Standard File Layouts
The documents on this website explain Pershing’s Standard Files--outgoing files of standard sizes and formats delivered via nightly batch processes. Standard Files are raw data from all our applications providing all you require to gather information, generate reports, and directly feed your systems. Big data to help you manage and grow your business.
For an overview of the Standard Files Product, view this short video: https://communications.pershing.com/reader/pershing/pershing-standard-files-overview
The Standard A-Z tab on the left includes detailed layouts for each standard file offered.
The Money Fund Details file (ABAL) is created monthly on the first day following the last business day of the month. The file contains all money fund details that exist between office/investment professionals (IPs) and funds.
The Transfer (ACA2) file contains incoming and outgoing transfers and has two main types of records, Transfer Records and Asset Records. Each transfer on the file will have one Transfer Record that contains information concerning the account and the specific transfer type and at least one Asset Record, depending on what assets are being transferred.
The Alliance Account Balances file (ACBB) is created monthly and provides a monthly update on average daily balances in Federated Investor funds, Alliance Bernstein funds, Pershing Government Account funds and all the associated money fund trails for these funds, along with all the money market funds that are offered at Pershing
All the records in the Customer Account Information files (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 added or 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 on the layout.
The ACAM Master file (ACMM) is created after the close of business each day and reflects all ACAM Master changes to existing accounts or new accounts within your office(s).
ACTB – ACAM Activity for Bank Custody - sanitized copybook - 3/10/16
The ACAM Expanded Activity file (ACTB) is created daily after the history in the sweep products has been updated. The file reflects all of the activity that has occurred in various sweep products, both money funds and bank deposit products in the selected office(s) for individual investor accounts for the current day. This file contains header and trailer records that confirm the beginning and end of the file, the date it was created, and the file’s total number of records. ACTB will be made available after Pershing receives updated activity from our Bank Custody provider.
The ACAM Fund Activity file (ACTV) is created daily after the history file is updated. The file reflects all of the money fund and/or bank deposit activity in individual investor accounts for the current day.
The Alternative Investment (ALTI) Standard File contains investment positions other than traditional investments in shares, cash, and bonds. Investments that may be considered as alternative include hedge funds, exchange funds, private equity, real estate, collateralized debt obligations and other subscription products. The ALTI file is a daily batch file and is created from the information sent to Pershing by alternative investment administrators.
The Advisory Account Information file (AMAF) contains advisory account information for customer accounts that are set up on the Pershing Managed Investment platform.
AMSI - Standing Instructions and Periodic Asset Movement Instructions – This file displays records for the various types of Standing Instructions and Periodic Asset Movement Instructions for a given account.
The Advisory Managers, Styles and Programs file (AMSP) is created after the close of business each day. AMSP file is updated when a new manager, style or program is setup on the Pershing platform.
AMSP file is a full file which includes all managers (both SMA and non-SMA) with whom you have a valid contract.
The AMSP file can be configured only on the IBD level.
The ASAT file contains Account Services Audit Trail information.
The Subscription Products Commissions file (ASPC) is created daily from the Automated Subscription Products System (ASPS). This file contains commission data sent to Pershing from the insurance companies through the DTCC.
The Subscription Products Financial Activity file (ASPF) is created daily from the Automated Subscription Products System (ASPS) and contains all financial activity sent to Pershing from participating Insurance Companies.
The ASPF file, together with the ASPO file, currently contains all data for direct orders and transactional activity (financial and non-financial).
The Subscription Products Orders file (ASPO) is created daily from the Automated Subscription Products System (ASPS) and contains all annuity orders facilitated through NetX360, including but not limited to new purchases and subsequent purchases.
The Subscription Products (ASPS) file originates from the Subscription Products System (ASPS) and results from annuity orders that have been processed through ASPS, and acknowledged by the product sponsor. The Subscription file contains all data pertinent to the position such as the contract number and subaccount balances (including their valuations), as provided by the product sponsors.
The Accounts for Statement Review file (ASTM) is created monthly using data from the Accounts for Statement Review Report and contains defined data in the Statement Selection Criteria screen in Compliance View.
The ACAM Bank Activity (AM) Report file (BAAM) is created nightly for BankLink customers and provides detail on scheduled daily debit and credit BankLink entries and daily totals. BankLink is a service that will automatically settle any trades and credit any dividends to/from the Pershing account and bank account.
The Business Party Information files (BPFD and BPFF) contain Business Party Information and is generated from the Business Party database. The Business party role code identifies the Business party role including IP, IP Team etc., BPFF is a full Refresh file and BPFD is an update file that provides records that were added/updated/deleted on a given day.
The Daily CAPS files are produced on a trade (CAPT) and settlement (CAPS) date basis for firms that use the Commission and Payout System (CAPS) and is only available at the IBD level (except in the case of Advisor Solutions). The trade date files represent all trades and trade adjustments for a particular trade date, and produce three or four record types for each trade.
The Consolidated Audit Data file (CATS) is created daily.
This file is contains the CAT data in the approved JSON format, and is housed within Pershing’s standard file header and trailer.
A complete file is sent nightly and is available only at the IBD level.
The Cash Due/Margin Interest file (CDMI) contains the details of all interest charges and payouts for each account by date. This file is used to determine your clients’ debit interest charges or free credit interest.
The DTCC Chilled file (CHIL) is created on a nightly basis and contains all active securities that are either DTCC Chilled or Globally Locked. A DTCC Chill represents a limitation of certain services available for a security on deposit at the DTCC. A Global Lock on a security means that all DTCC services are suspended. A full file of securities that fall into either of these categories is sent every night.
The Check and Federal Fund Detail file (CKFF) contains ten different types of records. Records A, B, C, D, E, F-G and H-J are all independent of one another.
Combined Margin Accounts (CMAR) file is designed to display roll-up accounts and their related accounts. There is one A record per Roll-up Account, followed by as many iterations of the B record as necessary to contain all the related accounts.
This file is produced on the statement month-end date, which is the last business day of the month. Monthly CAPS is a summary file sorted by firm and investment professional that also includes each investment professional's payout information.
The CRM Activity file (CRMA) is created on a nightly basis and contains activity on CRM notes. ICRM is sent on the first night to establish a baseline of notes. The “A” Record contains generic information about the note. The “B” Record contains the text of the note (there can be a maximum of 9,999 iterations of the “B” record for each note).
The Department of Labor Information files are created daily (DOLD) as an update and weekly as a refresh (DOLF). These files provide information for IBDs to address fiduciary requirements for retirement accounts to comply with DOL Best Interest Contract (BIC).
The Equity Dividend Reinvestment Elections file contains information that indicates which eligible securities within your firm's accounts have elected dividend reinvestments and, or capital gain reinvestments on eligible securities and closed end mutual funds.
The Enterprise Billing Standard File (EBSF) File provides details on all billing events processed by the Enterprise Billing System. Events are represented at the transaction level. This provides firms with the ability to track expenses incurred or revenues earned, often times at an account level, facilitating Investment Professional compensation or firm account reconciliation processes across the Broker Dealer organization.
The Firm Trading Cost of Carry file (F220) is created on a nightly basis. This is a data version of the daily FT 220 report, designed to report each day’s income and expense associated with the maintenance (financing) of a settled position. Income from accrued interest, for fixed income items, is netted against the expense of financing the position with Pershing to produce true cost of carry. Financing is based on settlement date positions. This report shows all transactions, by CUSIP.
The Firm Trading MTD Cost of Carry file (F230) is created on a nightly basis. A month-to-date data version of the Daily Cost of Carry Report (FT220), this report lists each day’s figures for each security and is a data version of the monthly FT 230 report. The figures for each security are then sub-totaled for a daily average, and the total month-to-date cost of carry. Financing is based on settlement date positions.
The W8 Form Information File (FATC), formerly the Foreign Account Tax Compliance Act file, contains the information supplied for the various W8 forms, listed below. These forms are provided by non-US persons for US tax reporting and potential tax relief on US-sourced income.
The Firm Trading Data file (FT10) is created on a nightly basis. The "A" Record contains the trade date based information that summarizes the status of each security in the trading account. Profit/loss data is shown along with dividend and interest information. Pending dividends are also shown, as well as sales credits paid to brokers on principal transactions. Sales credits are, however, memo entries and are not calculated by the Firm Trading system.
The Firm Trading Settlement Data file (FT20) is a daily file with three record types. The "A" Record contains the settlement date based information that summarizes the status of each security in the trading account. Profit/loss data is shown along with dividend and interest information. Pending dividends are also shown, as well as sales credits paid to brokers on principal transactions. The "B" record contains the settlement date bookkeeping balance in USD and/or currency for the account. The "C" record contains currency information associated with the preceding Multicurrency Position "A" record. These records contain the Currency Code and Currency Exchange Rate as of close of the current business day and Currency Rate Multiply/Divide Indicator used to calculate the US Dollar Equivalent (USDE) values for multicurrency positions and balances. Records "B" and "C" are optional.
This file is of primary use to those firms who close their books on a settlement date basis.
The FT50 file contains (FT50) a trade date report that shows closed-out positions, by lot, for securities held during the month. Realized profit and loss (P&L) and interest P&L are calculated and shown for each closed lot (sale). This data file is for accounts using first in/first out (FIFO) accounting and is not available to accounts using average cost accounting.
The FT60 file provides open lot information for each account on a trade date basis, including the makeup of average cost and unrealized profit and loss (P&L) for accounts in first in/first out (FIFO) order. Position information for each security total agrees with Daily Trade Inventory Recap file (FT10). The FT60 file is for those accounts using FIFO accounting and is not available for accounts using average cost accounting.
The Firm Trading Activity Summary (FT70) file contains a recap of the prior day’s trading activity for each security in each account, showing sales credits and calculating retained Profit and Loss (P&L) after sales credits are given up. Opening position (close from prior day) is shown, followed by all activity that took place in each security in the account and the final closing position for each security. This is a trade date data file with daily and month-to-date P&L information. This file contains data that is found on the FT70 and FT75 reports.
The Firm Trading FT90 Data file is created on a nightly basis. The "A" Record contains a month-to-date recap of all activity in the trading account, organized by CUSIP. Included in this file are trades, journal entries, interest (paid/received), dividends (paid/received), and all other cash and security transactions. This file also shows the IP number and customer account or contra broker.
The ACAM Expanded Fund Balances file (FUNB) is created daily after the update balances are received
from Funds Transfer Agent and/or Fund Group. This file represents all of the balances held by various
money funds in the selected office(s).
The file is created daily after ACAM positions are updated. This file contains all of the balances held by individual investors in various money funds and/or bank deposit products in the selected office(s).
The ACAM Omnibus Fund Balances File will contain the Pershing sweep money market fund balances that operate in an OMNIBUS environment. The file is created daily after the close of the business day. This file represents all of the sweep money market fund balances in the selected office(s).
The Global Bookkeeping Activity file for the Bank Custody platform (GAC1) is attributed to accounts held on the Global Data Repository (GDR) as delivered to Pershing by our service provider(s). GAC1 runs on a different schedule than GACT, and the data from these two files cannot be commingled.
The Global Bookkeeping Activity file (GACT) is created on a nightly basis. Recipients receive non-trade (bookkeeping) information. Though trade date and settlement date trade records are available, Pershing recommends using GTDE or GTOE for trade detail transactions. GACT is for Brokerage only. See GAC1 for Bank Custody information. The data for these files cannot be commingled.
The Global Customer Position files (GCS1) are created after the close of business each day. GCUS represents the brokerage business. The files reflect account positions within your office range on an update and refresh basis. . Update records are generated only by changes in quantity; market value changes alone do not drive the creation of an update record. All amounts depicted in these files are displayed in USDE (US Dollar Equivalent).
The Global Customer Position files (GCUS) are created after the close of business each day. GCUS represents the brokerage business. Update records are generated only by changes in quantity; market value changes alone do not drive the creation of an update record. All amounts depicted in these files are displayed in USDE (US Dollar Equivalent).
The Security Information: Non-Standard Margin Requirement Overrides file (GMCO) identifies margin maintenance overrides that have been applied to securities (identified and sorted by CUSIP) at either the Global Pershing level or the Introducing Broker Dealer level. A full file is created nightly.
GMN1 – Global Moneyline - sanitized copybook - 7/23/20
The Global Moneyline file for Bank Custody (GMN1) is based on Bank Custody data attributed to accounts held on the Global Data Repository (GDR) as delivered to Pershing by our service provider(s). GMN1 runs on a different schedule than GMON, and the data from these two files cannot be commingled.
The Global Moneyline file for brokerage accounts (GMON) is created after the close of business each day. The file reflects all account balances within your requested range. All open accounts with balances will be populated with records A and B (and new Optional Record C, if selected). Records 0, 1, 2 (and 4), 3 (and 5), and 8 will be populated if data for those account types exist on Pershing’s database. An exception to this is if an account contains only Money Market Funds. In this case, only Record A will be sent.
Data from GMN1 and GMON cannot be commingled.
The Global Trades files (GTDE and GSDE) contain all trades that were processed (executed and/or cleared) through Pershing’s batch systems as of the previous business day. This file contains both the domestic and non-domestic transactions. GTDE contains the trades as of trade date, and GSDE contains the trades as of settlement date.
The expanded Global Trades-Orders file (GTOL) combines GTDE (records A & B) and OEGL (records C, D, E, F, or G) and contains all Trade Date trades that were processed (executed and/or cleared) through Pershing’s batch systems as of the previous business day along with associated order data. The file accommodates both domestic and non-domestic transactions. GTOL will replace GTOE.
The Compliance View General Trades file contains the daily data that is generated by Compliance View for the General Trades Report. The file consists of data that your firm defines in the Trade Selection Screen in the TOOL application. It does not contain all trades executed by your firm.
The Household file (HHLD) contains group name details that are extracted daily.
The Holder/Participant/Client files (HLDR and HLDU) contain expanded holder information that originated in the ACCF file. HLDR and ACCF detail can be cross-referenced by Account Number in position 012-020.
The Investment Allocation Classification files (IAC1 and IAC2) are created after the close of business each day.
IAC1 is created early in the overnight batch cycle; IAC2 is created towards the end of the batch cycle. IAC2 may be applicable only in specialized cases where the client provides some input on their classifications in batch. An IBD can subscribe only to IAC1 or IAC2, but not both.
The IAC1 and IAC2 files can be configured only on the IBD level.
A full file is created every night.
The ID Management file (IMSF) is created weekly and every Sunday evening after the Top Secret System (TSS) clean-up process. The purpose of the file is to notify the Introducing Broker Dealer (IBD) of the users who are eligible for Single Sign-On (SSO), as designated in Top Secret, and those whose IDs have fewer than 14 days to expiration. The file is sorted by User ID within record type, with all “A” records, if present, first, followed by “B” records, if present, and then “C” records, if any present. No record type is mandatory, and the file sequence number increments on each record, regardless of record type.
The IMSF file can be configured only on the IBD level.
Customer Cash Due Interest file (INTC) contains the Customer Cash Due details for selected criteria. Customer Margin Interest file (INTM) contains the Customer Margin interest details for selected criteria. Customer Non-Purpose Loan (NPL) Interest file (INTN) contains the Customer Non-Purpose Loan (NPL) interest/participation details for selected criteria.
The ISCA file is created daily after the close of the business day. The securities on ISCA are based on the customer account holdings or activity attributed to a given site. Details including prices and other important information about each security held are provided in various optional record types.
A full file is transmitted nightly.
The Source Codes file (ISRC and SRCD) contains source codes from different Pershing business units. A source code is a three-character code that indicates the type of transaction carried out by a specific business unit. This file can either be a refresh file (ISRC) or an update file (SRCD). The refresh file contains all the data records in the input file. The update file is one that contains only records that have changed in the current input file with reference to the previous refresh file. This change may be addition/deletion of source codes or change in the other fields corresponding to a particular source code.
The Customer Missing Documents (KTMS) file represents the “Missing Documents” section of the Documentation Recording and Tracking System (KUST) that provides the missing document detail. A full file is created every night.
The Customer Received Documents (KTRV) file represents the “Received Documents” section of the Documentation Recording and Tracking System (KUST) that provides the received document detail. A full file is created every night.
The Last Account Activity Dates file (LACD) is created weekly. In addition to return mail, lack of owner-generated activity, “inactivity,” is also considered a trigger for identifying abandoned property for certain states. This file assists with identifying owner-generated activity in order to determine if an account is active, or if an account is inactive and could be considered as abandoned.
The Non-Purpose Lending (formerly Loan Advance) file (LADV) contains the details of an introducing broker dealer’s (IBD’s) interest participation related to a Non-Purpose loan. This displays Pershing’s interest participation, as well as the IBD’s interest participation. This file is produced monthly on the 20th of each month, or the first business day following.
The Lost Security Holders file (LSHD and LSHF), SEC 17AD-17, represent returned mail events, client located events, and abandoned account events entered into the Dates and Docs section of Account Services. The data in the file is created from the Activity Engine database, which is updated nightly.
The Mutual Fund 12b-1 file (M12B) contains 12b-1 trail fees that have been passed to Pershing from the NSCC. The information represents the commission fees that are credited to the Introducing Broker Dealer’s (IBD) sundry account which are eventually credited to the Investment Professional of record for the associated transactions.
The Managed Account Automated Turnover file (MAAT) contains information regarding Account Turnover details of managed accounts that are processed within the Managed Investments (MI) platform’s Automated Turnover functionality.
A full file is sent nightly.
The Managed Account Billing Information file (MASF) contains billing details along with Payee/Payor information for Institutional and Retail accounts. This file will be generated based on fee transaction daily billing details.
The Mutual Fund Dealer Agreements file (MFDA) is created daily and reflects the information on mutual fund dealer agreements between different introducing broker/dealers (IBDs) and fund families.
The MFDA file can be configured only on the IBD level.
This file contains mutual fund codes and descriptions from the Pershing Mutual Fund Department. A mutual fund code is a four-letter code indicating the type of mutual fund group. This is a full daily file.
The Daily Mutual Fund Prospectus Fulfillment file (MFPF) contains the details of each mutual fund trade sent to Pershing’s fulfillment vendor and the status of each item once received and acknowledged by the vendor. Once a completed status is received (e.g., Mailed, Closed, etc.), items are dropped from the file. A new, optional "B" record has been added that includes mailing and email addresses for items.
MFTB - Mutual Fund Trades for Bank Custody file - sanitized copybook - 3/10/16
The Mutual Fund Trades for Bank Custody file (MFTB) is created daily, reflecting the Mutual Fund Daily Trade Activity Log report. The Mutual Fund Trade Activity Log report provides the mutual fund trading desk a daily report that contains all the mutual fund orders that were routed to the MIPMASTR file along with their present statuses and other details. The file is created in parallel to the creation of the report and contains a duplicate of the information fields from the report.
All values will be displayed in the currency that the fund is denominated in. A fund can be denominated in more than one currency and each currency of the same fund will have a different CUSIP assigned to it.
MFTD - Mutual Fund Trades - sanitized copybook - 12/4/20
The Mutual Fund Trades file (MFTD) is created daily, reflecting the Mutual Fund Daily Trade Activity Log report. The Mutual Fund Trade Activity Log report provides the mutual fund trading desk a daily report that contains all the mutual fund orders that were routed to the MIPMASTR file along with their present statuses and other details. The file is created in parallel to the creation of the report and contains a duplicate of the information fields from the report.
The Advisor Model file (MIAM) is created daily. This file contains the customized advisor-owned models and the accounts assigned to each.
This is an IBD-level file, and available only to customers of Managed Investments.
The Firm Model file (MIFM) is created daily. This file contains the sponsor-owned models that define the parameters for advisor model customization.
This is an IBD-level file, and available only to customers of Managed Investments.
The Address Forwarding (MOVD) file is created on the Tuesday night following the first Friday of the month (though it is possible it might be available earlier, but not later) and contains information obtained from the National Change of Address file. It is a full file containing original address and the updated forwarded address for the month
The Rules Engine Daily Web Services Security Restrictions file (MTE5) is created daily, and sent at the end of each business day for reconciliation purposes.
The Enrollment file (MTEN) is created after the close of business each day. The file reflects subscriber enrollment information activity. RTEN is the full version of the file. It is recommended that RTEN be received at the outset, one time, to establish a baseline, with the daily MTEN received subsequently.
The NSAT file captures audit trail information related to NetXInvestor Subscriber ID additions, updates, and deletions. This activity could be initiated from the NetXInvestor front end by the end-client or by the IBD via the NPNX-ACE screen in NetX360 360 Ops Center.
The expanded Order/Execution Log for Books and Records file (OEGL) is created from the Books and Records repository, which is updated on a nightly basis. This file primarily focuses on order/execution data requirements for Books and Records processing. It includes information on order changes, order routing, rules engines as well as order executions .
The expanded Open Order Books and Records (OORL) is created from the Books and Records repository, which is updated on a nightly basis. This file contains Good-until-types of orders that have not been completely executed (or have not yet expired or been cancelled), as well as day orders that have been either partially executed or have not been executed at all. This file contains order data requirements for Books and Records processing. OORL will replace OORD.
The OPTD file contains only the bookkeeping transactions for exercised and assigned options. Please note that expired options are not included. OPTD is created daily.
The OPTX file contains only the bookkeeping transactions for exercised and assigned options. Please note that expired options are not included. OPTX is created monthly on the first Saturday after options expiration weekend.
The ORDS file is created daily from Pershing’s Advanced Trading Order Management System (ATOMS). The Open Orders file contains all of the data relevant to an open order, including account number and basic security information, as well as quantities, prices, exchanges and order types pertaining to the open order in a client’s account.
The Funds Utilization Accumulated Product Level Financing Detail Audit Report file (PLFN) is created daily and accumulates from the stated beginning date of the month through the end and restarts at the beginning of a new month. The file displays the financing rates and is sorted by lowest financing rate within CUSIP. It represents the information found in the FUN049D1 report.
The PLFN file can be configured only on the IBD level.
PON7-PN7F-Investment Professional (IP) Master - sanitized copybook - 3/7/18
The Investment Professional (IP) Master file is created after the close of business and reflects information about the Investment Professionals associated with your site ID’s configuration. The full file (PN7F) shows all the Investment Professionals, while the update file (PON7) reflects changes and additions. You can choose to receive the PN7F weekly or monthly only, while receiving the PON7 daily. You can receive both the PON7 and PN7F on the same day. Record “C” is optional.
POT1 - Portfolio Open Tax Lots - sanitized copybook - 1/27/16
The Portfolio Open Tax lot file for Bank Custody accounts (POT1) is based on the Bank Custody activity and positions attributed to accounts held on the Global Data Repository (GDR) as delivered to Pershing by our service provider(s). POT1 runs on a different schedule than POTL, and the data from these two files cannot be commingled.
POTL - Portfolio Open Tax Lots - sanitized copybook - 1/27/16
The Portfolio Open Tax Lots file (POTL) is the open tax lot file for brokerage accounts. It includes an aggregate/summary record (Record A) followed by the tax lot records for each position (Record B) held in accounts maintained on the Portfolio System. All dollar amounts are represented in USDE. This file is created to transmit the extracts of the Holdings file information to the introducing/broker dealers (IBDs). A full file is created every night.
The Product Statistics by AE file (PRST) is produced on a trade and settlement date basis for firms that use the Commission and Payout System (CAPS). The trade date files represent all trades and adjustments on a trade date basis. Similarly, the settlement date file represents only settled trades and adjustments that have settled on a given day. This file contains service charge information for each trade, number of net orders, net billable orders, number of trades or executions (TKTS) and canceled TKTS.
The Projection of Systematic Withdrawal file (PSWF) is created after the nightly batch cycle. The file contains information of all accounts scheduled for payment in the next four days and are short of funds.
There are four custody files which contain all the details that are available on the Pershing Custody Administrative System (PCAS), PTD1, PTD2, PTD3, and PTD6. The PTD1 file incorporates all receive items entered into PCAS at the account/CUSIP® level.
There are four custody files which contain all the details that are available on the Pershing Custody Administrative System (PCAS), PTD1, PTD2, PTD3, and PTD6. The PTD2 file contains all of the documents that are related to the original item entered into PCAS, and is transmitted on request.
There are four custody files which contain all the details that are available on the Pershing Custody Administrative System (PCAS), PTD1, PTD2, PTD3, and PTD6. The PTD3 file contains all of the information regarding the certificates related to the original item entered into PCAS.
There are four custody files which contain all the details that are available on the Pershing Custody Administrative System (PCAS), PTD1, PTD2, PTD3, and PTD6. The PTD6 file explains all of the activity that occurred within an item detail in PCAS.
PTL1 - Portfolio Tax Lot Dispositions - sanitized copybook - 1/27/16
The Portfolio Tax Lot Dispositons file for Bank Custody (PTL1) is based on the Bank Custody activity and positions attributed to accounts held on the Global Data Repository (GDR) as delivered to Pershing by our service provider(s). PTL1 runs on a different schedule than PTLD, and the data from these two files cannot be commingled.
PTLD – Portfolio Tax Lot Dispositions - sanitized copybook - 4/1/16
The Portfolio Tax Lot Dispositions file (PTLD) for brokerage accounts includes the capital gain records, extracted from the Portfolio Activity file. The data on this file can be used to create a schedule of realized gains and losses. Includes closed tax lots. This is a daily full, cumulative file.
The Global Clearance Settlement Status file (RD01-RD23) is created hourly. There is no RD02 file, due to system maintenance timing.
The Rules Engine Assignment File (REAS) is created nightly to produce an extract of Rule Assignments for Domestic Order Entry. REAS displays for each Broker/Dealer the assignment details, including the rule name, outcome, level, violation message, as well as the date and time the assignment was made or updated.
The REAS file can be configured only on the IBD level.
The Reorganization Wire files (REO1-5) are created at different times during the business day. The files are based on wires containing a variety of descriptive information about an account and security. For an effective merger wire only, if there are terms on the Notepad, the “D” record, “Client Account Information,” will appear before the “C” record, Notepad Information.
The Rules Engine Orders File (REVO) tracks orders rules violations that are due to credit risk, trade action, or regulatory requirements.
The Rules Engine Trades File (REVT) tracks trades rules violations that are due to credit risk, trade action, or regulatory requirements.
The Required Minimum Distribution (RMIN) file is created on a nightly basis and contains the Required Minimum Distribution (RMD) information associated with an account. A full file is sent nightly.
The Retirement Plan Fee Charge file (RPFC) is created monthly on the 20th calendar day of the month. If this date falls on a holiday or weekend, the charge date will be the next business day. Jobs run at the end of the business day.
The Retirement Plan Fee Invoice file (RPFI) is created monthly on the 15th calendar day of the month. If this date falls on a holiday or weekend, then the invoice process will run the next business day. Jobs run at the end of the day, crossing midnight, so clients can expect this file on the next calendar morning. The Retirement Plan Fee Preliminary (RPFP) is created monthly on the 1st calendar day of the month. If this date falls on a holiday or weekend, then the preliminary invoice process will run the next business day. Jobs run at the end of the business day.
The Subscriber Cross-Reference file (SBAC) is created after the close of business each day. This file provides the linkage between Subscriber/User ID and Account Number. A full file is created daily.
The Service Center Request file (SCSS) is a file of all Service Center requests which include Cancelled, Processed, and Rejected requests. This file is created on a monthly basis.
The Disclosure Statistics (SEC6) file is created quarterly, two to three weeks after the first Saturday of the quarter-end. It contains order routing statistics for each Introducing Broker Dealer (IBD) by month and venue within each month. The data is also broken down by S&P equity symbols versus non-S&P equity symbols, as well as options. It includes counts and percentages of market, limit, and other orders for quarterly data, broken out by month.
The Account Profile file (SELI) contains account information that has been set up for householding purposes. The file contains all accounts associated with or linked to a primary (or parent) account. The information includes group name or group ID, account number linked to the group, group purpose, and a primary indicator of the group.
The Settlement (SETD/SETF) files display all Settlement Instruction options for DVP accounts.
Each detail record represents a type of Settlement Instruction.
Only the record types that have valid instructions will be displayed on the file.
SETD is a daily update file; SETF is the full file which can be delivered on a weekly or monthly basis.
The Security Profiles (SPAT) file contains profiles from Top Secret, Application Security Database System (ASDS) job roles, and NPNX profiles for non-Entitlement Management Systems users (EMS). Records for EMS users contain EMS user job functions, EMS Report Center entitlements, and EMS content entitlements. Post-reconciliation data entitlements are provided for all users from ASDS. The SPAT file is configurable at the IBD level only.
The Short Position Interest Accrual (SPOI) file contains the daily and month-to-date fee/rebate interest accrual for client short positions. It is a daily statement for customers who need to see the current security-level interest accrual on their short positions. SPOI shows the last business day short interest accrual and month-to-date total short interest accrual for each rebate position held during the current billing period. During the current billing period, when a position is closed, the rate will be zero and the short market value will be zero, but the month-to-date value will be displayed.
A full file is created nightly.
The Subscriber Entitlement Profile file (SPRO) is created after the close of business each day. This file provides the linkage between Subscriber/User ID and Profile. A full file is created daily.
The SPRO file can be configured only on the IBD level.
The Scheduled Instructions (SRSI) file contains the systematic instruction detail for accounts that have scheduled buys, sells, and/or exchanges. The file contains the elements of the instruction including, but not limited to account, CUSIP, quantity, transaction amount, applicable dates, and more.
A full file is created nightly.
SUBD/SUBF - Sub-Account for Bank Custody - sanitized copybook - 4/1/16
The Sub-Account for Bank Custody files (SUBD and SUBF) are created after the close of business batch cycle. The files contain the sub-accounts associated with Bank Custody accounts and their appropriate characteristics. SUBD is created nightly and SUBF is refreshed nightly, weekly or monthly.
The Sub-Account for Bank Custody files (SUBD and SUBF) are created after the close of business batch cycle. The files contain the sub-accounts associated with Bank Custody accounts and their appropriate characteristics.
The SWIFT Federal Funds Messages (SWFF) file is designed to provide SWIFT message types 103 and 202 for incoming and outgoing USD wires and outgoing non-USD wires processed on Pershing systems. Non-USD incoming SWIFT message types are 103, 202 and 910. The activity reflects messages received throughout and up through the close of the business day.
The User Data Entitlements file (UDAI) contains Pershing User Data Entitlements in the IBD/Office/IP/Account hierarchy. User IDs are grouped by their Primary IBD/Office association.
The UDAI file can be configured only on the IBD level.