Regulatory Trade Reporting

Trade 010 Reference RD Field Trade 010 Reference RD Field

EBS

TRACE

MSRB

EBS

TRACE

MSRB
Field Data (RD) Field Data (RD)

000 - Company Code Firm TRACE MPID X X 009 - Book Book ID Prop X

000 - Company Code Firm N&A Line 1-6 Prop X 009 - Book Book TRACE MPID X

001 - Trade Date X X X 013 - Exchange Exchange Finra Exchange Code X

002 - Account Account ID X X 013 - Exchange Exchange Clearing Venue (OCC/NSCC) X

002 - Account Account State X 016 - Commission Amount X

002 - Account Account Zip Code X 020 - Branch X

002 - Account Account Open Date X 028 - Entry Type X X

002 - Account Account Name X 031 - Open/Close Prop

002 - Account Account Employer Name X 047 - Commission Amount X X

002 - Account Account TIN X 050 - Commission Amount X X

002 - Account Account N&A Line 1-6 X 053 - Commission Amount X X

002 - Account Account Prime Broker Number X 056 - Commission Amount X X

002 - Account Account LTID 1-3 X 059 - Commission Amount X X

002 - Account Account TRACE MPID X X 062 - Commission Amount X X

002 - Account Account Affiliate X 065 - Commission Amount X X

002 - Account Account No Remuneration X 068 - Commission Amount X X

002 - Account Account Branch X 073 - Execution date & time X x

002 - Account Account Rep X 075 - Contra Broker Broker Alias Contra Executing Firm - MPID X

003 - Tran Code (BUY/SEL) X X X 075 - Contra Broker Broker Alias Contra Executing Firm - Clearing # X

004 - Asset Asset CUSIP X X X 089 - Clearing Broker Broker Alias Clearing Firm - MPID X

004 - Asset Asset TICKER X 089 - Clearing Broker Broker Alias Clearing Firm - Clearing # X

006 - Settlement Date X X 122 - Capacity

007 - Trading Price X X 131 - Customer Open/Close Agent

008 - Quantity X X 151 - Average Price Trade Indicator X

152 - Blue Sheet Account Trade Type X

154 - Trade For Another Broker Indicator X

181 - No Remuneration X

183 - TRADEModifier4 X

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