PERSHING STANDARD FILE LAYOUTS
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1 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 STATUS (Y/N) ACU Already Cleaned Up N APR Approved N ARC Already Reclaimed N ARD Awaiting Release Date Y ARJ Automatic Reject Y ARV Already Reversed N CLN Complete Transfer of Assets N CLS Processed Y CNC Cancelled Y FRV Asset Reversed N FWD Forwarded Y GCL Asset Send to GCLR N MCL Multiple Close Y MEM Pending Memo Y MFC Asset Cleaned Up N MGN Intraday Margin Check Fail Y MLT Multiple Y MMT Mismatch N MNL Manual N MPD Multiple Pending Y MRV Multiple Review Y NEW New Y NRL Not Released Y PAE Post Approval Exception Y PAP Pending Reject Y PDR Pending Reconciliation N PER Pershing Purged Y PND Pending Trade Y POC Pending OFAC Scan Y POF COB Partial or Full Y POM COB Closed Y PPW Pending Paperwork Y PRG Purged Y RAP Request Adjust Past Y RCL Reclaimed N REJ Rejected Y REL Released Y REQ Request Y RER Review Error Y REV Review Y 2017 Pershing LLC Page 1 Status Codes
2 TRANSFER STATUS (Y/N) RNC Reconciled N ROV Violation Accepted by Margin Y RQA Request Adjust Y RQP Request Past Y RQR Request Reject Y RVA Review Adjust Y RVX Review Accelerated Y SBD Same Broker Dealer Y SEA Settlement Exception Approve N SER Settlement Exception Reject N SET Settling Y TEJ Requested Rejected Y VAL Validated Y VIO Margin Violation Y NSCC Account Type: 4B 4K 5P 7B AG BC BI BR CO CT CU DR EI ES HS IR JT MS OT QP RI SI SN TR 403B Plan 401k Plan 529 Plan 457 Plan Agent Bank Collateral Account Beneficiary Beneficiary Roth IRA Corporation Co-Trustee Custodian Direct Rollover Educational IRA Estate Health Savings Account IRA Joint Medical Savings Other Qualified Plan/Profit Sharing/Pension Roth IRA Simple IRA Individual Trust 2017 Pershing LLC Page 2 Status Codes
3 NSCC Status: CLS PRG RAP REJ RER REQ REV RQA RQP RQR RVA RVX SET Closed (completed) Purge Request Adjust Past Rejected Review Error Request Review Request Adjust Request Past Request Reject Request Adjust Review Accelerate Settle Prep Reason Code for Reject (for NSCC Transactions Record A, pos ; Records C and E, pos ; Record D, pos ) 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needed 04 Account flat 05 Invalid account number 06 Duplicate 07 Account in distribution or transfer 08 Client rescinded 09 Missing authorization signature 21 Violates receivers credit policy 22 Reject of a residual credit 23 Reject of a partial transfer 24 Reject of a fail reversal 25 Reject of a reclaim 26 Reject of a custody redelivery 27 Mutual Fund cleanup reject Not Rejected 2017 Pershing LLC Page 3 Status Codes
4 Reject Codes for Non-NSCC transactions (Records B and E, pos ) 01 Clients most recent statement is missing and required 02 Delivering firm account number is missing 03 Name/address of current custodian is missing 04 Delivering firm account is flat 05 Delivering firm account number is invalid 06 Provide name/address of delivering firm 08 Specification of clarification of disposition of assets needed; only one box may be checked 09 Client should liquidate any assets and this transfer should be sent via ACATS 10 Client signature missing 11 Joint account; both signatures required 12 Successor custodian acceptance signature must be provided 13 Photocopies cannot be used when transferring from this institution; original signatures required 14 Certificates held by client 15 Invalid transfer form 16 Client must contact delivering firm, instruct them to liquidate desired positions, and submit this form for cash amount desired 17 CD transfers are not accepted for processing prior to 30 days from the date of maturity; resubmit 30 days prior to maturity 18 Indicate if CD should be liquidated immediately regardless of penalties or at maturity 19 These assets cannot be held on Pershing s books; therefore they cannot be transferred in kind 20 Other (please contact Pershing s Non-ACAT Department) 21 Submit list of assets that are to transfer to Pershing 22 Additional paperwork required 2017 Pershing LLC Page 4 Status Codes
5 NSCC Method of Delivery Code for Asset Records CNS Continuous Net Settlement Delivery BOOK Bookkeeping PTC Participant Trust Company GSCC Government Securities Clearing Corporation DTC Depository Trust Company NDEL Non-Delivery EXPO Expiring Option OPT Option USEC Underlying Security CASH Cash RSEC Restricted Security SFK Safekeeping XCNS Extended NSET System Derived Outside CNS, DTC, Fund/SERV FCUR Foreign Currency DDEL Delayed Delivery IPS Insurance Processing Service UNKN Unknown 2017 Pershing LLC Page 5 Status Codes
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
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
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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
FIELD NAME LENGTH START END TYPE COMMENTS
ACATS OUTPUT POSITION AUTOROUTE PRODUCT ID: 02090724 RECORD LENGTH:80 RECORD TYPE : FIXED REVISION DATE : 05/30/2013 RECORD 01 OF 103 Record Subtype 1 2 2 A/N T = Transfer Output A = Asset Output F = Fund
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