How should the accountHolderType field be populated in relation to NYSE Account Type Indicators?
The Exchange ATI values are separate and distinct from the accountHolderType values. The ATI values required to be submitted to the Exchange primarily are used to identify whether an Exchange member is entering an order into Exchange systems for its account or the account of some other entity, while the CAT accountHolderType values are used to identify the type of account originating an order. CAT captures capacity and other information in fields separate and distinct from the accountHolderType. Consequently, the Exchange ATI values will have no impact on a firm’s population of the accountHolderType in CAT.
The below chart that reflects the most common combinations of Exchange ATIs and CAT accountHolderType.
| Capacity of Firm | CAT | Exchange |
| Firm routing to the Exchange for the account of the member | accountHolderType Code: “O”, “P”, “V”, or “X” | ATI: “P”, “Q” or “R” |
| Firm acting as agent on behalf of its own customer | accountHolderType Code: “I”, “A”, “V”, or “E” | ATI: “A” |
| Firm acting as agent for the customer of another Broker/Dealer | accountHolderType Code: “I”, “A”, “V”, “E” | ATI: “A” |
| Firm acting as agent for the proprietary account of another Broker/Dealer | accountHolderType Code: “O”, “P” | ATI: “A” |