RegAlert2026-04-30 | 17/20/4132/С01Added · Updated
Order on Approval of the Description of Sections and Schemes of XML Files of the Electronic Form of Reporting Data of Organized Capital Market Operators
The National Commission for Securities and Stock Market approves the XML file structure and schemas for reporting data submitted by organized capital market operators, replacing Order No. 7 of January 19, 2016. The electronic reports must be submitted as Report.xml files conforming to specific XSD schemas (NregExch.xsd, DayExch.xsd, MonthExch.xsd) and utilize the Commission's reference system. Corrected data must be submitted within established deadlines with a corresponding record in the DTSSuprovod structure. This order enters into force on May 1, 2026.
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NATIONAL COMMISSION FOR SECURITIES AND STOCK MARKET ORDER Kyiv On Approval of the Description of Sections and Schemes of XML Files of the Electronic Form of Reporting Data of Organized Capital Market Operators
In accordance with paragraph 4 of the Resolution of the State Commission for Securities and Stock Market of 13.05.2011 No. 491 "On Approval of the Open Format for Data Transfer between the National Commission for Securities and Stock Market and Subjects of Information Interaction," registered in the Ministry of Justice of Ukraine on 02.06.2011 under No. 658/19396 (with amendments), and with the aim of compiling by trading organizers the electronic form of administrative data in accordance with the Regulation on Reporting Data of Organized Capital Market Operators and the Procedure for Their Submission to the National Commission for Securities and Stock Market, approved by the Resolution of the National Commission for Securities and Stock Market (hereinafter – the Commission) of 25.09.2012 No. 1284, registered in the Ministry of Justice of Ukraine on 01.10.2012 under No. 1738/22050 (with amendments) (hereinafter – the Regulation),
O R D E R S:
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Approve the Description of Sections and Schemes of XML Files of the Electronic Form of Reporting Data of Organized Capital Market Operators in accordance with the Regulation (hereinafter – the electronic form) (attached).
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The electronic form of reporting data of organized capital market operators (hereinafter – data) consists of a file in electronic form with the name "Report.xml", which conforms to the scheme:
- "NregExch.xsd" for irregular data;
- "DayExch.xsd" for daily data;
- "MonthExch.xsd" for monthly data.
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Corrected data are submitted in accordance with the deadlines established by the Regulation in the form of the aforementioned file in electronic form and must contain a corresponding record in the "DTSSuprovod" structure.
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Data are compiled using the Reference and Classifier System of the National Commission for Securities and Stock Market, approved by the Resolution of the Commission of 08.05.2012 No. 646, registered in the Ministry of Justice of Ukraine on 25.05.2012 under No. 831/21143 (with amendments).
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Recognize as losing force the Order of the Head of the Commission of 19.01.2016 No. 7 "On Approval of the Description of Sections and Schemes of XML Files of the Electronic Form of Administrative Data of Trading Organizers."
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This order enters into force on 01.05.2026.
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The Document Management Department shall ensure the publication of this order in the Registry of Acts of the NSSMC.
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This order is a separate document of a normative-technical nature.
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Control over the execution of this order shall be vested in a Member of the Commission Yuriy SHAPOVALA.
Head of the Commission Oleksiy SEMENYUK
APPROVED by the Order of the Head of the Commission
Description of Sections and Schemes of XML Files of the Electronic Form of Reporting Data of Organized Capital Market Operators
- General Part
1.1. Regulatory Documents
The Description of Sections and Schemes of XML Files of the Electronic Form of Reporting Data of Organized Capital Market Operators is formed on the basis of the following regulatory legal acts:
- Resolution of the State Commission for Securities and Stock Market of 13.05.2011 No. 491 "On Approval of the Open Format for Data Transfer between the National Commission for Securities and Stock Market and Subjects of Information Interaction," registered in the Ministry of Justice of Ukraine on 02.06.2011 under No. 658/19396 (with amendments);
- Regulation on the Submission of Administrative Data and Information in the Form of Electronic Documents to the National Commission for Securities and Stock Market, approved by the Resolution of the State Commission for Securities and Stock Market of 13.05.2011 No. 492 (with amendments and additions);
- Reference and Classifier System of the National Commission for Securities and Stock Market, approved by the Resolution of the Commission of 08.05.2012 No. 646 (with amendments) (hereinafter – Reference and Classifier System);
- Regulation on the Procedure for Compiling Administrative Data on the Activity of Trading Organizers, Publication of Information, and Submission of Corresponding Documents to the National Commission for Securities and Stock Market (hereinafter – Regulation), approved by the Resolution of the Commission of 25.09.2012 No. 1284, registered in the Ministry of Justice of Ukraine on 01.10.2012 under No. 1738/22050 (with amendments).
1.2. General Description
The electronic form of reporting data of organized capital market operators is compiled in the form of XML format files – in the open widely used standard for unified representation of information in electronic form for data exchange between heterogeneous information systems (eXtensible Markup Language, hereinafter – XML), developed by the international W3C consortium (http://www.w3.org/TR/REC-xml).
Files are submitted to the Commission with the name "Report.xml".
Data of different types (irregular, daily, monthly) or for different reporting periods are submitted in separate files.
In accordance with the XML specification, electronic form files consist of structural units of information, which are divided into elements, attributes, processing instructions, and comments.
Certain rules and restrictions are imposed on the content of files depending on the type of data regarding permissible elements, attributes, and their values. These rules and restrictions, taking into account the rules and restrictions of the XML specification, constitute the specifications of electronic form files depending on the type of data.
The structure and content of data of each separate specification correspond to a certain separate scheme, which is expressed using the XSD scheme – a widely used open standard for defining requirements for the structure and composition of data in XML format (hereinafter – XSD), developed by the international W3C consortium (http://www.w3.org/2001/XMLSchema-instance).
Data contain in their composition an identifier of the specification. The identifier is specified using the special attribute "xmlns" of the root element in accordance with the XML specification. The identifier is used to identify the corresponding XSD scheme and assign the data.
Inclusion of textual content in the form of separate structural units provided by the XML specification in the composition of data is not allowed.
Processing instructions and comments are considered insignificant information and are ignored, except for the "xml" processing instruction, which defines the xml specification and the character encoding table used for presenting data.
Restrictions on the use of different character encoding tables and different XML specifications when submitting data are not established. However, all symbols used in the composition of data must be compatible with the windows-1251 encoding table, and the used specification must be compatible with the XML 1.0 specification.
Data consist of structural elements of the following purpose and according to the following principles:
- root element with the name "root" – the first and mandatory element of the form, which contains general requisites for all specifications and in the composition of which all other substantive information is submitted;
- specialized elements – containers of separate substantive parts of data (references) in the composition of the root element, which do not contain their own requisites and are intended for presenting informational rows of the substantive part in their composition;
- elements with the name "row" – informational rows submitted in the composition of containers of the substantive part (references), do not contain other elements in their composition and present the values of requisites in the composition and in quantity depending on the requirements for the composition of information of a separate substantive part (reference).
The root element contains requisites that identify the subject of data submission and the reporting period, namely:
| No. | XML Attribute | Purpose |
|---|---|---|
| 1. | D_EDRPOU | Identification code of the subject of data submission |
| 2. | D_NAME | Name of the subject of data submission |
| 3. | STD | Start date of the reporting period |
| 4. | FID | End date of the reporting period |
| 5. | NREG | Sign of irregular data: "True" for irregular data; "False" in cases for regular data |
| 6. | TTYPE | Code of the type of subject of data submission: 004 for operators of organized capital markets |
Attributes of elements are part of elements if they contain data. A requisite is not included in the composition of information if it does not contain a value.
For requisites whose type is specified as dateTime in the XSD scheme specification, and as the value of the requisite a date is submitted, in addition to the date in all cases, the time component is also submitted, filled with zero values.
A general element for all specifications is the element in the composition of the root – a container with the name "DTSSuprovod" for presenting the content of the Accompanying Reference for corrected data of the subject of data submission. The informational row of this element contains the following requisites:
| No. | XML Attribute | Purpose |
|---|---|---|
| 1. | V_ORK | Type of organized capital market¹ |
| 2. | ISPDAT | Date of completion |
| 3. | VIPRAV | List of corrections and justification of corrected data |
| 4. | TAG | Notes |
¹ - filled in accordance with Reference 57 "Types of Organized Markets" of the Reference and Classifier System.
- Irregular Data
When submitting irregular data, the identifier of the specification has the value:
"http://nssmc.gov.ua/Schem/NregExch"
The XSD scheme of irregular data "NregExch.xsd" is provided in Appendix 1.
Irregular data include the following XML elements – content containers:
| No. | XML Element | Purpose |
|---|---|---|
| 1. | DTSO_DOD_10 | Reference on changes in the list of assets admitted to trading on the organized capital market |
| 2. | DTSO_DOD_11 | Reference on changes in the list of trading participants on the organized capital market |
| 3. | DTSO_DOD_N | Reference on price instability situations |
| 4. | DTSO_DOD_Z | Reference on transactions made on the organized capital market regarding which changes occurred |
| 5. | DTSO_P_OPER | Notification of suspicious transactions |
| 6. | DTSO_V_OPER | Conclusion on suspicious transactions |
2.1. Reference on Changes in the List of Assets Admitted to Trading on the Organized Capital Market
Informational rows of the reference are nested into the XML element "DTSO_DOD_10" and contain requisites:
| No. | XML Attribute | Purpose |
|---|---|---|
| 1. | V_ORK | Type of organized capital market¹ |
| 2. | E_EDRPOU | Identification code of the issuer of the financial instrument or identification code from the trade, court, or bank registry of the country where the issuer of the financial instrument - non-resident is officially registered |
| 3. | E_NAME | Name of the issuer of the financial instrument |
| 4. | F_EDRICI | Registration code under EDRISSI (indicated for securities of joint investment institutions) |
| 5. | ST_TYPE | Classification of the financial instrument² |
| 6. | ISIN | International Securities Identification Number or code of another, than a security, financial instrument |
| 7. | DOP_FI | Passing of the financial instrument through the admission procedure to trading: "1" - yes, "0" - no |
| 8. | E_COUNTRY | Country of registration of the issuer of the financial instrument³ |
| 9. | ST_EXPEN | Nominal value of the security |
| 10. | VALUTA | Nominal value of the security (currency code)⁴ |
| 11. | ST_BASE | Type of underlying asset and/or underlying indicator of the derivative contract, its characteristics⁵ |
| 12. | ST_LL_D | Date of registration of the application for admission of the asset to trading (not filled if, in accordance with legislation, inclusion of the asset in the list of assets admitted to trading on the organized capital market is carried out without an application) |
| 13. | ST_LR_D | Date of inclusion in the list of assets admitted to trading on the organized capital market (must always be filled) |
| 14. | ST_CR_D | Date of exclusion from the list of assets admitted to trading on the organized capital market |
| 15. | ST_LL_I | Grounds for exclusion from the list of assets admitted to trading on the organized capital market, name and date of the document on the basis of which the exclusion from the list of assets admitted to trading on the organized capital market occurred |
| 16. | ST_LL | "9" - cessation of trading of financial instruments (filled in case of cessation of trading) |
| 17. | Z_PRYM | Notes |
¹ - filled in accordance with Reference 57 "Types of Organized Markets" of the Reference and Classifier System; ² - filled in accordance with Reference 7 "Classification of Financial and Non-Financial Instruments" of the Reference and Classifier System; ³ - filled in accordance with Reference 45 "Classification of Countries of the World" of the Reference and Classifier System; ⁴ - filled in accordance with Reference 46 "List and Codes of Currencies" of the Reference and Classifier System; ⁵ - filled in accordance with the specification of derivative contracts of the operator of the organized capital market.
2.2. Reference on Changes in the List of Trading Participants on the Organized Capital Market
Informational rows of the reference are nested into the XML element "DTSO_DOD_11" and contain requisites:
| No. | XML Attribute | Purpose |
|---|---|---|
| 1. | TCP_EDR | Identification code of the trading participant |
| 2. | TCP_NAME | Name of the trading participant |
| 3. | V_ORK | Type of organized capital market¹ |
| 4. | TCP_D_S | Date of admission to trading |
| 5. | TCP_D_F | Date of cancellation of admission (not filled in case of submitting changes regarding the admission of the trading participant to trading on the organized capital market) |
| 6. | Z_PRYM | Notes |
¹ - filled in accordance with Reference 57 "Types of Organized Markets" of the Reference and Classifier System.
2.3. Reference on Price Instability Situations
Informational rows of the reference are nested into the XML element "DTSO_DOD_N" and contain requisites:
| No. | XML Attribute | Purpose |
|---|---|---|
| 1. | E_NAME | Name of the issuer of the financial instrument |
| 2. | E_EDRPOU | Identification code of the issuer of the financial instrument or identification code from the trade, court, or bank registry of the country where the issuer of the financial instrument - non-resident is officially registered |
| 3. | V_ORK | Type of organized capital market¹ |
| 4. | F_EDRICI | Registration code under EDRISSI (indicated for securities of joint investment institutions) |
| 5. | ST_TYPE | Classification of the financial instrument² |
| 6. | ISIN | International Securities Identification Number or code of another, than a security, financial instrument |
| 7. | T_PRICE | Time of preliminary calculation of the current price of the financial instrument |
| 8. | T_NEST | Time of fixing the price instability situation |
| 9. | C_PRICE | Current price of the financial instrument at preliminary calculation |
| 10. | C_NEST | Current price of the financial instrument at fixing of price instability |
| 11. | C_ZMINA | Fixed value of change, % |
| 12. | VR | Type of market³ |
| 13. | TECH_B | Trading technology⁴ |
| 14. | VR_OPER | Types of markets by the nature of transaction execution⁵ |
| 15. | T_STOP | Time of suspension of trading of the financial instrument |
| 16. | T_START | Time of resumption of trading of the financial instrument |
| 17. | INF_ZUP | Information on the grounds for suspension of trading |
| 18. | ZAH_ZUP | Measures carried out by the stock exchange in this situation |
| 19. | REZ | Results of the check of the causes of price instability and significant fluctuation of the price of the financial instrument |
| 20. | Z_PRYM | Notes |
¹ - filled in accordance with Reference 57 "Types of Organized Markets" of the Reference and Classifier System; ² - filled in accordance with Reference 7 "Classification of Financial and Non-Financial Instruments" of the Reference and Classifier System; ³ - filled in accordance with Reference 8 "Types of Markets" of the Reference and Classifier System; ⁴ - filled in accordance with Reference 25 "Trading Technologies" of the Reference and Classifier System; ⁵ - filled in accordance with Reference 9 "Types of Markets by the Nature of Transaction Execution" of the Reference and Classifier System.
2.4. Reference on Transactions Made on the Organized Capital Market Regarding Which Changes Occurred
Informational rows of the reference are nested into the XML element "DTSO_DOD_Z" and contain requisites:
| No. | XML Attribute | Purpose |
|---|---|---|
| 1. | V_ORK | Type of organized capital market¹ |
| 2. | D_BCONTR | Date of conclusion of the transaction made on the organized capital market |
| 3. | D_BCONTRF | Date of execution of the transaction made on the organized capital market |
| 4. | T_BCONTR | Time of fixing the conclusion of the transaction made on the organized capital market |
| 5. | R_BCONTR | Requisites of the transaction made on the organized capital market (registration number in the system) |
| 6. | PARTREPO | Part of the REPO contract: "1" – first part of the REPO contract, "2" – second part of the REPO contract |
| 7. | R_PARTREPO | Requisites of the related part of the REPO contract |
| 8. | E_NAME | Name of the issuer of the financial instrument |
| 9. | E_EDRPOU | Identification code of the issuer of the financial instrument or identification code from the trade, court, or bank registry of the country where the issuer of the financial instrument - non-resident is officially registered |
| 10. | F_EDRICI | Registration code under EDRISSI (indicated for transactions regarding securities of joint investment institutions) |
| 11. | ST_TYPE | Classification of the financial instrument² |
| 12. | ISIN | International Securities Identification Number or code of another, than a security, financial instrument |
| 13. | ST_QUANT | Quantity of securities under the transaction made on the organized capital market (pcs.) |
| 14. | ST_UCOST | Cost of the transaction made on the organized capital market³ |
| 15. | ST_ACCI | Total amount of accumulated coupon (interest) income on bonds that are the subject of the transaction made on the organized capital market (indicated in the currency of the transaction) |
| 16. | ST_BASE | Type of underlying asset and/or underlying indicator of the derivative contract, its characteristics⁴ |
| 17. | ST_EXPEN | Information on the price of the derivative contract³ |
| 18. | ST_EXPEN2 | Information on the conditional (calculated) amount of the derivative contract³ |
| 19. | VALUTA | Type of currency of the transaction made on the organized capital market⁵ |
| 20. | VR | Type of market⁶ |
| 21. | TECH_B | Trading technology⁷ |
| 22. | VR_OPER | Types of markets by the nature of transaction execution⁸ |
| 23. | DA_BCONTR | Date of annulment/cancellation (filled in case of annulment/cancellation of the transaction made on the organized capital market) |
| 24. | TCP1_EDR | Parties to the transaction made on the organized capital market. Investment firm - seller. Identification code of the investment firm or other person who is a party to the transaction – seller and whose participation in trading is provided by legislation |
| 25. | KL_NAME | If a party to the transaction made on the organized capital market in accordance with legislation is not an investment firm, the name of such person is indicated |
| 26. | KL_TYPE | Client, on whose behalf the investment firm – seller acts: type of person⁹,¹⁰ |
| 27. | KL_EDRPOU | Client, on whose behalf the investment firm - seller acts: identification code of the legal entity, registration code under EDRISSI (indicated for joint investment institutions), registration number of the tax payment card or series and number of the passport (for natural persons who, due to their religious beliefs, refuse to accept the registration number of the tax payment card and have informed the corresponding body of the state tax service and have a mark in the passport), registration number in accordance with the trade, bank, or court registry or registry of the local body of power of a foreign state on registration of a legal entity – non-resident¹⁰ |
| 28. | KL_PIB | Client, on whose behalf the investment firm - seller acts: surname, first name, and patronymic (if available) of the natural person, name of the legal entity, name of the joint investment institution¹⁰ |
| 29. | KL_COUNTRY | Client, on whose behalf the investment firm - seller acts: country of registration¹¹ |
| 30. | KL_TYPESUB | Client, on whose behalf the investment firm - seller acts (filled in sub-commission operation): type of person⁹ |
| 31. | DEP1_EDR | Identification code of the depository institution of the investment firm - seller |
| 32. | TCP2_EDR | Parties to the transaction made on the organized capital market. Investment firm - buyer. Identification code of the investment firm or other person who is a party to the transaction - buyer and whose participation in trading is provided by legislation |
| 33. | TCP2_DNAME | If a party to the transaction made on the organized capital market in accordance with legislation is not an investment firm, the name of such person is indicated |
| 34. | K2_TYPE | Client, on whose behalf the investment firm – buyer acts: type of person⁹,¹⁰ |
| 35. | K2_EDRPOU | Client, on whose behalf the investment firm - buyer acts: identification code of the legal entity, registration code under EDRISSI (indicated for joint investment institutions), registration number of the tax payment card or series and number of the passport (for natural persons who, due to their religious beliefs, refuse to accept the registration number of the tax payment card and have informed the corresponding body of the state tax service and have a mark in the passport), registration number in accordance with the trade, bank, or court registry or registry of the local body of power of a foreign state on registration of a legal entity – non-resident¹⁰ |
| 36. | K2_PIB | Client, on whose behalf the investment firm-buyer acts: surname, first name, and patronymic (if available) of the natural person, name of the legal entity, name of the joint investment institution¹⁰ |
| 37. | K2_COUNTRY | Client, on whose behalf the investment firm-buyer acts: country of registration¹¹ |
| 38. | K2_TYPESUB | Client, on whose behalf the investment firm-buyer acts (filled in sub-commission operation): type of person⁹ |
| 39. | DEP2_EDR | Identification code of the depository institution of the investment firm-buyer |
| 40. | SANKCII | Information on sanctions applied by the operator of the organized capital market in connection with a violation of the rules of the organized capital market regarding the execution of the transaction made on the organized capital market |
| 41. | Z_PRYM | Notes |
¹ - filled in accordance with Reference 57 "Types of Organized Markets" of the Reference and Classifier System; ² - filled in accordance with Reference 7 "Classification of Financial and Non-Financial Instruments" of the Reference and Classifier System; ³ - for transactions in foreign currency, the amount is filled in - equivalent in hryvnia at the official exchange rate of the hryvnia to foreign currencies established by the National Bank of Ukraine on the day of conclusion of the transaction; ⁴ - filled in accordance with the specification of derivative contracts of the operator of the organized capital market; ⁵ - filled in accordance with Reference 46 "List and Codes of Currencies" of the Reference and Classifier System; ⁶ - filled in accordance with Reference 8 "Types of Markets" of the Reference and Classifier System; ⁷ - filled in accordance with Reference 25 "Trading Technologies" of the Reference and Classifier System; ⁸ - filled in accordance with Reference 9 "Types of Markets by the Nature of Transaction Execution" of the Reference and Classifier System; ⁹ - until June 30, 2026 inclusive, filled with such values: legal entity – resident or joint investment institution – "1", legal entity – non-resident – "2", natural person – resident – "3", natural person – non-resident – "4", investment firm – "5". From July 1, 2026, filled in accordance with Reference 37 "Types of Depositors, Clients" of the Reference and Classifier System; ¹⁰ - when carrying out dealer activity by an investment firm, the fields are not filled; ¹¹ - filled in accordance with Reference 45 "Classification of Countries of the World" of the Reference and Classifier System.
2.5. Notification of Suspicious Transactions
Informational lines of the reference are embedded into the XML element «DTSO_P_OPER» and contain the following attributes:
| No. | XML Attribute | Purpose |
|---|---|---|
| 1. | V_ORK | Type of organized capital market¹ |
| 2. | V_PRD | Type of suspicion: 1 – intent to commit an insider transaction; 2 – manipulation; 3 – commission of an insider transaction |
| 3. | V_PRD_OP | Type of suspicious transaction: 1 – application and/or quotation for purchase/sale of an asset (conclusion of a derivative contract); 2 – transaction concluded on the organized capital market² |
| 4. | Z_D_PD | Date and time of application submission (hours, minutes, seconds; time specified in 24-hour format) |
| 5. | Z_BOOK | Application number in the application book of the organized capital market operator |
| 6. | Z_PRICE | Price specified in the application |
| 7. | Z_VALUTA | Currency type specified in the application³ |
| 8. | Z_QUANT | Quantity of financial instruments specified in the application |
| 9. | Z_D_ZM | Date and time of changes to the application (hours, minutes, seconds; time specified in 24-hour format) |
| 10. | Z_ZM | Nature of changes to the application (price/quantity change) |
| 11. | Z_D_SK | Date and time of application cancellation (hours, minutes, seconds; time specified in 24-hour format) |
| 12. | ST_TYPE | Classification of the financial instrument for which the application was submitted⁴ |
| 13. | ST_CFI | Financial instrument classification code (CFI code) |
| 14. | ISIN | International Securities Identification Number or code of a financial instrument other than a security |
| 15. | ST_BASE | Type of underlying asset and/or underlying indicator of a derivative contract, its characteristics⁵ |
| 16. | E_NAME | Name of the issuer of securities |
| 17. | E_EDRPOU | Identification code of the issuer of securities |
| 18. | E_COUNTRY | Country of registration of the issuer of the financial instrument⁶ |
| 19. | VR | Type of market⁷ |
| 20. | TECH_B | Trading technology⁸ |
| 21. | VR_OPER | Types of markets by the nature of transactions⁹ |
| 22. | TCP_EDR | Identification code of the trading participant who submitted the application |
| 23. | TCP_NAME | Name of the trading participant who submitted the application |
| 24. | TCP_D_S | Date of admission of the trading participant who submitted the application to trading on the organized capital market by the organized capital market operator |
| 25. | RSP_F | Representative (surname) |
| 26. | RSP_I | Representative (first name) |
| 27. | RSP_O | Representative (patronymic, if any) |
| 28. | RSP_M | Name of the document on the basis of which the representative is granted the right to conclude and/or perform transactions concluded on the organized capital market |
| 29. | RSP_D | Date of issuance of the document on the basis of which the representative is granted the right to conclude and/or perform transactions concluded on the organized capital market |
| 30. | RSP_S | Term of office of the representative (date from which the authority terminates is specified) |
| 31. | ST_MM | Presence of market-maker status in the trading participant who submitted the application (yes – “1”, no – “2”) |
| 32. | KL_TYPE | Client on whose behalf the investment firm acts: type of person¹⁰,¹¹ |
| 33. | KL_EDRPOU | Client on whose behalf the investment firm acts: identification code of a legal entity, registration code under the Unified State Register of Legal Entities, Individuals and Public Organizations (specified for collective investment institutions), registration number of the taxpayer identification card or series (if any) and passport number (for natural persons who refuse to accept a taxpayer identification card number due to religious beliefs and have notified the relevant state tax service body and have a corresponding mark in the passport); registration number according to the commercial, banking or court register or register of a local authority of a foreign state regarding the registration of a legal entity – non-resident¹¹ |
| 34. | KL_PIB | Client on whose behalf the investment firm acts: surname, first name and patronymic (if any) of a natural person, name of a legal entity, name of a collective investment institution¹¹ |
| 35. | KL_COUNTRY | Client on whose behalf the investment firm acts: country of registration⁶ |
| 36. | OPYS_PD | Description of suspicion |
| 37. | ZAH_SP | Measures carried out by the organized capital market operator in this situation |
| 38. | Z_PRYM | Notes |
¹ - filled in accordance with Reference Book 57 “Types of Organized Markets” of the Reference Books and Classifiers System; ² - in the event that the Data relates to a concluded transaction, in line 38 additional attributes of the transaction concluded on the organized capital market (registration number in the system) and the date of conclusion are additionally specified; ³ - filled in accordance with Reference Book 46 “List and Codes of Currencies” of the Reference Books and Classifiers System; ⁴ - filled in accordance with Reference Book 7 “Classification of Financial and Non-Financial Instruments” of the Reference Books and Classifiers System; ⁵ - filled in accordance with the specification of derivative contracts of the organized capital market operator; ⁶ - filled in accordance with Reference Book 45 “Classification of Countries of the World” of the Reference Books and Classifiers System; ⁷ - filled in accordance with Reference Book 8 “Types of Markets” of the Reference Books and Classifiers System; ⁸ - filled in accordance with Reference Book 25 “Trading Technologies” of the Reference Books and Classifiers System; ⁹ - filled in accordance with Reference Book 9 “Types of Markets by the Nature of Transactions” of the Reference Books and Classifiers System; ¹⁰ - until June 30, 2026 inclusive, filled with the following values: legal entity – resident or collective investment institution – “1”, legal entity – non-resident – “2”, natural person – resident – “3”, natural person – non-resident – “4”, investment firm – “5”. From July 1, 2026, filled in accordance with Reference Book 37 “Types of Depositors, Clients” of the Reference Books and Classifiers System; ¹¹ - when an investment firm carries out dealer activities, the fields are not filled.
2.6. Conclusion on Suspicious Transactions
Informational lines of the reference are embedded into the XML element «DTSO_V_OPER» and contain the following attributes:
| No. | XML Attribute | Purpose |
|---|---|---|
| 1. | V_ORK | Type of organized capital market¹ |
| 2. | N_POV | Registration number of the notification of suspicious transactions |
| 3. | Z_BOOK | Application number in the application book of the organized capital market operator regarding which the notification of suspicious transactions is submitted |
| 4. | ZAH_SP | Measures carried out by the organized capital market operator to confirm or refute the suspicion |
| 5. | VIS_SP | Conclusions on confirmation or refutation of suspicion based on the analysis of the actions of the trading participant for whom the notification of suspicious transactions was submitted |
¹ - filled in accordance with Reference Book 57 “Types of Organized Markets” of the Reference Books and Classifiers System.
- Daily Data
When submitting daily data, the specification identifier has the value:
«http://nssmc.gov.ua/Schem/DayExch»
The XSD schema for daily data «DayExch.xsd» is provided in Appendix 2.
The following XML content container elements are included in the daily data:
| No. | XML Element | Purpose |
|---|---|---|
| 1. | DTSO_DOD_1 | Reference on concluded (executed) transactions concluded on the organized capital market |
| 2. | DTSO_DOD_2 | Reference on the list of assets admitted to trading on the organized capital market of the organized capital market operator |
3.1. Reference on Concluded (Executed) Transactions Concluded on the Organized Capital Market
Informational lines of the reference are embedded into the XML element «DTSO_DOD_1» and contain the following attributes:
| No. | XML Attribute | Purpose |
|---|---|---|
| 1. | V_ORK | Type of organized capital market¹ |
| 2. | D_BCONTR | Date of conclusion of the transaction concluded on the organized capital market |
| 3. | D_BCONTRF | Date of execution of the transaction concluded on the organized capital market |
| 4. | T_BCONTR | Time of fixation of the conclusion of the transaction concluded on the organized capital market |
| 5. | R_BCONTR | Attributes of the transaction concluded on the organized capital market (registration number in the system) |
| 6. | PARTREPO | Part of the REPO transaction: “1” – first part of the REPO transaction, “2” – second part of the REPO transaction |
| 7. | R_PARTREPO | Attributes of the related part of the REPO contract |
| 8. | [Missing in source] | [Missing in source] |
| 9. | O_PARTREPO | REPO transaction with risk control: “1” – yes, “2” – no. |
| 10. | E_NAME | Name of the issuer of the financial instrument |
| 11. | E_EDRPOU | Identification code of the issuer of the financial instrument or identification code from the commercial, court or banking register of the country where the issuer of the financial instrument – non-resident is officially registered |
| 12. | F_EDRICI | Registration code under the Unified State Register of Legal Entities, Individuals and Public Organizations (specified for transactions regarding securities of collective investment institutions) |
| 13. | ST_TYPE | Classification of the financial instrument² |
| 14. | ISIN | International Securities Identification Number or code of a financial instrument other than a security |
| 15. | ST_QUANT | Quantity of securities for the transaction concluded on the organized capital market (pcs.) |
| 16. | ST_UCOST | Cost of the transaction concluded on the organized capital market³ |
| 17. | V_VALUTA | Currency type of the transaction concluded on the organized capital market⁴ |
| 18. | ST_ACCI | Total amount of accumulated coupon (interest) income on bonds that are the subject of the transaction concluded on the organized securities market (specified in the currency of the transaction) |
| 19. | ST_BASE | Type of underlying asset and/or underlying indicator of a derivative contract, its characteristics⁵ |
| 20. | ST_EXPEN | Information on the price of the derivative contract³ |
| 21. | ST_EXPEN2 | Information on the conditional (calculated) amount of the derivative contract³ |
| 22. | VALUTA | Currency for performing the derivative contract by monetary settlement⁴ |
| 23. | VR | Type of market⁶ |
| 24. | TECH_B | Trading technology⁷ |
| 25. | VR_OPER | Types of markets by the nature of transactions⁸ |
| 26. | DA_BCONTR | Date of annulment/cancellation (filled in the event of annulment/cancellation of a transaction concluded on the organized capital market on the day of its conclusion) |
| 27. | TCP1_EDR | Parties to the transaction concluded on the organized capital market. Investment firm – seller. Identification code of the investment firm or another person who is a party to the transaction – seller and whose participation in trading is provided by legislation |
| 28. | KL_NAME | If a party to the transaction concluded on the organized capital market according to legislation is not an investment firm, the name of such person is specified |
| 29. | KL_TYPE | Client on whose behalf the investment firm – seller acts: type of person⁹,¹⁰ |
| 30. | KL_EDRPOU | Client on whose behalf the investment firm – seller acts: identification code of a legal entity, registration code under the Unified State Register of Legal Entities, Individuals and Public Organizations (for a collective investment institution), registration number of the taxpayer identification card or series (if any) and passport number (for natural persons who refuse to accept a taxpayer identification card number due to religious beliefs and have notified the relevant state tax service body and have a corresponding mark in the passport), registration number according to the commercial, banking or court register or register of a local authority of a foreign state regarding the registration of a legal entity – non-resident¹⁰ |
| 31. | KL_PIB | Client on whose behalf the investment firm – seller acts: surname, first name and patronymic (if any) of a natural person, name of a legal entity, name of a collective investment institution¹⁰ |
| 32. | KL_COUNTRY | Client on whose behalf the investment firm – seller acts: country of registration¹¹ |
| 33. | KL_TYPESUB | Client on whose behalf the investment firm – seller acts (filled in for sub-commission transactions): type of person⁹ |
| 34. | DEP1_EDR | Identification code of the depository institution of the investment firm – seller |
| 35. | TCP2_EDR | Parties to the transaction concluded on the organized capital market. Investment firm – buyer. Identification code of the investment firm or another person who is a party to the transaction – buyer and whose participation in trading is provided by legislation |
| 36. | TCP2_DNAME | If a party to the transaction concluded on the organized capital market according to legislation is not an investment firm, the name of such person is specified |
| 37. | K2_TYPE | Client on whose behalf the investment firm – buyer acts: type of person⁹,¹⁰ |
| 38. | K2_EDRPOU | Client on whose behalf the investment firm – buyer acts: identification code of a legal entity, registration code under the Unified State Register of Legal Entities, Individuals and Public Organizations (for a collective investment institution), registration number of the taxpayer identification card or series (if any) and passport number (for natural persons who refuse to accept a taxpayer identification card number due to religious beliefs and have notified the relevant state tax service body and have a corresponding mark in the passport), registration number according to the commercial, banking or court register or register of a local authority of a foreign state regarding the registration of a legal entity – non-resident¹⁰ |
| 39. | K2_PIB | Client on whose behalf the investment firm – buyer acts: surname, first name and patronymic (if any) of a natural person, name of a legal entity, name of a collective investment institution¹⁰ |
| 40. | K2_COUNTRY | Client on whose behalf the investment firm – buyer acts: country of registration¹¹ |
| 41. | K2_TYPESUB | Client on whose behalf the investment firm – buyer acts (filled in for sub-commission transactions): type of person⁹ |
| 42. | DEP2_EDR | Identification code of the depository institution of the investment firm – buyer |
| 43. | IS_SUSPIC | Suspicious transaction: “1” – yes, “2” – no |
| 44. | CMP_BK | Percentage difference in the price of the security for the transaction concluded on the organized capital market (contract) from the last calculated average rate on the organized capital market over the last 12 months¹² |
| 45. | CMP_EP | Percentage difference in the price of the security for the transaction concluded on the organized capital market (contract) from the last calculated closing price of the trading day on the organized capital market over the last 12 months¹³ |
¹ - filled in accordance with Reference Book 57 “Types of Organized Markets” of the Reference Books and Classifiers System; ² - filled in accordance with Reference Book 7 “Classification of Financial and Non-Financial Instruments” of the Reference Books and Classifiers System; ³ - for transactions in foreign currency, the amount is filled in – equivalent in hryvnia at the official hryvnia exchange rate to foreign currencies established by the National Bank of Ukraine on the day of conclusion of the transaction; ⁴ - filled in accordance with Reference Book 46 “List and Codes of Currencies” of the Reference Books and Classifiers System; ⁵ - filled in accordance with the specification of derivative contracts of the organized capital market operator; ⁶ - filled in accordance with Reference Book 8 “Types of Markets” of the Reference Books and Classifiers System; ⁷ - filled in accordance with Reference Book 25 “Trading Technologies” of the Reference Books and Classifiers System; ⁸ - filled in accordance with Reference Book 9 “Types of Markets by the Nature of Transactions” of the Reference Books and Classifiers System; ⁹ - until June 30, 2026 inclusive, filled with the following values: legal entity – resident or collective investment institution – “1”, legal entity – non-resident – “2”, natural person – resident – “3”, natural person – non-resident – “4”, investment firm – “5”. From July 1, 2026, filled in accordance with Reference Book 37 “Types of Depositors, Clients” of the Reference Books and Classifiers System; ¹⁰ - when an investment firm carries out dealer activities, the fields are not filled; ¹¹ - filled in accordance with Reference Book 45 “Classification of Countries of the World” of the Reference Books and Classifiers System; ¹² - filled for securities used to calculate the index of the organized capital market; ¹³ - filled for securities admitted to trading on the organized capital market.
3.2. Reference on the List of Assets Admitted to Trading on the Organized Capital Market of the Organized Capital Market Operator
Informational lines of the reference are embedded into the XML element «DTSO_DOD_2» and contain the following attributes:
| No. | XML Attribute | Purpose |
|---|---|---|
| 1. | V_ORK | Type of organized capital market¹ |
| 2. | E_EDRPOU | Identification code of the issuer of the financial instrument or identification code from the commercial, court or banking register of the country where the issuer of the security – non-resident is officially registered |
| 3. | E_NAME | Name of the issuer of the financial instrument |
| 4. | F_EDRICI | Registration code under the Unified State Register of Legal Entities, Individuals and Public Organizations (specified for securities of collective investment institutions) |
| 5. | ST_TYPE | Classification of the financial instrument² |
| 6. | ST_CFI | Financial instrument classification code (CFI code) |
| 7. | ISIN | International Securities Identification Number or code of a financial instrument other than a security |
| 8. | DOP_FI | Passage of the financial instrument through the admission procedure for trading: “1” – yes, “0” – no |
| 9. | ST_EXPEN | Nominal value of the security |
| 10. | VALUTA | Nominal value of the security (currency code) ³ |
| 11. | IS_PUBLIC | A public offer has been made regarding the security, or the issuer of the securities is considered to have made a public offer in accordance with the law: “1” – yes, “0” – no |
| 12. | E_COUNTRY | Country of registration of the issuer of the financial instrument⁴ |
| 13. | ST_BKURS | Average rate (market price) of the asset admitted to trading on the organized capital market |
| 14. | ST_BASE | Type of underlying asset and/or underlying indicator of a derivative contract, its characteristics⁵ |
| 15. | KL_Z_K | Number of applications submitted by trading participants on the organized capital market for the purchase of securities / conclusion of derivative contracts for a long position |
| 16. | KL_Z_P | Number of applications submitted by trading participants on the organized capital market for the sale of securities / conclusion of derivative contracts for a short position |
| 17. | ST_BINDEX | Security is included in the list of those participating in the calculation of the index of the organized capital market: “1” – yes, “0” – no |
| 18. | END_PRICE | Last calculated value of the current price of the security during the trading day |
| 19. | Z_PRYM | Notes |
¹ - filled in accordance with Reference Book 57 “Types of Organized Markets” of the Reference Books and Classifiers System; ² - filled in accordance with Reference Book 7 “Classification of Financial and Non-Financial Instruments” of the Reference Books and Classifiers System; ³ - filled in accordance with Reference Book 46 “List and Codes of Currencies” of the Reference Books and Classifiers System; ⁴ - filled in accordance with Reference Book 45 “Classification of Countries of the World” of the Reference Books and Classifiers System; ⁵ - filled in accordance with the specification of derivative contracts of the organized capital market operator.
- Monthly Data
When submitting monthly data, the specification identifier has the value:
«http://nssmc.gov.ua/Schem/MonthExch»
The XSD schema for monthly data «MonthExch.xsd» is provided in Appendix 3.
The following XML content container elements are included in the monthly data:
| No. | XML Element | Purpose |
|---|---|---|
| 1. | DTSO_B_TCP | Reference on the list of trading participants on the organized capital market |
| 2. | DTSFULFILLMENT | Reference on the performance of the market-maker’s obligations |
4.1. Reference on the List of Trading Participants on the Organized Capital Market
Informational lines of the general part of the reference are embedded into the XML element «DTSO_B_TCP» and contain the following attributes:
| No. | XML Attribute | Purpose |
|---|---|---|
| 1. | V_ORK | Type of organized capital market¹ |
| 2. | TCP_EDR | Identification code of the trading participant |
| 3. | TCP_NAM | Name of the trading participant |
| 4. | TCP_D_S | Date of admission of the participant to trading on the organized capital market by the organized capital market operator |
| 5. | RSP_F | Representative (surname) |
| 6. | RSP_I | Representative (first name) |
| 7. | RSP_O | Representative (patronymic) |
| 8. | RSP_M | Name of the document on the basis of which the representative is granted the right to conclude and/or perform transactions concluded on the organized capital market |
| 9. | RSP_D | Date of issuance of the document on the basis of which the representative is granted the right to conclude and/or perform transactions concluded on the organized capital market |
| 10. | RSP_S | Term of office of the representative (date from which the authority terminates is specified) |
| 11. | ST_MM | Presence of market-maker status in the trading participant on the organized capital market (yes – “1”, no – “2”) |
| 12. | N_DOG | Number of the contract on the basis of which the trading participant on the organized capital market received the status of market-maker |
| 13. | D_DOG | Date of conclusion of the contract on the basis of which the trading participant on the organized capital market received the status of market-maker |
| 14. | NAME_EDR | Name of the issuer, the liquidity of whose securities and other financial instruments is supported by the market-maker |
| 15. | EMI_EDR | Identification code or registration code under the Unified State Register of Legal Entities, Individuals and Public Organizations of the issuer, the liquidity of whose securities and other financial instruments is supported by the market-maker |
| 16. | ST_TYPE | Classification of the financial instrument, the liquidity of which is supported by the market-maker² |
| 17. | ISIN | International Securities Identification Number or code of another financial instrument, the liquidity of which is supported by the market-maker |
| 18. | SEC_STD | Start date of the reporting period |
| 19. | SEC_FID | End date of the reporting period |
| 20. | Z_PRYM | Notes |
¹ - filled in accordance with Reference Book 57 “Types of Organized Markets” of the Reference Books and Classifiers System; ² - filled in accordance with Reference Book 7 “Classification of Financial and Non-Financial Instruments” of the Reference Books and Classifiers System.
4.2. Reference on the Performance of the Market-Maker’s Obligations¹
Informational lines are embedded into the XML element «DTSFULFILLMENT» and contain the following attributes:
| No. | XML Attribute | Purpose |
|---|---|---|
| 1. | V_ORK | Type of organized capital market¹ |
| 2. | E_EDRPOU | Identification code of the trading participant on the organized capital market who received the status of market-maker |
| 3. | E_NAME | Name of the trading participant on the organized capital market who received the status of market-maker |
| 4. | N_DOG | Number of the contract on the basis of which the trading participant on the organized capital market received the status of market-maker |
| 5. | D_DOG | Date of conclusion of the contract on the basis of which the trading participant on the organized capital market received the status of market-maker |
| 6. | ST_TYPE | Classification of the financial instrument, the liquidity of which is supported by the market-maker³ |
| 7. | ISIN | International Securities Identification Number or code of a financial instrument other than a security, the liquidity of which is supported by the market-maker |
| 8. | FULFILLMENT | Performance of the market-maker’s obligations during the reporting month (yes - “1”, no - “2”) |
¹ - the obligations of the market-maker are determined in accordance with the requirements of the Regulation on the conduct of professional activities in the organization of trading in financial instruments, approved by the decision of the National Commission for the State Regulation of Securities and Stock Market of August 10, 2023 No. 879, registered in the Ministry of Justice of Ukraine on October 25, 2023 No. 1863/40919 (with amendments); ² - filled in accordance with Reference Book 57 “Types of Organized Markets” of the Reference Books and Classifiers System; ³ - filled in accordance with Reference Book 7 “Classification of Financial and Non-Financial Instruments” of the Reference Books and Classifiers System.
Director of the Department of Information Technologies Andrii ZAIKA
Додаток 1 до опису розділів та схем ХМL
файлів електронної форми звітних даних
операторів організованих ринків капіталу
Схема XSD «NregExch» нерегулярних даних
№
з/п Рядок схеми
1 <?xml version='1.0' encoding='windows-1251'?> 2 <schema 3 xmlns="http://www.w3.org/2001/XMLSchema" 4 xmlns:z="http://nssmc.gov.ua/Schem/NregExch" 5 targetNamespace="http://nssmc.gov.ua/Schem/NregExch" 6 elementFormDefault="qualified"> 7 <simpleType name="EDRPOU"> 8 <restriction base="string"> 9 <maxLength value="12"/> 10 </restriction> 11 </simpleType> 12 <simpleType name="Type2"> 13 <restriction base="string"> 14 <maxLength value="2"/> 15 </restriction> 16 </simpleType> 17 <simpleType name="Type3"> 18 <restriction base="string"> 19 <maxLength value="3"/> 20 </restriction> 21 </simpleType> 22 <simpleType name="Type8"> 23 <restriction base="string"> 24 <maxLength value="8"/> 25 </restriction> 26 </simpleType> 27 <simpleType name="TypeYes1No0"> 28 <restriction base="integer"> 29 <enumeration value="1"/> 30 <enumeration value="0"/> 31 </restriction> 32 </simpleType> 33 <simpleType name="TypeYes1No2"> 34 <restriction base="integer"> 35 <enumeration value="1"/> 36 <enumeration value="2"/> 37 </restriction> 38 </simpleType> 39 <simpleType name="Type1or2or3"> 40 <restriction base="integer"> 41 <enumeration value="1"/> 42 <enumeration value="2"/> 43 <enumeration value="3"/> 44 </restriction> 45 </simpleType> 46 <simpleType name="ISIN"> 47 <restriction base="string"> 48 <maxLength value="20"/> 49 </restriction> 50 </simpleType> 51 <simpleType name="Type18"> 52 <restriction base="string"> 53 <maxLength value="18"/> 54 </restriction> 55 </simpleType> 56 <simpleType name="Type10"> 57 <restriction base="string"> 58 <maxLength value="10"/> 59 </restriction>
60 </simpleType>
61 <simpleType name="Type254">
62 <restriction base="string">
63 <maxLength value="254"/>
64 </restriction>
65 </simpleType>
66 <simpleType name="Type100">
67 <restriction base="string">
68 <maxLength value="100"/>
69 </restriction>
70 </simpleType>
71 <simpleType name="money">
72 <restriction base="decimal">
73 <fractionDigits value="2"/>
74 </restriction>
75 </simpleType>
76 <simpleType name="nominal">
77 <restriction base="decimal">
78 <minInclusive value="0"/>
79 <fractionDigits value="8"/>
80 </restriction>
81 </simpleType>
82 <simpleType name="ClsCont_Type">
83 <restriction base="string">
84 <pattern value="[0-9]{3}"/>
85 </restriction>
86 </simpleType>
87 <element name="root">
88 <complexType>
89 <all>
90 <element name="DTSSuprovod">
91 <complexType>
92 <sequence minOccurs="0" maxOccurs="unbounded"> 93 <element name="row" form="qualified"> 94 <complexType> 95 <attribute name="V_ORK" type="z:Type2"/> 96 <attribute name="ISPDAT" type="dateTime"/> 97 <attribute name="VIPRAV" type="string"/> 98 <attribute name="TAG" type="string"/> 99 </complexType> 100 </element> 101 </sequence> 102 </complexType> 103 </element> 104 <element name="DTSO_DOD_Z"> 105 <complexType> 106 <sequence minOccurs="0" maxOccurs="unbounded"> 107 <element name="row" form="qualified"> 108 <complexType> 109 <attribute name="V_ORK" type="z:Type2"/> 110 <attribute name="D_BCONTR" type="dateTime"/> 111 <attribute name="D_BCONTRF" type="dateTime"/> 112 <attribute name="T_BCONTR" type="dateTime"/> 113 <attribute name="R_BCONTR" type="z:Type254"/> 114 <attribute name="PARTREPO" type="z:Type100"/> 115 <attribute name="R_PARTREPO" type="z:Type254"/> 116 <attribute name="E_NAME" type="z:Type254"/> 117 <attribute name="E_EDRPOU" type="z:EDRPOU"/> 118 <attribute name="F_EDRICI" type="z:Type10"/> 119 <attribute name="ST_TYPE" type="z:Type8"/> 120 <attribute name="ISIN" type="z:ISIN"/> 121 <attribute name="ST_QUANT" type="double"/> 122 <attribute name="ST_UCOST" type="double"/> 123 <attribute name="ST_ACCI" type="z:money"/> 124 <attribute name="ST_BASE" type="z:Type100"/> 125 <attribute name="ST_EXPEN" type="z:nominal"/> 126 <attribute name="ST_EXPEN2" type="z:nominal"/> 127 <attribute name="VALUTA" type="z:ClsCont_Type"/>
128 <attribute name="VR" type="z:Type2"/>
129 <attribute name="TECH_B" type="z:Type2"/>
130 <attribute name="VR_OPER" type="z:Type3"/> 131 <attribute name="DA_BCONTR" type="dateTime"/> 132 <attribute name="TCP1_EDR" type="z:EDRPOU"/> 133 <attribute name="KL_NAME" type="z:Type254"/> 134 <attribute name="KL_TYPE" type="z:Type3"/> 135 <attribute name="KL_EDRPOU" type="z:Type18"/> 136 <attribute name="KL_PIB" type="z:Type254"/> 137 <attribute name="KL_COUNTRY" type="z:Type254"/> 138 <attribute name="KL_TYPESUB" type="z:Type3"/> 139 <attribute name="DEP1_EDR" type="z:EDRPOU"/> 140 <attribute name="TCP2_EDR" type="z:EDRPOU"/> 141 <attribute name="TCP2_DNAME" type="z:Type254"/> 142 <attribute name="K2_TYPE" type="z:Type100"/> 143 <attribute name="K2_EDRPOU" type="z:Type18"/> 144 <attribute name="K2_PIB" type="z:Type254"/> 145 <attribute name="K2_COUNTRY" type="z:Type254"/> 146 <attribute name="K2_TYPESUB" type="z:Type100"/> 147 <attribute name="DEP2_EDR" type="z:EDRPOU"/> 148 <attribute name="SANKCII" type="z:Type254"/> 149 <attribute name="Z_PRYM" type="z:Type254"/> 150 </complexType> 151 </element> 152 </sequence> 153 </complexType> 154 </element> 155 <element name="DTSO_DOD_N"> 156 <complexType> 157 <sequence minOccurs="0" maxOccurs="unbounded"> 158 <element name="row" form="qualified"> 159 <complexType> 160 <attribute name="E_NAME" type="z:Type254"/> 161 <attribute name="E_EDRPOU" type="z:EDRPOU"/> 162 <attribute name="V_ORK" type="z:Type2"/> 163 <attribute name="F_EDRICI" type="z:Type10"/> 164 <attribute name="ST_TYPE" type="z:Type8"/> 165 <attribute name="ISIN" type="z:ISIN"/> 166 <attribute name="T_PRICE" type="dateTime"/> 167 <attribute name="T_NEST" type="dateTime"/> 168 <attribute name="C_PRICE" type="double"/> 169 <attribute name="C_NEST" type="double"/> 170 <attribute name="C_ZMINA" type="double"/> 171 <attribute name="VR" type="z:Type2"/> 172 <attribute name="TECH_B" type="z:Type2"/> 173 <attribute name="VR_OPER" type="z:Type3"/> 174 <attribute name="T_STOP" type="dateTime"/> 175 <attribute name="T_START" type="dateTime"/> 176 <attribute name="INF_ZUP" type="string"/> 177 <attribute name="ZAH_ZUP" type="string"/> 178 <attribute name="REZ" type="z:Type254"/> 179 <attribute name="Z_PRYM" type="z:Type254"/> 180 </complexType> 181 </element> 182 </sequence> 183 </complexType> 184 </element> 185 <element name="DTSO_DOD_11"> 186 <complexType> 187 <sequence minOccurs="0" maxOccurs="unbounded"> 188 <element name="row" form="qualified"> 189 <complexType> 190 <attribute name="TCP_EDR" type="z:EDRPOU"/> 191 <attribute name="TCP_NAME" type="z:Type254"/> 192 <attribute name="V_ORK" type="z:Type2"/> 193 <attribute name="TCP_D_S" type="dateTime"/>
194 <attribute name="TCP_D_F" type="dateTime"/> 195 <attribute name="Z_PRYM" type="z:Type254"/> 196 </complexType> 197 </element> 198 </sequence> 199 </complexType> 200 </element> 201 <element name="DTSO_DOD_10"> 202 <complexType> 203 <sequence minOccurs="0" maxOccurs="unbounded"> 204 <element name="row" form="qualified"> 205 <complexType> 206 <attribute name="V_ORK" type="z:Type2"/> 207 <attribute name="E_EDRPOU" type="z:EDRPOU"/> 208 <attribute name="F_EDRICI" type="z:Type10"/> 209 <attribute name="E_NAME" type="z:Type254"/> 210 <attribute name="ST_TYPE" type="z:Type8"/> 211 <attribute name="ISIN" type="z:ISIN"/> 212 <attribute name="DOP_FI" type="z:TypeYes1No0"/> 213 <attribute name="E_COUNTRY" type="z:Type3"/> 214 <attribute name="ST_EXPEN" type="z:nominal"/> 215 <attribute name="VALUTA" type="z:ClsCont_Type"/> 216 <attribute name="ST_BASE" type="z:Type100"/> 217 <attribute name="ST_LL_D" type="dateTime"/> 218 <attribute name="ST_LR_D" type="dateTime"/> 219 <attribute name="ST_CR_D" type="dateTime"/> 220 <attribute name="ST_LL_I" type="z:Type254"/> 221 <attribute name="ST_LL" type="z:Type254"/> 222 <attribute name="Z_PRYM" type="z:Type254"/> 223 </complexType> 224 </element> 225 </sequence> 226 </complexType> 227 </element> 228 <element name="DTSO_P_OPER"> 229 <complexType> 230 <sequence minOccurs="0" maxOccurs="unbounded"> 231 <element name="row" form="qualified"> 232 <complexType> 233 <attribute name="V_ORK" type="z:Type2"/> 234 <attribute name="V_PRD" type="z:Type1or2or3"/> 235 <attribute name="V_PRD_OP" type="z:TypeYes1No2"/> 236 <attribute name="Z_D_PD" type="dateTime"/> 237 <attribute name="Z_BOOK" type="z:Type100"/> 238 <attribute name="Z_PRICE" type="double"/> 239 <attribute name="Z_VALUTA" type="z:ClsCont_Type"/> 240 <attribute name="Z_QUANT" type="double"/> 241 <attribute name="Z_D_ZM" type="dateTime"/> 242 <attribute name="Z_ZM" type="z:Type254"/> 243 <attribute name="Z_D_SK" type="dateTime"/> 244 <attribute name="ST_TYPE" type="z:Type8"/> 245 <attribute name="ST_CFI" type="z:Type100"/> 246 <attribute name="ISIN" type="z:ISIN"/> 247 <attribute name="ST_BASE" type="z:Type100"/> 248 <attribute name="E_NAME" type="z:Type254"/> 249 <attribute name="E_EDRPOU" type="z:EDRPOU"/> 250 <attribute name="E_COUNTRY" type="z:Type3"/> 251 <attribute name="VR" type="z:Type2"/> 252 <attribute name="TECH_B" type="z:Type2"/> 253 <attribute name="VR_OPER" type="z:Type3"/> 254 <attribute name="TCP_EDR" type="z:EDRPOU"/> 255 <attribute name="TCP_NAME" type="z:Type254"/> 256 <attribute name="TCP_D_S" type="dateTime"/> 257 <attribute name="RSP_F" type="z:Type254"/> 258 <attribute name="RSP_I" type="z:Type254"/> 259 <attribute name="RSP_O" type="z:Type254"/>
260 <attribute name="RSP_M" type="z:Type254"/> 261 <attribute name="RSP_D" type="dateTime"/> 262 <attribute name="RSP_S" type="dateTime"/> 263 <attribute name="ST_MM" type="z:TypeYes1No2"/> 264 <attribute name="KL_TYPE" type="z:Type3"/> 265 <attribute name="KL_EDRPOU" type="z:Type18"/> 266 <attribute name="KL_PIB" type="z:Type254"/> 267 <attribute name="KL_COUNTRY" type="z:Type3"/> 268 <attribute name="OPYS_PD" type="string"/> 269 <attribute name="ZAH_SP" type="string"/> 270 <attribute name="Z_PRYM" type="z:Type254"/> 271 </complexType> 272 </element> 273 </sequence> 274 </complexType> 275 </element> 276 <element name="DTSO_V_OPER"> 277 <complexType> 278 <sequence minOccurs="0" maxOccurs="unbounded"> 279 <element name="row" form="qualified"> 280 <complexType> 281 <attribute name="V_ORK" type="z:Type2"/> 282 <attribute name="N_POV" type="z:Type100"/> 283 <attribute name="Z_BOOK" type="z:Type100"/> 284 <attribute name="ZAH_SP" type="string"/> 285 <attribute name="VIS_SP" type="string"/> 286 </complexType> 287 </element> 288 </sequence> 289 </complexType> 290 </element> 291 </all> 292 <attribute name="D_EDRPOU" type="z:EDRPOU"/> 293 <attribute name="D_NAME" type="string"/> 294 <attribute name="STD" type="dateTime"/> 295 <attribute name="FID" type="dateTime"/> 296 <attribute name="NREG" type="string"/> 297 <attribute name="TTYPE" type="string"/> 298 </complexType> 299 </element> 300 </schema> __________________
Додаток 2 до опису розділів та схем ХМL
файлів електронної форми звітних даних
операторів організованих ринків капіталу
Схема XSD «DayExch» щоденних даних
№
з/п Рядок схеми
1 <?xml version='1.0' encoding='windows-1251'?> 2 <schema 3 xmlns="http://www.w3.org/2001/XMLSchema" 4 xmlns:z="http://nssmc.gov.ua/Schem/DayExch" 5 targetNamespace="http://nssmc.gov.ua/Schem/DayExch" 6 elementFormDefault="qualified"> 7 <simpleType name="EDRPOU"> 8 <restriction base="string"> 9 <maxLength value="12"/> 10 </restriction> 11 </simpleType> 12 <simpleType name="ISIN"> 13 <restriction base="string"> 14 <maxLength value="20"/> 15 </restriction> 16 </simpleType> 17 <simpleType name="Type254"> 18 <restriction base="string"> 19 <maxLength value="254"/> 20 </restriction> 21 </simpleType> 22 <simpleType name="Type100"> 23 <restriction base="string"> 24 <maxLength value="100"/> 25 </restriction> 26 </simpleType> 27 <simpleType name="Type10"> 28 <restriction base="string"> 29 <maxLength value="10"/> 30 </restriction> 31 </simpleType> 32 <simpleType name="Type2"> 33 <restriction base="string"> 34 <maxLength value="2"/> 35 </restriction> 36 </simpleType> 37 <simpleType name="Type3"> 38 <restriction base="string"> 39 <maxLength value="3"/> 40 </restriction> 41 </simpleType> 42 <simpleType name="Type8"> 43 <restriction base="string"> 44 <maxLength value="8"/> 45 </restriction> 46 </simpleType> 47 <simpleType name="Type18"> 48 <restriction base="string"> 49 <maxLength value="18"/> 50 </restriction> 51 </simpleType> 52 <simpleType name="TypeYes1No2"> 53 <restriction base="integer"> 54 <enumeration value="1"/> 55 <enumeration value="2"/> 56 </restriction> 57 </simpleType> 58 <simpleType name="TypeYes1No0"> 59 <restriction base="integer"> 60 <enumeration value="1"/> 61 <enumeration value="0"/>
62 </restriction>
63 </simpleType>
64 <simpleType name="money">
65 <restriction base="decimal">
66 <fractionDigits value="2"/>
67 </restriction>
68 </simpleType>
69 <simpleType name="nominal">
70 <restriction base="decimal">
71 <minInclusive value="0"/>
72 <fractionDigits value="8"/>
73 </restriction>
74 </simpleType>
75 <simpleType name="ClsCont_Type">
76 <restriction base="string">
77 <pattern value="[0-9]{3}"/>
78 </restriction>
79 </simpleType>
80 <element name="root">
81 <complexType>
82 <all>
83 <element name="DTSSuprovod">
84 <complexType>
85 <sequence minOccurs="0" maxOccurs="unbounded"> 86 <element name="row" form="qualified"> 87 <complexType> 88 <attribute name="V_ORK" type="z:Type2"/> 89 <attribute name="ISPDAT" type="dateTime"/> 90 <attribute name="VIPRAV" type="string"/> 91 <attribute name="TAG" type="string"/> 92 </complexType> 93 </element> 94 </sequence> 95 </complexType> 96 </element> 97 <element name="DTSO_DOD_2"> 98 <complexType> 99 <sequence minOccurs="0" maxOccurs="unbounded"> 100 <element name="row" form="qualified"> 101 <complexType> 102 <attribute name="V_ORK" type="z:Type2"/> 103 <attribute name="E_EDRPOU" type="z:EDRPOU"/> 104 <attribute name="E_NAME" type="z:Type254"/> 105 <attribute name="F_EDRICI" type="z:Type10"/> 106 <attribute name="ST_TYPE" type="z:Type8"/> 107 <attribute name="ST_CFI" type="z:Type100"/> 108 <attribute name="ISIN" type="z:ISIN"/> 109 <attribute name="DOP_FI" type="z:TypeYes1No0"/> 110 <attribute name="ST_EXPEN" type="z:nominal"/> 111 <attribute name="VALUTA" type="z:ClsCont_Type"/> 112 <attribute name="IS_PUBLIC" type="boolean"/> 113 <attribute name="E_COUNTRY" type="z:Type3"/> 114 <attribute name="ST_BKURS" type="double"/> 115 <attribute name="ST_BASE" type="z:Type100"/> 116 <attribute name="KL_Z_K" type="double"/> 117 <attribute name="KL_Z_P" type="double"/> 118 <attribute name="ST_BINDEX" type="z:Type100"/> 119 <attribute name="END_PRICE" type="double"/> 120 <attribute name="Z_PRYM" type="z:Type254"/> 121 </complexType> 122 </element> 123 </sequence> 124 </complexType> 125 </element> 126 <element name="DTSO_DOD_1"> 127 <complexType> 128 <sequence minOccurs="0" maxOccurs="unbounded"> 129 <element name="row" form="qualified">
130 <complexType>
131 <attribute name="V_ORK" type="z:Type2"/>
132 <attribute name="D_BCONTR" type="dateTime"/> 133 <attribute name="D_BCONTRF" type="dateTime"/> 134 <attribute name="T_BCONTR" type="dateTime"/> 135 <attribute name="R_BCONTR" type="z:Type254"/> 136 <attribute name="PARTREPO" type="z:Type100"/> 137 <attribute name="R_PARTREPO" type="z:Type254"/> 138 <attribute name="O_PARTREPO" type="z:TypeYes1No2"/> 139 <attribute name="E_NAME" type="z:Type254"/> 140 <attribute name="E_EDRPOU" type="z:EDRPOU"/> 141 <attribute name="F_EDRICI" type="z:Type10"/> 142 <attribute name="ST_TYPE" type="z:Type8"/> 143 <attribute name="ISIN" type="z:ISIN"/> 144 <attribute name="ST_QUANT" type="double"/> 145 <attribute name="ST_UCOST" type="double"/> 146 <attribute name="V_VALUTA" type="z:Type3"/> 147 <attribute name="ST_ACCI" type="z:money"/> 148 <attribute name="ST_BASE" type="z:Type100"/> 149 <attribute name="ST_EXPEN" type="z:nominal"/> 150 <attribute name="ST_EXPEN2" type="z:nominal"/> 151 <attribute name="VALUTA" type="z:ClsCont_Type"/> 152 <attribute name="VR" type="z:Type2"/> 153 <attribute name="TECH_B" type="z:Type2"/> 154 <attribute name="VR_OPER" type="z:Type3"/> 155 <attribute name="DA_BCONTR" type="dateTime"/> 156 <attribute name="TCP1_EDR" type="z:EDRPOU"/> 157 <attribute name="KL_NAME" type="z:Type254"/> 158 <attribute name="KL_TYPE" type="z:Type3"/> 159 <attribute name="KL_EDRPOU" type="z:Type18"/> 160 <attribute name="KL_PIB" type="z:Type254"/> 161 <attribute name="KL_COUNTRY" type="z:Type254"/> 162 <attribute name="KL_TYPESUB" type="z:Type3"/> 163 <attribute name="DEP1_EDR" type="z:EDRPOU"/> 164 <attribute name="TCP2_EDR" type="z:EDRPOU"/> 165 <attribute name="TCP2_DNAME" type="z:Type254"/> 166 <attribute name="K2_TYPE" type="z:Type100"/> 167 <attribute name="K2_EDRPOU" type="z:Type18"/> 168 <attribute name="K2_PIB" type="z:Type254"/> 169 <attribute name="K2_COUNTRY" type="z:Type254"/> 170 <attribute name="K2_TYPESUB" type="z:Type100"/> 171 <attribute name="DEP2_EDR" type="z:EDRPOU"/> 172 <attribute name="IS_SUSPIC" type="z:TypeYes1No2"/> 173 <attribute name="CMP_BK" type="double"/> 174 <attribute name="CMP_EP" type="double"/> 175 </complexType> 176 </element> 177 </sequence> 178 </complexType> 179 </element> 180 </all> 181 <attribute name="D_EDRPOU" type="z:EDRPOU"/> 182 <attribute name="D_NAME" type="string"/> 183 <attribute name="STD" type="dateTime"/> 184 <attribute name="FID" type="dateTime"/> 185 <attribute name="NREG" type="string"/> 186 <attribute name="TTYPE" type="string"/> 187 </complexType> 188 </element> 189 </schema> ____________________
Додаток 3 до опису розділів та схем ХМL
файлів електронної форми звітних даних
операторів організованих ринків капіталу
Схема XSD «MonthExch» щомісячних даних
№
з/п Рядок схеми
1 <?xml version='1.0' encoding='windows-1251'?> 2 <schema 3 xmlns="http://www.w3.org/2001/XMLSchema" 4 xmlns:z="http://nssmc.gov.ua/Schem/MonthExch" 5 targetNamespace="http://nssmc.gov.ua/Schem/MonthExch" 6 elementFormDefault="qualified"> 7 <simpleType name="EDRPOU"> 8 <restriction base="string"> 9 <maxLength value="12"/> 10 </restriction> 11 </simpleType> 12 <simpleType name="ISIN"> 13 <restriction base="string"> 14 <maxLength value="20"/> 15 </restriction> 16 </simpleType> 17 <simpleType name="Type2"> 18 <restriction base="string"> 19 <maxLength value="2"/> 20 </restriction> 21 </simpleType> 22 <simpleType name="Type8"> 23 <restriction base="string"> 24 <maxLength value="8"/> 25 </restriction> 26 </simpleType> 27 <simpleType name="Type100"> 28 <restriction base="string"> 29 <maxLength value="100"/> 30 </restriction> 31 </simpleType> 32 <simpleType name="Type254"> 33 <restriction base="string"> 34 <maxLength value="254"/> 35 </restriction> 36 </simpleType> 37 <simpleType name="money"> 38 <restriction base="decimal"> 39 <fractionDigits value="2"/> 40 </restriction> 41 </simpleType> 42 <simpleType name="TypeYes1No2"> 43 <restriction base="integer"> 44 <enumeration value="1"/> 45 <enumeration value="2"/> 46 </restriction> 47 </simpleType> 48 <element name="root"> 49 <complexType> 50 <all> 51 <element name="DTSSuprovod"> 52 <complexType> 53 <sequence minOccurs="0" maxOccurs="unbounded"> 54 <element name="row" form="qualified"> 55 <complexType> 56 <attribute name="V_ORK" type="z:Type2"/> 57 <attribute name="ISPDAT" type="dateTime"/> 58 <attribute name="VIPRAV" type="string"/> 59 <attribute name="TAG" type="string"/> 60 </complexType> 61 </element> 62 </sequence>
63 </complexType>
64 </element>
65 <element name="DTSO_B_TCP">
66 <complexType>
67 <sequence minOccurs="0" maxOccurs="unbounded"> 68 <element name="row" form="qualified"> 69 <complexType> 70 <attribute name="V_ORK" type="z:Type2"/> 71 <attribute name="TCP_EDR" type="z:EDRPOU"/> 72 <attribute name="TCP_NAM" type="z:Type254"/> 73 <attribute name="TCP_D_S" type="dateTime"/> 74 <attribute name="RSP_F" type="z:Type254"/> 75 <attribute name="RSP_I" type="z:Type254"/> 76 <attribute name="RSP_O" type="z:Type254"/> 77 <attribute name="RSP_M" type="z:Type254"/> 78 <attribute name="RSP_D" type="dateTime"/> 79 <attribute name="RSP_S" type="dateTime"/> 80 <attribute name="ST_MM" type="z:TypeYes1No2"/> 81 <attribute name="N_DOG" type="z:Type100"/> 82 <attribute name="D_DOG" type="dateTime"/> 83 <attribute name="NAME_EDR" type="z:Type254"/> 84 <attribute name="EMI_EDR" type="z:EDRPOU"/> 85 <attribute name="ST_TYPE" type="z:Type8"/> 86 <attribute name="ISIN" type="z:ISIN"/> 87 <attribute name="SEC_STD" type="dateTime"/> 88 <attribute name="SEC_FID" type="dateTime"/> 89 <attribute name="Z_PRYM" type="z:Type254"/> 90 </complexType> 91 </element> 92 </sequence> 93 </complexType> 94 </element> 95 <element name="DTSFULFILLMENT"> 96 <complexType> 97 <sequence minOccurs="0" maxOccurs="unbounded"> 98 <element name="row" form="qualified"> 99 <complexType> 100 <attribute name="V_ORK" type="z:Type2"/> 101 <attribute name="E_EDRPOU" type="z:EDRPOU"/> 102 <attribute name="E_NAME" type="z:Type254"/> 103 <attribute name="N_DOG" type="z:Type254"/> 104 <attribute name="D_DOG" type="dateTime"/> 105 <attribute name="ST_TYPE" type="z:Type8"/> 106 <attribute name="ISIN" type="z:ISIN"/> 107 <attribute name="FULFILLMENT" type="z:TypeYes1No2"/> 108 </complexType> 109 </element> 110 </sequence> 111 </complexType> 112 </element> 113 </all> 114 <attribute name="D_EDRPOU" type="z:EDRPOU"/> 115 <attribute name="D_NAME" type="string"/> 116 <attribute name="STD" type="dateTime"/> 117 <attribute name="FID" type="dateTime"/> 118 <attribute name="NREG" type="string"/> 119 <attribute name="TTYPE" type="string"/> 120 </complexType> 121 </element> 122 </schema> _________________
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Source: National Securities and Stock Market Commission — original document · Summary generated with machine assistance and reviewed before publication; the authoritative text is the regulator's original document. How RegAlert works
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