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auth.040 Financial Instrument Reporting Equity Trading Activity Report

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auth.040 is the ISO 20022 FinancialInstrumentReportingEquityTradingActivityReport message in the Authorities business area (auth). The latest version is auth.040.001.01.

Message
FinancialInstrumentReportingEquityTradingActivityReport
Latest version
auth.040.001.01
Submitting organisation
ESMA
MT equivalent
None listed

In use: published in the current ISO 20022 catalogue.

What auth.040 is for

The FinancialInstrumentReportingEquityTradingActivityReport message is sent by the trading venue to the national competent authority to report on equity specific trading activity data, used for the transparency calculations.

Definition from the ISO 20022 e-Repository, release of 24 April 2025.

auth.040 versions

Every version published in the e-Repository, newest first. A message keeps its business purpose across versions; each new version is a separate schema with its own namespace.

VersionRegistration statusPublished in
auth.040.001.01latestRegisteredLatest version set

auth.040 message structure

The building blocks of auth.040.001.01 to three levels, with multiplicity ([0..1] optional, [1..1] mandatory, * any number) and the data type or component. Element names and definitions are from the ISO 20022 repository; usage guidelines such as CBPR+ or a market infrastructure's rules can restrict them further.

  • Document [1..1]
    • FinInstrmRptgEqtyTradgActvtyRpt FinancialInstrumentReportingEquityTradingActivityReport [1..1]
      • RptHdr Report Header [1..1]SecuritiesMarketReportHeader1

        Header information related to the global report, common to all reference data.

        • RptgNtty Reporting Entity [1..1]TradingVenueIdentification1Choice (choice)

          Identification of the venue which generates the report.

          • MktIdCd Market Identification Code [1..1]MICIdentifier
          • NtlCmptntAuthrty National Competent Authority [1..1]CountryCode
          • Othr Other [1..1]TradingVenueIdentification2
        • RptgPrd Reporting Period [1..1]Period4Choice (choice)

          Date or date range the report relates to.

          • Dt Date [1..1]ISODate
          • FrDt From Date [1..1]ISODate
          • ToDt To Date [1..1]ISODate
          • FrDtToDt From Date To Date [1..1]Period2
        • SubmissnDtTm Submission Date Time [0..1]ISODateTime

          Date and time of the report originally submitted by the reporting entity when the file is generated for submission to their reporting authority.

      • EqtyTrnsprncyData Equity Transparency Data [1..*]TransparencyDataReport13

        Details the transparency data reported by a trading venue.

        • TechRcrdId Technical Record Identification [0..1]Max35Text

          Unique identifier of a record in a message used as part of error management and status advice messages.

        • Id Identification [1..1]ISINOct2015Identifier

          Identifies the financial instrument using an ISIN.

        • RptgDt Reporting Date [0..1]ISODate

          Date to which the quantitative data fields below relate.

        • TradgVn Trading Venue [0..1]MICIdentifier

          Segment MIC for the trading venue where applicable, otherwise the operational MIC.

        • Sspnsn Suspension [1..1]TrueFalseIndicator

          Indicates whether the instrument was suspended for trading on that Trading Venue for the whole day on the given reporting day.

        • TxsExctd Transactions Executed [1..1]NumberAndVolume2

          Total number of transactions executed on the reporting day.

          • Nb Number [1..1]DecimalNumberFraction5
          • Vol Volume [1..1]ActiveOrHistoricCurrencyAndAmount
        • TxsExctdExclgPreTradWvr Transactions Executed Excluding Pre Trade Waiver [1..1]NumberAndVolume2

          Details all transactions that have been performed under a pre-trade Waiver.

          • Nb Number [1..1]DecimalNumberFraction5
          • Vol Volume [1..1]ActiveOrHistoricCurrencyAndAmount
        • TxsExctdExclgPstTradLrgInScaleWvr Transactions Executed Excluding Post Trade Large In Scale Waiver [1..1]NumberAndVolume2

          Details all transactions that have been performed under a post-trade large in scale waivers.

          • Nb Number [1..1]DecimalNumberFraction5
          • Vol Volume [1..1]ActiveOrHistoricCurrencyAndAmount
      • SplmtryData Supplementary Data [0..*]SupplementaryData1

        Additional information that can not be captured in the structured fields and/or any other specific block.

        • PlcAndNm Place And Name [0..1]Max350Text

          Unambiguous reference to the location where the supplementary data must be inserted in the message instance.

        • Envlp Envelope [1..1]SupplementaryDataEnvelope1

          Technical element wrapping the supplementary data.

Have a auth.040 message? Paste it into the parser to see every element with its name and definition, and format checks on BICs, IBANs, dates and amounts.

auth.040 questions

What is the latest version of auth.040?
The latest version in the ISO 20022 e-Repository release of 24 April 2025 is auth.040.001.01.
What is the root element of auth.040?
The XML document is Document with the namespace urn:iso:std:iso:20022:tech:xsd:auth.040.001.01, and its message element is FinInstrmRptgEqtyTradgActvtyRpt (FinancialInstrumentReportingEquityTradingActivityReport).
Is there an MT equivalent of auth.040?
No Swift MT message is listed as its direct equivalent on this site. Many ISO 20022 messages have no MT counterpart.

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The ISO 20022 message definitions, element names and definitions on this page are reproduced from material published at iso20022.org under the ISO 20022 Intellectual Property Rights policy. This is not the official source: the up-to-date ISO 20022 standards and repository material are published only at iso20022.org. Explanations in our own words are by ZagTrader. ZagTrader is not affiliated with or endorsed by ISO or Swift.