PERSHING STANDARD FILE LAYOUTS
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1 FILE LAYOUT FOR: RETIREMENT PLAN FEE SYSTEM GENERAL INFORMATION File Frequency: Daily Record Size: 132 characters Process Name: NDM/NJE N/A; RJE PRJ195DP; InfoDirect INF245DP; TP DTM195D$ Form Name: RPFS DESCRIPTION The Retirement Plan Fee System file (RPFS) contains information regarding an annual maintenance fee, for an Individual Retirement Account. This information may be used to determine the amount an account is to be invoiced or to identify accounts meeting criteria for various fee programs. This information includes plan and account type, value of total assets, information about any fee exemptions, year to date maintenance fee payments and invoices. NOTE: This file is sent either on the 15th of every month or the following business day. This is not dependent on the 15th being a business day. FILE LAYOUT SPECIFICATIONS HEADER RECORD X(09) AN Literally BOF (beginning of Pershing file) X(09) AN Literally PERSHING X(18) AN MESSAGE = Transmission Description X(10) AN Literally DATA OF X(10) AN DATE OF DATA = MM/DD/CCYY format X(11) AN Literally TO REMOTE X(04) AN REMOTE ID = XXXX X(14) AN Literally BEGINS HERE X(10) AN RUN DATE = MM/DD/CCYY format X(01) AN Not used Page 1 Retirement Plan Fee System 07/05
2 X(08) AN RUN TIME = HH:MM:SS format X(27) AN Not used X(01) AN Literally X ; indicates the end of the header record DETAIL RECORD A X(02) AN TRANSACTION ID = IF X(01) AN RECORD SEQUENCE IDENTIFIER = A (06) N RECORD ID; sequence number starting with corespondent, office, or remote will reset the sequence X(09) AN ACCOUNT NUMBER including OFFICE(3); BASE X(04) AN FEE TYPE; acceptable values include: MF = Maintenance Fee TF = Termination Fee SPF = Special Products Fee 990T = 990-T Filing Fee 1099 = 1099 Filing Fee RCF = ROTH Conversion Fee X(02) AN CUSTODIAN CODE; acceptable values include: = Pershing A = DLJ B = MetLife C = First Commercial D = Arkansas Bank Trust E = Benton State Bank F = Stonefort National Bank G = Tyler Bank Trust H = Lufkin National Bank I = Longview National Bank J = First Chicago K = NBD Bank L = Bank One Chicago M = Norwest Investment N = Sunamerica Trust O = FCC National Bank P = Princor Financial Page 2 Retirement Plan Fee System 07/05
3 Q = American Century R = Dreyfus Trust S = Scudder Trust T = Gruntal U = Gruntal Saving Group Salary V = Vanguard Fiduciary W = Wells Fargo X = HSBC Y = Bank One Z = First Manhattan 2 = T Rowe Price (08) N CUSTODIAN DATE; FORMAT = CCYYMMDD (08) N ACCTOUNT OPENED DATE; FORMAT = CCYYMMDD X(02) AN PLAN TYPE; acceptable values include: 1 = IRA 2 = SEP 3 = KEOGH 4 = Standard Profit Sharing 5 = Nonstandard Profit Sharing 6 = Standard Target Benefit 7 = Nonstandard Target Benefit 8 = Standard Money Purchase 9 = Nonstandard Money Purchase A = Salary Deferred Sarsep B = Standard 401K C = Nonstandard 401K D = Age Weighted 401K E = Age Weighted Profit Sharing F = Simple Profit Sharing G = Simple Money Purchase H = 403B7 DLJ as Custodian I = 403B7 ERISA J = DLJ Proto SEP K = Simple 401K L = Simple IRA M = Medical Saving N = 457 Custodial O = Proto Simple IRA Page 3 Retirement Plan Fee System 07/05
4 R = ROTH IRA S = Educational IRA T = ROTH Conversion IRA X(02) AN ACCOUNT TYPE; acceptable values include: 1 = Participant 2 = Spousal 3 = Rollover 4 = Inherited 5 = Employer 6 = Guardian 7 = Omnibus (13)V99 N TOTAL ASSETS; equals MKT Value plus ACAM Funds X(01) AN TOTAL ASSETS SIGN; acceptable values include: (04) N SPECIAL PRODUCT HOLDING COUNT; populated w/ position = SPF (special product ) X(09) AN IBD ACCOUNT; account that absorbs fees X(01) AN FEE EXEMPTION INDICATOR; acceptable values Y = Account is Exempted N = No Exemption X(01) AN MAILING INDICATOR; acceptable values include: Y = Letter Has Been Sent N = Letter Has Not Been Sent (08) N PAID FEE DATE; FORMAT = CCYYMMDD (05)V99 N MAINTENANCE FEE AMOUNT (05)V99 N YTD MAINTENANCE FEE PAID (05)V99 N AMOUNT INVOICED; equals fee due less maintenance X(07) AN Not Used X(20) AN FREE FORM MESSAGE X(01) AN Literally X ; indicates the end of the detail record DETAIL RECORD B (RESERVED FOR FUTURE USE) X(02) AN TRANSACTION ID = IF X(01) AN RECORD SEQUENCE IDENTIFIER = B Page 4 Retirement Plan Fee System 07/05
5 (06) N RECORD ID; sequence number starting with corespondent, office, or remote will reset the sequence X(09) AN ACCOUNT NUMBER including OFFICE(3); BASE X(04) AN FEE TYPE; acceptable values include: MF = Maintenance Fee TF = Termination Fee SPF = Special Products Fee 990T = 990-T Filing Fee 1099 = 1099 Filing Fee RCF = ROTH Conversion Fee X(02) AN CUSTODIAN CODE; acceptable values include: = Pershing A = DLJ B = MetLife C = First Commercial D = Arkansas Bank Trust E = Benton State Bank F = Stonefort National Bank G = Tyler Bank Trust H = Lufkin National Bank I = Longview National Bank J = First Chicago K = NBD Bank L = Bank One Chicago M = Norwest Investment N = Sunamerica Trust O = FCC National Bank P = Princor Financial Q = American Century R = Dreyfus Trust S = Scudder Trust T = Gruntal U = Gruntal Saving Group Salary V = Vanguard Fiduciary W = Wells Fargo X = HSBC Y = Bank One Z = First Manhattan Page 5 Retirement Plan Fee System 07/05
6 2 = T Rowe Price (08) N CUSTODIAN DATE; FORMAT = CCYYMMDD (08) N ACCOUNT OPENED DATE; FORMAT = CCYYMMDD X(02) AN PLAN TYPE; acceptable values include: 1 = IRA 2 = SEP 3 = KEOGH 4 = Standard Profit Sharing 5 = Nonstandard Profit Sharing 6 = Standard Target Benefit 7 = Nonstandard Target Benefit 8 = Standard Money Purchase 9 = Nonstandard Money Purchase A = Salary Deferred Sarsep B = Standard 401K C = Nonstandard 401K D = Age Weighted 401K E = Age Weighted Profit Sharing F = Simple Profit Sharing G = Simple Money Purchase H = 403B7 DLJ as Custodian I = 403B7 ERISA J = DLJ Proto SEP K = Simple 401K L = Simple IRA M = Medical Saving N = 457 Custodial O = Proto Simple IRA R = ROTH IRA S = Educational IRA T = ROTH Conversion IRA X(02) AN ACCOUNT TYPE; acceptable values include: 1 = Participant 2 = Spousal 3 = Rollover 4 = Inherited 5 = Employer 6 = Guardian Page 6 Retirement Plan Fee System 07/05
7 7 = Omnibus (13)V99 N TOTAL ASSETS; equals MKT Value plus ACAM Funds X(01) AN TOTAL ASSETS SIGN; acceptable values include: (04) N SPECIAL PRODUCT HOLDING COUNT; NOTE: when position = SPF (special product ) X(47) AN Not Used X(20) AN FREE FORM MESSAGE X(01) AN Literally X ; indicates the end of the detail record DETAIL RECORD C (RESERVED FOR FUTURE USE) X(02) AN TRANSACTION ID = IF X(01) AN RECORD SEQUENCE IDENTIFIER = C (06) N RECORD ID; sequence number starting with corespondent, office, or remote will reset the sequence X(09) AN ACCOUNT NUMBER including OFFICE(3); BASE X(04) AN FEE TYPE; acceptable values include: MF = Maintenance Fee TF = Termination Fee SPF = Special Products Fee 990T = 990-T Filing Fee 1099 = 1099 Filing Fee RCF = ROTH Conversion Fee X(09) AN IBD ACCOUNT; account that absorbs fees X(01) AN FEE EXEMPTION INDICATOR; acceptable values Y = Account is Exempted N = No Exemption (08) N PAID FEE DATE; FORMAT = CCYYMMDD (05)V99 N MAINTENANCE FEE AMOUNT X(01) AN MAINTENANCE FEE SIGN; acceptable values include: (05)V99 N YTD MAINTENANCE FEE PAID Page 7 Retirement Plan Fee System 07/05
8 X(01) AN YTD MAINTENANCE FEE SIGN; acceptable values (05)V99 N CUSTOMER CHARGED X(01) AN CUSTOMER CHARGED SIGN; acceptable values (05)V99 N IBD CHARGED X(01) AN IBD CHARGED SIGN; acceptable values include: (05)V99 N PERSHING DEBIT X(01) AN PERSHING DEBIT SIGN; acceptable values include: (05)V99 N IBD DEBIT X(01) AN IBD DEBIT SIGN; acceptable values include: (05)V99 N PERSHING CREDIT X(01) AN PERSHING CREDIT SIGN; acceptable values include: (05)V99 N IBD CREDIT X(01) AN IBD CREDIT SIGN; acceptable values include: X(27) AN Not Used X(01) AN Literally X ; indicates the end of the detail record Page 8 Retirement Plan Fee System 07/05
9 TRAILER RECORD X(09) AN Literally EOF (end of Pershing file) X(09) AN Literally PERSHING X(18) AN MESSAGE = TRANSMISSION DESCRIPTION X(10) AN Literally DATA OF X(10) AN DATE OF DATA = MM/DD/CCYY format X(11) AN Literally TO REMOTE X(04) AN REMOTE ID = XXXX X(12) AN Literally ENDS HERE X(22) AN Literally TOTAL DETAIL RECORDS: (10) N NUMBER OF DETAIL RECORDS X(16) AN Not Used X(01) AN Literally Z ; indicates end of the header record Page 9 Retirement Plan Fee System 07/05
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