PERSHING STANDARD FILE LAYOUTS
|
|
|
- Maurice Nicholson
- 6 years ago
- Views:
Transcription
1 FILE LAYOUT FOR: Intraday-GLOBAL CUSTOMER POSITION GENERAL INFORMATION File Frequency: Daily Record Size: 750 characters Form Name: (Intraday) DESCRIPTION The Intraday Global Customer Position file () is created after the close of business each day. The file reflects account positions within your office range on an update and refresh basis. Records can be passed to your firm on an update or refresh basis and include security descriptions. This file is replacing the original CUST file, which was created in 1991, and has some significant data enhancements. The three most important ones are: Foreign currency is also displayed on this file as a position and identified with a Currency/Security Position Indicator of C. Foreign currency is assigned a user CUSIP beginning with the currency code (such as GBR for British pounds). US currency is also displayed on this file as a position with a user CUSIP of USD US dollar currency amounts and balances will continue to be displayed on the Global Moneyline (GMON) file. Note: This file contains information on Security positions only. Money Fund positions are shown separately on our FUND file and Annuity holdings are shows separately on our ASPS file. 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. Page 1 Global Customer Position 03-11
2 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 SUB-SECONDS X(04) AN Not Used - LITERAL X(35) AN Not Used X(08) AN DATAMART TRANSACTION ID X(08) AN Not Used X(08) AN SOURCE PROGRAM OR TRANSACTION X(74) AN Not Used DETAIL RECORD A X(02) AN TRANSACTION CODE = GC X(01) AN RECORD INDICATOR VALUE = A (08) N RECORD ID SEQUENCE NUMBER BEGINNING WITH X(10) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASE ACCOUNT NUMBER (5); CHECK DIGIT (1); TYPE (1); values for TYPE include: 0 = Cash on Delivery 1 = Cash 2 = Margin 3 = Short 8 = Precious Metals 9 = Interest Adjustment X(09) AN CUSIP NUMBER X(04) AN Not Used X(09) AN UNDERLYING CUSIP NUMBER X(04) AN Not Used X(03) AN INVESTMENT PROFESSIONAL OF RECORD NUMBER X(03) AN INTRODUCING BROKER DEALER NUMBER (IBD) X(01) AN CURRENCY/SECURITY POSITION INDICATOR; values include: (cont.) Page 2 Global Customer Position 03-11
3 C = Currency Position S = Security Position X(03) AN ISSUE CURRENCY; see Appendix N, Currency Codes (08) N DATE STAMP/TRADE DATE = CCYYMMDD ; the date the TRADE DATE quantity was last updated (08) N DATE STAMP/SETTLEMENT DATE = CCYYMMDD ; the date the SETTLEMENT DATE quantity was last updated (13)v9(05) N TRADE DATE QUANTITY; number of shares traded, but not yet settled X(01) AN TRADE DATE QUANTITY SIGN; values include: (13)v9(05) N SETTLEMENT DATE QUANTITY; the books and records position (for instance, the position shown on your clients brokerage statements); it reflects all securities that are received or delivered and all settled trades; it does not include pending trades X(01) AN SETTLEMENT DATE QUANTITY SIGN: values include: (13)v9(05) N SEG QUANTITY (MEMO); the securities held in street name X(01) AN SEG QUANTITY SIGN; values include: (13)v9(05) N SAFEKEEPING QUANTITY (MEMO); number of shares registered in the customer s name X(01) AN SAFEKEEPING QUANTITY SIGN; values include: (13)v9(05) N TRANSFER QUANTITY (MEMO); number of shares in the process of being registered in the customer s name X(01) AN TRANSFER QUANTITY SIGN; values include: (cont.) (13)v9(05) N PENDING TRANSFER QUANTITY; the number of shares currently pending the transfer process X(01) AN PENDING TRANSFER QUANTITY SIGN; acceptable values include: (cont.) Page 3 Global Customer Position 03-11
4 (13)v9(05) N LEGAL TRANSFER QUANTITY; the number of shares awaiting clearance at the transfer agent X(01) AN LEGAL TRANSFER QUANTITY SIGN; values include: (13)v9(05) N TENDERED (REORG) QUANTITY (MEMO); number of shares submitted with instructions to participate in a corporate reorganization (e.g., exchange, tender, redemption, etc.) X(01) AN TENDERED QUANTITY SIGN; values include: (13)v9(05) N PENDING PAPERS (MEMO); number of shares pending the receipt of documents to make them negotiable X(01) AN PENDING PAPERS SIGN; values include: (13)v9(05) N SHORT AGAINST THE BOX QUANTITY (MEMO) X(01) AN SHORT AGAINST THE BOX QUANTITY SIGN; values include: (13)v9(05) N Not Available Intraday X(01) AN Not Available Intraday (13)v9(05) N PENDING SPLIT QUANTITY (MEMO); quantity of the security that is subject to a pending stock distribution X(01) AN PENDING SPLIT QUANTITY SIGN; values include: (cont.) (13)v9(05) N QUANTITY COVERING OPTIONS or COVERED QUANTITY X(01) AN QUANTITY COVERING OPTIONS or COVERED QUANTITY SIGN; values include: Page 4 Global Customer Position 03-11
5 (13)v9(05) N TRADE DATE QUANTITY BOUGHT X(01) AN TRADE DATE QUANTITY BOUGHT SIGN; values include: (13)v9(05) N TRADE DATE QUANTITY SOLD X(01) AN TRADE DATE QUANTITY SOLD SIGN; values include: (16)v9(02) N Not Available Intraday X(01) AN Not Available Intraday (16)v9(02) N Not Available Intraday X(01) AN Not Available Intraday (16)v9(02) N Not Available Intraday X(01) AN Not Available Intraday: (16)v9(02) N Not Available Intraday: X(01) AN Not Available Intraday: SELECTED SECURITY INFORMATION X(09) AN SECURITY SYMBOL X(01) AN SECURITY TYPE; see Appendix B, Security Code Matrix X(01) SECURITY MOD; see Appendix B, Security Code Matrix X(01) AN SECURITY CALC; see Appendix B, Security Code Matrix X(03) AN MINOR PRODUCT CODE; See Appendix B, Minor Product Codes X(01) AN Not Available Intraday: (09)v9(09) N Not Available Intraday: X(01) AN Not Available Intraday: (08) N Not Available Intraday: (13)v9(05) N Not Available Intraday: (09)v9(09) N Not Available Intraday: SELECTED CUSTOMER ACCOUNT INFORMATION (for positions ) X(10) AN Not Available Intraday X(03) AN Not Available Intraday X(03) AN COUNTRY CODE X(04) AN For Pershing Internal Use (maxxprodline) (04) N NUMBER OF DESCRIPTION LINES X(20) AN DESCRIPTION LINE X(20) AN DESCRIPTION LINE X(20) AN DESCRIPTION LINE 3 Page 5 Global Customer Position 03-11
6 X(20) AN DESCRIPTION LINE X(20) AN DESCRIPTION LINE X(20) AN DESCRIPTION LINE X(01) AN DIVIDEND OPTION; values include: C = Cash R = Reinvest X(01) AN Not Available Intraday X(01) AN Not Available Intraday X(01) AN Not Available Intraday X(03) AN POSITION CURRENCY (15)v9(03) AN TRADE DATE LIQUIDATING VALUE X(01) AN TRADE DATE LIQUIDATING VALUE SIGN; values include: + = Long Market Value = Short Market Value (02)v9(08) AN POOL FACTOR X(01) AN POOL FACTOR SIGN; values include: + = Positive Amount = Negative Amount (08)v9(10) AN EXCHANGE RATE X(01) AN EXCHANGE RATE SIGN; values include: + = Positive Amount = Negative Amount (15)v9(03) N SETTLEMENT DATE LIQUIDATING VALUE X(01) AN SETTLEMENT DATE LIQUIDATING VALUE SIGN; values include: + = Long Market Value = Short Market Value X(03) AN For Internal Pershing Use (Display Currency) X(01) AN ALTERNATE SECURITY ID TYPE, acceptable value includes: I = ISIN X(12) AN ALTERNATE SECURITY ID X(01) AN Not Used X(01) AN END OF RECORD DELIMITER X Page 6 Global Customer Position 03-11
7 DETAIL RECORD B X(02) AN TRANSACTION CODE = GC X(01) AN RECORD INDICATOR VALUE = B (08) N RECORD ID SEQUENCE NUMBER BEGINNING WITH X(10) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASE X(09) AN CUSIP NUMBER X(04) AN Not Used ACCOUNT NUMBER (5); CHECK DIGIT (1); TYPE (1); (see Record A, , for values for TYPE) X(09) AN UNDERLYING CUSIP NUMBER X(04) AN Not Used X(03) AN INVESTMENT PROFESSIONAL OF RECORD NUMBER X(03) AN INTRODUCING BROKER DEALER NUMBER (IBD) (13)v9(05) N FULLY PAID LENDING QUANTITY X(01) AN FULLY PAID LENDING QUANTITY SIGN; values include: (15)v9(03) N FULLY PAID LENDING QUANTITY COLLATERAL AMOUNT X(01) AN FULLY PAID LENDING QUANTITY COLLATERAL AMOUNT SIGN; values include: + = Positive Amount = Negative Amount OCC DATA SET The following four fields comprise the OCC DATA SET to be used in lieu of the OPRA Symbol. They apply only to Options Products X(06) AN OPTION ROOT ID (06) N EXPIRATION DATE, in YYMMDD format X(01) AN CALL/PUT Indicator, values include: B = Bank Pledge (Call) C = Call D = Bank Pledge (Put) E = Escrow Receipt L = Letter of Credit (Call) M = Letter of Credit (Put) P = Put (05)v9(03) N STRIKE PRICE (13)V9(05) N Not Available Intraday X(01) AN Not Available Intraday (13)V9(05) N Not Available Intraday Page 7 Global Customer Position 03-11
8 X(01) AN Not Available Intraday (13)V9(05) N Not Available Intraday X(01) AN Not Available Intraday (13)V9(05) N Not Available Intraday X(01) AN Not Available Intraday (13)V9(05) N Not Available Intraday X(01) AN Not Available Intraday (13)V9(05) N Not Available Intraday X(01) N Not Available Intraday (15)V9(03) N Not Available Intraday X(01) AN Not Available Intraday (15)V9(03) N Not Available Intraday X(01) AN Not Available Intraday (15)V9(03) N Not Available Intraday X(01) AN Not Available Intraday (15)V9(03) N Not Available Intraday X(01) AN Not Available Intraday (15)V9(03) N Not Available Intraday X(01) AN Not Available Intraday (15)V9(05) N Not Available Intraday X(01) AN Not Available Intraday (15)V9(03) N Not Available Intraday X(01) AN Not Available Intraday (15)V9(03) N Not Available Intraday X(01) AN Not Available Intraday (15)V9(03) N Not Available Intraday X(01) AN Not Available Intraday (15)V9(03) N Not Available Intraday X(01) AN Not Available Intraday (15)V9(03) N Not Available Intraday X(01) AN Not Available Intraday (15)V9(03) N Not Available Intraday X(296) AN Not Used X(01) AN END OF RECORD DELIMITER X Page 8 Global Customer Position 03-11
PERSHING STANDARD FILE LAYOUTS
FILE LAYOUT FOR: GLOBAL CUSTOMER POSITION GENERAL INFORMATION File Frequency: Daily Record Size: 750 characters Form Name: DESCRIPTION The Global Customer Position file () is created after the close of
PERSHING STANDARD FILE LAYOUTS
FILE LAYOUT FOR: [Intraday- Global Bookkeeping Activity GENERAL INFORMATION File Frequency: Record Size: Form Name: DESCRIPTION Daily 750 Characters (Intraday) Intraday Bookkeeping Activity () messages
PERSHING STANDARD FILE LAYOUTS
FILE LAYOUT FOR: FIRM TRADING - FT20 - DAILY SETTLE DATE INVENTORY RECAP GENERAL INFORMATION File Frequency: Daily Record Size: 500 characters Form Name: FT20 DESCRIPTION The Firm Trading Settlement Data
PERSHING STANDARD FILE LAYOUTS
FILE LAYOUT FOR: Intraday-Global Trades GENERAL INFORMATION File Frequency: Daily Record Size: 1250 Characters Form Name: (Intraday) DESCRIPTION Intraday Trade Date Trade () messages are modeled after
PERSHING STANDARD FILE LAYOUTS
FILE LAYOUT FOR: Intraday-Global Trades GENERAL INFORMATION File Frequency: Daily Record Size: 1250 Characters Form Name: (Intraday) DESCRIPTION Intraday Trade Date Trade () messages are modeled after
PERSHING STANDARD FILE LAYOUTS
FILE LAYOUT FOR: DAILY CAPS GENERAL INFORMATION File Frequency: Daily Record Size: 133 Characters Process Name: Daily CAPS is a settlement date (CAPS) file or a trade date file (CAPT). Form Name: DESCRIPTION:
PERSHING STANDARD FILE LAYOUTS
FILE LAYOUT FOR: GLOBAL BOOKKEEPING ACTIVITY GENERAL INFORMATION File Frequency: Daily Record Size: 750 Characters Form Name: GACT (Brokerage) and GAC1 (Bank Custody) DESCRIPTION The Global Bookkeeping
PERSHING STANDARD FILE LAYOUTS
FILE LAYOUT FOR: REORGANIZATION WIRES GENERAL INFORMATION File Frequency: Daily Record Size: 704 characters Form Names: REO1 - available @ 9:00 AM REO2 - available @ 4:30 PM REO3 - available @ 6:00 PM
PERSHING STANDARD FILE LAYOUTS
FILE LAYOUT FOR: GLOBAL TRADES GENERAL INFORMATION File Frequency: Daily Record Size: 1250 characters Form Names: GTDE (Trade Date) and GSDE (Settlement Date) DESCRIPTION The Global Trades files (GTDE
PERSHING STANDARD FILE LAYOUTS
FILE LAYOUT FOR: FIRM TRADING TRADE DATE GENERAL INFORMATION File Frequency: Record Size: Process Name: Form Name: Daily 500 characters NJE PRJ113DP; RJE PRJ112DP; InfoDirect INF112DP; FTP DTM112D$ DESCRIPTION:
PERSHING STANDARD FILE LAYOUTS
FILE LAYOUT FOR: PORTFOLIO TAX LOT DISPOSITIONS GENERAL INFORMATION File Frequency: Daily Record Size: 750 characters Form Name: PTLD (Brokerage) and PTL1 (Bank Custody) DESCRIPTION The Portfolio Tax Lot
PERSHING STANDARD FILE LAYOUTS
FILE LAYOUT FOR: OUTGOING ACAT TRANSFERS GENERAL INFORMATION File Frequency: Daily Record Size: 132 characters Process Name: NJE PRJ145DP; RJE PRJ141DP; InfoDirect PRJ141DP; FTP DTM141D$ Form Name: ACAT
PERSHING STANDARD FILE LAYOUTS INTRADAY
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
PERSHING STANDARD FILE LAYOUTS
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
ETF HISTORICAL FILE SPECIFICATION DOCUMENT
ETF HISTORICAL FILE SPECIFICATION DOCUMENT PUBLICATION DATE: 03/04/2015 Historical Portfolio MRO File Layout AutoRoute 02262222 Type 1 - Header Record 1 Record Type 2 1 A/N 01 = Header Record - 1 per file
This communication contains images that may be blocked by your application. Please download images for proper viewing.
This communication contains images that may be blocked by your email application. Please download images for proper viewing. Circular number: 2012-17 Contact: Russ Davidson, Head of Market Surveillance
Subject: NYSE and ISG Members Modify Certain Electronic Blue Sheet Data Elements
Information Memo NYSE Number 16-17 NYSE MKT Number 16-10 Regulatory Bulletin NYSE Arca Options RB-16-12 NYSE Amex Options RB-16-10 December 8, 2016 To: From: NEW YORK STOCK EXCHANGE LLC ( NYSE ) AND NYSE
CF2/MQ Transmission Guides DIVIDEND AND PROXY ANNOUNCEMENTS (RDPRPT): Function User s Guide
CF2/MQ Transmission Guides 8.03 DIVIDEND AND PROXY ANNOUNCEMENTS (RDPRPT): Function User s Guide The Depository Trust Company November 2014 Copyright Copyright Copyright 2014 by The Depository Trust &
Regulatory Information Circular
OPTIONS EXCHANGE Regulatory Information Circular Circular number: 2009-29 Contact: Russ Davidson, Head of Market Surveillance Date: February 4, 2009 Telephone: (646) 805-1857 Subject: Post-Option Symbology
Members of BATS Exchange and BATS Y-Exchange (collectively, the Exchange )
BZX Regulatory Circular 12-005 BYX Regulatory Circular 12-004 Date: December 10, 2012 To: Members of BATS Exchange and BATS Y-Exchange (collectively, the Exchange ) From: Membership Services Re: BATS Exchange,
CHICAGO STOCK EXCHANGE, INC. MARKET REGULATION DEPARTMENT INFORMATION MEMORANDUM
MR-16-11 CHICAGO STOCK EXCHANGE, INC. MARKET REGULATION DEPARTMENT INFORMATION MEMORANDUM RE: The Intermarket Surveillance Group Modifies Certain Electronic Blue Sheet Data Elements Effective December
COST BASIS REPORTING SERVICE CBRS TAX LOT INPUT (T)
COST BASIS REPORTING SERVICE CBRS TAX LOT INPUT (T) VERSION 1.0 JULY 31, 2017 Copyright 2017 by The Depository Trust & Clearing Corporation ( DTCC ). All rights reserved. This work (including, without
400 S. La Salle Chicago, IL Informational Circular IC10-48
400 S. La Salle Chicago, IL 60605 Informational Circular IC10-48 Date: February 9, 2010 To: CBOE Members From: CBOE Systems and Trading Operations Re: OSI - Options Symbology Initiative 1 OSI Overview
NATIONAL SECURITIES CLEARING CORPORATION RULES & PROCEDURES TEXT OF THE T2 CHANGES *
NATIONAL SECURITIES CLEARING CORPORATION RULES & PROCEDURES TEXT OF THE T2 CHANGES * Underlined and boldface text indicates new language Strikethrough and boldface text indicates deleted language * The
CF2/MQ Transmission Guides Dividend Record Date Position Statement (DIVRDP): Function User s Guide
CF2/MQ Transmission Guides 8.11 Dividend Record Date Position Statement (DIVRDP): Function User s Guide The Depository Trust Company November 2014 Copyright Copyright Copyright 2014 by The Depository Trust
Regulatory Notice 18-04
Regulatory Notice 18-04 Electronic Blue Sheet Submissions FINRA and ISG Announce Extension of Effective Date for Certain Electronic Blue Sheet Data Elements and Updates to Certain Requestor and Exchange
CHICAGO STOCK EXCHANGE, INC. MARKET REGULATION DEPARTMENT INFORMATION MEMORANDUM
MR-18-01 CHICAGO STOCK EXCHANGE, INC. MARKET REGULATION DEPARTMENT INFORMATION MEMORANDUM RE: ISG and FINRA Extend Effective Date for Certain Electronic Blue Sheet ( EBS ) Data Elements and Updates to
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:
DATATRAK SYSID : 32667 RECORD LENGTH : 80 RECORD TYPE : FIXED REVISION DATE : 3/23/12 RECORD 01 OF 32 Record Type 2 1 2 A/N REQ Always AT Physical Sequence Logical Sequence Transaction Type ACATS Control
CHICAGO STOCK EXCHANGE, INC. MARKET REGULATION DEPARTMENT INFORMATION MEMORANDUM
MR-16-01 CHICAGO STOCK EXCHANGE, INC. MARKET REGULATION DEPARTMENT INFORMATION MEMORANDUM RE: ISG and FINRA Extend Effective Date for Certain Electronic Blue Sheet ( EBS ) Data Elements Executive Summary
PERSHING STANDARD FILE LAYOUTS
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
Automated Customer Account Transfer Service (ACATS) Activity History Inquiry
U S E R M a n u a l Automated Customer Account Transfer Service (ACATS) Activity History Inquiry January, 2007 The Depository Trust & Clearing Corporation The primary purpose of this product guide is to
Entering Transactions and Prices In This Chapter
Entering Transactions and Prices In This Chapter Understanding Geneva Transactions and Prices.................................... 60 Entering Opening and Closing Transactions.......................................
CF2/MQ Transmission Guides Pledge Release Request Data Transmission (DTF/RLSERQ) via DTF: Function User s Guide Function User s Guide
CF2/MQ Transmission Guides 5.17 Pledge Release Request Data Transmission (DTF/RLSERQ) via DTF: Function User s Guide Function User s Guide The Depository Trust Company March 2015 Copyright Copyright Copyright
Regulatory Notice 13-38
Regulatory Notice 13-38 Electronic Blue Sheet Submissions FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements Effective Date: May 1, 2014 Executive Summary FINRA and the
Cost Basis Steering Committee Meeting Minutes June 18, 2013, Noon 1 p.m.
Cost Basis Steering Committee Meeting Minutes June 18, 2013, Noon 1 p.m. Meeting Attendees Ellen Bocina NFS Joan DiBlasi AFLAC Bob Linville Broadridge Kevin McCosker Pershing Lydia Midwood DTCC Tom St.
Important Notice National Securities Clearing Corporation
A#: 8657 P&S# 8232 DATE: DECEMBER 21, 2018 TO: ALL PARTICIPANTS ATTENTION: MANAGING PARTNER/OFFICER; OPERATIONS PARTNER/OFFICER; MANAGER P&S DEPARTMENT; MANAGER DATA PROCESSING;CASHIER FROM: SUBJECT: PRODUCT
EXCHANGE TRADED FUNDS (ETF)
EXCHANGE TRADED FUNDS (ETF) RECORD LAYOUT: ENHANCED ETF CREATE AND REDEEM INSTRUCTION PRINT IMAGE REPORT: AUTOROUTE PRODUCTION 02260291/PSE 02980291 JANUARY 25, 2018 Copyright 2018 by The Depository Trust
Distribution Side AN B = Both Original Receiver and Original Deliverer ACATS Control Number Asset Sequence Number
Record Type 1 1 1 A/N S = Settlement MRO Record Subtype 1 2 2 A/N T = Transfer Output A = Asset Output Record Length 4 3 6 NUM Transfer Output 475 Asset Output Option 620 Mutual Fund 650 Foreign 935 Insurance
BZX Exchange US Listings Corporate Actions Specification
BZX Exchange US Listings Corporate Actions Specification Version 1.0.12 October 17, 2017 Contents 1 Introduction... 3 1.1 Daily Listed Securities Report Overview... 3 1.2 Daily Distributions Report Overview...
A Comprehensive Reference Guide to your Consolidated Tax Statement
Formerly Clearview Correspondent Services, LLC. 1099-Consolidated Tax Statement 2012 Guide A Comprehensive Reference Guide to your 2012 1099 Consolidated Tax Statement This comprehensive and informative
Section 19(b)(3)(A) * Section 19(b)(3)(B) * Section 19(b)(2) * Rule. 19b-4(f)(1) 19b-4(f)(2) (Title *) Deputy General Counsel and Managing Director
OMB APPROVAL Required fields are shown with yellow backgrounds and asterisks. OMB Number: 3235-0045 Estimated average burden hours per response...38 Page 1 of * 23 SECURITIES AND EXCHANGE COMMISSION WASHINGTON,
Securities Safekeeping Guide
Securities Safekeeping Guide Effective: Jan, 22, 2016 Table of Contents 1) Overview... 3 Advantages of Securities Safekeeping Services... 3 Hours of Operation... 3 2) Services... 3 Security Trade Settlement...
Direct Edge Regulatory Notice #12-02: Enhancements to Electronic Blue Sheet Submissions
Published Date : 2/1/2012 Direct Edge Regulatory Notice #12-02: Enhancements to Electronic Blue Sheet Submissions Overview This Regulatory Notice (the Notice ) serves to inform Members of EDGA Exchange,
A Guide to Understanding Your Brokerage Account Statement
A Guide to Understanding Your Brokerage Account Statement Introduction Few documents allow you to monitor your financial activity as closely as your brokerage account statement. This report provides you
Enhanced Electronic Blue Sheet Submissions Updates Extension of Effective Date for Certain Data Elements
Regulatory Circular RC201525 TO: FROM: SUJECT: O Options Participants O Regulation Enhanced Electronic lue Sheet Submissions Updates Extension of Effective Date for Certain Data Elements DATE: November
Agreed-upon requirements for next phase of CBRS changes
Cost Basis Steering Committee Meeting Minutes November 5, 2013, Noon 1 p.m. I. Approval of October 22, 2013 Meeting Minutes The committee approved the minutes as written. II. Issues discussed The committee
2018 Consolidated 1099 Tax Statement
2018 Consolidated 1099 Tax Statement Furnished by Edward Jones for Taxable Brokerage Accounts Use this document to help understand your Consolidated 1099 Tax Statement from Edward Jones. The Consolidated
Dreyfus Lion Internet System SM User s Guide
Dreyfus Lion Internet System SM User s Guide Dreyfus Lion Internet System SM An internet-based application that provides users with account information, report capabilities and transaction processing.
INSITE Firm Data Filing Technical Specifications
INSITE Firm Data Filing Technical Specifications Last Revision: December 2017 1 Table of Contents 1. Introduction... 3 Definitions... 4 Rule Overview... 4 Technical Requirements... 4 2. System Access...
MFQS WEBSITE USER GUIDE (VERSION )
MFQS WEBSITE USER GUIDE (VERSION 2017-2) TABLE OF CONTENTS INTRODUCTION... 3 Overview... 3 Upcoming Releases... 3 Recent Releases... 3 Sign Up Process... 4 Issuers, Administrators and Pricing Agents...
INSITE Firm Data Filing Technical Specifications
INSITE Firm Data Filing Technical Specifications Last Revision: September 2018 Note revision was to replace fields inadvertently removed from spec. 1 Table of Contents 1. Introduction... 3 Definitions...
Agreed-upon requirements for next phase of CBRS changes
Cost Basis Steering Committee Meeting Minutes September 17, 2013, Noon 1 p.m. I. Approval of September 3, 2013 Meeting Minutes The committee approved the minutes as written. II. Issues discussed The five
*Revised 7/29/10 **Revised 8/23/10
A#: 7030 P&S# 6601 Date: JULY 21, 2010 To: ALL MEMBERS *Revised 7/29/10 **Revised 8/23/10 Attention: MANAGING PARTNER/OFFICER; OPERATIONS PARTNER/OFFICER; MANAGER, OPERATIONS; MANAGER P&S DEPARTMENT; MANAGER
Cash Dividend October 05, 2015
Cash Dividend October 05, 2015 Exchange/Memo ID: 203670 ONN / OCC ID: 37584 EQUINIX, INC. - STOCK DIVIDEND (ELECTION) Ex - Distribution : 10/06/2015 DESCRIPTION: Equinix, Inc. (EQIX) has declared an approximate
A Comprehensive Reference Guide to Your Consolidated Tax Statement
1099-Consolidated Tax Statement 2013 Guide A Comprehensive Reference Guide to Your 2013 1099-Consolidated Tax Statement This comprehensive and informative guide is a tool to assist you and your tax professional
NASDAQ Clearing Corporation Preliminary Universal Output Record
NASDAQ Clearing Corporation Preliminary Universal Output Record DESCRIPTION LENGTH TYPE COMMENTS EXPLANATION QUESTIONS Submitter Info Sending Firm ID 5 A/N Firm Identifier: MPID or Mnemonic Pass Thru:
CBRS User Guide. Cost Basis Reporting Service
Cost Basis Reporting Service User Guide March 2011 1 Revision History Date Version Description 07/30/2010 1.0 First edition. 09/15/2010 2.0 Second edition. Added new sections: 7 CBRS and WebDirect; 8 Joining
Options Symbology Initiative
Introduction A group of options industry professionals created a plan to overhaul the symbology used in representing listed option contracts in data transmissions between market constituents. The plan
ETF PORTFOLIO SERVICE A DTCC DATA SERVICES OFFERING
ETF PORTFOLIO SERVICE A DTCC DATA SERVICES OFFERING NON-CUSIP PORTFOLIO COMPOSITION FILE (PCF) FILE SPECIFICATION APRIL 16, 2018 Copyright 2018 DTCC. All rights reserved. This work (including, without
Regulatory Circular RG11-165
Regulatory Circular RG11-165 ted: Indent: Left: 4", Space Before: 0 pt To: Trading Permit Holders (TPH) TPH organizations From Regulatory Services Division Date: December 21, 2011 RE: CBOE, CBSX and ISG
CCF/CCF-II/MDH Transmission Guides Direct Registration System - Data Transmission Facility CCF File: DRSPRO User s Guide
CCF/CCF-II/MDH Transmission Guides 14.16 Direct Registration System - Data Transmission Facility CCF File: DRSPRO User s Guide The Depository Trust Company May 2008 Copyright 2008 by The Depository Trust
Consolidated 1099 Summary Information The information that is summarized on the Forms 1099 referenced below is provided to the IRS.
The Consolidated Tax Statement ( Statement ) provides you with all of your Forms 1099 (i.e., 1099-B, 1099-DIV, etc.) information in one document. The Statement begins with a summary of the Form 1099 information
Trading. The screens shown are for illustration purposes only. Streetscape, mystreetscape, and BondTraderPro are registered trademarks of FMR Corp.
Introduction... 1 Accessing Trading Functions... 2 Selecting Accounts... 2 Using Order Lists... 3 Entering an Equity Order... 5 Optional Fields on the Equity Order Ticket... 7 Entering a Mutual Fund Order...
NYSE AMERICAN OPTIONS / NYSE ARCA OPTIONS GEMS BATCH / ONLINE EXTRACT LAYOUT (700 BYTES)
NYSE AMERICAN OPTIONS / NYSE ARCA OPTIONS GEMS BATCH / ONLINE EXTRACT LAYOUT (700 BYTES) 1 Extract Number 10 1 N* NA Transmission Sequence Number 2 OCC Sequence Number 10 11 N* 3 Event ID 32 21 A/N NA
Ginnie Mae MBS Loan-Level Disclosure Definitions Version 1.2
The following four sections provide the definitions, calculations, and descriptions of the data elements under Ginnie Mae s MBS Loan-Level Disclosure: Section # Section Name 1 Definition of Terms 2 Definitions
Weiner Borse Equity Trade and Quote Data File Format Document Version 1.1
Weiner Borse Equity Trade and Quote Data File Format Document Version 1.1 Weiner Borse Equity Trade and Quote Dataset, v1.1 Page 1 of 8 1.0 Trade Data 12/12/2016,09:00:50.509,12/12/2016,09:00:50.340,6300,27.81,117,1,2,6,
FOR PROFESSIONAL USE ONLY. NOT FOR DISTRIBUTION TO THE PUBLIC.
The s Engine Order Management, Trade Change Management and Annuity s USER GUIDE February 2013 THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION AND IS FOR THE GENERAL GUIDANCE OF FIRMS UNDER CONTRACT WITH
London Stock Exchange Derivatives Market
London Stock Exchange Derivatives Market LSEDM 401 HSVF Market Data Technical Specification (SOLA 9) Issue 9.0.1 16 September 2016 Contents 2.0 Introduction 6 7.1 Message Type F: Option Quote 22 7.2 Message
The Bermuda Securities Depository (BSD) Participants User Guide WEB VERSION
The Bermuda Securities Depository (BSD) Participants User Guide WEB VERSION October 2017 Table of Contents INTRODUCTION... 1 LEGAL STRUCTURE... 5 PARTICIPANTS... 7 SYSTEM... 10 ACCOUNTS... 12 TRADING...
COST BASIS REPORTING SERVICE CBRS ASSET INPUT (A)
COST BASIS REPORTING SERVICE CBRS ASSET INPUT (A) VERSION 1.0 JULY 31, 2017 Copyright 2017 by The Depository Trust & Clearing Corporation ( DTCC ). All rights reserved. This work (including, without limitation,
London Stock Exchange Derivatives Market
London Stock Exchange Derivatives Market LSEDM 401 HSVF Market Data Technical Specification (SOLA 11) Issue 5.1 31 March 2017 Contents 1.0 Introduction 6 6.4 Message Type ES: Instrument Schedule Notice
Santander Connect Bacs payment import specification. Page 1 of 7
Santander Connect Bacs payment import specification Page 1 of 7 Page 2 of 7 Contents 1 Importing payments 3 2 Payment layout specification 4 2.1 Header and Trailer Records 4 2.2 Payment Record 5 3 Payment
Warsaw Stock Exchange Equity Trade and Quote Data File Format Document Version 1.0
Warsaw Stock Exchange Equity Trade and Quote Data File Format Document Version 1.0 Warsaw Equity Trade and Quote Dataset, v1.0 Page 1 of 7 1.0 Trade Data 12/09/2016,09:00:00.078,12/09/2016,09:00:00.006,1,118.00,2,0,
CF2/MQ Transmission Guides. ID Net Deliver Order Output (20.18)
CF2/MQ Transmission Guides ID Net Deliver Order Output (20.18) The Depository Trust and Clearing Company July 2016 Copyright Copyright Copyright 2016 by The Depository Trust & Clearing Corporation ( DTCC
Mastercard Incorporated Class B Common Stock Conversion and Sale Instruction Form
Mastercard Incorporated Class B Common Stock Conversion and Sale Instruction Form For Internal Use Only: Create as Ownership Change Restricted Issue # MCA2 NOTE: Fields containing an asterisk (*) are required.
Options Symbology Plan
Introduction A group of options industry professionals created a plan to overhaul the symbology used in representing listed option contracts in data transmissions between market constituents. The plan
15.02 Lead Underwriter/Syndicate Member Flipping Activity File (IPOLUW/IPOSYN) via CCF/CCF-II: Function User s Guide
CCF/CCF-II/MDH Transmission Guides 15.02 Lead Underwriter/Syndicate Member Flipping Activity File (IPOLUW/IPOSYN) via CCF/CCF-II: Function User s Guide The Depository Trust Company August 1998 ( DTC ).
Nasdaq Fund Network Data Service
Nasdaq Fund Network Data Service Version: 2018-3 Revised: May 22, 2018 Distributed by: Nasdaq Global Information Services 805 King Farm Boulevard, Suite 200 Rockville, MD 20850 Phone: +1 301 978 5307 E-mails:
SETTLEMENT 5.11DR-DISASTER RECOVERY SETTLEMENT PARTICIPANT ACTIVITY (DTFMTX) FUNCTION USER S GUIDE
SETTLEMENT 5.11DR-DISASTER RECOVERY SETTLEMENT PARTICIPANT ACTIVITY (DTFMTX) FUNCTION USER S GUIDE OCTOBER 2, 2018 5.11DR-Disaster Recovery Settlement Participant Activity Copyright 2018 by The Depository
A Guide to Understanding Your Brokerage Account Statement
A Guide to Understanding Your Brokerage Account Statement 2016 Introduction Few documents allow you to monitor your financial activity as closely as your brokerage account statement. This report provides
NYSE GROUP MASTER FILE CLIENT FILE LAYOUT
NYSE GROUP MASTER FILE CLIENT FILE LAYOUT NYSE NYSE MKT NYSE Arca Amex Options Arca Options NYSE Bonds Version Date 1.0 August 19, 2015 2015 NYSE. All rights reserved. No part of this material may be copied,
1,500,000* Credit Suisse X-Links Silver Shares Covered Call ETNs due April 21, 2033**
Pricing Supplement No. ETN-7/A6 To the Prospectus Supplement dated June 30, 2017 and the Prospectus dated June 30, 2017 Filed Pursuant to Rule 424(b)(2) Registration Statement No. 333-218604-02 June 30,
CashPro Online Getting Started Guide. Investments
CashPro Online Getting Started Guide Investments Table of Contents Introduction...3 Accessing CashPro Invest...3 Researching Mutual Funds, Holdings, and Bank Liability Rates...5 Order Entry...7 Submitting
National Securities Clearing Corporation
U S E R G U I D E National Securities Clearing Corporation ACATS- Fund/SERV November, 2007 Table of Contents Introduction... 1 Purpose of Document... 1 Background... 1 Time Period... 1 Walkthrough of a
Electronic Filing Instructions Polycom, Inc. Settlement
I. Important Notes PLEASE READ Electronic Filing Instructions Polycom, Inc. Settlement In order to be considered eligible for this settlement, you must have purchased or acquired Polycom Common Stock (CUSIP:
Forex, Futures & Option Basics: Chicago-NW Burbs Trading Club. Nick Fosco Sep 1, 2012
Forex, Futures & Option Basics: Chicago-NW Burbs Trading Club Nick Fosco Sep 1, 2012 Agenda: Forex Market Futures Market Options Part 1 Networking Break Options Part 2 Forex Market Currency pair trading
The Securities Industry and Financial Markets Association
6. Confirmations Chapter 6 Confirmations A. Introduction In general, a confirmation is a notification that sets forth the basic terms and details of a securities transaction between counterparties. Among
DISCLOSURE REGARDING IB PROCEDURES FOR ALLOCATING EQUITY ASSIGNMENT NOTICES FROM OCC
DISCLOSURE REGARDING IB PROCEDURES FOR ALLOCATING EQUITY ASSIGNMENT NOTICES FROM OCC Stand: 1.5.218 Disclosure regarding Interactive Brokers` procedures for allocating Equity Option Assignment notices
Special Enquire Functions
Special Functions FUNCTION NAME: ENQUIRE DUE/OVERDUE POSITIONS WHEN TO USE: - To enquire on the summary/details of a stock s due/overdue positions. The function helps prepare for settlement. AVAILABLE
A Comprehensive Reference Guide to Your Consolidated Tax Statement
1099-Consolidated Tax Statement 2015 Guide A Comprehensive Reference Guide to Your 2015 1099-Consolidated Tax Statement This comprehensive and informative guide is a tool to assist you and your tax professional
HEALTH SAVINGS ACCOUNT (HSA) INVESTMENT PORTAL GUIDE
HEALTH SAVINGS ACCOUNT (HSA) INVESTMENT PORTAL GUIDE Table of Contents HOME PAGE... 3 Menu Bar... 3 Welcome to your HSA Investment Account... 3 Your Investment Portfolio... 3 Your Investment Elections:...
(c)(2)(iv) DEFINITIONS; NET CAPITAL: ASSETS NOT READILY CONVERTIBLE INTO CASH (continued)
(c)(2)(iv) DEFINITIONS; NET CAPITAL: ASSETS NOT READILY CONVERTIBLE INTO CASH (continued) 319 (E) OTHER DEDUCTIONS All other unsecured receivables; all assets doubtful of collection less any reserves established
NASDAQ OMX Global Index Data Service SM
NASDAQ OMX Global Index Data Service SM Version: 2009-2 Revised: September 25, 2009 Distributed by: NASDAQ OMX Global Data Products 9600 Blackwell Road, Suite 500 Rockville, MD 20850, USA Phone: +1 301
ETF PORTFOLIO SERVICE A DTCC DATAPRO OFFERING
ETF PORTFOLIO SERVICE A DTCC DATAPRO OFFERING EXCHANGE TRADED FUNDS (ETF) - FAQS AND FILE DEFINITIONS NOVEMBER 06, 2017 This document outlines Frequently Asked Questions and provides file definitions for
Derivatives List for the Next Trading Date
Page 1 of 9 Record Type 01: Header 1 Record Type 2 9(2) Value = 01 2 Filler 4 9(4) Zeroes 3 T.A.S.E. File ID 2 9(2) Value = 96 4 Date 6 9(6) YYMMDD 5 Version 2 9(2) 6 Filler 10 X(10) Zeroes 7 Valid Date
2001 Spring Road, Suite 700 Oak Brook, Illinois For the Account of: LEHMAN IRAT, KENNETH M
If you have any questions please contact your Investment Advisor For all of us, life is a continuing process of change - marriage, a new home, a new job, divorce and death. If your name, marital status
A Comprehensive Reference Guide to Your Consolidated Tax Statement
1099-Consolidated Tax Statement 2014 Guide A Comprehensive Reference Guide to Your 2014 1099-Consolidated Tax Statement This comprehensive and informative guide is a tool to assist you and your tax professional
COST BASIS REPORTING SERVICE CBRS USER GUIDE
COST BASIS REPORTING SERVICE CBRS USER GUIDE VERSION 7.0 JANUARY 24, 2018 TABLE OF CONTENTS 1. About This User Guide... 8 2. General Information... 9 Scope of the System: Transfer of Information Only...9
Fixed Income Clearing Corporation
Fixed Income Clearing Corporation MBSD TMPG Monthly Recap Report 1. Overview (Note: This report is similar to the existing Dealer or Broker Commission Report) The MBSD TMPG Monthly Recap Report is produced
RMB Equity Trading Support Facility (TSF) Participants Briefing August 2011
RMB Equity Trading Support Facility (TSF) Participants Briefing August 2011 Agenda Overview of the TSF Model Input TSF FX Orders TSF FX Rates TSF FX Settlement TSF Share Handling TSF Simulation Test Q