Pershing Standard File Layouts

PERSHING STANDARD FILE LAYOUTS
FILE LAYOUT FOR: CUSTOMER ACCOUNT INFORMATION
GENERAL INFORMATION
File Frequency: Daily
Record Size: 750 characters
Form Name: ACCT (Update File)/ACCF (Refresh File. The refresh file is NOT
available on a daily basis.)
DESCRIPTION:
All the records in the Customer Account Information file (ACCT and ACCF) are created
from the Name and Address database, which is updated on a nightly basis. ACCF is a full or
refresh file which includes all of your accounts, while ACCT is an update file which only
shows accounts updated that day. Note: ACCF is only available weekly, monthly, or on
demand; not daily. You can customize the data you receive in this file by selecting any or all
of the sections defined below.
The Main Account Information (records A to F and W) is the only segment of the file that is
always sent and the minimum that can be transmitted. These records focus primarily on
information specific to the account, as opposed to specific account holders or participants
associated with the account. Records A and B include generic brokerage information,
instructions, investment objectives, signatory information, USA PATRIOT Act information,
and Institutional ALERT Direct™ information. Records A and B will always be sent for each
account.
Records C to F contain the various addresses associated with the account and will be sent
based on the number of account addresses. Record W contains additional USA PATRIOT
Act information, and account-level telephone numbers.
The Account Holder/Participant Information (records G, H, and X), contain address, phone,
employment, basic Books and Records and USA PATRIOT Act information. There can be
up to 15 groups of records per account. The G, H, and X records will be sent for each account
holder/participant, who is identified by the SEQUENCE NUMBER field in position 42–44,
the ACCOUNT HOLDER TYPE field in position 45-47, and the ACCOUNT
HOLDER/PARTICIPANT (1) ROLE field in position 48-51.
The Custom Data Fields and PONA Supplemental information are found in Records I to J.
Record I includes custom fields 1–10. Record J includes custom fields 11–15 which will be
sent only if there are 11 or more custom fields, or if PONA Supplemental data exists. If there
are PONA Supplemental records, but no custom fields, both Records I and J will be sent
(Record I will be empty).
The Cash Management Account Information resides in records M to O. If this section is
selected, all three records (M, N and O) will be sent if any Cash Management data exists for
ACCT/ACCF
Page 1 Customer Account Information 10-09
the account. Due to an Automated Cash Management (ACAM) system upgrade, starting
February 23,2009, these records will no longer be populated on a same-day basis. They will
continue to be populated, but a day later, similar to other fields fed by our ACAM system
today. You can still receive this information on a same-day basis in the new Asset Movement
Standing Instructions (AMSI) file.
The COD Account Settlement Information is found in record P.
The Retirement Account information is contained in Records R to S. Beneficiary Information
is contained in Records T to V. Record R will always be sent for retirement accounts and if
retirement records are requested. Record S will be sent only if the participant has three or
more phone numbers. There can be up to 20 beneficiaries (10 primary and 10 contingent).
Records T and U will be repeated per beneficiary. Record U is sent only if there are more
than three phone numbers for the beneficiary and/or there is at least one beneficiary trustee.
Record V is present only if a beneficiary is coded as a trustee and there are two or more
beneficiary trustees. A beneficiary can have a maximum of six beneficiary trustees.
Note: If data is not available or not applicable, fields will be populated with spaces ( ). All
“TRANSACTION TYPE CODE” fields and their variations will be spaces on ACCF.
FILE LAYOUT SPECIFICATIONS
HEADER RECORD
POSITION PICTURE TYPE DESCRIPTION

001-018 X(18) AN Literally “BOF PERSHING ” (beginning of
Pershing file)
019-036 X(18) AN Literally “CUSTOMER ACCT INFO”
037-046 X(10) AN Literally “ DATA OF ”
047-056 X(10) AN DATE OF DATA = “MM/DD/CCYY”
057-067 X(11) AN Literally “ TO REMOTE ”
068-071 X(04) AN REMOTE ID = “XXXX”
072-085 X(14) AN Literally “ BEGINS HERE ”
086-095 X(10) AN RUN DATE = “MM/DD/CCYY”
096-096 X(01) AN Not Used
097-104 X(08) AN RUN TIME = “HH:MM:SS”
119-127 X(09) AN Indicates if the file is REFRESHED/UPDATED/NOT
APPLICABLE – literally “REFRESHED”,
“UPDATED ”, or “ ”
128-749 X(622) AN Not Used
750-750 X(01) AN Literally “A”; indicates the end of the header record
ACCT/ACCF
DETAIL RECORD A – MAIN ACCOUNT INFORMATION

001-002 X(02) AN TRANSACTION CODE = “CI”
003-003 X(01) AN RECORD INDICATOR VALUE = “A”
004-011 9(08) N RECORD ID SEQUENCE NUMBER; begins with
“00000001”
012-020 X(09) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASE
ACCOUNT(5); CHECK DIGIT (1)
021-023 X(03) AN INTRODUCING BROKER DEALER NUMBER
025-027 X(03) AN INVESTMENT PROFESSIONAL NUMBER
029-038 X(10) AN ACCOUNT SHORT NAME
041-041 X(01) AN TRANSACTION TYPE; acceptable values include:
“X” or “ ”= Unchanged account
“A” = Add new account
“C” = Change to existing record
042-042 X(01) AN AUTO-TITLED or USER-TITLED ACCOUNT; acceptable
values include:
“F” = Auto-Titled
“S” = User-Titled (opened in PONA or through conversion)
043-043 X(01) AN ACCOUNT TYPE CODE; acceptable values include:
“C” = DVP/RVP
“R” = Retail
“T” = Retirement
“3” = Third Party as Custodian
“4” = 401(k) Self-Directed
044-047 X(04) AN REGISTRATION TYPE; for Account Services only; see
Appendix Q, “ACCT Codes and Values”
048-048 X(01) AN NUMBERED ACCOUNT INDICATOR; acceptable values
include:
“Y” = Numbered Account
“N” = Not a Numbered Account
049-049 X(01) AN NUMBER OF ACCOUNT TITLE LINES IN
REGISTRATION LINES (values 1, 2, 3, 4)
050-081 X(32) AN ACCOUNT REGISTRATION LINE 1
ACCT/ACCF
JNTN, TODJ, CUST AND TRST INFORMATION;
If the Registration Type field in Record A, Positions 44-47 is not one of these values, then the fields in Record A,
Positions 242-262 will not be populated.
JNTN and TODJ ACCOUNTS
242-242 X(01) AN US RESIDENT INDICATOR; acceptable values include:
“N” = No (not a US Resident)
“Y” = Yes (is a US Resident)
243-243 X(01) AN MARRIED INDICATOR; acceptable values include:
“N” = No (is not married)
“Y” = Yes (is married)
“ ” = Not applicable
244-245 X(02) AN TENANCY STATE; see Appendix Q, “ACCT Codes and
Values”
246-249 X(04) AN JOINT TENANCY CLAUSE; acceptable values include:
“CMPP” = Community Property
“CMRS” = Community Property with Right of Survivorship
“JTTN” = Joint Tenants with Right of Survivorship
“TNCM” = Tenants in Common
“TNET” = Tenants by Entirety
“USFT” = USUFRUCT
250-257 9(08) N AGREEMENT EXECUTION DATE = “CCYYMMDD”
258-259 X(02) AN NUMBER OF TENANTS
CUSTODIAN INFORMATION (CUST)
242-243 X(02) AN STATE GIFT GIVEN; see Appendix Q, “ACCT Codes and
Values”
244-251 9(08) N DATE GIFT GIVEN = “CCYYMMDD”
252-253 9(02) N AGE TO TERMINATE
254-261 9(08) N MINOR’S BIRTHDATE = “CCYYMMDD”
262-262 X(01) AN MANNER OF GIFT; acceptable values include:
“C” = Created by Gift
“E” = Exercise by Appointment
“R” = Trust
“T” = Transfer by Fiduciary Order
“W” = Will
TRUST (TRST)
242-242 X(01) AN TYPE OF TRUST; acceptable values include:
“F” = Family Trust
“I” = Irrevocable
“L” = Living (cont.)
ACCT/ACCF
“R” = Revokable
“T” = Testamentary
243-250 9(08) N DATE TRUST ESTABLISHED = “CCYYMMDD”
251-258 9(08) N AMENDED DATE = “CCYYMMDD”
259-259 X(01) AN TRUSTEE INDEPENDENT ACTION; values include:
“N” = Cannot act independently
“Y” = Can act independently
ACCOUNT OPEN/UPDATE/CLOSE DATES
263-270 9(08) N DATE ACCOUNT OPENED = “CCYYMMDD”
271-278 9(08) N DATE ACCOUNT INFORMATION UPDATED =
“CCYYMMDD”
279-279 X(01) AN ACCOUNT STATUS INDICATOR; values include:
“O” = Open
“P” = Pending Close
“C” = Closed
280-287 9(08) N PENDING CLOSED DATE = “CCYYMMDD”
288-295 9(08) N DATE ACCOUNT CLOSED = “CCYYMMDD”
296-303 9(08) N Not Used
304-311 9(08) N ACCOUNT RE-ACTIVATED DATE = “CCYYMMDD”
312-319 9(08) N DATE ACCOUNT RE-OPENED = “CCYYMMDD”
INSTRUCTIONS
320-320 X(01) AN PROCEEDS; acceptable values include:
“1” = Remit (send)
“2” = Hold
“3” = COD (hold)
321-321 X(01) AN TRANSFER INSTRUCTIONS; acceptable values include:
“1” = Register with Issuer
“2” = Transfer to client and hold in safekeeping
“3” = COD Street Name
“4” = Hold in Street Name
322-322 X(01) AN INCOME INSTRUCTIONS; acceptable values include:
“2” = Pay Monthly (send)
“3” = Credit Account (hold)
“4” = COD
323-324 X(02) AN NUMBER OF CONFIRMS FOR THIS ACCOUNT
325-326 X(02) AN NUMBER OF STATEMENTS FOR THIS ACCOUNT
INVESTMENT OBJECTIVE DETAILS
327-327 X(01) AN INVESTMENT OBJECTIVE TRANSACTION CODE,
acceptable values include:
“X” or “ ” = Unchanged record (cont.)
ACCT/ACCF
“A” = Added record
“C” = Changed record
328-353 X(26) AN COMMENTS; (free-form text)
354-368 X(15) AN EMPLOYER SHORTNAME (previously “EMPLOYER”)
369-377 X(09) AN EMPLOYER’S CUSIP®
378-386 X(09) AN EMPLOYER’S SYMBOL
387-387 X(01) AN MARGIN PRIVILEGES REVOKED; values include:
“N” = No
“Y” = Yes
388-395 9(08) N STATEMENT REVIEW DATE = “CCYYMMDD”
396-396 X(01) AN MARGIN PAPERS ON FILE; acceptable values include:
“Y” = Margin Papers on File
“N” = No Margin Papers on File
397-397 X(01) AN OPTION PAPERS ON FILE; acceptable values include:
“Y” = Option Papers on File
“N” = No Option Papers on File
DISCRETION
400-400 X(01) AN INVESTMENT PROFESSIONAL DISCRETION
GRANTED; acceptable values include:
“N” = No
“Y” = Yes
401-401 X(01) AN INVESTMENT ADVISOR DISCRETION GRANTED; values
include:
“N” = No
“Y” = Yes
402-402 X(01) AN THIRD PARTY DISCRETION GRANTED; values include:
“N” = No
“Y” = Yes
403-417 X(15) AN THIRD PARTY NAME (free-form text)
418-418 X(01) AN RISK FACTOR CODE; acceptable values include:
“L” = Low
“M” = Moderate
“S” = Speculation
“H” = High
419-422 X(04) AN INVESTMENT OBJECTIVE CODE; values are either
customer- or Pershing-defined; Pershing defined values:
“I ” = Income
“L ” = Long-Term Growth
“S ” = Short-Term Growth
ACCT/ACCF
OPTION TRADING
423-423 X(01) AN OPTION – EQUITIES; acceptable values include:
“N” = No
“Y” = Yes
424-424 X(01) AN OPTION – INDEX; acceptable values include:
“N” = No
“Y” = Yes
425-425 X(01) AN OPTION – DEBT; acceptable values include:
“N” = No
“Y” = Yes
426-426 X(01) AN OPTION – CURRENCY; acceptable values include:
“N” = No
“Y” = Yes
OPTION LEVELS: Only the highest level will be populated
427-427 X(01) AN OPTION LEVEL 1; acceptable values include:
“O” = Covered Only
“L” = Covered/Long
“S” = Covered/Long/Spreads
“A” = All
431-440 9(10) N OPTION – CALL LIMITS
441-450 9(10) N OPTION – PUT LIMITS
451-460 9(10) N OPTION – TOTAL LIMITS OF PUTS AND CALLS
BROKERAGE INFORMATION
The following field also appears in Record W, position 042, for ease of use
461-461 X(01) AN NON-US DOLLAR TRADING; acceptable values include:
“Y” = Account approved for trading in non-US Dollars
“N” = Not eligible to trade non-US Dollars (default)
462-464 X(03) AN Not Used (Reserved for future use)
465-465 X(01) AN NON-CUSTOMER INDICATOR; acceptable values include:
“ ” = Customer Account
“N” = Firm Account
“P” = Principal/Office Account
“S” = Commission Account
466-467 X(02) AN THIRD PARTY FEE INDICATOR; values include: (cont.)
ACCT/ACCF
“Y ” = Yes
“N ” = No
468-475 9(08) N THIRD PARTY FEE APPROVAL DATE = “CCYYMMDD”
477-478 X(02) AN COMMISSION SCHEDULE; acceptable values include:
“ ” = Standard
“C ” = Discount
479-483 X(05) AN GROUP INDEX
484-486 X(03) AN MONEY MANAGER ID; Money Manager code from old
ACCOUNT MNEMONIC field
487-489 X(03) AN MONEY MANAGER OBJECTIVE ID; Investment Objective
code from old ACCOUNT MNEMONIC field
490-494 X(05) AN DTC ID CONFIRM NUMBER FOR NON-COD ACCOUNT
495-503 X(09) AN CAPS MASTER MNEMONIC; legacy field, no longer used.
Contains previously populated data for customers who have
used it before. It cannot be updated.
504-511 X(08) AN EMPLOYEE ID
512-512 X(01) AN PRIME BROKER/FREE FUND INDICATOR; acceptable
values include:
“B” = Pershing LLC as Prime Broker
“C” = Broker/Dealer Credit
“F” = Free Fund Letter (COD accounts only)
“T” = Broker/Dealer Trust (COD accounts only)
“X” = Execution for Prime Broker (COD accounts only)
513-513 X(01) AN FEE BASED ACCOUNT INDICATOR; values include:
“Y” = Yes; account is Fee Based
“N” = No; account is not Fee Based
514-516 X(03) AN BILLING TYPE; acceptable values include:
“ ” = Standard
“FC ” = Fee Based
517-524 9(08) N FEE BASED TERMINATION DATE = “CCYYMMDD”
525-525 X(01) AN EQUIFAX/CREDIT CHECK INDICATOR; values include:
“N” = Credit check not requested
“Y” = Credit check requested
526-557 X(32) AN SELF-DIRECTED 401(k) PLAN NAME
558-589 X(32) AN SELF-DIRECTED 401(k) ACCOUNT TYPE
590-591 X(02) AN PLAN TYPE; see Appendix D, “Plan Types”
592-601 X(10) AN PLAN NUMBER
602-605 X(04) AN EMPLOYEE/EMPLOYEE RELATIVE INDICATOR;
“ ” = Not applicable (cont.)
ACCT/ACCF
“E ” = Employee
“ER ” = Employee Related
606-623 9(09)v9(09) N COMMISSION PERCENT DISCOUNT; actual percent
discounted
624-624 X(01) AN 12b-1 FEE-BLOCKING INDICATOR; acceptable values
include:
“D” = Use the Default Set at the Introducing Broker/Dealer
(IBD) Level (redefined)
“B” = Block 12b-1 Fees when the IBD Level Default is to Not
Block
“N” = Do not Block 12b-1 Fees when the IBD Level Default is
to Block
“C” = Credit 12b-1 Fee to Customer Account
“ ” = No Value Entered/Not applicable
NEW ACCOUNT FORM SIGNATORY INFORMATION
625-639 X(15) AN NAME OF INVESTMENT PROFESSIONAL WHO SIGNED
NEW ACCOUNT FORM
640-647 9(08) N DATE INVESTMENT PROFESSIONAL SIGNED NEW
ACCOUNT FORM = “CCYYMMDD”
648-662 X(15) AN NAME OF PRINCIPAL WHO SIGNED NEW ACCOUNT
FORM
663-670 9(08) N DATE PRINCIPAL SIGNED NEW ACCOUNT FORM =
“CCYYMMDD”
ACCOUNT LEVEL INFORMATION FOR USA PATRIOT ACT
The following field also appears in Record W, position 062
671-671 X(01) AN POLITICALLY EXPOSED PERSON INDICATOR;
“Y” = Politically Exposed Person
“N” = Not a Politically Exposed Person
“U” = Unknown
672-672 X(01) AN PRIVATE BANKING ACCOUNT INDICATOR;
“Y” = Private Banking Account
“N” = Not a Private Banking Account
“U” = Unknown
The following field also appears in Record W, position 154
673-673 X(01) AN FOREIGN BANK ACCOUNT INDICATOR; acceptable
values include:
“Y” = Account is a Foreign Bank
“N” = Account is not a Foreign Bank
“U” = Unknown
674-677 X(04) AN INITIAL SOURCE OF FUNDS; acceptable values include:
“EINC” = Income from Earnings
“GIFT” = Gift (cont.)
ACCT/ACCF
“INPR” = Investment Proceeds
“SALE” = Sale of Business
“INHT” = Inheritance
“LSET” = Legal Settlement
“RSAV” = Pension/IRA/Retirement Savings
“RLTN” = Spouse/Parent
“GAME” = Lottery/Gaming Proceeds
“INSR” = Insurance Proceeds
“OTHR” = Other
“UNKN” = Unknown
678-681 X(04) AN USA PATRIOT ACT EXEMPT REASON; valid values
include:
“NOEX” = Not Exempt
“CONV” = Conversion
“ERSA” = ERISA
“PEAC” = Pre-existing Account
“PTRD” = Publicly Traded Company
“RBNK” = Regulated Bank
“GVTI” = Government Institution
“UNKN” = Unknown
“IBEX” = IBD Exempt
682-683 X(02) AN COUNTRY OF CITIZENSHIP; see Appendix Q, “ACCT
Codes and Values”
684-685 X(02) AN COUNTRY OF RESIDENCE; see Appendix Q, “ACCT Codes
and Values”
686-693 9(08) N BIRTH DATE = “CCYYMMDD”
704-709 X(06) AN Internal Use (IMS/Prime Broker Code)
710-711 X(02) AN Internal Use (Payout Code)
712-714 X(03) AN Internal Use (Trader Number)
715-718 X(04) AN Internal Use (Product Code)
719-722 X(04) AN Internal Use (Customer Type)
723-726 X(04) AN Internal Use (Account Plan Type)
727-730 X(04) AN Internal Use (Promotion Type)
731-734 X(04) AN Internal Use (Inv Obj)
743-746 X(04) AN FULFILLMENT METHOD; acceptable values include:
“GPDF” = Generate PDF
“BPKG” = Branded Package
“ESIG” = eSignature (paperless)
ACCT/ACCF
747-747 X(01) AN CREDIT INTEREST INDICATOR; valid values include:
“Y” = Earns Credit Interest
“N” = Does not earn Credit Interest
“ ” = Not applicable or available
748-748 X(01) AN AMA INDICATOR, valid values include:
“1” = AMA Cash Account
“2” = AMA Margin Account
“3” = Pending AMA
“4” = Basic AMA
“5” = Pending Basic AMA
“7” = Sweep
“8” = Banklink
749-749 X(01) AN For Pershing Internal Use Only
750-750 X(01) AN Literally “X”; indicates the end of record A
ACCT/ACCF
DETAIL RECORD B– MAIN ACCOUNT INFORMATION

003-003 X(01) AN RECORD INDICATOR VALUE = “B”
“00000001”
TAX INFORMATION
041-041 X(01) AN TAX ID TYPE; acceptable values include:
“N” = Not applicable
“T” = Taxpayer ID Number
“A” = Applied For
“S” = Social Security Number
042-050 X(09) AN TAX ID NUMBER
051-058 9(08) N DATE TAX ID APPLIED FOR = “CCYYMMDD”
059-060 X(02) AN W8-W9 NONE INDICATOR; acceptable values include:
“W8”
“W9”
061-068 9(08) N W8-W9 DATE = “CCYYMMDD”
069-076 9(08) N W8-W9 EFFECTIVE DATE = “CCYYMMDD”
077-080 X(04) AN W8-W9 DOCUMENT TYPE; acceptable values include:
“W8 ” = Foreign Tax Form W8
“W8BE” = Foreign Status Beneficial Owner
“W8CO” = W8 IBD
“W8D ” = Original IRS Form W8
“W8E ” = Expired Foreign Tax Form
“W8EC” = Foreign with effectively connected U.S.
Business/Trade
“W8EX” = Foreign Status for Government/Organization
“W8IM” = Foreign Status for Intermediary
“W9 ” = U.S. Tax Form W9
“W9DT” = Add W9 Per Tax Reporting
“W9WH” = W9 but Subject to Backup Withholding
ACCT/ACCF
081-081 X(01) AN TAX STATUS; acceptable values include:
“ ” = Non-Exempt
“B” = Exempt
“A” = Approved Exempt Retail or Exempt COD accounts
082-082 X(01) AN B NOTICE REASON CODE; acceptable values include
“1” = Missing TIN
“2” = Not Currently Issued TIN
“3” = Incorrect Name/TIN
“5” = TIN/Name without Backup Withholding
“6” = TIN/Name with Backup Withholding
083-102 X(20) AN FIRST B NOTICE STATUS; acceptable values include:
“ACTIVE”
“INACTIVE”
“SATISFIED”
103-110 9(08) N DATE FIRST B NOTICE STATUS ISSUED/ENFORCED =
“CCYYMMDD”
119-126 9(08) N DATE FIRST B NOTICE STATUS SATISFIED =
“CCYYMMDD”
127-146 X(20) AN SECOND B NOTICE STATUS; acceptable values include:
“ACTIVE”
“INACTIVE”
“SATISFIED”
147-154 9(08) N DATE SECOND B NOTICE STATUS ISSUED/ENFORCED
= “CCYYMMDD”
163-170 9(08) N DATE SECOND B NOTICE STATUS SATISFIED =
“CCYYMMDD”
171-190 X(20) AN C NOTICE STATUS; acceptable values include:
“ACTIVE”
“INACTIVE”
“SATISFIED”
191-198 9(08) N DATE C NOTICE STATUS ISSUED/ENFORCED =
“CCYYMMDD”
199-206 9(08) N DATE C NOTICE STATUS SATISFIED = “CCYYMMDD”
OLD ACCOUNT INFORMATION
207-226 X(20) AN OLD ACCOUNT NUMBER
227-234 9(08) N ORIGINAL ACCOUNT OPEN DATE = “CCYYMMDD”
235-346 X(112) AN Not Used
SPECIAL ACCOUNT-LEVEL ROUTING CODES
347-349 X(03) AN ACCOUNT-LEVEL ROUTING CODE; values include
“ADV” = Advent (cont.)
ACCT/ACCF
“APL” = Security APL
“BCS” = Security APL - Individual Strategies
“BNY” = BNY Trust - Lockwood
“CON” = Concord Equity
“DVP” = BNY Trust - APL
“FQI” = CUSO/Fundquest for APL
“HSA” = Bank Health Savings Account
“LKW” = Lockwood business going to Lockwood
“MIL” = Millennium Trust Health Savings Accounts
“MTV” = Metavante Trust Service
“PRM” = WP Stewart
“WAD” = World Advisors
“ ” = No Value Entered/Not applicable
350-352 X(03) AN ACCOUNT-LEVEL ROUTING CODE; (see position 347-
349, above, for values)
371-373 X(03) AN PRIMARY INVESTMENT PROFESSIONAL
374-376 X(03) AN SECONDARY INVESTMENT PROFESSIONAL
401-408 X(08) AN ALERT IM ACRONYM; identifies the buy-side entity, e.g., an
Investment Manager
409-424 X(16) AN ALERT IM ACCESS CODE; identifies the specific account at
the Institution
425-432 X(08) AN BROKER ACRONYM; identifies the sell-side entity, e.g., the
Broker Dealer
433-433 X(01) AN CROSS-REFERENCED INDICATOR; indicates if account is
cross-referenced with ALERT Direct; values include:
“Y” = Account is cross-referenced with ALERT Direct
“N” = Account is not cross-referenced with ALERT Direct
434-434 X(01) AN BNY TRUST INDICATOR; acceptable values include:
“N” = Not a BNY Trust Account
“Y” = Valid BNY Trust Account
435-436 X(02) AN SOURCE OF ASSETS AT ACCOUNT OPENING; values
include:
“E” = Existing Assets
“P” = Partially New Assets
“N” = New Assets
“R” = Default
“ ” = No value entered/Not applicable
ACCT/ACCF
437-437 X(01) AN COMMISSION DISCOUNT CODE; freeform, legacy field
438-457 X(20) AN EXTERNAL ACCOUNT NUMBER; freeform text (“ ” is an
allowable value)
458-458 X(01) AN CONFIRMATION SUPPRESSION INDICATOR; acceptable
values include:
“Y” = Suppress confirmations
“N” = Do not suppress confirmations
459-464 9(06) N LAST MONTH BOOKS AND RECORDS/INVESTMENT
OBJECTIVE INFORMATION WAS MAILED TO
CUSTOMER = CCYYMM
465-470 9(06) N LAST MONTH BOOKS AND RECORDS/INVESTMENT
OBJECTIVE INFORMATION WAS PROVIDED TO
CUSTOMER OUTSIDE THE PERSHING SYSTEM =
CCYYMM
471-471 X(01) AN Reserved for Future Use
472-472 X(01) AN FULLY PAID LENDING AGREEMENT INDICATOR
473-480 9(08) N FULLY PAID LENDING AGREEMENT DATE =
“CCYYMMDD”
481-484 X(04) AN CUSTODIAN ACCOUNT TYPE (for custodian accounts
only); acceptable values include:
“UGMA” = Uniform Gifts to Minors Act
“UTMA” = Uniform Transfers to Minors Act
485-488 X(04) AN MARKETS IN FINANCIAL INSTRUMENTS DIRECTIVE
(MiFID) CLIENT CATEGORIZATION; values include:
“RETL” = Retail Client
“RETP” = Retail Client opting down from Professional
“RETE” = Retail Client opting down from Eligible
Counterparty
“PROF” = Professional Client
“PROR” = Professional Client opting up from Retail Client
“PROE” = Professional Client opting down from Eligible
Counterparty
“ELIG” = Eligible Counterparty
The following fields have been moved from Record M:
489-489 X(01) AN CASH MANAGEMENT TRANSACTION CODE; acceptable
values include:
“X” or “ ” = Unchanged record
“A” = Add
“C” = Change
490-493 X(04) AN SWEEP STATUS INDICATOR; acceptable values include:
“A ” = Active Sweep
“C ” = Closed Sweep (cont.)
ACCT/ACCF
“I ” = Inactive Sweep
“N ” = Non-Participant or No Sweep
494-501 9(08) N DATE SWEEP ACTIVATED = “CCYYMMDD”
502-509 9(08) N DATE SWEEP DETAILS CHANGED = “CCYYMMDD”
510-510 X(01) AN COVER MARGIN DEBIT INDICATOR; acceptable values
include:
“Y” = Yes; sweep to cover margin debt
“N” = No; do not sweep to cover margin debt
FIRST FUND SWEEP INFORMATION
512-518 X(07) AN FIRST FUND SWEEP ACCOUNT ID
519-536 9(09)v9(09) N FIRST FUND SWEEP ACCOUNT PERCENT
537-537 X(01) AN FIRST FUND SWEEP ACCOUNT REDEMPTION
PRIORITY; acceptable values include:
“ ” = When Sweep Status is blank
“1” = Redeem this Fund first
“2” = Redeem this Fund second
SECOND FUND SWEEP INFORMATION
538-544 X(07) AN SECOND FUND SWEEP ACCOUNT ID
545-562 9(09)v9(09) N SECOND FUND SWEEP ACCOUNT PERCENT
563-563 X(01) AN SECOND FUND SWEEP ACCOUNT REDEMPTION
BANKLINK SWEEP INFORMATION
564-564 X(01) AN TYPE OF BANK ACCOUNT; acceptable values include:
“C” = Checking
“S” = Saving
565-573 X(09) AN BANKLINK ABA NUMBER
574-590 X(17) AN BANKLINK DDA NUMBER
The following field has been moved from Record O
594-594 X(01) AN FUND BANK INDICATOR; acceptable values include:
“F” = Fund
“B” = Bank
595-749 X(155) AN Not Used
750-750 X(01) AN Literally “X”; indicates the end of record B
ACCT/ACCF
DETAIL RECORD C – MAIN ACCOUNT INFORMATION, ADDRESS 1-2

003-003 X(01) AN RECORD INDICATOR VALUE = “C”
“00000001”
ACCOUNT ADDRESS #1
041-041 X(01) AN ADDRESS (1) TRANSACTION CODE; values include:
“A” = Add new address
“C” = Change existing address information
042-042 X(01) AN SPECIAL HANDLING INDICATOR (1); values include:
“N” = No special handling required for this address
“Y” = Special handling required for this address
043-043 X(01) AN DELIVERY IDENTIFIER (1) defines the address type that
follows; acceptable values include:
“L” = Mailing
“M” = Legal Address
“D” = Legal and Mailing Addresses are the same and displayed
once on the file
“2” = Legal Address (for COD Accounts only)
“O” = Business 1
“P” = Business 2
“S” = Seasonal 1
“T” = Seasonal 2
“U” = Seasonal 3
044-047 X(04) AN ATTENTION LINE PREFIX (1); acceptable values include:
“ATTN” = Attention of
“C/O ” = Care of
“ ” = May be blank in user-titled accounts
048-075 X(28) AN ATTENTION LINE DETAIL (1)
076-107 X(32) AN ADDRESS (1) LINE 1
ACCT/ACCF
140-171 X(32) AN ADDRESS (1) LINE 3; only if ATTENTION LINE is spaces
172-203 X(32) AN ADDRESS (1) LINE 4; only if country is not US or Canada
204-218 X(15) AN CITY (1); for US/Canada addresses only
219-220 X(02) AN STATE (1); for US/Canada addresses only; see Appendix Q,
“ACCT Codes and Values”
221-235 X(15) AN ZIP (1); for US/Canada addresses only
236-237 X(02) AN COUNTRY CODE (1); see Appendix Q, “ACCT Codes and
Values”
239-246 9(08) N FIRST MAIL RETURN DATE (1) = “CCYYMMDD”
247-271 X(25) AN FIRST MAIL RETURN REASON (1)
272-279 9(08) N SECOND MAIL RETURN DATE (1) = “CCYYMMDD”
280-304 X(25) AN SECOND MAIL RETURN REASON (1)
305-312 9(08) N THIRD MAIL RETURN DATE (1) = “CCYYMMDD”
313-337 X(25) AN THIRD MAIL RETURN REASON (1)
ACCOUNT ADDRESS #2
follows; see DELIVERY IDENTIFIER (1), position 43, for
values
Values”
ACCT/ACCF
SEASONAL ADDRESS DATES
635-635 X(01) AN SEASONAL ADDRESS IDENTIFIER; acceptable values
include:
“S” = Seasonal 1
“T” = Seasonal 2
“U” = Seasonal 3
636-643 9(08) N FROM DATE = “CCYYMMDD”
644-651 9(08) N TO DATE = “CCYYMMDD”
652-652 X(01) AN SEASONAL ADDRESS IDENTIFIER; see position 635 for
values
669-669 X(01) AN SEASONAL ADDRESS IDENTIFIER; see position 635 for
values
750-750 X(01) AN Literally “X”; indicates the end of record C
ACCT/ACCF
DETAIL RECORD D – MAIN ACCOUNT INFORMATION, ADDRESS 3-4

003-003 X(01) AN RECORD INDICATOR VALUE = “D”
“00000001”
ACCOUNT ADDRESS #3
follows; see DELIVERY IDENTIFIER (1), Record C, position
43, for values
Values”
ACCT/ACCF
ACCOUNT ADDRESS #4
340-340 X(01) AN DELIVERY IDENTIFIER (4) defines the address that follows;
type of address; see DELIVERY IDENTIFIER (1), Record C,
position 43, for values
Values”
635-749 X(115) AN Not Used
750-750 X(01) AN Literally “X”; indicates the end of record D
ACCT/ACCF
DETAIL RECORD E – MAIN ACCOUNT INFORMATION, ADDRESS 5-6

003-003 X(01) AN RECORD INDICATOR VALUE = “E”
“00000001”
ACCOUNT ADDRESS #5
43, for values
Values”
ACCT/ACCF
ACCOUNT ADDRESS #6
340-340 X(01) AN DELIVERY IDENTIFIER (6) defines the type of address that
43, for values
Values”
635-749 X(115) AN Not Used
750-750 X(01) AN Literally “X”; indicates the end of record E
ACCT/ACCF
DETAIL RECORD F – MAIN ACCOUNT INFORMATION, ADDRESS 7

003-003 X(01) AN RECORD INDICATOR VALUE = “F”
“00000001”
ACCOUNT ADDRESS #7
43, for values
140-171 X(32) AN ADDRESS (7) LINE 3; only if ATTENTION LINE contains
spaces
172-203 X(32) AN ADDRESS (7) LINE 4; only if the country is not the US or
Canada
Values”
ACCT/ACCF
338-749 X(412) AN Not Used
750-750 X(01) AN Literally “X”; indicates the end of record F
ACCT/ACCF
DETAIL RECORD W – ADDITIONAL ACCOUNT-LEVEL INFORMATION

003-003 X(01) AN RECORD INDICATOR VALUE = “W”
“00000001”
NEW ACCOUNT-LEVEL INFORMATION
041-041 X(01) AN RECORD TRANSACTION CODE; acceptable values include:
“X” or “ ”= Unchanged record
“A” = Added account
“C” = Change to existing record
CURRENCY / LANGUAGE INFORMATION
BELOW FIELD COPIED FROM RECORD A, position 461
042-042 X(01) AN NON-US DOLLAR TRADING; acceptable values include:
“Y” = Account approved for trading in non-US Dollars
“N” = Not eligible to trade non-US Dollars (default)
043-045 X(03) AN BASE CURRENCY; see Appendix N, “Currency Codes”
046-048 X(03) AN INCOME CURRENCY; see Appendix N, “Currency Codes,”
for values, as well as additional acceptable values:
“ISS” = Issue Currency; the currency in which Pershing
receives payment
“POS” = Position Currency; the currency in which the
customer is holding the underlying position
049-051 X(03) AN STATEMENT LANGUAGE; effective 03/2010; values
include:
“ENG” = English
“SPA” = Spanish
“N/A” = Not available
055-055 X(01) AN MSRB Statement Indicator; effective 03/2010; values include:
“Y” = Send Statements
“N” = Do not send Statements
ACCT/ACCF
NEW ACCOUNT-LEVEL INFORMATION BELOW FIELD COPIED FROM RECORD A, position 671-671
062-062 X(01) AN POLITICALLY EXPOSED PERSON INDICATOR;
“Y” = Politically Exposed Person
“N” = Not a Politically Exposed Person
“U” = Unknown
063-087 X(25) AN FIRST NAME OF POLITICALLY EXPOSED PERSON
088-112 X(25) AN LAST NAME OF POLITICALLY EXPOSED PERSON
113-116 X(04) AN SUFFIX OF POLITICALLY EXPOSED PERSON
117-151 X(35) AN POLITICAL OFFICE HELD
152-153 X(02) AN COUNTRY OF OFFICE; see Appendix Q, “ACCT Codes and
Values”
COPIED FROM RECORD A, position 673-673
154-154 X(01) AN FOREIGN BANK ACCOUNT INDICATOR; acceptable
values include:
“Y” = Account is a foreign bank
“N” = Account is not a foreign bank
“U” = Unknown
155-162 9(08) N FOREIGN BANK CERTIFICATION DATE =
“CCYYMMDD”
163-170 9(08) N FOREIGN BANK CERTIFICATION EXPIRATION DATE =
“CCYYMMDD”
171-171 X(01) AN CENTRAL BANK INDICATOR; acceptable values include:
“Y” = Account is a foreign central bank
“N” = Account is not a foreign central bank
“U” = Unknown
The following field applies to Foreign Financial Institutions
172-172 X(01) AN ACCOUNT FOR FOREIGN FINANCIAL INSTITUTION
(non US Bank, non-US branch of US bank, broker dealer,
futures merchant, commodities introducing broker, mutual
fund, money transmitter or currency exchanger); valid values
include:
“Y” = Yes
“N” = No
The following four fields apply to Foreign Banking
173-173 X(01) AN FOREIGN BANK ACCOUNT OPERATING UNDER
OFFSHORE BANKING LICENSE; acceptable values include:
“Y” = Yes
“N” = No
174-174 X(01) AN FOREIGN BANK ACCOUNT OPERATING UNDER A
BANKING LICENSE ISSUED BY A (cont.)
ACCT/ACCF
NON-COOPERATIVE COUNTRY OR TERRITORY;
values include:
“Y” = Yes
“N” = No
175-175 X(01) AN FOREIGN BANK ACCOUNT OPERATING UNDER A
BANKING LICENSE ISSUED BY A JURISDICTION
SUBJECT TO SECTION 311 MEASURES; values include:
“Y” = Yes
“N” = No
176-177 9(02) N NUMBER OF PEOPLE OR ENTITIES THAT OWN 10% OR
MORE OF THE BANK (IF THE BANK IS NOT PUBLICLY
TRADED); acceptable values are 00 - 15
ACCOUNT-LEVEL TELEPHONE NUMBER
Note: Telephone numbers will appear in alphabetical order based on TELEPHONE TYPE ID.
TELEPHONE NUMBER 1
182-182 X(01) AN TELEPHONE 1 TRANSACTION CODE; values include:
“A” = Add telephone number
“C” = Change existing telephone number
183-183 X(01) AN US/INTERNATIONAL INDICATOR (1); (N/A for user-
defined accounts); acceptable values include:
“U” = US/Canada
“F” = International
184-184 X(01) AN TELEPHONE TYPE ID (1); acceptable values include:
“B” = Business
“C” = Cellular
“E” = Beeper
“F” = Fax
“H” = Home
“S” = Seasonal
“T” = Telex
“V” = Voice Mail
185-232 X(48) AN TELEPHONE NUMBER (1)
233-239 X(07) AN TELEPHONE EXTENSION (1) (N/A for user-defined
accounts)
TELEPHONE NUMBER 2
ACCT/ACCF
241-241 X(01) AN US/INTERNATIONAL INDICATOR (2); (N/A for user-
defined accounts); acceptable values include
“U” = US/Canada
242-242 X(01) AN TELEPHONE TYPE ID (2); see TELEPHONE TYPE ID (1),
291-297 X(07) AN TELEPHONE EXTENSION (2)
TELEPHONE NUMBER 3
299-299 X(01) AN US/INTERNATIONAL INDICATOR (3); acceptable values
include:
“U” = US/Canada
TELEPHONE NUMBER 4
include
“U” = US/Canada
TELPEHONE NUMBER 5
include
“U” = US/Canada
ACCT/ACCF
TELEPHONE NUMBER 6
473-473 X(01) AN US/INTERNATIONAL INDICATOR (6); values include
“U” = US/Canada
TELEPHONE NUMBER 7
531-531 X(01) AN US/INTERNATIONAL INDICATOR (7); values include
“U” = US/Canada
TELEPHONE NUMBER 8
include
“U” = US/Canada
646-695 X(50) AN E-MAIL ADDRESS
ACCT/ACCF
696-696 X(01) AN SHELL ACCOUNT INDICATOR; effective 01/2010;
values include:
“Y” = Account is a Shell Account
“N” = Account is not a Shell Account (default)
697-697 X(01) AN PURGE ELIGIBLE INDICATOR; effective 01/2010;
values include:
“Y” = Account is Purge Eligible (default)
“N” = Account is not Purge Eligible
750-750 X(01) AN Literally “X”; indicates the end of record W
ACCT/ACCF
DETAIL RECORD G – ACCOUNT HOLDER/PARTICIPANT INFORMATION

003-003 X(01) AN RECORD INDICATOR VALUE = “G”
“00000001”
041-041 X(01) AN ACCOUNT HOLDER/PARTICIPANT TRANSACTION
CODE; acceptable values include:
“A” = Add Account Holder/Participant
“C” = Change existing Account Holder/Participant
ACCOUNT HOLDER/PARTICIPANT SECONDARY IDENTIFIERS
042-044 X(03) AN SEQUENCE NUMBER; valid values are 001 through 015
045-047 X(03) AN ACCOUNT HOLDER TYPE; acceptable values include:
“AH ” = Account Holder
“B&R” = Books and Records participant
“IPP” = Interested Party participant
048-051 X(04) AN ACCOUNT HOLDER/PARTICIPANT (1) ROLE; for
Account Holder Roles and Participant Roles , see Appendix Q,
ACCOUNT HOLDER/PARTICIPANT NAME AREA
052-052 X(01) AN ACCOUNT HOLDER/PARTICIPANT (1) NAME TYPE;
“I” = Individual (Formatted)
“E” = Entity (Free-form text or no name on file)
“M” = Memo (for Interested Party Type only – free-form text)
053-084 X(32) AN ACCOUNT HOLDER/PARTICIPANT (1) PREFIX/SUFFIX
or ENTITY NAME / MEMO FREE-FORM LINE 1; if NAME
TYPE = “I,” then one of the following values using the first 4
characters of the field will be used; the second 4 characters can
be used for a suffix, and remaining 24 characters will be blank;
“ ”
“DR ” (cont.)
ACCT/ACCF
“MDM ”
“MR ”
“MS ”
“MRS ”
“SIR ”
If NAME TYPE = “E” OR “M” then it will be free-form text
and can be blank
085-116 X(32) AN ACCOUNT HOLDER/PARTICIPANT (1) FIRST NAME or
ENTITY NAME / MEMO FREE-FORM LINE 2; if NAME
TYPE = “I” then this field will contain the first name; if
NAME TYPE = “E” or “M” then, it will be free-form text and
can be blank
117-148 X(32) AN ACCOUNT HOLDER/PARTICIPANT (1) MIDDLE
INITIAL/NAME or ENTITY NAME / MEMO FREE-FORM
LINE 3; if NAME TYPE = “I,” then this field will contain the
middle initial/name; if NAME TYPE = “E” or “M” then it will
be free-form text and can be blank
149-180 X(32) AN ACCOUNT HOLDER/PARTICIPANT (1) LAST NAME or
ENTITY NAME / MEMO FREE-FORM LINE 4; if NAME
TYPE = “I,” then this field will contain the last name; if
NAME TYPE = “E” or “M” then it will be free-form text and
can be blank
ACCOUNT HOLDER/PARTICIPANT ADDRESS AREA (FIRST)
181-181 X(01) AN DELIVERY IDENTIFIER; defines the type of address that
“M” = Legal
“L” = Mailing
“D” = Dual (Legal and Mailing addresses are the same for this
participant and are displayed for this iteration only)
182-182 X(01) AN SPECIAL HANDLING INDICATOR; acceptable values
include:
“N” = No special handling (default value)
“Y” = Special handling required (mandatory for international
addresses)
183-186 X(04) AN ATTENTION LINE PREFIX; acceptable values include:
187-214 X(28) AN ATTENTION LINE DETAIL
215-246 X(32) AN STREET ADDRESS LINE 1 or MEMO FREE-FORM LINE 5
247-278 X(32) AN STREET ADDRESS LINE 2 or MEMO FREE-FORM LINE 6
279-310 X(32) AN STREET ADDRESS LINE 3; only if ATTENTION LINE is
spaces
311-342 X(32) AN STREET ADDRESS LINE 4; only if country is not US or
Canada
ACCT/ACCF
343-357 X(15) AN CITY; for US/Canada addresses only
358-359 X(02) AN STATE; for US/Canada addresses only see Appendix Q,
360-374 X(15) AN ZIP/POSTAL CODE; for US/Canada addresses only
375-376 X(02) AN COUNTRY CODE; see Appendix Q, “ACCT Codes and
Values”
ACCOUNT HOLDER/PARTICIPANT ADDRESS AREA (SECOND)
379-379 X(01) AN DELIVERY IDENTIFIER; defines the type of address that
“M” = Legal
“L” = Mailing
include:
“Y” = Special handling required (mandatory for international
addresses)
413-444 X(32) AN STREET ADDRESS LINE 1
spaces
509-540 X(32) AN STREET ADDRESS LINE 4; only if country is not US or
Canada
556-557 X(02) AN STATE; for US/Canadian addresses only; see Appendix Q,
Values”
ACCOUNT HOLDER/PARTICIPANT INFORMATION (includes USA PATRIOT ACT account information)
577-577 X(01) AN NATURAL/NON-NATURAL INDICATOR; acceptable
values include:
“I” = Individual/Person\
“E” = Entity/Business/Nonperson
“U” = Unknown
“M” = Memo
578-578 X(01) AN CONFIRMATION RECEIPT INDICATOR; (cont.)
ACCT/ACCF
“Y” = Receives Confirmations
“N” = Does Not Receive Confirmations
579-579 X(01) AN STATEMENT RECEIPT INDICATOR; acceptable values
include:
“Y” = Receives Statements
“N” = Does Not Receive Statements
580-581 9(02) N YEARS OF INVESTMENT EXPERIENCE; values 00-99
582-582 X(01) AN GENDER; acceptable values include:
“F” = Female
“M” = Male
“N” = Not applicable (i.e., Account Holder is Corporate Entity)
“U” = Unknown/Undetermined
583-583 X(01) AN PROXY INDICATOR; acceptable values include:
“Y” = Yes
“N” = No
584-591 9(08) N ACCOUNT HOLDER/PARTICIPANT’S BIRTH DATE =
“CCYYMMDD”
592-593 X(02) AN ACCOUNT HOLDER/PARTICIPANT COUNTRY OF
CITIZENSHIP; see Appendix Q, “ACCT Codes and Values”
594-595 X(02) AN ACCOUNT HOLDER/PARTICIPANT COUNTRY OF
RESIDENCE; see Appendix Q, “ACCT Codes and Values”
596-599 X(04) AN IDENTITY VERIFICATION METHOD; values include:
“ ”= Information not Provided to Pershing
“CDCR” = Compliance Data Center Inc. Report
“RDCR” = Regulatory Data Corporation Report
“INVR” = Internal Review
“OTHR” = Other Identification Vendor
ID VERIFICATION COMMENTS CAN BE FOUND IN RECORD X, position 519-568
600-600 X(01) AN TAX ID TYPE; acceptable values include:
“A” = Applied for
“T” = Taxpayer Identification Number
601-609 X(09) AN TAX ID NUMBER
610-610 X(01) AN TAX EXEMPTION INDICATOR; acceptable values include:
“Y” = Yes
“N” = No
611-611 X(01) AN W9 ON FILE; acceptable values include:
“Y” = Yes
“N” = No
612-615 X(04) AN CUSTOMER BANK CODE; for third-party custodian; IBD-
driven
ACCT/ACCF
616-647 X(32) AN
CORPORATE/BUSINESS ID; for non-natural person only
648-649 X(02) AN
COUNTRY OF THE FORMATION ORGANIZATION; for
non-natural person only; see Appendix Q, “ACCT Codes and
Values”
650-651 X(02) AN STATE OF INCORPORATION/ORGANIZATION; for non-
natural person only; see Appendix Q, “ACCT Codes and
Values”
EMPLOYMENT INFORMATION (NEXT FOUR FIELDS COPIED TO RECORD X FOR EASE OF USE)
652-652 X(01) AN EMPLOYEE OF THIS IBD; acceptable values include:
“Y” = Yes; the holder/participant is an employee of this IBD
“N” = No; the holder/participant is not an employee of this
IBD
“U” = Unknown
653-653 X(01) AN RELATED TO EMPLOYEE OF THIS IBD; acceptable values
include:
“Y” = Yes; the holder/participant is related to an
employee of this IBD
“N” = No; the holder/participant is not related to an
employee of this IBD
“U” = Unknown
654-654 X(01) AN EMPLOYEE OF ANOTHER IBD; acceptable values include:
“Y” = Yes; the holder/participant is an employee of another
IBD
“N” = No; the holder/participant is not an employee
another of IBD
“U” = Unknown
655-655 X(01) AN RELATED TO EMPLOYEE OF ANOTHER IBD; acceptable
values include:
“Y” = Yes; the holder/participant is related to an employee of
another IBD
“N” = No; the holder/participant is not related to an employee
of another IBD
“U” = Unknown
656-659 X(04) AN EMPLOYMENT STATUS CODE; acceptable values include:
“EMPL” = Employed
“SEMP” = Self-Employed
“RETD” = Retired
“UEMP” = Unemployed
“HOME” = Homemaker
“STDT” = Student
ACCT/ACCF
660-674 X(15) AN OCCUPATION; free-form field; can be blank
675-678 X(04) AN TAX BRACKET; acceptable values include:
“LWTB” = 0-15%
“MDTB” = 15.1-32%
“HITB” = 32.1-50%
“TPTB” = 50.1%+
679-680 9(02) N YEARS EMPLOYED
681-715 X(35) AN TYPE OF BUSINESS
716-747 X(32) AN EMPLOYER NAME
749-749 X(01) AN MARITAL STATUS; acceptable values include:
“M” = Married
“S” = Unmarried
“N” = Not applicable (i.e., the Account Holder is a Corporate
Entity) or Not Available (Marital Status is not
Available on Interested Party) (Account Holder Type,
Pos. 45 = “IPP” data)
“U” = Unknown/Undetermined
750-750 X(01) AN Literally “X”; indicates the end of record G
ACCT/ACCF
DETAIL RECORD H – ACCOUNT HOLDER/PARTICIPANT INFORMATION

003-003 X(01) AN RECORD INDICATOR VALUE = “H”
“00000001”
041-041 X(01) AN ACCOUNT HOLDER/ PARTICIPANT TRANSACTION
CODE; values include:
045-047 X(03) AN ACCOUNT HOLDER TYPE; values include:
BOOKS AND RECORDS DETAILS
048-048 X(01) AN JOINT ACCOUNT INCOME/NET WORTH INDICATOR;
values include:
“Y” = Combined and reported on account level; displayed on
first Account Holder/Participant only
“N” = Reported on individual Account Holder/Participant level
049-066 9(16)v9(02) N MINIMUM ANNUAL INCOME AMOUNT
067-084 9(16)v9(02) N MAXIMUM ANNUAL INCOME AMOUNT
085-102 9(16)v9(02) N MINIMUM NET WORTH AMOUNT
103-120 9(16)v9(02) N MAXIMUM NET WORTH AMOUNT
TELEPHONE NUMBER (UP TO 7 TIMES)
Note: Telephone numbers will appear in alphabetical order based on TELEPHONE TYPE ID
TELEPHONE NUMBER 1
ACCT/ACCF
122-122 X(01) AN US/INTERNATIONAL INDICATOR (1); values include:
“U” = US/Canada
123-123 X(01) AN TELEPHONE TYPE ID (1); values include:
“B” = Business
“C” = Cellular
“E” = Beeper
“F” = Fax
“H” = Home
“S” = Seasonal
“T” = Telex
TELEPHONE NUMBER 2
“U” = US/Canada
TELEPHONE NUMBER 3
“U” = US/Canada
TELEPHONE NUMBER 4
“A” = Add telephone number (cont.)
ACCT/ACCF
“U” = US/Canada
TELEPHONE NUMBER 5
“U” = US/Canada
TELEPHONE NUMBER 6
“U” = US/Canada
TELEPHONE NUMBER 7
“U” = US/Canada
ACCT/ACCF
527-527 X(01) AN CONSOLIDATED LIQUID NET WORTH INDICATOR;
values include:
“Y” = Combined and report on Account level; displayed on
first Account Holder/Participant only
“N” = Reported on Individual Account Holder/Participant level
528-545 9(16)v9(02) N MINIMUM LIQUID NET WORTH AMOUNT
546-563 9(16)v9(02) N MAXIMUM LIQUID NET WORTH AMOUNT
569-572 X(04) AN ACCOUNT HOLDER/PARTICIPANT ROLE CODE; for
Account Holder Roles and Participant Roles, see Appendix Q,
E-MAIL INFORMATION
ADDITIONAL PATRIOT ACT INFORMATION
635-638 X(04) AN TYPE OF UNEXPIRED PHOTO GOVERNMENT ID (1);
“ ” = Information not provided to Pershing
“DRVR” = Driver’s License
“PASS” = Passport
“ALEN” = Alien Registration Number
“STID” = State Identification Card
“NATL” = National Identification Card
“MLTY” = Military Card
“GREN” = Green Card
“VISA” = VISA® Number
“CDLA” = Cedula Card
“INSI” = INS Card
“OGVT” = Other Government Identification
“CORP” = Corporate Identification
639-670 X(32) AN UNEXPIRED PHOTO GOVERNMENT ID NUMBER (1)
671-672 X(02) AN COUNTRY OF UNEXPIRED PHOTO GOVERNMENT ID
(1); see Appendix Q, “ACCT Codes and Values”
673-674 X(02) AN STATE/PROVINCE OF UNEXPIRED PHOTO
GOVERNMENT ID (1); see Appendix Q, “ACCT Codes and
Values”
675-682 9(08) N EXPIRATION DATE OF UNEXPIRED GOVERNMENT
PHOTO ID (1) = “CCYYMMDD”
683-690 9(08) N ISSUANCE DATE OF UNEXPIRED GOVERNMENT
PHOTO ID/CORPORATE BUSINESS ID (1) =
“CCYYMMDD”
ACCT/ACCF
691-694 X(04) AN TYPE OF UNEXPIRED PHOTO GOVERNMENT ID (2 see
TYPE OF UNEXPIRED PHOTO GOVERNMENT ID (1),
position 635-638, for values
695-726 X(32) AN UNEXPIRED PHOTO GOVERNMENT ID NUMBER (2)
727-728 X(02) AN COUNTRY OF UNEXPIRED PHOTO GOVERNMENT ID
(2); see Appendix Q, “ACCT Codes and Values”
729-730 X(02) AN STATE/PRIMARY SUBDIVISION OF UNEXPIRED
PHOTO GOVERNMENT ID (2); see Appendix Q, “ACCT
Codes and Values”
731-738 9(08) N EXPIRATION DATE OF UNEXPIRED GOVERNMENT
739-746 9(08) N ISSUANCE DATE OF UNEXPIRED GOVERNMENT
750-750 X(01) AN Literally “X”; indicates the end of record H
ACCT/ACCF
DETAIL RECORD X – ADDITIONAL ACCOUNT HOLDER/PARTICIPANT-LEVEL

INFORMATION

003-003 X(01) AN RECORD INDICATOR VALUE = “X”
“00000001”
NEW ACCOUNT HOLDER INFORMATION
041-041 X(01) AN RECORD TRANSACTION CODE; acceptable values include:
“X” or “ ”= Unchanged record
045-047 X(03) AN ACCOUNT HOLDER TYPE; acceptable values include:
EMPLOYER ADDRESS AREA
082-113 X(32) AN ADDRESS LINE 1
114-145 X(32) AN ADDRESS LINE 2
146-177 X(32) AN ADDRESS LINE 3; only if ATTENTION LINE is spaces
178-209 X(32) AN ADDRESS LINE 4; only if country is not US or Canada
225-226 X(02) AN STATE; for US/Canada addresses only; see Appendix Q,
ACCT/ACCF
Values”
EMPLOYMENT and AFFILIATION INFORMATION
COPIED FROM RECORD G, position 652-652 – EMPLOYEE/THIS IBD
246-246 X(01) AN EMPLOYEE OF THIS IBD; acceptable values include:
“Y” = the holder/participant is an employee of this IBD
“N” = the holder/participant is not an employee of this IBD
“U” = Unknown
COPIED FROM RECORD G, position 653-653 – RELATED TO EMPLOYEE/THIS IBD
247-247 X(01) AN RELATED TO EMPLOYEE OF THIS IBD; acceptable values
include:
“Y” = the holder/participant is related to an employee of
this IBD
“N” = the holder/participant is not related to an employee
of this IBD
“U” = Unknown
248-272 X(25) AN EMPLOYEE FIRST NAME
273-297 X(25) AN EMPLOYEE LAST NAME
298-301 X(04) AN EMPLOYEE SUFFIX
302-305 X(04) AN RELATIONSHIP TO EMPLOYEE; acceptable values include:
“A ” = Aunt
“B ” = Brother
“D ” = Daughter
“DP ” = Domestic partner
“F ” = Father
“FL ” = Father-in-law
“GF ” = Grandfather
“GM ” = Grandmother
“GD ” = Granddaughter
“GS ” = Grandson
“M ” = Mother
“ML ” = Mother-in-law
“NE ” = Nephew
“NI ” = Niece
“OI ” = Other Individual
“SI ” = Sister
“SO ” = Son
“SP ” = Spouse
“U ” = Uncle
COPIED FROM RECORD G, position 654-654 – EMPLOYEE/ANOTHER IBD
ACCT/ACCF
306-306 X(01) AN EMPLOYEE OF ANOTHER IBD; acceptable values include:
“Y” = the holder/participant is an employee of another IBD
“N” = the holder/participant is not an employee of another IBD
“U” = Unknown
307-326 X(20) AN IBD NAME
COPIED FROM RECORD G, position 655-655 – RELATED TO EMPLOYEE/ANOTHER IBD
327-327 X(01) AN RELATED TO EMPLOYEE OF ANOTHER IBD; acceptable
values include:
“Y” = the holder/participant is related to an employee of
another IBD
“N” = the holder/participant is not related to an employee
of another IBD
“U” = Unknown
328-347 X(20) AN IBD NAME
348-372 X(25) AN EMPLOYEE FIRST NAME
373-397 X(25) AN EMPLOYEE LAST NAME
398-401 X(04) AN EMPLOYEE SUFFIX
402-405 X(04) AN RELATIONSHIP TO EMPLOYEE OF ANOTHER IBD; see
RELATIONSHIP TO EMPLOYEE, position 302-305, for
values
406-406 X(01) AN OTHER BROKERAGE ACCOUNTS; values include:
“Y” = the holder/participant maintains other brokerage
accounts
“N” = the holder/participant does not maintain other
brokerage accounts
407-426 X(20) AN NAME OF IBD WHERE ACCOUNT HELD
427-427 X(01) AN HOLDER/PARTICIPANT or IMMEDIATE FAMILY
MEMBER AFFILIATED WITH or EMPLOYED BY
MEMBER OF STOCK EXCHANGE or NASD; acceptable
values include:
“Y” = is affiliated or employed
“N” = is not affiliated or employed
428-472 X(45) AN AFFILIATION
473-473 X(01) AN HOLDER/PARTICIPANT A SENIOR OFFICER,
DIRECTOR, or 10%+ SHAREHOLDER OF A PUBLIC
COMPANY; acceptable values include:
“Y” = the holder/participant is a senior officer, (cont.)
director, or 10%+ shareholder of a public company
ACCT/ACCF
“N” = the holder/participant is not a senior officer,
director, or 10%+ shareholder of a public company
474-518 X(45) AN NAME OF PUBLIC COMPANY
ACCOUNT HOLDER/PARTICIPANT- LEVEL PATRIOT ACT ID VERIFICATION COMMENTS
519-568 X(50) AN ID VERIFICATION COMMENTS (FREEFORM)
569-572 X(04) AN ACCOUNT HOLDER/PARTICIPANT ROLE CODE; for
Account Holder Roles and Participant Roles , see Appendix Q,
573-590 9(09)v9(09) N BENEFICIARY PERCENT ALLOCATION (applicable only
to beneficiaries on TODI and TODJ accounts); effective
01/2010
591-749 X(159) AN Not Used
750-750 X(01) AN Literally “X”; indicates the end of record “X”
ACCT/ACCF
DETAIL RECORD I – CUSTOM DATA FIELDS

003-003 X(01) AN RECORD INDICATOR VALUE = “I”
“00000001”
041-041 X(01) AN CUSTOM FIELD 1 TRANSACTION CODE; acceptable
values include:
“A” = Add new Custom Field
“C” = Change existing Custom Field
CUSTOM FIELD 1
(Reserved for DDA Number for existing Pershing customers who have previously reserved it)
042-073 X(32) AN CUSTOM FIELD (1) LABEL
074-105 X(32) AN CUSTOM FIELD (1) DETAIL TEXT
106-106 X(01) AN CUSTOM FIELD (1) STATUS INDICATOR; for fields 1-15;
“A” = Active
“D” = Deleted
“L” = Disabled
CUSTOM FIELD 2
(Reserved for Account Mnemonic for existing Pershing customers who have previously reserved it)
172-172 X(01) AN CUSTOM FIELD (2) STATUS INDICATOR
CUSTOM FIELD 3
(Reserved for Master Mnemonic for existing Pershing customers who have previously reserved it)
ACCT/ACCF
CUSTOM FIELD 4
(Reserved for Bank Account Number for existing Pershing customers who have previously reserved it)
CUSTOM FIELD 5
CUSTOM FIELD 6
CUSTOM FIELD 7
CUSTOM FIELD 8
CUSTOM FIELD 9
CUSTOM FIELD 10
750-750 X(01) AN Literally “X”; indicates the end of record I
ACCT/ACCF
DETAIL RECORD J – CUSTOM DATA FIELDS 11-15

003-003 X(01) AN RECORD INDICATOR VALUE = “J”
“00000001”
041-041 X(01) AN CUSTOM FIELD 2 TRANSACTION CODE; acceptable
values include:
“A” = Add new Custom Field
“C” = Change existing Custom Field
CUSTOM FIELD 11
CUSTOM FIELD 12
CUSTOM FIELD 13
CUSTOM FIELD 14
ACCT/ACCF
CUSTOM FIELD 15
457-749 X(293) AN Not Used
750-750 X(01) AN Literally “X”; indicates the end of record J
ACCT/ACCF
DETAIL RECORD M – CASH MANAGEMENT ACCOUNT INFORMATION (FIRST RECORD)

003-003 X(01) AN RECORD INDICATOR VALUE = “M”
“00000001”
041-041 X(01) AN CASH MANAGEMENT TRANSACTION CODE; acceptable
values include:
“A” = Add
“C” = Change
042-044 X(03) AN SEQUENCE NUMBER
045-048 X(04) AN SWEEP STATUS INDICATOR; acceptable values include:
“A ” = Active Sweep
“C ” = Closed Sweep
“I ” = Inactive Sweep
“N ” = Non-Participant or No Sweep
049-056 9(08) N DATE SWEEP ACTIVATED = “CCYYMMDD”
057-064 9(08) N DATE SWEEP DETAILS CHANGED = “CCYYMMDD”
065-065 X(01) AN COVER MARGIN DEBIT INDICATOR; values include:
“Y” = Yes; sweep to cover margin debt
“N” = No; do not sweep to cover margin debt
FIRST FUND SWEEP INFORMATION
067-073 X(07) AN FIRST FUND SWEEP ACCOUNT ID
074-091 9(09)v9(09) N FIRST FUND SWEEP ACCOUNT PERCENT
092-092 X(01) AN FIRST FUND SWEEP ACCOUNT REDEMPTION
SECOND FUND SWEEP INFORMATION
093-099 X(07) AN SECOND FUND SWEEP ACCOUNT ID
ACCT/ACCF
100-117 9(09)v9(09) N SECOND FUND SWEEP ACCOUNT PERCENT
118-118 X(01) AN SECOND FUND SWEEP ACCOUNT REDEMPTION
BANKLINK SWEEP INFORMATION
“C” = Checking
“S” = Saving
120-128 X(09) AN BANKLINK ABA NUMBER
129-145 X(17) AN BANKLINK DDA NUMBER
SRS/PERIODIC SWEEP INFORMATION
“C” = Checking
“S” = Savings
150-158 X(09) AN SRS/PERIODIC ABA NUMBER
159-175 X(17) AN SRS/PERIODIC DDA NUMBER
179-179 X(01) AN SRS PARTICIPATION STATUS; acceptable values include:
“P” = Pending
“Y” = Approved
180-187 9(08) N SRS DATE = “CCYYMMDD”
188-188 X(01) AN PERIODIC STATUS; acceptable values include:
“P” = Pending
“Y” = Approved
189-196 9(08) N PERIODIC DATE = “CCYYMMDD”
197-197 X(01) AN ACH CONTRIBUTION STATUS; acceptable values include:
“P” = Pending
“Y” = Approved
198-205 9(08) N ACH INITIAL CONTRIBUTION DATE = “CCYYMMDD”
206-207 X(02) AN ACH CONTRIBUTION FREQUENCY; based on the IBD,
other values than the ones listed may be displayed for this
field; acceptable values include:
“BM” = Bimonthly
“M ” = Monthly (cont.)
ACCT/ACCF
“SM” = Semimonthly
“Q ” = Quarterly
“SA” = Semiannually
“A ” = Annually
“NA” = Not applicable
“ST” = Statement Month End
“UR” = Upon Request
“W1” = Weekly on Monday
“W2” = Weekly on Tuesday
“W3” = Weekly on Wednesday
“W4” = Weekly on Thursday
“W5” = Weekly on Friday
208-225 9(16)v99 N ACH CONTRIBUTION AMOUNT
227-234 9(08) N Not Used
AD HOC SWEEP INFORMATION
“C” = Checking
“S” = Savings
237-245 X(09) AN AD HOC ABA NUMBER
246-262 X(17) AN AD HOC DDA NUMBER
266-266 X(01) AN AD HOC STATUS; acceptable values include:
“P” = Pending
“Y” = Approved
267-274 9(08) N AD HOC DATE = “CCYYMMDD”; this is the Pending Date
if the AD HOC STATUS = “P”; this is the Approval Date if
the AD HOC STATUS = “Y”
INCOME DISTRIBUTION
275-276 X(02) AN INCOME PAYMENT METHOD; acceptable values include:
“C ” = Check
“C1” = Third Party Check
“D2” = ACH
“P ” = Journal to Another Pershing Account
“XX” = Suspended
278-279 X(02) AN INCOME PAYMENT DISTRIBUTION FREQUENCY; based
on the IBD, other values than those listed below (cont.)
ACCT/ACCF
may be displayed for this field; values include:
“M ” = Monthly
“A ” = Annually
“NA” = Only Valid if Income contains “ ”
280-287 9(08) N INITIAL INCOME DISTRIBUTION DATE =
“CCYYMMDD”
296-297 X(02) AN STATE CODE FOR STATE TAX ON INCOME
298-298 X(01) AN STATE INCOME TAX ELECTION; acceptable values
include:
“Y” = Yes; state income tax is elected
“N” = No; state income tax is not elected
299-316 9(09)v9(09) N STATE INCOME TAX PERCENT ON INCOME
317-334 9(18) N Not Used
336-336 X(01) AN FEDERAL INCOME TAX ELECTION; acceptable values
include:
“Y” = Yes; federal income tax is elected
“N” = No; federal income tax is not elected
337-354 9(09)v9(09) N FEDERAL INCOME TAX WITHHOLDING PERCENT ON
INCOME
355-372 9(18) N Not Used
THIRD PARTY INCOME INFORMATION
374-374 X(01) AN THIRD PARTY INCOME LOA RECEIPT INDICATOR;
“Y” = Yes; LOA received/approved
“N” = No; LOA is pending
375-382 9(08) N THIRD PARTY INCOME LOA DATE = “CCYYMMDD”
383-383 X(01) AN THIRD PARTY INCOME CHECK INDICATOR; acceptable
values include: (cont.)
ACCT/ACCF
“E” = Entity
“I” = Individual
“M” = Memo
“U” = Unknown
384-415 X(32) AN THIRD PARTY INCOME PREFIX/ENTITY or MEMO LINE
1; if THIRD PARTY INCOME CHECK INDICATOR = “I,”
then one of the following values using the first four characters
of the field will be used; the second four characters can be used
for a suffix, and the remaining 24 characters will be blank;
“ ”
“DR ”
“MDM ”
“MS ”
“MRS ”
“SIR ”
If THIRD PARTY INCOME CHECK INDICATOR = “M” or
“E,” the information is free-form text
416-447 X(32) AN THIRD PARTY INCOME FIRST NAME or ENTITY/MEMO
LINE 2; if THIRD PARTY INCOME CHECK INDICATOR =
“I,” then this field will contain the first name; if THIRD
PARTY INCOME CHECK INDICATOR =“M” or “E,” then it
will be free-form text and can be blank
448-479 X(32) AN THIRD PARTY INCOME MIDDLE INITIAL/NAME/MEMO
LINE 3; if THIRD PARTY INCOME CHECK INDICATOR =
“I,” then this field will contain the middle initial or name; if
THIRD PARTY INCOME CHECK INDICATOR = ‘M,’ then
it will be free- form text and can be blank; if THIRD PARTY
CHECK INDICATOR = “E,” this line is not used
480-511 X(32) AN THIRD PARTY INCOME LAST NAME/MEMO LINE 4; if
THIRD PARTY INCOME CHECK INDICATOR = “I,” then
this field will contain the last name; if THIRD PARTY
INCOME CHECK INDICATOR = “E,” this line is not used
512-543 X(32) AN THIRD PARTY INCOME MEMO LINE 5; if THIRD PARTY
INCOME CHECK INDICATOR = “M,” then it will be free-
form text and can be blank; if THIRD PARTY INCOME
CHECK INDICATOR = “I” or “E,” this line is not used
544-575 X(32) AN THIRD PARTY INCOME MEMO LINE 6; if THIRD PARTY
INCOME CHECK INDICATOR = “M,” then it will be free-
form text and can be blank; if THIRD PARTY INCOME
CHECK INDICATOR = “I” or “E,” this line is not used
576-749 X(174) AN Not Used
750-750 X(01) AN Literally “X”; this indicates the end of record M
ACCT/ACCF
DETAIL RECORD N – CASH MANAGEMENT ACCOUNT INFORMATION (SECOND RECORD)

003-003 X(01) AN RECORD INDICATOR VALUE = “N”
“00000001”
THIRD PARTY INCOME (3RD PI) ADDRESS
include:
“Y” = Special handling required (mandatory for foreign
address)
blank
174-205 X(32) AN STREET ADDRESS LINE 4; only if the country is not the US
or Canada
Values”
241-248 9(08) N (3rd PI) FIRST MAIL RETURN DATE = “CCYYMMDD”
249-273 X(25) AN (3rd PI) FIRST MAIL RETURN REASON
274-281 9(08) N (3rd PI) SECOND MAIL RETURN DATE = “CCYYMMDD”
ACCT/ACCF
rd
282-306 X(25) AN (3 PI) SECOND MAIL RETURN REASON
307-314 9(08) N (3rd PI) THIRD MAIL RETURN DATE = “CCYYMMDD”
315-339 X(25) AN (3rd PI) THIRD MAIL RETURN REASON
PRINCIPAL DISTRIBUTION
340-341 X(02) PRINCIPAL DISTRIBUTION METHOD; acceptable values
AN
include:
“C ” = Check
“C2” = 3rd Party Check
“D2” = ACH
“P ” = Journal to another Pershing account
“XX” = Suspended
343-344 X(02) AN PRINCIPAL PAYMENT DISTRIBUTION FREQUENCY;
based on the IBD, other values than the ones listed may be
displayed; acceptable values include:
“M ” = Monthly
“A ” = Annually
“NA” = Only Valid if Income = blank
345-352 9(08) INITIAL PRINCIPAL DISTRIBUTION DATE =
N
“CCYYMMDD”
353-360 9(08) N Not Used
361-378 9(16)v99 N PRINCIPAL DISTRIBUTION AMOUNT
380-397 9(18) N Not Used
399-400 X(02) AN STATE CODE FOR STATE TAX ON PRINCIPAL
401-401 X(01) STATE INCOME TAX ELECTION; acceptable values
AN
include:
“Y” = Yes; State income tax is elected
“N” = No; State income tax is not elected
ACCT/ACCF
402-419 9(09)v9(09) N STATE INCOME TAX PERCENT ON PRINCIPAL
420-437 9(18) N Not Used
439-439 X(01) PRINCIPAL FEDERAL TAX ELECTION; acceptable values
AN
include:
“Y” = Yes; Federal principal tax is elected
“N” = No; Federal principal tax is not elected
440-457 9(09)v9(09) FEDERAL INCOME TAX WITHHOLDING PERCENT ON
N
PRINCIPAL
458-475 9(18) N Not Used
THIRD PARTY PRINCIPAL INFORMATION
477-477 X(01) AN THIRD PARTY PRINCIPAL LOA RECEIPT INDICATOR;
“Y” = Yes; LOA Received/Approved
“N” = No; LOA Pending
478-485 9(08) N THIRD PARTY PRINCIPAL LOA DATE = “CCYYMMDD”
486-486 X(01) AN THIRD PARTY PRINCIPAL INDICATOR; acceptable values
include:
“E” = Entity
“M” = Memo
“U” = Unknown
487-518 X(32) AN THIRD PARTY PRINCIPAL PREFIX or ENTITY/MEMO
LINE 1; if THIRD PARTY PRINCIPAL CHECK
INDICATOR = “I,” then one of the following using the first
four characters of the field will be used; the second four
characters can be used for a suffix, and the remaining 24
characters will be blank; acceptable values include:
“ ”
“DR ”
“MDM ”
“MR ”
“MS ”
“MRS :
“SIR ”
If THIRD PARTY PRINCIPAL CHECK INDICATOR = “M”
or “E,” the information is free-form text
519-550 X(32) AN THIRD PARTY PRINCIPAL FIRST NAME or ENTITY/
MEMO LINE 2; if THIRD PARTY PRINCIPAL CHECK
INDICATOR = “I,” then this field will contain the (cont.)
ACCT/ACCF
first name; if THIRD PARTY PRINCIPAL CHECK
INDICATOR =“M” or “E,” then it will be free-form text and
can be blank
551-582 X(32) AN THIRD PARTY PRINCIPAL MIDDLE
INITIAL/NAME/MEMO LINE 3; if THIRD PARTY
PRINCIPAL CHECK INDICATOR = “I,” then this field will
contain the middle initial or name; if THIRD PARTY
PRINCIPAL CHECK INDICATOR = “M,” then it will be
free- form text and can be blank; if THIRD PARTY
PRINCIPAL CHECK INDICATOR = “E,” this line is not used
583-614 X(32) AN THIRD PARTY PRINCIPAL LAST NAME/MEMO LINE 4;
if THIRD PARTY PRINCIPAL CHECK INDICATOR = “I,”
then this field will contain the last name; if THIRD PARTY
PRINCIPAL CHECK INDICATOR = “E,” this line is not used
615-646 X(32) AN THIRD PARTY PRINCIPAL MEMO LINE 5; if THIRD
PARTY PRINCIPAL CHECK INDICATOR = “M,” then it
will be free-form text and can be blank; if THIRD PARTY
PRINCIPAL CHECK INDICATOR = “I” or “E,” this line is
not used
647-678 X(32) AN THIRD PARTY PRINCIPAL MEMO LINE 6; if THIRD
PARTY PRINCIPAL CHECK INDICATOR = “M,” then it
will be free-form text and can be blank; if THIRD PARTY
PRINCIPAL CHECK INDICATOR = “I” or “E,” this line is
not used
750-750 X(01) AN Literally “X”; indicates the end of record N
ACCT/ACCF
DETAIL RECORD O – CASH MANAGEMENT ACCOUNT INFORMATION (THIRD RECORD)

003-003 X(01) AN RECORD INDICATOR VALUE = “O”
“00000001”
THIRD PARTY PRINCIPAL (3RD PP) ADDRESS
include:
“Y” = Special handling required (mandatory for foreign
address)
blank
174-205 X(32) AN STREET ADDRESS LINE 4; only if the country is not the US
or Canada
Values”
241-248 9(08) N (3rd PP) FIRST MAIL RETURN DATE = “CCYYMMDD”
249-273 X(25) AN (3rd PP) FIRST MAIL RETURN REASON
274-281 9(08) N (3rd PP) SECOND MAIL RETURN DATE = “CCYYMMDD”
ACCT/ACCF
rd
282-306 X(25) AN (3 PP) SECOND MAIL RETURN REASON
307-314 9(08) N (3rd PP) THIRD MAIL RETURN DATE = “CCYYMMDD”
315-339 X(25) AN (3rd PP) THIRD MAIL RETURN REASON
RETIREMENT ACCOUNT INFORMATION
340-340 X(01) AN RETIREMENT DISTRIBUTION TYPE; acceptable values
include:
“B” = Retirement Death
“D” = Retirement Disability
“N” = Retirement Regular
“P” = Retirement Premature
“S” = Retirement Sub-equal Series
341-341 X(01) AN DEPOSIT TYPE; acceptable values include:
“P” = Participant Contribution
“E” = Employer Contribution
342-350 X(09) AN PERSHING ACCOUNT NUMBER FOR JOURNAL
351-351 X(01) AN FUND/BANK INDICATOR; acceptable values include:
“F” = Fund
“B” = Bank
352-352 X(01) AN IRA INDICATOR; acceptable values include:
“Y” = IRA Account
“N” = Non-IRA Account
353-749 X(397) AN Not Used
750-750 X(01) AN Literally “X”; indicates the end of record O
ACCT/ACCF
DETAIL RECORD P – COD ACCOUNT SETTLEMENT INFORMATION

003-003 X(01) AN RECORD INDICATOR VALUE = “P”
“00000001”
GENERAL INFORMATION
041-046 X(06) AN PARENT ID
047-054 X(08) AN INSTITUTION ID
055-070 X(16) AN INSTITUTION (IA) ACCOUNT NUMBER
071-078 X(08) AN ALERT ACRONYM
079-090 X(12) AN ALERT ACCESS CODE
091-091 X(01) AN CONFIRMATION OPTION; acceptable values include:
“1” = Confirm Only (default for DTC)
“7” = ID Confirm and Hard Copy; applicable to DTC only
“3” = Hard Copy Confirm Only (default for non-DTC);
applicable to non-DTC
092-099 9(08) N BIRTHDATE = “CCYYMMDD”
104-105 X(02) AN COUNTRY OF CITIZENSHIP CODE (COD); see Appendix
Q, “ACCT Codes and Values”
DTC INSTRUCTIONS; LOCATION/PRODUCT CODE = DTC
106-106 X(01) AN DTC TRANSACTION CODE; acceptable values include:
“A” = Add location
“C” = Change existing location
107-110 X(04) AN LOCATION/PRODUCT CODE; acceptable values include:
“DTC ” = Depository Trust Company
111-118 X(08) AN INSTITUTION NUMBER
119-158 X(40) AN INSTITUTION NAME
159-166 X(08) AN AGENT NUMBER
167-206 X(40) AN AGENT NAME
207-222 X(16) AN AGENT INTERNAL NUMBER
ACCT/ACCF
223-272 X(50) AN AGENT INTERNAL NAME; free-form text
273-280 X(08) AN CLEARING AGENT NUMBER
281-315 X(35) AN CLEARING AGENT NAME
316-323 X(08) AN FIRST DTC IP NUMBER
324-346 X(23) AN FIRST IP ACCOUNT NUMBER
347-354 X(08) AN SECOND DTC IP NUMBER
355-377 X(23) AN SECOND IP ACCOUNT NUMBER
FED/UST/GNMA/ALL OTHER INSTRUCTIONS; LOCATION/PRODUCT CODE = FED
378-378 X(01) AN FED TRANSACTION CODE; acceptable values include:
“FED ” = The Federal Reserve Bank of New York
383-391 X(09) AN ABA NUMBER
392-431 X(40) AN INTERNAL ACCOUNT NUMBER; free-form text
432-481 X(50) AN FEDERAL WIRE BANK NAME; free-form text
EUROCLEAR INSTRUCTIONS; LOCATION/PRODUCT CODE = EUR
482-482 X(01) AN EUR TRANSACTION CODE; acceptable values include:
“EUR ” = Euroclear
487-494 X(08) AN EUROCLEAR NUMBER
495-509 X(15) AN EUROCLEAR ACCOUNT NUMBER
CEDEL INSTRUCTIONS; LOCATION/PRODUCT CODE = CED
510-510 X(01) AN CED TRANSACTION CODE; acceptable values include:
511-514 X(04) AN LOCATION/PRODUCT CODE = acceptable values include:
“CED ” = CEDEL
515-522 X(08) AN CEDEL NUMBER
523-537 X(15) AN CEDEL ACCOUNT NUMBER
PHYSICAL INSTRUCTIONS; LOCATION/PRODUCT CODE = PHY
538-538 X(01) AN PHY TRANSACTION CODE; acceptable values include:
ACCT/ACCF
“PHY ” = Physical
543-557 X(15) AN ACCOUNT NUMBER FOR PHYSICAL DELIVERY
558-589 X(32) AN OTHER INSTRUCTIONS 1
750-750 X(01) AN Literally “X”; indicates the end of record P
ACCT/ACCF
DETAIL RECORD R – RETIREMENT ACCOUNT INFORMATION

003-003 X(01) AN RECORD INDICATOR VALUE = “R”
“00000001”
041-041 X(01) AN RETIREMENT ACCOUNT TRANSACTION CODE; values
include:
042-042 X(01) AN PARTICIPANT MARITAL STATUS; values include:
“M” = Married
“S” = Single
“ ” = N/A to Trust, Omnibus, Estate or Other Entity
043-043 X(01) AN SEX OF PARTICIPANT; values include:
“F” = Female
“M” = Male
“U” = Participant is not an Individual
044-047 X(04) AN CUSTODIAN CODE; values include:
“A ” = Pershing LLC B1 Account
Other IBD-specific values assigned
048-051 X(04) AN TYPE OF RETIREMENT PLAN; values include:
“1 ” = IRA
“2 ” = SEP-IRA (IRS-5305)
“4 ” = Flexible Profit Sharing
“5 ” = Non-standardized Profit Sharing
“6 ” = Flexible Target Benefit
“7 ” = Non-standardized Target Benefit
“8 ” = Flexible Money Purchase
“9 ” = Non-standardized Money Purchase
“A ” = Salary Deferral SARSEP (cont.)
ACCT/ACCF
“B ” = Flexible 401(k)
“C ” = Non-standardized 401(k)
“D ” = Age Weighted 401(k)
“E ” = Age Weighted Profit Sharing
“F ” = Super Simplified Profit Sharing
“G ” = Super Simplified Money Purchase
“H ” = 403(b)7 non ERISA
“I ” = 403(b)7 ERISA
“J ” = Prototype SEP
“K ” = Simple 401(k)
“L ” = Simple IRA
“O ” = Individual 401(k)
“R ” = Roth IRA
“S ” = Education Savings Account
“T ” = Roth Conversion
052-052 X(01) AN TYPE OF RETIREMENT ACCOUNT; values include:
“1” = Participant
“2” = Spousal
“3” = Rollover
“4” = Inherited
“5” = Employer
“6” = Guardian
“7” = Omnibus
“8” = Inherited Individual
“9” = Inherited Estate
“A” = Inherited Trust
“B” = Inherited Charity
“C” = Inherited Guardian
“D” = Roth Participant
“E”= Roth Employer
“F” = Roth Guardian
“G” = Roth Omnibus
“H” = Roth Inherited Individual
“I” = Roth Inherited Estate
“J” = Roth Inherited Trust
“K” = Roth Inherited Charity
“L” = Roth Inherited Guardian
053-062 X(10) AN RETIREMENT PLAN NUMBER
063-063 X(01) AN SELF-DIRECTED INDICATOR; values include:
“Y” = Yes (cont.)
ACCT/ACCF
“N” = No
064-064 X(01) AN ASSET WILL INDICATOR; values include:
“Y” = Yes
“N” = No
DATES
065-072 9(08) N BROKER DEALER CONVERSION DATE =
“CCYYMMDD”
073-080 9(08) N ADOPTION AGREEMENT DATE = “CCYYMMDD”
081-088 9(08) N DATE PLAN ESTABLISHED = “CCYYMMDD”
089-096 9(08) N CUSTODIAN DATE = “CCYYMMDD”
097-104 9(08) N PLAN AMENDMENT DATE = “CCYYMMDD”
105-112 9(08) N SPOUSAL CONSENT DATE = “CCYYMMDD”
113-113 X(01) AN EDUCATION DISABILITY INDICATOR; values include:
“Y” = Yes; Account Holder has special needs
“N” = No; Does not apply
114-121 9(08) N DISABILITY START DATE = “CCYYMMDD”
122-129 9(08) N DATE OF DEATH = “CCYYMMDD”
130-138 X(09) AN RELATED BROKERAGE ACCOUNT NUMBER 1;
represents a retail account number
represents a related spousal account number
represents a related account number other than retail or spousal
EMPLOYER INFORMATION AND ADDRESS
157-188 X(32) AN EMPLOYER NAME; free-form text
189-197 9(09) N EMPLOYER TIN
198-229 X(32) AN TRUST ADMINISTRATOR; free-form text
230-230 X(01) AN EMPLOYER ADDRESS TRANSACTION CODE; acceptable
values include:
“A” = Add new information
“C” = Change existing information
231-231 X(01) AN SPECIAL HANDLING INDICATOR; values include:
232-235 X(04) AN ATTENTION LINE PREFIX; values include:
236-263 X(28) AN EMPLOYER ATTENTION LINE DETAIL
264-295 X(32) AN EMPLOYER ADDRESS LINE 1
296-327 X(32) AN EMPLOYER ADDRESS LINE 2
ACCT/ACCF
328-359 X(32) AN EMPLOYER ADDRESS LINE 3; only if ATTENTION LINE
is spaces
360-391 X(32) AN EMPLOYER ADDRESS LINE 4; only if country is not US or
Canada
409-423 X(15) AN ZIP; for US/Canada addresses only
Values”
427-434 9(08) N FIRST MAIL RETURN DATE = “CCYYMMDD”
435-459 X(25) AN FIRST MAIL RETURN REASON
460-467 9(08) N SECOND MAIL RETURN DATE = “CCYYMMDD”
468-492 X(25) AN SECOND MAIL RETURN REASON
493-500 9(08) N THIRD MAIL RETURN DATE = “CCYYMMDD”
501-525 X(25) AN THIRD MAIL RETURN REASON
E-MAIL INFORMATION
EMPLOYER TELEPHONE NUMBERS (UP TO 7 TIMES)
TELEPHONE NUMBER 1
576-576 X(01) AN TELEPHONE 1 TRANSACTION CODE; acceptable values
include:
“A” = Add new phone number information
“C” = Change existing phone number information
include:
“U” = US/Canada
“B” = Business
“C” = Cellular
“E” = Beeper
“F” = Fax
“H” = Home
“S” = Seasonal
“T” = Telex
ACCT/ACCF
TELEPHONE NUMBER 2
647-647 X(01) AN US/INTERNATIONAL INDICATOR; acceptable values
include:
“U” = US/Canada
716-716 X01) AN MUTUAL FUND INDICATOR; values include:
Y = Account is restricted to mutual fund transactions only
N = Account is not restricted to mutual fund transactions
750-750 X(01) AN Literally “X”; indicates the end of record R
ACCT/ACCF
DETAIL RECORD S – RETIREMENT ACCOUNT INFORMATION (ADDITIONAL NUMBER INFORMATION)

003-003 X(01) AN RECORD INDICATOR VALUE = “S”
“00000001”
TELEPHONE NUMBER 3
042-042 X(01) AN US/INTERNATIONAL INDICATOR; values include:
“U” = US/Canada
Record R, position 578, for values
TELEPHONE NUMBER 4
“U” = US/Canada
TELEPHONE NUMBER 5
“A” = Add new phone number information (cont.)
ACCT/ACCF
“U” = US/Canada
TELEPHONE NUMBER 6
“U” = US/Canada
TELEPHONE NUMBER 7
“U” = US/Canada
391-749 X(359) AN Not Used
750-750 X(01) AN Literally “X”; indicates the end of record S
ACCT/ACCF
DETAIL RECORD T – BENEFICIARY INFORMATION; UP TO 10 PRIMARY AND 10 CONTINGENT (T AND

U RECORDS FOR EACH BENEFICIARY)

003-003 X(01) AN RECORD INDICATOR VALUE = “T”
“00000001”
BENEFICIARY NAME AREA
Each account can have up to 10 primary (“P”) and 10 Contingent (“C”) beneficiaries.
Primary beneficiaries will be listed first, beginning with sequence number 001, and immediately following the
final primary beneficiary, contingent beneficiaries, if any, will be listed, beginning with sequence number 001.
041-041 X(01) AN BENEFICIARY TRANSACTION CODE; acceptable values
include:
“A” = Add new beneficiary
“C” = Change existing beneficiary
042-042 X(01) AN BENEFICIARY TYPE; acceptable values include:
“P” = Primary Beneficiary
“C” = Contingent Beneficiary
043-045 X(03) AN SEQUENCE NUMBER; valid values are 001 to 010
049-050 X(02) AN BENEFICIARY RELATIONSHIP INDICATOR; values
include:
“B ” = Brother
“CC” = Children per Capita
“CS” = Children per Stirpes
“D ” = Daughter
“DP” = Domestic Partner
“E ” = Estate; Not applicable for Contingent Beneficiary
“F ” = Father
“FL” = Father-in-law
“GD” = Granddaughter
“GF” = Grandfather
“GM” = Grandmother (cont.)
ACCT/ACCF
“GS” = Grandson
“ML” = Mother-in-law
“NE” = Nephew
“NI” = Niece
“O ” = Omnibus
“OE” = Other Entity; not applicable for contingent beneficiary
“OI” = Other Individual
“OT” = Other
“SI” = Sister
“SO” = Son
“SP” = Spouse
“T” = Trust Entity; not applicable for contingent
beneficiary; if bene is a trust, see Record V
059-059 X(01) AN SEX OF BENEFICIARY (1); values include:
“F” = Female
“M” = Male
“U” = Beneficiary is not an Individual
060-067 9(08) N BENEFICIARY (1) DATE OF BIRTH = “CCYYMMDD”
068-068 X(01) AN TAX ID TYPE; values include:
“T” = Tax ID
069-077 X(09) AN BENEFICIARY (1) TAX ID NUMBER
078-095 9(09)v(09) N PERCENT ALLOCATION
BENEFICIARY (1) NAME INFORMATION
096-096 X(01) N BENEFICIARY NAME TYPE; acceptable values include:
“E” = Entity
097-128 X(32) AN BENEFICIARY (1) PREFIX/ENTITY LINE 1; if NAME
TYPE = “I,” then one of the following values will be used in
the first 4 characters; the next 4 characters can be used for a
suffix; the remaining 24 characters are blank; values include:
“ ”
“DR ”
“MDM ”
“MR ”
“MS ”
“MRS ”
“SIR ”
ACCT/ACCF
129-160 X(32) AN BENEFICIARY (1) FIRST NAME/ENTITY LINE 2; if
NAME TYPE = “I,” this field will contain the first name; if
NAME TYPE = “E,” it will be free-form text and can be blank
161-192 X(32) AN BENEFICIARY (1) MIDDLE INITIAL/NAME/ ENTITY
LINE 3; if NAME TYPE = “I,” this field will contain the
middle initial or name; if NAME TYPE = “E,” it will be free-
form text and can be blank
193-224 X(32) AN BENEFICIARY (1) LAST NAME/ENTITY LINE 4; if NAME
TYPE = “I,” this field will contain the last name; if NAME
TYPE = “E,” it will be free-form text and can be blank
BENEFICIARY (1) ADDRESS
228-228 X(01) AN BENEFICIARY (1) ADDRESS TRANSACTION CODE;
values include:
“A” = Add new information
“C” = Change existing information
229-229 X(01) AN SPECIAL HANDLING INDICATOR; values include:
“N” = No Special Handling Required for this Address
“Y” = Special Handling Required for this Address
230-233 X(04) AN ATTENTION LINE PREFIX; values include:
234-261 X(28) AN BENEFICIARY (1) ATTENTION LINE DETAIL
262-293 X(32) AN BENEFICIARY (1) ADDRESS LINE 1
294-325 X(32) AN BENEFICIARY (1) ADDRESS LINE 2
326-357 X(32) AN BENEFICIARY (1) ADDRESS LINE 3; only if attention line
information is spaces
358-389 X(32) AN BENEFICIARY (1) ADDRESS LINE 4; if not US or Canada
407-421 X(15) AN ZIP; for US/Canada addresses only
422-423 X(02) AN COUNTRY CODE; see Appendix Q, “ACCT Codes / Values”
BENEFICIARY (1) TELEPHONE NUMBERS (UP TO 7 OCCURRENCES)
TELEPHONE NUMBER 1
425-425 X(01) AN BENEFICIARY (1) TELEPHONE TRANSACTION
CODE; acceptable values include:
ACCT/ACCF
“U” = US/Canada
“B” = Business
“C” = Cellular
“E” = Beeper
“F” = Fax
“S” = Seasonal
“T” = Telex
TELEPHONE NUMBER 2
495-495 X(01) AN BENEFICIARY (2) TELEPHONE TRANSACTION CODE;
values include:
“U” = US/Canada
TELEPHONE NUMBER 3
values include:
“U” = US/Canada
635-749 X(115) AN Not Used
750-750 X(01) AN Literally “X”; indicates the end of record T
ACCT/ACCF
DETAIL RECORD U – BENEFICIARY INFORMATION (PLUS ALTERNATE FIRST BENEFICIARY

TRUSTEE IF POPULATED); UP TO 10 PRIMARY AND 10 CONTINGENT

003-003 X(01) AN RECORD INDICATOR VALUE = “U”
“00000001”
041-041 X(01) AN BENEFICIARY TRANSACTION CODE; values include:
“A” = Add new beneficiary
“C” = Change existing beneficiary
042-042 X(01) AN BENEFICIARY TYPE; values include:
“P” = Primary Beneficiary
“C” = Contingent Beneficiary
043-045 X(03) AN SEQUENCE NUMBER; valid values are 001 to 010
TELEPHONE NUMBER 4
values include:
“U” = US/Canada
Record T, position 427, for values
TELEPHONE NUMBER 5
values include:
ACCT/ACCF
include:
“U” = US/Canada
TELEPHONE NUMBER 6
values include:
“U” = US/Canada
TELEPHONE NUMBER 7
include:
“U” = US/Canada
TRUSTEE INFORMATION
(When Beneficiary Relationship = “T”, otherwise positions 329 through 749 will be populated with spaces)
329-329 X(01) AN BENEFICIARY TRUST TRANSACTION CODE FOR
RECORD U; acceptable values include:
“A” = Add new trustee
“C” = Change existing trustee
ACCT/ACCF
BENEFICIARY TRUSTEE (1) NAME INFORMATION
330-330 X(01) AN BENEFICIARY TRUSTEE (1) NAME TYPE CODE;
“E” = Entity
331-362 X(32) AN BENEFICIARY TRUSTEE (1) PREFIX/ENTITY LINE 1; if
NAME TYPE = “I,” then one of the following values using the
first four characters of the field will be used; the second four
“ ”
“DR ”
“MDM ”
“MR ”
“MS ”
“MRS ”
“SIR ”
If NAME TYPE = “E” or “M” then it will be free-form text
and can be blank
363-394 X(32) AN BENEFICIARY TRUSTEE (1) FIRST NAME/ENTITY LINE
2; if NAME TYPE = “I,” this field will contain the first name;
if NAME TYPE = “E,” it will be free-form text and can be
blank
395-426 X(32) AN BENEFICIARY TRUSTEE (1) MIDDLE INITIAL/NAME/
ENTITY LINE 3; if NAME TYPE = “I,” only the first
character of this field will be filled for the middle initial; if
427-458 X(32) AN BENEFICIARY TRUSTEE (1) LAST NAME/ ENTITY LINE
4; if NAME TYPE = “I,” only up to the first 16 characters of
this field will be filled for the last name; if NAME TYPE =
“E,” it will be free-form text and can be blank
459-749 X(291) AN Not Used
750-750 X(01) AN Literally “X”; indicates the end of record U
ACCT/ACCF
DETAIL RECORD V – BENEFICIARY TRUSTEE INFORMATION CONTINUED (USED ONLY WHEN A

BENEFICIARY RELATIONSHIP IS A TRUST)

001-002 X(02) ANTRANSACTION CODE = “CI”
003-003 X(01) ANRECORD INDICATOR VALUE = “V”
004-011 9(08) NRECORD ID SEQUENCE NUMBER; begins with
“00000001”
TRUSTEE INFORMATION (When Beneficiary Relationship = “T”)
041-041 X(01) AN BENEFICIARY TRUST TRANSACTION CODE FOR
RECORD V; acceptable values include:
“X” or “ ” = Unchanged Record
“A” = Add New Trustee
“C” = Change Existing Trustee
“E” = Entity
NAME TYPE = “I,” then one of the following values using the
first four characters of the field will be used; the second four
characters can be used for a suffix, and the: remaining 24
“ ”
“DR ”
“MDM ”
“MR ”
“MS ”
“MRS ”
“SIR ”
this field will be filled for the first name; if NAME TYPE =
107-138 X(32) AN BENEFICIARY TRUSTEE (2) MIDDLE INITIAL/ (cont.)
ACCT/ACCF
NAME/ENTITY LINE 3; if NAME TYPE = “I,” only the first
139-170 X(32) AN BENEFICIARY TRUSTEE (2) LAST NAME/ENTITY LINE
“E” = Entity
NAME TYPE = “I,” one of the following values using the first
characters can be used for a suffix, and the: remaining 24
“ ”
“DR ”
“MDM
“MR ”
“MS ”
“MRS ”
“SIR ”
268-299 X(32) AN BENEFICIARY TRUSTEE NAME (3) LAST
NAME/ENTITY LINE 4; if NAME TYPE = “I,” then only up
to the first 16 characters of this field will be filled for the last
name; if NAME TYPE = “E,” then it will be free-form text and
can be blank
“E” = Entity
characters will be blank; values include: (cont.)
ACCT/ACCF
“ ”
“DR ”
“MDM ”
“MR ”
“MS ”
“MRS ”
“SIR ”
2; if NAME TYPE= “I,” only up to the first 15 characters of
“E,” it will be free- form text and can be blank
“E” = Entity
“ ”
“DR ”
“MDM ”
“MR ”
“MS ”
“MRS ”
“SIR ”
ACCT/ACCF
4; if NAME TYPE = “I,” then only up to the first 16 characters
of this field will be filled for the last name; if NAME TYPE =
“E,” then it will be free-form text and can be blank
“E” = Entity
“ ”
“DR ”
“MDM ”
“MR ”
“MS ”
“MRS ”
“SIR ”
750-750 X(01) AN Literally “X”; indicates the end of record V
ACCT/ACCF
TRAILER RECORD (THIS IS A FLOATING TRAILER THAT APPEARS AT THE END OF THE LAST RECORD
OF THE FILE)

001-018 X(18) AN Literally “EOF PERSHING ” (end of
Pershing file)
019-036 X(18) AN Literally “CUSTOMER ACCT DATA”
037-046 X(10) AN Literally “ DATA OF ”
047-056 X(10) AN DATE OF DATA = “MM/DD/CCYY”
057-067 X(11) AN Literally “ TO REMOTE ”
068-071 X(04) AN REMOTE ID = “XXXX”
072-083 X(12) AN Literally “ ENDS HERE. ”
084-105 X(22) AN Literally “TOTAL DETAIL RECORDS: ”
106-115 9(10) N NUMBER OF DETAIL RECORDS
119-127 X(09) AN Indicates if the file is REFRESHED/UPDATED/NOT
APPLICABLE – literally “REFRESHED”,
“UPDATED ”, or “ ”
128-749 X(622) AN Not Used
750-750 X(01) AN Literally “Z”; indicates the end of the trailer record
ACCT/ACCF

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PERSHING STANDARD FILE LAYOUTS

FILE LAYOUT FOR: CUSTOMER ACCOUNT INFORMATION

FILE LAYOUT SPECIFICATIONS

POSITION PICTURE TYPE DESCRIPTION

DETAIL RECORD A – MAIN ACCOUNT INFORMATION

POSITION PICTURE TYPE DESCRIPTION

DETAIL RECORD B– MAIN ACCOUNT INFORMATION

POSITION PICTURE TYPE DESCRIPTION

DETAIL RECORD C – MAIN ACCOUNT INFORMATION, ADDRESS 1-2

POSITION PICTURE TYPE DESCRIPTION

DETAIL RECORD D – MAIN ACCOUNT INFORMATION, ADDRESS 3-4

POSITION PICTURE TYPE DESCRIPTION

DETAIL RECORD E – MAIN ACCOUNT INFORMATION, ADDRESS 5-6

POSITION PICTURE TYPE DESCRIPTION

DETAIL RECORD F – MAIN ACCOUNT INFORMATION, ADDRESS 7

POSITION PICTURE TYPE DESCRIPTION

DETAIL RECORD W – ADDITIONAL ACCOUNT-LEVEL INFORMATION

POSITION PICTURE TYPE DESCRIPTION

DETAIL RECORD G – ACCOUNT HOLDER/PARTICIPANT INFORMATION

POSITION PICTURE TYPE DESCRIPTION

DETAIL RECORD H – ACCOUNT HOLDER/PARTICIPANT INFORMATION

POSITION PICTURE TYPE DESCRIPTION

DETAIL RECORD X – ADDITIONAL ACCOUNT HOLDER/PARTICIPANT-LEVEL

POSITION PICTURE TYPE DESCRIPTION

DETAIL RECORD I – CUSTOM DATA FIELDS

POSITION PICTURE TYPE DESCRIPTION

DETAIL RECORD J – CUSTOM DATA FIELDS 11-15

POSITION PICTURE TYPE DESCRIPTION

DETAIL RECORD M – CASH MANAGEMENT ACCOUNT INFORMATION (FIRST RECORD)

POSITION PICTURE TYPE DESCRIPTION

DETAIL RECORD N – CASH MANAGEMENT ACCOUNT INFORMATION (SECOND RECORD)

POSITION PICTURE TYPE DESCRIPTION

DETAIL RECORD O – CASH MANAGEMENT ACCOUNT INFORMATION (THIRD RECORD)

POSITION PICTURE TYPE DESCRIPTION

DETAIL RECORD P – COD ACCOUNT SETTLEMENT INFORMATION

POSITION PICTURE TYPE DESCRIPTION

DETAIL RECORD R – RETIREMENT ACCOUNT INFORMATION

POSITION PICTURE TYPE DESCRIPTION

DETAIL RECORD S – RETIREMENT ACCOUNT INFORMATION (ADDITIONAL NUMBER INFORMATION)

POSITION PICTURE TYPE DESCRIPTION

DETAIL RECORD T – BENEFICIARY INFORMATION; UP TO 10 PRIMARY AND 10 CONTINGENT (T AND

POSITION PICTURE TYPE DESCRIPTION

DETAIL RECORD U – BENEFICIARY INFORMATION (PLUS ALTERNATE FIRST BENEFICIARY

POSITION PICTURE TYPE DESCRIPTION

DETAIL RECORD V – BENEFICIARY TRUSTEE INFORMATION CONTINUED (USED ONLY WHEN A

POSITION PICTURE TYPE DESCRIPTION

POSITION PICTURE TYPE DESCRIPTION

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