Document ID: chunk:federal_register_of_legislation:F2024C01137:reg:102:p1
Version: federal_register_of_legislation:F2024C01137
Segment Type: reg
Provision Reference: reg 102 (pt 1/2)
Character Range: 261658–271831

102                                                                        Event type                                       An indicator of whether the kind of event associated with the value reported for Action type relates to:                                                                                                                                                                                                                                                                                                                                 As set out in the applicable paragraph of column 5 of this item.                                                                                                             1.      TRAD—for the entry into of an OTC Derivative or renegotiation of the terms of a previously reported OTC Derivative that does not result in change of a counterparty;
                                                                                                                               1.      the entry into an OTC Derivative or renegotiation of the terms of a previously reported OTC Derivative that does not result in change of a counterparty;                                                                                                                                                                                                                                                                                                                                                                                                                                                   2.      NOVA—for an assignment of an OTC Derivative;
                                                                                                                               2.      an assignment of an OTC Derivative;                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        3.      COMP—for a compression or post-trade risk reduction exercise;
                                                                                                                               3.      a compression or post-trade risk reduction exercise;                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       4.      ETRM—the full or partial termination of an OTC Derivative;
                                                                                                                               4.      the full or partial termination of an OTC Derivative;                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      5.      CLRG—for the clearing of an OTC Derivative;
                                                                                                                               5.      the clearing of an OTC Derivative;                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         6.       EXER—for the exercise of an option;
                                                                                                                               6.       the exercise of an option;                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                7.      ALOC—for the allocation of an OTC Derivative by apportioning its notional amount or total notional quantity to new OTC Derivatives with different counterparties;
                                                                                                                               7.      the allocation of an OTC Derivative by apportioning its notional amount or total notional quantity to new OTC Derivatives with different counterparties;                                                                                                                                                                                                                                                                                                                                                                                                                                                   8.      CREV—for an event that results in the modification or termination of a previously reported OTC Derivative that is a credit derivative;
                                                                                                                               8.      an event that results in the modification or termination of a previously reported OTC Derivative that is a credit derivative;
                                                                                                                               9.        the transfer of a Reportable Transaction from one Derivative Trade Repository to another Derivative Trade Repository;
                                                                                                                              10.        a corporate action on an equity underlier that impacts the previously reported OTC Derivatives over that equity underlier;
                                                                                                                              11.      the inclusion of an OTC Derivative into a position, where an existing OTC Derivative is terminated and either a new position is created or the Notional amount or Total notional quantity of an existing OTC Derivative is modified; or
                                                                                                                              (l)       the re-reporting of a previously reported Reportable Transaction where the reported information about the OTC Derivative does not include all of the relevant Derivative Transaction Information set out in column 3 of this table or the reported information is not in accordance with the format and allowed values set out in columns 4-5 of this table.                                                                 As set out in the applicable paragraph of column 5 of this item.                                                                                                             1.        PTNG—for the transfer of a Reportable Transaction from one Derivative Trade Repository to another Derivative Trade Repository;
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  2.        CORP—for a corporate action on an equity underlier that impacts the previously reported OTC Derivatives over that equity underlier;
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  3.      INCP—for the inclusion of an