1. European
  2. ESMA - European Securities and Markets Authority
  3. Guidelines
  4. 2016
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  1. Guidelines - Transaction reporting, order record keeping and clock synchronisation under MiFID II (updated 7 August 2017) (ESMA/2016/1452)
  2. 5 Guidelines on transaction reporting
  3. Part II - Blocks
  4. 5.18 Block 11: Status of transaction reports and corrections
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Version date: 10 October 2016 - onwards

5.18 Block 11: Status of transaction reports and corrections

The status of ‘NEWT’ in Field 1 is used for a transaction not yet reported and for a correction of an inaccurate transaction report following a cancellation of the original transaction report.

The status of ‘CANC’ is used to cancel transaction reports in non reportable transactions and to cancel transaction reports that contain errors before making a replacement transaction report.

 Transaction reference numbers (TRNs) should be unique to the executing Investment Firm for each transaction report. In cases where one or more ARMs are involved, the transaction reference number should always be generated at the executing Investment Firm level. The TRN should not be re-used, except where the original transaction report is being corrected or cancelled in which case the same transaction reference number should be used for the replacement report as for the original report that is being replaced (see sections 5.18.3 and 5.18.4). The TRN should be re-used for any subsequent correction o

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