution.
Do Not Reduce: Limit order to buy or stop order to sell, or stop-limit order to sell that is not to be reduced in price by the amount of an ordinary cash dividend. Applies only to ordinary stock dividends; should be reduced for other distributions.
Iceberg Order: Type of limit order whose overall quantity is not transparent to the market. Rather, only a client-defined part of the order is shown to the market (the 'tip of the iceberg'). Upon execution of the first 'tip' (that is partial execution to the client while for the market it does not appear to be a 'partial') the system releases the next 'tip' of the same size to the market until the 'iceberg' has been melted down successfully. Different from a usual care order.
Limit With: Order to be executed at a limit price, with a round-lot (or board-lot) sales; valid only for odd lot orders.
Limit Without: Order to be executed at a limit price, without a round-lot (or board-lot) sales; valid only for odd lot orders.
Limit Order: Order to buy at the indicated price limit or lower or an order to sell at the indicated limit price or higher.
At Market: Order to buy or sell a specified amount of a financial instrument at the quoted market price or better.
Market Not Held: Order to buy or sell a specified amount of a financial instrument at the quoted market price or better with some discretion on the price limit.
Market to Limit Order: Type of order that couples the high possibility of execution (Market Order) with a protection against unwanted price fluctuations (Limit Order).
Market Until Touched: Order to buy or sell a specified amount of a financial instrument at the quoted market price or better with some discretion on the price limit.
Not Held: Order that may be executed in partials or outside the hours of the exchange or other exchange rules.
Order Lie: Order that is related to another order where the second order may be cancelled without cancelling the first. Normally, the sell order must be executed before the buy order.
Stop Limit: Stop order to buy (sell) that becomes a limit order at the limit price when the financial instrument trades at or above (below) the stop price after the order is submitted.
Stop Order: Order to buy that becomes a market order when the financial instrument trades at or above the stop price after the order is submitted or an order to sell which becomes a market order when the financial instrument trades at or below the stop price.
Stop Loss: Order to sell that sets the sell price below the market price.
Sell Plus: Order to sell a stated amount provided that the price is not lower than the last sale price if the last sale was a plus or zero plus tick and not lower than the last sale minus the minimum fractional change in the financial instrument if the last sale was a minus or zero minus tick.
Sell Short Exempt: Order to sell short which is exempt from short-sale rules.
Sell Short: Order to sell a financial instrument that the seller does not own; a sale effected by delivering a financial instrument borrowed by or for the account of the seller.
In option F, if Qualifier is TILI and Data Source Scheme is not present, Indicator must contain one of the following codes:
At the Closing: Order to be executed at or around the closing price.
Fill or Kill: Market or limit order that is to be executed in its entirety as soon as it is submitted; if not so executed, the order is to be cancelled.
Good for the Day: Order that, if not executed, expires at the end of the trading day on which the order is entered.
Good until Cancelled: Order that remains in effect until it is either executed or cancelled.
Good through Date: Order that, if not executed, expires at the end of the specified expiry date.
Good for the Month: Order that, if not executed, expires at the end of the month on which the order is entered.
Good until the End of Next Month: Order that, if not executed, expires at the end of next month.
Good till Crossed: Order that remains in effect until crossed.
Immediate or Cancel: Market or limit order to be executed in whole or in part as soon as it is submitted; any portion not so executed is to be cancelled.
At the Opening: Market or limit order to be executed at the opening of the stock exchange or not at all; all or part of any order not executed at the opening is treated as cancelled.
In option F, if Qualifier is TRTR and Data Source Scheme is not present, Indicator must contain one of the following codes:
Basket Trade: Transaction is a single order to buy and sell several financial instruments for the purpose of simultaneous buying and selling. Baskets are often used for a set of 15 or more financial instruments and play a role in arbitrage activity.
Index Trade: Transaction is a single order to buy or sell all underlying financial instruments of an index, for example, S&P500.
List Trade: Transaction is a trade of a predetermined set of financial instruments.
Program Trade: Transaction relates to computer-driven automatically executed trades in large volumes of a set of several financial instruments.
Trade: Transaction is a regular trade.
In option F, if Qualifier is TTCO and Data Source Scheme is not present, Indicator must contain one of the following codes:
Best Execution: Trade to be executed at best execution.
Block Order: Trade is a block trade, allocation instructions will follow.
Call: Trade to be executed following the exercise of a call option on the security.
Cum Bonus: Trade executed cum bonus.
Cum Coupon: Trade executed cum coupon.
Cum Dividend: Trade executed cum dividend.
Closure Before Rollover: Trade to be executed for closure of a previous position before the rollover of a position (Deferred Settlement Service).
Clean: Trade is to be executed clean, that is, does not pay government tax on the accrued interest on the bond, and consequently price is higher.
Cross Trade Allowed: Cross trades are allowed whereby buy and sell orders are offset without recording the trade on the exchange.
Cum Rights: Trade is to be executed cum rights.
Cum Warrants: Trade is to be executed cum warrants.
Directed Order: Trade is to be executed with a specific trading party.
Dirty: Trade is to be executed dirty, that is, pay government tax on the accrued interest of the bond.
Direct Order: Trade is to be executed by a trading party other than the trading party to which the order is sent. In this case, the instructing party has traded with another broker which will subsequently send an advice of execution to the executing party.
Forward Price: Trade is based on forward price. Price will be calculated after the close of the dealing period.
Fractional Parts Allowed: Fractional parts allowed.
Guaranteed Delivery: Delivery of the financial instrument on settlement date is guaranteed.
Historic Price: Trade is based on historic price.
Monthly: Trade to be executed for month-end settlement (Deferred Settlement Service).
New Trade Following Rollover: Trade to be executed for a new trade position on the next month following the rollover of a position (Deferred Settlement Service).
No Cross Trade Allowed: No cross trade allowed.
Putt: Trade to be executed following the exercise of a put option on the security.
Special Cum Dividend: Trade is executed with a special cum dividend, that is, buying after the ex date and getting the dividend.
Special Ex Dividend: Trade is executed with a special ex dividend, that is, selling before the ex date without the coupon.
Trade Following Rollover: Trade to be executed on the next month following the rollover of positions.
Ex Bonus: Trade is to be executed ex bonus.
Ex Coupon: Trade is to be executed ex coupon.
Ex Dividend: Trade is to be executed ex dividend.
Ex Rights: Trade is to be executed ex rights.
Ex Warrants: Trade is to be executed ex warrants.
In option F, if Qualifier is COST and Data Source Scheme is not present, Indicator must contain one of the following codes:
Per Client Agreement: Commission is as per client agreement.
Flat Fee: Commission is a flat fee.
Percentage of Principal in Basis Points: Commission is a percentage of principal.
Per Unit: Commission is per unit of financial instrument.
Percentage Commission Waived as Cash Discount: Commission is a percentage commission waived as cash discount.
Percentage Commission Waived as Additional Units: Commission is a percentage commission waived as additional units.
Soft Dollar Commission Sharing: Commission is a soft dollar percentage commission.
Commission Sharing Type is for Step-out Trade: Commission is for a step-out trade.
In option H, if Qualifier is PAYM, Indicator must contain one of the following codes:
Against Payment: Against payment.
In option F, if Qualifier is REST and Data Source Scheme is not present, Indicator must contain one of the following codes:
Pursuant to 144A: Ownership or transfer of an unregistered security issued, pursuant to US legal restrictions 144A.
Not Subject to Restrictions: Ownership or transfer of a security that is not subject to restrictions.
Subject to Restrictions (not pursuant to 144A): Ownership or transfer of a security that is subject to restrictions, and not pursuant to 144A.
