PERSHING STANDARD FILE LAYOUTS
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1 FILE LAYOUT FOR: RECEIVE AND DELIVER MASTER GENERAL INFORMATION File Frequency: Daily Record Size: 750 characters Process Name: NJE NDM2A6DP; base PRJ2A6DP; FTP DTM2A6D$ Form Name: DESCRIPTION The Receive and Deliver standard file () is created in batch and contains open transactions. Open transactions consist of institutional and street side trades, ACATs and retail instructions. The transactions could be in US or non-us dollars. Data elements that are included in this file are international status codes relating to settlement instructions, DTC ID status, delivery reclaim comments and exposure to name a few. In addition to the file, there are currently several reports in PREP. FILE LAYOUT SPECIFICATIONS HEADER RECORD X(18) AN Literally BOF PERSHING (beginning of Pershing file) X(18) AN Literally REC AND DEL MASTER X(10) AN Literally DATA OF X(10) AN DATE OF DATA = MM/DD/CCYY 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 X(01) AN Not Used X(08) AN RUN TIME = HH:MM:SS X(14) AN Not Used X(09) AN Indicates if the file is REFRESHED/UPDATED/NOT APPLICABLE literally REFRESHED, UPDATED or X(622) AN Not Used Page 1 Receive and Deliver Master 8-07
2 X(01) AN Literally A ; indicates the end of the header record DETAIL RECORD A X(02) AN TRANSACTION CODE = RD X(01) AN RECORD IDENTIFIER = A (08) N RECORD ID SEQUENCE NUMBER BEGINNING WITH X(10) AN ACCOUNT NUMBER INCLUDING OFFICE (3); BASE ACCOUNT NUMBER (5); CHECK DIGIT (1); acceptable values for TYPE include: 0 = Cash on Delivery 1 = Cash 2 = Margin 3 = Short 8 = Precious Metals 9 = Interest Adjustments X(04) AN INTRODUCING BROKER DEALER NUMBER (IBD) X(04) AN RR (OF RECORD) NUMBER X(04) AN EXECUTION REP X(04) AN EXECUTION REP X(04) AN EXECUTION REP (08) N EXECUTING BROKER ID X(03) AN FAIL OFFICE X(06) AN TAG OLC ITEM IDENTIFIER FOR MATCH X(09) AN CUSIP NUMBER (13)v9(05) AN ORIGINAL QUANTITY X(01) AN ORIGINAL QUANTITY SIGN; acceptable values include: (13)v9(05) N CURRENT QUANTITY X(01) AN CURRENT QUANTITY SIGN; acceptable values include: (16)v9(02) N ORIGINAL AMOUNT X(01) AN ORIGINAL AMOUNT SIGN; acceptable values include: Page 2 Receive and Deliver Master 8-07
3 (16)v9(02) N CURRENT AMOUNT X(01) AN CURRENT AMOUNT SIGN; acceptable values include: (09)v9(09) N DECIMAL PRICE (16)v9(02) N MARK TO MARKET AMOUNT; equal to current value minus original net amount X(01) AN MARK TO MARKET SIGN; acceptable values include: (08) N TRADE DATE = CCYYMMDD (08) N SETTLEMENT DATE = CCYYMMDD (08) N PROCESS DATE = CCYYMMDD (08) N TRANSACTION ENTRY DATE = CCYYMMDD X(01) AN MARKET CODES; acceptable values include: 1 = Over the Counter (OTC) 2 = Over the Counter/National Clearing Corp. (OTC/NCC) 3 = New York Stock Exchange (NYSE) 4 = American Stock Exchange (ASE) 5 = Philadelphia (PHLX) 6 = Boston (BSTN) 7 = Chicago Exchange (CHX) 8 = Pacific (PSE) 9 = Chicago Board Options Exchange (CBOE) X(01) AN BLOTTER CODES; method that the trade is executed; acceptable values include: 0 = Average Price 1 = Customer vs. the Street 2 = Option 3 = Agency, but used for Cash, Special Settlement, Next Day Trades 5 = Principal Cross Trade 6 = Syndicate Cross Trade 8 = Principal Cross Trade/Over the Counter (PCT/OTC) 9 = Agency Cross Trade X(03) AN SETTLEMENT LOCATION CODE; See Appendix G, State and Country Codes X(03) AN SETTLEMENT CURRENCY; See Appendix N, Currency Codes Page 3 Receive and Deliver Master 8-07
4 X(04) AN SETTLEMENT METHOD; acceptable values include: FGN SCC = INTL SETTLEMENT = NSCC ENVELOPE SDF = SDFS DTC SFX CED MBS DFT DTC MDS MWB P/O SHP OLC PSL TFI = EUROCLEAR = FED DEPOSITORY = MORTGAGE BACK = DRAFT = DTC = EURO CUSTODY = CITIBANK PR = PAIROFF = SHIP = SUSPENSED PICK = PERSHING LONDON = TFI E/C X(03) AN AFFIRMATION STATUS CODE; acceptable values include: UAF = Un-affirmed AFF = Affirmed AFI = Affirmed Ineligible AFL = Affirmed Late (08) N AFFIRMATION DATE = CCYYMMDD X(01) AN DTC ID CONFIRM STATUS CODE; acceptable values include: P = Pending R = Rejected C = Complete X(01) AN DTC ID CANCEL STATUS CODE; acceptable values include: P = Pending R = Rejected C = Complete X(09) AN INSTITUIONAL DELIVERY CONTROL NUMBER (08) N INSTITUTION DTC IDENTIFIER (08) N AGENT DTC INDENTIFIER X(12) AN EXTERNAL REFERENCE (BIC) ID AGENT X(20) AN EXTERNAL REFERENCE ID CLIENT X(06) AN OPEN ITEM IDENTIFIER X(03) AN OPEN ITEM TYPE CODE; acceptable values include: = Start of day Deficit (cont.) Page 4 Receive and Deliver Master 8-07
5 BKR = Journal Receives BKD = Journal Deliveries DEF = Deficit S/B = Stock Borrows SBR = Stock Borrow Receives S/L = Stock Loans SLR = Stock Loan receives "CNS = Continuous Net Settlement BOR = Balance Order Receives BOD = Balance Order Deliveries F/R = Fail-to-Receives F/D = Fail-to-Delivers COR = Institutional Receives COD = Institutional Deliveries PBR = Prime Broker Receives PBD = Prime Broker Deliveries SYR = Syndicate receives SYD = Syndicate deliveries ACR = ACAT Receives ACD = ACAT Deliveries DTR = Customer Free Receives DTD = Customer Free Deliveries MRD = Margin Return Deliveries OIR = Omnibus Receives OID = Omnibus Deliveries OLD = Del vs. Pay Cash A/C SHD = Ship Deliveries SKR = Safekeeping Receives SKD = Safekeeping Deliveries SOD = Special Omnibus Deliveries X(03) AN PRIMARY STATUS CODE; acceptable values include: ALL = Allocated PIC = PIC CLN = Clean DLC = Delete FZN = Frozen INP = In Process PCK = PCK OPE = Open RET = All Others X(03) AN LOCAL MARKET (SECONDARY) STATUS CODE; acceptable values include: (cont.) Page 5 Receive and Deliver Master 8-07
6 AFF = ID Status Affirmed AFI = ID Status Affirmed Ineligible AFL = ID Status Affirmed Late CXL = Trade Canceled EEC = International Status Item Eligible For Euroclear Missing Data FEC = International Status Item Eligible For Transmission To Euroclear IEC = Foreign OI Not Eligible For Euroclear. ILM = Intl Local Market INE = Euroclear Response Error With Instruction ING = Euroclear Response Instruction Passed Initial Edits INM = Euroclear Response Instruction Matched By Contra Broker INS = Euroclear OI Approved For Transmission INT = Euroclear OI Has Been Transmitted INU = Euroclear Response Instruction Not Matched IPO = Initial public offering tracked security JNL = Journal RCP = Recap RDK = Reclaim SET = Euroclear Response Item Settled UAF = ID Status Unaffirmed. WIT = Withdrawal WTH = Withdrawal X(03) AN RECEIVE/DELIVERY CODE; acceptable values include: D = Deliver R = Receive X(04) AN FAIL STATUS CODE; acceptable values include: = Broker Trade Not Compared COMP = Broker Trade Compared X(10) AN UNDERLYING ACCOUNT NUMBER INCLUDING OFFICE (3); BASE ACCOUNT NUMBER (5); CHECK DIGIT (1); acceptable values for TYPE include: 0 = Cash on Delivery 1 = Cash 2 = Margin 3 = Short 8 = Precious Metals 9 = Interest Adjustments X(12) AN IBD REFERENCE ITEM IDENTIFIER Page 6 Receive and Deliver Master 8-07
7 X(01) AN IPO PRIMARY SECONDARY CODE; acceptable values include: L = Lead P = Primary S = Secondary X(16) AN ITEM GLOSS IDENTIFIER (02)v9(02) N ITEM GLOSS VERSION NUMBER X(03) AN INTERNATIONAL SECONDARY STATUS CODE; equal to LOCAL MARKET (SECONDARY) STATUS CODE unless it is changed to CXL (Cancel) or RDK (Reclaim) (08) N RECLAIM DATE = CCYYMMDD (08) N FILING EXTENSION DUE DATE = CCYYMMDD (08) N EXTENSION EXPIRATION DATE = CCYYMMDD (08) N SELLOUT DUE DATE = CCYYMMDD X(01) AN CURRENT NUMBER EXTENSIONS X(01) AN EXCLUDED FROM REGULATORY PROCESSING; acceptable values include: Y = Yes N = No X(01) AN END OF DAY WIRE INDICATOR X(70) AN DTC CLEANUP COMMENT LINE X(70) AN DTC CLEANUP COMMENT LINE X(70) AN DTC CLEANUP COMMENT LINE X(01) AN SOURCE OF INPUT; acceptable values include: 0 = 15A6 GLOSS Records 1 = Fail Master Records 2 = COD Master Records 3 = Global Clearance Table Records 4 = Like 15A6 5 = FX X(06) AN REFERENCE NUMBER X(04) AN BROKER (12)V99 N NET AMOUNT IN US. DOLLAR X(01) AN NET AMOUNT IN US. DOLLAR SIGN (12)V99 AN EXPOSURE IN US. DOLLAR EQUIVALENT X(01) AN EXPOSURE IN US. DOLLAR SIGN X(01) A FOREIGN INDICATOR X(01) A PRODUCT TYPE X(12) A ISIN X(08) N GLOSS SETTLEMENT DATE= CCYYMMDD X(10) A End Customer Account that bought and sold to the street X(69) AN Not Used Page 7 Receive and Deliver Master 8-07
8 X(01) AN Literally X ; indicates the end of the detail record. DETAIL RECORD B (OPTIONAL) X(02) AN TRANSACTION CODE = RD X(01) AN RECORD IDENTIFIER = B (08) N RECORD ID SEQUENCE NUMBER BEGINNING WITH X(10) AN ACCOUNT NUMBER, including account type X(05) AN EUROCLEAR ACCOUNT IDENTIFIER X(05) AN EUROCLEAR COUNTERPARTY ACCOUNT ID X(01) AN PAYMENT FREE INDICATOR (04) N PRIORITY X(20) AN GLOSS COUNTERPARTY SHORTNAME X(03) AN Not Used X(09) AN CUSIP NUMBER X(12) AN GLOSS COUNTERPARTY ACCOUNT IDENTIFIER X(12) AN GLOSS DEPOT NASTRO IDENTIFIER X(01) AN DAY LIGHT INDICATOR X(20) AN PASSENGER ACCOUNT IDENTIFIER X(12) AN DEPOSITORY RESPONSE STATUS FREE FORM DESCRIPTION TEXT X(12) AN DEPOSITORY RESPONSE STATUS FREE FORM DESCRIPTION TEXT X(159) AN Not Used X(06) AN OPEN ITEM IDENTIFIER X(192) AN DELIVERY INSTRUCTIONS TEXT X(257) AN Not Used X(01) AN Literally X ; indicates the end of the detail record TRAILER RECORD X(18) AN Literally EOF PERSHING (end of Pershing file) X(18) AN Literally REC AND DEL MASTER X(10) AN Literally DATA OF X(10) AN DATE OF DATA = MM/DD/CCYY X(11) AN Literally TO REMOTE X(04) AN REMOTE ID = XXXX Page 8 Receive and Deliver Master 8-07
9 X(12) AN Literally ENDS HERE X(22) AN Literally TOTAL DETAIL RECORDS: (10) N NUMBER OF DETAIL RECORDS X(03) AN Not Used X(09) AN Indicates if the file is REFRESHED/UPDATED/NOT APPLICABLE literally REFRESHED, UPDATED, or X(622) AN Not Used X(01) AN Literally Z ; indicates the end of the trailer record Page 9 Receive and Deliver Master 8-07
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