2 3 4 NUM REQ Always A/N REQ A = Add C = Change D = Delete A/N COND Must be a valid ACATS Control Number when:

Transcription

1 DATATRAK SYSID : RECORD LENGTH : 80 RECORD TYPE : FIXED REVISION DATE : 3/23/12 RECORD 01 OF 32 Record Type A/N REQ Always AT Physical Sequence Logical Sequence Transaction Type ACATS Control NUM REQ Always NUM REQ Always A/N REQ A = Add C = Change D = Delete A/N Must be a valid ACATS Control when: Transaction Type is A (add) and Transfer Type is FUL or Transaction Type is 'A' (add) and Transfer Type is 'PTR' and submitting participant is the deliverer or Transaction Type is C (change) or D (delete) Must be spaces when Transaction Type is A (add) and Transfer Type is FRV, MFC, PTD, PTR, RCL PTF or RCR. Transfer Type Format is: CCYYDDDNNNNNNN A/N REQ FRV = Fail Reversal (broker to broker only) FUL = Full Transfer MFC = Mutual Fund Cleanup PTD = Partial Transfer Deliverer PTF = Position Transfer Fund PTR = Partial Transfer Request (Receiver) RCL = Reclaim RCR = Residual Credit Transaction Type C (change) or D (delete) valid for FUL only. Filler A/N REQ Reserved for future use spaces Submitting Participant A/N REQ Always Original Deliverer unless Transfer Type is PTR or PTF, or Transfer Type is 'FUL' and Transaction Type is 'D' (delete), in which case the submitting participant may be the Original Deliverer or the Original Receiver. Filler A/N REQ Reserved for future use spaces Page 1 of 41

2 DATATRAK SYSID : RECORD LENGTH : 80 RECORD TYPE : FIXED REVISION DATE : 3/23/12 RECORD 01 OF A/N REQ The Original Receiver indicates the party who: Original Receiver Receives an ACATS transfer of assets for Transfer Types FUL, PTD, PTF, or 'PTR' Requests an ACATS transfer of assets for Transfer Type PTF or PTR Receives additional assets from a prior ACATS transfer for Transfer Type RCR Returns assets transferred by a previous ACATS transfer for Transfer Type RCL Is debited cash for a previous failed ACATS transfer for Transfer Type FRV or MFC Originally has a mutual fund asset reregistered to its account at the mutual fund company for Transfer Type PTF Filler A/N REQ Reserved for future use spaces Original Deliverer A/N REQ The Original Deliverer indicates the party who: Delivers an ACATS transfer of assets for Transfer Types FUL or 'PTR' Initiates an ACATS transfer of assets for Transfer Type PTD or PTF Receives the transfer request when the Transfer Type is PTF or PTR Delivers additional assets from a prior ACATS transfer for Transfer Type RCR Receives assets relating to a previous ACATS transfer for Transfer Type RCL Is credited cash from a previous failed ACATS transfer for Transfer Type FRV ' or MFC Originally has a mutual fund asset reregistered from its account at the mutual fund company for Transfer Type PTF Page 2 of 41

3 DATATRAK SYSID : RECORD LENGTH : 80 RECORD TYPE : FIXED REVISION DATE : 3/23/12 RECORD 01 OF A/N Required when Transfer Type is equal to FRV, MFC, PTD, PTF, PTR, RCL, RCR. Contents of the field should be the submitter s customer account number. Transaction Reference ID Asset Sequence The field is case sensitive. Use only uppercase letters. Association between the Transfer Input (TI) and the Asset Transfer (AT) record(s) is established when the contents of the Transaction Reference ID of the two records are equal NUM REQ Must be a valid ACATS system assigned Asset Sequence when Transaction Type is either 'C (change) or D (delete). When Transaction Type is A (add), Asset Sequence must be equal to zeros. Filler A/N REQ Reserved for future use spaces Asset Pricing Category A/N Required when Transaction Type is A (add) unless Requested Settling Location is 35=OCC, 40=Cash Balance, or 45=Memo. Valid Values: 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 Note: For transfer type PTF, the asset pricing category could only be either MFMM or MFNM Page 3 of 41

4 RECORD 02 OF 32 Record Type Physical Sequence Logical Sequence Option Category A/N REQ Always 'AT' NUM REQ Add 1 to previous physical sequence NUM REQ Always A/N REQ 00 = Non option 01 = Equity Option 02 = Non-equity option 03 = ICS Option Page 4 of 41

5 RECORD 02 OF 32 Requested Settling Location A/N Required when Transaction Type is A or C allows deliverer of assets to request a settling location or method. Requested Settling Location is validated when Asset (AT) records are added or changed, except where the noted System will override selection if: 1. Asset cannot settle in the Requested Settling Location, or, 2. Requested Settling Location is invalid for either the receiver or the deliverer. Valid Values: 00 = System generated settling location. Only valid if ISIN Security Issue ID is valid. 05 = CNS 10 = Fund/SERV 25 = DTC 30 = Undeliverable System will validate and override for broker to broker transfer to determine whether an alternative settling location can be utilized 35 = OCC Cannot be changed to or from another settling location 40 = Cash Balance Cannot be changed to or from another settling location 45 = Memo Cannot be changed to or from another settling location 50 = R&D For Requested Settling Location Reasons RSEC, SFK, XSET and FCUR, system will not validate or override. For Requested Settling Location Reason DDEL system will validate and override based on participant and asset eligibility 55 = R&D (Foreign) 60 = IPS (Insurance Processing Service) Note: For Transfer Type PTF, the requested settling Location must always be 10 Fund/SERV Page 5 of 41

6 RECORD 02 OF 32 Requested Settling Location Reason A/N Required when Requested Settling Location is 35, 40, 45, or 50. Valid values for Requested Settling Location of 35 (OCC): EXPO = Expiring Option OPT = Option USEC = Underlying Security These reasons can be changed only to one another (within settling location 35) Valid values for Requested Settling Location of 40 (Cash Balance): CRED = Credit Balance DEB = Debit Balance These reasons can be changed only to one another (within settling location 40) Valid values for Requested Settling Location of 45 (Memo): CASH = Underlying Cash Balance COMT = Comment SMA = Special Misc. Accounting Value USEC = Underlying Security REG T Violations REGT = REG T Calls (create date and amount required) 90 Day Restrictions 90DR = 90 Day Restriction (expiration date required) These reasons can only be changed to one another (within settling location 45) Valid values for Requested Settling Location of 50 (R&D): RSEC = Restricted Security SFK = Safekeeping XSET = Outside CNS, DTC, Fund/SERV, GSCC, PTC FCUR = Foreign Currency DDEL = Delayed Delivery Page 6 of 41

7 RECORD 02 OF 32 ISIN Country Code A/N OPT Default value is US Note: For Requested Settling Location 55 R&D (Foreign) The ISIN# must have a country code that is not equal to US ISIN Security Issue ID A/N Required when Transaction Type is A (add) and Asset Description is spaces unless Requested Settling Location is 30 (Undeliverable) and Option Category is greater than zeros, or, ISIN Security Check Digit Requested Settling Location is 35 (OCC), or, Requested Settling Location is 40 (cash balance), or, Requested Settling Location is 45 (memo), and Requested Settling Location Reason is CASH, COMT, SMA, REGT or 90 DR. Note: Also always required when Transfer Type is PTF Note: For Requested Settling Location 55 R&D (Foreign) The ISIN# is a required field A/N Required if ISIN Country Code is anything but blank or US. Filler A/N REQ Reserved for future use spaces Page 7 of 41

8 RECORD 03 OF 32 Physical NUM REQ Add 1 to previous physical sequence Sequence Logical NUM REQ Always 03 Sequence Asset Description A/N Required when Transaction Type is A (add) and ISIN Security Issue ID is spaces unless Requested Settling Location is 35 (OCC), or, Requested Settling Location is 40 (cash balance), or, Requested Settling Location is 45 (memo), and Requested Settlement Location Reason is either CASH, COMT T, SMA, REGT or 90 DR. Filler A/N REQ Reserved for future use spaces Page 8 of 41

9 RECORD 04 OF 32 Physical NUM REQ Add 1 to previous physical sequence Sequence Logical Sequence NUM REQ Always 04 Asset Description A/N Required when Transaction Type is A (add) and ISIN Security Issue ID is spaces unless Requested Settling Location is 35 (OCC), or, Requested Settling Location is 40 (cash balance), or, Requested Settling Location is 45 (memo), and Requested Settlement Location Reason is either CASH, COMT or SMA Note: May be spaces if complete asset description fits in Asset Description -1 Filler A/N REQ Reserved for future use spaces Page 9 of 41

10 RECORD 05 OF 32 Physical Sequence NUM REQ Add 1 to previous physical sequence Logical Sequence NUM REQ Always 05 Asset Quantity Request Indicator A/N Required when Transfer Type is PTR or PTF and submitting participant is the receiver, otherwise, must be spaces. Valid values are: F = Request Full Position P = Request Partial Position Not applicable for Annuities Asset Request Transaction Code Note: If the firm as receiver of PTF requests F = Full Position, the asset quantity field on the ACATS output multi-cycle & end of day file will be populated with zeroes and the asset quantity field on the ACATS output position and settlement file (the settlement file only if the Fund Company acknowledges the transfer reregistration) will be populated with spaces A/N Required when Transfer Type is PTR or PTF and submitting participant is the receiver, and Asset Quantity Request Indicator is P (Request Partial Position), otherwise must be spaces. Valid values are: 2 = Shares 3 = Currency Amount Note: Only 2 = Shares is available for Transfer Type PTF Not applicable for Annuities Page 10 of 41

11 RECORD 05 OF 32 Asset Quantity A/N Floating decimal denoted by a, (comma). Up to four decimal places are supported before truncation occurs. Required when Transaction Type is A (add) unless Transfer Type is PTR and Asset Request Transaction Code is 3, or, Transfer Type is PTR and Asset Quantity Request Indicator is F, or, Transfer Type is PTF, the firm is receiver and Asset Quantity Request Indicator is F Requested Settling Location is 40 (cash balance), or, Requested Settling Location is 45 (memo), and Requested Settling Location Reason is CASH, COMT, SMA, REGT or 90 DR. Requested Settling Location is 60 (IPS). Asset Percent A/N Not a valid input field as of 11/07/05 Position Code A/N Required when Transaction Type is A (add) unless Requested Settling Location is 35 (OCC), or, Requested Settling Location is 40 (cash balance), or, Requested Settling Location is 45 (memo), and Requested Settling Location Reason is either CASH, COMT, SMA, REGT or 90 DR S = Short Position (Not valid for Mutual Funds and Annuities) L = Long Position ISO Currency Code A/N Required when Requested Settling Location Reason is foreign currency (FCUR). When not entered, system default is USD Page 11 of 41

12 RECORD 05 OF 32 Asset Amount A/N Floating decimal, which is denoted by a, (comma). When ISO Currency Code is USD there must only be two decimal places. When Asset Pricing Category is foreign currency (FCUR), up to four decimal places will be supported before truncation occurs. Required when Transaction Type is A (add) unless Transfer Type is PTF and the submitter is the receiver Transfer Type is PTR and Asset Request Transaction Code is 2, or, Requested Settling Location is 45 (memo), and Requested Settling Location Reason is COMT or 90DR Requested Settling Location is 60 (IPS). Bearer Bond A/N Required when Transaction Type is A (add) unless Requested Settling Location is 35 (OCC), or, Requested Settling Location is 40 (cash balance), or, Requested Settling Location is 45 (memo) and Requested Settling Location Reason is CASH, COMT, SMA, REGT or 90 DR. Valid Values: B = Bearer Bond N = Not a Bearer Bond Default Value is N Page 12 of 41

13 RECORD 05 OF A/N Required when Transaction Type is A (add), unless Cash/Margin/Short Code Requested Settling Location is 40 (cash balance), or, Requested Settling Location is 45 (memo), or, When Transaction Input (TI) record s Original Receiver Customer Account Type is: 4K = 401K DR = Direct Rollover EI = Educational IRA IR = IRA MS = Medical Savings Account QP = Qualified Plan RI = Roth IRA SI = Simple IRA When Issued Indicator Valid values are C = Cash M = Margin S = Short A/N Required when Transaction Type is A (add). Required when asset is a when issued security. Valid values are: W = When Issued N = Not When Issued Note: The only available value for Transfer Type PTF is N (Not When Issued) Page 13 of 41

14 RECORD 05 OF A/N Required when Transaction Type is A (add). Transfer Type Reason When Transfer Type is RCR (residual credit), valid values are: 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-inlieu 12 = Mutual Funds Accrual 13 = Mutual Funds Residual When Transfer Type is FRV (fail reversal), valid values are: 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 When Transfer Type is RCL (reclaim), valid values are: 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 MBS Serial Note A/N OPT Serial Note Unit (used to identify Puerto Rican MBS). Filler A/N REQ Reserved for future use spaces Page 14 of 41

15 RECORD 06 OF 32 Physical NUM REQ Add 1 to previous physical sequence Sequence Logical NUM REQ Always 06 Sequence Asset Comment 1 (Text) A/N OPT Required when settling location is 45 (memo) and requested settling location reason is equal to REGT or 90DR. Create date (for REGT) or expiration date (for 90DR) are required. Date format is ccyymmdd. Required when Asset Description field is spaces and settling location is 45 (memo) and requested settling location reason is COMT. Filler A/N REQ Reserved for future use spaces Page 15 of 41

16 RECORD 07 OF 32 Physical Sequence NUM REQ Add 1 to previous physical sequence Logical Sequence NUM REQ Always 07 Asset Comment 2 (Text) A/N OPT See Asset Comment 1 (Text). Filler A/N REQ Reserved for future use spaces Page 16 of 41

17 RECORD 08 OF 32 Data Area for Asset Types of Option Required when Requested Settling Location is 35 (OCC) and Option Category is greater than zeros. Physical Sequence NUM REQ Add 1 to previous physical sequence Logical Sequence NUM REQ Always 08 Option Buy Sell Indicator A/N Required if Transaction Type is an A (add). Valid Values: Option P-C Indicator Option O-C Indicator B = Buy S = Sell A/N Required if Transaction Type is an A (add). Valid Values: P = Put C = Call A/N OPT O = Open C = Closed The default value is C Option Symbol A/N Required if Transaction Type is an A (add). Option Expiration Date A/N Required if Transaction Type is an A (add). New format is CCYYMMDD Filler A/N REQ Reserved for future use spaces Option Strike Price Integer A/N Required when Transaction Type is an A (add). Format is 99,999 or 9(5) Filler A/N REQ Reserved for future use spaces. Option Strike Price Decimal A/N Required when Transaction Type is A (add). Only valid values are: 000 through 999 which represent decimal format only Filler A/N REQ Reserved for future use spaces Option OCC Deliverer Option Account Type A/N This field is required if the Option OCC Deliverer is different from the Original Deliverer A/N OPT C = Customer F = Firm M = Market Maker The default value is C. Filler A/N REQ Reserved for future use spaces Sub Account ID A/N OPT Market Maker. Default is blanks Page 17 of 41

18 RECORD 08 OF 32 Option Comments A/N OPT (Text) Filler A/N REQ Reserved for future use spaces Page 18 of 41

19 RECORD 09 OF 32 Asset Mutual Fund Data Required if Requested Settling Location is 10 (Fund/SERV) or Transfer Type = MFC, unless Transfer Type is PTR or PTF and submitter is the Receiver. Physical NUM REQ Add 1 to previous physical sequence Sequence Logical NUM REQ Always 08 Sequence Fund/SERV Customer Account Deliverer A/N Required when Transaction Type is 'A' (add) and Requested Settling Location is 10 (Fund/SERV). Book/Physical Share Indicator A/N Required when Transaction Type is A (add) and Requested Settling Location is 10 (Fund/SERV). Network Control Indicator 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 Transaction Type is A (add) and Requested Settling Location is 10 (Fund/SERV). 0 = Not Networked 3 = Broker controlled brokerage account 4 = Fund controlled brokerage account Account Type Indicator Values 1 and 2 are reserved for future use A/N Required when Transaction Type is A (add) and Requested Settling Location is 10 (Fund/SERV). 1 = Customer Name 2 = Street Name Page 19 of 41

20 RECORD 09 OF 32 Dividend Code A/N Required when Transaction Type is A (add) and Requested Settling Location is 10 (Fund/SERV). Dividend Long Term Cap Gain Short Term Cap Gain Dividend Payee Indicator 0 = Cash Cash Cash 1 = Reinvest Reinvest Reinvest 2 = Cash Cash Reinvest 3 = Cash Reinvest Reinvest 4 = Cash Reinvest Cash 5 = Cash Cash Reinvest 6 = Reinvest Cash Reinvest 7 = Reinvest Cash Reinvest A/N Required when Transaction Type is A (add) and Requested Settling Location is 10 (Fund/SERV). 0 = Customer 1 = Firm 2 = Executing Firm N = Not applicable Filler A/N REQ Reserved for future use spaces Executing Broker A/N Required when Transaction Type is A (add). MF Full/Partial Indicator A/N Required when Transaction Type is A (add) and Requested Settling Location is 10 (Fund/SERV). 1 = Full Transfer 2 = Partial Transfer Full Transfer: move all shares belonging to the account. Share Aging Indicator Partial Transfer: move the exact quantity specified on asset input A/N OPT 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 20 of 41

21 RECORD 09 OF A/N OPT Space = Broker 01 = Trust Firm Membership Indicator Deliverer New Fund Customer Account Receiver Re-registration Date at Fund A/N Required when Transfer Type is "MFC, otherwise, must be spaces A/N Required when Transfer Type is MFC. Format is CCYYMMDD MF Agent Processing A/N OPT 0 = Deliverer will not use alternate Fund/SERV clearing number. Indicator (Deliverer) 1 = Deliverer will use alternate Fund/SERV clearing number. Filler A/N REQ Reserved for future use spaces Page 21 of 41

22 RECORD 10 OF 32 Asset Insurance Data Required if Requested Settling Location is 60 (IPS) and Pricing Category Code = ANNU. Physical Sequence Logical Sequence Insurance Customer Account Deliverer Owner 1 Natural/Non- Natural Indicator NUM REQ Add 1 to previous physical sequence NUM REQ Always A/N Required when Transaction Type is 'A' (add). Deliverer s BIN A/N Required when Transaction Type is 'A' (add). N Natural X Non-Natural Owner 1 Name A/N Required when Transaction Type is 'A' (add). If Owner 1 Natural/Non-Natural Indicator = N, format: First Name 25 bytes (optional) Middle Name 25 bytes (optional) Filler A/N REQ Reserved for future use spaces Page 22 of 41

23 RECORD 11 OF 32 Physical Sequence Logical Sequence NUM REQ Add 1 to previous physical sequence NUM REQ Always 09 Owner 1 Name A/N Required when Transaction Type is 'A' (add). If Owner 1 Natural/Non-Natural Indicator = N, format: Last Name 35 bytes (required) Prefix 10 bytes (optional) Suffix 10 bytes (optional) Filler A/N REQ Reserved for future use spaces Page 23 of 41

24 RECORD 12 OF 32 Physical Sequence Logical Sequence NUM REQ Add 1 to previous physical sequence NUM REQ Always 10 Owner 1 ID A/N Required when Transaction Type is 'A' (add). Owner 1 ID Qualifier A/N Required when Transaction Type is 'A' (add). Valid Values: 34 = Social Security A3 = Non-Resident Alien FI = Federal Taxpayer s Identification SB = Canadian Social Insurance Owner 1 Qualifier A/N Required when Transaction Type is 'A' (add). Valid Values: Owner 2 Natural/Non-Natural Indicator A/N OPT N Natural X Non-Natural 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 Page 24 of 41

25 RECORD 12 OF 32 Owner 2 Name A/N Required when Transaction Type is 'A' (add) and Owner 2 Natural/Non-Natural Indicator is provided. If Owner 1 Natural/Non-Natural Indicator = N, format: First Name 25 bytes (optional) Middle Name 25 bytes (optional) Last Name 35 bytes (required) Prefix 10 bytes (optional) Suffix 10 bytes (optional) Page 25 of 41

26 RECORD 13 OF 32 Physical Sequence Logical Sequence NUM REQ Add 1 to previous physical sequence NUM REQ Always 11 Owner 2 Name A/N Required when Transaction Type is 'A' (add) and Owner 2 Natural/Non-Natural Indicator is provided. If Owner 1 Natural/Non-Natural Indicator = N, format: Last Name 35 bytes (required) Prefix 10 bytes (optional) Suffix 10 bytes (optional) Filler A/N REQ Reserved for future use spaces Page 26 of 41

27 RECORD 14 OF 32 Physical Sequence Logical Sequence NUM REQ Add 1 to previous physical sequence NUM REQ Always 12 Owner 2 ID A/N Required when Transaction Type is 'A' (add) and Owner 2 Natural/Non-Natural Indicator is provided. Owner 2 ID Qualifier A/N Required when Transaction Type is 'A' (add) and Owner 2 Natural/Non-Natural Indicator is provided. Valid Values: Owner 2 Qualifier 34 = Social Security A3 = Non-Resident Alien FI = Federal Taxpayer s Identification SB = Canadian Social Insurance A/N Required when Transaction Type is 'A' (add) and Owner 2 Natural/Non-Natural Indicator is provided. Valid Values: 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 REQ Reserved for future use spaces Page 27 of 41

28 RECORD 15 OF 32 Physical Sequence Logical Sequence NUM REQ Add 1 to previous physical sequence NUM REQ Always 13 Annuitant 1 Name A/N Required when Transaction Type is 'A' (add). Format: First Name 25 bytes (optional) Middle Name 25 bytes (optional) Filler A/N REQ Reserved for future use spaces Page 28 of 41

29 RECORD 16 OF 32 Physical Sequence Logical Sequence NUM REQ Add 1 to previous physical sequence NUM REQ Always 14 Annuitant 1 Name A/N Required when Transaction Type is 'A' (add). Format: Last Name 35 bytes (required) Prefix 10 bytes (optional) Suffix 10 bytes (optional) Filler A/N REQ Reserved for future use spaces Page 29 of 41

30 RECORD 17 OF 32 Physical Sequence Logical Sequence NUM REQ Add 1 to previous physical sequence NUM REQ Always 15 Annuitant 1 ID A/N Required when Transaction Type is 'A' (add). Annuitant 1 ID Qualifier A/N Required when Transaction Type is 'A' (add). Valid Values: 34 = Social Security A3 = Non-Resident Alien FI = Federal Taxpayer s Identification SB = Canadian Social Insurance Annuitant 2 Name A/N OPT Format: First Name 25 bytes (optional) Middle Name 25 bytes (optional) Filler A/N REQ Reserved for future use spaces Page 30 of 41

31 RECORD 18 OF 32 Physical Sequence Logical Sequence NUM REQ Add 1 to previous physical sequence NUM REQ Always 16 Annuitant 2 Name A/N OPT Format: Last Name 35 bytes (required) Prefix 10 bytes (optional) Suffix 10 bytes (optional) Last Name is required when First Name or Middle Name are provided. Filler A/N REQ Reserved for future use spaces Page 31 of 41

32 RECORD 19 OF 32 Physical Sequence Logical Sequence NUM REQ Add 1 to previous physical sequence NUM REQ Always 17 Annuitant 2 ID A/N Required when Transaction Type is 'A' (add) and Annuitant 2 Name is provided. Annuitant 2 ID Qualifier A/N Required when Transaction Type is 'A' (add) and Annuitant 2 Name is provided. Valid Values: 34 = Social Security A3 = Non-Resident Alien FI = Federal Taxpayer s Identification SB = Canadian Social Insurance Page 32 of 41

33 RECORD 19 OF 32 IRS Qualification Code A/N Required when Transaction Type is 'A' (add). Valid Values: 1030 = 401k 1040 = Solo 401k 1070 = 501c = 501c9 / Health Reimbursement 1080 = 457 Deferred Compensation 1090 = HR 10/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 = Pension Plan 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 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) 56 = 403b Transfers Only Contract A/N Required when Transaction Type is 'A' (add). Filler A/N REQ Reserved for future use spaces Page 33 of 41

34 RECORD 20 OF 32 Physical Sequence Logical Sequence NUM REQ Add 1 to previous physical sequence NUM REQ Always 18 Contract Value NUM Required when Transaction Type is 'A' (add). Contract Value As-Of Date 99,999,999,999, format COBOL 9(14)v9(2) A/N Required when Transaction Type is 'A' (add). Format: CCYYMMDD Filler A/N REQ Reserved for future use spaces Delivering Associated Firm ID A/N Required when Transaction Type is 'A' (add). Filler A/N REQ Reserved for future use spaces Page 34 of 41

35 RECORD 21 OF 32 Physical Sequence NUM REQ Add 1 to previous physical sequence Logical Sequence NUM REQ Always 19 Filler A/N REQ Reserved for future use spaces Page 35 of 41

36 RECORDS of 32 FIELD NAME LENGTH START END TYPE Records 20 through 25 repeat record layout of record 19 and are reserved for future use Page 36 of 41

37 RECORD 28 of 32 Foreign Asset Data Required when Requested Settling A/N Location is 55 R&D (Foreign) Record Type A/N REQ Always AT Physical Sequence NUM REQ Add 1 to previous sequence number Logical Sequence NUM REQ Always 08 SEDOL A/N REQ CINS A/N OPT Filler A/N REQ Reserved for future use spaces Delivering Firm Settlement A/N OPT Comments or spaces Instruction Line 1 Filler A/N REQ Reserved for future use spaces Page 37 of 41

38 RECORD 29 of 32 Record Type A/N REQ Always AT Physical Sequence NUM REQ Add 1 to previous sequence number Logical Sequence NUM REQ Always 09 Delivering Firm Settlement A/N OPT Comments or spaces Instruction Line 2 Delivering Firm Settlement A/N OPT Comments or spaces Instruction Line 3 Filler A/N REQ Reserved for future use spaces Page 38 of 41

39 RECORD 30 of 32 Record Type A/N REQ Always AT Physical Sequence NUM REQ Add 1 to previous sequence number Logical Sequence NUM REQ Always 10 Delivering Firm Settlement A/N OPT Comments or spaces Instruction Line 4 Delivering Firm Settlement A/N OPT Comments or spaces Instruction Line 5 Filler A/N REQ Reserved for future use spaces Page 39 of 41

40 RECORD 31 OF 32 Physical Sequence NUM REQ Add 1 to previous physical sequence Logical Sequence NUM REQ Always 11 Filler A/N REQ Reserved for future use spaces Page 40 of 41

41 RECORD 32 OF 32 Physical Sequence NUM REQ Add 1 to previous physical sequence Logical Sequence NUM REQ Always 12 Filler A/N REQ Reserved for future use spaces Page 41 of 41