Novela

PERSHING STANDARD FILE LAYOUTS
FILE LAYOUT FOR: CUSTOMER ACCOUNT INFORMATION

GENERAL INFORMATION File Frequency: Record Size: Form Name: Daily 750 characters 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 isupdated 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 yourstandard 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 Main Account Information (records A to F and W) is the only segment of the file that is alwayssent 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 andB 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. Record 4 contains Account Level KYC Investment Knowledge. The Account Holder/Participant Information (records G, H, X, and M)contain address, phone, employment, basic Books and Records, USA PATRIOT Act, and KYC Investment Knowledge 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, where applicable.

ACCT/ACCF Page 1

Customer Account Information 06-12

PERSHING STANDARD FILE LAYOUTS
The Custom Data Fields and PONA Supplementalinformation are found in Records I, J and K. 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). Record K allows for multiple instances to accommodate up to100 Custom Fields in total. Record L contains Advisory Account information. The COD Account Settlement Information is found in record P. 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 hasthree 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. Abeneficiary 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
001-018 019-036 037-046 047-056 057-067 068-071 072-085 086-095 096-096 097-104 105-118 119-127

PICTURE
X(18)...