tag Document
type Document
path: /Document[1..1]
X-path: /Document
mode:
minOccurs 1
maxOccurs 1
Elements:
Document [Sequence]
RgltryTxRptStsV01
tag RgltryTxRptStsV01
type RegulatoryTransactionReportStatusV01
fullName RegulatoryTransactionReportStatusV01
path: /Document[1..1]/RgltryTxRptStsV01[1..1]
X-path: /Document/RgltryTxRptStsV01
mode: Sequence
minOccurs 1
maxOccurs 1
Documentation:
ISO Message Definition Scope
A regulator or an intermediary sends the RegulatoryTransactionReportStatus to a reporting institution to provide the status of a RegulatoryTransactionReport previously sent by the reporting institution.
Usage
The message definition may be used to provide a status for the entire report or to provide a status at the level of individual transactions within the report. One of the following statuses can be reported:
- Completed, or,
- Pending, or,
- Rejected.
If the status is rejected, then reason for the rejection must be specified.
Building Block:
Name Identification
Definition Identification of the RegulatoryTransactionReportStatus document.
Building Block:
Name ReportingInstitution
Definition Identification of the firm that is legally responsible for sending the transaction report.
Building Block:
Name ReportStatus
Definition Provides the status of the entire RegulatoryTransactionReport that was previously sent by the reporting institution.
Building Block:
Name IndividualTransactionStatus
Definition Provides the status of one or more transactions that were previously sent within a RegulatoryTransactionReport by the reporting institution.
RgltryTxRptStsV01
tag Id
type DocumentIdentification8
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/Id[1..1]
X-path: /Document/RgltryTxRptStsV01/Id
mode: Sequence
minOccurs 1
maxOccurs 1
Documentation:
ISO Type Definition Identifies the document by providing a unique identification and optionally the date/time of the creation of the document.
Elements:
Document/RgltryTxRptStsV01/Id [Sequence]
Id Identification
CreDtTm Creation Date Time
RgltryTxRptStsV01
+Id
tag Id
type Max35Text
fullName Identification
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/Id[1..1]/Id[1..1]
X-path: /Document/RgltryTxRptStsV01/Id/Id
mode: Sequence
minOccurs 1
maxOccurs 1
minLength 1
maxLength 35
Documentation:
ISO Element Name Identification
ISO Element Definition Unique identification of the document.
RgltryTxRptStsV01
+Id
tag CreDtTm
type ISODateTime
fullName CreationDateTime
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/Id[1..1]/CreDtTm[0..1]
X-path: /Document/RgltryTxRptStsV01/Id/CreDtTm
mode: Sequence
minOccurs 0
maxOccurs 1
Documentation:
ISO Element Name Creation Date Time
ISO Element Definition Date/time of the creation of the document.
RgltryTxRptStsV01
tag RptgInstn
type PartyIdentification23Choice
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/RptgInstn[1..1]
X-path: /Document/RgltryTxRptStsV01/RptgInstn
mode: Sequence
minOccurs 1
maxOccurs 1
Documentation:
ISO Type Definition Choice of identification of a party. The party can be identified by giving a BIC or a proprietary code.
Elements:
Document/RgltryTxRptStsV01/RptgInstn [Choice]
BICOrBEI BIC Or BEI
PrtryId Proprietary Identification
RgltryTxRptStsV01
+RptgInstn
tag BICOrBEI
type AnyBICIdentifier
fullName BICOrBEI
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/RptgInstn[1..1]/BICOrBEI[1..1]
X-path: /Document/RgltryTxRptStsV01/RptgInstn/BICOrBEI
mode: Choice
minOccurs 1
maxOccurs 1
Pattern: [A-Z]{6,6}[A-Z2-9][A-NP-Z0-9]([A-Z0-9]{3,3}){0,1}
Documentation:
ISO Element Name BIC Or BEI
ISO Type Definition Code allocated to a financial or non-financial institution by the ISO 9362 Registration Authority, as described in ISO 9362 "Banking - Banking telecommunication messages - Business identifier code (BIC)".
Constraint:
Name AnyBIC
Definition Only a valid Business identifier code is allowed. Business identifier codes for financial or non-financial institutions are registered by the ISO 9362 Registration Authority in the BIC directory, and consists of eight (8) or eleven (11) contiguous characters.
RgltryTxRptStsV01
+RptgInstn
tag PrtryId
type GenericIdentification1
fullName ProprietaryIdentification
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/RptgInstn[1..1]/PrtryId[1..1]
X-path: /Document/RgltryTxRptStsV01/RptgInstn/PrtryId
mode: Choice
minOccurs 1
maxOccurs 1
Documentation:
ISO Element Name Proprietary Identification
ISO Type Definition Information related to an identification, for example party identification or account identification.
Elements:
Document/RgltryTxRptStsV01/RptgInstn/PrtryId [Sequence]
Id Identification
SchmeNm Scheme Name
Issr Issuer
RgltryTxRptStsV01
+RptgInstn
++PrtryId
tag Id
type Max35Text
fullName Identification
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/RptgInstn[1..1]/PrtryId[1..1]/Id[1..1]
X-path: /Document/RgltryTxRptStsV01/RptgInstn/PrtryId/Id
mode: Sequence
minOccurs 1
maxOccurs 1
minLength 1
maxLength 35
Documentation:
ISO Element Name Identification
ISO Element Definition Identification assigned by an institution.
RgltryTxRptStsV01
+RptgInstn
++PrtryId
tag SchmeNm
type Max35Text
fullName SchemeName
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/RptgInstn[1..1]/PrtryId[1..1]/SchmeNm[0..1]
X-path: /Document/RgltryTxRptStsV01/RptgInstn/PrtryId/SchmeNm
mode: Sequence
minOccurs 0
maxOccurs 1
minLength 1
maxLength 35
Documentation:
ISO Element Name Scheme Name
ISO Element Definition Name of the identification scheme.
RgltryTxRptStsV01
+RptgInstn
++PrtryId
tag Issr
type Max35Text
fullName Issuer
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/RptgInstn[1..1]/PrtryId[1..1]/Issr[0..1]
X-path: /Document/RgltryTxRptStsV01/RptgInstn/PrtryId/Issr
mode: Sequence
minOccurs 0
maxOccurs 1
minLength 1
maxLength 35
Documentation:
ISO Element Name Issuer
ISO Element Definition Entity that assigns the identification.
RgltryTxRptStsV01
tag RptSts
type ReportStatusAndReason1
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/RptSts[1..1]
X-path: /Document/RgltryTxRptStsV01/RptSts
mode: Choice
minOccurs 1
maxOccurs 1
Documentation:
ISO Type Definition Provides the related report identification and its status. If the status is rejected, a reason for this status must be given.
Elements:
Document/RgltryTxRptStsV01/RptSts [Sequence]
RltdRef Related Reference
Document/RgltryTxRptStsV01/RptSts [Choice]
Sts Status
Rjctd Rejected
RgltryTxRptStsV01
+RptSts
tag RltdRef
type Max35Text
fullName RelatedReference
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/RptSts[1..1]/RltdRef[1..1]
X-path: /Document/RgltryTxRptStsV01/RptSts/RltdRef
mode: Sequence
minOccurs 1
maxOccurs 1
minLength 1
maxLength 35
Documentation:
ISO Element Name Related Reference
ISO Element Definition Provides the identification of the RegulatoryTransactionReport document that was previously sent by the reporting institution.
RgltryTxRptStsV01
+RptSts
tag Sts
type Status2Code
fullName Status
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/RptSts[1..1]/Sts[1..1]
X-path: /Document/RgltryTxRptStsV01/RptSts/Sts
mode: Choice
minOccurs 1
maxOccurs 1
Enumeration:
COMP
Definition Processing has been completed.
Name Completed
ISO Definition Processing has been completed.
ISO Name Completed
PDNG
Definition Instruction is pending.
Name Pending
ISO Definition Instruction is pending.
ISO Name Pending
Documentation:
ISO Element Name Status
ISO Element Definition Indicates the status of a report message.
ISO Type Definition Specifies the status of an instruction.
RgltryTxRptStsV01
+RptSts
tag Rjctd
type RejectedStatusReason9Choice
fullName Rejected
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/RptSts[1..1]/Rjctd[1..100]
X-path: /Document/RgltryTxRptStsV01/RptSts/Rjctd
mode: Choice
minOccurs 1
maxOccurs 100
Documentation:
ISO Element Name Rejected
ISO Element Definition Indicates that the report is rejected and provides a reason why.
ISO Type Definition Reason for which a transaction report is rejected.
Elements:
Document/RgltryTxRptStsV01/RptSts/Rjctd [Choice]
Rsn Reason
XtndedRsn Extended Reason
DataSrcSchme Data Source Scheme
RgltryTxRptStsV01
+RptSts
++Rjctd
tag Rsn
type RejectedStatusReason9Code
fullName Reason
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/RptSts[1..1]/Rjctd[1..100]/Rsn[1..1]
X-path: /Document/RgltryTxRptStsV01/RptSts/Rjctd/Rsn
mode: Choice
minOccurs 1
maxOccurs 1
Enumeration:
DSEC
Definition Identification of the security is not recognised or is invalid.
Name FinancialInstrumentIdentification
ISO Definition Identification of the security is not recognised or is invalid.
ISO Name FinancialInstrumentIdentification
IDNA
Definition Identification of the security and the security name are not the same.
Name FinancialInstrumentIdentificationAndName
ISO Definition Identification of the security and the security name are not the same.
ISO Name FinancialInstrumentIdentificationAndName
ORRF
Definition Order reference is a duplicate of a previously received order.
Name DuplicateOrderReference
ISO Definition Order reference is a duplicate of a previously received order.
ISO Name DuplicateOrderReference
NSLA
Definition Instruction is not compliant with the service level agreement.
Name NotCompliantWithSLA
ISO Definition Instruction is not compliant with the service level agreement.
ISO Name NotCompliantWithSLA
DQUA
Definition Financial instrument quantity is invalid.
Name FinancialInstrumentQuantity
ISO Definition Financial instrument quantity is invalid.
ISO Name FinancialInstrumentQuantity
NCRR
Definition Unrecognised or invalid Settlement Amount Currency.
Name SettlementAmountCurrency
ISO Definition Unrecognised or invalid Settlement Amount Currency.
ISO Name SettlementAmountCurrency
PLCE
Definition Unrecognised or invalid Place of Trade.
Name PlaceOfTrade
ISO Definition Unrecognised or invalid Place of Trade.
ISO Name PlaceOfTrade
DTRD
Definition Unrecognised or invalid trade date or requested trade date or future trade date.
Name TradeDate
ISO Definition Unrecognised or invalid trade date or requested trade date or future trade date.
ISO Name TradeDate
Documentation:
ISO Element Name Reason
ISO Type Definition Reason for which an instruction, request, report message is rejected.
RgltryTxRptStsV01
+RptSts
++Rjctd
tag XtndedRsn
type Extended350Code
fullName ExtendedReason
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/RptSts[1..1]/Rjctd[1..100]/XtndedRsn[1..1]
X-path: /Document/RgltryTxRptStsV01/RptSts/Rjctd/XtndedRsn
mode: Choice
minOccurs 1
maxOccurs 1
minLength 1
maxLength 350
Documentation:
ISO Element Name Extended Reason
RgltryTxRptStsV01
+RptSts
++Rjctd
tag DataSrcSchme
type GenericIdentification1
fullName DataSourceScheme
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/RptSts[1..1]/Rjctd[1..100]/DataSrcSchme[1..1]
X-path: /Document/RgltryTxRptStsV01/RptSts/Rjctd/DataSrcSchme
mode: Choice
minOccurs 1
maxOccurs 1
Documentation:
ISO Element Name Data Source Scheme
ISO Type Definition Information related to an identification, for example party identification or account identification.
Elements:
Document/RgltryTxRptStsV01/RptSts/Rjctd/DataSrcSchme [Sequence]
Id Identification
SchmeNm Scheme Name
Issr Issuer
RgltryTxRptStsV01
+RptSts
++Rjctd
+++DataSrcSchme
tag Id
type Max35Text
fullName Identification
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/RptSts[1..1]/Rjctd[1..100]/DataSrcSchme[1..1]/Id[1..1]
X-path: /Document/RgltryTxRptStsV01/RptSts/Rjctd/DataSrcSchme/Id
mode: Sequence
minOccurs 1
maxOccurs 1
minLength 1
maxLength 35
Documentation:
ISO Element Name Identification
ISO Element Definition Identification assigned by an institution.
RgltryTxRptStsV01
+RptSts
++Rjctd
+++DataSrcSchme
tag SchmeNm
type Max35Text
fullName SchemeName
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/RptSts[1..1]/Rjctd[1..100]/DataSrcSchme[1..1]/SchmeNm[0..1]
X-path: /Document/RgltryTxRptStsV01/RptSts/Rjctd/DataSrcSchme/SchmeNm
mode: Sequence
minOccurs 0
maxOccurs 1
minLength 1
maxLength 35
Documentation:
ISO Element Name Scheme Name
ISO Element Definition Name of the identification scheme.
RgltryTxRptStsV01
+RptSts
++Rjctd
+++DataSrcSchme
tag Issr
type Max35Text
fullName Issuer
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/RptSts[1..1]/Rjctd[1..100]/DataSrcSchme[1..1]/Issr[0..1]
X-path: /Document/RgltryTxRptStsV01/RptSts/Rjctd/DataSrcSchme/Issr
mode: Sequence
minOccurs 0
maxOccurs 1
minLength 1
maxLength 35
Documentation:
ISO Element Name Issuer
ISO Element Definition Entity that assigns the identification.
RgltryTxRptStsV01
tag IndvTxSts
type TradeTransactionStatusAndReason1
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/IndvTxSts[1..unbounded]
X-path: /Document/RgltryTxRptStsV01/IndvTxSts
mode: Choice
minOccurs 1
maxOccurs unbounded
Documentation:
ISO Type Definition Identifies the transaction with a trade reference and provides its status. If the status is rejected, a reason for this status must be given.
Elements:
Document/RgltryTxRptStsV01/IndvTxSts [Sequence]
RltdRef Related Reference
TradRef Trade Reference
Document/RgltryTxRptStsV01/IndvTxSts [Choice]
Sts Status
Rjctd Rejected
RgltryTxRptStsV01
+IndvTxSts
tag RltdRef
type Max35Text
fullName RelatedReference
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/IndvTxSts[1..unbounded]/RltdRef[1..1]
X-path: /Document/RgltryTxRptStsV01/IndvTxSts/RltdRef
mode: Sequence
minOccurs 1
maxOccurs 1
minLength 1
maxLength 35
Documentation:
ISO Element Name Related Reference
ISO Element Definition Provides the identification of the RegulatoryTransactionReport document that was previously sent by the reporting institution.
RgltryTxRptStsV01
+IndvTxSts
tag TradRef
type Max70Text
fullName TradeReference
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/IndvTxSts[1..unbounded]/TradRef[1..1]
X-path: /Document/RgltryTxRptStsV01/IndvTxSts/TradRef
mode: Sequence
minOccurs 1
maxOccurs 1
minLength 1
maxLength 70
Documentation:
ISO Element Name Trade Reference
ISO Element Definition Unique identification assigned to a trade once it is received or matched by an executing system.
RgltryTxRptStsV01
+IndvTxSts
tag Sts
type Status2Code
fullName Status
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/IndvTxSts[1..unbounded]/Sts[1..1]
X-path: /Document/RgltryTxRptStsV01/IndvTxSts/Sts
mode: Choice
minOccurs 1
maxOccurs 1
Enumeration:
COMP
Definition Processing has been completed.
Name Completed
ISO Definition Processing has been completed.
ISO Name Completed
PDNG
Definition Instruction is pending.
Name Pending
ISO Definition Instruction is pending.
ISO Name Pending
Documentation:
ISO Element Name Status
ISO Element Definition Indicates the status of a trade transaction.
ISO Type Definition Specifies the status of an instruction.
RgltryTxRptStsV01
+IndvTxSts
tag Rjctd
type RejectedStatusReason9Choice
fullName Rejected
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/IndvTxSts[1..unbounded]/Rjctd[1..100]
X-path: /Document/RgltryTxRptStsV01/IndvTxSts/Rjctd
mode: Choice
minOccurs 1
maxOccurs 100
Documentation:
ISO Element Name Rejected
ISO Element Definition Indicates that the report is rejected and provides a reason why.
ISO Type Definition Reason for which a transaction report is rejected.
Elements:
Document/RgltryTxRptStsV01/IndvTxSts/Rjctd [Choice]
Rsn Reason
XtndedRsn Extended Reason
DataSrcSchme Data Source Scheme
RgltryTxRptStsV01
+IndvTxSts
++Rjctd
tag Rsn
type RejectedStatusReason9Code
fullName Reason
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/IndvTxSts[1..unbounded]/Rjctd[1..100]/Rsn[1..1]
X-path: /Document/RgltryTxRptStsV01/IndvTxSts/Rjctd/Rsn
mode: Choice
minOccurs 1
maxOccurs 1
Enumeration:
DSEC
Definition Identification of the security is not recognised or is invalid.
Name FinancialInstrumentIdentification
ISO Definition Identification of the security is not recognised or is invalid.
ISO Name FinancialInstrumentIdentification
IDNA
Definition Identification of the security and the security name are not the same.
Name FinancialInstrumentIdentificationAndName
ISO Definition Identification of the security and the security name are not the same.
ISO Name FinancialInstrumentIdentificationAndName
ORRF
Definition Order reference is a duplicate of a previously received order.
Name DuplicateOrderReference
ISO Definition Order reference is a duplicate of a previously received order.
ISO Name DuplicateOrderReference
NSLA
Definition Instruction is not compliant with the service level agreement.
Name NotCompliantWithSLA
ISO Definition Instruction is not compliant with the service level agreement.
ISO Name NotCompliantWithSLA
DQUA
Definition Financial instrument quantity is invalid.
Name FinancialInstrumentQuantity
ISO Definition Financial instrument quantity is invalid.
ISO Name FinancialInstrumentQuantity
NCRR
Definition Unrecognised or invalid Settlement Amount Currency.
Name SettlementAmountCurrency
ISO Definition Unrecognised or invalid Settlement Amount Currency.
ISO Name SettlementAmountCurrency
PLCE
Definition Unrecognised or invalid Place of Trade.
Name PlaceOfTrade
ISO Definition Unrecognised or invalid Place of Trade.
ISO Name PlaceOfTrade
DTRD
Definition Unrecognised or invalid trade date or requested trade date or future trade date.
Name TradeDate
ISO Definition Unrecognised or invalid trade date or requested trade date or future trade date.
ISO Name TradeDate
Documentation:
ISO Element Name Reason
ISO Type Definition Reason for which an instruction, request, report message is rejected.
RgltryTxRptStsV01
+IndvTxSts
++Rjctd
tag XtndedRsn
type Extended350Code
fullName ExtendedReason
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/IndvTxSts[1..unbounded]/Rjctd[1..100]/XtndedRsn[1..1]
X-path: /Document/RgltryTxRptStsV01/IndvTxSts/Rjctd/XtndedRsn
mode: Choice
minOccurs 1
maxOccurs 1
minLength 1
maxLength 350
Documentation:
ISO Element Name Extended Reason
RgltryTxRptStsV01
+IndvTxSts
++Rjctd
tag DataSrcSchme
type GenericIdentification1
fullName DataSourceScheme
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/IndvTxSts[1..unbounded]/Rjctd[1..100]/DataSrcSchme[1..1]
X-path: /Document/RgltryTxRptStsV01/IndvTxSts/Rjctd/DataSrcSchme
mode: Choice
minOccurs 1
maxOccurs 1
Documentation:
ISO Element Name Data Source Scheme
ISO Type Definition Information related to an identification, for example party identification or account identification.
Elements:
Document/RgltryTxRptStsV01/IndvTxSts/Rjctd/DataSrcSchme [Sequence]
Id Identification
SchmeNm Scheme Name
Issr Issuer
RgltryTxRptStsV01
+IndvTxSts
++Rjctd
+++DataSrcSchme
tag Id
type Max35Text
fullName Identification
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/IndvTxSts[1..unbounded]/Rjctd[1..100]/DataSrcSchme[1..1]/Id[1..1]
X-path: /Document/RgltryTxRptStsV01/IndvTxSts/Rjctd/DataSrcSchme/Id
mode: Sequence
minOccurs 1
maxOccurs 1
minLength 1
maxLength 35
Documentation:
ISO Element Name Identification
ISO Element Definition Identification assigned by an institution.
RgltryTxRptStsV01
+IndvTxSts
++Rjctd
+++DataSrcSchme
tag SchmeNm
type Max35Text
fullName SchemeName
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/IndvTxSts[1..unbounded]/Rjctd[1..100]/DataSrcSchme[1..1]/SchmeNm[0..1]
X-path: /Document/RgltryTxRptStsV01/IndvTxSts/Rjctd/DataSrcSchme/SchmeNm
mode: Sequence
minOccurs 0
maxOccurs 1
minLength 1
maxLength 35
Documentation:
ISO Element Name Scheme Name
ISO Element Definition Name of the identification scheme.
RgltryTxRptStsV01
+IndvTxSts
++Rjctd
+++DataSrcSchme
tag Issr
type Max35Text
fullName Issuer
path: /Document[1..1]/RgltryTxRptStsV01[1..1]/IndvTxSts[1..unbounded]/Rjctd[1..100]/DataSrcSchme[1..1]/Issr[0..1]
X-path: /Document/RgltryTxRptStsV01/IndvTxSts/Rjctd/DataSrcSchme/Issr
mode: Sequence
minOccurs 0
maxOccurs 1
minLength 1
maxLength 35
Documentation:
ISO Element Name Issuer
ISO Element Definition Entity that assigns the identification.