PERSHING STANDARD FILE LAYOUTS
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1 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 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. Page 1 Global Customer Position 08-09
2 FILE LAYOUT SPECIFICATIONS HEADER RECORD X(18) AN Literally BOF PERSHING (beginning of Pershing file) X(18) AN Literally GLOBAL CUST POS 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 X(01) AN Literally A ; indicates the end of the header record 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); acceptable values for TYPE 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 Page 2 Global Customer Position 08-09
3 X(03) AN INVESTMENT PROFESSIONAL OF RECORD NUMBER X(03) AN INTRODUCING BROKER DEALER NUMBER (IBD) X(01) AN CURRENCY/SECURITY POSITION INDICATOR; acceptable values 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; acceptable values (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: acceptable values (13)v9(05) N SEG QUANTITY (MEMO); the securities held in street name X(01) AN SEG QUANTITY SIGN; acceptable values (13)v9(05) N SAFEKEEPING QUANTITY (MEMO); number of shares registered in the customer s name X(01) AN SAFEKEEPING QUANTITY SIGN; acceptable values (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; acceptable values Page 3 Global Customer Position 08-09
4 (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 (13)v9(05) N LEGAL TRANSFER QUANTITY; the number of shares awaiting clearance at the transfer agent X(01) AN LEGAL TRANSFER QUANTITY SIGN; acceptable values (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; acceptable values (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; acceptable values (13)v9(05) N SHORT AGAINST THE BOX QUANTITY (MEMO) X(01) AN SHORT AGAINST THE BOX QUANTITY SIGN; acceptable values (13)v9(05) N NETWORKED QUANTITY (MEMO) X(01) AN NETWORKED QUANTITY SIGN; acceptable values (13)v9(05) N PENDING SPLIT QUANTITY (MEMO); quantity of the security that is subject to a pending stock distribution Page 4 Global Customer Position 08-09
5 X(01) AN PENDING SPLIT QUANTITY SIGN; acceptable values (cont.) (13)v9(05) N QUANTITY COVERING OPTIONS or COVERED QUANTITY X(01) AN QUANTITY COVERING OPTIONS or COVERED QUANTITY SIGN; acceptable values (13)v9(05) N TRADE DATE QUANTITY BOUGHT X(01) AN TRADE DATE QUANTITY BOUGHT SIGN; acceptable values (13)v9(05) N TRADE DATE QUANTITY SOLD X(01) AN TRADE DATE QUANTITY SOLD SIGN; acceptable values REQUIREMENTS (16)v9(02) N FED (REG T) REQUIREMENT X(01) AN FED REQUIREMENT SIGN; acceptable values (16)v9(02) N HOUSE (PERSHING) MARGIN REQUIREMENT X(01) AN HOUSE MARGIN REQUIREMENT SIGN; acceptable values (16)v9(02) N EXCHANGE (NYSE) REQUIREMENT X(01) AN EXCHANGE REQUIREMENT SIGN; acceptable values Page 5 Global Customer Position 08-09
6 (16)v9(02) N EQUITY REQUIREMENT X(01) AN EQUITY REQUIREMENT SIGN; acceptable values SELECTED SECURITY INFORMATION X(09) AN SECURITY SYMBOL X(01) AN SECURITY TYPE; see Appendix B, Security Code Matrix X(01) AN 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 NETWORK ELIGIBILITY INDICATOR (09)v9(09) N STRIKE PRICE X(01) AN STRIKE PRICE SIGN; acceptable values (08) N EXPIRATION/MATURITY DATE = CCYYMMDD (13)v9(5) N CONTRACT SIZE (09)v9(9) N CONVERSION RATIO SELECTED CUSTOMER ACCOUNT INFORMATION (for positions ) X(10) AN ACCOUNT SHORT NAME X(03) AN STATE CODE 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 X(20) AN DESCRIPTION LINE X(20) AN DESCRIPTION LINE X(20) AN DESCRIPTION LINE X(01) AN DIVIDEND OPTION; acceptable values C = Cash R = Reinvest X(01) AN LONG TERM CAPITAL GAINS OPTION (MF only); acceptable values C = Cash R = Reinvest Page 6 Global Customer Position 08-09
7 X(01) AN SHORT TERM CAPITAL GAINS OPTION; acceptable values C = Cash R = Reinvest X(01) AN FIRM TRADING INDICATOR X(03) AN POSITION CURRENCY (15)V9(03) AN TRADE DATE LIQUIDATING VALUE X(01) AN TRADE DATE LIQUIDATING VALUE SIGN; acceptable values + = Long Market Value = Short Market Value (02)V9(08) AN POOL FACTOR X(01) AN POOL FACTOR SIGN; acceptable values (08)V9(10) AN EXCHANGE RATE X(01) AN EXCHANGE RATE SIGN; acceptable values (15)v9(03) N SETTLEMENT DATE LIQUIDATING VALUE X(01) AN SETTLEMENT DATE LIQUIDATING VALUE SIGN; acceptable values + = Long Market Value = Short Market Value X(03) AN For Internal Pershing Use (Display Currency) X(01) AN ALTERNATE SECURITY ID TYPE, acceptable values I = ISIN X(12) AN ALTERNATE SECURITY ID X(01) AN Not Used X(01) AN END OF RECORD DELIMITER X Page 7 Global Customer Position 08-09
8 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 ACCOUNT NUMBER (5); CHECK DIGIT (1); TYPE (1); (see Record A, , for acceptable values for TYPE) 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) (13)v9(05) N FULLY PAID LENDING QUANTITY X(01) AN FULLY PAID LENDING QUANTITY SIGN; acceptable values (15)v9(03) N FULLY PAID LENDING QUANTITY COLLATERAL AMOUNT X(01) AN FULLY PAID LENDING QUANTITY COLLATERAL AMOUNT SIGN; acceptable values 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 (not all fields will be populated until February, 2010) X(06) AN OPTION ROOT ID (06) N EXPIRATION DATE, in YYMMDD format X(01) AN CALL/PUT Indicator, acceptable values 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 X(637) AN Not Used X(01) AN END OF RECORD DELIMITER X Page 8 Global Customer Position 08-09
9 TRAILER RECORD X(18) AN Literally EOF PERSHING (end of Pershing file) X(18) AN Literally GLOBAL CUST POS 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(34) AN Literally ENDS HERE. 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 Global Customer Position 08-09
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