NUM REQ Always A/N REQ A valid ACATS Control Number

Transcription

1 Record Type A/N REQ Always FR Record Length NUM REQ Valid Values: Physical Sequence Logical Sequence NUM REQ Always NUM REQ Always 01 Transaction Type A/N REQ Always A ACATS Control With no payables: (387, 480, 573, 666, 759) With 1 payable: (852, 945, 1038, 1131) With 2 payables: (1224, 1317, 1410, 1503) With 3 payables: (1596, 1689, 1782, 1875) With 4 payables: (1968, 2061, 2154, 2247) With 5 payables: (2340, 2433, 2526, 2619) With 6 Payables: (2712, 2805, 2898, 2991) A/N REQ A valid ACATS Control Format is: CCYYDDDNNNNNNN Transfer Type A/N REQ FUL = Full Transfer PTD = Partial Transfer Deliverer PTR = Partial Transfer Receiver RCR = Residual Credit PTF = Position Transfer Fund Filler A/N REQ Reserved for future use spaces Submitting Participant A/N REQ ACATS Participant that submitted record. Must be equal to Original Receiver for Transfer Type FUL, PTD, PTF, 'PTR', or RCR. Filler A/N REQ Reserved for future use spaces Original Receiver A/N REQ The Original Receiver indicates the party who: 1. Originally receives an ACATS transfer of assets for Transfer Types FUL, PTD, PTF or 'PTR' 2. Receives additional assets from a prior ACATS transfer for Transfer Type RCR. Filler A/N REQ Reserved for future use spaces Page 1 of 12

2 Original Deliverer ACATS Asset Sequence Security Issue Country Code A/N REQ The Original Deliverer indicates the party who: 1. Originally delivers an ACATS transfer of assets for Transfer Types FUL, PTF or 'PTR' 2. Initiates an ACATS transfer of assets for Transfer Type PTD or PTF 3. Delivers additional assets from a prior ACATS transfer for Transfer Type RCR NUM REQ Valid ACATS Asset Sequence for a mutual fund asset A/N REQ Reserved for future use spaces Security Issue ID A/N REQ Security Issue Check Digit MF Transaction Type A/N REQ Reserved for future use spaces A/N REQ 1 = Transfer to new account 2 = Transfer to existing account 3 = Firm of record changes only Fraction A/N REQ 1 = Transfer fraction 2 = Liquidate fraction NRA Tax Percentage Account Transfer Disbursement Accruals Code Account Transfer Disbursement Fractional/Cashin-Lieu Code Account Transfer Disbursement Residuals Code A/N OPT Foreign tax percentage Format is.99 or COBOL v A/N REQ 2 = Cash to customer Delivering firm 4 = Process bucket to bucket transfer to receiving firm A/N REQ Advises fund where to send cash resulting from cash-in-lieu due to transfer. 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 REQ Advises fund where to send cash resulting from residuals due to transfer. 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 Filler A/N REQ Reserved for future use spaces Page 2 of 12

3 Book/ Physical Share PI Delivery A/N REQ 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 Required when Book/Physical Share is 2 : 0 = Deliver to customer 1 = Deliver to firm 2 = Deliver to agent for firm Filler A/N REQ Reserved for future use spaces TPA A/N OPT Filler A/N REQ Reserved for future use spaces Name A/N OPT Default is Name in Transfer Input (TI) record. Fund Account Fund/SERV Account Receiver A/N REQ 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 A/N REQ Filler A/N REQ Reserved for future use spaces Executing Broker A/N OPT Agent for Firm Network Control MF Agent Processing (Receiver) SSN/EIN A/N REQ 0 = Non networked 3 = Broker controlled brokerage account 4 = Fund controlled brokerage account Values 1 and 2 are reserved for future use A/N OPT 0 = Receiver will not use alternate Fund/SERV clearing number 1 = Receiver will use alternate Fund/SERV clearing number A/N REQ 0 = Tax ID (EIN) 1 = Social Security 2 = Investor EIN (Employee Identification ) SSN/EIN A/N REQ Filler A/N REQ Reserved for future use spaces Page 3 of 12

4 Dividend Code A/N REQ Dividend Long Term Cap Gain Short Term Cap Gain Withholding A/N REQ W9 indications 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 0 = Certified (W9 on file) 1 = Failure to provide TIN 2 = Failure to certify TIN 3 = Notification of incorrect TIN from the Secretary of Treasury (Withhold due to B Notice) 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 treasury for underreporting dividend and/or interest payments (Withhold due to C Notice) 7 = Applied for SSN 8 = Exempt recipient 9 = Withhold due B/C notice Account(s) subject to both B and C Notice Withholding W8 indications A = Uncertified foreign account (no W8 form on file-backup 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 Page 4 of 12

5 Payable Information Name End Line Zip Code A/N REQ 0 = Address of record 1 = Payable address 2 = ACH 3 = Cash to firm 4 = Cross fund reinvest 5 = Crash to Trust A/N REQ Value must be one through six, indicates how many Name lines are present A/N OPT 5-digit zip code Zip A/N OPT 4-digit zip plus 4 Filler A/N REQ Reserved for future use spaces Social Code A/N REQ See Social Code List in F/S manual. NAV Account Margin Account Check Writing Privileges State of Sale (State Code) Country of Origin (Country Code) Account Representative Name Account Representative Branch Identification A/N REQ 0 = No A/N REQ 0 = No A/N REQ 0 = No A/N OPT See State Code List in F/S manual A/N Required for foreign account (when Fund Account is 1 or 3 ) A/N REQ A/N REQ A/N REQ See Country Code List in F/S manual Filler A/N REQ Reserved for future use spaces of Payables W8 Certification Date W8 Expiration Date A/N Must be greater than zeros if Payable Information is 1 or A/N Required if Withhold = B, C, D or E CCYYMMDD format A/N Required if Withhold = D or E CCYYMMDD format Page 5 of 12

6 W8 Override NRA Special Rate W8 Qualified Intermediary W8 Override Country Code A/N OPT Foreign tax rate Format is or COBOL 99v A/N Required if Withhold = C. 1 = QI (qualified intermediary primary withholding) 2 = QI (Qualified intermediary - nonwithholding) 3 = Non-QI (non-qualified intermediary - non-withholding, 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 The value 'OC' (Other Country) is not allowed (see country code list in Fund/SERV manual) Filler A/N REQ Reserved for future use spaces Firm Membership Receiver A/N OPT Space = Broker 01 = Trust Filler A/N REQ Reserved for future use spaces A/N REQ A/N Required when Name End Line is greater than 1 Filler A/N REQ Reserved for future use spaces A/N Required when Name End Line is greater than A/N Required when Name End Line is greater than 3 Filler A/N REQ Reserved for future use spaces A/N Required when Name End Line is greater than A/N Required when Name End Line is greater than 5 Filler A/N REQ Reserved for future use spaces Memo Field (Text) A/N OPT ACH A/N OPT Automated Clearing House 0 = No Page 6 of 12

7 PAC A/N OPT Pre Authorized Checks 0 = No SWP A/N OPT Systematic Withdrawal Plan 0 = No ROA/LOI Value A/N OPT 99,999,999,999, format COBOL 9(14)v9(2) LOI /Date A/N OPT CCYYMMDD format Related Trade Related Account Related Account SWP/PAC Effective Date A/N OPT 0 = No A/N OPT A/N Required when Related Account is provided 1 = Fund 2 = Firm A/N OPT Format is CCYYMMDD Accrual Amount A/N OPT 99,999,999,999, format COBOL 9(14)v9(2) Accrual Amount A/N OPT A = All B = None Filler A/N REQ Reserved for future use spaces CDSC Payment Code Disbursement Option Code Disbursement Amount A/N OPT 0 = Gross 1 = Net 2 = Not applicable A/N OPT 0 = Fixed cash amount 1 = Fixed percentage 2 = Fixed shares 3 = Declining balance A/N Must be present when Disbursement Option is 0 through 3. Format in accordance with Disbursement Option Code: 0 = 99,999,999,999, = 999, = 999,999,999, = 999,999,999, Page 7 of 12

8 Monthly Payment s A/N OPT Each character represents one month respectively, e.g., 1 st byte = Jan, 2 nd byte = Feb, etc Payment Date Value Retirement Tax Code Shareholder Bank Account Shareholder Bank Account Type For each position (byte) 0 = No payment this month, payment this month A/N OPT = day of month L = Last day of month N = Normal fund cycle A/N Required when Address Option indicates Systematic Withdrawal: 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 A/N OPT Used when Payable Information is 2 (ACH) A/N Required if Shareholder Bank Account is provided. 0 = Checking 1 = Savings 2 = Other First Check Date A/N OPT CCYYMMDD format ABA Routing A/N Required when Payable Information is 2 (ACH) Cost Basis Code A/N OPT 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 REQ Reserved for future use spaces Start of Required if of Payables is equal to or greater than one Account A/N Required when Payable Information is 2 Page 8 of 12

9 Zip Code 5 Zip Code Plus A/N OPT 5 digit zip code A/N OPT 4 digit zip plus 4 Filler A/N REQ Reserved for future use spaces Name End Line Address Option A/N Required when Payable Information is either 1 (Payable address) or 2 (ACH) Indicates line number where address ends (1 through 6) A/N Required if Payable Information is either 1 (Payable address) or 2 (ACH). Valid values include: Account Security Issue Country Code Security Issue ID Security Issue Check Digit Alternate Payable 1 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 A/N Required if Account is provided. Valid values are: A/N OPT A/N OPT A/N OPT 1 = Fund 2 = Firm A/N Required if Address Option is 9. Valid values are: Alternate Payable 1 Reason 0 = Non-payable mailing address 1 = Bank Registration (PAC) 2 = Other A/N Required when Alternate is 2 (Other) Filler A/N REQ Reserved for future use spaces Page 9 of 12

10 Line 1 Line A/N Required if Payable Information is 1 or A/N Required when Name End Line is greater than 01 Filler A/N REQ Reserved for future use spaces Line 3 Line A/N Required when Name End Line is greater than A/N Required when 1 Name End Line is greater than 03 Filler A/N REQ Reserved for future use spaces Line 5 Line A/N Required when Name End Line is greater than A/N Required when Name End Line is greater than 05 Filler A/N REQ Reserved for future use spaces Start of Required when of Payables is equal to or greater than 2. Account Zip Code 5 Zip Code plus A/N Required when Payable Information is A/N OPT Required if Payable Information is A/N OPT Filler A/N REQ Reserved for future use spaces Name End Line A/N Required when Payable Information is either 1 (Payable address) or 2 (ACH) Indicates line number where address ends (1 through 6) Page 10 of 12

11 Address Option A/N Required if Payable Information is either 1 (Payable address) or 2 (ACH). Valid values include: Account Security Issue Country Code Security Issue ID Security Issue Check Digit Alternate Payable 2 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 A/N Required if Account is provided. Valid values are: A/N OPT A/N OPT A/N OPT 1 = Fund 2 = Firm A/N Required if Address Option is 9. Valid values are: Alternate Payable 2 Reason 0 = Non-payable mailing address 1 = Bank Registration (PAC) 2 = Other A/N Required when Alternate is 2 (Other) Filler A/N REQ Reserved for future use spaces Line 1 Line A/N Required if Information is 1 or A/N Required when Name End Line is greater than 01 Filler A/N REQ Reserved for future use spaces Line A/N Required when Name End Line is greater than 02 Page 11 of 12

12 Line A/N Required when Name End Line is greater than 03 Filler A/N REQ Reserved for future use spaces Line 5 Line A/N Required when Name End Line is greater than A/N Required when Name End Line is greater than 05 Filler A/N REQ Reserved for future use spaces Start of Payable 3 through The last section of 372 bytes (or less if not all name/address lines are included) may repeat four more times for an additional four payables END OF RECORD Page 12 of 12