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Are Clearing Member Trade Assignments (“CMTAs”) required to be reported to CAT?

Are Clearing Member Trade Assignments (“CMTAs”) required to be reported to CAT?

No. CMTAs are not allocations, as defined by SEC Rule 613. Therefore, CMTAs are not required to be reported to CAT. However, CMTAs may optionally be reported to CAT in the Option Post-Trade Allocation (MOPA) and Option Amended Allocation (MOOA) events using the allocationType value of ‘CMTA’ and populating the occClearingMemberID field.

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Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].