PERSHING STANDARD FILE LAYOUTS INTRADAY

Transcription

1 FILE LAYOUT FOR: NAME AND ADDRESS GENERAL INFORMATION File Frequency: Inception and Intraday Message Size: 900 characters Form Name: DESCRIPTION Intraday Name and Address Add (NADD) and Intraday Name and Address Change (NCHG) messages are modeled after the batch NADD and NCHG files. The messages are generated from Pershing s daily PONA process. The information found in the Name and Address messages are the basis for an extensive client profile. Information is maintained regarding the client s documents (for instance, new account form, W-9, W-8, margin agreement), in addition to information about interested parties, IRA/SEP/KEOGH, and beneficiary records. Add messages are new accounts and change messages are accounts where revisions have been made. Please note that the change file includes the A, B, C, D, and E Records. Intraday messages are sent between 5:30 A.M. and 8:30 P.M. Monday through Friday. Intraday messages are sent from 5:30 A.M. to 5:30 P.M. on Saturday. Messages are not sent on Sunday. FILE LAYOUT SPECIFICATIONS HEADER RECORD X(04) AN FORM ID X(03) AN INTRODUCING BROKER DEALER (IBD) NUMBER X(03) AN DESTINATION ID X(08) AN DATE OF DATA = CCYYMMDD X(06) AN TIME = HHMMSS X(06) AN Not Used X(04) AN Not Used - LITERAL X(47) AN Not Used X(01) AN ADD/CHANGE/DELETE INDICATOR X(03) AN RECORD TYPE X(82) AN Not Used Page 1 Name and Address 09-17

2 DETAIL RECORD A: MAIN CLIENT INFORMATION X(09) AN ACCOUNT NUMBER INCLUDING OFFICE (3); BASE ACCOUNT NUMBER (5); CHECK DIGIT (1) X(03) AN RECORD TYPE; acceptable values include: 101 = Main Customer Information 501 = Institutional Record Type 601 = Institutional Interested Party 602 = Institutional Party X(01) AN SEQUENCE = A 801 = Pershing LLC Retirement Information (B-1 and B-3 Accounts) = Interested Party Information X(01) AN FORMAT; acceptable values include: 1 = Omnibus 2 = Disclosed X(02) AN NUMBER OF CONFIRMATIONS X(02) AN NUMBER OF STATEMENTS X(09) AN TAX IDENTIFICATION NUMBER; can be either a Social Security Number (SSN) or a Tax Identification Number (TIN) X(01) AN IRS CODE; acceptable values include: S = Social Security Number T = Tax Identification Number N = Not Applicable X(06) AN ZIP CODE (please note that a Canadian client address will reflect all zeroes) X(03) AN STATE CODE; see Appendix Q, State and Country Codes X(02) AN Not Used X(01) AN ASSET MANAGEMENT ACCOUNT INDICATOR; acceptable values include: 0 = Not Applicable 1 = Cash 2 = Margin 7 = Sweep 8 = Bank Link X(10) AN ACCOUNT SHORT NAME X(02) AN Not Used X(03) AN INVESTMENT PROFESSIONAL (IP) NUMBER X(01) AN Not Used X(01) AN Not Used X(01) AN Not Used X(03) AN Not Used Page 2 Name and Address 09-17

3 X(01) AN Not Used X(01) AN Not Used X(01) AN Not Used X(01) AN Not Used X(01) AN Not Used X(01) AN DIVIDEND (INCOME) INSTRUCTIONS; acceptable values include: 2 = Pay Monthly 3 = Credit Account 4 = Hold X(01) AN Not Used X(03) AN Not Used s9(03)v9(3) N Not Used X(26) AN Not Used (02)v9 N Not Used X(03) AN Not Used (02)v9 N Not Used X(03) AN Not Used s9(01)v99 N Not Used X(01) AN Not Used X(05) AN INSTITUTIONAL DELIVERY NUMBER (DTC Number) X(05) AN Not Used X(01) AN Not Used X(01) AN PENDING/CLOSED INDICATOR; acceptable values include: P = Pending/Close C = Closed BLANK = Not Applicable X(01) AN CREDIT INTEREST INDICATOR; acceptable values include: A = Internal Retail Transfer C = Restricted account as defined by your firm, cannot be changed, not eligible for credit interest N = Customer does not receive credit interest R = Restricted account because of type, for instance firm account, sweep account, or bank link account Y = Client received credit interest X(01) AN Literally X ; indicates the end of record A DETAIL RECORD B: MAIN CLIENT INFORMATION X(12) AN See Record A positions for values Page 3 Name and Address 09-17

4 X(01) AN SEQUENCE = B s9(08) N DATE OPEN = CCYYMMDD X(09) AN Not Used s9(07) N Not Used s9(07) N Not Used X(01) AN INVESTMENT CLUB AGREEMENT; acceptable values include: on File X(01) AN JOINT ACCOUNT AGREEMENT; acceptable values include: on File 1 = Joint Tenants with Right of Survivorship 2 = Joint Tenants in Common 3 = Joint Tenants in Entirety X(01) AN ESTATE A/C; acceptable values include: X(01) AN Not Used X(01) AN TRADING AUTHORIZATION; acceptable values include: 1 = Discretionary Full 2 = Discretionary LTD 3 = Third Party Full 4 = Third Party Limited X(01) AN CORPORATE AGREEMENT; acceptable values include: 1 = Corporate Agreement on File 2 = Corporate Agreement Waived 3 = Third Party Full X(01) AN INVESTMENT ADVISORY; acceptable values include: X(01) AN PARTNERSHIP PAPERS; acceptable values include: (cont.) Page 4 Name and Address 09-17

5 X(01) AN MARGIN AGREEMENT; acceptable values include: 1 = Margin and Loan 2 = Margin Only 3 = Loan Only X(01) AN Not Used X(01) AN OPTION AGREEMENT; acceptable values include: 1 = Covered Only 2 = Covered and Spread 3 = Covered, Spread, and Uncovered 4 = Covered and Long 5 = All Options 6 = Long Only X(01) AN Not Used 7 = Long, Covered, and Spread X(01) AN TRUST AGREEMENT; acceptable values include: 1 = Revocable Trust 2 = Irrevocable Trust 3 = Guardian Minor 4 = Guardian Incompetent 5 = Custodian 6 = Estate X(01) AN PERSHING LLC RETIREMENT NEW ACCOUNTS PAPERS; acceptable values include: X(01) AN NEW ACCOUNT FORM; acceptable values include: X(03) AN Not Used X(01) AN 14B-1 SURVEY CARD; acceptable values include: (NO DISCLOSURE) 1 = Did Not Receive Papers (the system automatically defaults to 1) Page 5 Name and Address 09-17

6 X(01) AN TEFRA WITHHOLDING; acceptable values include: X(05) AN Not Used X(01) AN Not Used X(03) AN Not Used X(01) AN Not Used B = BIRS Notice C = CIRS Notice s9(08) N W-9 DATE = CCYYMMDD ; (IRS form used to provide Pershing with the Taxpayer Identification Number. It certifies that the number is valid and that the taxpayer is not subject to backup withholding (31% of interest and dividends), or to claim an exemption fro backup withholding if the taxpayer is an exempt payee) s9(08) N W-8 DATE = CCYYMMDD ; (IRS form used to inform Pershing that the person is a nonresident alien or a foreign entity not subject to 1099 reporting or backup withholding; a foreign person may be exempt from withholding on interest income derived from portfolio debt only if a properly executed Form W-8 has been received) s9(08) N 1001 DATE = CCYYMMDD ; (IRS form that informs Pershing) (of a reduced rate of withholding on interest income derived from bonds issued before July 18, 1984; the reduced rate is due to an income tax treaty with the country in which the person is a resident) s9(08) N 4224 DATE = CCYYMMDD ; [IRS form used to inform Pershing that the income we pay is in connection with a U.S trade or business; it certifies that the income (interest and dividends) will not be subject to a 31% (or lower treaty) withholding rate] s9(08) N TAX IDENTIFICATION NUMBER REQUIRED DATE = CCYYMMDD s9(08) N DUE DILIGENCE DATE = CCYYMMDD X(01) AN NONCUSTOMER CODE; acceptable values include: BLANK = Retail and COD Accounts F = Free Fund Letter; This signifies that the IP is not the prime broker and each time a trade is made, a free fund letter must be presented. X = Execution (done for executing prime brokers) N = Test Accounts S = Commission Accounts C = Broker-Dealer Credit Account (Pershing executes trades: for the account of the clearing broker, in this case, there isn t a client involved) E = Old Code for the Executing of Prime Brokers Trades (same as X ); will be automatically converted to X T = Note Used (cont.) Page 6 Name and Address 09-17

7 B = Signifies Pershing as the Prime Broker P = Not Used X(02) AN Not Used X(01) AN DEBIT OMNIBUS INTEREST; acceptable values include: BLANK = Not Applicable 1 = Interest Bearing 2 = Noninterest Bearing; cash on delivery X(02) AN BANK STATEMENT DATE; acceptable values include: BLANK = Not Applicable = Acceptable Date X(01) AN TYPE OF RETIREMENT PLAN; see Appendix D, Plan Types X(01) AN SUNDRY ACCOUNT INDICATOR; acceptable values include: BLANK = Not Applicable S = Sundry Account X(01) AN MAIL DIVERT; acceptable values include: BLANK = Not Diverted Y = Diverted X(01) AN PERSHING LLC TRUSTEE INDICATOR FOR SEP/IRA/KDOGH; acceptable values include: 1 = Pershing LLC is Trustee/Serving Agent 2 = Third Party Trustee X(01) AN Literally X ; indicates the end of record B X(12) AN See Record A positions for values X(01) AN SEQUENCE = C s9(08) AN CUSTOMER BIRTHDATE = CCYYMMDD X(02) AN Not Used X(10) AN BUSINESS TELEPHONE NUMBER (area code plus phone number) X(02) AN Not Used X(02) AN Not Used X(01) AN VALID TAX IDENTIFICATION NUMBER; acceptable values include: X(10) AN Not Used X(01) AN Not Used X(05) AN Not Used BLANK = Account Tax ID Number is Equal to Zeros 1 = Valid Tax Identification Number 0 = Indicator For Foreign Account X(09) AN CLIENT MNEMONIC (populated for DLJSC accounts; free form field for all other IBDs) Page 7 Name and Address 09-17

8 X(10) AN ACCOUNT MNEMONIC (this field is not used for CAPS or RIA mailings, this is a blank field) X(02) AN Not Used X(01) AN EMPLOYEE; acceptable values include: BLANK = No 1 = Yes X(01) AN Not Used X(01) AN Not Used X(03) AN Not Used X(02) AN PAYOUT CODE (free form field for most IBDs) X(04) AN SCAN TRADER (free form field for most IBDs) X(11) AN Not Used s9(07) N DATE CLOSED = CCYYDDD X(08) AN Not Used X(10) AN HOME TELEPHONE X(04) AN ACCOUNT CATEGORY; Some acceptable values include (Request Appendix R if additional values required) BKCL = Bank Collateral Account CLUB = Investment Club COD = Receive/Deliver vs. Payment CORN = Non-Corporate Account CORP = Corporation CPPS = Corporation Pension and Profit Sharing Plan CUST = Custodian DLJI = Pershing LLC Retirement Account DLJP = Pershing LLC SEP Prototype DLJQ = Pershing LLC Qualified Retirement Plan DLJS = Pershing LLC Retirement Account SEP/ ESTT = Estate EXMP = Exempt Organization FINL = Financial Organization GOVT = Government Entity/Agency GRDN = Guardian/Conservatorship IACP = Investment Advisor/Corporation IACU = Investment Advisor/Custodian IAES = Investment Advisor/Estate IAGU = Investment Advisor/Guardian IAGV = Investment Advisor/Government Agency IAIN = Investment Advisor/Joint IANP = Investment Advisor/Non-Profit Organization IAPA = Investment Advisor/Partnership (cont.) Page 8 Name and Address 09-17

9 IAPP = Investment Advisor Corporation Pension/Profit Sharing IART = Investment Advisor/Retirement Account IASP = Investment Advisor/Sole Proprietor IATI = Investment Advisor/TOD Individual IATJ = Investment Advisor/TOD Joint IATR = Investment Advisor/Trust INDV = Individual INVA = Investment Advisor/Managed Account JNTN = Joint X(05) AN Not Used KUST = Customer Profile LLCP = Limited Liability Corporation MISC = Miscellaneous (default category) NPRO = Non-Profit Organization PART = Partnership PWRA = Power of Attorney RETC = Third Party as Custodian (SIMPLE IRA) RETE = Third Party as Custodian (ERISA IRA) RETI = Third Party as Custodian (Retirement Account) RETP = Third Party as Custodian (Prototype SEP) RETQ = Third Party as Custodian (QRP) RETR = Third Party as Custodian (Roth IRA) RETS = Third Party as Custodian (SEP or SARSEP) SOLE = Sole Proprietorship TODI = Transfer on Death (Individual) TODJ = Transfer on Death (Joint Account) TRST = Trust X(01) AN Literally X ; indicates the end of record C DETAIL RECORD D: MAIN CLIENT INFORMATION X(12) AN See Record A positions for values X(01) AN SEQUENCE = D X(32) AN NAME AND ADDRESS LINE X(32) AN NAME AND ADDRESS LINE X(32) AN NAME AND ADDRESS LINE X(23) AN Not Used X(02) AN Not Used Page 9 Name and Address 09-17

10 DETAIL RECORD E: MAIN CLIENT INFORMATION (There is no Record E if there are only three lines of description) X(12) AN See Record A positions for values X(01) AN SEQUENCE = E X(32) AN NAME AND ADDRESS LINE X(32) AN NAME AND ADDRESS LINE X(32) AN NAME AND ADDRESS LINE X(23) AN Not Used X(68) AN Not Used DETAIL RECORD F: MAIN CLIENT INFORMATION X(09) AN ACCOUNT NUMBER INCLUDING OFFICE: OFFICE (3); BASE ACCOUNT NUMBER (5); CHECK DIGIT (1) X(03) AN RECORD TYPE; acceptable values include: 501 = Other Party RVP/DVP Address 601 = Interested Party Information 602 = Interested Party Information X(01) AN SEQUENCE = F X(01) AN Not Used = Interested Party Information X(02) AN NUMBER OF CONFIRMATIONS for record X(02) AN Not Used (09) N Not Used X(01) AN Not Used X(06) AN Not Used X(03) AN Not Used X(03) AN Not Used X(10) AN Not Used X(01) AN Not Used X(01) AN Not Used X(03) AN Not Used X(03) AN Not Used s9(03)v9(3) N Not Used X(01) AN Not Used Not Used for records 501, 601, 602, and s9(05) N INSTITUTION NUMBER for record X(04) AN Not Used Not Used for records 601, 602, 901, and 902 Page 10 Name and Address 09-17

11 X(02) AN Not Used X(56) AN Not Used X(01) AN Literally X ; indicates the end of record F DETAIL RECORD G: INTERESTED PARTY INFORMATION X(12) AN See Record F, positions for values X(01) AN SEQUENCE = G X(32) AN NAME AND ADDRESS LINE X(32) AN NAME AND ADDRESS LINE X(32) AN NAME AND ADDRESS LINE X(23) AN Not Used X(01) AN Literally X ; indicates the end of record G DETAIL RECORD H: INTERESTED PARTY INFORMATION X(12) AN See Record F, positions for values X(01) AN SEQUENCE = H X(32) AN NAME AND ADDRESS LINE X(32) AN NAME AND ADDRESS LINE 5 for records 501, 901, and 902 Not Used for records 601 and X(32) AN NAME AND ADDRESS LINE 6 for records 501, 901, and 902 Not Used for records 601 and X(23) AN Not Used X(01) AN Literally X ; indicates the end of record H X(334) AN Not Used DETAIL RECORD I: RETIREMENT ACCOUNT INFORMATION X(09) AN ACCOUNT NUMBER INCLUDING OFFICE: OFFICE (3); BASE ACCOUNT NUMBER (5); CHECK DIGIT (1) X(03) AN RECORD TYPE = X(01) AN SEQUENCE = I X(01) AN Not Used X(01) AN TYPE OF RETIREMENT; see Appendix D, Plan Types X(01) AN RETIREMENT ACCOUNT TYPE; acceptable values include: 1 = Participant (cont.) Page 11 Name and Address 09-17

12 2 = Spousal 3 = Rollover 4 = Inheritance 5 = Employee 6 = Omnibus 7 = Guardian X(01) AN RETIREMENT ADOPTION AGREEMENT; acceptable values include: BLANK or 0 = No Papers X(01) AN DISABILITY PAPERS; acceptable values include: BLANK or 0 = No Papers X(01) AN SEX OF THE PARTICIPANT = M or F X(01) AN BROKERAGE ACCOUNT NUMBER BLANK = No account (any other value indicates that a brokerage account number exists, and the value will be the first number of the account) X(09) AN TAX IDENTIFICATION NUMBER X(01) AN Not Used s9(08) N DATE OF DEATH = CCYYMMDD X(01) AN RETIREMENT BENEFICIARY INDICATOR*; acceptable values include: 1 = Spouse 2 = Non-spouse 3 = None 4 = Other *Number for qualified plans; see Appendix D, Plan Types s9(08) N DATE OF BIRTH = CCYYMMDD X(01) AN SEX OF BENEFICIARY = M or F X(09) AN SPOUSE ACCOUNT NUMBER; (if spouse has an account number at Pershing) s9(08) N CUSTODIAN DATE = CCYYMMDD X(01) AN MARITAL STATUS = M or S X(09) AN IRA/SEP/KEOGH/EMP ACCOUNT NUMBER X(01) AN SECONDARY BENEFICIARY INDICATOR = Y or N s9(08) N DATE ADOPTION AGREEMENT RECEIVED = CCYYMMDD X(08) AN SPOUSAL AGREEMENT DATE = CCYYMMDD X(40) AN Not Used X(01) AN Literally X ; indicates the end of record I Page 12 Name and Address 09-17

13 DETAIL RECORD J: RETIREMENT ACCOUNT INFORMATION X(09) AN ACCOUNT NUMBER INCLUDING OFFICE: OFFICE (3); BASE ACCOUNT NUMBER (5); CHECK DIGIT (1) X(03) AN RECORD TYPE = X(01) AN SEQUENCE = J X(32) AN NAME AND ADDRESS LINE 1; first beneficiary name X(32) AN NAME AND ADDRESS LINE X(32) AN Not Used X(23) AN Not Used X(01) AN Literally X ; indicates the end of record J DETAIL RECORD K: RETIREMENT ACCOUNT INFORMATION X(09) AN ACCOUNT NUMBER INCLUDING OFFICE: OFFICE (3); BASE ACCOUNT NUMBER (5); CHECK DIGIT (1) X(03) AN RECORD TYPE = X(01) AN SEQUENCE = K X(32) AN Not Used X(32) AN Not Used X(32) AN Not Used X(23) AN Not Used X(01) AN Literally X ; indicates the end of record K X(334) AN Not Used Page 13 Name and Address 09-17