AIP Enhancements 2020
PSE PSE – Effective October 9, 2020 Milestone The new coding will be implemented after the 7:00pm EOD Cycle on October 8, 2020 (ET)
Production Production – Effective November 20, 2020 Milestone The new coding will be implemented after the 7:00pm EOD Cycle on November 19, 2020 (ET)
DTCC Public (White)
TABLE OF CONTENTS
BR-1 Security General Profile Enhancements ...... 8
1.1 Add new “Drawdown Commitment Fund Indicator” field ...... 8
1.2 Add new “Transfer indicator” field ...... 9
1.3 Add new “Account Registration indicator” field ...... 10
1.4 Add new “Account Maintenance Indicator” field...... 11
1.5 Change Condition for “Transfer Frequency” field ...... 12
1.6 Add additional Validation for the “Fund Status Indicator” field...... 13
BR-2 Security Announcement Enhancements...... 15
2.1 Add new Announcement Type ...... 15
2.2 Add new validation to the “Trade Date/Dealing Date – Business Date)” field ...... 17
2.3 Add new validation and rename the “Subscription/Purchase Start Date” field ...... 18
2.4 Add new validation and rename the “Subscription/Purchase End Date” field ...... 19
2.5 Add new validation to the “Settlement Date” field ...... 20
BR-3 Position Enhancements ...... 22
3.1 Add new “Dividend Option” field ...... 22
3.2 Add new “Pending Money Value” field ...... 23
3.3 Add new “ITD Outside Commitment Contributions” field ...... 24
3.4 Add new “ITD Fees and Expenses” field ...... 25
3.5 Add new “ITD contributions “field ...... 26
3.6 Add new “ITD Non-Recallable Distributions to Date” field ...... 27
3.7 Add new “ITD Recallable Distributions to Date “field ...... 28
3.8 Add new “ITD Distributions to date” field ...... 29
BR-4 Activity & Distribution Enhancements ...... 31
4.1 Add new Activity Transaction Type “72 = Call Event – Client Debit” ...... 31
4.2 Add new Activity Transaction Type “73 = Reinvested Return of Capital” ...... 31
4.3 Rename Activity Transaction Type “24 = Purchase Cancellation” ...... 31
4.4 Rename Activity Transaction Type “63 = Penalty Withholding for Reinvested Accounts” ...... 31
DTCC Public (White)
4.5 Change condition and remove validation for the “Total Distribution Amount” field ...... 36
4.6 Add new validation to the “Settlement Date” field ...... 37
4.7 Add new validation to the “Money Amount” field...... 38
4.8 Add new validation and change condition to the “Backup Withholding Indicator” field...... 39
4.9 Add new validation and change condition to the “Backup Withholding Amount” field ...... 40
4.10 Add new validation and change condition to the “Account Registration Name” field ...... 40
4.11 Add new validation and change condition to the “Related Control Number” field ...... 41
4.12 Add new validation and values and rename the “Direct Purchase Type” field...... 42
4.13 Add verbiage (no coding needed) to Data Dictionary for the Estimated or Actual Value Confirm 43
BR-5 Order Enhancements ...... 44
5.1 Add new validation for the “Trade Date/Dealing Date – (Business Date)” field ...... 44
5.2 Add new validation for the “Registration Indicator” field ...... 46
5.3 Add new value for the “Transaction Code” field...... 47
5.4 Add new validation for the “Money Amount” field...... 48
5.5 Add new validation for the “Account Registration Name” field...... 50
5.6 Add new validation for the “RIA/RR Indicator” field ...... 51 5.7 Add new validation for the “Introducing Broker Dealer Firm Name / Registered Investment Advisor Firm Name” field ...... 52
5.8 Add new validation for the “Account Representative/Advisor Name” field ...... 53
5.9 Add new validation for the “Account Representative/Advisor Number” field ...... 54
5.10 Add new validation for the “Branch ID Number” field...... 55
5.11 Add new validation for the “Firm CRD Number” field...... 56
5.12 Add new validation for the “Individual CRD/IARD Number” field ...... 57
5.13 Add new “Net/Gross indicator “field...... 58
5.14 Add new “Related Control Number” field...... 59
BR-6 Order with Registration Enhancements ...... 60
6.1 Add new validation for the “Trade Date/Dealing Date – (Business Date)” field ...... 60
6.2 Add new value for the “Transaction Code” field...... 62
6.3 Add new validation for the “Money Amount” field...... 63
6.4 Rename Field and Rename Value description for LOI/Commitment Letter/Side Letter Indicator 65
6.5 Rename the “LOI/Commitment Letter/Side Letter value “field ...... 65
DTCC Public (White)
6.6 Add new “Net/Gross indicator” field...... 66
6.7 Add new “Account indicator “field ...... 67
6.8 Add new “Related Control Number” field...... 68
BR-7 Order Acknowledgement-Reject-Exit Enhancements ...... 69
7.1 Add new validation for the “Trade Date/Dealing Date – (Business Date)” field ...... 69
7.2 Add new “Net/Gross indicator” field...... 71
BR-8 Order Correction-Confirmation Enhancements ...... 72
8.1 Add new validation for the “Trade Date/Dealing Date – (Business Date)” field ...... 72
8.2 Add new value for the “Transaction Code” field...... 74
8.3 Add new validation for the “Money Amount” field...... 75
8.4 Add new validation for the “Account Registration Name” field...... 78
8.5 Add new validation for the “RIA/RR Indicator” field ...... 79 8.6 Add new validation for the “Introducing Broker Dealer Firm Name / Registered Investment Advisor Firm Name” field ...... 80
8.7 Add new validation for the “Account Representative/Advisor Name” field ...... 82
8.8 Add new validation for the “Account Representative/Advisor Number” field ...... 83
8.9 Add new validation for the “Branch ID Number” field...... 85
8.10 Add new validation for the “Reconfirmation Indicator” field...... 87
8.11 Add new validation for the “Firm CRD Number” field...... 89
8.12 Add new validation for the “Individual CRD/IARD Number” field ...... 91
8.13 Add new “Net/Gross indicator “field...... 93
8.14 Add new “Related Control Number” field...... 94
BR-9 Account Registration/Maintenance Enhancements ...... 95
9.1 Rename field and Value for “LOI/Commitment Letter/Side Letter Indicator “field ...... 95
9.2 Rename the “LOI/Commitment Letter/Side Letter value” field ...... 96
9.3 Add new “Account indicator” field ...... 97
BR-10 Account Transfer Enhancements ...... 98
10.1 Add new “Unitized indicator “field ...... 98
10.2 Remove “Anticipated Transfer Completion Date” field and replace with “Filler” field ...... 98 10.3 Remove “Internal Transfer Start Date” and “Internal Transfer End Date” field and replace with “Money Amount” field ...... 99
DTCC Public (White)
10.4 Rename Values and add Values for “Transaction Type” field ...... 100
10.5 Rename Values for “Transaction Code “field ...... 100
10.6 Rename Values for “Transfer Reason code “field ...... 101
10.7 Remove “Process Flow indicator” field and replace with “Trading Model” field ...... 102
10.8 Remove “Filler” field and replace with “ACATS Related Control Number” field ...... 102
10.9 Rename the “Debit Firm Account Number” field ...... 103
10.10 Rename the “Debit Fund Account Number” field ...... 103
10.11 Rename the “Debit Closing Balance Amount” field ...... 104
10.12 Rename the “Credit Firm Account Number” field ...... 104
10.13 Rename and add validation for the “Credit Fund Account Number” field ...... 105
10.14 Rename the “Credit Closing Balance Amount” field ...... 105
10.15 Add validation for the “RIA/RR indicator “field ...... 106 10.16 Rename and add validation for the “Introducing Broker Dealer Firm Name/Registered Investment Advisor Firm Name” field ...... 107
10.17 Add validation for the “Receiving Broker Dealer Firm Name/Registered Investment Advisor Firm Name” field ...... 108
10.18 Add verbiage (no coding needed) to Data Dictionary for the “Effective Date” field ...... 109
10.19 Add verbiage (no coding needed) to Data Dictionary for the “Share Quantity” field ...... 110
BR-11 Transfer Acknowledgement-Reject-Exit Enhancements...... 111
11.1 Rename and change requirement for the “Transfer Completion Date” field...... 111
11.2 Remove “Internal Transfer Start Date” and “Internal Transfer End Date” field and replace with “Money Amount” field ...... 112
11.3 Change requirement for the “Process Flow indicator” field ...... 113
11.4 Rename the “Credit Fund Account Number” field ...... 114
11.5 Rename the “Credit Closing Balance Amount” field ...... 114
11.6 Rename the “Debit Fund Account Number” field ...... 115
11.7 Rename the “Debit Closing Balance Amount” field ...... 116
11.8 Add new validation and change condition for the “Share Quantity” field ...... 117
11.9 Rename Values for “Transaction code” field ...... 118
11.10 Rename Values for “Transfer Reason code” field ...... 119
11.11 Rename Values and add Values for “Transaction Type” field ...... 121
11.12 Rename the “Debit Firm Account Number” field ...... 122
DTCC Public (White)
11.13 Rename the “Credit Firm Account Number” field ...... 123
11.14 Rename the Introducing Broker Dealer Firm Name/Registered Investment Advisor Firm Name124
11.15 Add verbiage (no coding needed) to Data Dictionary for the “Effective Date” field ...... 125
BR-12 Transfer Confirmation-Correction Enhancements ...... 126
12.1 Add new “Unitized indicator” field ...... 126
12.2 Add new “Reconfirmation Indicator” field...... 127 12.3 Remove “Internal Transfer Start Date” and “Internal Transfer End Date” field and replace with “Money Amount” field ...... 128
12.4 Rename Values and add Values for “Transaction Type” field ...... 129
12.5 Rename Values for “Transaction code” field ...... 129
12.6 Rename Values for “Transfer Reason Code” field ...... 130
12.7 Remove “filler “field and replace with “Trading Model” field ...... 131
12.8 Remove “filler” field and replace with “ACATS Related Control Number” field ...... 132
12.9 Rename the “Debit Firm Account Number” field ...... 133
12.10 Rename the “Debit Fund Account Number” field ...... 133
12.11 Rename the “Debit Closing Balance Amount” field ...... 134
12.12 Rename the “Credit Firm Account Number” field ...... 134
12.13 Rename the “Credit Fund Account Number” field ...... 135
12.14 Rename the “Credit Closing Balance Amount” field ...... 135
12.15 Add validation for the “RIA/RR indicator” field ...... 136
12.16 Rename and add validation for the “Introducing Broker Dealer Firm Name/Registered Investment Advisor Firm Name” field ...... 137
12.17 Add validation for the “Receiving Introducing Broker Dealer Firm Name/Registered Investment Advisor Firm Name” field ...... 138
12.18 Add verbiage (no coding needed) to Data Dictionary for the “Effective Date” field ...... 139
12.19 Add verbiage (no coding needed) to Data Dictionary for the “Share Quantity” field ...... 140
BR-13 New Redemption & Transfer Firm-Fund Reject-Exit Codes ...... 141
BR-14 New and Renamed Firm-Fund Reject-Exit Codes List ...... 142
BR-15 New and Renamed NSCC Reject Reason Codes List ...... 144
BR-16 AIP Web Platform – Fund Exit Enhancement...... 146
16.1 EXIT ORDER” button on the Order Details page ...... 146
16.2 ARE YOU SURE YOU WANT TO EXIT THIS ORDER? ...... 147
DTCC Public (White)
16.3 THE ORDER TRANSACTION IS NOW” CANCELLED” ...... 147
DTCC Public (White)
BR-1 Security General Profile Enhancements
Impacted Record • 061- Security General Profile
1.1 Add new “Drawdown Commitment Fund Indicator” field
• This will be a Required field • The field will replace Filler field in position 291 • The type will be alpha numeric • This field will be 1 byte in length • Add new Values: o 0 = No o 1 = Yes
• Add new NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0619 Drawdown Commitment Fund Indicator missing/invalid
See Data Dictionary
Field Name Start End Length Type Opt/R Values Reject Code eq Current Security General Profile Record (061)
Filler 291 296 6 A/N R New Security General Profile Record (061) Drawdown 291 291 1 A/N R 0 = No 0619 Commitment 1 = Yes Fund Indicator
8 DTCC Public (White)
1.2 Add new “Transfer indicator” field
• This will be an Optional field • The field will replace Filler field in position 292 • The type will be alpha numeric • This field will be 1 byte in length • Add new Values: o 0 = Open to Accept Transfers o 1 = Closed for Transfers
• If the value is “1 = Closed for Transfers” then all Account Transfer Records (201, 202, 203, 204, 205, 206, 207, 208) received for the security will be rejected
• Add new NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0620 Transfer Indicator invalid • Add new NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0623 Fund is closed for Transfers – This Record Type is not allowed
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Security General Profile Record (061)
Filler 291 296 6 A/N R New Security General Profile Record (061) Drawdown 291 291 1 A/N R 0 = No 0619 Commitment 1 = Yes Fund Indicator
Transfer 292 292 1 A/N O 0 = Open to Accept 0620 Indicator Transfers 1 = Closed for Transfers
If the fund populates 1 = Closed for Transfers, ALL Transfer records will be rejected.
9 DTCC Public (White)
1.3 Add new “Account Registration indicator” field
• This will be an Optional field • The field will replace Filler field in position 293 • The type will be alpha numeric • This field will be 1 byte in length • Add new Values: o 0 = Open to Accept Account Registrations o 1 = Closed for Account Registrations • If the value is “1 = Closed for Account Registrations” then all Account Registration Records (025, 026, 027) received for the security will be rejected. In Addition, any Order with Registration (011,012, 043) records received should be rejected with Reject Code 0624
• Add new NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0621 Account Registration invalid • Add new NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0624 Fund is closed for Account Registrations – This Record Type is not allowed
See Data Dictionary
Field Name Start End Length Typ Opt/R Values Reject Code e eq Current Security General Profile Record (061)
Filler 291 296 6 A/N R New Security General Profile Record (061) Drawdown 291 291 1 A/N R 0 = No 0619 Commitment 1 = Yes Fund Indicator
Transfer 292 292 1 A/N O 0 = Open to Accept Transfers 0620 Indicator 1 = Closed for Transfers
If the fund populates 1 = Closed for Transfers, ALL Transfer records will be rejected. Account 293 293 1 A/N O 0 = Open to Accept Account 0621 Registration Registrations Indicator 1 = Closed for Account Registrations
If the fund populates (1 = Closed for Account Registrations), ALL Registration records will be rejected.
10 DTCC Public (White)
1.4 Add new “Account Maintenance Indicator” field
• This will be an Optional field • The field will replace Filler field in position 294 • The type will be alpha numeric • This field will be 1 byte in length • Add new Values: o 0 = Open to Accept Account Maintenance o 1 = Closed for Account Maintenance • If the value is “1 = Closed for Account Maintenance” then all Account Maintenance Records (053, 057, 058) received for the security will be rejected.
• Add new NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0622 Account Maintenance invalid • Add new NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0625 Fund is closed for Account Maintenance – This Record Type is not allowed
See Data Dictionary
Field Name Start End Length Type Opt/R Values Reject Code eq Current Security General Profile Record (061)
Filler 291 296 6 A/N R New Security General Profile Record (061) Drawdown 291 291 1 A/N R 0 = No 0619 Commitment 1 = Yes Fund Indicator
Transfer Indicator 292 292 1 A/N O 0 = Open to Accept Transfers 0620 1 = Closed for Transfers
If the fund populates 1 = Closed for Transfers, ALL Transfer records will be rejected. Account 293 293 1 A/N O 0 = Open to Accept Account 0621 Registration Registrations Indicator 1 = Closed for Account Registrations
If the fund populates (1 = Closed for Account Registrations), ALL Registration records will be rejected.
11 DTCC Public (White)
Account 294 294 1 A/N O 0 = Open to Accept Account 0622 Maintenance Maintenance Indicator 1 = Closed for Account Maintenance
If the fund populates (1 = Closed for Account Maintenance), ALL Maintenance records will be rejected. Filler 295 296 2 A/N R
1.5 Change Condition for “Transfer Frequency” field
• Change the field requirement from “Optional” to “Required” • This field will be required for all SGP records going forward
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0433 Transfer Frequency missing/invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Security General Profile Record (061) Transfer Frequency 809 810 2 A/N O 00-Daily 0433 01-Weekly 02-Bi-Weekly 03-Monthly 04-Quarterly 05-Bi-Annually 06-Annually New Security General Profile Record (061) Transfer Frequency 809 810 2 A/N R 00-Daily 0433 01-Weekly 02-Bi-Weekly 03-Monthly 04-Quarterly 05-Bi-Annually 06-Annually
12 DTCC Public (White)
1.6 Add additional Validation for the “Fund Status Indicator” field
• Add the 051-Commission record to be allowed for Securities which have a Fund Status Indicator of “1=Frozen Fund”
See Data Dictionary Field Name Start End Length Type Opt/ Values Definition Req Current Security General Profile Record (061) Fund Status 602 602 1 A/N R 0 = Active Fund 0 = Active Fund is defined as allowing Indicator 1 = Frozen Fund all record types into this fund 2 = Inactive Fund 1 = Frozen Fund is defined as this fund
status should only be used before a fund liquidation. In addition, transfer re-registrations and account maintenances will not be accepted into the fund. - Post Trade Reporting records will still be accepted into this fund (052 - Position, 050 – Activity/Distribution and 060 – Valuation) 2 = Inactive Fund is defined as the fund is liquidated, merged or shut down with no investors. No record types will be accepted.
New Security General Profile Record (061)
Fund Status 602 602 1 A/N R 0 = Active Fund 0 = Active Fund is defined as allowing Indicator 1 = Frozen Fund all record types into this fund 2 = Inactive Fund 1 = Frozen Fund is defined as this fund
status should only be used before a fund liquidation. In addition, transfer re-registrations and account maintenances will not be accepted into the fund. - Post Trade Reporting records will still be accepted into this fund (052 - Position, 050 – Activity/Distribution, 060 – Valuation and 051 - Commission)
13 DTCC Public (White)
2 = Inactive Fund is defined as the fund is liquidated, merged or shut down with no investors. No record types will be accepted.
14 DTCC Public (White)
BR-2 Security Announcement Enhancements
Impacted Record • 062- Security Announcement
2.1 Add new Announcement Type
• 28 = Commitment
See Data Dictionary
Field Name Start End Length Type Opt/Req Values Reject Code Current Security Announcement Record (062) Announcement 136 137 2 A/N R 00 = Subscription Offer 0171 Type 01 = Tender Offer/Redemption 02 = Fund Merger 03 = Fund Closing 04 = Purchase Restrictions (existing fund) 05 = Redemption Restrictions/Gate (existing fund) 06 = Dividend 07 = Capital Gain 09 = Valuation Update 10 = Special Tender Offer 11 = Sidepocket Creation 12 = Fund Administrator/TA Change 13 = Initial Offering w/Escrow 14 = Capital Call 15 = Equalization Event 16 = Recurring Subscription 17 = Recurring Redemption 18 = Internal Transfer 19 = Closed to Purchase 20 = Closed to Redemptions 21 = Return of Capital 22 = Rescission Date Change 23 = Holdback Payout 24 = Series Creation
15 DTCC Public (White)
25 = Series Roll-Up 26 = Split 27 = Reverse Split Announcement Type = 24 and 25 allowed only if Series Eligible Indicator = 1 on Security General New Security Announcement Record (062)
Announcement 136 137 2 A/N R 00 = Subscription Offer 0171 Type 01 = Tender Offer/Redemption 02 = Fund Merger 03 = Fund Closing 04 = Purchase Restrictions (existing fund) 05 = Redemption Restrictions/Gate (existing fund) 06 = Dividend 07 = Capital Gain 09 = Valuation Update 10 = Special Tender Offer 11 = Sidepocket Creation 12 = Fund Administrator/TA Change 13 = Initial Offering w/Escrow 14 = Capital Call 15 = Equalization Event 16 = Recurring Subscription 17 = Recurring Redemption 18 = Internal Transfer 19 = Closed to Purchase 20 = Closed to Redemptions 21 = Return of Capital 22 = Rescission Date Change 23 = Holdback Payout 24 = Series Creation 25 = Series Roll-Up 26 = Split 27 = Reverse Split 28 = Commitment Announcement Type = 24 and 25 allowed only if Series Eligible Indicator = 1 on Security General
16 DTCC Public (White)
2.2 Add new validation to the “Trade Date/Dealing Date – Business Date)” field
• This field is now required for Announcement Type (28 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/ Values Reject Code Req Current Security Announcement Record (062) Trade Date/Dealing 201 208 8 N OC mmddccyy 0412 Date – (Business Date) Required if the Announcement Type is: 00 = Subscription Offer 01 = Tender Offer/Redemption 10 = Special Tender Offer 14 = Capital Call
New Security Announcement Record (062) Trade Date/Dealing 201 208 8 N OC mmddccyy 0412 Date – (Business Date) Required if the Announcement Type is: 00 = Subscription Offer 01 = Tender Offer/Redemption 10 = Special Tender Offer 14 = Capital Call 28 = Commitment
17 DTCC Public (White)
2.3 Add new validation and rename the “Subscription/Purchase Start Date” field
• This field is now required for Announcement Type (28 = Commitment) • New Name – “Subscription/Capital Call/Commitment/Purchase Start Date”
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0181 Subscription/Capital Call/Commitment/Purchase Start Date missing/invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Security Announcement Record (062)
Subscription/Purchase Start Date 225 232 8 N OC mmddccyy 0181
Required if the Announcement Type is: 00 = Subscription Offer 14 = Capital Call 16 = Recurring Subscription New Security Announcement Record (062)
Subscription/Capital 225 232 8 N OC mmddccyy 0181 Call/Commitment/Purchase Start Date Required if the Announcement Type is: 00 = Subscription Offer 14 = Capital Call 16 = Recurring Subscription 28 = Commitment
18 DTCC Public (White)
2.4 Add new validation and rename the “Subscription/Purchase End Date” field
• This field is now required for Announcement Type (28 = Commitment) • New Name – “Subscription/Capital Call/Commitment/Purchase End Date”
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0182 Subscription/Capital Call/Commitment/Purchase End Date missing/invalid
See Data Dictionary
Field Name Start End Length Type Opt/ Values Reject Code Req Current Security Announcement Record (062) Subscription/Purchase End Date 233 240 8 N OC mmddccyy 0182
Required if the Announcement Type is: 00 = Subscription Offer 14 = Capital Call 16 = Recurring Subscription New Security Announcement Record (062) Subscription/Capital 233 240 8 N OC mmddccyy 0182 Call/Commitment/Purchase End Date Required if the Announcement Type is: 00 = Subscription Offer 14 = Capital Call 16 = Recurring Subscription 28 = Commitment
19 DTCC Public (White)
2.5 Add new validation to the “Settlement Date” field
• This field is now required for Announcement Type (28 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/Req Values Reject Code Current Security Announcement Record (062) Settlement Date 273 28 8 N OC mmddccyy 0017
Required if the Announcement Type is: 01 = Tender Offer/Redemption 06 = Dividend 07 = Capital Gain 14 = Capital Call
or
Required if Settlement date Override Indicator is ( 1 = Yes)
or
Required if the Announcement Type is: 00 = Subscription Offer And The Security Type on the Security General Profile is one of the following: 01 = Hedge Fund 02 = Fund of Funds 12 = Registered Hedge Fund New Security Announcement Record (062) Settlement Date 273 28 8 N OC mmddccyy 0017
Required if the Announcement Type is: 01 = Tender Offer/Redemption 06 = Dividend 07 = Capital Gain
20 DTCC Public (White)
14 = Capital Call 28 = Commitment
or
Required if Settlement date Override Indicator is ( 1 = Yes)
or
Required if the Announcement Type is: 00 = Subscription Offer And The Security Type on the Security General Profile is one of the following: 01 = Hedge Fund 02 = Fund of Funds 12 = Registered Hedge Fund
21 DTCC Public (White)
BR-3 Position Enhancements
Impacted Record • 052- Position
3.1 Add new “Dividend Option” field • This will be an Optional field • The field will be placed at the end of the record at position 868 • The type will be alpha numeric • This field will be 1 byte in length • Add new Values: o 0 = Dividend Cash/LTCG-Cash/STCG-Cash o 1 = Dividend Reinvest/LTCG-Reinvest/STCG-Reinvest o 2 = Dividend Cash/LTCG-Cash/STCG-Reinvest o 3 = Dividend Cash/LTCG-Reinvest/STCG-Reinvest o 4 = Dividend Cash/LTCG-Reinvest/STCG-Cash o 5 = Dividend Reinvest/LTCG-Cash/STCG-Cash o 6 = Dividend Reinvest/ LTCG-Reinvest/STCG-Cash o 7 = Dividend Reinvest/ LTCG-Cash/ STCG-Reinvest
• Use existing NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0105 Dividend Option missing/invalid See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Position Record (052) Branch ID Number 859 867 9 A/N O Special characters are allowed 0033 New Position Record (052) Dividend Option 868 868 1 A/N O 0 = Dividend Cash/LTCG-Cash/STCG- 0105 Cash 1 = Dividend Reinvest/LTCG- Reinvest/STCG-Reinvest 2 = Dividend Cash/LTCG-Cash/STCG- Reinvest 3 = Dividend Cash/LTCG-Reinvest/STCG- Reinvest 4 = Dividend Cash/LTCG-Reinvest/STCG- Cash 5 = Dividend Reinvest/LTCG-Cash/STCG- Cash 6 = Dividend Reinvest/ LTCG- Reinvest/STCG-Cash 7 = Dividend Reinvest/ LTCG-Cash/ STCG-Reinvest
22 DTCC Public (White)
3.2 Add new “Pending Money Value” field
• This will be an Optional field • The field will be placed at the end of the record at position 869 • The type will be numeric • This field will be 16 bytes in length (decimal 16,2)
• Add new NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0626 Pending Money Value invalid
See Data Dictionary Field Name Start End Length Type Opt/Req Values Reject Code Current Position Record (052)
Branch ID Number 859 867 9 A/N O Special characters are allowed 0033 New Position Record (052) Dividend Option 868 868 1 A/N O 0 = Dividend Cash/LTCG-Cash/STCG- 0105 Cash 1 = Dividend Reinvest/LTCG- Reinvest/STCG-Reinvest 2 = Dividend Cash/LTCG-Cash/STCG- Reinvest 3 = Dividend Cash/LTCG-Reinvest/STCG- Reinvest 4 = Dividend Cash/LTCG-Reinvest/STCG- Cash 5 = Dividend Reinvest/LTCG-Cash/STCG- Cash 6 = Dividend Reinvest/ LTCG- Reinvest/STCG-Cash 7 = Dividend Reinvest/ LTCG-Cash/ STCG-Reinvest Pending Money 869 884 16 N O 99999999999999.99 0626 Value
23 DTCC Public (White)
3.3 Add new “ITD Outside Commitment Contributions” field
• This will be an Optional field • The field will be placed at the end of the record at position 885 • The type will be numeric • This field will be 16 bytes in length (decimal 16,2)
• Add new NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0627 ITD Outside Commitment Contribution invalid
See Data Dictionary Field Name Start End Length Type Opt/Req Values Reject Code Current Position Record (052)
Branch ID Number 859 867 9 A/N O Special characters are allowed 0033 New Position Record (052) Dividend Option 868 868 1 A/N O 0 = Dividend Cash/LTCG-Cash/STCG-Cash 0105 1 = Dividend Reinvest/LTCG-Reinvest/STCG- Reinvest 2 = Dividend Cash/LTCG-Cash/STCG- Reinvest 3 = Dividend Cash/LTCG-Reinvest/STCG- Reinvest 4 = Dividend Cash/LTCG-Reinvest/STCG- Cash 5 = Dividend Reinvest/LTCG-Cash/STCG- Cash 6 = Dividend Reinvest/ LTCG-Reinvest/STCG- Cash 7 = Dividend Reinvest/ LTCG-Cash/ STCG- Reinvest Pending Money 869 884 16 N O 99999999999999.99 0626 Value ITD Outside 885 900 16 N O 99999999999999.99 0627 Commitment Contributions
24 DTCC Public (White)
3.4 Add new “ITD Fees and Expenses” field
• This will be an Optional field • The field will be placed at the end of the record at position 901 • The type will be numeric • This field will be 16 bytes in length
• Add new NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0628 ITD Fees and Expenses invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Position Record (052)
Branch ID Number 859 867 9 A/N O Special characters are allowed 0033 New Position Record (052) Dividend Option 868 868 1 A/N O 0 = Dividend Cash/LTCG-Cash/STCG- 0105 Cash 1 = Dividend Reinvest/LTCG- Reinvest/STCG-Reinvest 2 = Dividend Cash/LTCG-Cash/STCG- Reinvest 3 = Dividend Cash/LTCG- Reinvest/STCG-Reinvest 4 = Dividend Cash/LTCG- Reinvest/STCG-Cash 5 = Dividend Reinvest/LTCG- Cash/STCG-Cash 6 = Dividend Reinvest/ LTCG- Reinvest/STCG-Cash 7 = Dividend Reinvest/ LTCG-Cash/ STCG-Reinvest Pending Money 869 884 16 N O 99999999999999.99 0626 Value ITD Outside 885 900 16 N O 99999999999999.99 0627 Commitment Contributions ITD Fees and 901 916 16 N O 99999999999999.99 0628 Expenses
25 DTCC Public (White)
3.5 Add new “ITD contributions “field
• This will be an Optional field • The field will be placed at the end of the record at position 917 • The type will be numeric • This field will be 16 bytes in length (decimal 16,2)
• Add new NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0629 ITD Contributions invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject eq Code Current Position Record (052) Branch ID Number 859 867 9 A/N O Special characters are allowed 0033 New Position Record (052) Dividend Option 868 868 1 A/N O 0 = Dividend Cash/LTCG-Cash/STCG-Cash 0105 1 = Dividend Reinvest/LTCG- Reinvest/STCG-Reinvest 2 = Dividend Cash/LTCG-Cash/STCG- Reinvest 3 = Dividend Cash/LTCG-Reinvest/STCG- Reinvest 4 = Dividend Cash/LTCG-Reinvest/STCG- Cash 5 = Dividend Reinvest/LTCG-Cash/STCG- Cash 6 = Dividend Reinvest/ LTCG- Reinvest/STCG-Cash 7 = Dividend Reinvest/ LTCG-Cash/ STCG- Reinvest Pending Money 869 884 16 N O 99999999999999.99 0626 Value ITD Outside 885 900 16 N O 99999999999999.99 0627 Commitment Contributions ITD Fees and 901 916 16 N O 99999999999999.99 0628 Expenses ITD Contributions 917 932 16 N O 99999999999999.99 0629
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3.6 Add new “ITD Non-Recallable Distributions to Date” field
• This will be an Optional field • The field will be placed at the end of the record at position 933 • The type will be numeric • This field will be 16 bytes in length (decimal 16,2)
• Add new NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0630 ITD Non-Recallable Distributions to Date invalid
See Data Dictionary Field Name Start End Length Type Opt/ Values Reject Req Code Current Position Record (052)
Branch ID Number 859 867 9 A/N O Special characters are allowed 0033 New Position Record (052) Dividend Option 868 868 1 A/N O 0 = Dividend Cash/LTCG-Cash/STCG-Cash 0105 1 = Dividend Reinvest/LTCG- Reinvest/STCG-Reinvest 2 = Dividend Cash/LTCG-Cash/STCG- Reinvest 3 = Dividend Cash/LTCG-Reinvest/STCG- Reinvest 4 = Dividend Cash/LTCG-Reinvest/STCG- Cash 5 = Dividend Reinvest/LTCG-Cash/STCG- Cash 6 = Dividend Reinvest/ LTCG- Reinvest/STCG-Cash 7 = Dividend Reinvest/ LTCG-Cash/ STCG- Reinvest Pending Money 869 884 16 N O 99999999999999.99 0626 Value ITD Outside 885 900 16 N O 99999999999999.99 0627 Commitment Contributions ITD Fees and 901 916 16 N O 99999999999999.99 0628 Expenses ITD Contributions 917 932 16 N O 99999999999999.99 0629 ITD Non- 933 948 16 N O 99999999999999.99 0630 Recallable Distributions to Date
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3.7 Add new “ITD Recallable Distributions to Date “field
• This will be an Optional field • The field will be placed at the end of the record at position 949 • The type will be numeric • This field will be 16 bytes in length (decimal 16,2)
• Add new NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0631 ITD Recallable Distributions to Date invalid
See Data Dictionary Field Name Start End Length Type Opt/ Values Reject Code Req Current Position Record (052)
Branch ID Number 859 867 9 A/N O Special characters are allowed 0033 New Position Record (052) Dividend Option 868 868 1 A/N O 0 = Dividend Cash/LTCG-Cash/STCG- 0105 Cash 1 = Dividend Reinvest/LTCG- Reinvest/STCG-Reinvest 2 = Dividend Cash/LTCG-Cash/STCG- Reinvest 3 = Dividend Cash/LTCG-Reinvest/STCG- Reinvest 4 = Dividend Cash/LTCG-Reinvest/STCG- Cash 5 = Dividend Reinvest/LTCG-Cash/STCG- Cash 6 = Dividend Reinvest/ LTCG- Reinvest/STCG-Cash 7 = Dividend Reinvest/ LTCG-Cash/ STCG-Reinvest Pending Money 869 884 16 N O 99999999999999.99 0626 Value ITD Outside 885 900 16 N O 99999999999999.99 0627 Commitment Contributions ITD Fees and 901 916 16 N O 99999999999999.99 0628 Expenses ITD Contributions 917 932 16 N O 99999999999999.99 0629 ITD Non- 933 948 16 N O 99999999999999.99 0630 Recallable
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Distributions to Date ITD Recallable 949 964 16 N O 99999999999999.99 0631 Distributions to Date
3.8 Add new “ITD Distributions to date” field
• This will be an Optional field • The field will be placed at the end of the record at position 965 • The type will be numeric • This field will be 16 bytes in length
• Add new NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0632 ITD Distributions to Date invalid
See Data Dictionary Field Name Start End Length Type Opt/ Values Reject Req Code Current Position Record (052) Branch ID Number 859 867 9 A/N O Special characters are allowed 0033 New Position Record (052) Dividend Option 868 868 1 A/N O 0 = Dividend Cash/LTCG-Cash/STCG-Cash 0105 1 = Dividend Reinvest/LTCG-Reinvest/STCG- Reinvest 2 = Dividend Cash/LTCG-Cash/STCG- Reinvest 3 = Dividend Cash/LTCG-Reinvest/STCG- Reinvest 4 = Dividend Cash/LTCG-Reinvest/STCG- Cash 5 = Dividend Reinvest/LTCG-Cash/STCG- Cash 6 = Dividend Reinvest/ LTCG-Reinvest/STCG- Cash 7 = Dividend Reinvest/ LTCG-Cash/ STCG- Reinvest Pending Money 869 884 16 N O 99999999999999.99 0626 Value
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ITD Outside 885 900 16 N O 99999999999999.99 0627 Commitment Contributions ITD Fees and 901 916 16 N O 99999999999999.99 0628 Expenses ITD Contributions 917 932 16 N O 99999999999999.99 0629 ITD Non- 933 948 16 N O 99999999999999.99 0630 Recallable Distributions to Date ITD Recallable 949 964 16 N O 99999999999999.99 0631 Distributions to Date ITD Distributions 965 980 16 N O 99999999999999.99 0632 to Date
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BR-4 Activity & Distribution Enhancements
Impacted Records • 050 – Activity and Distribution • 056 – Activity Confirmation
4.1 Add new Activity Transaction Type “72 = Call Event – Client Debit”
• This transaction Requires A Response from Recipient
See Data Dictionary
4.2 Add new Activity Transaction Type “73 = Reinvested Return of Capital”
• This transaction is a Pass-Through transaction
See Data Dictionary
4.3 Rename Activity Transaction Type “24 = Purchase Cancellation”
• New Name – “Purchase/Capital Call Cancellation”
See Data Dictionary
4.4 Rename Activity Transaction Type “63 = Penalty Withholding for Reinvested Accounts”
• New Name – “Withholding for Reinvested Accounts”
See Data Dictionary
Activity Transaction Types T.O.C Transaction Type Transaction Type Definition Non-Settling Settling Activity Activity
01 = Direct Purchase A purchase made directly with the Fund. Requires A Response Pass Through From Recipient 02 = Direct Redemption A redemption made directly with the Fund. Pass Through Pass Through
03 = Holdback Payment Refund of monies held back on a prior redemption. Pass Through Pass Through 04 = Interest on Holdback Payment of interest on monies held back from a prior Requires A Response Pass Through Payment redemption. From Recipient
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05 = LOI Adjustment Adjustment made due to a Letter of Intent. Requires A Response Pass Through From Recipient 06 = Side Letter Adjustment Adjustment made due to the existence of a Side Letter or Requires A Response separate agreement with the Fund, usually for reduced fees Pass Through From Recipient or commission. 07 = Dividend Adjustment Adjustment made by the Fund to a dividend. Pass Through Pass Through 08 = Long Term Capital Gain Adjustment made to the amount realized when the Requires A Response Pass Through Adjustment disposition exceeds the purchase price. From Recipient 09 = Fund Price Adjustment An adjustment due to a change in share price. Requires A Response Pass Through From Recipient 10 = Exchange/Switch Fee Fee charged for exchanges or switches. Requires A Response Pass Through From Recipient 11 = Fiduciary Fees Fee charged for fiduciary services. Requires A Response Pass Through From Recipient 12 = Reinvest from other Change in balance due to a dividend reinvestment. Pass Through Pass Through Fund/DRIP 13 = Direct Transfer In A transfer in from another Fund account, which is done Requires A Response Pass Through directly at the Fund. From Recipient 14 = Systematic Withdrawal Systemic withdrawal of monies or shares from the account. Requires A Response Pass Through Plan From Recipient 15 = Investor Servicing Fee Fund fee charged for account services. Requires A Response Pass Through From Recipient 16 = Direct Transfer Out A transfer out from another Fund account, which is done Requires A Response Pass Through directly at the Fund. From Recipient
17 = Sidepocket Transfer In Transfer in of assets released from a Sidepocket or the Requires A Response Pass Through illiquid portion of the portfolio. From Recipient 18 = Sidepocket Transfer Out Transfer out of assets into a Sidepocket or the illiquid portion Requires A Response Pass Through of the portfolio. From Recipient 19 = Series Creation The creation of a Series on a Fund account. Requires A Response Pass Through From Recipient 20 = Series Rollup The closing of a series after the allotted timeframe. Requires A Response Pass Through From Recipient 21 = Share Adjustment Adjustment to the share balance. Requires A Response Pass Through From Recipient 22 = Share Class Exchange In A movement or exchange of one share class to another. Requires A Response Pass Through From Recipient
23 = Fund Merger Activity with A consolidation of one Fund into another where the new Requires A Response Pass Through New NSCC ID fund has an NSCC ID. From Recipient 24 = Purchase /Capital Call Adjustment for a purchase / Capital Call Cancellation. Requires A Response Pass Through Cancellation From Recipient
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25 = Redemption Cancellation Adjustment for a redemption cancellation. Requires A Response Pass Through From Recipient 26 = Gain On Collectables Adjustment to Gain from the sale of collectibles and, Adjustment generally, the taxable part of your gain from the sale of Pass Through Pass Through qualified small business stock held more than 5 years. 27 = Section 1202 Gain Adjustment to Gain paid on qualified small business stock Pass Through Pass Through Adjustment 28 = Un-recaptured Section Adjustment to gain from any part of your net capital gain Pass Through Pass Through 1250 - Gain Adjustment from selling section 1250 property
29 = Dividend Reinvestment Reinvestment of income received into underlying account Pass Through Pass Through 30 = Net Profit Equalization transaction of net profit. Requires A Response Pass Through From Recipient 31 = Net Loss Equalization transaction of a net loss. Requires A Response Pass Through From Recipient 32 = Performance Fee Fund performance fee charge. Requires A Response Pass Through From Recipient 33 = Ordinary Income Income received that is taxed at the highest rates, or Requires A Response Pass Through ordinary income rates. From Recipient 34 = Realized Net Short-Term A realized gain or loss resulting from selling an asset at a Pass Through Pass Through Capital Gain/Loss price higher or lower than the original purchase price. 35 = Realized Net Long-Term A realized gain or loss resulting from selling an asset held Capital Gain/Loss longer than 12 months at a price higher or lower than the Pass Through Pass Through original purchase price. 36 = Unrealized Short-Term A gain or loss on an asset held shorter than 12 months. Pass Through Pass Through Capital Gain/Loss 37 = Unrealized Long-Term A gain or loss on an asset held longer than 12 months. Pass Through Pass Through Capital Gain/Loss 38 = Other Income/Loss Any net operating loss reported as a negative amount Pass Through Pass Through 39 = Hot Issue Realized Any realized gain or loss associated with an issue that sells at Gain/Loss a premium over the public offering price on the first day of Pass Through Pass Through trading 40 = Clawback Provision Refund of performance fee by the general partner of a Requires A Response limited partnership if the partnership profits have fallen Pass Through From Recipient below a certain level. 41 = Assignment A limited partner transferring some or all their interest in a Requires A Response Pass Through partnership. From Recipient 42 = Rebate (always in the The portion of interest or dividends earned by the owner form of shares) (lender) of shares that are paid to the short seller (borrower) Requires A Response Pass Through of the shares. From Recipient
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43 = Management Fee A fee charged to fund the operating expenses of the fund. Requires A Response Pass Through From Recipient 44 = Administration Fee A fee charge for the administrative services of the fund. Requires A Response Pass Through From Recipient 45 = Swap In Exchange into a feeder fund in the same fund family. Requires A Response Pass Through From Recipient 46 = Swap Out Exchange out of a feeder fund in the same fund family. Requires A Response Pass Through From Recipient 47 = Pledge Added to accommodate Merrill Lynch Requires A Response Pass Through From Recipient 48 = Unpledged Added to accommodate Merrill Lynch Requires A Response Pass Through From Recipient 49 = Dividend Dividend income received from their portfolio holdings to the shareholders. Dividends may be in the form of cash, stock or Pass Through Pass Through property. 50 = Closing balance record A record indicating the last balance on an account. Pass Through Pass Through 51 = Share Class Exchange Out A movement or exchange of one share class to another. Requires A Response Pass Through From Recipient 52 = Return of Capital Return of pledged or other capital investment. Pass Through Pass Through 53 = Capital Call A capital call (also known as a draw down) is a legal right of Requires A Response an investment firm or an insurance firm to demand a portion Pass Through From Recipient of the money promised to it by an investor. 54 = Capital Call for A fee charged to fund the operating expenses of a Capital Requires A Response Pass Through Management Fees Call From Recipient
55 = LTG Reinvest Long Term Capital Gains that are reinvested from securities Pass Through Pass Through which are held for longer than a year 56 = LTG Cash Long Term Capital Gains that are paid in cash from securities Pass Through Pass Through which are held for longer than a year. 57 = STG Reinvest Short Term Capital Gains that are reinvested from securities Pass Through Pass Through which are held less than a year. 58 = STG Cash Short Term Capital Gains that are paid in cash from securities Pass Through Pass Through which are held less than a year. 59 = Dividend Cash Dividends that are paid out in cash. Pass Through Pass Through 60 = Stock Dividend Dividends that are paid out in stocks Pass Through Pass Through 61 = Holdback Fee A fee charged from a Holdback Redemption Requires A Response Pass Through From Recipient 62 = Redemption Fee A fee charged when a shareholder sells an investment. This Requires A Response Pass Through method is used to discourage withdrawals. From Recipient
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63 = Penalty Withholding for This transaction type is representative of the withholding Reinvested Accounts portion of a reinvested dividend that would have come in a Pass Through Pass Through previous or separate record. 64 = Escrow Redemption A transaction used to redeem out of the Escrow Fund Pass Through Pass Through 65 = Interest income Interest income that has been reinvested into the fund Pass Through Pass Through Reinvested 66= Escrow Purchase A transaction used to purchase into an Escrow Fund Pass Through Pass Through
67 = Final Fund Purchase A purchase made directly into the 'Final Fund' after escrow Pass Through Pass Through 68 = Cash in Lieu Fractional shares that are taxable and returned in a fund Pass Through Pass Through merger as cash.
69 = Split A split of shares. Pass Through Pass Through 70 = Reverse Split A reverse split of shares. Pass Through Pass Through 71 = Fund Merger Activity A consolidation of one Fund into another where the new Pass Through Pass Through without New NSCC ID fund won't have an NSCC ID. 72 = Call Event - Client Debit A notification of an investment firm or an insurance firm to Requires A Response demand a portion of the money promised to it by an Pass Through From Recipient investor. 73 = Reinvested Return of Reinvestment of return of capital received into underlying Pass Through Pass Through Capital account
35 DTCC Public (White)
4.5 Change condition and remove validation for the “Total Distribution Amount” field
• Change Requirement from Optional Conditional to Optional • Remove requirement “Required for Activity Type 63 = Penalty Withholding for Reinvested Accounts”
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0140 Total Distribution Amount invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject eq Code Current Activity Distribution Records (050, 056) Total Distribution Amount 725 740 16 N OC 99999999999999.99 0140
Required for Activity Type 63 = Penalty Withholding for Reinvested Accounts. New Activity Distribution Records (050, 056) Total Distribution Amount 725 740 16 N O 99999999999999.99 0140
36 DTCC Public (White)
4.6 Add new validation to the “Settlement Date” field
• This field is now required for Activity Transaction Type (72 = Call Event - Client Debit)
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject eq Code Current Activity Distribution Records (050, 056) Settlement Date 122 129 8 N OC Required if the Settlement Indicator = 1 0017 - Yes mmddccyy New Activity Distribution Records (050, 056) Settlement Date 122 129 8 N OC mmddccyy 0017
Required if the Settlement Indicator = 1 - Yes
or
Required for Transaction Type = 72 - Call Event – Client Debit
37 DTCC Public (White)
4.7 Add new validation to the “Money Amount” field
• This field is now required for Activity Transaction Types and the money amount value must be greater than zero o 29 = Dividend Reinvestment o 49 = Dividend o 52 = Return of Capital o 55 = LTG Reinvest o 56 = LTG Cash o 57 = STG Reinvest o 58 = STG Cash o 59 = Dividend Cash o 65 = Interest Income Reinvested o 72 = Call Event - Client Debit o 73 = Reinvested Return of Capital
• Zeros are allowed if Settlement Indicator = 2
See Data Dictionary Field Name Start End Length Type Opt/Req Values Reject Code Current Activity Distribution Records (050, 056) Money Amount 206 221 16 N OC 99999999999999.99 0021 Maximum is 9999999999999.99 per day This amount will be settled by NSCC if 0153 Settlement Indicator = 1
Required if Share Quantity is not populated or the Settlement Indicator = 1
If the Settlement Indicator = 1, the money amount must be greater than zero (0). New Activity Distribution Records (050, 056)
Money Amount 206 221 16 N OC 99999999999999.99 0021 Maximum is 9999999999999.99 per day This amount will be settled by NSCC if 0153 Settlement Indicator = 1
Required if Share Quantity is not populated or the Settlement Indicator = 1
Required for the following Transaction Types and the value must be greater than zero (0): 29 = Dividend Reinvestment
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49 = Dividend 52 = Return of Capital 55 = LTG Reinvest 56 = LTG Cash 57 = STG Reinvest 58 = STG Cash 59 = Dividend Cash 65 = Interest Income Reinvested 72 = Call Event - Client Debit 73 = Reinvested Return of Capital
If the Settlement Indicator = 1, the money amount must be greater than zero (0).
4.8 Add new validation and change condition to the “Backup Withholding Indicator” field
• Change Requirement from Optional to Optional Conditional • This field is now required for Activity Transaction Type o 63 = Withholding for Reinvested Accounts
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject eq Code Current Activity Distribution Records (050, 056) Backup Withholding Indicator 222 222 1 A/N O 1 = NRA 0096 2 = Tefra Backup 3 = Tefra Pension New Activity Distribution Records (050, 056) Backup Withholding Indicator 222 222 1 A/N OC 1 = NRA 0096 2 = Tefra Backup 3 = Tefra Pension
Required for Transaction Type 63 = Withholding for Reinvested Accounts
39 DTCC Public (White)
4.9 Add new validation and change condition to the “Backup Withholding Amount” field
• Change requirement from Optional to Optional Conditional • This field is now required for Activity Transaction Type o 63 = Withholding for Reinvested Accounts
See Data Dictionary Field Name Start End Length Type Opt/ Values Reject Code Req Current Activity Distribution Records (050, 056) Backup Withholding 223 238 16 N O 99999999999999.99 0146 Amount New Activity Distribution Records (050, 056) Backup Withholding 223 238 16 N OC 99999999999999.99 0146 Amount Required for Transaction Type 63 = Withholding for Reinvested Accounts (The value must be greater than zero (0))
4.10 Add new validation and change condition to the “Account Registration Name” field
• Change requirement from Optional to Optional Conditional • This field is now required for Activity Transaction Type o 72 = Call Event – Client Debit
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Activity Distribution Records (050, 056) Account Registration Name 393 427 35 A/N O Special characters are allowed 0029
New Activity Distribution Records (050, 056) Account Registration Name 393 427 35 A/N OC Required for Transaction Type 72 0029 = Call Event – Client Debit
Special characters are allowed
40 DTCC Public (White)
4.11 Add new validation and change condition to the “Related Control Number” field
• Change requirement from Optional to Optional Conditional
• This field is now required for Activity Transaction Type o 63 = Withholding for Reinvested Accounts
See Data Dictionary Field Name Start End Length Type Opt/ Values Reject Req Code Current Activity Distribution Records (050, 056)
Related Control Number 428 447 20 A/N O ppppppppyydddnnnnnnn 0366 Where: pppppppp = Fund number yy = Year ddd = Julian date nnnnnnn = Unique sequential number New Activity Distribution Records (050, 056) Related Control Number 428 447 20 A/N OC ppppppppyydddnnnnnnn 0366 Where: pppppppp = Fund number yy = Year ddd = Julian date nnnnnnn = Unique sequential number
Required for Transaction Type 63 = Withholding for Reinvested Accounts
41 DTCC Public (White)
4.12 Add new validation and values and rename the “Direct Purchase Type” field
• New Field Name – “Direct Purchase / Capital Call Type” • This field can be populated for Activity Transaction Type (72 = Call Event – Client Debit), but is not required to be populated • Add new Values o 3 = Initial Capital Call o 4 = Subsequent Capital Call
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0582 Direct Purchase / Capital Call Type missing/invalid
See Data Dictionary Field Name Start End Length Type Opt/ Values Reject Req Code Current Activity Distribution Records (050, 056) Direct Purchase Type 782 782 1 A/N OC 1 = Initial Purchase 0582 2 = Subsequent Purchase
Can only be populated for Transaction Type 01 = Direct Purchase, but is not required to be populated; it is not allowed for other Transaction Types New Activity Distribution Records (050, 056) Direct Purchase / Capital Call 782 782 1 A/N OC 1 = Initial Purchase (Only allowed for 0582 Type Transaction Type 01) 2 = Subsequent Purchase (Only allowed for Transaction Type 01) 3 = Initial Capital Call (Only allowed for Transaction Type 72) 4 = Subsequent Capital Call (Only allowed for Transaction Type 72)
Can only be populated for Transaction Type 01 = Direct Purchase or Transaction Type 72 = Call Event – Client Debit but is not required to be populated.
The field is not allowed for other Transaction Types
42 DTCC Public (White)
4.13 Add verbiage (no coding needed) to Data Dictionary for the Estimated or Actual Value Confirm
• No Coding required • Add best practice verbiage to the definition column: o “If left blank, it is assumed as actual”
See Data Dictionary Field Name Start End Length Type Opt/ Values Definition Req Current Activity Distribution Records (050, 056)
Estimated or Actual Value Confirm 348 348 1 A/N O 1 = Estimated Indicated whether the valuation 2 = Actual is actual or estimated. New Activity Distribution Records (050, 056)
Estimated or Actual Value Confirm 348 348 1 A/N O 1 = Estimated Indicated whether the valuation 2 = Actual is actual or estimated.
If left blank, it is assumed as actual
43 DTCC Public (White)
BR-5 Order Enhancements
Impacted Records • 001 = Firm Order • 002 = Fund Order • 032 = Prepaid Firm Order
5.1 Add new validation for the “Trade Date/Dealing Date – (Business Date)” field
• Add the following Requirement: o Required if the Transaction Code is (06 = Commitment)
See Data Dictionary
Field Name Start End Length Type Opt/ Values Reject Req Code Current Order Records (001, 002, 032) Trade Date/Dealing Date – 94 101 8 N OC mmddccyy 0412 (Business Date) Required If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call
And For all security types on the security general profile except the following: 01 = Hedge Fund 02 = Fund of Funds 12 = Registered Hedge Fund
If not provided in the Order, then it is pulled from the Security Announcement record
HF Security Types (01,02,12) - Backdating is not allowed
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Non-Hedge Funds - Backdating is allowed New Order Records (001, 002, 032) Trade Date/Dealing Date – 94 101 8 N OC mmddccyy 0412 (Business Date) Required If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call 06 = Commitment
And For all security types on the security general profile except the following: 01 = Hedge Fund 02 = Fund of Funds 12 = Registered Hedge Fund
If not provided in the Order, then it is pulled from the Security Announcement record
HF Security Types (01,02,12) - Backdating is not allowed Non-Hedge Funds - Backdating is allowed
45 DTCC Public (White)
5.2 Add new validation for the “Registration Indicator” field
• Add the following Requirement: o Required if the Transaction Code is (06 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/ Values Reject Req Code Current Order Records (001, 002, 032) Registration Indicator 102 102 1 A/N OC Required for initial purchase 0013 (Transaction Code = 01) Otherwise, if not provided, Registration will not be allowed. 0 = No Registration Required 1 = Registration required 2 = Registration submitted before 3 = Registration attached (populated by NSCC on output for the following record types: 011, 012, 043)
Must be 2 on Firm Order (Record Type = 001), Prepaid Firm Order (Record Type = 032), and Fund Order (Record Type = 002) if original purchase (Transaction Code = 01).
New Order Records (001, 002, 032)
Registration Indicator 102 102 1 A/N OC Required if Transaction Code is: 0013 01 = Initial purchase 06 = Commitment
Otherwise, if not provided, Registration will not be allowed. 0 = No Registration Required 1 = Registration required 2 = Registration submitted before 3 = Registration attached (populated
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by NSCC on output for the following record types: 011, 012, 043)
Must be 2 on Firm Order (Record Type = 001), Prepaid Firm Order (Record Type = 032), and Fund Order (Record Type = 002) if original purchase (Transaction Code = 01).
5.3 Add new value for the “Transaction Code” field
• Add new value - 06 = Commitment
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Order Records (001, 002, 032) Transaction Code 120 121 2 A/N R 01 = Initial purchase 0016 02 = Subsequent purchase 03 = Partial Redemption Request 04 = Full Redemption Request 05 = Capital Call New Order Records (001, 002, 032) Transaction Code 120 121 2 A/N R 01 = Initial purchase 0016 02 = Subsequent purchase 03 = Partial Redemption Request 04 = Full Redemption Request 05 = Capital Call 06 = Commitment
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5.4 Add new validation for the “Money Amount” field
• Add the following Requirement: o Required if the Transaction Code is (06 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Order Records (001, 002, 032) Money Amount 133 148 16 N OC Required if Transaction Code is: 0021 01 = Initial purchase 02 = Subsequent purchase 0153 05 = Capital Call
For Purchases settling through NSCC, the money amount must be greater than zero.
Required for Transaction Code - 03 = Partial Redemption Request if Share Quantity is not populated
Both the Share Quantity and Money Amount fields cannot be provided for - 03 = Partial Redemption Request
Zeros are not allowed for Transaction Code (03 - Partial Redemption Request)
Not allowed for Transaction Code - 04 = Full Redemption Request
99999999999999.99 Maximum is 9999999999999.99 per day
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This amount will be settled by NSCC if Settlement Indicator = 1 New Order Records (001, 002, 032) Money Amount 133 148 16 N OC Required if Transaction Code is: 0021 01 = Initial purchase 02 = Subsequent purchase 0153 05 = Capital Call 06 = Commitment
For Purchases settling through NSCC, the money amount must be greater than zero.
Required for Transaction Code - 03 = Partial Redemption Request if Share Quantity is not populated
Both the Share Quantity and Money Amount fields cannot be provided for - 03 = Partial Redemption Request
Zeros are not allowed for Transaction Code (03 - Partial Redemption Request)
Not allowed for Transaction Code - 04 = Full Redemption Request
99999999999999.99 Maximum is 9999999999999.99 per day This amount will be settled by NSCC if Settlement Indicator = 1
49 DTCC Public (White)
5.5 Add new validation for the “Account Registration Name” field
• Add the following requirement: o Required if the Transaction Code is (06 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/Re Values Reject q Code Current Order Records (001, 002, 032) Account Registration Name 248 407 160 A/N OC Required for Initial Purchase 0029 (Transaction Code = 01)
Special characters are allowed New Order Records (001, 002, 032) Account Registration Name 248 407 160 A/N OC Required if Transaction Code is: 0029 01 = Initial purchase 06 = Commitment
Special characters are allowed
50 DTCC Public (White)
5.6 Add new validation for the “RIA/RR Indicator” field
• Add the following Requirement: o Required if Trading Model = 2 o And the Transaction Code is (06 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/ Values Reject Req Code Current Order Records (001, 002, 032) RIA/RR Indicator 428 428 1 A/N OC 1 = Registered Investment Advisor 0031 2 = Registered Representative
Required if Trading Model = 2
And
If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call New Order Records (001, 002, 032) RIA/RR Indicator 428 428 1 A/N OC 1 = Registered Investment Advisor 0031 2 = Registered Representative
Required if Trading Model = 2
And
If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call 06 = Commitment
51 DTCC Public (White)
5.7 Add new validation for the “Introducing Broker Dealer Firm Name / Registered Investment Advisor Firm Name” field
• Add the following Requirement: o Required if Trading Model = 2 o And the Transaction Code is (06 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject eq Code Current Order Records (001, 002, 032)
Introducing Broker Dealer Firm 429 463 35 A/N OC Required if Trading Model = 2 0244 Name / Registered Investment Advisor Firm Name And
If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call
Special characters are allowed New Order Records (001, 002, 032) Introducing Broker Dealer Firm 429 463 35 A/N OC Required if Trading Model = 2 0244 Name / Registered Investment Advisor Firm Name And
If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call 06 = Commitment
Special characters are allowed
52 DTCC Public (White)
5.8 Add new validation for the “Account Representative/Advisor Name” field
• Add the following Requirement: o Required if Trading Model = 2 o And RIA/RR Indicator = 2 o And if the Transaction Code is (06 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject eq Code Current Order Records (001, 002, 032)
Account 464 478 15 A/N OC Required if the following fields 0245 Representative/Advisor are provided: Name Trading Model = 2 RIA/RR Indicator = 2
And
If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call
Special characters are allowed New Order Records (001, 002, 032) Account 464 478 15 A/N OC Required if the following fields 0245 Representative/Advisor are provided: Name Trading Model = 2 RIA/RR Indicator = 2
And
If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call 06 = Commitment
Special characters are allowed
53 DTCC Public (White)
5.9 Add new validation for the “Account Representative/Advisor Number” field
• Add the following Requirement: o Required if Trading Model = 2 o And RIA/RR Indicator = 2 o And Individual CRD/IARD Number is not populated o And Transaction Code is (06 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Order Records (001, 002, 032) Account Representative/Advisor 479 487 9 A/N OC Required if the following fields are 0032 Number provided: Trading Model = 2 RIA/RR Indicator = 2 and Individual CRD/IARD Number is not populated.
And If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call
Special characters are allowed New Order Records (001, 002, 032) Account Representative/Advisor 479 487 9 A/N OC Required if the following fields are 0032 Number provided: Trading Model = 2 RIA/RR Indicator = 2 and Individual CRD/IARD Number is not populated.
And If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call 06 = Commitment Special characters are allowed
54 DTCC Public (White)
5.10 Add new validation for the “Branch ID Number” field
• Add the following Requirement: o Required if Trading Model = 2 o And RIA/RR Indicator = 2 o And if the Transaction Code is (06 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject eq Code Current Order Records (001, 002, 032) Branch ID Number 488 496 9 A/N OC Required if the following fields are 0033 provided: Trading Model = 2 RIA/RR Indicator = 2
And
If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call
Special characters are allowed New Order Records (001, 002, 032) Branch ID Number 488 496 9 A/N OC Required if the following fields are 0033 provided: Trading Model = 2 RIA/RR Indicator = 2
And
If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call 06 = Commitment
Special characters are allowed
55 DTCC Public (White)
5.11 Add new validation for the “Firm CRD Number” field
• Add the following Requirement: o Required if Trading Model = 2 o And if the Transaction Code is (06 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Order Records (001, 002, 032) Firm CRD Number 944 953 10 N OC Required if Trading Model = 2 0335
And
If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call
If less than 10 bytes, pad with leading zeros.
Zeros are allowed. New Order Records (001, 002, 032) Firm CRD Number 944 953 10 N OC Required if Trading Model = 2 0335
And
If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call 06 = Commitment
If less than 10 bytes, pad with leading zeros.
Zeros are allowed.
56 DTCC Public (White)
5.12 Add new validation for the “Individual CRD/IARD Number” field
• Add the following Requirement: o Required if Trading Model = 2 o And RIA/RR Indicator = 2 o And Account Representative/Advisor Number is not populated o And the Transaction Code is (06 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject eq Code Current Order Records (001, 002, 032) Individual CRD/IARD Number 954 963 10 N OC Required if the following fields are 0163 provided: Trading Model = 2 RIA/RR Indicator = 2 and Account Representative/Advisor Number is not populated.
And
If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call
If less than 10 bytes, pad with leading zeros.
Zeros are allowed. New Order Records (001, 002, 032)
Individual CRD/IARD Number 954 963 10 N OC Required if the following fields are 0163 provided: Trading Model = 2 RIA/RR Indicator = 2 and Account Representative/Advisor Number is not populated.
And
If Transaction Code is:
57 DTCC Public (White)
01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call 06 = Commitment
If less than 10 bytes, pad with leading zeros.
Zeros are allowed.
5.13 Add new “Net/Gross indicator “field
• This will be an Optional field • The field will replace Filler field in position 716 • The type will be alpha numeric • This field will be 1 byte in length • Add new Values: o 1 = Net o 2 = Gross
• Add new NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0633 Net/Gross Indicator invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Order Records (001, 002, 032)
Filler 716 718 3 A/N R New Order Records (001, 002, 032) Net/Gross Indicator 716 716 1 A/N O 1 = Net 0633 2 = Gross Filler 717 718 2 A/N R
58 DTCC Public (White)
5.14 Add new “Related Control Number” field
• This will be an Optional field • The field will be added at the end of the record in position 1,030 • The type will be alpha numeric • This field will be 20 bytes in length • The field should have the same validation as the Control Number field, but the first 8 digits should be the Fund Participant Number not the Firm Participant Number o ppppppppyydddnnnnnnn Where: pppppppp = Fund number yy = Year ddd = Julian date nnnnnnn = Unique sequential number • The existing NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0366 Related Control Number missing/invalid will be used
See Data Dictionary Field Name Start End Length Type Opt/ Values Reject Code Req Current Order Records (001, 002, 032) Cost Basis Option 1028 1029 2 A/N O 01 = Fund Default 0587 02 = FIFO (First In, First Out) 03 = LIFO (Last In, First Out) 04 = HIFO (Highest Cost In, First Out) 05= LOFO (Lowest Cost In, First Out) 06 = HILT (Highest Long-Term Cost, First Out) 07 = LILT (Lowest Long-Term Cost, First Out) 08 = HIST (Highest Short-Term Cost, First Out) 09 = Average Cost New Order Records (001, 002, 032) Related Control 1030 1049 20 A/N O ppppppppyydddnnnnnnn 0366 Number Where: pppppppp = Fund number yy = Year ddd = Julian date nnnnnnn = Unique sequential number
59 DTCC Public (White)
BR-6 Order with Registration Enhancements
Impacted Records • 011 = Firm Order with Registration • 012 = Fund Order with Registration • 043 = Prepaid Firm Order with Registration
6.1 Add new validation for the “Trade Date/Dealing Date – (Business Date)” field
• Add the following Requirement: o Required if the Transaction Code is (06 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/ Values Reject Req Code Current Order with Registration Records (011, 012, 043) Trade Date/Dealing Date – 94 101 8 N OC mmddccyy 0412 (Business Date) Required If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call
And For all security types on the security general profile except the following: 01 = Hedge Fund 02 = Fund of Funds 12 = Registered Hedge Fund
If not provided in the Order, then it is pulled from the Security Announcement record
HF Security Types (01,02,12) - Backdating is not allowed Non-Hedge Funds - Backdating is allowed
60 DTCC Public (White)
New Order with Registration Records (011, 012, 043) Trade Date/Dealing Date – 94 101 8 N OC mmddccyy 0412 (Business Date) Required if Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call 06 = Commitment
And For all security types on the security general profile except the following: 01 = Hedge Fund 02 = Fund of Funds 12 = Registered Hedge Fund
If not provided in the Order, then it is pulled from the Security Announcement record
HF Security Types (01,02,12) - Backdating is not allowed Non-Hedge Funds - Backdating is allowed
61 DTCC Public (White)
6.2 Add new value for the “Transaction Code” field
• Add new value - 06 = Commitment
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Order with Registration Records (011, 012, 043) Transaction Code 120 121 2 A/N R 01 = Initial purchase 0016 02 = Subsequent purchase 03 = Partial Redemption Request 04 = Full Redemption Request 05 = Capital Call New Order with Registration Records (011, 012, 043) Transaction Code 120 121 2 A/N R 01 = Initial purchase 0016 02 = Subsequent purchase 03 = Partial Redemption Request 04 = Full Redemption Request 05 = Capital Call 06 = Commitment
62 DTCC Public (White)
6.3 Add new validation for the “Money Amount” field
• Add the following Requirement: o Required if the Transaction Code is (06 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/ Values Reject Code Req Current Order with Registration Records (011, 012, 043) Money Amount 133 148 16 N OC Required for Transaction Codes: 0021 01 = Initial purchase 02 = Subsequent purchase 0153 05 = Capital Call
For Purchases settling through NSCC, the money amount must be greater than zero.
Required for Transaction Code - 03 = Partial Redemption Request if Share Quantity is not populated
Both the Share Quantity and Money Amount fields cannot be provided for - 03 = Partial Redemption Request
Zeros are not allowed for Transaction Code (03 - Partial Redemption Request)
Not allowed for Transaction Code - 04 = Full Redemption Request
99999999999999.99 Maximum is 9999999999999.99 per day This amount will be settled by NSCC if Settlement Indicator = 1 New Order with Registration Records (011, 012, 043) Money Amount 133 148 16 N OC Required if Transaction Code is: 0021 01 = Initial purchase 02 = Subsequent purchase 0153
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05 = Capital Call 06 = Commitment
For Purchases settling through NSCC, the money amount must be greater than zero.
Required for Transaction Code - 03 = Partial Redemption Request if Share Quantity is not populated
Both the Share Quantity and Money Amount fields cannot be provided for - 03 = Partial Redemption Request
Zeros are not allowed for Transaction Code (03 - Partial Redemption Request)
Not allowed for Transaction Code - 04 = Full Redemption Request
99999999999999.99 Maximum is 9999999999999.99 per day This amount will be settled by NSCC if Settlement Indicator = 1
64 DTCC Public (White)
6.4 Rename Field and Rename Value description for LOI/Commitment Letter/Side Letter Indicator
• New Name – “LOI/ROA/Side Letter Indicator” • Rename Value “1 = LOI/Commitment Letter/Side Letter Indictor” to “1 = LOI”
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0101 LOI/ROA/Side Letter Indicator invalid
See Data Dictionary Field Name Start End Length Type Opt/ Values Reject Req Code Current Order with Registration Records (011, 012, 043)
LOI/Commitment Letter/Side 922 922 1 N O 0 = No 0101 Letter Indicator 1 = LOI/Commitment Letter/Side Letter Indicator 2 = ROA 3 = Side Letter New Order with Registration Records (011, 012, 043) LOI/ROA/Side Letter Indicator 922 922 1 N O 0 = No 0101 1 = LOI 2 = ROA 3 = Side Letter
6.5 Rename the “LOI/Commitment Letter/Side Letter value “field
• New Name – “LOI/ROA/Side Letter Value”
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0103 LOI/ROA/Side Letter Value invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject eq Code Current Order with Registration Records (011, 012, 043)
LOI/Commitment Letter/Side 979 994 16 N O 99999999999999.99 0103 Letter Value New Order with Registration Records (011, 012, 043)
LOI/ROA/Side Letter Value 979 994 16 N O 99999999999999.99 0103
65 DTCC Public (White)
6.6 Add new “Net/Gross indicator” field
• This will be an Optional field • The field will replace Filler field in position 715 • The type will be alpha numeric • This field will be 1 byte in length • Add new Values: o 1 = Net o 2 = Gross
• Add new NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0633 Net/Gross Indicator invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject eq Code Current Order with Registration Records (011, 012, 043)
Filler 715 718 4 A/N R New Order with Registration Records (011, 012, 043)
Net/Gross Indicator 715 715 1 A/N O 1 = Net 0633 2 = Gross
66 DTCC Public (White)
6.7 Add new “Account indicator “field
• This will be a Required field • The field will replace Filler field in position 716 • The type will be alpha numeric • This field will be 1 byte in length • Add new Values: o 0 = Domestic o 1 = Foreign o 2 = US Tax Resident Living Abroad o 3 = Foreign Investor Living in US
• Add new NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0634 Account Indicator missing/invalid
See Data Dictionary Field Name Start End Length Type Opt/ Values Reject Code Req Current Order with Registration Records (011, 012, 043)
Filler 715 718 4 A/N R New Order with Registration Records (011, 012, 043) Net/Gross Indicator 715 715 1 A/N O 1 = Net 0633 2 = Gross Account Indicator 716 716 1 A/N R 0 = Domestic 0634 1 = Foreign 2 = US Tax Resident Living Abroad 3 = Foreign Investor Living in U.S. Filler 717 718 2 A/N R
67 DTCC Public (White)
6.8 Add new “Related Control Number” field
• This will be an Optional field • The field will be added at the end of the record in position 3,237 • The type will be alpha numeric • This field will be 20 bytes in length • The field should have the same validation as the Control Number field, but the first 8 digits should be the Fund Participant Number not the Firm Participant Number o ppppppppyydddnnnnnnn Where: pppppppp = Fund number yy = Year ddd = Julian date nnnnnnn = Unique sequential number • The existing NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0366 Related Control Number missing/invalid will be used
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject eq Code Current Order with Registration Records (011, 012, 043) Redemption 3231 3236 6 O 0367 N Percentage 999.999 New Order with Registration Records (011, 012, 043) Related Control 3237 3256 20 A/N O ppppppppyydddnnnnnnn 0366 Number Where: pppppppp = Fund number yy = Year ddd = Julian date nnnnnnn = Unique sequential number
68 DTCC Public (White)
BR-7 Order Acknowledgement-Reject-Exit Enhancements
Impacted Records • 003 = Firm Acknowledgement of Fund Order • 004 = Firm Reject of Fund Order • 005 = Fund Acknowledgement of Firm Order • 006 = Fund Reject of Firm Order • 009 = Firm Exit of Order • 010 = Fund Exit of Order • 036 - Fund Acknowledgement of Prepaid Order • 037 - Fund Reject of Prepaid Order • 038 - Firm Exit of Prepaid Order
7.1 Add new validation for the “Trade Date/Dealing Date – (Business Date)” field
• Add the following Requirement: o Required if the Transaction Code is (06 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/ Values Reject Req Code Current Order Acknowledgement-Reject-Exit Records (003, 004, 005, 006, 009, 010, 036, 037, 038) Trade Date/Dealing Date – 94 101 8 N OC mmddccyy 0412 (Business Date) Required If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call
And For all security types on the security general profile except the following: 01 = Hedge Fund 02 = Fund of Funds 12 = Registered Hedge Fund
If not populated, NSCC will populate with the data provided in the original order record.
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Backdating is allowed.
New Order Acknowledgement-Reject-Exit Records (003, 004, 005, 006, 009, 010, 036, 037, 038) Trade Date/Dealing Date – 94 101 8 N OC mmddccyy 0412 (Business Date) Required If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call 06 = Commitment
And For all security types on the security general profile except the following: 01 = Hedge Fund 02 = Fund of Funds 12 = Registered Hedge Fund
If not populated, NSCC will populate with the data provided in the original order record.
Backdating is allowed.
70 DTCC Public (White)
7.2 Add new “Net/Gross indicator” field
• This will be a Systematically Populated field by NSCC o If populated, NSCC will overlay this field with the data provided in the original transaction • • The field will replace Filler field in position 169 • The type will be alpha numeric • This field will be 1 byte in length
See Data Dictionary Field Name Start End Length Typ Opt/R Values Reject e eq Code Current Order Acknowledgement-Reject-Exit Records (003, 004, 005, 006, 009, 010, 036, 037, 038)
Filler 169 169 1 A/N R Space New Order Acknowledgement-Reject-Exit Records (003, 004, 005, 006, 009, 010, 036, 037, 038) Net/Gross Indicator 169 169 1 A/N S S = Systematically Populated By NSCC 0633
If populated, NSCC will overlay this field with the data provided in the original transaction.
71 DTCC Public (White)
BR-8 Order Correction-Confirmation Enhancements
Impacted Records • 007 = Confirmation • 008 = Correction • 040 = Prepaid Confirmation • 041 = Prepaid Correction • 042 = Contract Note
8.1 Add new validation for the “Trade Date/Dealing Date – (Business Date)” field
• Add the following Requirement: o Required if the Transaction Code is (06 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Order Correction-Confirmation Records (007, 008, 040, 041, 042) Trade Date/Dealing Date 94 101 8 N OC mmddccyy 0412 – (Business Date) Required If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call
And For all security types on the security general profile except the following: 01 = Hedge Fund 02 = Fund of Funds 12 = Registered Hedge Fund
If not provided in the Order, then it is pulled from the Security Announcement record
HF Security Types (01,02,12) - Backdating is not allowed
72 DTCC Public (White)
Non-Hedge Funds - Backdating is allowed New Order Correction-Confirmation Records (007, 008, 040, 041, 042) Trade Date/Dealing Date 94 101 8 N OC mmddccyy 0412 – (Business Date) Required if Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call 06 = Commitment
And For all security types on the security general profile except the following: 01 = Hedge Fund 02 = Fund of Funds 12 = Registered Hedge Fund
If not provided in the Order, then it is pulled from the Security Announcement record
HF Security Types (01,02,12) - Backdating is not allowed Non-Hedge Funds - Backdating is allowed
73 DTCC Public (White)
8.2 Add new value for the “Transaction Code” field
• Add new value - 06 = Commitment
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Order Correction-Confirmation Records (007, 008, 040, 041, 042)
Transaction Code 120 121 2 A/N R 01 = Initial purchase 0016 02 = Subsequent purchase 03 = Partial Redemption Request 04 = Full Redemption Request 05 = Capital Call New Order Correction-Confirmation Records (007, 008, 040, 041, 042) Transaction Code 120 121 2 A/N R 01 = Initial purchase 0016 02 = Subsequent purchase 03 = Partial Redemption Request 04 = Full Redemption Request 05 = Capital Call 06 = Commitment
74 DTCC Public (White)
8.3 Add new validation for the “Money Amount” field
• Add the following Requirement: o Required if the Transaction Code is (06 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/ Values Reject Req Code Current Order Correction-Confirmation Records (007, 008, 040, 041, 042) Money Amount 133 148 16 N OC For the following record types: 0021 007 = Confirmation 040 = Prepaid Confirmation 0153 042 = Contract Note The Money Amount is required and must be greater than 0 for settling transactions.
For the following record types: 008 = Correction 041 = Prepaid Correction
The Money Amount is required if the Transaction Code is: 01 = Initial purchase 02 = Subsequent 05 = Capital Call
And
Required for Transaction Code - 03 = Partial Redemption Request if Share Quantity is not populated
Both the Share Quantity and Money Amount fields cannot be provided for - 03 = Partial Redemption Request
Zeros are not allowed for Transaction Code (03 - Partial Redemption Request)
The Money Amount is not allowed if the Transaction Code - 04 = Full Redemption
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Request
99999999999999.99 Maximum is 9999999999999.99 per day This amount will be settled by NSCC if Settlement Indicator = 1 New Order Correction-Confirmation Records (007, 008, 040, 041, 042) Money Amount 133 148 16 N OC For the following record types: 0021 007 = Confirmation 040 = Prepaid Confirmation 0153 042 = Contract Note The Money Amount is required and must be greater than 0 for settling transactions.
For the following record types: 008 = Correction 041 = Prepaid Correction
The Money Amount is required if the Transaction Code is: 01 = Initial purchase 02 = Subsequent 05 = Capital Call 06 = Commitment
And
Required for Transaction Code - 03 = Partial Redemption Request if Share Quantity is not populated
Both the Share Quantity and Money Amount fields cannot be provided for - 03 = Partial Redemption Request
Zeros are not allowed for Transaction Code (03 - Partial Redemption Request)
The Money Amount is not allowed if the Transaction Code - 04 = Full Redemption
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Request
99999999999999.99 Maximum is 9999999999999.99 per day This amount will be settled by NSCC if Settlement Indicator = 1 Zeros are not allowed for Transaction Code (03 - Partial Redemption Request)
Not allowed for Transaction Code - 04 = Full Redemption Request
99999999999999.99 Maximum is 9999999999999.99 per day This amount will be settled by NSCC if Settlement Indicator = 1
77 DTCC Public (White)
8.4 Add new validation for the “Account Registration Name” field
• Add the following Requirement: o Required if the Transaction Code is (06 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/ Values Reject Req Code Current Order Correction-Confirmation Records (007, 008, 040, 041, 042) Account Registration Name 248 407 160 A/N OC Required for Initial Purchase (Transaction 0029 Code = 01)
Special characters are allowed New Order Correction-Confirmation Records (007, 008, 040, 041, 042) Account Registration Name 248 407 160 A/N OC Required if the Transaction Code is: 0029 01 = Initial purchase 06 = Commitment
Special characters are allowed
78 DTCC Public (White)
8.5 Add new validation for the “RIA/RR Indicator” field
• Add the following Requirement: o Required for Record Types 008 and 041 if Trading Model = 2 o And the Transaction Code is (06 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject eq Code Current Order Correction-Confirmation Records (007, 008, 040, 041, 042) RIA/RR Indicator 428 428 1 A/N OC 1 = Registered Investment Advisor 0031 2 = Registered Representative
Required for record types: 008 = Correction 041 = Prepaid Correction
If the Trading Model = 2
And If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call New Order Correction-Confirmation Records (007, 008, 040, 041, 042)
RIA/RR Indicator 428 428 1 A/N OC 1 = Registered Investment Advisor 0031 2 = Registered Representative
Required for record types: 008 = Correction 041 = Prepaid Correction
If the Trading Model = 2
And If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call 06 = Commitment
79 DTCC Public (White)
8.6 Add new validation for the “Introducing Broker Dealer Firm Name / Registered Investment Advisor Firm Name” field
• Add the following Requirement: o Required for Record Types 008 and 041 if Trading Model = 2 o And the if Transaction Code is (06 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject eq Code Current Order Correction-Confirmation Records (007, 008, 040, 041, 042)
Introducing Broker Dealer Firm 429 463 35 A/N OC Required for record types: 0244 Name / Registered Investment 008 = Correction Advisor Firm Name 041 = Prepaid Correction
If the Trading Model = 2
And
If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call
(Otherwise this field is not allowed to be populated)
Special characters are allowed New Order Correction-Confirmation Records (007, 008, 040, 041, 042) Introducing Broker Dealer Firm 429 463 35 A/N OC Required for record types: 0244 Name / Registered Investment 008 = Correction Advisor Firm Name 041 = Prepaid Correction
If the Trading Model = 2
And
If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase
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05 = Capital Call 06 = Commitment
(Otherwise this field is not allowed to be populated)
Special characters are allowed
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8.7 Add new validation for the “Account Representative/Advisor Name” field
• Add the following Requirement: o Required for Record Types 008 and 041 if Trading Model = 2 o And RIA/RR Indicator = 2 o And if the Transaction Code is (06 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject eq Code Current Order Correction-Confirmation Records (007, 008, 040, 041, 042) Account Representative/Advisor 464 478 15 A/N OC Required for record types: 0245 Name 008 = Correction and 041 = Prepaid Correction
If the Trading Model = 2 RIA/RR Indicator = 2
And If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call
Special characters are allowed New Order Correction-Confirmation Records (007, 008, 040, 041, 042) Account Representative/Advisor 464 478 15 A/N OC Required for record types: 0245 Name 008 = Correction and 041 = Prepaid Correction
If the Trading Model = 2 RIA/RR Indicator = 2
And If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call 06 = Commitment
Special characters are allowed
82 DTCC Public (White)
8.8 Add new validation for the “Account Representative/Advisor Number” field
• Add the following Requirement o Required for Record Types 008 and 041 if Trading Model = 2 o And RIA/RR Indicator = 2 o And Individual CRD/IARD Number is not populated o And the Transaction Code is (06 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject eq Code Current Order Correction-Confirmation Records (007, 008, 040, 041, 042) Account 479 487 9 A/N OC Required for record types: 0032 Representative/Advisor 008 = Correction and Number 041 = Prepaid Correction
If the Trading Model = 2 RIA/RR Indicator = 2 and Individual CRD/IARD Number is not populated
And
If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call
Special characters are allowed New Order Correction-Confirmation Records (007, 008, 040, 041, 042)
Account 479 487 9 A/N OC Required for record types: 0032 Representative/Advisor 008 = Correction and Number 041 = Prepaid Correction
If the Trading Model = 2 RIA/RR Indicator = 2 and Individual CRD/IARD Number is not populated
And
If Transaction Code is: 01 = Initial purchase
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02 = Subsequent purchase 05 = Capital Call 06 = Commitment
Special characters are allowed
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8.9 Add new validation for the “Branch ID Number” field
• Add the following Requirement: o Required for Record Types 008 and 041 if Trading Model = 2 o And RIA/RR Indicator = 2 o And the Transaction Code is (06 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/ Values Reject Req Code Current Order Correction-Confirmation Records (007, 008, 040, 041, 042) Branch ID Number 488 496 9 A/N OC Required for record types: 0033 008 = Correction 041 = Prepaid Correction
If the Trading Model = 2 and RIA/RR Indicator = 2
And
If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call
(Otherwise this field is not allowed to be populated)
Special characters are allowed New Order Correction-Confirmation Records (007, 008, 040, 041, 042) Branch ID Number 488 496 9 A/N OC Required for record types: 0033 008 = Correction 041 = Prepaid Correction
If the Trading Model = 2 and RIA/RR Indicator = 2
And
If Transaction Code is: 01 = Initial purchase
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02 = Subsequent purchase 05 = Capital Call 06 = Commitment
(Otherwise this field is not allowed to be populated)
Special characters are allowed
Special characters are allowed
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8.10 Add new validation for the “Reconfirmation Indicator” field
• Add requirement the following: o “This field cannot be populated for the 008-Correction and 041 Prepaid Correction records”
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject eq Code Current Order Correction-Confirmation Records (007, 008, 040, 041, 042)
Reconfirmation Indicator 592 592 1 A/N OC Required for Confirmation (Record 0589 Types 007 & 040) if this is a Reconfirmation.
Space = First Confirmation or First Confirmation after a Correction
C-Z = Reconfirmation Values
For the first Reconfirmation, the Indicator must begin with “C” and for each subsequent Reconfirmation the indicator must be greater than the previous Reconfirmation Indicator in sequential order.
New Order Correction-Confirmation Records (007, 008, 040, 041, 042) Reconfirmation Indicator 592 592 1 A/N OC Required for Confirmation (Record 0589 Types 007 & 040) if this is a Reconfirmation.
Space = First Confirmation or First Confirmation after a Correction
C-Z = Reconfirmation Values
For the first Reconfirmation, the Indicator must begin with “C” and for each subsequent Reconfirmation the indicator must be greater than the
87 DTCC Public (White)
previous Reconfirmation Indicator in sequential order.
This field cannot be populated for the 008-Correction and 041 Prepaid Correction records.
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8.11 Add new validation for the “Firm CRD Number” field
• Add the following requirement: o Required for Record Types 008 & 041 if Trading Model = 2 o And if the Transaction Code is (06 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/ Values Reject Req Code Current Order Correction-Confirmation Records (007, 008, 040, 041, 042) Firm CRD Number 944 953 10 N OC Required for record types: 0335 008 = Correction 041 = Prepaid Correction If the Trading Model = 2
And
If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call
(Otherwise this field is not allowed to be populated)
If less than 10 bytes, pad with leading zeros.
Zeros are allowed. New Order Correction-Confirmation Records (007, 008, 040, 041, 042) Firm CRD Number 944 953 10 N OC Required for record types: 0335 008 = Correction 041 = Prepaid Correction
If the Trading Model = 2
And
If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call
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06 = Commitment
(Otherwise this field is not allowed to be populated)
If less than 10 bytes, pad with leading zeros.
Zeros are allowed.
90 DTCC Public (White)
8.12 Add new validation for the “Individual CRD/IARD Number” field
• Add the following Requirement o Required for Record Types 008 and 041 if Trading Model = 2 And RIA/RR Indicator = 2 o And Account Representative/Advisor Number is not populated o And if the Transaction Code is (06 = Commitment)
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject eq Code Current Order Correction-Confirmation Records (007, 008, 040, 041, 042) Individual CRD/IARD Number 954 963 10 N OC Required for record types: 0163 008 = Correction and 041 = Prepaid Correction
If the Trading Model = 2, RIA/RR Indicator = 2 and Account Representative/Advisor Number is not populated
And If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call
(Otherwise this field is not allowed to be populated)
If less than 10 bytes, pad with leading zeros.
Zeros are allowed. New Order Correction-Confirmation Records (007, 008, 040, 041, 042) Individual CRD/IARD Number 954 963 10 N OC Required for record types: 0163 008 = Correction and 041 = Prepaid Correction
If the Trading Model = 2, RIA/RR Indicator = 2 and
91 DTCC Public (White)
Account Representative/Advisor Number is not populated
And If Transaction Code is: 01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call 06 = Commitment
(Otherwise this field is not allowed to be populated)
If less than 10 bytes, pad with leading zeros.
Zeros are allowed.
92 DTCC Public (White)
8.13 Add new “Net/Gross indicator “field
• This will be an Optional field • The field will replace Filler field in position 593 • The type will be alpha numeric • This field will be 1 byte in length • Add new Values: o 1 = Net o 2 = Gross
• Add new NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0633 Net/Gross Indicator invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Order Correction-Confirmation Records (007, 008, 040, 041, 042)
Filler 593 709 117 A/N R New Order Correction-Confirmation Records (007, 008, 040, 041, 042)
Net/Gross 593 593 1 A/N O 1 = Net 0633 Indicator 2 = Gross
93 DTCC Public (White)
8.14 Add new “Related Control Number” field
• This will be an Optional field • The field will replace Filler field in position 594 • The type will be alpha numeric • This field will be 20 bytes in length • The field should have the same validation as the Control Number field, but the first 8 digits should be the Fund Participant Number not the Firm Participant Number o ppppppppyydddnnnnnnn Where: pppppppp = Fund number yy = Year ddd = Julian date nnnnnnn = Unique sequential number • The existing NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0366 Related Control Number missing/invalid will be used
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Order Correction-Confirmation Records (007, 008, 040, 041, 042) Filler 593 709 117 A/N R New Order Correction-Confirmation Records (007, 008, 040, 041, 042) Related Control 594 613 20 A/N O ppppppppyydddnnnnnnn 0366 Number Where: pppppppp = Fund number yy = Year ddd = Julian date nnnnnnn = Unique sequential number Filler 614 709 96 A/N R
94 DTCC Public (White)
BR-9 Account Registration/Maintenance Enhancements
Impacted Records • 025 = Account Registration • 053 = Account Maintenance
9.1 Rename field and Value for “LOI/Commitment Letter/Side Letter Indicator “field
• New Name – “LOI/ROA/Side Letter Indicator” • Rename Value “1 = LOI/Commitment Letter/Side Letter Indictor” to “1 = LOI”
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0101 LOI/ROA/Side Letter Indicator invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject eq Code Current Account Registration/Maintenance Records (025, 053) LOI/Commitment Letter/Side 844 844 1 N O 0 = No 0101 Letter Indicator 1 = LOI/Commitment Letter/Side Letter Indicator 2 = ROA 3 = Side Letter New Account Registration/Maintenance Records (025, 053) LOI/ROA/Side Letter Indicator 844 844 1 N O 0 = No 0101 1 = LOI 2 = ROA 3 = Side Letter
95 DTCC Public (White)
9.2 Rename the “LOI/Commitment Letter/Side Letter value” field
• New Name – “LOI/ROA/Side Letter Value”
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0103 LOI/ROA/Side Letter Value invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Account Registration/Maintenance Records (025, 053) LOI/Commitment Letter/Side 901 916 16 N O 99999999999999.99 0103 Letter Value New Account Registration/Maintenance Records (025, 053) LOI/ROA/Side Letter Value 901 916 16 N O 99999999999999.99 0103
96 DTCC Public (White)
9.3 Add new “Account indicator” field
• This will be an Optional Conditional field • The field will replace Filler field in position 164 • The type will be alpha numeric • This field will be 1 byte in length • Add new Values: o 0 = Domestic o 1 = Foreign o 2 = US Tax Resident Living Abroad o 3 = Foreign Investor Living in US
• Add new NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0634 Account Indicator missing/invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Account Registration/Maintenance Records (025, 053)
Filler 164 168 5 A/N R New Account Registration/Maintenance Records (025, 053) Account Indicator 164 164 1 A/N OC Required for record type 025 - 0634 Account Registration
0 = Domestic 1 = Foreign 2 = US Tax Resident Living Abroad 3 = Foreign Investor Living in U.S. Filler 165 168 4 A/N R
97 DTCC Public (White)
BR-10 Account Transfer Enhancements
Impacted Records • 201 = Account Transfer
10.1 Add new “Unitized indicator “field • This will be a Required field • The field will replace Filler field in position 130 • The type will be alpha numeric • This field will be 1 byte in length • Add new Values: o 1 = Unitized o 2 = Capital Balance
• Use existing NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0418 Unitized Indicator missing/invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Account Transfer Records (201)
Filler 120 130 11 A/N R New Account Transfer Records (201) Filler 120 129 10 A/N R Unitized Indicator 130 130 1 A/N R 1 = Unitized 0418 2 = Capital Balance
10.2 Remove “Anticipated Transfer Completion Date” field and replace with “Filler” field
• This field will be removed and replace with a Filler field in position 147 • This field will be 8 bytes in length
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Account Transfer Records (201) Anticipated 147 154 8 A/N R mmddccyy 0559
Transfer Completion Date New Account Transfer Records (201)
Filler 147 154 8 A/N R Spaces
98 DTCC Public (White)
10.3 Remove “Internal Transfer Start Date” and “Internal Transfer End Date” field and replace with “Money Amount” field
• This field will be removed and replace with a Money Amount in position 147 • The new Money Amount field will be 16 bytes numeric • This will be an Optional Conditional field • Required if the Unitized Indicator is 2 = Capital Balance
• The existing NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0021 Dollar Amount missing/invalid will be used
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Account Transfer Records (201) Internal Transfer 191 198 8 N O mmddccyy 0560 Start Date Internal Transfer 199 206 8 N O mmddccyy 0561 End Date New Account Transfer Records (201) Money Amount 191 206 16 N OC 99999999999999.99 0021
Required if the Unitized Indicator = 2 Capital Balance (Zeros are allowed)
99 DTCC Public (White)
10.4 Rename Values and add Values for “Transaction Type” field
• Rename Value “01 = Internal Transfer” to “01 = Transfer” • Add new Values o “03 = Customer to Broker” o “04 = Broker to Broker”
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Account Transfer Records (201) Transaction Type 207 208 2 A/N R 01 = Internal Transfer 0144 02 = Broker to Customer
New Account Transfer Records (201) Transaction Type 207 208 2 A/N R 01 = Transfer 0144 02 = Broker to Customer 03 = Customer to Broker 04 = Broker to Broker
10.5 Rename Values for “Transaction Code “field
• Rename Value “01 = Internal Transfer to New Account” to “01 = Transfer to New Account” • Rename Value “02 = Internal Transfer to Existing Account” to “02 = Transfer to Existing Account”
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Account Transfer Records (201) Transaction Code 209 210 2 A/N R 01 = Internal Transfer to New Account 0016 02 = Internal Transfer to Existing Account
New Account Transfer Records (201) Transaction Code 209 210 2 A/N R 01 = Transfer to New Account 0016 02 = Transfer to Existing Account
100 DTCC Public (White)
10.6 Rename Values for “Transfer Reason code “field
• Rename Value “03 = Correction” to “03 = Custodian Change” • Rename Value “05 = Secondary Markets” to “05 = Re-Registration” • Rename Value “06 = Qualified” to “06 = Required Minimum Distribution (RMD)” • Rename Value “07 = Non-Qualified” to “07 = Bankruptcy” • Rename Value “08 = Bankruptcy” to “08 = Insolvency” • Rename Value “09 = Insolvency” to “09 = Adjudicated Incompetence” • Remove “10 = Adjudicated Incompetence”
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Account Transfer Records (201) Transfer Reason 213 214 2 A/N O 01 = Death 0563 Code 02 = Divorce 03 = Correction 04 = Gift 05 = Secondary Markets 06 = Qualified 07 = Non-Qualified 08 = Bankruptcy 09 = Insolvency 10 = Adjudicated Incompetence New Account Transfer Records (201) Transfer Reason 213 214 2 A/N O 01 = Death 0563 Code 02 = Divorce 03 = Custodian Change 04 = Gift 05 - Re-Registration
06 - Required Minimum Distribution (RMD) 07 = Bankruptcy 08 = Insolvency 09 = Adjudicated Incompetence
101 DTCC Public (White)
10.7 Remove “Process Flow indicator” field and replace with “Trading Model” field
• This “Process Flow Indicator” field will be removed and replaced with the “Trading Model” field • This field will be Required • The field will be alpha numeric • The field will be 1 byte in length • Add new Values o “1 = Self-Clearing Trade” o “2 = Clearing Trade”
• Use existing NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0161 Trading Model missing/invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Account Transfer Records (201) Process Flow 231 231 1 A/N R 0 = No 0566 Indicator 1 = Yes New Account Transfer Records (201) Trading Model 231 231 1 A/N R 1 = Self-Clearing Trade 0161 2 = Clearing Trade
10.8 Remove “Filler” field and replace with “ACATS Related Control Number” field
• This “Filler” field will be removed and replace with “ACATS Related Control Number” field • This field will be Optional • The field will be alpha numeric • The field will be 20 bytes in length • AIP will not validate this field. This field will not allow special characters • Add new NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0635 ACATS Related Control Number invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Account Transfer Records (201)
Filler 232 251 20 A/N R New Account Transfer Records (201) ACATS Related 232 251 20 A/N O Special Characters are not allowed 0635 Control Number
102 DTCC Public (White)
10.9 Rename the “Debit Firm Account Number” field
• New Name – “Delivering Firm Account Number”
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0567 Delivering Firm Account Number missing/invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Account Transfer Records (201) Debit Firm Account 252 271 20 A/N OC Required if the Debit Fund Account Number is 0567 Number NOT provided
New Account Transfer Records (201) Delivering Firm 252 271 20 A/N OC Required if the Delivering Fund Account 0567 Account Number Number is NOT provided
10.10 Rename the “Debit Fund Account Number” field
• New Name – “Delivering Fund Account Number”
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0568 Delivering Fund Account Number missing/invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Account Transfer Records (201)
Debit Fund 272 291 20 A/N OC Required if the Debit Firm Account 0568 Account Number Number is NOT provided New Account Transfer Records (201)
Delivering Fund 272 291 20 A/N OC Required if the Delivering Firm Account 0568 Account Number Number is NOT provided
103 DTCC Public (White)
10.11 Rename the “Debit Closing Balance Amount” field
• New Name – “Delivering Closing Balance Amount”
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0569 Delivering Closing Balance Amount invalid
See Data Dictionary Field Name Start End Length Type Opt/ Values Reject Req Code Current Account Transfer Records (201)
Debit Closing Balance 292 307 16 N O 99999999999999.99 0569 Amount New Account Transfer Records (201)
Delivering Closing 292 307 16 N O 99999999999999.99 0569 Balance Amount
10.12 Rename the “Credit Firm Account Number” field
• New Name – “Receiving Firm Account Number”
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0570 Receiving Firm Account Number missing/invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Account Transfer Records (201) Credit Firm 308 327 20 A/N OC Required if the Credit Fund Account 0570 Account Number Number field is NOT provided
New Account Transfer Records (201) Receiving Firm 308 327 20 A/N OC Required if the Receiving Fund 0570 Account Number Account Number is NOT provided
104 DTCC Public (White)
10.13 Rename and add validation for the “Credit Fund Account Number” field
• New Name – “Receiving Fund Account Number” • Add additional requirement o Required if Transaction Code = 02-Broker to Customer
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0571 Receiving Fund Account Number missing/invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Account Transfer Records (201) Credit Fund Account 328 347 20 A/N OC Required if the Debit Firm Account Number 0571 Number is NOT provided New Account Transfer Records (201) Receiving Fund 328 347 20 A/N OC Required if Transaction Type is 02 = Broker 0571 Account Number to Customer
Required if the Receiving Firm Account Number is NOT provided
10.14 Rename the “Credit Closing Balance Amount” field
• New Name – “Receiving Closing Balance Amount”
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0572 Receiving Closing Balance Amount invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Account Transfer Records (201)
Credit Closing 348 363 16 N O 99999999999999.99 0572 Balance Amount New Account Transfer Records (201)
Receiving Closing 348 363 16 N O 99999999999999.99 0572 Balance Amount
105 DTCC Public (White)
10.15 Add validation for the “RIA/RR indicator “field
• Change requirement from Optional to Optional Conditional • Add requirement o Required if the Trading Model is 2 = Clearing Trade
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Account Transfer Records (201)
RIA/RR Indicator 380 380 1 A/N O 1 = Registered Investment Advisor 0031 2 = Registered Representative
New Account Transfer Records (201)
RIA/RR Indicator 380 380 1 A/N OC 1 = Registered Investment Advisor 0031 2 = Registered Representative
Required if the Trading Model is 2 = Clearing Trade
106 DTCC Public (White)
10.16 Rename and add validation for the “Introducing Broker Dealer Firm Name/Registered Investment Advisor Firm Name” field
• New Name – “Delivering Introducing Broker Dealer Firm Name/Registered Investment Advisor Firm Name” • Change requirement from Optional to Optional Conditional • Add requirement o Required if the Trading Model is 2 = Clearing Trade
• Add new NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0636 Delivering Introducing Broker Dealer Firm Name/Registered Investment Advisor Firm Name length missing/invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Account Transfer Records (201) Introducing Broker 381 415 35 A/N O Special characters are allowed 0636 Dealer Firm Name/Registered Investment Advisor Firm Name New Account Transfer Records (201) Delivering 381 415 35 A/N OC Required if the Trading Model is 2 = 0636 Introducing Broker Clearing Trade Dealer Firm Name/Registered Special characters are allowed Investment Advisor Firm Name
107 DTCC Public (White)
10.17 Add validation for the “Receiving Broker Dealer Firm Name/Registered Investment Advisor Firm Name” field
• Change requirement from Optional to Optional Conditional • Add requirement o Required if the Trading Model is 2 = Clearing Trade
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Account Transfer Records (201) Receiving 416 450 35 A/N O Special characters are allowed 0573 Introducing Broker Dealer Firm Name/Registered Investment Advisor Firm Name New Account Transfer Records (201) Receiving 416 450 35 A/N OC Required if the Trading Model 2 = 0573 Introducing Broker Clearing Trade Dealer Firm Name/Registered Special characters are allowed Investment Advisor Firm Name
108 DTCC Public (White)
10.18 Add verbiage (no coding needed) to Data Dictionary for the “Effective Date” field
• No Coding required • Add best practice verbiage to the definition column: ▪ “The trade date of the Transfer. This field can be past or future dated.”
See Data Dictionary Field Start End Length Type Opt/Req Values Definition Name Current Account Transfer Records (201)
Effective 183 190 8 N R mmddccyy The date the sender requests the Date transaction be effective. The field can (past and future dating is be past or future dated. allowed) New Account Transfer Records (201) Effective 183 190 8 N R mmddccyy The Trade Date of the Transfer Date This field can be past or future (past and future dating is dated. allowed)
109 DTCC Public (White)
10.19 Add verbiage (no coding needed) to Data Dictionary for the “Share Quantity” field
• No Coding required • Add additional statement in the definition field o Zeros are allowed if the Transaction Type is 01 = Full Fund Position Transfer
See Data Dictionary Field Name Start End Length Type Opt/R Values Definition eq Current Account Transfer Records (201) Share Quantity 364 379 16 N OC 9999999999.999999 The share quantity of the trade Required if Transfer Type is (02 = Partial Fund Position Transfer)
zeros are not allowed
New Account Transfer Records (201) Share Quantity 364 379 16 N OC 9999999999.999999 The share quantity of the trade Required if Transfer Type is 02 = Partial Fund Position Zeros are allowed if the Transfer Transfer Type is 01 = Full Fund Position Transfer (zeros are not allowed)
110 DTCC Public (White)
BR-11 Transfer Acknowledgement-Reject-Exit Enhancements
Impacted Records • 202 = Fund Account Transfer Acknowledgement • 203 = Fund Reject of Account Transfer • 204 = Firm Reject of Account Transfer • 205 = Fund Exit of Account Transfer • 206 = Firm Exit of Account Transfer
11.1 Rename and change requirement for the “Transfer Completion Date” field
• This field will change from Optional to “Required” • The new name will be “Anticipated Transfer Completion Date” • The Date cannot be backdated
• Change NSCC Reject Reason Code to – 0559 Anticipated Transfer Completion Date missing/invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject eq Code Current Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Transfer 131 138 8 N O mmddccyy 0574 Completion Date The Fund is allowed to maintain this field to change the transfer completion date. New Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Anticipated 131 138 8 N R mmddccyy 0559 Transfer The date cannot be backdated Completion Date
111 DTCC Public (White)
11.2 Remove “Internal Transfer Start Date” and “Internal Transfer End Date” field and replace with “Money Amount” field
• This field will be removed and replace with a Money Amount in position 147 • The new Money Amount field will be 16 bytes numeric (16,2) • This will be an Optional field • The Money Amount field is only allowed to be populated on the 202 - Fund Account Transfer Acknowledgement, but if not populated it will be systematically populated by NSCC from the original Account Transfer record. All other record types field will be systematically populated by NSCC.
• The existing NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0021 Dollar Amount missing/invalid will be used
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject eq Code Current Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Internal Transfer 177 184 8 N O mmddccyy 0560 Start Date The Fund is allowed to maintain this field to change the internal transfer start date Internal Transfer 185 192 8 N O mmddccyy 0561 End Date The Fund is allowed to maintain this field to change the internal transfer end date New Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Money Amount 177 192 16 N O 99999999999999.99 0021
The Money Amount field is only allowed to be populated on the 202 - Fund Account Transfer Acknowledgement, but if not populated it will be systematically populated by NSCC from the original Account Transfer record.
(Zeros are allowed)
All other record types will be systematically populated by NSCC.
112 DTCC Public (White)
11.3 Change requirement for the “Process Flow indicator” field
• This field will change from Optional to “Optional Conditional” • Required for Record Type - 202 – Fund Account Transfer Acknowledgement • Only the Fund is allowed to populate this record. Records 204 and 206 will reject if populated.
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Process Flow 193 193 1 A/N O 0 = No 0566 Indicator 1 = Yes
For Record Type (202 - Fund Account Transfer Acknowledgement) only:
The Fund is allowed to maintain this field to change the process flow of the account transfer. New Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Process Flow 193 193 1 A/N OC 0 = No 0566 Indicator 1 = Yes
Required for Record Type -202 - Fund Account Transfer Acknowledgement
The Fund is allowed to maintain this field to change the process flow of the account transfer.
113 DTCC Public (White)
11.4 Rename the “Credit Fund Account Number” field
• New Name – “Receiving Fund Account Number”
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0571 Receiving Fund Account Number missing/invalid
See Data Dictionary Field Name Start End Length Type Opt/ Values Reject Code Req Current Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Credit Fund 214 233 20 A/N O The Fund is allowed to maintain this field with their 0571 Account Number Credit Fund Account Number
Special characters are allowed New Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Receiving Fund 214 233 20 A/N O The Fund is allowed to maintain this field with their 0571 Account Number Receiving Fund Account Number
Special characters are allowed
11.5 Rename the “Credit Closing Balance Amount” field
• New Name – “Receiving Closing Balance Amount”
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0572 Receiving Closing Balance Amount invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206)
Credit Closing 234 249 16 N O 99999999999999.99 0572 Balance Amount The Fund is allowed to maintain this field with the closing balance of the credit account. New Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Receiving Closing 234 249 16 N O 99999999999999.99 0572 Balance Amount The Fund is allowed to maintain this field with the closing balance of the receiving account.
114 DTCC Public (White)
11.6 Rename the “Debit Fund Account Number” field
• New Name – “Delivering Fund Account Number”
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0568 Delivering Fund Account Number missing/invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Debit Fund 250 269 20 A/N O The Fund is allowed to 0568 Account maintain this field with Number their Debit Fund Account Number
Special characters are allowed New Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Delivering Fund 250 269 20 A/N O The Fund is allowed to 0568 Account maintain this field with Number their Delivering Fund Account Number
Special characters are allowed
115 DTCC Public (White)
11.7 Rename the “Debit Closing Balance Amount” field
• New Name – “Delivering Closing Balance Amount”
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0569 Delivering Closing Balance Amount invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Debit Closing 270 285 16 N O 99999999999999.99 0569 Balance Amount The Fund is allowed to maintain this field with the closing balance of the debit account. New Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Delivering Closing 270 285 16 N O 99999999999999.99 0569 Balance Amount The Fund is allowed to maintain this field with the closing balance of the delivering account.
116 DTCC Public (White)
11.8 Add new validation and change condition for the “Share Quantity” field
• Remove requirement if Transfer Type = 02 = Partial Fund Position Transfer • Change field from Optional Conditional to Optional • Add this field is only allowed to be populated for the 202 - Fund Account Transfer Acknowledgement record o If Transfer Type is 02 = Partial Fund Position Transfer (zeros are not allowed) o If Transfer Type is 01 = Full Fund Position Transfer (zeros are allowed) • Add this field will Systematically populated for all other record types and if not populated on record 202 from the original Account Transfer record
See Data Dictionary Field Start End Length Type Opt/R Values Definition Name eq Current Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206)
Share 286 301 16 N OC 9999999999.999999 The share quantity of the trade Quantity Required if Transfer Type is (02 = Partial Fund Position Transfer)
The Fund is allowed to change the share quantity field. zeros are not allowed New Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206)
Share 286 301 16 N O 9999999999.999999 The share quantity of the trade Quantity The Share Quantity field is only allowed to be populated on the 202 - Fund Account Transfer Acknowledgement, but if not populated it will be systematically populated by NSCC from the original Account Transfer record. >> If Transfer Type is 02 = Partial Fund Position Transfer (zeros are not allowed) >> Zeros are allowed if the Transfer Type is 01 = Full Fund Position Transfer
All other record types will be systematically populated by NSCC.
117 DTCC Public (White)
11.9 Rename Values for “Transaction code” field
• Rename Value “01 = Internal Transfer to New Account” to “01 = Transfer to New Account” • Rename Value “02 = Internal Transfer to Existing Account” to “02 = Transfer to Existing Account”
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject eq Code Current Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Transaction Code 302 303 2 A/N S S = Systematically populated by NSCC 0016
01 = Internal Transfer to New Account 02 = Internal Transfer to Existing Account
This field is not maintainable, therefore if populated, DTCC will systematically overlay the data with the information populated on the 201 - Account Transfer Record. New Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Transaction Code 302 303 2 A/N S S = Systematically populated by NSCC 0016
01 = Transfer to New Account 02 = Transfer to Existing Account
This field is not maintainable, therefore if populated, NSCC will systematically overlay the data with the information populated on the 201 - Account Transfer Record.
118 DTCC Public (White)
11.10 Rename Values for “Transfer Reason code” field
• Rename Value “03 = Correction” to “03 = Custodian Change” • Rename Value “05 = Secondary Markets” to “05 = Re-Registration” • Rename Value “06 = Qualified” to “06 = Required Minimum Distribution (RMD)” • Rename Value “07 = Non-Qualified” to “07 = Bankruptcy” • Rename Value “08 = Bankruptcy” to “08 = Insolvency” • Rename Value “09 = Insolvency” to “09 = Adjudicated Incompetence” • Remove “10 = Adjudicated Incompetence”
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Transfer Reason 304 305 2 A/N S 01 = Death 0563 Code 02 = Divorce 03 = Correction 04 = Gift 05 = Secondary Markets 06 = Qualified 07 = Non-Qualified 08 = Bankruptcy 09 = Insolvency 10 = Adjudicated Incompetence
This field is not maintainable, therefore if populated, DTCC will systematically overlay the data with the information populated on the 201 - Account Transfer Record. New Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Transfer Reason 304 305 2 A/N S 01 = Death 0563 Code 02 = Divorce 03 = Custodian Change 04 = Gift 05 - Re-Registration 06 - Required Minimum Distribution (RMD) 07 = Bankruptcy
119 DTCC Public (White)
08 = Insolvency 09 = Adjudicated Incompetence
This field is not maintainable, therefore if populated, NSCC will systematically overlay the data with the information populated on the 201 - Account Transfer Record.
120 DTCC Public (White)
11.11 Rename Values and add Values for “Transaction Type” field
• Rename Value “01 = Internal Transfer” to “01 = Transfer” • Add new Values o “03 = Customer to Broker” o “04 = Broker to Broker”
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Transaction Type 306 307 2 A/N S S = Systematically populated by NSCC 0144
01 = Internal Transfer 02 = Internal Broker to Customer
This field is not maintainable, therefore if populated, DTCC will systematically overlay the data with the information populated on the 201 - Account Transfer Record. New Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206)
Transaction Type 304 305 2 A/N S This field is not maintainable, therefore 0144 if populated, NSCC will systematically overlay the data with the information populated on the 201 - Account Transfer Record.
01 = Transfer 02 = Broker to Customer 03 = Customer to Broker 04 = Broker to Broker
121 DTCC Public (White)
11.12 Rename the “Debit Firm Account Number” field
• New Name – “Delivering Firm Account Number”
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0567 Delivering Firm Account Number missing/invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Debit Firm Account 324 343 20 A/N S S = Systematically populated by NSCC 0567 Number This field is not maintainable, therefore if populated, DTCC will systematically overlay the data with the information populated on the 201 - Account Transfer Record. New Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Delivering Firm 324 343 20 A/N S S = Systematically populated by NSCC 0567 Account Number This field is not maintainable, therefore if populated, NSCC will systematically overlay the data with the information populated on the 201 - Account Transfer Record.
122 DTCC Public (White)
11.13 Rename the “Credit Firm Account Number” field
• New Name – “Receiving Firm Account Number”
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0570 Receiving Firm Account Number missing/invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Credit Firm 344 363 20 A/N S S = Systematically populated by NSCC 0570 Account Number This field is not maintainable, therefore if populated, DTCC will systematically overlay the data with the information populated on the 201 - Account Transfer Record. New Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Receiving Firm 344 363 20 A/N S S = Systematically populated by NSCC 0570 Account Number This field is not maintainable, therefore if populated, NSCC will systematically overlay the data with the information populated on the 201 - Account Transfer Record.
123 DTCC Public (White)
11.14 Rename the Introducing Broker Dealer Firm Name/Registered Investment Advisor Firm Name
• New Name – “Delivering Introducing Broker Dealer Firm Name/Registered Investment Advisor Firm Name”
• Add new NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0636 Delivering Introducing Broker Dealer Firm Name/Registered Investment Advisor Firm Name length missing/invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Introducing Broker 365 399 35 A/N S S = Systematically populated by NSCC 0636 Dealer Firm Name/Registered This field is not maintainable, therefore if Investment Advisor populated, DTCC will systematically overlay Firm Name the data with the information populated on the 201 - Account Transfer Record.
Special characters are allowed New Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Delivering 365 399 35 A/N S S = Systematically populated by NSCC 0636 Introducing Broker Dealer Firm This field is not maintainable, therefore if Name/Registered populated, NSCC will systematically overlay Investment Advisor the data with the information populated on Firm Name the 201 - Account Transfer Record.
Special characters are allowed
124 DTCC Public (White)
11.15 Add verbiage (no coding needed) to Data Dictionary for the “Effective Date” field
• No Coding required • Add best practice verbiage to the definition column: ▪ “The Trade Date of the Transfer. This field can be past or future dated.”
See Data Dictionary Field Start End Length Type Opt/Re Values Definition Name q Current Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Effective 167 174 8 N R mmddccyy The date the sender requests the transaction be Date effective. The field can be past or future dated. (past and future dating is allowed) New Transfer Ackn-Reject-Exit Records (202, 203, 204, 205, 206) Effective 167 174 8 N R mmddccyy The Trade Date of the Transfer Date This field can be past or future dated. (past and future dating is allowed)
125 DTCC Public (White)
BR-12 Transfer Confirmation-Correction Enhancements
Impacted Records • 207 = Confirmation of Account Transfer • 208 = Correction of Account Transfer
12.1 Add new “Unitized indicator” field
• This will be a Required field • The field will replace Filler field in position 128 • The type will be alpha numeric • This field will be 1 byte in length • Add new Values: o 1 = Unitized o 2 = Capital Balance
• The existing NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0418 Unitized Indicator missing/invalid will be used
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Transfer Confirmation Correction Records (207, 208)
Filler 120 129 10 A/N R New Transfer Confirmation Correction Records (207, 208)
Filler 120 127 8 A/N R Unitized Indicator 128 128 1 A/N R 1 = Unitized 0418 2 = Capital Balance
126 DTCC Public (White)
12.2 Add new “Reconfirmation Indicator” field
• This field will be Optional Conditional • The field will replace Filler field in position 129 • The field will be alpha numeric • The field will be 1 byte in length • This field is required for any reconfirmation and must increment by one for each subsequent reconfirmation record • Add new Values o “C- Z” • This field cannot be populated for the 208-Correction of Account Transfer record • The existing NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0589 Reconfirmation Indicator missing/invalid will be used
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Transfer Confirmation Correction Records (207, 208) Filler 120 129 10 A/N R Space New Transfer Confirmation Correction Records (207, 208) Filler 120 127 8 A/N R Unitized Indicator 128 128 1 A/N R 1 = Unitized 0418 2 = Capital Balance Reconfirmation 129 129 1 A/N OC Required for Record Type 207 - Confirmation 0589 Indicator of Account Transfer if this is a Reconfirmation.
Space = First Confirmation
C-Z = Reconfirmation Values
For the first Reconfirmation, the Indicator must begin with “C” and for each subsequent Reconfirmation the indicator must be greater than the previous Reconfirmation Indicator in sequential order.
(This field cannot be populated for 208=Correction of Account Transfer record)
127 DTCC Public (White)
12.3 Remove “Internal Transfer Start Date” and “Internal Transfer End Date” field and replace with “Money Amount” field
• These fields will be removed and replace with a Money Amount in position 191 • The new Money Amount field will be 16 bytes numeric • This will be an Optional Conditional field • Required if the Share Quantity Field is not populated
• The existing NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0021 Dollar Amount missing/invalid will be used
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Transfer Confirmation Correction Records (207, 208) Internal Transfer 191 198 8 N O mmddccyy 0560 Start Date Internal Transfer 199 206 8 N O mmddccyy 0561 End Date New Transfer Confirmation Correction Records (207, 208) Money Amount 191 206 16 N OC 99999999999999.99 0021
Required if the Unitized Indicator Field is populated with 2 = Capital Balance
(Zeros are allowed)
128 DTCC Public (White)
12.4 Rename Values and add Values for “Transaction Type” field
• Rename Value “01 = Internal Transfer” to “01 = Transfer” • Add new Values o “03 = Customer to Broker” o “04 = Broker to Broker”
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Transfer Confirmation Correction Records (207, 208) Transaction Type 207 208 2 A/N O 01 = Internal Transfer 0144 02 = Broker to Customer
New Transfer Confirmation Correction Records (207, 208) Transaction Type 207 208 2 A/N O 01 = Transfer 0144 02 = Broker to Customer 03 = Customer to Broker 04 = Broker to Broker
12.5 Rename Values for “Transaction code” field
• Rename Value “01 = Internal Transfer to New Account” to “01 = Transfer to New Account” • Rename Value “02 = Internal Transfer to Existing Account” to “02 = Transfer to Existing Account”
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Transfer Confirmation Correction Records (207, 208) Transaction Code 209 210 2 A/N O 01 = Internal Transfer to New Account 0016 02 = Internal Transfer to Existing Account
New Transfer Confirmation Correction Records (207, 208) Transaction Code 209 210 2 A/N O 01 = Transfer to New Account 0016 02 = Transfer to Existing Account
129 DTCC Public (White)
12.6 Rename Values for “Transfer Reason Code” field
• Rename Value “03 = Correction” to “03 = Custodian Change” • Rename Value “05 = Secondary Markets” to “05 = Re-Registration” • Rename Value “06 = Qualified” to “06 = Required Minimum Distribution (RMD)” • Rename Value “07 = Non-Qualified” to “07 = Bankruptcy” • Rename Value “08 = Bankruptcy” to “08 = Insolvency” • Rename Value “09 = Insolvency” to “09 = Adjudicated Incompetence” • Remove “10 = Adjudicated Incompetence”
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Transfer Confirmation Correction Records (207, 208) Transfer Reason 213 214 2 A/N O 01 = Death 0563 Code 02 = Divorce 03 = Correction 04 = Gift 05 = Secondary Markets 06 = Qualified 07 = Non-Qualified 08 = Bankruptcy 09 = Insolvency 10 = Adjudicated Incompetence New Transfer Confirmation Correction Records (207, 208) Transfer Reason 213 214 2 A/N O 01 = Death 0563 Code 02 = Divorce 03 = Custodian Change 04 = Gift 05 - Re-Registration 06 - Required Minimum Distribution (RMD) 07 = Bankruptcy 08 = Insolvency 09 = Adjudicated Incompetence
130 DTCC Public (White)
12.7 Remove “filler “field and replace with “Trading Model” field
• This “Filler” field will be removed and replaced with the “Trading Model” field • This field will be Optional Conditional o Required if record type is 208 = Correction of Account Transfer o (Otherwise this field is not allowed to be populated) • The field will be alpha numeric • The field will be 1 byte in length • Add new Values o “1 = Self-Clearing Trade” o “2 = Clearing Trade”
• The existing NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0161 Trading Model missing/invalid will be used
See Data Dictionary Field Name Start End Lengt Type Opt/R Values Reject Code h eq Current Transfer Confirmation Correction Records (207, 208) Filler 231 251 21 A/N R Space New Transfer Confirmation Correction Records (207, 208) Trading Model 231 231 1 A/N OC 1 = Self-Clearing Trade 0161 2 = Clearing Trade
Required if record type is 208 = Correction of Account Transfer
(This field cannot be populated for 207=Confirmation of Account Transfer record)
131 DTCC Public (White)
12.8 Remove “filler” field and replace with “ACATS Related Control Number” field
• This “Filler” field will be removed and replace with “ACATS Related Control Number” field • This field will be Optional • The field will be alpha numeric • The field will be 20 bytes in length • AIP will not validate this field. This field will not allow special characters • Add new NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0635 ACATS Related Control Number invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Transfer Confirmation Correction Records (207, 208)
Filler 231 251 21 A/N R
New Transfer Confirmation Correction Records (207, 208)
Trading Model 231 231 1 A/N OC 1 = Self-Clearing Trade 0161 2 = Clearing Trade
Required if record type is 208 = Correction
(Otherwise this field is not allowed to be populated) ACATS Related 232 251 20 A/N O Special Characters are not 0635 Control Number allowed
132 DTCC Public (White)
12.9 Rename the “Debit Firm Account Number” field
• New Name – “Delivering Firm Account Number”
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0567 Delivering Firm Account Number missing/invalid
See Data Dictionary Field Name Start End Length Type Opt/ Values Reject Code Req Current Transfer Confirmation Correction Records (207, 208)
Debit Firm 252 271 20 A/N OC Required if the Debit Fund Account 0567 Account Number Number is NOT provided
New Transfer Confirmation Correction Records (207, 208)
Delivering Firm 252 271 20 A/N OC Required if the Delivering Fund 0567 Account Number Account Number is NOT provided
12.10 Rename the “Debit Fund Account Number” field
• New Name – “Delivering Fund Account Number”
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0568 Delivering Fund Account Number missing/invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Transfer Confirmation Correction Records (207, 208) Debit Fund 272 291 20 A/N OC Required if the Debit Firm Account 0568 Account Number Number is NOT provided New Transfer Confirmation Correction Records (207, 208) Delivering Fund 272 291 20 A/N OC Required if the Delivering Firm Account 0568 Account Number Number is NOT provided
133 DTCC Public (White)
12.11 Rename the “Debit Closing Balance Amount” field
• New Name – “Delivering Closing Balance Amount”
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0569 Delivering Closing Balance Amount invalid
See Data Dictionary Field Name Star End Lengt Typ Opt Values Reject t h e /Re Code q Current Transfer Confirmation Correction Records (207, 208) Debit Closing 292 307 16 N O 99999999999999.99 0569 Balance Amount New Transfer Confirmation Correction Records (207, 208) Delivering Closing 292 307 16 N O 99999999999999.99 0569 Balance Amount
12.12 Rename the “Credit Firm Account Number” field
• New Name – “Receiving Firm Account Number”
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0570 Receiving Firm Account Number missing/invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Transfer Confirmation Correction Records (207, 208)
Credit Firm 308 327 20 A/N OC Required if the Credit Fund Account 0570 Account Number Number field is NOT provided
New Transfer Confirmation Correction Records (207, 208)
Receiving Firm 308 327 20 A/N OC Required if the Receiving Fund Account 0570 Account Number Number is NOT provided
134 DTCC Public (White)
12.13 Rename the “Credit Fund Account Number” field
• New Name – “Receiving Fund Account Number” • Add the following Requirement: o Required for Record Type 208 = Correction of Account Transfer if the Transaction Type is 02 = Broker to Customer
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0571 Receiving Fund Account Number missing/invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Transfer Confirmation Correction Records (207, 208)
Credit Fund 328 347 20 A/N OC Required if the Debit Firm Account 0571 Account Number Number is NOT provided New Transfer Confirmation Correction Records (207, 208)
Receiving Fund 328 347 20 A/N OC Required if the Receiving Firm Account 0571 Account Number Number field is NOT provided
Required for record type: 208 = Correction of Account Transfer If the Transaction Type = 02 – Broker to Customer
12.14 Rename the “Credit Closing Balance Amount” field
• New Name – “Receiving Closing Balance Amount”
• Rename NSCC Reject Reason Code and Firm-Fund Reject-Exit Code – 0572 Receiving Closing Balance Amount invalid
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Transfer Confirmation Correction Records (207, 208) Credit Closing 348 363 16 N O 99999999999999.99 0572 Balance Amount New Transfer Confirmation Correction Records (207, 208) Receiving Closing 348 363 16 N O 99999999999999.99 0572 Balance Amount
135 DTCC Public (White)
12.15 Add validation for the “RIA/RR indicator” field
• Change requirement from Optional to Optional Conditional • Add the following Requirement: o Required for Record Type is 208 = Correction of Account Transfer if the Trading Model is 2 = Clearing Trade o Otherwise this field is not allowed to be populated
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Transfer Confirmation Correction Records (207, 208) RIA/RR Indicator 380 380 1 A/N O 1 = Registered Investment Advisor 0031 2 = Registered Representative
New Transfer Confirmation Correction Records (207, 208) RIA/RR Indicator 380 380 1 A/N OC 1 = Registered Investment Advisor 0031 2 = Registered Representative
Required for record type: 208 = Correction of Account Transfer If the Trading Model = 2
(This field cannot be populated for 207=Confirmation of Account Transfer record)
136 DTCC Public (White)
12.16 Rename and add validation for the “Introducing Broker Dealer Firm Name/Registered Investment Advisor Firm Name” field
• New Name – “Delivering Introducing Broker Dealer Firm Name/Registered Investment Advisor Firm Name” • Change requirement from Optional to Optional Conditional • Add the following Requirement: o Required for Record Type is 208 = Correction of Account Transfer if the Trading Model is 2 = Clearing Trade o Otherwise this field is not allowed to be populated
• Add new NSCC Reject Reason Code and Firm-Fund Reject-Exit Code– 0636 Delivering Introducing Broker Dealer Firm Name/Registered Investment Advisor Firm Name length missing/invalid
See Data Dictionary Field Name Star End Length Type Opt/R Values Reject Code t eq Current Transfer Confirmation Correction Records (207, 208) Introducing Broker 381 415 35 A/N O Special characters are allowed 0636 Dealer Firm Name/Registered Investment Advisor Firm Name New Transfer Confirmation Correction Records (207, 208) Delivering 381 415 35 A/N OC Required for record type: 0636 Introducing Broker 208 = Correction of Account Transfer Dealer Firm If the Trading Model = 2 Name/Registered Investment Advisor (This field cannot be populated for Firm Name 207=Confirmation of Account Transfer record)
Special characters are allowed
137 DTCC Public (White)
12.17 Add validation for the “Receiving Introducing Broker Dealer Firm Name/Registered Investment Advisor Firm Name” field
• Change requirement from Optional to Optional Conditional • Add the following Requirement: o Required for Record Type is 208 = Correction of Account Transfer if the Trading Model is 2 = Clearing Trade o Otherwise this field is not allowed to be populated
See Data Dictionary Field Name Start End Length Type Opt/R Values Reject Code eq Current Transfer Confirmation Correction Records (207, 208) Receiving 416 450 35 A/N O Special characters are allowed 0573 Introducing Broker Dealer Firm Name/Registered Investment Advisor Firm Name New Transfer Confirmation Correction Records (207, 208) Receiving 416 450 35 A/N OC Required for record type: 0573 Introducing Broker 208 = Correction of Account Transfer Dealer Firm If the Trading Model = 2 Name/Registered Investment (This field cannot be populated for Advisor Firm Name 207=Confirmation of Account Transfer record)
Special characters are allowed
138 DTCC Public (White)
12.18 Add verbiage (no coding needed) to Data Dictionary for the “Effective Date” field
• No Coding required • Add best practice verbiage to the definition column: ▪ “The trade date of the Transfer. This field can be past or future dated.”
See Data Dictionary Field Start End Length Type Opt/ Values Definition Name Req Current Transfer Confirmation Correction Records (207, 208)
Effective 183 190 8 N R mmddccyy The date the sender requests the transaction Date be effective. The field can be past or future (past and future dated. dating is allowed) New Transfer Confirmation Correction Records (207, 208) Effective 183 190 8 N R mmddccyy The Trade Date of the Transfer Date This field can be past or future dated. (past and future dating is allowed)
139 DTCC Public (White)
12.19 Add verbiage (no coding needed) to Data Dictionary for the “Share Quantity” field
• No Coding required • Add additional statement to the Data Dictionary o Zeros are allowed if the Transaction Type is 01 = Full Fund Position Transfer
See Data Dictionary Field Name Start End Length Type Opt/ Values Definition Req Current Transfer Confirmation Correction Records (207, 208)
Share Quantity 364 379 16 N OC 9999999999.999999 The share quantity of the trade Required if Transfer Type is 02 = Partial Fund Position Transfer
(zeros are not allowed) New Transfer Confirmation Correction Records (207, 208) Share Quantity 364 379 16 N OC 9999999999.999999 The share quantity of the trade Required if Transfer Type is 02 = Partial Zeros are allowed if the Fund Position Transfer Transfer Type is 01 = Full Fund Position Transfer (zeros are not allowed)
140 DTCC Public (White)
BR-13 New Redemption & Transfer Firm-Fund Reject-Exit Codes
The below new Fund/Firm Reject-Exit Codes will better assist the Firms on clearly identifying the reason why the Fund is rejecting their Redemptions or Transfers through AIP.
Firm-Fund Reject/ Exit Codes
Reject/Exit Codes New Description
0461 Redemption Amount Exceeds Shareholder Balance
0462 The Firm is Not Set-Up at the Fund
0463 Delivering Account Unknown
0464 Delivering Account Balance is Zero
0465 Delivering Account Not Broker Controlled
141 DTCC Public (White)
BR-14 New and Renamed Firm-Fund Reject-Exit Codes List
o New Firm /Fund Reject-Exit Codes in Green o Renamed descriptions in Red
Reject Codes Description
0101 LOI/ROA/Side Letter Indicator invalid
0103 LOI/ROA/Side Letter Value invalid
0140 Total Distribution Amount invalid
0433 Transfer Frequency missing/invalid
0461 Redemption Amount Exceeds Shareholder Balance
0462 The Firm is Not Set-Up at the Fund
0463 Delivering Account Unknown
0464 Delivering Account Balance is Zero
0465 Delivering Account Not Broker Controlled
Delivering Firm Account Number missing/invalid 0567 0568 Delivering Fund Account Number missing/invalid
0569 Delivering Closing balance Amount invalid
0570 Receiving Firm Account Number missing/invalid
0571 Receiving Fund Account Number missing/invalid
0572 Receiving Closing Balance Amount invalid
0582 Direct Purchase/Capital Call Type missing/invalid
0619 Drawdown Commitment Fund Indicator missing/invalid
0620 Transfer Indicator invalid
0621 Account Registration Indicator invalid
0622 Account Maintenance Indicator invalid
0623 Fund is closed for Transfers – This Record Type is not allowed
142 DTCC Public (White)
Fund is closed for Account Registrations – This Record Type is 0624 not allowed
0626 Pending Money Value invalid
0627 ITD Outside Commitment Contributions invalid
0628 ITD Fees and Expenses invalid
0629 ITD Contributions invalid
0630 ITD Non-Recallable Distributions to Date invalid
0631 ITD Recallable Distributions to Date invalid
0632 ITD Distributions to Date invalid
0633 Net/Gross Indicator invalid
0634 Account Indicator missing/invalid
0635 ACATS Related Control Number invalid Delivering Introducing Broker Dealer Firm Name/Registered 0636 Investment Advisor Firm Name length missing/invalid
143 DTCC Public (White)
BR-15 New and Renamed NSCC Reject Reason Codes List
o New NSCC Reject Reason-Exit Codes in Green o Renamed descriptions in Red
Reject Code Description
0101 LOI/ROA/Side Letter Indicator invalid
0103 LOI/ROA/Side Letter Value invalid
0140 Total Distribution Amount invalid Security Subscription/Purchase/Capital Call/Commitment Start Date 0181 missing/invalid Security Subscription/Purchase/Capital Call/Commitment End Date 0182 missing/invalid
0433 Transfer Frequency missing/invalid
0567 Delivering Firm Account Number missing/invalid
0568 Delivering Fund Account Number missing/invalid
0569 Delivering Closing balance Amount invalid
0570 Receiving Firm Account Number missing/invalid
0571 Receiving Fund Account Number missing/invalid
0572 Receiving Closing Balance Amount invalid
0582 Direct Purchase/Capital Call Type missing/invalid
0619 Drawdown Commitment Fund Indicator missing/invalid
0620 Transfer Indicator invalid
0621 Account Registration Indicator invalid
0622 Account Maintenance Indicator invalid
0623 Fund is closed for Transfers – This Record Type is not allowed
0624 Fund is closed for Account Registrations – This Record Type is not allowed
0625 Fund is closed for Account Maintenance – This Record Type is not allowed
144 DTCC Public (White)
0626 Pending Money Value invalid
0627 ITD Outside Commitment Contributions invalid
0628 ITD Fees and Expenses invalid
0629 ITD Contributions invalid
0630 ITD Non-Recallable Distributions to Date invalid
0631 ITD Recallable Distributions to Date invalid
0632 ITD Distributions to Date invalid
0633 Net/Gross Indicator invalid
0634 Account Indicator missing/invalid
0635 ACATS Related Control Number invalid Delivering Introducing Broker Dealer Firm Name/Registered Investment Advisor 0636 Firm Name length missing/invalid
145 DTCC Public (White)
BR-16 AIP Web Platform – Fund Exit Enhancement
The Funds will have the ability to Exit an existing Firm Order by logging into the AIP Web Platform to cancel an existing Firm Order.
• The Fund Exit (010=Fund Exit of Order) is submitted by the Fund to cancel the Order. • The Fund Exit record must be populated with the same Control number of the Original Order transaction. • The Fund Exit record must be sent prior to Settlement Date and cannot be sent before the Order has been Acknowledged. • If a Contract Note has already been received, then the Fund Exit cannot be submitted • AIU will display an “EXIT ORDER” button on the Order Details page if the above requirements are met otherwise the Exit Order button will not be displayed • Once AIP receives the Fund Exit record the transaction is closed and no further action is allowed on the Order transaction.
The 010 = Fund Exit will be systematically created by NSCC and transmitted to the designated broker dealer
16.1 EXIT ORDER” button on the Order Details page
146 DTCC Public (White)
16.2 ARE YOU SURE YOU WANT TO EXIT THIS ORDER?
16.3 THE ORDER TRANSACTION IS NOW” CANCELLED”
147 DTCC Public (White)