Distribution Side AN B = Both Original Receiver and Original Deliverer ACATS Control Number Asset Sequence Number

Transcription

1 Record Type A/N S = Settlement MRO Record Subtype A/N T = Transfer Output A = Asset Output Record Length NUM Transfer Output 475 Asset Output Option 620 Mutual Fund 650 Foreign 935 Insurance 1813 All Others 535 Physical Sequence Logical Sequence NUM NUM 01 Distribution Side AN B = Both and Deliverer ACATS Control Asset Sequence A/N Format is CCYYDDDNNNNNNN NUM Processing Date A/N Format is CCYYMMDD Filler A/N Reserved for future use spaces Distribution Participant A/N Filler A/N Reserved for future use spaces Status A/N 300 = Settle Prep 310 = Settle Close Days in Status A/N Filler A/N Reserved for future use spaces Settlement Date A/N Format is CCYYMMDD Settlement Timing Value/Free Debit/Credit A/N 1 = Next Day 2 = 2 Days 3 = 3 Days A/N V = Valued F = Free A/N C = Credit D = Debit Filler A/N Reserved for future use spaces Data Area for Transfer Output TI Record Type A/N TI Used when record subtype is 'T' Filler A/N Reserved for future use spaces Page 1 of 12

2 TI ACATS Control A/N Format is CCYYDDDNNNNNNN TI Transfer Type A/N FRV = Fail Reversal (broker to broker only) FUL = Full Transfer MFC = Mutual Fund Cleanup PTD = Partial Transfer (Deliverer) PTF = Position Transfer Fund (Firm to Fund only) PTR = Partial Transfer () RCL = Reclaim RCR = Residual Credit Filler A/N Reserved for future use spaces TI A/N Filler A/N Reserved for future use spaces TI Deliverer Customer Account Customer Account Name Customer SS /Tax ID Primary Customer SS /Tax ID Secondary A/N A/N A/N A/N A/N Page 2 of 12

3 Customer Account Type Gift / Donation A/N 4B = 403B 4K = 401K 5P = 529 Plan 7B = 457 Plan AG = Agency BC = Bank Custody BI = Beneficiary BR = Beneficiary Roth IRA CO = Corporate CT = Co-Trustee CU = Custodian (UGMA) DR = Direct Rollover EI = Coverdell IRA (name change from Educational IRA account) ES = Estate HS = Health Savings Account IR = IRA JT = Joint MS = Medical Savings Account OT = Other QP = Qualified / Profit Sharing/Pension RI = Roth IRA SI = Simple IRA SN = Single SS = SARSEP TR = Trust A/N 0 = No, transfer is not gift / donation 1 = Yes, transfer is gift / donation Filler A/N Reserved for future use spaces OCC Broker A/N Filler A/N Reserved for future use spaces Correspondent A/N Filler A/N Reserved for future use spaces Contra Participant Type Deliverer Customer Account A/N Values: A/N 1 Bank 2 Broker 3 Fund 4 Insurance Company 5 Trust Page 3 of 12

4 Transfer Type Reject Associated ACATS Control Associated Settlement Date TI Transaction Reference ID Comments (Text) A/N 00 = Not Rejected A/N Format is CCYYDDDNNNNNNN A/N Format is CCYYMMDD A/N A/N Filler A/N Reserved for future use spaces Data Area for Asset Transfer (AT) AT Record Type A/N AT Foreign Security Trade Date Used when Asset Transfer (AT) record exists A/N Populated only when the Settlement Location is 55 R&D (Foreign) Format is CCYYMMDD Filler A/N Reserved for future use spaces AT ACATS Control AT Transfer Type A/N Format is: CCYYDDDNNNNNNN A/N FRV = Fail Reversal (broker to broker only) FUL = Full Transfer MFC = Mutual Fund Cleanup PTD = Partial Transfer Deliverer PTF = Position Transfer Fund (Firm to Fund only) PTR = Partial Transfer () RCL = Reclaim RCR = Residual Credit Filler A/N Reserved for future use spaces AT A/N Filler A/N Reserved for future use spaces AT Deliverer AT Transaction Reference ID AT Asset Sequence A/N A/N NUM Filler A/N Reserved for future use spaces Page 4 of 12

5 Asset Pricing Category A/N 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 Option Category A/N 00 = Non option 01 = Equity Option 02 = Non-equity option 03 = ICS Option Settling Location A/N 05 = CNS 10 = Fund/SERV 25 = DTC 30 = Undeliverable 35 = OCC 40 = Cash Balance 45 = Memo 50 = R&D 55 = R&D (Foreign) 60 = IPS 65 = Insurance Memo Page 5 of 12

6 Settling Location Reason ISIN Country Code ISIN Security Issue ID ISIN Security Check Digit DTC Sub Issue Type A/N DTC = DTC eligible only EXPO = Expiring Option OPT = Option USEC = Underlying Security CRED = Credit Balance DEB = Debit Balance COMT = Comment SMA = Special Misc. Accounting Value RSEC = Restricted Security SFK = Safekeeping XSET = Outside CNS, DTC, Fund/SERV FCUR = Foreign Currency DDEL = Delayed Delivery NSET = System Derived Outside CNS, DTC, Fund/SERV IPO = System Derived Initial Public Offering NIPS = and ISIN Not Eligible for IPS RIPS = Not Eligible for IPS XIPS = ISIN Not Eligible for IPS NOIR = Insurance Registration Not Received REGT = REG T Calls (create date and amount required) 90DR = 90 Day Restriction (expiration date required) A/N A/N A/N A/N A = Auction Rate Security Filler A/N Reserved for future use spaces Asset Description A/N Filler A/N Reserved for future use spaces Asset Quantity A/N Floating decimal denoted by a, (comma). Filler A/N Reserved for future use spaces Position Code A/N S = Short Position L = Long Position N = Not applicable ISO Currency Code A/N Asset Amount A/N Floating decimal denoted by a, (comma). Bearer Bond A/N B = Bearer Bond N = Not a Bearer Bond Page 6 of 12

7 Cash/Margin/ Short Code When Issued Transfer Type Reason A/N C = Cash M = Margin S = Short A/N W = When Issued N = Not When Issued A/N 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-in-lieu 12 = Mutual Funds Accrual 13 = Mutual Funds Residual MBS Serial Note A/N Asset Comment (Text) Option Data Option Buy Sell Option P-C Option O-C A/N A/N B = Buy S = Sell A/N P = Put C = Call A/N O = Open C = Closed Option Symbol A/N Option Expiration Date 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 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 Used when Settling Location is 35 (OCC) and Option Category is greater than zeros A/N New format is CCYYMMDD Page 7 of 12

8 Filler A/N Reserved for future use spaces Option Decimal / Fraction Option Strike Price Integer A/N D = Decimal strike price A/N Format is 99,999 or 9(5) Filler A/N Reserved for future use spaces Option Strike Price Decimal A/N The valid values are 000 through 999 which represent decimal format only Filler A/N Reserved for future use spaces Option OCC Deliverer Option Account Type A/N A/N C = Customer F = Firm M = Market Maker Filler A/N Reserved for future use spaces Sub Account ID A/N Option Comments (Text) A/N Filler A/N Reserved for future use spaces Mutual Fund Data Fund Customer Account Book/Physical Share Network Control Account Type A/N Used when Settling Location is 10 (Fund/SERV) or Transfer Type = MFC unless Transfer Type = PTR or PTF and Submitter is the A/N 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 0 = Not Networked 3 = Broker controlled brokerage account 4 = Fund Controlled brokerage account A/N 1 = Customer Name 2 = Street Name Dividend Code A/N Dividend Long Term Cap Gain Short Term Cap Gain 0 = Cash Cash Cash 1 = Reinvest Reinvest Reinvest 2 = Cash Cash Reinvest 3 = Cash Reinvest Reinvest 4 = Cash Reinvest Cash 5 = Reinvest Cash Cash 6 = Reinvest Reinvest Cash 7 = Reinvest Cash Reinvest Page 8 of 12

9 Dividend Payee A/N 0 = Customer 1 = Firm 2 = Executing Firm N = Not applicable Filler A/N Reserved for future use spaces Executing Broker MF Full/Partial Share Aging Firm Membership Deliverer New Fund Customer Account Re-registration Date at Fund MF Agent Processing (Deliverer) A/N A/N 1 = Full Transfer 2 = Partial Transfer A/N 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 A/N Space = Broker 01 = Trust A/N A/N Format is CCYYMMDD A/N 0 = Deliverer will not use alternate Fund/SERV clearing number. 1 = Deliverer will use alternate Fund/SERV clearing number. Filler A/N Reserved for future use spaces Asset Insurance Data Insurance Customer Account Deliverer Owner 1 Natural/Non- Natural A/N Used when Settling Location is 60 (IPS) A/N N Natural X Non-Natural Owner 1 Name A/N Owner 1 ID A/N Owner 1 ID Qualifier A/N 34 = Social Security A3 = Non-Resident Alien FI = Federal Taxpayer s Identification SB = Canadian Social Insurance Page 9 of 12

10 Owner 1 Qualifier A/N 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 Reserved for future use spaces Owner 2 Natural/Non- Natural A/N N Natural X Non-Natural Owner 2 Name A/N Owner 2 ID A/N Owner 2 ID Qualifier Owner 2 Qualifier A/N 34 = Social Security A3 = Non-Resident Alien FI = Federal Taxpayer s Identification SB = Canadian Social Insurance A/N 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 Reserved for future use spaces Annuitant 1 Name A/N Annuitant 1 ID A/N Annuitant 1 ID Qualifier A/N 34 = Social Security A3 = Non-Resident Alien FI = Federal Taxpayer s Identification SB = Canadian Social Insurance Filler A/N Reserved for future use spaces Page 10 of 12

11 Annuitant 2 Name A/N Annuitant 2 ID A/N Annuitant 2 ID Qualifier A/N 34 = Social Security A3 = Non-Resident Alien FI = Federal Taxpayer s Identification SB = Canadian Social Insurance Filler A/N Reserved for future use spaces IRS Qualification Code Contract A/N 56 = 403b Transfers Only 1030 = 401k 1040 = Solo 401k 1070 = 501c = 501c9 / Health Reimbursement 1080 = 457 Deferred Compensation 1090 = HR10/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) A/N Contract Value A/N Format: 99,999,999,999, COBOL 9(14)v9(2) Contract Value As-Of Date A/N Format: CCYYMMDD Page 11 of 12

12 Filler A/N Reserved for future use spaces Delivering Associated Firm ID A/N Filler A/N Reserved for future use spaces Data Area for Foreign Asset SEDOL A/N CINS A/N Filler A/N Delivering Firm Settlement Instruction Line 1 Delivering Firm Settlement Instruction Line 2 Delivering Firm Settlement Instruction Line 3 Delivering Firm Settlement Instruction Line 4 Delivering Firm Settlement Instruction Line Filler Used when Settling Location is 55 END OF RECORD Page 12 of 12