DTCCProduct Management

Alternative Investment Product

AIP Non Traded REIT/BDCEnhancements

New Additional Production AIP Output Cycle

  • 2017

Special Note:An issue was discovered in testingthe enhancements, which resulted in changes to the Order with Registration Record (011). The changes are highlighted in greenon page 33.

Milestone 1 / PSE Migration – Effective September 15, 2017 (The new coding will be implemented after the 7:00pm EOD Cycle on September 14, 2017) - (Eastern Time)
Milestone 2 / Production Migration – Effective October 27, 2017 (The new coding will be implemented after the 7:00pm EOD Cycle on October 26, 2017) - (Eastern Time)

Table of Contents

BR-1 Security Announcement Enhancements

BR-2 Order Enhancements

BR-3 Order with Registration Enhancements

BR-4 Account Registration/Maintenance Enhancements

BR-5 Order Acknowledgement/Reject/Exit Enhancements

BR-6 Order Confirmation/Correction/Prepaid Confirmation/Prepaid Correction/Contract Note Enhancements

BR-7 NSCC Reject Codes/Descriptions

BR-8 Firm/Fund Reject Codes/Descriptions

BR-9 New Additional Production Output Processing Cycle Enhancement

BR-1 Security Announcement Enhancements

  • Rename Description on the existing Announcement Type field
  • Existing Description: 01 = Tender Offer
  • New Description: 01 = Tender Offer/Redemption
  • Data Dictionary

Field Name / Start / End / Length / Type / Opt/Req / Values
Current Security Announcement Record (062)
Announcement Type / 136 / 137 / 2 / A/N / R / 00 = Subscription Offer
01 = Tender Offer
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
Announcement Type = 24 and 25 allowed only if Series Eligible
Indicator = 1 on Security General
New Security Announcement Record (062)
Announcement Type / 136 / 137 / 2 / A/N / R / 00 = Subscription Offer
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
Announcement Type = 24 and 25 allowed only if Series Eligible
Indicator = 1 on Security General
  • Rename Description on the existing Trade Date/Dealing Date – (Business Date) field
  • Existing Description: 01 = Tender Offer
  • New Description: 01 = Tender Offer/Redemption
  • Data Dictionary

Field Name / Start / End / Length / Type / Opt/Req / Values
Current Security Announcement Record (062)
Trade Date/Dealing Date – (Business Date) / 201 / 208 / 8 / N / OC / mmddccyy
Required if the Announcement Type is:
00 = Subscription Offer
01 = Tender Offer
10 = Special Tender Offer
14 = Capital Call
New Security Announcement Record (062)
Trade Date/Dealing Date – (Business Date) / 201 / 208 / 8 / N / OC / mmddccyy
Required if the Announcement Type is:
00 = Subscription Offer
01 = Tender Offer/Redemption
10 = Special Tender Offer
14 = Capital Call
  • Rename Description on the existing Tender Offer/Redemption Start Date field
  • Existing Description: 01 = Tender Offer
  • New Description: 01 = Tender Offer/Redemption
  • Data Dictionary

Field Name / Start / End / Length / Type / Opt/Req / Values
Current Security Announcement Record (062)
Tender Offer/Redemption Start Date / 241 / 248 / 8 / N / OC / mmddccyy
Required if the Announcement Type is:
01 = Tender Offer
10 = Special Tender Offer
17 = Recurring Redemption
New Security Announcement Record (062)
Tender Offer/Redemption Start Date / 241 / 248 / 8 / N / OC / mmddccyy
Required if the Announcement Type is:
01 = Tender Offer/Redemption
10 = Special Tender Offer
17 = Recurring Redemption
  • Rename Description on the existing Tender Offer/Redemption End Date field
  • Existing Description:01 = Tender Offer
  • New Description: 01 = Tender Offer/Redemption
  • Data Dictionary

Field Name / Start / End / Length / Type / Opt/Req / Values
Current Security Announcement Record (062)
Tender Offer/Redemption End Date / 249 / 256 / 8 / N / OC / mmddccyy
Required if the Announcement Type is:
01 = Tender Offer
10 = Special Tender Offer
17 = Recurring Redemption
New Security Announcement Record (062)
Tender Offer/Redemption End Date / 249 / 256 / 8 / N / OC / mmddccyy
Required if the Announcement Type is:
01 = Tender Offer/Redemption
10 = Special Tender Offer
17 = Recurring Redemption
  • Rename field name on the existing Total Amount of Tender Offer Dollar field
  • Existing field name: Total Amount of Tender Offer Dollar
  • New field name: Total Amount of Tender Offer/Redemption Dollar
  • Data Dictionary

Field Name / Start / End / Length / Type / Opt/Req / Values
Current Security Announcement Record (062)
Total Amount of Tender Offer Dollars / 257 / 272 / 16 / N / O / 99999999999999.99
New Security Announcement Record (062)
Total Amount of Tender Offer/Redemption Dollars / 257 / 272 / 16 / N / O / 99999999999999.99
  • Rename the existing Fund Settlement Date field and add new validation rules
  • Existing field name: Fund Settlement Date
  • New field name: Settlement Date
  • Required if the Announcement Type is (01 = Tender Offer/Redemption)
  • Data Dictionary

Field Name / Start / End / Length / Type / Opt/Req / Values
Current Security Announcement Record (062)
Fund Settlement Date / 273 / 280 / 8 / N / OC / mmddccyy
Required if the Announcement Type is:
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 / 280 / 8 / N / OC / mmddccyy
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
  • Change condition and add new validation rule on an existing field
  • Existing field name: Rescission Date
  • Existing condition: Optional
  • New condition: Optional Conditional
  • Required if Announcement Type is (01 = Tender Offer/Redemption)
  • Data Dictionary

Field Name / Start / End / Length / Type / Opt/Req / Values
Current Security Announcement Record (062)
Rescission Date / 289 / 296 / 8 / N / O / mmddccyy
New Security Announcement Record (062)
Rescission Date / 289 / 296 / 8 / N / OC / mmddccyy
Required if Announcement Type 01 = Tender Offer/Redemption
  • Add new field name, length, type, condition and reject codes
  • New field name: Total Amount of Tender Offer/Redemption Shares
  • New condition: Optional Field
  • Bytes = 14
  • Use existing numeric format (9999999999.9999)
  • New Reject Codes – 0588 Total Amount of Tender Offer/Redemption Shares invalid
  • Data Dictionary

Field Name / Start / End / Length / Type / Opt/Req / Values
Current Security Announcement Record (062)
Split/Reverse Split Ratio / 469 / 473 / 5 / A/N / OC / 00:00
Requires 2 numbers before and after the colon (:)
Required when the Announcement Type 26 = Split or 27 = Reverse Split; otherwise not allowed
New Security Announcement Record (062)
Total Amount of Tender Offer/Redemption Shares / 474 / 487 / 14 / N / O / 9999999999.9999

BR-2 Order Enhancements

  • Add new validation rule to the existing Trade Date/Dealing Date – (Business Date) field
  • 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
  • Data Dictionary

Field Name / Start / End / Length / Type / Opt/Req / Values
Current Order Record (001, 002, 032)
Trade Date/Dealing Date – (Business Date) / 94 / 101 / 8 / N / OC / mmddccyy
Required 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
New Order Record (001, 002, 032)
Trade Date/Dealing Date – (Business Date) / 94 / 101 / 8 / N / OC / mmddccyy
RequiredIf 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
  • Rename the existing Transaction Code description field
  • Existing Description: 03 = New Redemption Request
  • New Description: 03 = Partial Redemption Request
  • Existing Description: 04 = Redemption Request of Holdback
  • New Description: 04 = Full Redemption Request
  • Data Dictionary

Field Name / Start / End / Length / Type / Opt/Req / Values
Current Order Record (001, 002, 032)
Transaction Code / 120 / 121 / 2 / A/N / R / 01 = Initial purchase
02 = Subsequent purchase
03 = New Redemption Request
04 = Redemption Request of Holdback
05 = Capital Call
New Order Record (001, 002, 032)
Transaction Code / 120 / 121 / 2 / A/N / R / 01 = Initial purchase
02 = Subsequent purchase
03 = PartialRedemption Request
04 = FullRedemption Request
05 = Capital Call
  • Add new validation rule to the existing Money Amount field
  • Required for Transaction Codes

01 = Initial Purchase

02 = Subsequent Purchase

05 = Capital Call

For Purchases settling through NSCC, the money amount must be greater than zero.

  • Change condition on the existingMoney Amount field

Existing condition: Required

New condition: Optional Conditional

  • Add new validation rule to the existing Money Amount field The following Transaction Codes are not allowed:

03 = Partial Redemption

04 = Full Redemption Request

  • Data Dictionary

Field Name / Start / End / Length / Type / Opt/Req / Values
Current Order Record (001, 002, 032)
Money Amount / 133 / 148 / 16 / N / R / 99999999999999.99
Maximum is 9999999999999.99 per day
This amount will be settled by NSCC if Settlement Indicator = 1
If the Settlement Indicator = 1, the money amount must be greater than zero (0).
New Order Record (001, 002, 032)
Money Amount / 133 / 148 / 16 / N / OC / Required for Transaction Codes:
01 = Initial purchase
02 = Subsequent purchase
05 = Capital Call
For Purchases settling through NSCC, the money amount must be greater than zero.
Not allowed for Transaction Codes:
03 = Partial Redemption Request
04 = Full Redemption Request
99999999999999.99
Maximum is 9999999999999.99 per day
This amount will be settled by NSCC if Settlement Indicator = 1
  • Add new validation rule to the existing Share Quantity field
  • Change condition on existingShare Quantityfield

Existing condition: Optional

New condition: Optional Conditional

  • Required for Transaction Code

03 = Partial Redemption Request

Zeros are not allowed for Transaction Code (03 – Partial Redemption Request)

  • Data Dictionary

Field Name / Start / End / Length / Type / Opt/Req / Values
Current Order Record (001, 002, 032)
Share Quantity / 155 / 168 / 14 / N / O / 99999999.999999
New Order Record (001, 002, 032)
Share Quantity / 155 / 168 / 14 / N / OC / 99999999.999999
Required for Transaction Code:
03 = Partial Redemption Request
Zeros are not allowed for Transaction Code (03 - Partial Redemption Request)
  • Remove validation rule on the existing Original Control Number field

Required if Transaction Code = (04 – Redemption Request of Holdback)

  • Change condition on the existingOriginal Control Number field

Existing condition: Optional Conditional

New condition: Optional

  • Data Dictionary

Field Name / Start / End / Length / Type / Opt/Req / Values
Current Order Record (001, 002, 032)
Original Control Number / 408 / 427 / 20 / A/N / OC / Required if Transaction Code = 04 (Redemption Request of Holdback)
New Order Record (001, 002, 032)
Original Control Number / 408 / 427 / 20 / A/N / O
  • Add new validation rule to the existing RIA/RR Indicator field
  • Required if Trading Model = 2 – Clearing Trade (Existing Validation Rule)

And

If Transaction Code is: (New Validation Rule)

01 = Initial Purchase

02 = Subsequent Purchase

05 = Capital Call

  • Data Dictionary

Field Name / Start / End / Length / Type / Opt/Req / Values
Current Order Record (001, 002, 032)
RIA/RR Indicator / 428 / 428 / 1 / A/N / OC / Required if Trading Model = 2
1 = Registered Investment Advisor
2 = Registered Representative
New Order Record (001, 002, 032)
RIA/RR Indicator / 428 / 428 / 1 / A/N / OC / Required if Trading Model = 2 - Clearing Trade
And
If Transaction Code is:
01 = Initial purchase
02 = Subsequent purchase
05 = Capital Call
1 = Registered Investment Advisor
2 = Registered Representative
  • Add new validation rule to the existing Introducing Broker Dealer Firm Name/Registered Investment Advisor Firm Name field
  • Required if Trading Model = 2 – Clearing Trade (Existing Validation Rule)

And

If Transaction Code is (New Validation Rule)

01 = Initial Purchase

02 = Subsequent Purchase

05 = Capital Call

  • Data Dictionary

Field Name / Start / End / Length / Type / Opt/Req / Values
Current Order Record (001, 002, 032)
Introducing Broker Dealer Firm Name / Registered Investment Advisor Firm Name / 429 / 463 / 35 / A/N / OC / Required if Trading Model = 2
Special characters are allowed
New Order Record (001, 002, 032)
Introducing Broker Dealer Firm Name / Registered Investment Advisor Firm Name / 429 / 463 / 35 / A/N / OC / Required if Trading Model = 2 - Clearing Trade
And
If Transaction Codes is:
01 = Initial purchase
02 = Subsequent purchase
05 = Capital Call
Special characters are allowed
  • Add new validation rule to the existing Account Representative/Advisor Name field
  • Required if the following fields are provided:

Trading Model = 2 – Clearing Trade (Existing Validation Rule)

RIA/RR Indicator = 2 – Registered Representative (Existing Validation Rule)

And

If Transaction Code is: (New Validation Rule)

01 = Initial Purchase

02 = Subsequent Purchase

05 = Capital Call

  • Data Dictionary

Field Name / Start / End / Length / Type / Opt/Req / Values
Current Order Record (001, 002, 032)
Account Representative/Advisor Name / 464 / 478 / 15 / A/N / OC / Required if the following fields are provided:
Trading Model = 2
RIA/RR Indicator = 2
Special characters are allowed
New Order Record (001, 002, 032)
Account Representative/Advisor Name / 464 / 478 / 15 / A/N / OC / Required if the following fields are provided:
Trading Model = 2 - Clearing Trade
RIA/RR Indicator = 2 - Registered Representative
And
If Transaction Code is:
01 = Initial purchase
02 = Subsequent purchase
05 = Capital Call
Special characters are allowed
  • Add new validation rule to the existing Account Representative/Advisor Number field
  • Required if the following fields are provided: Trading Model = 2 – Clearing Trade (Existing Validation Rule)

RIA/RR Indicator = 2 – Registered Representative (Existing Validation Rule)

Individual CRD/IARD Number is not populated (Existing Validation Rule)

And

If Transaction Code is: (New Validation Rule)

01 = Initial Purchase

02 = Subsequent Purchase

05 = Capital Call

  • Data Dictionary

Field Name / Start / End / Length / Type / Opt/Req / Values
Current Order Record (001, 002, 032)
Account Representative/Advisor Number / 479 / 487 / 9 / A/N / OC / Required if the following fields are provided:
Trading Model = 2
RIA/RR Indicator = 2 and
Individual CRD/IARD Number is not populated.
Special characters are allowed
New Order Record (001, 002, 032)
Account Representative/Advisor Number / 479 / 487 / 9 / A/N / OC / Required if the following fields are provided:
Trading Model = 2 - Clearing Trade
RIA/RR Indicator = 2 - Registered Representative
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
  • Add new validation rule to the existing Branch ID Number field
  • Required if the following fields are provided:

Trading Model = 2 – Clearing Trade (Existing Validation Rule)

RIA/RR Indicator = 2 – Registered Representative (Existing Validation Rule)

And

If Transaction Code is: (New Validation Rule)

01 = Initial Purchase

02 = Subsequent Purchase

05 = Capital Call

  • Data Dictionary

Field Name / Start / End / Length / Type / Opt/Req / Values
Current Order Record (001, 002, 032)
Branch ID Number / 488 / 496 / 9 / A/N / OC / Required if the following fields are provided:
Trading Model = 2
RIA/RR Indicator = 2
Special characters are allowed
New Order Record (001, 002, 032)
Branch ID Number / 488 / 496 / 9 / A/N / OC / Required if the following fields are provided:
Trading Model = 2 - Clearing Trade
RIA/RR Indicator = 2 - Registered Representative
And
If Transaction Code is:
01 = Initial purchase
02 = Subsequent purchase
05 = Capital Call
Special characters are allowed
  • Rename Description on the existing Trading Model field
  • Existing Description: 1 = Non-clearing Trade
  • New Description: 1 = Self-Clearing Trade
  • Data Dictionary

Field Name / Start / End / Length / Type / Opt/Req / Values
Current Order Record (001, 002, 032)
Trading Model / 713 / 713 / 1 / A/N / R / 1 = Non-clearing Trade
2 = Clearing Trade
New Order Record (001, 002, 032)
Trading Model / 713 / 713 / 1 / A/N / R / 1 =Self-Clearing Trade
2 = Clearing Trade
  • Add new validation rule to the existing Firm CRD Number field
  • Required if Trading Model = 2 – Clearing Trade (Existing Validation Rule)

And

If Transaction Code is: (New Validation Rule)

01 = Initial Purchase

02 = Subsequent Purchase

05 = Capital Call

  • Data Dictionary

Field Name / Start / End / Length / Type / Opt/Req / Values
Current Order Record (001, 002, 032)
Firm CRD Number / 944 / 953 / 10 / N / OC / Required if Trading Model = 2
If less than 10 bytes, pad with leading zeros.
Zeros are allowed.
New Order Record (001, 002, 032)
Firm CRD Number / 944 / 953 / 10 / N / OC / Required if Trading Model = 2 - Clearing Trade
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.
  • Add new validation rule to the existing Individual CRD/IARD Number field
  • Required if the following fields are provided: ` Trading Model = 2 – Clearing Trade (Existing Validation Rule)

RIA/RR Indicator = 2 – Registered Representative (Existing Validation Rule)

Account Representative/Advisor Number is not populated (Existing Validation)

And

If Transaction Code is: (New Validation Rule)

01 = Initial Purchase

02 = Subsequent Purchase

05 = Capital Call

  • Data Dictionary

Field Name / Start / End / Length / Type / Opt/Req / Values
Current Order Record (001, 002, 032)
Individual CRD/IARD Number / 954 / 963 / 10 / N / OC / Required if the following fields are provided:
Trading Model = 2
RIA/RR Indicator = 2 and
Account Representative/Advisor Number is not populated.
If less than 10 bytes, pad with leading zeros.
Zeros are allowed.
New Order Record (001, 002, 032)
Individual CRD/IARD Number / 954 / 963 / 10 / N / OC / Required if the following fields are provided:
Trading Model = 2 - Clearing Trade
RIA/RR Indicator = 2 - Registered Representative
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.
  • Add new field name, values, descriptions, condition, validation rule and reject codes
  • Add New Field Name: Redemption Reason Code
  • Add New Field length: 2 bytes
  • Add New Condition: Optional Conditional
  • Add New Type: A/N – Alpha/Numeric
  • Add New Reject Code - 0584 Redemption Reason Code missing/invalid
  • Add new validation rules:

Required for Transaction Codes

03 = Partial Redemption Request

04 = Full Redemption Request

  • Add New Values and Descriptions:

01 = Regular

02 = Death

03 = Disability

04 = Hardship

05 = Odd Lots

06 = RMD – Required Minimum Distribution

07 = Other/Unknown Exception

  • Data Dictionary

Field Name / Start / End / Length / Type / Opt/Req / Values
Current Order Record (001, 002, 032)
State of Sale / 992 / 993 / 2 / A/N / O / ISO State Code
New Order Record (001, 002, 032)
Redemption Reason Code
/ 994 / 995 / 2 / A/N / OC / Required for Transaction Codes:
03 = Partial Redemption Request
04 = Full Redemption Request
Values
01 = Regular
02 = Death
03 = Disability
04 = Hardship
05 = Odd lots
06 = RMD - Required Minimum Distribution
07 = Other/Unknown Exception
Firm-Fund Reject/ Exit Codes
Reject/Exit Codes / New Description
0584 / Redemption Reason Code missing/invalid
NSCC Reject Reason Codes
NSCC Reject Code / New Description
0584 / Redemption Reason Code missing/invalid
  • Add new field name, values, descriptions, condition, validation rule and reject codes
  • Add New Field Name: CDSC Amount
  • Add New Field length: 16 bytes
  • Add New Condition: Optional
  • Add New Type: N - Numeric
  • Add Format: 999999999999.99
  • Add New Reject Code - 0585 CDSC Amount invalid
  • Data Dictionary

Field Name / Start / End / Length / Type / Opt/Req / Values
Current Order Record (001, 002, 032)
State of Sale / 992 / 993 / 2 / A/N / O / ISO State Code
New Order Record (001, 002, 032)
Redemption Reason Code
/ 994 / 995 / 2 / A/N / OC / Required for Transaction Codes:
03 = Partial Redemption Request
04 = Full Redemption Request
01 = Regular
02 = Death
03 = Disability
04 = Hardship
05 = Odd lots
06 = RMD - Required Minimum Distribution
07 = Other/Unknown Exception
CDSC Amount / 996 / 1011 / 16 / N / O / 999999999999.99
Firm-Fund Reject/ Exit Codes
Reject/Exit Codes / New Description
0585 / CDSC Amount invalid
NSCC Reject Reason Codes
NSCC Reject Code / New Description
0585 / CDSC Amount invalid
  • Add new field name, values, descriptions, condition, validation rule and reject codes
  • Add New Field Name: Redemption Fee
  • Add New Field length: 16 bytes
  • Add New Condition: Optional
  • Add New Type: N - Numeric
  • Add Format: 999999999999.99
  • Add New Reject Codes– 0586Redemption Fee invalid
  • Data Dictionary

Field Name / Start / End / Length / Type / Opt/Req / Values
Current Order Record (001, 002, 032)
State of Sale / 992 / 993 / 2 / A/N / O / ISO State Code
New Order Record (001, 002, 032)
Redemption Reason Code
/ 994 / 995 / 2 / A/N / OC / Required for Transaction Codes:
03 = Partial Redemption Request
04 = Full Redemption Request
Values
01 = Regular
02 = Death
03 = Disability
04 = Hardship
05 = Odd lots
06 = RMD - Required Minimum Distribution
07 = Other/Unknown Exception
CDSC Amount / 996 / 1011 / 16 / N / O / 999999999999.99
Redemption Fee / 1012 / 1027 / 16 / N / O / 999999999999.99
Firm-Fund Reject/ Exit Codes
Reject/Exit Codes / New Description
0586 / Redemption Fee invalid
NSCC Reject Reason Codes
NSCC Reject Code / New Description
0586 / Redemption Fee invalid
  • Add new field name, values, descriptions, condition, validation rule and reject codes
  • Add New Field Name: Cost Basis Option
  • Add New Field length: 2 bytes
  • Add New Condition: Optional
  • Add New Type: A/N – Alpha/Numeric
  • Add New Reject Code – 0587 Cost Basis Option invalid
  • Add New Values and Descriptions:

01 = Fund Default