PERSHING STANDARD FILE LAYOUTS
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1 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 DESCRIPTION The Outgoing ACAT Transfers file (ACAT) contains the outgoing ACAT transfer information, including asset account information that is transmitted to the National Securities Corporation (NSCC). FILE LAYOUT SPECIFICATIONS HEADER RECORD X(18) AN Literally BOF PERSHING (beginning of Pershing file) X(18) AN Literally ACAT TRANSFERS 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(08) AN RUN DATE = CCYYMMDD X(03) AN Not Used X(08) AN RUN TIME = HH:MM:SS X(26) AN Not Used X(01) AN Literally A ; indicates the end of the header record DETAIL RECORD A X(01) AN RECORD INDICATOR VALUE = A Page 1 Outgoing ACAT Transfers 07-07
2 (06) N LITERALLY RECORD ID SEQUENCE NUMBER BEGINNING WITH X(09) AN ACCOUNT NUMBER INCLUDING OFFICE (3); BASE ACCOUNT NUMBER (5); CHECK DIGIT (1) X(03) AN TRANSFER TYPE; acceptable values include: CRD = Custody Redeliver FUL = Full Transfer PTD = Partial Delivery Initiated PTR = Partial Transfer RCL = Reclaim RCR = Residual Transfer FRV = Failed Reversal X(06) AN Not Used = Not Applicable (08) N CONTROL NUMBER X(03) AN TRANSFER STATUS; acceptable values include: CLS = Closed (completed) MGN = Intraday Margin Check Fail NRL = Not Released PRG = Purge RAP = Request Adjust Past REJ = Rejected RER = Review Error REQ = Request REV = Review RQA = Request Adjust RQP = Request Past RQR = Request Reject RVA = Request Adjust RVX = Review Accelerate SBD = Same Broker Dealer SET = Settlement (next day the assets will be received) VAL = Validated X(01) AN Not Used X(15) AN CONTRA ACCOUNT NUMBER IN DISPLAY FORMAT X(08) AN SHORT NAME X(01) AN DISCLOSED/OMNIBUS INDICATOR; acceptable values include: D = Disclosed O = Omnibus X(01) AN ACCOUNT CLASS INDICATOR; acceptable values include: BLANK = Nonretirement Account (cont.) Page 2 Outgoing ACAT Transfers 07-07
3 B = Retirement Account (see field 068 for type) X(01) AN IRA TYPE INDICATOR; acceptable values include: 1 = IRA for which Pershing LLC is the Custodian 2 = IRA for which Pershing LLC is not the Custodian 3 = IRA where Pershing acts as a servicing agent X(01) AN Not Used X(51) AN CUSTOMER NAME X(11) AN Not Used DETAIL RECORD B X(01) AN RECORD INDICATOR VALUE = B (06) N ID SEQUENCE NUMBER BEGINNING WITH X(09) AN ACCOUNT NUMBER INCLUDING OFFICE (3); BASE ACCOUNT NUMBER (5); CHECK DIGIT (1) X(03) AN PARTIAL TRANSFER INDICATOR; acceptable values include: CRD = Custody Redeliver FUL = Full Transfer PTD = Partial Delivery Initiated PTR = Partial Transfer RCL = Reclaim RCR = Residual Transfer FRV = Failed Reversal X(06) AN Not Used = Not Applicable X(09) AN SOCIAL SECURITY NUMBER X(01) AN NSCC ACCOUNT TYPE; acceptable values include: B = Corporate C = Custodian E = Estate I = IRA J = Joint O = Other Q = Qualified R = Rollover S = Single T = Trust Page 3 Outgoing ACAT Transfers 07-07
4 X(03) AN NSCC STATUS (02) N NUMBER OF DAYS IN NSCC STATUS (02) N NUMBER OF DAYS IN PERSHING STATUS (02) N Not Used X(08) AN Not Used X(01) AN WRAP ACCOUNT INDICATOR; acceptable values include: W = Wrap Account N = Nonwrap Account X(09) AN Not Used X(01) AN SOCIAL SECURITY FLAG; acceptable values include: Y = Valid Social Security Number N = Invalid Social Security Number X(01) AN Not Used X(01) AN REJECT STATUS X(02) AN REASON CODE FOR REJECT; acceptable values include: 00 = Not Rejected 01 = Social Security Number/Tax ID Mismatch 02 = Account Title Mismatch 03 = Documentation Needed 04 = Account Flat 05 = Invalid Account Number 06 = Duplicate 07 = Account in Distribution or Transfer 08 = Client Rescinded 09 = Missing Authorization Signature 21 = Account Violates Credit Policy of Receiving Firm 22 = Unrecognized for Residual Credit Balance 23 = Partial Transfer (Deliverer Initiated) Rejected 24 = Fail Reversal Reject 25 = Reclaim Reject 27 = Mutual Fund Cleanup Reject = Other X(09) AN Not Used X(08) AN USER ID THAT SUCCESSFULLY UPDATED X(04) AN TERMINAL ID X(01) AN Not Used X(04) AN CONTRA BROKER X(09) AN Not Used X(01) AN INITIAL STATUS REPORT (09) N NSCC SOCIAL SECURITY NUMBER X(23) AN Not Used Page 4 Outgoing ACAT Transfers 07-07
5 DETAIL RECORD C X(01) AN RECORD INDICATOR VALUE = C (06) N ID SEQUENCE NUMBER BEGINNING WITH X(09) AN ACCOUNT NUMBER INCLUDING OFFICE (3); BASE NO. (5); CHECK DIGIT (1); BASE ACCOUNT X(09) AN CUSIP NUMBER; (if available/applicable) X(01) AN SYSTEM CODE; acceptable values include: C = Represents NSCC Regulatory Code X(04) AN DELIVERING BROKER X(04) AN RECEIVING BROKER X(08) AN DTC CONTROL NUMBER; unique number assigned to a transfer during each calendar year X(01) AN ASSET TYPE INDICATOR; acceptable values include: 0 = Nonoption 1 = Equity Option 2 = Nonequity Option (NOTE: if this field contains a 1 please follow the alternate file layouts for fields in positions ) X(01) AN Not Used X(01) AN NSCC TRANSACTION CODE; acceptable values include: = Add C = Change D = Delete X(04) AN NSCC Sequence Number X(01) AN CASH MARGIN INDICATOR; acceptable values includes C = Cash M = Margin S = Short X(02) AN SECURITY CATEGORY CODE; acceptable values include: OO = Other Security Category CB = Bond Domestic Foreign CD = CD or Commercial Paper ES = Stock Domestic Foreign GB = Bond US Government LP = Limited Partnership MB = Bond Municipal MF = Mutual Fund MO = Mortgage Backed OT = Other UN = Unit Investment Trust (cont.) Page 5 Outgoing ACAT Transfers 07-07
6 ZC = Bond Zero Coupon Blank = Not Applicable X(09) AN Not Used X(01) AN LONG/SHORT INDICATOR; acceptable values include: S = Safekeeping T = Transfer Short 0 = Position Long 1 = Position Short Blank = Not Applicable (13)v9(05) N QUANTITY X(01) AN NSCC METHOD OF DELIVERY CODE; acceptable values include: BLANK = Regular Delivery 0 = Noncontinuous Net Settlement (CNS) Delivery 1 = Continuous Net Settlement (CNS) Delivery 2 = X-Continuous Net Settlement Delivery (broker elects to exclude from the CNS system) 3 = Delayed Delivery 4 = Nondelivery 5 = Safekeeping Delivery 7 = Mutual Fund Bookkeeping Delivery 8 = Credit Balance Delivery 9 = Debit Balance Delivery M = Memo Delivery S = Special Memorandum Account Delivery X(01) AN Not Used (09)v9(02) N MARKET VALUE X(30) AN SECURITY DESCRIPTION LINE X(03) AN Not Used ALTERNATE DETAIL RECORD C LAYOUT FOR OPTION RECORDS (SEE POSITIONS ) (04) N QUANTITY; National Securities Clearing Corporation (NSCC) option quantity X(06) AN Not Used X(01) AN NSCC Option; acceptable values include: P = Put C = Call X(06) AN NSCC OPTION SYMBOLS X(01) AN Not Used Page 6 Outgoing ACAT Transfers 07-07
7 (03) N OPTION EXPIRATION DATE = MMY ; Y = LAST DIGIT OF DECADE (03) N OPTION EXERCISE PRICE X(41) N Not Used DETAIL RECORD D X(01) AN RECORD INDICATOR VALUE = D (06) N ID SEQUENCE NUMBER BEGINNING WITH X(09) AN ACCOUNT NUMBER INCLUDING OFFICE (3); BASE ACCOUNT (5); CHECK DIGIT (1) X(09) AN CUSIP NUMBER; If option record this field will be equal to space X(90) AN SECURITY DESCRIPTION LINE TWO X(11) AN Not Used TRAILER RECORD X(18) AN Literally EOF PERSHING (end of Pershing file) X(18) AN Literally ACAT TRANSFERS 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 RECORD COUNT X(16) AN Not Used X(01) AN Literally Z ; indicates the end of the trailer record Page 7 Outgoing ACAT Transfers 07-07
PERSHING STANDARD FILE LAYOUTS
APPENDIX T: ASSET & TRANSFER STATUS S Asset & Transfer Status Codes (all are asset statuses; transfer status indicated in the Transfer Status Column) USED IN THE FOLLOWING STANDARD FILE: ACA2 TRANSFER
PERSHING STANDARD FILE LAYOUTS
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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
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PERSHING STANDARD FILE LAYOUTS
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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
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
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
PERSHING STANDARD FILE LAYOUTS
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FIELD NAME LENGTH START END TYPE COMMENTS
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