Standard File Layouts
Layouts and documents listed under the Standard A-Z, IntraDay and Appendices tabs pertain to files containing data for our Brokerage line of business or those that contain data from and related to multiple lines of business. Other tabs host layouts for files containing data specific to the line of business indicated only.
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. 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.
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 12b-1 Alliance Account Balance file provides a monthly update on the Alliance mutual fund and money fund trails.
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. The addition of an account(s) to your standard file destination is NOT considered an add or change to the account(s) and will NOT produce a subsequent record(s) on the ACCT file. In addition to being configured on your standard file destination, accounts must be added/updated in Account Services that day to create a record on the ACCT file. 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 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 AMSI file will be created on a daily basis, containing adds, changes, and deletes. Once an instruction has been shown as deleted (W = withdrawn, E = expired, C = cancelled, or R = rejected), it will drop off the file the following time the account is displayed. Full files can be made available weekly.
Note: If data is not available or not applicable, fields will be populated with spaces ( b).
The Advisory Managers, Styles and Programs file (AMSP) is created after the close of business each day.
AMSP file is created from the Manager Systems database at Pershing which is updated when a new manager, style or program is setup on the Pershing platform.
AMSP file will be 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 ASPC file can be configured only on the IBD level.
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. Headers and trailers are included as part of the file. The ASPF file, together with the ASPO file, will eventually replace the ASP2 file, which currently contains all data for direct orders and transactional activity (financial and non-financial).
The Subscription Products Order 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. Headers and Trailers are included as part of the file. The ASPO file, together with the ASPF file, currently contains all data for direct orders and transactional activity (financial and non-financial).
Record 1 (Share Class) and Record 2 (Suitability) are both optional and must be requested.
This 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. This file consists of data that your firm defines in the Statement Selection Criteria screen in Compliance View. 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.
ACAM Bank Activity Report (AM) is for BankLink correspondents 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 your Pershing account and your 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.
BPFF and BPFD work in conjunction with the new optional “N” and “O” records on the ACCT/F files. You will need to request these records so that you will be able to cross-reference the Business Party information associated with a specific account.
Both BPFF and BPFD can be configured only on the IBD level.
The Daily Caps file (CAPS/CAPT) is produced on a trade and settlement 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 IMS offices). 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 contains Pershing’s 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. A complete file is sent nightly.
This file is contains the CAT data in the approved JSON format, and is housed within Pershing’s standard file envelope.
This file 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. You can use this file to answer questions regarding 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 can be produced on the statement month-end date or the last business day of the month, depending on your firm's month-end cut-off period. 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 (DOLD and DOLF) are created daily as an update and weekly as a refresh. These files provide information for IBDs to address fiduciary requirements for retirement accounts to comply with DOL Best Interest Contract (BIC). 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 (Effective Q1 2017).
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 as recorded by the source application feeding such events to EBS. 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. 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. There is one “page” per security.
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 "B" record contains the trade 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. For domestic records, the currency code and currency exchange rate fields will be blank.
You can choose not to receive these records. The default option is that the "B" and "C" records will be sent unless you notify Pershing otherwise.
If the "C" record option is included for this office, there can also be "B" records for each currency that the account has a trade date bookkeeping balance.
Ticket counts are also provided. This file is of primary use to those firms who close their books on a trade date basis.
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 PREP 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 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). 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.
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 (GACT/GAC1) is created on a nightly basis. The recipient of this file has a choice of receiving trade date or settlement date trade information, non-trade (bookkeeping) information, or any combination of these three types of transactions. The selection of this information is governed by the Transaction Type field (position 070). for trade detail.
The Global Customer Position files (GCUS and GCS1) are created after the close of business each day. GCUS represents the brokerage business; GCS1 is based on the Bank Custody positions attributed to accounts held on the Global Data Repository (GDR) as delivered to Pershing by our service provider(s).
The files reflect account positions within your office range on an update and refresh basis. Based on Pershing’s business model, refresh (full) files are not transmitted daily. 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 (GMCO) file 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.
The GMCO file can be configured only on the IBD level.
The Global Moneyline (GMON) file 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.
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 Global Trades-Orders file (GTOE) combines GTDE (records A & B) and OELG (record C) 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.
Records A and B include today’s trade-related data and Record C contains order-related data. They are grouped as one A, B and C record for each transaction.
The design of the layout in Record C has been formatted so that there is only one iteration of positions 667-1250, as the fields for each product type are identical.
The PERSHING INTERNAL TRADE REFERENCE NUMBER is now displayed in Record A, 063-082, as well as in Record C, 1026-1045, for record matching convenience.
This file is only available in the test region. PROD: TBA 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.
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 symbol “ ” is used on our standard files to represent spaces.
The Investment Allocation Classification file (IAC1) is created after the close of business each day. The file contains asset classifications provided by and for the use of Pershing clients. Included in the file are the asset class category characteristics and the securities that are classified within each asset class. Securities included in the file are based on clients’ current holdings on the Pershing platform. The design of the file is as follows: Record A contains the various characteristics of each group levels.
The IAC1 file can be configured only on the IBD level.
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 containing the Customer Margin interest details for selected criteria. Customer Non-Purpose Loan (NPL) Interest file (INTN) containing 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. This file contains expanded price field sizes and additional records providing greater detail about the security.
Records A, B, C and D contain general security information.
Records E, F, and G contain expanded price fields, to accommodate prices greater than 99,999.99, and global security identifier information.
Records H and I provide additional security information including option symbology.
Record J contains a factored market value multiplier, as well as other fields (some repeated) that are associated with price, for convenience.
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 Loan Advance file (LADV) contains the details of an introducing broker dealer’s (IBD’s) interest participation related to a LoanAdvance® 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 information contained in the Lost Security Holders (SEC 17AD-17) file (LSHD and LSHF) 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.
LSHF is a full or refresh file which includes all accounts, which is available weekly, monthly, or on demand, while LSHD is an update nightly file which shows accounts updated that day.
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 from Redi2.
The Mutual Fund Dealer Agreements file (MFDA) is created daily reflecting 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 file is a full daily file that is not refreshed or updated.
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 with status of mailed, with Status = “05” or “08.”
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. There is a possibility of receiving multiple “C” records for each transaction.
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 monthly and contains information obtained from the National Change of Address file. It is a full file of information that occurred during the course of the month.
The symbol "" is used on our standard files to represent spaces.
The Enrollment file (MTEN) is created after the close of business each day. The file reflects subscriber enrollment information activity. RTEN is a full file, which contains only records B, C, D and E, and runs on Monday mornings, on request. It is recommended that RTEN be received at the outset, one time, to establish a baseline of information.
There is no mandatory record; the file is sorted by record type. All A records will be displayed first, followed by all B Records, C Records, D Records and E Records.
Records A, B & E are sorted by SUBSCRIBER ID; Records C & D are sorted by ACCOUNT NUMBER.
Record A – contains Subscriber Session History Details
Record B – contains Subscriber E-Mail Information
Record C – contains Subscriber Enrollment Information
Record D – contains Subscriber De-Enrollment Information
Record E – contains New Subscriber Creation Information
This file captures audit trail information related to NetExchange Client Subscriber ID additions, updates, and deletions. This activity could be initiated from the NetExchange Client front end by the end-client or by the IBD via the NPNX-ACE screen in Net Exchange 360 Ops Center.
This daily file reflects the activity of the previous business day.
The OATS Audit Trail Reporting (OATS) file consists of several detail records in addition to Pershing Header and Trailer.
Each record type will follow the other.
Record A - OATS Header
Record B - New Order "NW" Report
Record C - Route "RT" Report
Record D - Desk "DS" Report
Record E - Combined Order/Route "OR" Report
Record F - Combined Order/Execution "OE" Report
Record G - Cancel "CL" Report
Record H - Cancel/Replace "CR" Report
Record I - OATS Trailer
The OATS file can be configured only on the IBD level.
This file is only available in the test region. PROD: TBA 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 Order/Execution Log for Books and Records file (OELG) 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.
This file contains A, B, C, D, E, F, and G records with the A, B and C records showing the basic order information:
A – relates to basic information regarding the order except in the case of trade cancels or corrections, which cannot be mapped to the original order. In these cases, there will be an F (and possibly G records) only.
B – relates to Books and Records regulatory information, as well as additional order information.
C – relates to the security-specific information related to the order.
D – relates to the activity associated with the executed order. This record also has additional sub-records, and there can be several D records per order.
E – relates to Comments and other text messages related to order activity. There can be several E records per order.
F – relates to trade corrections and cancels occurring after trade execution.
G – relates to Comments related to trade corrections and cancels.
For orders where more than one account is involved, the “F” record might not be related to the previous “A,” “B,” and “C” records. To identify the matching records, use the Source System Order ID, found on all records in position 024-043. This might occur if a trade is cancelled from one account and corrected into a different account.
The Open Order Books and Records file (OORD) 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.
A - relates to basic information regarding the order (there is one A record per order)
B - relates to Books and Records regulatory information (there is one B record per order)
C - relates to the security-specific information related to the order (there is one C record per order)
This file is only available in the test region. PROD: TBA 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.
The OPTD file contains only the bookkeeping transactions for exercised and assigned options. The Bookkeeping file is based on the option expiration cycle. Please note that expired options are bypassed. OPTD is created daily.
The OPTX file contains only the bookkeeping transactions for exercised and assigned options. The Bookkeeping file is based on the option expiration cycle. Please note that expired options are bypassed. 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.
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.
The Portfolio Open Tax Lots file (POTL) is the open tax lot file. 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. The aggregate record is joined to its associated tax lot records by the sequence number in position 004-011. 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.
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 trade adjustments for a particular trade date and produce the record types for each trade as per the file layout. Similarly, the settlement date file represents only settled trades or trade adjustments that have settled on a given day. This file will contain 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. The file is produced for current date, C+1, C+2 and C+3.
There are four custody files which contain all the details that are available on the Pershing Custody Administrative System (PCAS). This file incorporates all receive items entered into PCAS at the account/CUSIP® level.
This file contains all of the documents that are related to the original item entered into PCAS, and is transmitted on request.
This file contains all of the information regarding the certificates related to the original item entered into PCAS.
This file explains all of the activity that occurred within an item detail in PCAS.
The Portfolio Tax Lot Dispositions file (PTLD) 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 Receive and Deliver (Version 2) standard file (RDM1 and RDM2) is created in batch and contains Clearance open items. Open Items consist of institutional and street side trades, ACATs and retail instructions. The transactions could be in US or non-US dollars. Data elements included in this file relate to settlements through DTC, FRB, or International. It also contains DTC ID status, delivery reclaim comments and exposure, to name a few.
RDM1 is sent before PDQ (Pre-Determined Order Quantity), at approximately 2:00 AM and RDM2, the later file, is sent after PDQ, after 3:00 AM.
Record A is for active items, and Record B represents all clean items or cancelled items.
RDM1 uses only record A, while RDM2 uses both A & B records.
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 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. 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.
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 symbol "" is used on our standard files to represent spaces.
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 day, crossing midnight, so clients can expect this file on the next calendar day morning.
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.
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 day, crossing midnight, so clients can expect this file on the next calendar day morning.
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.
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 SEC6 file can be configured only on the IBD level.
IMPORTANT NOTE: Only firms that execute some or all equity or option trades away from Pershing should elect to receive this file. For IBDs that execute 100% of orders through Pershing, the disclosure will be hosted on a Pershing website using the following URL: www.orderroutingdisclosure.com.
The Account Profile file (SELI) contains account information setup for house-holding purposes. The file will contain 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 are designed to display all Settlement Instruction options for DVP accounts.
Each detail record represents a type of Settlement Instruction and each record type contains an Instruction Sequence Number in positions 082-084 (in Records B-F) to differentiate the various instructions for specific asset types as indicated:
A = Generic Account Information (this is the only required record)
B = DTC Instructions (up to 6 occurrences)
C = Reserved for future DTC expansion
D = Federal Reserve Instructions (up to 3 occurrences)
E = Non-US Instructions (up to 100 occurrences)
F = Legacy Physical Instructions (up to 6 occurrences) If an account has at least one set of settlement instructions, that information will be displayed following the “A” record for that account. Only the record types that have valid instructions will be displayed on the file.
This file is updated on a daily basis and refreshed on a weekly or monthly basis.
The SPAT file contains security 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 file consists of 18 record types, A through N and P-S. For a particular user ID, there can be more than one of the same record type. For example, User ID P999ABCD can have more than one “A” record depending on the number of TOP Secret profiles for the user ID. They will receive all the relevant “A” records followed by all the relevant B records, etc. Only relevant record types will be displayed for each user ID. There is no limit to the number of entitlements a user can have; however EMS users will receive record types C plus E through S, while non-EMS users will receive record types A, B, and C, and if they choose, optional record D. For EMS users, records M, N, P and S are all optional.
The SPAT file can be configured only on the IBD level.
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 clients who need to see the current security-level interest accrual on their short positions. This file 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.
The symbol “ ” is used on our standard files to represent spaces.
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 new file will contain 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.