FIELD NAME LENGTH START END TYPE COMMENTS

Transcription

1 ACATS OUTPUT POSITION AUTOROUTE PRODUCT ID: RECORD LENGTH:80 RECORD TYPE : FIXED REVISION DATE : 05/30/2013 RECORD 01 OF 103 Record Subtype A/N T = Transfer Output A = Asset Output F = Fund Registration Output I = Insurance Registration Output Physical Sequence Logical Sequence NUM NUM 01 Distribution Side A/N B = Both Original Receiver and Original Deliverer ACATS Control Asset Sequence A/N Format is CCYYDDDNNNNNNN NUM Processing Date A/N Format is CCYYMMDD Filler A/N Reserved for future use spaces Distribution Participant A/N Filler A/N Reserved for future use spaces Status A/N 100 = Request 110 = Request Adjust 120 = Request Adjust Past 130 = Request Past 140 = Request Reject 200 = Review 210 = Review Adjust Deliverer 220 = Review Error 230 = Review Accelerate 300 = Settle Prep 310 = Settle Close 400 = Close Purge 500 = Request 510 = Memo Purge-Partial Transfer Request (Receiver) 600 = Reject Days in Status A/N Filler A/N Reserved for future use spaces Page 1 of 83

2 RECORD 02 OF 103 Record Subtype A/N T = Transfer Output A = Asset Output F = Fund Registration Output Logical Sequence NUM 02 Registration Indicator A/N D = Default registration P = Participant registration Space = N/A Settlement Date A/N Format is CCYYMMDD Settlement Timing A/N 1 = Next Day 2 = 2 Days 3 = 3 Days Space = Not Applicable Value Free Indicator A/N V = Valued F = Free Space = Not Applicable Debit Credit Indicator A/N C = Credit D = Debit Space = Not Applicable Filler A/N Reserved for future use spaces Page 2 of 83

3 RECORD 03 OF 103 Record Subtype A/N T = Transfer Output Logical Sequence NUM 03 Filler A/N Reserved for future use spaces TI ACATS Control A/N Format is CCYYDDDNNNNNNN TI Transfer Type A/N FRV = Fail Reversal (broker tobroker only) FUL = Full Transfer MFC = Mutual Fund Cleanup PTD = Partial Transfer (Deliverer) PTF = Position Transfer Fund (Firm to Fund only) PTR = Partial Transfer Request (Receiver) RCL = Reclaim RCR = Residual Credit Filler A/N Reserved for future use spaces TI Original Receiver A/N Filler A/N Reserved for future use spaces TI Original Deliverer Original Receiver Customer Account A/N A/N Filler A/N Reserved for future use spaces Page 3 of 83

4 RECORD 04 OF 103 Record Subtype A/N T = Transfer Output Logical Sequence NUM 04 Original Receiver Customer Account Name Original Receiver Customer SS /Tax ID Primary A/N A/N Filler A/N Reserved for future use spaces Page 4 of 83

5 RECORD 05 OF 103 Record Subtype A/N T = Transfer Output Logical Sequence NUM 05 Original Receiver Customer SS / Tax ID Secondary Original Receiver Customer Account Type A/N A/N 4B = 403B 4K = 401K 5P = 529 Plan 7B = 457 Plan AG = Agency BC = Bank Custody BI = Beneficiary BR = Beneficiary Roth IRA CO = Corporate CT = Co-Trustee CU = Custodian (UGMA) DR = Direct Rollover EI = Coverdell IRA (name change from Educational IRA account) ES = Estate HS = Health Savings Account IR = IRA JT = Joint MS = Medical Savings Account OT = Other QP = Qualified / Profit Sharing/Pension RI = Roth IRA SI = Simple IRA SN = Single SS = SARSEP TR = Trust Gift / Donation Indicator A/N 0 = No, transfer is not gift / donation 1 = Yes, transfer is gift / donation Filler A/N Reserved for future use spaces Original Receiver OCC Broker A/N Filler A/N Reserved for future use spaces Original Receiver Correspondent A/N Filler A/N Reserved for future use spaces Contra Participant Type A/N Values: 1 Bank 2 Broker 3 Fund 4 Insurance Company 5 Trust Page 5 of 83

6 RECORD 05 OF 103 Original Deliverer Customer Account A/N Transfer Type Reject A/N 00 = Not Rejected 01 = SS# Tax ID Mismatch 02 = Account Title Mismatch 03 = Documentation Needed 04 = Account Flat 05 = Invalid Account 06 = Duplicate 07 = Account in Distribution or Transfer 08 = Client Rescinded 09 = Missing Authorization Signature 15 = Position Transfer Fund (Deliverer) 21 = Account Violates Credit Policy of Receiving Firm 22 = Unrecognized for Residual Credit Balance 23 = Partial Transfer (Deliverer Initiated) Reject 24 = Fail Reversal Reject 25 = Reclaim Reject 27 = Mutual Fund Cleanup Reject 28 = Position Transfer Fund (Receiver) 99 = NSCC Reject Associated ACATS Control A/N Format is CCYYDDDNNNNNNN Filler A/N Reserved for future use spaces Page 6 of 83

7 RECORD 06 OF 103 Record Subtype A/N T = Transfer Output Logical Sequence NUM 06 Associated Settlement Date A/N Format is CCYYMMDD TI Transaction Reference ID A/N Comments (Text) A/N Page 7 of 83

8 RECORD 07 OF 103 Record Subtype A/N T = Transfer Output Logical Sequence NUM 07 Comments (Text) A/N Page 8 of 83

9 RECORD 08 OF 103 Record Subtype A/N A = Asset Output Logical Sequence NUM 03 Filler A/N Reserved for future use spaces AT ACATS Control A/N Format is: CCYYDDDNNNNNNN AT Transfer Type A/N FRV = Fail Reversal (broker to broker only) FUL = Full Transfer MFC = Mutual Fund Cleanup PTD = Partial Transfer Deliverer PTF = Position Transfer Fund (Firm to Fund only) PTR = Partial Transfer Request (Receiver) RCL = Reclaim RCR = Residual Credit Filler A/N Reserved for future use spaces AT Original Receiver A/N Filler A/N Reserved for future use spaces AT Original Deliverer AT Transaction Reference ID AT Asset Sequence A/N A/N NUM Filler A/N Reserved for future use spaces Asset Pricing Category A/N ANNU = Annuity CDCP = CD & Commercial Paper CORP = Corporate Bond EQU = Equities FCUR = Foreign Currency FDEB = Foreign Debt FEQU = Foreign Equities GOVT = US Govt., US Govt. Agency LIFE = Life Insurance (Future Use only) LPAR = Limited Partnership MBS = FHLMC, FNMA, GNMA MFMM = Mutual Fund Money Market MFNM = Mutual Fund Non Money Market MUNI = Municipal Bonds OTH = Other UARP = Auction Rate Preferred UIT UDSC = Deferred Sales Charge - UIT UIT = Unit Investment Trust ZERO = Zero Coupon Bonds Page 9 of 83

10 RECORD 09 OF 103 Record Subtype A/N A = Asset Output Physical Sequence Logical Sequence NUM Prior Physical Sequence NUM 04 Option Category A/N 00 = Non option 01 = Equity Option 02 = Non-equity option 03 = ICS Option Settling Location A/N 05 = CNS 10 = Fund/SERV 15 = PTC 20 = GSCC 25 = DTC 30 = Undeliverable 35 = OCC 40 = Cash Balance 45 = Memo 50 = R&D 55 = R&D (Foreign) 60 = IPS 65 = Insurance Memo Settling Location Reason A/N DTC = DTC Eligible Only EXPO = Expiring Option OPT = Option USEC = Underlying Security CRED = Credit Balance DEB = Debit Balance CASH = Underlying Cash Balance COMT = Comment SMA = Special Misc. Accounting Value RSEC = Restricted Security SFK = Safekeeping XSET = Outside CNS, DTC, Fund/SERV, GSCC, PTC FCUR = Foreign Currency DDEL = Delayed Delivery NSET = System Derived Outside CNS, DTC, Fund/SERV, GSCC, PTC IPO = System Derived Initial Public Offering NIPS = Receiver and ISIN Not Eligible for IPS RIPS = Receiver Not Eligible for IPS XIPS = ISIN Not Eligible for IPS NOIR = Insurance Registration Not Received REGT = REG T Calls (create date and amount required) 90DR = 90 Day Restriction (expiration date required) ISIN Country Code A/N ISIN Security Issue ID A/N Page 10 of 83

11 RECORD 09 OF 103 ISIN Security Check Digit A/N DTC Sub Issue Type A/N A = Auction Rate Security Foreign Security Trade Date A/N Populated only when the Settlement Location is 55 R&D (Foreign) Filler A/N Format is CCYYMMDD Page 11 of 83

12 RECORD 10 OF 103 Record Subtype A/N A = Asset Output Logical Sequence NUM 05 Asset Description A/N Filler A/N Reserved for future use spaces Page 12 of 83

13 RECORD 11 OF 103 Record Subtype A/N A = Asset Output Logical Sequence NUM 06 Asset Description A/N Filler A/N Reserved for future use spaces Page 13 of 83

14 RECORD 12 OF 103 Record Subtype A/N A = Asset Output Physical Sequence Logical Sequence Asset Quantity Request Indicator Asset Request Transaction Code NUM Prior Physical Sequence NUM A/N F = Request Full Position P = Request Partial Position N = Not Applicable A/N 2 = Shares 3 = Currency Amount Asset Quantity A/N Floating decimal denoted by a, (comma). Asset Percent A/N Field Not Applicable Position Code A/N S = Short Position L = Long Position N = Not applicable ISO Currency Code A/N Asset Amount A/N Floating decimal denoted by a, (comma). Bearer Bond A/N B = Bearer Bond N = Not a Bearer Bond Cash/Margin/ Short Code A/N C = Cash M = Margin S = Short When Issued Indicator A/N W = When Issued N = Not When Issued Page 14 of 83

15 RECORD 12 OF 103 Transfer Type Reason A/N 01 = Cash Dividend 02 = Interest 03 = Liquidation 04 = Stock Dividend/ Distribution 05 = Stock Split 06 = Reorganization 07 = Redemption 08 = Underlying Option 09 = Underlying Security 10 = Miscellaneous 11 = Mutual Funds Fractional Cash-in-lieu 12 = Mutual Funds Accrual 13 = Mutual Funds Residual MBS Serial Note A/N 40 = Fail position was liquidated 41 = Fail position in reorganization 42 = Fail position matured or expired 43 = Fail no broker/dealer agreement 44 = Fail fractional share quantity 45 = Fail non-deliverable denominations 46 = Fail position is non-deliverable 47 = Fail miscellaneous 60 = Reclaim client rescinded 61 = Reclaim duplicate delivery 62 = Reclaim delivered asset that did not belong to client 63 = Reclaim over delivery 64 = Reclaim fees were not withheld 65 = Reclaim-Miscellaneous Filler A/N Reserved for future use spaces Page 15 of 83

16 RECORD 13 OF 103 Record Subtype A/N A = Asset Output Logical Sequence NUM 08 Asset Comment (Text) A/N Filler A/N Reserved for future use spaces Page 16 of 83

17 RECORD 14 OF 103 Record Subtype A/N A = Asset Output Logical Sequence NUM 09 Asset Comment (Text) A/N Filler A/N Page 17 of 83

18 RECORD 15 OF 103 Data Area for Asset Types of Option Record Subtype A/N A = Asset Output Physical Sequence Logical Sequence Option Buy Sell Indicator Used when Settling Location is 35 (OCC) and Option Category is greater than zeros NUM Prior Physical Sequence NUM A/N B = Buy S = Sell Option P-C Indicator A/N P = Put C = Call Option O-C Indicator A/N O = Open C = Closed Option Symbol A/N Option Expiration Date A/N New format is CCYYMMDD Filler A/N Reserved for future use spaces Option Decimal / Fraction Indicator Option Strike Price Integer A/N D = Decimal strike price A/N Format is 99,999 or 9(5) Filler A/N Reserved for future use spaces Option Strike Price Fraction / Decimal A/N The only valid values are 000 through 999 which represent decimal format only Filler A/N Reserved for future use spaces Option OCC Deliverer A/N Option Account Type A/N C = Customer F = Firm M = Market Maker Filler A/N Reserved for future use spaces Sub Account ID A/N Option Comments (Text) A/N Filler A/N Reserved for future use spaces Page 18 of 83

19 RECORD 16 OF 103 Asset Mutual Fund Data Record Subtype A/N A = Asset Output Physical Sequence Logical Sequence Fund Customer Account Book/Physical Share Indicator Network Control Indicator Account Type Indicator Used when Settling Location is 10 (Fund/SERV) or Transfer Type = MFC unless Transfer Type = PTR or PTF and Submitter is the Receiver NUM Prior Physical Sequence NUM A/N A/N 0 = Transfer in and out: Book Shares. BIN specified 1 = Transfer in and out: Book Shares. FIN specified 2 = Transfer in: Book Shares Transfer out: Physical. FIN specified A/N 0 = Not Networked 3 = Broker controlled Brokerage account 4 = Fund controlled brokerage account A/N 1 = Customer Name 2 = Street Name Dividend Code A/N Dividend Payee Indicator Dividend Long Term Cap Gain Short Term Cap Gain 0 = Cash Cash Cash 1 = Reinvest Reinvest Reinvest 2 = Cash Cash Reinvest 3 = Cash Reinvest Reinvest 4 = Cash Reinvest Cash 5 = Reinvest Cash Cash 6 = Reinvest Reinvest Cash 7 = Reinvest Cash Reinvest A/N 0 = Customer 1 = Firm 2 = Executing Firm N = Not applicable Filler A/N Reserved for future use spaces Executing Broker A/N MF Full/Partial Indicator Share Aging Indicator A/N 1 = Full Transfer 2 = Partial Transfer A/N 1 = The delivering firm or fund company will provide the share aging information in an automated fashion through the Networking Share Aging file. 2 = The delivering firm or fund company will provide the share aging information outside of the system. Page 19 of 83

20 RECORD 16 OF 103 Firm Membership Indicator Deliverer New Fund Customer Account Receiver Re-registration Date at Fund MF Agent Processing Indicator (Deliverer) A/N Space = Broker 01 = Trust A/N A/N Format is CCYYMMDD A/N 0 = Deliverer will not use alternate Fund/SERV clearing number. 1 = Deliverer will use alternate Fund/SERV clearing number. Filler A/N Reserved for future use spaces Page 20 of 83

21 RECORD 17 OF 103 Asset Insurance Data Used when Settling Location is 60 (IPS). Record Subtype A/N A = Asset Output Logical Sequence NUM 10 Insurance Customer Account Deliverer A/N Owner 1 Natural/Non-Natural Indicator A/N N Natural X Non-Natural Owner 1 Name A/N Filler A/N Reserved for future use spaces Page 21 of 83

22 RECORD 18 OF 103 Record Subtype A/N A = Asset Output Logical Sequence NUM 11 Owner 1 Name A/N Filler A/N Reserved for future use spaces Page 22 of 83

23 RECORD 19 OF 103 Record Subtype A/N A = Asset Output Physical Sequence Logical Sequence NUM Prior Physical Sequence NUM 12 Owner 1 ID A/N Owner 1 ID Qualifier A/N 34 = Social Security A3 = Non-Resident Alien FI = Federal Taxpayer s Identification SB = Canadian Social Insurance Owner 1 Qualifier A/N 1 = Person 2 = Other Non-person Entity 3 = Unknown 4 = Corporation 5 = Trust 6 = Plan 7 = Limited Liability Corporation 8 = Partnership C = Custodial D = Non-Profit Organization E = Sole-Proprietorship G = Government H = Charitable Organization R = Charitable Remainder Trust U = UGMA/UTMA Filler A/N Reserved for future use spaces Page 23 of 83

24 RECORD 20 OF 103 Record Subtype A/N A = Asset Output Logical Sequence NUM 13 Owner 2 Natural/Non-Natural Indicator A/N N Natural X Non-Natural Owner 2 Name A/N Filler A/N Reserved for future use spaces Page 24 of 83

25 RECORD 21 OF 103 Record Subtype A/N A = Asset Output Logical Sequence NUM 14 Owner 2 Name A/N Filler A/N Reserved for future use spaces Page 25 of 83

26 RECORD 22 OF 103 Record Subtype A/N A = Asset Output Physical Sequence Logical Sequence NUM Prior Physical Sequence NUM 15 Owner 2 ID A/N Owner 2 ID Qualifier A/N 34 = Social Security A3 = Non-Resident Alien FI = Federal Taxpayer s Identification SB = Canadian Social Insurance Owner 2 Qualifier A/N 1 = Person 2 = Other Non-person Entity 3 = Unknown 4 = Corporation 5 = Trust 6 = Plan 7 = Limited Liability Corporation 8 = Partnership C = Custodial D = Non-Profit Organization E = Sole-Proprietorship G = Government H = Charitable Organization R = Charitable Remainder Trust U = UGMA/UTMA Filler A/N Reserved for future use spaces Page 26 of 83

27 RECORD 23 OF 103 Record Subtype A/N A = Asset Output Logical Sequence NUM 16 Annuitant 1 Name A/N Filler A/N Reserved for future use spaces Page 27 of 83

28 RECORD 24 OF 103 Record Subtype A/N A = Asset Output Logical Sequence NUM 17 Annuitant 1 Name A/N Filler A/N Reserved for future use spaces Page 28 of 83

29 RECORD 25 OF 103 Record Subtype A/N A = Asset Output Physical Sequence Logical Sequence NUM Prior Physical Sequence NUM 18 Annuitant 1 ID A/N Annuitant 1 ID Qualifier A/N 34 = Social Security A3 = Non-Resident Alien FI = Federal Taxpayer s Identification SB = Canadian Social Insurance Annuitant 2 Name A/N Filler A/N Reserved for future use spaces Page 29 of 83

30 RECORD 26 OF 103 Record Subtype A/N A = Asset Output Logical Sequence NUM 19 Annuitant 2 Name A/N Filler A/N Reserved for future use spaces Page 30 of 83

31 RECORD 27 OF 103 Record Subtype A/N A = Asset Output Physical Sequence Logical Sequence NUM Prior Physical Sequence NUM 20 Annuitant 2 ID A/N Annuitant 2 ID Qualifier A/N 34 = Social Security A3 = Non-Resident Alien FI = Federal Taxpayer s Identification SB = Canadian Social Insurance IRS Qualification Code A/N 56 = 403b Transfers Only 1030 = 401k 1040 = Solo 401k 1070 = 501c = 501c9 / Health Reimbursement 1080 = 457 Deferred Compensation 1090 = HR10/Keogh 1314 = 412i Inherited IRA Plan 1315 = Non-Qualified Stretch Plan 1316 = Qualified Stretch (inherited) ROTH Plan 2000 = IRA 2005 = IRA Rollover 2010 = Non-qualified 2040 = Qualified Pension 2050 = SAR/SEP 2060 = SEP-IRA 2070 = IRA Spousal 2075 = IRA Transfer 2090 = Cash Balance Plan-Defined Contributions 3000 = Cash Balance Plan-Defined Benefit 3010 = Solo Defined Benefit 3045 = 403b 3050 = 401g (formerly 403g) 3055 = 412 (i) Plan 3210 = Simple IRA 3215 = Roth IRA 3216 = Roth 401k 3217 = Roth 403b 3220 = Educational IRA 3225 = Custodial Roth IRA 3230 = Profit Sharing Plan 3235 = Money Purchase Plan 3300 = Welfare Benefit Plan (419 Plan) 3400 = 7702b / Long Term Care 4000 = No U.S. Taxation (used for Offshore Products) Contract A/N Contract Value A/N Format: 99,999,999,999, COBOL 9(14)v9(2) Page 31 of 83

32 RECORD 27 OF 103 Filler A/N Reserved for future use spaces Page 32 of 83

33 RECORD 28 OF 103 Record Subtype A/N A = Asset Output Logical Sequence NUM 21 Contract Value As-Of Date A/N Format: CCYYMMDD Filler A/N Reserved for future use spaces Delivering Associated Firm ID A/N Filler A/N Reserved for future use spaces Page 33 of 83

34 RECORD 29 OF 103 Record Subtype A/N A = Asset Output Logical Sequence NUM 22 Filler A/N Reserved for future use spaces Page 34 of 83

35 RECORD OF 103 Records 23 through 28 repeat record layout of record 22 and are reserved for future use Page 35 of 83

36 RECORD 36 OF 103 Data Area For Foreign Asset Used when Settling Location is 55 Record Subtype A/N A = Asset Output Logical Sequence NUM 10 Sedol A/N CINS A/N Filler A/N Delivering Firm Settlement Information Line 1 Filler A/N A/N Reserved for future use spaces Page 36 of 83

37 RECORD 37 OF 103 Record Subtype A/N A = Asset Output Logical Sequence NUM 11 Delivering Firm Settlement Information Line 2 Delivering Firm Settlement Information Line A/N A/N Filler A/N Reserved for future use spaces Page 37 of 83

38 RECORD 38 OF 103 Record Subtype A/N A = Asset Output Logical Sequence NUM 12 Delivering Firm Settlement Information Line 4 Delivering Firm Settlement Information Line A/N A/N Filler A/N Reserved for future use spaces Page 38 of 83

39 RECORD 39 OF 103 Record Subtype A/N A = Asset Output Logical Sequence NUM 13 Filler A/N Reserved for future use spaces Page 39 of 83

40 RECORD 40 OF 103 Record Subtype A/N A = Asset Output Logical Sequence NUM 14 Filler A/N Reserved for future use spaces Page 40 of 83

41 RECORD 41 OF 103 Record Subtype A/N F = Fund Registration Output Logical Sequence NUM 03 Filler A/N Reserved for future use spaces FR ACATS Control A/N Format is CCYYDDDNNNNNNN FR Transfer Type A/N FUL = Full Transfer PTD = Partial Transfer (Deliverer) PTF = Position Transfer Fund PTR = Partial Transfer (Receiver) RCL = Reclaim RCR = Residual Credit Filler A/N Reserved for future use spaces FR Original Receiver A/N Filler A/N Reserved for future use spaces FR Original Deliverer A/N FR ACATS Asset Sequence NUM Security Issue Country Code A/N Security Issue ID A/N Security Issue Check Digit A/N MF Transaction Type A/N 1 = Transfer to new account 2 = Transfer to existing account 3 = Firm of record changes only Fraction Indicator A/N 1 = Transfer fraction 2 = Liquidate fraction NRA Tax Percentage A/N Account Transfer Disbursement Accruals Code Account Transfer Disbursement Fractional/Cash-in-Lieu Code Account Transfer Disbursement Residuals Code A/N Reduce options to only the following: 2 = Cash to customer delivering firm 4 = Process bucket to bucket transfer to receiving firm A/N 0 = Cash to broker delivering firm 1 = Reinvest delivering firm 2 = Cash to customer delivering firm 3 = Cash to broker receiving firm 4 = Reinvest receiving firm 5 = Cash to customer receiving firm A/N 0 = Cash to broker delivering firm 1 = Reinvest delivering firm 2 = Cash to customer delivering firm 3 = Cash to broker receiving firm 4 = Reinvest receiving firm 5 = Cash to customer receiving firm Page 41 of 83

42 RECORD 41 OF 103 Book/Physical Share Indicator A/N 0 = Transfer in and out: Book Shares. BIN specified 1 = Transfer in and out: Book Shares. FIN specified 2 = Transfer in: Book Shares Transfer out: Physical FIN specified PI Delivery Indicator A/N 0 = Deliver to customer 1 = Deliver to firm 2 = Deliver to agent for firm TPA A/N Filler A/N Reserved for future use spaces Page 42 of 83

43 RECORD 42 OF 103 Record Subtype A/N F = Fund Registration Output Logical Sequence NUM 04 Customer Name A/N Fund Account Indicator A/N 0 = New account domestic 1 = New account foreign 2 = Existing account domestic 3 = Existing account foreign 4 = New account U.S. tax resident living abroad 5 = Existing account U.S. tax resident living abroad Fund Customer Account A/N Filler A/N Reserved for future use spaces Executing Broker A/N Network Control Indicator A/N 0 = Non networked 3 = Broker controlled brokerage account 4 = Fund controlled brokerage account. MF Agent Processing Indicator (Receiver) A/N 0 = Receiver will not use alternate Fund/SERV clearing number 1 = Receiver will use alternate Fund/SERV clearing number SSN/EIN Indicator A/N 0 = Tax ID (EIN) 1 = Social Security 2 = Investor EIN (Employee Identification ) SSN/EIN A/N W8 Certification Date A/N CCYYMMDD format W8 Override NRA Special Rate A/N Foreign tax rate Format is or COBOL Page 43 of 83

44 RECORD 43 OF 103 Record Subtype A/N F = Fund Registration Output Physical Sequence Logical Sequence NUM Prior Physical Sequence NUM 05 Dividend Code A/N Dividend Long Term Cap Gain Short Term Cap Gain Withholding Indicator Payable Information Indicator 0 = Cash Cash Cash 1 = Reinvest Reinvest Reinvest 2 = Cash Cash Reinvest 3 = Cash Reinvest Reinvest 4 = Cash Reinvest Cash 5 = Reinvest Cash Cash 6 = Reinvest Reinvest Cash 7 = Reinvest Cash Reinvest A/N W9 indications 0 = Certified (W9 on file) 1 = Failure to provide TIN 2 = Failure to certify TIN 3 = Notification of incorrect TIN from Secretary of the Treasury 4 = Failure to certify backup withholding status 5 = Voluntary disclosure from payee of affirmative backup withholding status 6 = Notification to commence backup withholding from Secretary of the Treasury for underreporting dividend and/or interest payments 7 = Applied for SSN 8 = Exempt recipient 9 = Withhold due B/C notice W8 indications A = Uncertified foreign account (no W8 form on filebackup withholding necessary) B = Certified foreign beneficial owner account (from W8-BEN on file) C = Certified foreign intermediary account (form W8- IMY on file) D = Certified valid foreign account (form W8-ECI on file with ITIN) E = Certified foreign exempt account (form W8-EXP on file) F = W8 on file - no treaty rate claimed G = W8 Beneficiary with TIN on file A/N 0 = Address of record 1 = Payable address 2 = ACH 3 = Cash to firm 4 = Cross fund reinvest 5 = Cash to Trust Page 44 of 83

45 RECORD 43 OF 103 Customer Name End Line Customer Zip Code A/N A/N Customer Zip A/N Filler A/N Reserved for future use spaces Social Code A/N See Social Code List in F/S manual *** (see body of Important Notice for new Social Codes). NAV Account Indicator Margin Account Indicator Check Writing Privileges Indicator State of Sale (State Code) Country of Origin (Country Code) Account Representative Name Account Representative Branch Identification A/N 0 = No 1 = Yes A/N 0 = No 1 = Yes A/N 0 = No 1 = Yes A/N See State Code List in F/S manual A/N See Country Code List in F/S manual A/N A/N A/N Filler A/N Reserved for future use spaces Firm Membership Indicator Receiver A/N Space = Broker 01 = Trust Filler A/N Reserved for future use spaces of Payables W8 Qualified Intermediary Indicator W8 Override Country Code W8 Expiration Date A/N A/N 1 = QI (qualified intermediary - primary withholding) 2 = QI (Qualified intermediary - non-withholding) 3 = Non-QI (non-qualified intermediary - nonwithholding, not the beneficial owner) 4 = Partnership (withholding) 5 = Partnership (non-withholding) 6 = U. S. branch (non-withholding) 7 = Trust (withholding) 8 = Trust (non-withholding) A/N See Country Code List in F/S manual A/N CCYYMMDD format Page 45 of 83

46 RECORD 44 OF 103 Record Subtype A/N F = Fund Registration Output Logical Sequence NUM 06 Customer Name/Address A/N Customer Name/Address A/N Filler A/N Reserved for future use spaces Page 46 of 83

47 RECORD 45 OF 103 Record Subtype A/N F = Fund Registration Output Logical Sequence NUM 07 Customer Name/Address A/N Customer Name/Address A/N Filler A/N Reserved for future use spaces Page 47 of 83

48 RECORD 46 OF 103 Record Subtype A/N F = Fund Registration Output Logical Sequence NUM 08 Customer Name/Address A/N Customer Name/Address A/N Filler A/N Reserved for future use spaces Page 48 of 83

49 RECORD 47 OF 103 Record Subtype A/N F = Fund Registration Output Logical Sequence NUM 09 Memo Field (Text) A/N ACH Indicator A/N PAC Indicator A/N SWP Indicator A/N ROA/LOI Value A/N 99,999,999,999, format COBOL 9(14)v9(2) LOI /Date A/N CCYYMMDD format Related Trade Indicator A/N 0 = No 1 = Yes Related Account A/N Related Account Indicator A/N 1 = Fund 2 = Firm SWP/PAC Effective Date A/N Format is CCYYMMDD Filler A/N Reserved for future use spaces Page 49 of 83

50 RECORD 48 OF 103 Record Subtype A/N F = Fund Registration Output Logical Sequence NUM 10 CDSC Payment Code A/N 0 = Gross 1 = Net 2 = Not applicable Disbursement Option Code A/N 0 = Fixed cash amount 1 = Fixed percentage 2 = Fixed shares 3 = Declining balance Disbursement Amount A/N Format in accordance with Disbursement Option Code: 0 = 99,999,999,999, = 999, = 999,999,999, = 999,999,999, Monthly Payment Indicators A/N Each character represents one month respectively, e.g., 1st byte = Jan, 2nd byte = Feb, etc For each position (byte) 0 = No payment this month 1 = Yes, payment this month Payment Date Value A/N = day of month L = Last day of month N = Normal fund cycle Retirement Tax Code A/N 01 = Premature withdrawal 02 = Rollover 03 = Disability 04 = Death 05 = Prohibited 06 = Other 07 = Normal 08 = Refund by excess contributions 09 = Divorce 10 = Plan revoked 11 = Fund Transfer 99 = Not applicable Shareholder Bank Account Shareholder Bank Account Type A/N A/N 0 = Checking 1 = Savings 2 = Other First Check Date A/N CCYYMMDD format ABA Routing A/N Page 50 of 83

51 RECORD 48 OF 103 Cost Basis Option (Code) A/N 0 = Unknown 1 = FIFO (First In, First Out) 2 = LIFO (Last In, First Out) 3 = High Cost 4 = Low Cost 5 = Average Cost 6 = Select Lot Filler A/N Reserved for future use spaces Page 51 of 83

52 RECORDS 49 OF 103 Record Subtype A/N F = Fund Registration Output Physical Sequence NUM Prior Physical Sequence + 1 Logical Sequence NUM 11 Accrual Amount A/N 99,999,999,999, format COBOL 9(14)v9(2) Accrual Amount Indicator A/N A = All B = None Filler A/N Reserved for future use- spaces Page 52 of 83

53 RECORD 50 OF 103 Record Subtype A/N F = Fund Registration Output Logical Sequence NUM 12 Filler A/N Reserved for future use spaces Page 53 of 83

54 RECORD 51 OF 103 Record Subtype A/N F = Fund Registration Output Logical Sequence NUM 13 Filler A/N Reserved for future use spaces Page 54 of 83

55 RECORD 52 OF 103 Record Subtype A/N F = Fund Registration Output Logical Sequence NUM 14 Payable 1 Account A/N Payable 1 Zip Code A/N Payable 1 Zip Code Plus A/N Filler A/N Reserved for future use spaces Payable 1 Name End Line Indicator A/N Indicates line number where address ends (1 through 6) Payable 1 Address Option A/N 1 = Dividends 2 = Systematic withdrawals 3 = Automatic drafts 4 = Dividend, automatic draft and systematic withdrawals 5 = Dividend and automatic draft 6 = Dividend and systematic withdrawals 7 = Automatic draft and systematic withdrawals 8 = Cross fund reinvest 9 = Alternate payable Payable 1 Account Indicator Payable 1 Security Issue Country Code A/N 1 = Fund 2 = Firm A/N Payable 1 Security Issue ID A/N Payable 1 Security Issue Check Digit A/N Alternate Payable 1 Indicator A/N 0 = Non-payable mailing address 1 = Bank Registration (PAC) 2 = Other Alternate Payable 1 Reason A/N Filler A/N Reserved for future use spaces Page 55 of 83

56 RECORD 53 OF 103 Record Subtype A/N F = Fund Registration Output Logical Sequence NUM 15 Payable 1 Name/Address Line A/N Payable 1 Name/Address Line A/N Filler A/N Reserved for future use spaces Page 56 of 83

57 RECORD 54 OF 103 Record Subtype A/N F = Fund Registration Output Logical Sequence NUM 16 Payable 1 Name/Address Line A/N Payable 1 Name/Address Line A/N Filler A/N Reserved for future use spaces Page 57 of 83

58 RECORD 55 OF 103 Record Subtype A/N F = Fund Registration Output Logical Sequence NUM 17 Payable 1 Name/Address Line A/N Payable 1 Name/Address Line A/N Filler A/N Reserved for future use spaces Page 58 of 83

59 RECORD 56 OF 103 Record Subtype A/N F = Fund Registration Output Logical Sequence NUM 18 Payable 2 Account A/N Payable 2 Zip Code A/N Payable 2 Zip Code plus A/N Filler A/N Reserved for future use spaces Payable 2 Name End Line Indicator A/N Payable 2 Address Option A/N 1 = Dividend 2 = Systematic withdrawals 3 = Automatic drafts 4 = Dividend, automatic draft and systematic withdrawals 5 = Dividend and automatic draft 6 = Dividend and systematic withdrawals 7 = Automatic draft and systematic withdrawals 8 = Cross fund reinvest 9 = Alternate payable Payable 2 Account Indicator Payable 2 Security Issue Country Code A/N 1 = Fund 2 = Firm A/N Payable 2 Security Issue ID A/N Payable 2 Security Issue Check Digit A/N Alternate Payable 2 Indicator A/N 0 = Non-payable mailing address 1 = Bank Registration (PAC) 2 = Other Alternate Payable 2 Reason A/N Filler A/N Reserved for future use spaces Page 59 of 83

60 RECORD 57 OF 103 Record Subtype A/N F = Fund Registration Output Logical Sequence NUM 19 Payable 2 Name/Address Line A/N Payable 2 Name/Address Line A/N Filler A/N Reserved for future use spaces Page 60 of 83

61 RECORD 58 OF 103 Record Subtype A/N F = Fund Registration Output Logical Sequence NUM 20 Payable 2 Name/Address Line A/N Payable 2 Name/Address Line A/N Filler A/N Reserved for future use spaces Page 61 of 83

62 RECORD 59 OF 103 Record Subtype A/N F = Fund Registration Output Logical Sequence NUM 21 Payable 2 Name/Address Line A/N Payable 2 Name/Address Line A/N Filler A/N Reserved for future use spaces Page 62 of 83

63 RECORD OF 103 Record Subtype A/N F = Fund Registration Output Physical Sequence Logical Sequence Start of Payable 3 through NUM Prior Physical Sequence NUM Logical Records when Payables 3 through 6 are provided (when number of payables is 3, 4, 5, or 6). Logical records are repeated as follows: Logical Records Payable Payable Payable Payable 6 Page 63 of 83

64 RECORD 76 OF 103 Record Subtype A/N I = Insurance Registration Output Logical Sequence NUM 03 Filler A/N Reserved for future use spaces IR ACATS Control A/N IR ACATS Transfer Type A/N FUL = Full Transfer PTD = Partial Transfer Deliverer Filler A/N Reserved for future use spaces IR Original Receiver A/N Filler A/N Reserved for future use spaces IR Original Deliverer A/N IR ACATS Asset Sequence NUM IR Security Issue Country Code A/N IR Security Issue ID A/N IR Security Issue Check Digit A/N Insurance Transfer Type A/N 01 Non-Custodial to Non-Custodial 02 Custodial to Custodial 03 Custodial to Non-Custodial 04 Non-Custodial to Custodial Filler A/N Reserved for future use spaces Page 64 of 83

65 RECORD 77 OF 103 Record Subtype A/N I = Insurance Registration Output Physical Sequence NUM Prior Physical Sequence + 1 Logical Sequence NUM 04 Contract A/N Filler A/N Reserved for future use spaces Associated Firm ID A/N Correspondent Firm associated with the Receiving Participant. Filler A/N Reserved for future use spaces Filler A/N Insurance Service Matrix Level (Future Use Only) Team ID A/N Page 65 of 83

66 RECORD 78 OF 103 Record Subtype A/N I = Insurance Registration Output Logical Sequence NUM 05 All Representatives Included Indicator Primary Representative Tax ID A/N Primary Representative Tax ID Qualifier Primary Representative DOB A/N Primary Representative ID A/N Primary Representative Allocation Percent A/N Y All representatives included N No representatives included A/N 34 = Social Security A3 = Non-Resident Alien FI = Federal Taxpayer s Identification SB = Canadian Social Insurance NUM Format: COBOL: 9(1)V9(9) Filler A/N Reserved for future use spaces Page 66 of 83

67 RECORD 79 OF 103 Record Subtype A/N I = Insurance Registration Output Logical Sequence NUM 06 Representative 2 Tax ID A/N Representative 2 Tax ID Qualifier Representative 2 DOB A/N Representative 2 ID A/N Representative 2 Allocation Percent A/N 34 = Social Security A3 = Non-Resident Alien FI = Federal Taxpayer s Identification SB = Canadian Social Insurance NUM Format: COBOL: 9(1)V9(9) Filler A/N Reserved for future use spaces Page 67 of 83

68 RECORD 80 OF 103 Record Subtype A/N I = Insurance Registration Output Logical Sequence NUM 07 Representative 3 Tax ID A/N Representative 3 Tax ID Qualifier Representative 3 DOB A/N Representative 3 ID A/N Representative 3 Allocation Percent A/N 34 = Social Security A3 = Non-Resident Alien FI = Federal Taxpayer s Identification SB = Canadian Social Insurance NUM Format: COBOL: 9(1)V9(9) Filler A/N Reserved for future use spaces Page 68 of 83

69 RECORD 81 OF 103 Record Subtype A/N I = Insurance Registration Output Logical Sequence NUM 08 Representative 4 Tax ID A/N Representative 4 Tax ID Qualifier Representative 4 DOB A/N Representative 4 ID A/N Representative 4 Allocation Percent A/N 34 = Social Security A3 = Non-Resident Alien FI = Federal Taxpayer s Identification SB = Canadian Social Insurance NUM Format: COBOL: 9(1)V9(9) Filler A/N Reserved for future use spaces Page 69 of 83

70 RECORD 82 OF 103 Record Subtype A/N I = Insurance Registration Output Logical Sequence NUM 09 Owner Natural/Non-Natural Indicator A/N N Natural X Non-Natural Owner Name A/N Filler A/N Reserved for future use spaces Page 70 of 83

71 RECORD 83 OF 103 Record Subtype A/N I = Insurance Registration Output Logical Sequence NUM 10 Owner Name A/N Filler A/N Reserved for future use spaces Page 71 of 83

72 RECORD 84 OF 103 Record Subtype A/N I = Insurance Registration Output Physical Sequence Logical Sequence NUM Prior Physical Sequence NUM 11 Owner ID A/N Owner ID Qualifier A/N 34 = Social Security A3 = Non-Resident Alien FI = Federal Taxpayer s Identification SB = Canadian Social Insurance Owner Address Line A/N Filler A/N Reserved for future use spaces Page 72 of 83

73 RECORD 85 OF 103 Record Subtype A/N I = Insurance Registration Output Logical Sequence NUM 12 Owner Address Line A/N Owner City A/N Owner State A/N Filler A/N Reserved for future use spaces Page 73 of 83

74 RECORD 86 OF 103 Record Subtype A/N I = Insurance Registration Output Logical Sequence NUM 13 Owner Zip Code A/N Owner Country Code A/N Owner Telephone A/N Owner DOB (O/C) A/N Filler A/N Reserved for future use spaces Page 74 of 83

75 RECORD 87 OF 103 Record Subtype A/N I = Insurance Registration Output Logical Sequence NUM 14 Owner Address A/N Filler A/N Reserved for future use spaces Page 75 of 83

76 RECORD 88 OF 103 Record Subtype A/N I = Insurance Registration Output Logical Sequence NUM 15 Multiple Beneficiary Indicator A/N Y Multiple N Non-Multiple Beneficiary Natural/Non-Natural Indicator A/N N Natural X Non-Natural Beneficiary Name A/N Filler A/N Reserved for future use spaces Page 76 of 83

77 RECORD 89 OF 103 Record Type A/N E = End of Day Transaction MRO M = Multi-Cycle Transaction MRO Record Subtype A/N I = Insurance Registration Output Logical Sequence NUM 16 Beneficiary Name A/N Filler A/N Reserved for future use spaces Page 77 of 83

78 RECORD 90 OF 103 Record Subtype A/N I = Insurance Registration Output Physical Sequence NUM Prior Physical Sequence + 1 Logical Sequence NUM 17 Beneficiary ID A/N Beneficiary ID Qualifier A/N 34 = Social Security A3 = Non-Resident Alien FI = Federal Taxpayer s Identification SB = Canadian Social Insurance Beneficiary Address Line A/N Filler A/N Reserved for future use spaces Page 78 of 83

79 RECORD 91 OF 103 Record Subtype A/N I = Insurance Registration Output Logical Sequence NUM 18 Beneficiary Address Line A/N Beneficiary City A/N Beneficiary State A/N Filler A/N Reserved for future use spaces Page 79 of 83

80 RECORD 92 OF 103 Record Subtype A/N I = Insurance Registration Output Logical Sequence NUM 19 Beneficiary Zip Code A/N Beneficiary Country Code A/N Beneficiary Telephone A/N Beneficiary DOB (O/C) A/N Page 80 of 83

81 RECORD 92 OF 103 Beneficiary Relationship to Owner A/N 01 = Parent 02 = Child 03 = Father 04 = Mother 05 = Son 06 = Daughter 07 = Brother 08 = Sister 09 = Ex-Husband 10 = Ex-Wife 11 = Step-Mother 12 = Step-Father 15 = Step-Brother 16 = Step-Sister 17 = Grandfather 18 = Grandmother 21 = Father-in-law 22 = Sibling 23 = Son-in-law 24 = Daughter-in-law 25 = Brother-in-law 26 = Sister-in-law 27 = Domestic Partner 28 = Half Sister 29 = Cousin 30 = Significant Other 31 = Aunt 32 = Nephew 33 = Niece 41 = Spouse 42 = Husband 43 = Wife 44 = Mother-in-law 45 = Half Brother 46 = Uncle 47 = Dependent 48 = Employee 49 = Employer 51 = Fiancée 53 = Foster Parent 54 = Friend 55 = Grand Child 56 = Grand Parent 57 = Guardian / Custodian 65 = Other (to be used for estate, trust, plan, etc.) 66 = Other Family 67 = Self 68 = All Relationships 69 = All but Self Filler A/N Reserved for future use spaces Page 81 of 83

82 RECORD 93 OF 103 Record Subtype A/N I = Insurance Registration Output Logical Sequence NUM 20 Filler A/N Reserved for future use spaces Page 82 of 83

83 RECORD OF 103 Records 21 through 30 repeat record layout of record 20 and are reserved for future use Page 83 of 83