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What's New
If you have any questions regarding our standard files, please contact us at datadelivery@pershing.com or call Pershing’s Technology Help Desk at (800) 876-2001. As always, thank you for your continued business and support. |
Standard Files A-H
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Standard Files I-Z
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| Appendices |
| Reference Files |
| IntraDay Files |
Standard Files A-H
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ABAL-Money Fund Details File-06/05
The Money Fund Details file (ABAL) contains all money fund details that exist between office/investment professionals (IPs) and funds. The ABAL file is sorted on remote, office, IP, and account number. |
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ACAT IN-Incoming ACAT Transfers-07/07
The Incoming ACAT Transfers file contains the incoming ACAT transfer information, including asset account information that is transmitted to the National Securities Clearing Corporation (NSCC). |
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ACATO-Outgoing ACAT Transfers-07/07
The Outgoing ACAT Transfers file contains the outgoing ACAT transfer information, including asset account information that is transmitted to the National Securities Clearing Corporation (NSCC). |
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ACBB-Alliance Account Balance-05/06
The 12b-1 Alliance Account Balance file provides a monthly update on the Alliance mutual fund and money fund trails. |
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ACCT/ACCF-Customer Account Information-10/08
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. You can customize the data you receive in this file by selecting any or all of the categories as defined in the layout. Categories include Main Account, Account Holder/Participant, Custom Data Fields and PONA Supplemental, Cash Management Account, COD Account Settlement, Retirement Account, and Beneficiary Information. |
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ACMM-ACAM
Master-04/04
The ACAM Master file 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). This file is used when a retail brokerage account is upgraded
to an asset management account. |
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ACTV-ACAM
Fund Activity-05/07
The ACAM Fund Activity file is created daily after the update file is received
from DST. The file reflects all of the money fund activity for the current
day. |
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AINT-Internal Transfers-12/07
The Internal Transfers file contains any internal transfer from one Pershing
customer to another Pershing customer. |
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APPX-Appendix File Layout-02/07
The Appendix file (APPX) contains appendix information such that recipients can automatically receive updated information and incorporate it into their programs. |
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ASP2-Subscription
Product Transactions-04/08
The Subscription Products Transactions file is created daily from the Automated
Subscription Products System (ASPS) to detail the annuity transactions processed
via ASPS. |
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ASPS-Subscription
Products-05/06
The Subscription Products 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. |
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ASTM-Accounts for Statement
Review-05/06
The Accounts for Statement Review file is generated 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 ComplianceView.
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BAAM-Bank
Activity Report-05/06
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. |
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CAPS-Daily CAPS-07/07
The Daily CAPS file 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 correspondent level. |
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CDMI-The Cash Due/Margin Interest 05/06
The Cash Due/Margin Interest file will contain the details of all interest charges and payouts for each account by date. Use this file to answer questions regarding their client's debit interest charges or free credit interest. This is a daily refresh file. |
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CKFF-Check
and Federal Fund Detail-11/07
This file contains four different types of records:
Record A-Outgoing Wires
Record B-Check Disbursements
Record C-Check Deposits
Record D-Incoming Wires |
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CONC-Concentrated
Accounts-05/06
The Concentrated Accounts file is created weekly and contains concentrated
accounting information as is reported on the Concentrated Accounts Report-MXD321-04.
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CPSM Monthly Caps-05/06
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. |
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DESC-Security Description-09/07
The Security Description file is created daily after the close of the business
day and directly corresponds to the holdings within the offices designated
by your firm. |
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DVRE-Dividend
Reinvestment Elections-12/01
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. |
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EBSF-Enterprise Billing File Layout-02/06
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EZBR-Easy To Borrow-07/06
The Easy to Borrow file (EZBR) is created daily reflecting securities available
for short sales of up to 10,000 shares per security, on the trade date the file is created. |
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FT10-Firm Trading Trade Date-01/05
The Firm Trading (FT10) Data file 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. Ticket counts are also provided. This file is of primary use to
those firms who close their books on a trade date basis. |
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FT20-Firm Trading Settlement Date-01/05
The Firm Trading FT20 Data file is created on a nightly basis. 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. Sales
credits are, however, memo entries and are not calculated by the Firm Trading
system. Ticket counts are also provided. This file is of primary use to
correspondents who close their books on a trade date basis. |
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FT50-Firm Trading-03/06
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FT60 - Firm Trading-01/08
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. |
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FT70-Firm Trading Activity Summary-09/08
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. |
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FT90-Firm
Trading Cumulative-08/07
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.
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FUND-ACAM
Fund Balances-05/07
The ACAM Fund Balances file is created daily after the update balances are
received from DST Systems, Inc. and represents all of the balances held
by various funds in the selected office(s). |
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FUNO-ACAM Omnibus Fund Balances-05/06
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). |
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GACT-Global Bookkeeping Activity-08/08
The Global Bookkeeping Activity file is created on a nightly basis. The recipient of this file has a choice of receiving trade date trade information, settlement date trade information, bookkeeping (nontrade) information, or any combination of these three types of transactions. The selection of this information is governed by the Transaction Type field (position 070). |
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GCUS-Global Customer Position-08/08
The Global Customer Position file is created after the close of business each day. The file reflects all account positions within your office range. Records can be passed to your firm on an update or refresh basis and include security descriptions. |
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GMON-Global Money Line-09/08
The Global Moneyline 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. |
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GOTX-Global Open Order and Trade Execution-07/08
The Global Open Order and Trade Execution (GOTX) file is created from the Books and Records system. This file contains all of the data pertinent to global orders and open orders, including security information, quantities, and prices. |
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GTDE-Global Trade-08/08
The Global Trades file (GTDE) contains all Trade Date 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. |
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GTRD-ComplianceView
General Trades-05/06
The ComplianceView General Trades file contains the daily data that is generated
by ComplianceView for the General Trades Report. |
Standard Files I-Z
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IADF-IBD Avail Download File-05/06
The IBD Avail Download file (IADF) contains data related to Avail IBD fees and payees. A record is created on your firm's download file when a fee is calculated in the Avail system and distributed to a payee(s). Included are inception and quarterly fees and fee adjustments based on deposit and withdrawal activity in a client's accounts. The current position of an account's assets and trades at the time of fee calculation is also included. |
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IMSF-ID Management-08/07
The ID Management (IMSF) file is created weekly and available every Sunday evening after the Top Secret System (TSS) clean up process. The purpose of the file is to notify introducing broker dealers of the users eligible for Single Sign-On (SSO), as designated in Top Secret, and those whose passwords have less than 14 days before expiration. |
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ISCA-SECURITY DESCRIPTIONS- FOREIGN&DOMESTIC 10/08
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ISRC/SRCD-Source Codes-02/07
The Source Code file contains source codes from different Pershing business
units. A source code is a three-character code indicating the type of transaction
carried out by a specific business unit. |
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KTMS
– KUST Missing Documents Details-08/07
KTMS is the Missing Documents section of the Documentation Recording and
Tracking System (KUST). This file provides the correspondent with such things
as the document category name, age, code description etc. |
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KTRV – KUST Received Document Details-08/07
KTRV is the Received Documents section of the Documentation Recording and
Tracking System (KUST) that gives the correspondent the following received
documents details document received date, frame number, document code etc.
Headers and Trailers are included as part of the file. |
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LADV-Loan Advance-08/08
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. |
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M12B - Monthly 12B1-01/08
This file will contain monthly 12B1 details. If there is conflict between
the date requested (last business day or last Friday) for the MONTHLY M12B
file and that of the statements process, the file will be transmitted on
the last business day. For the Daily M12B file the dates for which the data
is sent will be derived from the statements set up. |
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MFDA: Mutual Fund Dealer Agreements File Layout-11/04
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. |
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MFDS-Mutual Fund Descriptions-02/07
The Mutual Fund Descriptions file contains mutual fund codes and descriptions
from the Pershing Mutual Fund Department. |
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MFPF-Mutual Fund Prospectus Fulfillment-06/06
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. |
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MFTD - Mutual Fund Trades File-01/08
This file 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.
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MFTS-Mutual Fund Transfer System-02/08
The Mutual Fund Transfer Status file allows your firm to monitor instructions
entered into the Mutual Fund Transfer System to transfer mutual fund assets
held at the fund on behalf of your client to a Pershing brokerage account.
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MUPM-Matched/Unmatched File-10/06
This file will be created daily. The MUPM will help the IBD to isolate which trades
were matched to a confirm file and which were not. If the confirm trades are not matched,
the IBD will take the appropriate actions to match it according to the SEC. |
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NCAT-Non-ACAT Transfers-05/06
The Non-ACAT Transfers file contains information from other financial organizations.
The file contains mainly notebook information that does not originate from
the National Securities Clearing Corporation (NSCC). |
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NTBK-NetExchange Pro Notebook-06/07
The NetExchange Pro® Notebook file (NTBK) contains the trade restrictions for accounts as shown in Account Notes in NetExchange Pro. Only the "A" record is mandatory. This file is sent as a daily update file with a refresh file available upon request. The update file reflects changes from the previous day. Therefore, the delta or update file will not reflect deletes. Deletes can only be seen in the full or refresh file.
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OELG-Order Execution Books and Records-04/08
The order/execution log for books and records file 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.
This file contains A, B, C, D, E, F, and G records:
A - relates to basic information regarding the order (there will be one A record per order), except in the case of trade cancels or corrections that 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 (there will be one C record per order).
D - relates to the activity associated with the 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 correction and cancel. |
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OORD-Open Orders Books and Records-05/06
The open order books and records file 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.
This file contains A, B, and C records:
A - relates to basic information regarding the order (there will be one A record per order)
B - relates to Books and Records regulatory information
C - relates to the security-specific information related to the order (there will be one C record per order)
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OPTX-Option
Expiration-02/01
The Option Expiration file contains the bookkeeping transactions specifically
for exercised and assigned options. |
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ORDS-Open
Orders-05/06
The Open Orders file is created daily from Pershing's Trade Order Processing
System (TOPS). The Open Orders file contains all of the data pertinent to
open orders, including client and security information, as well as quantities,
prices, exchanges, and order types pertaining to orders in a client's account.
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PACT-Portfolio Activity-05/06
The PACT file 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. This is a daily full file. |
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PN7F: PONA-7 File Details-10/05
The Registered Representative Master file is created after the close of business each day and reflects investment professionals within your office range(s). The full file (PN7F) shows all investment professionals associated with your office range while the update file (PON7) will only reflect changes and additions. |
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PPES-Portfolio Holdings-10/08
The PPES file is the tax lot file. It includes aggregate and tax lot records for each position held in accounts maintained on Portfolio System. This file is created to transmit the extracts of the Holdings file information to the correspondents. A full file is created every night. |
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Projection of Systematic Withdrawal-12/06
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PRST- Product Statistics by AE-07/08
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. |
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PTD1-PCAS
Main Download-05/06
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. |
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PTD2-PCAS
Documents-05/06
This file contains all of the documents that are related to the original
item entered into PCAS, and is transmitted on request. |
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PTD3-PCAS
Text Downloads/Certificates-12/03
This file contains all of the information regarding the certificates related
to the original item entered into PCAS. |
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PTD6-PCAS
Text Downloads/Audit-05/06
This file explains all of the activity that occurred within an item detail
in PCAS. |
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RADM-Receive and Deliver Master-08/07
The Receive and Deliver standard file (RADM) is created in batch and contains
open transactions. Open transactions consist of institutional and street side trades,
ACAT's and retail instructions. The transactions could be in US or non-US dollars.
Data elements that are included in this file are international status codes relating
to settlement instructions, DTC ID status, delivery reclaim comments and exposure to name a few.
In addition to the file, there are currently several reports in PREP. |
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RATEBOARD- 08/08
The RATE file is created daily and provides the same information on money funds as the RateBoard in NetExchange Pro. IBDs using this file will only receive data on the funds they have access to. |
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REO#-Reorganization
Wires-05/06
The Reorganization Wires files are based on wires containing descriptive
information about an account and security. REO1 through REO4 are payment
wires, while REO5 is an offer wire. |
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RPFS-Retirement Plan Fee System-07/05
The Retirement Plan Fee System file (RPFS) contains information regarding an annual
maintenance fee, for an Individual Retirement Account. This information may be used to
determine the amount an account is to be invoiced or to identify accounts meeting criteria
for various fee programs. This information includes plan and account type, value of total
assets, information about any fee exemptions, year to date maintenance fee payments
and invoices. NOTE: This file is sent on the 15th of every month or the following business day. |
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RVLG-Review Order Log-05/06
The Review Order Log file contains all of the data pertinent to open orders
for your client's accounts, including client and security information, as
well as quantities, prices, exchanges, and order types. This file is created
daily from Pershing's Trade Order Processing System (TOPS). |
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SCSS-Service Center Requests-07/07
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SEC6-Disclosure Statistics-06/08
The Disclosure Statistics file is created quarterly and contains order routing
statistics for each customer by venue. The file includes quarterly counts
and percentages of market orders, limit orders, and other orders. |
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SELI-SelectLink Account Profile-07/05
The Account Profile file (SELI) contains account information setup for householding
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. |
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SRSD-Scheduled Events - 05/06
This file will contain the scheduled buys, sells or exchanges for an account, and the corresponding CUSIPs® and amounts and transaction history. |
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Subscription Products Financial Activity - 06/05
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Subscription Products Orders - 06/05
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TRDE/TRDS-Trades-05/08
The Trades file is created out of the Purchase & Sale (P&S) system, and
is a result of trades that have been entered and executed through the various
Pershing online order systems. The Trades file contains all data that is
pertinent to a trade, including client and security information, as well
as all monies and dates relevant to the trade. |
| Appendices |
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APPENDIX
A-Interest Frequency-03/04
The Interest Frequency Appendix lists codes used to indicate the various
time intervals for which interest payments can be distributed. Refer to
this appendix in conjunction with the following standard files: DESC and
ICS#/DSC#. |
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APPENDIX B-Security Code Matrix-10/08
The Security Matrix Code Appendix identifies all security products supported
by Pershing. Refer to this appendix in conjunction with the following standard
files: BACT, CAPS/CAPT, DESC, ISC#/DSC#, and TRDE/TRDS. |
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APPENDIX C-Country of Issuance Codes-09/06
The Country of Issuance Codes Appendix is used to identify the country from
which a security transaction originates. Refer to this appendix in conjunction
with the following standard files: DESC, ISC#/DSC#, and NAFL/NADD/NCHG.
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APPENDIX D-Plan Types-03/05
The Plan Types Appendix provides a PONA description, BrokerView description,
Account category, and the applicable account types of retirement plans for
which Pershing LLC Securities Corporation is the custodian. Refer to this appendix
in conjunction with the following standard files: NAFL/NADD/NCHG and SUPA/SUPC/SUPF.
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APPENDIX
F-GLOSS Settlement Types-02/01
The GLOSS Settlement Types Appendix identifies the country in which a trade
will settle. |
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APPENDIX
G-State and Country Codes-09/06
The State and Country Codes Appendix identifies a clients state or country
of residence. Refer to this appendix in conjunction with the following standard
files: CAPS/CAPT and NAFL/NADD/NCHG. |
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APPENDIX
H-CAPS Product Codes-03/04
The CAPS Product Codes Appendix is a list of standard products that provide
trading detail in records. A more comprehensive list of CAPS product codes
can be found in the CAPS system. Refer to this appendix in conjunction with
the following standard files: CAPS/CAPT and CPSM/CPTM. |
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APPENDIX
I-ACAM Codes-01/05
The ACAM Codes Appendix identifies the different types of money fund activity
that can appear in the ACAM history record file. Refer to this appendix
in conjunction with the ACTV form. |
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APPENDIX
K-Legend Codes-09/06
The Legend Codes Appendix identifies trailers and disclaimers that can appear
on trade confirmation records Refer to this appendix in conjunction with
the following standard files: BACT and TRDE/TRDS. |
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APPENDIX
L-ComplianceView Account Types-08/03
The ComplianceView Account Type Appendix can be used to help
identify the classification of a particular account.
Refer to this appendix in conjunction with the following standard files:
ASTM and GTRD. |
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Appendix M – Document Codes and Document Descriptions-03/04
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Appendix N - Currency Codes-12/07
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Appendix
P-Source of Input-03/05
View the Source of Input code associated with each trade transaction.
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APPENDIX Q-Account Codes and Values-07/08
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APPENDIX R-Account Category Codes-12/05
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APPENDIX S-GTDE Codes-10/08
This file identifies the method by which trade was executed (P/A indicator in NetExchange®). |
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APPENDIX V-04/06
Appendix V contains Principle and Agency Codes associated with each trade transaction. |
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Appendix W-03/08
Appendix W contains the Source System Source ID associated with each trade transaction. |
Reference Files
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Standard
File Layouts Overview
The Overview provides an introduction to Standard File Layouts including
a description and the various methods by which standard files can be transmitted
to your firm. |
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Standard
File Layouts Helpful Hints-09/02
The Helpful Hints file provides notes and instructions for those layouts
with special programming needs. |
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Standard
File Layouts Glossary of Terms-02/01 |
IntraDay
Files
IntraDay messages are sent between 5:30am and 8:30pm Monday through Friday. IntraDay messages are sent from 5:30am to 5:30pm on Saturday. Messages are not sent on Sunday. |
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BACT-Bookkeeping Activity-09/07
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CUST-Customer Position-09/07
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ML2K-MoneyLine 2000-09/07
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NADD/NCHG-Name and Address-09/07
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SUPA/SUPC-PONA Supplemental-09/07
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TRDE-Trade Date Trades-09/07
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