OATS Report - November 2, 1999

November 2, 1999

The data in all ROEs in a single FORE must belong to the firm identified by the Order Receiving Firm MP ID in the FORE header. In the majority of cases, the Order Receiving Firm MP ID in the FORE header and in each ROE will be identical. However, when an Order Receiving Firm has multiple MP IDs or has changed its MP ID recently, it is acceptable for the MP ID in the FORE header to be different from the MP IDs in its ROEs.

If this applies to your organization, be sure to explicitly identify the appropriate Order Receiving Firm MP ID in each ROE. If you leave a ROE's Order Receiving Firm MP ID blank, OATS assumes that the Order Receiving Firm is identical to the MP ID identified in the FORE header.

If you have questions about which MP ID to use in a FORE header or ROE, contact NASD Business and Technology Support Services at (888) 321-NASD or via e-mail.