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Using ACATS over WebDirect

1. National Securities Clearing Corporation Page 76 Revised and Posted October 2007 ACATS USER MANUAL Transfer Information TIF Receiver Correspondent Type the four character Receiver Correspondent number Receiver Customer Account Number Type the receiver s customer account number You can enter a maximum of 20 characters Type the five character Receiver Options Clearing Corporation Broker number This field is required only if the OCC clearing number is different from the NSCC clearing number Receiver OCC Broker Number Secondary SSN Type the customer s secondary Social Security number Use a nine digit y numeric format without hyphens or spaces Asset I nformation Mutual fund cleanup is for the reversal of monies on a mutual fund asset fail In this field You can Type the original dollar amount of the asset Up to 13 characters can be entered before the decimal point up to four characters can be entered after the decimal point For US currency please use only two places after the decimal point for foreign currency please use four places after the decimal point Amount Type a text description of the asset being transferred Create line breaks by Asset Description pressing ENTER otherwise your text will be contained on a single line Asset I nformation Bearer Bond This field is locked at the value N Not a Bearer Bond Cash Margin Short Choose whethe
2. Asset I nsurance Information Type the title Esq Ph D etc that follows Owner 2 s name Other Page Items You can Click to return to the PCWeb Direct home page Click to populate your next transaction page with the information you provided on this one You can change any information that differs when entering the subsequent transaction Fill my next input page with this data Click to clear all data from the fields without submitting the transfer to PCWeb Direct Click to send the transfer information to PCWeb Direct National Securities Clearing Corporation Page 46 Revised and Posted October 2007 Adjust a Transfer pcWebdirect Products Password Preferences Logout Help Transaction Inputs lt Back i reset a f submit 7 Transfer Information g Required Submitter Number Submitter Original Receiver Original Deliverer ACATS Control Number CCYYDDDNNNNNNN Customer Name Receiver Customer Account Number Deliverer Customer Account Number Primary SSN Secondary SSN Account Type Receiver OCC Broker Number Receiver Correspondent Comments E Fill my next input screen with this data Back Reset Submit NSCC is a wholly owned subsidiary of DTCC S Hontact us PE hsite Map Hmportant Legal Information ADJ UST TRANSFER PAGE To Adjust a Transfer 1 On the home page menu point to ACATS The ACATS menu appears 2 Click Adjust Transfer The Adj
3. Transfer Information Type the two character country code for this fund s origin If the value of the fund account indicator is 1 New Account foreign or 3 Existing Account foreign this field is required Please refer to the NSCC Fund SERV manual for a list of country codes Country of Origin Type the mutual fund customer name Maximum length for this field is 20 characters The default value is the customer name in the Transfer Input TI record Customer Name Click the dividend code from an 8 item list Each item displays the dividend code number and manner cash or reinvestment in which payment will be made for dividend payments capital gains and short term capital gains Example 2 Cash Cash Reinvest Dividend Code _ Dividend payments Cash Capital gains Cash Short term capital gains Reinvest Type the W8 Expiration Date in mm dd ccyy format including dashes Expiration Date This field is required if you chose D or E in the Withholding Indicator field Firm Membership Indicator Receiver Click Broker or 01 Trust to indicate whether the receiver account type is broker or trust Click 1 Transfer Fraction or 2 Liquidate Fraction to indicate whether fractional share amounts should be transferred or liquidated Fund Account I nd Click a list item to indicate the account type associated with this fund Type the number for the mutual fund customer Maximum length for this field is 20 character
4. Quantity a Transfer I E pan N Not When Issued Issued N Not When Issued z Option Information Symbol Expiration Date MM ecyy Strike Price Integer Strike Price Fraction eights Strike Price Fraction decimals Buy Sell I z Put Call I zj Open Close e Close E occ I Deliverer Option Account e Customer z Type Sub L Account ID Comments I Back Reset Ri es is a wholly owned subsidiary of DTCC National Securities Clearing Corporation Contact Us Site Map IQ Hmportant Legal Information Page 103 Revised and Posted October 2007 RECLAIM PAGE Entering a Reclaim The original deliverer uses the ACATS Reclaim function to request the return of particular customer assets that have been transferred incorrectly between firms 1 On the home page menu point to ACATS The ACATS menu appears 2 Click Reclaim The Reclaim page appears Notes All required fields appear in bold followed by a red asterisk A conditional field appears as optional until you type or select information that makes it required When a field becomes required a red asterisk appears next to it but the field name will not become bold 3 In the Transfer Information section type or select information in all required fields and any applicable optional fields 4 In the Asset Information section type or select information in all required fields and any applicabl
5. Owner Information In this field You can Owner Address Line 1 Type the first line of the address of the owner of the insurance asset Owner Address Line 2 Type the second line of the address of the owner of the insurance asset Owner City Type the city where the owner of the insurance asset lives Owner Country Code Type the country code of the owner of the insurance asset Owner DOB MM DD CCYY Owner E mail Address Type the e mail address of the owner of the insurance asset Owner First Name Type the first name of the owner of the insurance asset Type the identification number used by the owner of the insurance asset Owners may use their social security number non resident alien number federal taxpayer s identification number or Canadian social insurance number as their ACATS IPS Beneficiary identification number Type the date of birth of the owner of the insurance asset Owner ID Select the type of qualifying identification used by the owner of the insurance asset that corresponds to the owner s identification number Choices are e 34 Social Security Number A3 Non Resident Alien Number e Fl Federal Taxpayer s Identification Number e SB Canadian Social Insurance Number Owner Last Name Type the last name of the owner of the insurance asset Owner Middle Name Type the middle name of the owner of the insurance asset Select Owner ID Qualifier e N Natural Owner Natural Non Natural I ndicat
6. In this field You can Type the original dollar amount of the asset Up to 13 characters can be entered before the decimal point up to four characters can be entered after the decimal point For US currency please use only two places after the decimal point for foreign currency please use four places after the decimal point Amount Type a text description of the asset being transferred Create line breaks by Asset Description pressing ENTER otherwise your text will be contained on a single line National Securities Clearing Corporation Page 37 Revised and Posted October 2007 ACATS USER MANUAL Type the six digit Asset Sequence Number that was generated by the ACATS system This number was assigned to the asset when it was originally added to ACATS Bearer Bond Choose whether a bond is a bearer instrument Cash Margin Short Choose whether the position is cash margin or short Type any additional notes or information about this asset not already covered by the entry fields Create line breaks by pressing ENTER otherwise your text will be contained on a single line Asset Sequence Number Comments Type the three character ISO Currency Code for the asset This field is Currency Code required when the Asset Pricing Category field reads FCUR Type the International Security Identification Number which consists of a country code a nine character alphanumeric code that identifies the securi
7. Type the three character ISO Currency Code for the asset This field is Currency Code required when the Asset Pricing Category field reads FCUR Asset I nformation Type the International Security Identification Number which consists of a I SI N country code a nine character alphanumeric code that identifies the security and an ISIN check digit when the country code is not US Type the three character serial note unit number used to identify Puerto MBS Serial Note Rican mortgage backed securities Asset I nformation ption ategory Options are not available for residual credit transfers You must select 00 P gory Non Option in this field Select L Long Position Short positions are not valid for the residual credit Position Code transfer type Choose an asset pricing category This field is required unless the requested settling location is 35 OCC 40 Cash Balance or 45 Memo for Cash only Pricing Category Type the original quantity of the asset Up to 13 characters can be entered before the decimal point up to four characters can be entered after the decimal point Quantity National Securities Clearing Corporation Page 119 Revised and Posted October 2007 ACATS USER MANUAL Select a settling location or method if you are acting as the original deliverer The ACATS system overrides your selection if the asset cannot settle in the requested settli
8. a system assigned sequence number Type any additional notes or information about this transfer reject Comments request not already covered by the entry fields Create line breaks by pressing ENTER otherwise your text will be contained on a single line Type the four digit NSCC account number for the deliverer originally indicated on the transfer Original Receiver Type the four digit number for the Original Receiver Original Deliverer National Securities Clearing Corporation Page 112 Revised and Posted October 2007 ACATS USER MANUAL Choose the reason to reject the account transfer request Note that the drop down list contains only those reasons that match the transfer type for this account The reason codes are also specific to deliverers and receivers Deliverer codes are numbered 1 through 9 These can be used for a standard full or partial transfer receiver rejects 01 SSN Tax ID Mismatch 02 Account Title Mismatch 03 Documentation Needed 04 Account Flat 05 Invalid Account Reason Code OG Duplicate 07 Account in Distribution or Transfer 08 Client Rescinded 09 Missing Authorization Signature Receiver codes are numbered 21 through 27 These must correspond to the type of transfer being rejected 21 Account Violates Credit Policy of Receiving Firm 22 Unrecognized for Residual Credit Balance 23 Partial Transfer Deliverer Initiated Reject 24 Fail Reversal
9. Back Dwpiay Selectie Miscellaneous Reports a Rie Pere E tot recne aie omia maeke Theplay Selected FIGURE 11 REPORTS PAGE Viewing a Report 1 Click the check box to the left of any report you want to view You can select more than one report 2 Click Display Selected to display the selected report s Note Reports are available at different times of the day If a specific report does not appear at the expected time please check at a later time Refresh Page Reload To make sure that the Reports page has been refreshed with new data click on your browser s Reload button If any new reports were generated the page is updated with the new information Print Reports are sorted by product To view and print a report 1 Click a hyperlink from the product report list 6 Select the Print option from your browser s File drop down menu National Securities Clearing Corporation Page 13 Revised and Posted October 2007 If you are printing to a laser jet printer set the configuration to print in landscape and compressed mode on 8 2 x 11 letter size paper Larger files and reports must be downloaded even if you only want to see the first or last page If the text wraps within a report reduce the font For best results save any large files or reports and print them using a word processor Open the file or report in Word Perfect or MS Word to reduce the font size and print in landscape mode Note Any c
10. Click 1 Customer Name if the assets are registered in the customer s Custom r Street name or 2 Street Name if the assets are registered in street name Click the dividend code from an eight item list Each item displays the dividend code number and manner cash or reinvestment in which payment will be made for dividend payments capital gains and short term capital gains Example 2 Cash Reinvest Dividend Code _ Dividend payments Cash Capital gains Cash Short term capital gains Reinvest Dividend Payee Click the dividend recipient type from a list Executing Broker Type the four digit code to identify the broker executing the delivery National Securities Clearing Corporation Page 99 Revised and Posted October 2007 ACATS USER MANUAL Firm Membership Indicator Deliverer Select the type of account that is being delivered either a Broker account or a 01 Trust account Click the type of transfer either Full or Partial Full Partial Transfer This indicator refers to the asset position and whether the entire position full or part of a position partial is being transferred Fund Customer Type the 20 character Fund Customer Account number Account Network Control Choose how the account will be handled in Networking or indicate that it I ndicator will not be networked Option Information In this field You can Indicate whether the option is a buy or a Sell acc
11. Click More Assets to enter additional assets for this partial transfer National Securities Clearing Corporation Page 116 Revised and Posted October 2007 ACATS USER MANUAL When you submit this entry PCWeb Direct will return a page that allows you to add another asset Click More Assets on each subsequent page until you have entered all assets related to this residual credit transfer 8 Click Submit to finish your transaction or Click Reset to clear all data or Click Back to return to the PCWeb Direct home page Residual Credit Field Definitions Items appear in alphabetical order Items marked with an asterisk are required Note that conditional fields may become required depending upon your selections in other fields These fields will display an asterisk once your selections make them required fields Transfer Information TIF In this field You can Account Type Choose the customer s account type if you act as the original deliverer Type the 14 digit ACATS control number of the prior associated transfer as required This number can be obtained from the reports produced by the ACATS system The format is ccyydddnnnnnnn where cc the century when the transfer was submitted Associated ACATS Control Number yy the year when the transfer was submitted ddd the Julian date when the transfer was submitted nnnnnnn a system assigned sequence number Associated Settlement Date Type the se
12. If the settling location is 50 R amp D the valid values are RSEC Restricted Security SFK Safekeeping XSET Outside CNS DTC and Fund SERV FCUR Foreign Currency DDEL Delayed Delivery Choose W When Issued to indicate whether the asset is a when issued security or N Not When Issued if it is not National Securities Clearing Corporation Page 98 Revised and Posted October 2007 ACATS USER MANUAL Mutual Fund Information In this field You can Choose the format of the customer assets being transferred Click one of the following list items 0 In and Out Book Shares BIN Specified Book Physical Shares 1 In and Out Book Shares FIN Specified 2 In Book Shares Out Physical Note The Broker Account Number BIN and Fund Account Number FIN are supplied on the Fund SERV Transfer Record Mutual Fund Information Choose the Contingent Deferred Sales Charges CDSC indicator Click one of the following list items 0 Not Applicable if your selection in the Dividend Code field already contains information relating to the type of dividend capital gain and CDSC Indicator short term capital gain 1 Delivering firm will provide info within Networking if the delivering firm provides automated CDSC lot listing information 2 Delivering firm will provide info outside Networking if the delivering firm provides CDSC lot listing information outside the system
13. In this field You can Account Type Choose the customer s account type if you act as the original receiver ACATS Control Number CCYYDDNNNNNNN Type the 14 digit ACATS control number It appears on ACATS reports as the ACATS Control Number for the ACATS transfer associated with the current transaction The ccyyddnnnnnnn format breaks down as follows cc the millennium and century of the transfer submission yy the year of the transfer submission ddd the Julian date of the transfer submission nnnnnnn a system assigned sequence number Comments Type any additional notes or information about this transfer not already covered by the entry fields Create line breaks by pressing ENTER otherwise your text will be contained on a single line Customer Name Type the customer s name You can enter a maximum of 60 characters Deliverer Customer Account Number Type the deliverer s account number for the customer You can enter a maximum of 20 characters Both the receiver and the deliverer can modify this field This is the only field that the deliverer can modify Original Deliverer Type the four digit NSCC account number for the deliverer originally indicated on the transfer Original Receiver Type the four digit number for the Original Receiver Primary SSN Type the customer s Social Security number Use a nine digit numeric format without hyp
14. Items marked with an asterisk are required Note that conditional fields may become required depending upon your selections in other fields These fields will display an asterisk once your selections make them required fields Transfer I nformation TIF In this field You can Type the 14 digit ACATS control number of the prior associated transfer as required This number can be obtained from the reports produced by the ACATS system The format is ccyydddnnnnnnn where cc the century when the transfer was submitted Associated ACATS Control Number yy the year when the transfer was submitted ddd the Julian date when the transfer was submitted nnnnnnn a system assigned sequence number Associated Settlement Date Type the settlement date for the prior associated transfer in mm dd ccyy format Type any additional notes or information about this fail reversal not already covered by the entry fields Create line breaks by pressing ENTER otherwise your text will be contained on a single line Customer Name Type the customer s name You can enter a maximum of 60 characters Deliverer Customer Account Number Comments Type the deliverer s account number for the customer You can enter a maximum of 20 characters Customer Name Type the customer s name You can enter a maximum of 60 characters Deliverer Customer Account Number Type the deliverer s account number for the customer You can en
15. The transfer may be rejected by the deliverer because it contains errors or insufficient information or the client no longer wants the transfer etc Generally the deliverer has until the end of the first request day to reject a standard full transfer request All other non standard transfer request types must be rejected by the receiver on the same day that they are received The exception to this is a reclaim a receiver has three days to reject a reclaim In addition the receiver must use this function to reject an account after the deliverer has submitted assets for any type of ACATS transfer Reject Transfer Field Definitions Items appear in alphabetical order Items marked with an asterisk are required Note that conditional fields may become required depending upon your selections in other fields These fields will display an asterisk once your selections make them required fields National Securities Clearing Corporation Page 111 Revised and Posted October 2007 ACATS USER MANUAL Transfer Information TIF In this field You can Type the 14 digit ACATS control number for the associated transfer as required This number can be obtained from the reports produced by the ACATS system The format is ccyydddnnnnnnn where cc the century when the transfer was submitted ACATS Control Number yy the year when the transfer was submitted ddd the Julian date when the transfer was submitted nnnnnnn
16. the decimal point for foreign currency please use four places after the decimal point Amount Type a text description of the asset being transferred Create line breaks by pressing ENTER otherwise your text will be contained on a single line Bearer Bond Choose whether a bond is a bearer instrument Cash Margin Short Choose whether the position is cash margin or short Type any additional notes or information about this asset not already covered by the entry fields Create line breaks by pressing ENTER otherwise your text will be contained on a single line Asset Description Comments National Securities Clearing Corporation Page 106 Revised and Posted October 2007 ACATS USER MANUAL Asset I nformation Currency Code ISIN MBS Serial Note Type the three character ISO Currency Code for the asset This field is required when the Asset Pricing Category field reads FCUR Type the International Security Identification Number which consists of a country code a nine character alphanumeric code that identifies the security and an ISIN check digit when the country code is not US Type the three character serial note unit number used to identify Puerto Rican mortgage backed securities Options are not available for Reclaims You must select 00 Non Option in this field Position Code Choose whether the position is short long or not applicable Choose an asset pricing categor
17. 1 Delivering firm will provide info within Networking if the delivering firm provides automated CDSC lot listing information 2 Delivering firm will provide info outside Networking if the delivering firm provides CDSC lot listing information outside the system Click 1 Customer Name if the assets are registered in the customer s Customer Street name or 2 Street Name if the assets are registered in street name Click the dividend code from an eight item list Each item displays the dividend code number and manner cash or reinvestment in which payment will be made for dividend payments capital gains and short term capital gains Example 2 Cash Cash Reinvest Dividend Code Na Dividend payments Cash Capital gains Cash Short term capital gains Reinvest Dividend Payee Click the dividend recipient type from a list Executing Broker Type the four digit code to identify the broker executing the delivery Firm Membership Indicator Deliverer Select the type of account that is being delivered either a Broker account or a 01 Trust account Click the type of transfer either Full or Partial Full Partial Transfer This indicator refers to the asset position and whether the entire position full or part of a position partial is being transferred Fund Customer Type the 20 character Fund Customer Account number Account Network Control Choose how the account will be handled in Networking or indicate
18. CCYY format on which the Systematic Withdrawal Plan or Pre Authorized Checks withdrawal ability becomes effective TPA Number Enter the number of the Third Party Administrator Other Page Items In this field You can Back Click to return to the PCWeb Direct home page Payables Click to add payable addresses to this fund registration Click to clear all data from the fields without submitting the transfer to PCWeb Direct Submit Click to send the transfer information to PCWeb Direct Reset National Securities Clearing Corporation Page 72 Revised and Posted October 2007 Mutual Fund Cleanup p7 _ gt Products Password Preferences Logout Help Transaction Inputs Submit Transfer Information D Required Original Receiver i Original Deliverer Customer Name I Receiver Customer o gt Account Number Deliverer Customer Account Number Receiver OCC Broker Number Receiver Correspondent Associated ACATS Control Number CCYYDDDNNNNNNN Associated Settlement Date MM DD CCYY Comments Asset Information Setting Location Joo System Generated E Settling Reason Pricing MFM Mutual Fun Money Market xl Category Cash Margin Short aj poner fk Long Position z MBs Currency Code uso Serial I Note Amount J Quantity Ii Transfer ISIN Jus f esn ll I Bearer Bond N Not a Bearer Bond z enin In T Not Wh
19. Deliverer or a 01 Trust account Click the type of transfer either Full or Partial Full Partial Transfer This indicator refers to the asset position and whether the entire position full or part of a position partial is being transferred National Securities Clearing Corporation Page 28 Revised and Posted October 2007 ACATS USER MANUAL Fund Customer Account Type the 20 character Fund Customer Account number Network Control Choose how the account will be handled in Networking or indicate that it Indicator will not be networked Option Information You can Indicate whether the option is a buy or a sell according to the following rules If you are the deliverer and the account is long an option submit the position as a closing sell If you are the deliverer and the account is short an option submit the position as a closing buy Buy Sell If you are the receiver of an account with a long option it will be reflected as an opening sell If you are the receiver of an account with a short option it will be reflected as an opening buy Note The ACATS reports for the receiver and the deliverer will reflect the opposite for the same position ACATS performs the flip internally Type a message of up to 16 characters regarding the transfer of this Comments option Enter the expiration date in mm ccyy format You must include the Expiration Date dashes to s
20. Insurance Registration Allows a deliverer to create an Insurance Registration IR record to allow broker dealer change request information to be initiated into ACATS Once created the Insurance Registration IR record is forwarded to IPS at the end of the ACATS 24 hour review period if a transfer is accelerated the review period terminates the same day IPS converts the IR record into an IFT Inforce Transaction record and the IFT record is sent to the insurance carrier by IPS The insurance carrier confirms the transaction by sending IPS a customer account transfer CAT transaction with a status of acknowledged hard reject the insurance registration is rejected and must be resubmitted or soft reject the receiving broker can take corrective action within 20 days IPS sends a subset of the CAT transaction to ACATS which sends the information to the receiving and delivering broker dealer For further information on ACATS please see the product Web site at http acats nscc com ACATS DESCRIPTIONS PAGE SNAPSHOTS AND FIELD DEFINITIONS This section contains the page snapshots excerpted from the ACATS Web help and the corresponding field definitions For further information please see the product Web site at http acats nscc com National Securities Clearing Corporation Page 19 Revised and Posted October 2007 Accelerate a Transfer z pcWebdi Products Password Preferences Logout Help Transfer Information Ori
21. MBS Serial Note Pricing Category Type the original quantity of the asset Up to 13 characters can be entered before the decimal point up to four characters can be entered after the decimal point Quantity National Securities Clearing Corporation Page 97 Revised and Posted October 2007 ACATS USER MANUAL Asset I nformation Quantity Request Choose whether the requested quantity is the number of shares or the Type Settling Location Settling Reason When Issued dollar amount Select a settling location or method if you are acting as the original receiver The ACATS system overrides your selection if the asset cannot settle in the requested settling location or if the requested settling location is invalid for either the receiver or the deliverer Firms can select the 00 System Generated settlement location ACATS then determines the valid asset settling location Choose the settling reason This field is required when the settling location is 35 40 45 or 50 If the settling location is 35 OCC your options are EXPO Expiring Option OPT Option USEC Underlying Security If the settling location is 40 Cash Balance the valid values are CRED Credit Balance DEB Debit Balance If the settling location is 45 Memo the valid values are CASH Underlying Cash Balance COMT Comment SMA Special Miscellaneous Accounting Value USEC Underlying Security
22. NSCC participant receiving the request to deliver the transfer of assets View choose or type the four digit membership number of the NSCC participant requesting the transfer of assets This field differs according to your user type If you are logged in as a participant your participant number appears in this field by default If you are logged in as a Service Bureau this field becomes a drop down list that contains all participant numbers to which you have access Type the customer s Social Security number Use a nine digit numeric format without hyphens or spaces Type the four digit Receiver Correspondent number if the receiving participant is acting on behalf of another party Type the receiver s customer account number You can enter a maximum of 20 characters Type the five character Receiver Options Clearing Corporation Broker number This field is required only if the OCC clearing number is different from the NSCC clearing number Type the customer s secondary Social Security number Use a nine digit numeric format without hyphens or spaces National Securities Clearing Corporation Page 96 Revised and Posted October 2007 ACATS USER MANUAL Asset I nformation In this field You can Type the original dollar amount of the asset Up to 13 characters can be entered before the decimal point up to four characters can be entered after the decimal point For US currency please use only two places a
23. Non standard transfers have a shorter cycle than standard full transfers The cutoff time will be 12 00 noon EST The receiver can reject the cleanup transaction on the same day it is entered only A reject code 27 has been created for this purpose If the Cleanup is not rejected the transfer will move to the status Settle close at end of day The assets within the Cleanup will not settle Cutoff time for the reject is 4 00 PM eastern time No other actions by the deliverer or receiver are allowed The settling location of all assets within a Mutual Fund Cleanup transfer will be set to 50 NSET The settlement location code on the PCWeb page is locked at the value 00 System Generated from which ACATS will assign the settlement code 50 R amp D Mutual Fund Cleanup Field Definitions Items appear in alphabetical order Items marked with an asterisk are required Note that conditional fields may become required depending upon your selections in other fields These fields will display an asterisk once your selections make them required fields National Securities Clearing Corporation Page 75 Revised and Posted October 2007 ACATS USER MANUAL Transfer Information TIF In this field You can Account Type Choose the customer s account type if you act as the original deliverer Type the 14 digit ACATS control number of the prior associated transfer as required This number can be obtained from the report
24. October 2007 PARTIAL TRANSFER RECEIVER PAGE Entering a Partial Transfer Receiver Use the ACATS Partial Transfer Receiver function to request the movement of selected customer assets between participants The receiving party initiates this transfer request 1 On the home page menu point to ACATS The ACATS menu appears 2 Click Partial Transfer Receiver The Partial Transfer Receiver page appears Notes All required fields appear in bold followed by a red asterisk A conditional field appears as optional until you type or select information that makes it required When a field becomes required a red asterisk appears next to it but the field name will not become bold 3 In the Transfer Information section type or select information in all required fields and any applicable optional fields 4 In the Asset Information section type or select information in all required fields and any applicable optional fields for the partial transfer 5 If the asset is a mutual fund type or select information in the Mutual Fund Information section or If the asset is an option type or select information in the Option Information section or If the asset is neither a mutual fund nor an option you do not have to complete either section 6 Check for missed required fields such as conditional fields that may have become required during your data entry 7 Click More Assets to enter additional assets for this partial tran
25. according to your user type If you are logged in as a participant your participant number appears in this field by default If you are logged in as a Service Bureau this field becomes a drop down list that contains all participant numbers to which you have access If you are logged in as an NSCC Branch Office this field is empty Type the four digit membership number of the NSCC participant originally receiving the transfer of assets Type the customer s Social Security number Use a nine digit numeric format without hyphens or spaces Type the four digit Receiver Correspondent number if the receiving participant is acting on behalf of another party Type the receiver s customer account number You can enter a maximum of 20 characters Type the five character Receiver Options Clearing Corporation Broker number This field is required only if the OCC clearing number is different from the NSCC clearing number Type the customer s secondary Social Security number Use a nine digit numeric format without hyphens or spaces Other Page Items Fill my next input page with this data Reset In this field You can Back Click to return to the PCWeb Direct home page Submit Click to send the transfer information to PCWeb Direct Click to populate your next transaction page with the information you provided on this one You can change any information that differs when entering the subsequent transaction Click to
26. any applicable optional fields For help with fields that appear on this page see Delete Asset Field Definitions Type comments about the asset deletion in the Comments box 5 Check for missed required fields such as conditional fields that may have become required during your data entry 6 Click Fill my next input page with this data to delete another asset with similar information You can change information that differs when entering the subsequent asset deletion 7 Click Submit to finish your transaction or Click Reset to clear all data or Click Back to return to the PCWeb Direct home page These deliverer side deletes are valid when e The account transfer is a full transfer FUL e The account transfer is in the status Review Review adjust Review error or Review accelerate e Standard asset submission cutoff times are observed Additionally a receiver can submit an asset delete against a full transfer FUL The same rules as a deliverer side delete apply with the following additions e These asset deletes are valid only when the asset has been identified as a mutual fund by the deliverer through the asset pricing category field e The cutoff time for receiver submitted asset deletes will be 4 00 PM cycle 5 e The transfer is automatically accelerated by submission of a receiver side asset delete e When both the receiver and the deliverer submit asset deletes in the same cycle the receiver submitte
27. but the field name will not become bold 8 Inthe Transfer Information section type or select information in all required fields and any applicable optional fields 9 In the Asset Information section type or select information in all required fields and any applicable optional fields for the partial transfer 10 If the asset is a mutual fund type or select information in the Mutual Fund Information section or If the asset is an option type or select information in the Option Information section or If the asset is neither a mutual fund nor an option you do not have to complete either section 11 Check for missed required fields such as conditional fields that may have become required during your data entry 12 Click More Assets to enter additional assets for this partial transfer When you submit this entry PCWeb Direct will return a page that allows you to add another asset Click More Assets on each subsequent page until you have entered all assets related to this partial transfer 13 Click Submit to finish your transaction or Click Reset to clear all data or Click Back to return to the PCWeb Direct home page The delivering participant uses the ACATS Partial Transfer Deliverer PTD function to indicate the assets to be transferred in a partial account transfer This is performed by entering the full TIF and asset information into the input page The receiver of the PTD can reject the request by using Reject Code 23 Rej
28. day e If the deliverer has responded to the PTR by adding assets the receiver can reject those assets by using reject code 21 Account violates policy of receiving firm Partial Transfer Receiver Field Definitions Items appear in alphabetical order Items marked with an asterisk are required Note that conditional fields may become required depending upon your selections in other fields These fields will display an asterisk once your selections make them required fields Transfer Information TIF In this field You can Choose the customer s account type from a list if you are the original receiver i Account Type Type any additional notes or information about this transfer not already covered by the entry fields Create line breaks by pressing ENTER otherwise your text will be contained on a single line Customer Name Type the customer s name You can enter a maximum of 60 characters Comments National Securities Clearing Corporation Page 95 Revised and Posted October 2007 ACATS USER MANUAL Transfer I nformation TIF Deliverer Customer Account Number Original Deliverer Original Receiver Primary SSN Receiver Correspondent Number Receiver Customer Account Number Receiver OCC Broker Number Secondary SSN Type the deliverer s account number for the customer You can enter a maximum of 20 characters Type the four digit membership number of the
29. in bold followed by a red asterisk A conditional field appears as optional until you type or select information that makes it required When a field becomes required a red asterisk appears next to it but the field name will not become bold 3 In the Transfer Information section type or select information in all required fields and any applicable optional fields For help with fields that appear on this page see Add Asset Field Definitions 4 In the Asset Information section type or select information in all required fields and any applicable optional fields for the partial transfer 5 If the asset is a mutual fund type or select information in the Mutual Fund Information section or If the asset is an option type or select information in the Option I nformation section or If the asset is neither a mutual fund nor an option you do not have to complete either section 6 Check for missed required fields such as conditional fields that may have become required during your data entry 7 Click Fill my next input page with this data to add another asset with similar information You can change information that differs when entering the subsequent asset addition 8 Click Submit to finish your transaction or Click Reset to clear all data National Securities Clearing Corporation Page 24 Revised and Posted October 2007 ACATS USER MANUAL or Click Back to return to the PCWeb Direct home page For
30. in the Mutual Fund Information section If the asset is not a mutual fund you do not have to complete this section Check for missed required fields such as conditional fields that may have become required during your data entry Click More Assets to enter additional assets for this fail reversal When you submit this entry PCWeb Direct will return a page that allows you to add another asset Click More Assets on each subsequent page until you have entered all assets related to this fail reversal Click Submit to finish your transaction or Click Reset to clear all data or Click Back to return to the PCWeb Direct home page National Securities Clearing Corporation Page 55 Revised and Posted October 2007 ACATS USER MANUAL A fail reversal occurs when the transfer of an asset from a previous transfer will not take place The original deliverer initiates the fail reversal The original receiver will be debited cash and the original deliverer is credited cash This offsets the outstanding fail monies This type of transaction is only used for broker to broker transfers The original deliverer submits this form to request the reversal of any outstanding fail monies for an asset that could not be transferred This transaction is considered a nonstandard transfer Nonstandard transfers have a shorter cycle than standard full transfers Fail Reversal Field Definitions Items appear in alphabetical order
31. nonstandard transfers this page is used only as a result of clicking on More Assets at the bottom of the entry page Any time this page is invoked independently it refers to a standard transfer The deliverer s cutoff times for adding assets are e 2 00 PM EST cycle 4 for a full transfer e 12 00 noon EST cycle 3 for all non standard transfers Many of the fields on the page are dependent upon the type of asset you are entering Not all fields are required for all asset types If you fill in too many fields the system will base this entry upon the type of asset you selected option mutual fund etc and will ignore the extraneous information Add Asset Field Definitions Items appear in alphabetical order Items marked with an asterisk are required Note that conditional fields may become required depending upon your selections in other fields These fields will display an asterisk once your selections make them required fields Transfer Information TIF Type the 14 digit ACATS control number It appears on ACATS reports as the ACATS Control Number for the ACATS transfer associated with the current transaction The ccyyddnnnnnnn format breaks down as follows ACATS Control Number cc the millennium and century of the transfer submission CCYYDONNNNNNN yy the year of the transfer submission ddd the Julian date of the transfer submission nnnnnnn a system assigned sequence number Type the four digit n
32. not register in the system Expiration Date Enter the five digit Options Clearing Corporation Deliverer number This field is required only if the OCC clearing number is different from the NSCC clearing number OCC Deliverer National Securities Clearing Corporation Page 41 Revised and Posted October 2007 ACATS USER MANUAL Option Information Indicate whether the option is opening or closing according to the following rules If you are the deliverer and the account is long an option submit the position as a closing sell If you are the deliverer and the account is short an option submit the position as a closing buy Open Close If you are the receiver of an account with a long option it will be reflected as an opening sell If you are the receiver of an account with a short option it will be reflected as an opening buy Note The ACATS reports for the receiver and the deliverer will reflect the opposite for the same position ACATS performs the flip internally Option Information Option Account Type Put Call Indicate whether this is a put option or a call option Sub Account ID Enter the four digit sub account ID number Symbol Enter the six character option symbol Type the fraction portion of the strike price when it is expressed as a decimal Do not use this field when expressing the fractional amount as an actual fraction Indicate whether the account is for a Custo
33. submit the position as a closing sell If you are the deliverer and the account is short an option submit the position as a closing buy Open Close If you are the receiver of an account with a long option it will be reflected as an opening sell If you are the receiver of an account with a short option it will be reflected as an opening buy Note The ACATS reports for the receiver and the deliverer will reflect the opposite for the same position ACATS performs the flip internally Option Account Type Indicate whether the account is for a Customer Firm or Market Maker Put Call Indicate whether this is a put option or a call option Sub Account ID Enter the four digit sub account ID number National Securities Clearing Corporation Page 88 Revised and Posted October 2007 ACATS USER MANUAL Option Information Symbol Enter the six character option symbol Type the fraction portion of the strike price when it is expressed as a decimal Do not use this field when expressing the fractional amount as an actual fraction Strike Price Fraction Decimal Select the fraction portion of the strike price when it is expressed as a fraction Do not use this field when expressing the fractional amount as a decimal Strike Price Fraction Fraction Enter the integer portion of the strike price for the option in numeric format Strike Price I nteger up to five digits Asset I n
34. that it Indicator will not be networked Option Information In this field You can National Securities Clearing Corporation Page 87 Revised and Posted October 2007 ACATS USER MANUAL Indicate whether the option is a buy or a sell according to the following rules If you are the deliverer and the account is long an option submit the position as a closing sell If you are the deliverer and the account is short an option submit the position as a closing buy Buy Sell If you are the receiver of an account with a long option it will be reflected as an opening sell If you are the receiver of an account with a short option it will be reflected as an opening buy Note The ACATS reports for the receiver and the deliverer will reflect the opposite for the same position ACATS performs the flip internally Comments Type a message of up to 16 characters regarding the transfer of this option Enter the expiration date in mm ccyy format You must include the dashes to separate the month and four digit year Anything else will not register in the system Expiration Date Enter the five digit Options Clearing Corporation Deliverer number This field is required only if the OCC clearing number is different from the NSCC clearing number OCC Deliverer Indicate whether the option is opening or closing according to the following rules If you are the deliverer and the account is long an option
35. type of identification used by Annuitant 2that corresponds to Annuitant 2 s identification number Choices are Type the middle name of Annuitant 1 e 34 Social Security Number e A3 Non Resident Alien Number e Fl Federal Taxpayer s Identification Number e SB Canadian Social Insurance Number Annuitant 2 last name Type the last name of Annuitant 2 Annuitant 2 middle Type the middle name of Annuitant 2 name annuitant 2 prefix JAnnuitant 2 prefix Type the title Mr Mrs etc that precedes Annuitant 2 s name a a JAnnuitant 2 suffix Type the title Esq Ph D etc that follows Annuitant 2 s name National Securities Clearing Corporation Page 31 Revised and Posted October 2007 ACATS USER MANUAL Asset I nsurance Information Contract value as of Type the last date on which the insurance contract was valued by the date MM DD CCYY brokerage holding the asset For example some insurance assets could have underlying mutual funds or other assets with variable values and the last date these assets were valued is the date that determines the insurance contract value Delivering associated Type the identification number of the delivering associated firm The firm ID delivering associated firm is the correspondent firm of the ACATS clearing member that is processing the ACATS transaction Insurance customer account number deliverer Type the account number of the customer s insura
36. 2007 Products Password Preferences Logout Help Transaction Inputs x Search Original C Receiver H Original Deliverer NSCC is a wholly owned subsidiary of DTC c ontact Us PE site Map E Hmportant Legal Information FIGURE 4 SEARCH PAGE To view a list of unsent records click on LI ST next to the transaction type see Figure 3 A page similar to that in Figures 5 and 6 will appear This page will allow you to view edit or delete a transaction e To view and edit a saved transaction click on its Item Number Once changes have been made click Submit e To delete a transaction Click on that transaction s option button in the left column Figure 6 Click on the Delete button at the top or bottom right of the transaction list WN Pe After clicking Delete all files that were selected for deletion will be removed from the list National Securities Clearing Corporation Page 6 Revised and Posted October 2007 Products Password Preferences Logout Help Transaction Inputs Back Delete No Action Item l TR ae ae Select All Select All Type N e 0001 2199 2198 20041651234567 123344 FUL US000001308 Back Delete FIGURE 5 ACATS I NSURANCE REGISTRATION LIST PAGE Note After a transaction has been sent it can be viewed and printed However it cannot be edited Send Page This page represents the final step in submitting a transaction National Securities Clearing Cor
37. 55 85004571 10 51 13 20 lt Back NSCC is a wholly owned subsidiary of DTCC 5 ontact Us FIGURE 8 ACATS SENT BATCHES PAGE Reports 85004574 85004575 Site Map E Important Legal Information o ga O aa O BL c a Oe Re send 5 PCWeb Direct receives and processes two types of output files from the mainframe e Confirm files The DataTrak system generates and sends confirm files for input received from the user e Reports The AutoRoute system generates and sends report files to the user There are two types of reports e MRO Machine Readable Output MRO files can be viewed by clicking on Data from the National Securities Clearing Corporation Page 10 Revised and Posted October 2007 Home page menu Figure 10 e Print image files All print image reports can be viewed and printed or saved as a file Table 3 contains a list of available print reports and their descriptions TABLE 3 PRINT REPORTS Report Name Description of Reports Settling Organization Interface Rejects Settling Organization Reject Report Beginning of Day Settling Organization Receive and Deliver Instructions Beginning of Day Transaction Activity Multicycle Member Transaction Report s Every Cycle Multi Cycle Transaction Activity Multicycle Member Transaction Report s Every Cycle ACATS Fund SERV Statistical Report ACATS Fund SERV Member Firm Re
38. Beneficiary State Beneficiary Country Code format 9 999999999 i format 9 999999999 format 9 999999999 format 9 999999999 M Fill my next input screen with this data I NSURANCE REGISTRATION PAGE National Securities Clearing Corporation All Representatives Included Indicator Primary Representative Tax ID Qualifier Primary Representative ID Representative 2 Tax ID Qualifier Representative 2 ID Representative 3 Tax ID Qualifier Representative 31D Representative 4 Tax ID Qualifier Representative 4 ID Page 123 Reset submit Revised and Posted October 2007 Creating an Insurance Registration An Insurance Registration IR record can only be sent by the receiving broker dealer in ACATS The settling location must be 60 IPS and must be submitted by the end of the ACATS review period To create an insurance registration 1 On the PC Web Direct home page point to ACATS The ACATS menu appears 2 Click Insurance Registration The Insurance Registration page appears 3 Type or select information in all required fields and any applicable optional fields For help with fields that appear on this page see Insurance Registration field definitions Note You can save time with your next insurance registration input by clicking the Fill my next input screen with this data checkbox 4 Click Submit Your insurance registration information is e
39. Book Shares FIN Specified 2 In Book Shares Out Physical Note The Broker Account Number BIN and Fund Account Number FIN are supplied on the Fund SERV Transfer Record Choose the Contingent Deferred Sales Charges CDSC indicator Click one of the following list items 0 Not Applicable if your selection in the Dividend Code field already contains information relating to the type of dividend capital gain and CDSC Indicator short term capital gain 1 Delivering firm will provide info within Networking if the delivering firm provides automated CDSC lot listing information 2 Delivering firm will provide info outside Networking if the delivering firm provides CDSC lot listing information outside the system Click 1 Customer Name if the assets are registered in the customer s Customer Street name or 2 Street Name if the assets are registered in street name Click the dividend code from an eight item list Each item displays the dividend code number and manner cash or reinvestment in which payment will be made for dividend payments capital gains and short term capital gains Example 2 Cash Reinvest Dividend Code _ Dividend payments Cash Capital gains Cash Short term capital gains Reinvest Dividend Payee Click the dividend recipient type from a list Executing Broker Type the four digit code to identify the broker executing the delivery National Securities Clearing Corporation
40. Chapter 4 Transaction Input November 1998 National Securities Clearing Corporation Automated Customer Account Transfer Service ACATS The Depository Trust amp OD DTCC Clearing Corporation ACATS USER MANUAL Document History Effective Date November 1998 Please see Important Notice A 4649 P amp S 4220 dated September 12 1997 October 2007 Updated for ACATS shortened cycle he primary purpose of this product guide is to familiarize members with the ACATS product offered by DTCC This guide is not intended to serve as a legal document No statement in this guide should be construed as a legally binding rule or regulation or as creating an obligation on the part of NSCC or any person In addition any time schedules or time requirements set forth herein are subject to change without notice Participants should refer to the NSCC Rules amp Procedures for the legal obligations of any party utilizing the ACATS service The Rules amp Procedures of NSCC plus all updates and revisions should be obtained by all participants from NSCC s Membership Department National Securities Clearing Corporation Page i Revised and Posted October 2007 Contents PMU OOUCUION casecsxaiadeleacescacamssctxacesdayeazadidautge sansdalexentaduiceviesaani eae sanddqaetenex 1 POCWED DIreC o2cccetsdtesvarscisaiwieadiniaindyads a a E aa TEE NE eins deat EA ENO 1 What Is PCWeb DIreCt sess occ bidacaiiaind denied a col
41. Customer Account Number field during the initial Request period e After the deliverer submits assets or rejects the transfer request by using the ACATS hard reject codes 06 09 the receiver can no longer adjust the TIF information e The receiver can adjust the Deliverer Customer Account Number only when the account is in Request Reject status e Either the receiver or the deliverer can change the Comments field until the transfer is in Settle Prep status e The deliverer can modify only the Deliverer Customer Account Number field and only when the account is in an ACATS request stage On standard full ACATS transfers the cutoff time for Adjust Transfer requests submitted by either the deliverer or the receiver is 4 00 P M EST National Securities Clearing Corporation Page 48 Revised and Posted October 2007 ACATS USER MANUAL No TIF adjustments are allowed for non standard ACATS transfers This includes residual credit transfers fail reversals reclaims partial transfers deliverer partial transfers receiver custody redeliveries and mutual fund cleanups Adjust Transfer Field Definitions Items appear in alphabetical order Items marked with a red asterisk are required Note that conditional fields may become required depending upon your selections in other fields These fields will display a red asterisk once your selections make them required fields Transfer Information TIF
42. ER MANUAL Type the three character serial note unit number used to identify Puerto MBS Serial Note Rican mortgage backed securities Asset I nformation Option Category Choose the type of option entered Position Code Choose whether the position is short long or not applicable Choose an asset pricing category This field is required unless the requested settling location is 35 OCC 40 Cash Balance or 45 Memo for Cash only Pricing Category Type the original quantity of the asset Up to 13 characters can be entered before the decimal point up to four characters can be entered after the decimal point Quantity Select a settling location or method if you are acting as the original deliverer The ACATS system overrides your selection if the asset cannot settle in the requested settling location or if the requested settling location is invalid for either the receiver or the deliverer Settling Location Firms can select the 00 System Generated settlement location ACATS then determines the valid asset settling location National Securities Clearing Corporation Page 85 Revised and Posted October 2007 ACATS USER MANUAL Choose the settling reason This field is required when the settling location is 35 40 45 or 50 If the settling location is 35 OCC your options are EXPO Expiring Option OPT Option USEC Underlying Security If the settling location is 40 Cash B
43. Enter the integer portion of the strike price for the option in numeric Strike Price Integer format up to five digits Asset I nsurance Information Type the first name of Annuitant 1 An annuitant is an individual for whom the insurance was purchased For example if a husband purchased Annuitant 1 First Name an insurance asset to insure his wife and his children were the beneficiaries the husband is the owner the wife is the annuitant and the children are the beneficiaries Annuitant 11D Type the identification number used by Annuitant 1 National Securities Clearing Corporation Page 30 Revised and Posted October 2007 ACATS USER MANUAL Asset I nsurance Information Annuitant 1 1D qualifier Select the type of identification used by Annuitant 1 that corresponds to Annuitant 1 s identification number Choices are e 34 Social Security Number A3 Non Resident Alien Number e Fl Federal Taxpayer s Identification Number e SB Canadian Social Insurance Number Annuitant 1 last name Type the last name of Annuitant 1 Annuitant 1 middle name Annuitant 1 prefix Type the title Mr Mrs etc that precedes Annuitant 1 s name Annuitant 1 suffix Type the title Esq Ph D etc that follows Annuitant 1 s name Annuitant 2 first name Type the first name of Annuitant 2 Annuitant 2 ID Type the identification number used by Annuitant 2 Annuitant 2 ID qualifier Select the
44. Mr Mrs etc that precedes Owner 1 s name Owner 1 Qualifier Select a qualifier for Owner 1 A qualifier identifies Owner 1 as a person a corporation a trust etc Type the title Esq Ph D etc that follows Owner 1 s name Owner 2 first name Type the first name of Owner 2 Type Owner 1 s non natural name A second owner is recorded when the insurance contract is purchased by more than one individual Type the identification number used by Owner 2 Owner 2 ID qualifier Select the type of identification used by Owner 2 that corresponds to Owner 2 s identification number Choices are e 34 Social Security Number e A3 Non Resident Alien Number e Fl Federal Taxpayer s Identification Number e SB Canadian Social Insurance Number Type the last name of Owner 2 Owner 2 middle name Type the middle name of Owner 2 Owner 2 natural non Select natural indicator e N Natural e X Non Natural Natural indicates an owner who is an individual Non natural indicates an owner that is an institution such as a company or trust Owner 2 non natural name Owner 2 prefix Type the title Mr Mrs etc that precedes Owner 2 s name Owner 2 Qualifier Select a qualifier for Owner 2 A qualifier identifies Owner 2 as a person Type Owner 2 s non natural name a corporation a trust etc National Securities Clearing Corporation Page 45 Revised and Posted October 2007 ACATS USER MANUAL
45. Page 121 Revised and Posted October 2007 ACATS USER MANUAL Mutual Fund Information Select the type of account that is being delivered either a Broker account or a 01 Trust account Firm Membership Indicator Deliverer Click the type of transfer either Full or Partial Full Partial Transfer This indicator refers to the asset position and whether the entire position full or part of a position partial is being transferred Fund Customer Account Type the 20 character Fund Customer Account number Network Control Choose how the account will be handled in Networking or indicate that it Indicator will not be networked Option Information Please note that Option is not a valid asset type for Residual Credit transfers Other Page Items In this field You can Back Click to return to the PCWeb Direct home page Click to enter more assets to this residual credit transfer After you submit the transfer the system returns a page where you can enter another asset connected to this TIF More Assets Click to clear all data from the fields without submitting the transfer to PCWeb Direct Submit Click to send the transfer information to PCWeb Direct Reset National Securities Clearing Corporation Page 122 Revised and Posted October 2007 Insurance Registration Transfer Information Transfer Type Original Receiver Original Deliverer ACATS Control N
46. Reject 25 Reclaim Reject 27 Mutual Fund Cleanup Reject Transfer Information TIF Type the four digit number for the participant that submitted the transfer This field differs according to your user type If you are logged in as a participant your participant number appears in If you are logged in as a Service Bureau this field becomes a drop down list that contains all participant numbers to which you have access If you are logged in as an NSCC Branch Office this field is empty Submitter Click Deliverer or Receiver Transfer Type Choose the type of transfer being rejected National Securities Clearing Corporation Page 113 Revised and Posted October 2007 ACATS USER MANUAL Other Page Items In this field You can Back Click to return to the PCWeb Direct home page Click to populate your next transaction page with the information you provided on this one You can change any information that differs when entering the subsequent transaction Fill my next input screen with this data Click to clear all data from the fields without submitting the transfer to PCWeb Direct Submit Click to send the transfer information to PCWeb Direct Reset National Securities Clearing Corporation Page 114 Revised and Posted October 2007 Residual Credit Products Password Transfer Information Original Receiver Original Deliverer Customer Name Receiver Customer Ac
47. Representatives of the insurance asset may use their social security number non resident alien number federal taxpayer s identification number or Canadian social insurance number as their ACATS IPS Beneficiary identification number Select the type of identification Representative 3 that corresponds to Representative 3 s identification number Choices are e 34 Social Security Number A3 Non Resident Alien Number e Fl Federal Taxpayer s Identification Number e SB Canadian Social Insurance Number Type the percentage of the insurance asset allocated to Representative 4 This field is required when the All Representatives Included field has been set to Y All representatives included Type Representative 4 s date of birth Type the identification number of Representative 4 assigned by the insurance carrier National Securities Clearing Corporation Page 130 Revised and Posted October 2007 Type the identification number used by the Representative 4 Representatives may use their social security number non resident alien number federal taxpayer s identification number or Canadian social insurance number as their ACATS IPS Beneficiary identification number Representative 4 Tax ID Select the type of identification used by Representative 4 that corresponds to Representative 4 s identification number Choices are e 34 Social Security Number e A3 Non Resident Alien Number e Fl Federal Taxpayer s Identif
48. Type the identification number used by the beneficiary of the insurance asset Beneficiaries may use their social security number non resident alien number federal taxpayer s identification number or Canadian social insurance number as their ACATS IPS Beneficiary identification number Type the date of birth of the beneficiary of the insurance asset Beneficiary I D Select the type of identification used by the beneficiary of the insurance asset that corresponds to the beneficiary s identification number Choices are 34 Social Security Number A3 Non Resident Alien Number e Fl Federal Taxpayer s Identification Number e SB Canadian Social Insurance Number Beneficiary D Qualifier National Securities Clearing Corporation Page 127 Revised and Posted October 2007 ACATS USER MANUAL Beneficiary Last Name Type the last name of the beneficiary of the insurance asset Beneficiary Middle Name Type the middle name of the beneficiary of the insurance asset Select e N Natural e X Non Natural Beneficiary Natural Non Natural inaicator Natural indicates a beneficiary who is an individual Non natural indicates a beneficiary that is an institution such as a company or trust Beneficiary Non Natural Name Type the name of the non natural beneficiary Type the title Mr Mrs etc that precedes the beneficiary of the Beneficiary Prefix y insurance asset Beneficiary Relatio
49. Type the six digit asset sequence number that was generated by the ACATS system This number is assigned to the asset when it is first added to ACATS Contract Number Type the contract policy number assigned by the insurance carrier Type the International Security Identification Number which consists of a country code a nine character alphanumeric code that identifies the security and an ISIN check digit when the country code is not US Asset Seq Number ISI N Select either e 01 Non Custodial to Non Custodial e 02 Custodial to Custodial 03 Custodial to Non Custodial e 04 Non Custodial to Custodial Insurance Transfer Type Non custodial means the insurance asset is in the possession of an individual Custodial means the insurance is in the custody of broker dealer When an insurance asset changes hands through an account transfer the custodial relationship on the insurance asset changes Type the four digit NSCC account number for the original deliverer Original Deliyerer assigned to the transfer Select the participant number of the original receiver from the list The Prigihal Recaryer Original Receiver is the party who originally receives the insurance asset Select the transfer type that is being registered Full or Partial Transfer Transfer Type Deliverer National Securities Clearing Corporation Page 125 Revised and Posted October 2007 ACATS USER MANUAL
50. ai e doled niaw Saeki eer E aa A a E a aAa 20 Add an ASSE prirna ea a ana aaa AE aA aE adda Tea raa Geena ates 23 POSE ASSET ea hotties en EEE E E E E E E E secegeaee 35 To Adjust aM ASSet cisminin ennaa a a EEE i AAN Aiia Aa ee aAa 35 Adj st a TRANSTOR sccs cite seai etetaceen Urea nE N EE EATA OTDA EE a EEA DEAE 47 Delete ASSEt suaa A a a a dene E E EA E aA 51 Fail REVErSall acscsdesenesusiatias ia i me yea dede diag a le a Ea A a Aaaa aa 54 Requesting a Full Transfer 0 ccc cece cece eee eee een ena nennt 61 FUNG Registrati crer Ma cou niian aT o Geena E AE E A AERA EET ached 64 Mutual Fund Cleanup vor c0220 c damerridcassen i iiion ea E E EE E eens 73 Partial Transfer Deliverer sssssssssssssssrrnrrrrrrrrrrrrrrrrrr rrtt seen eeeeeaeeeaeeeneteneeanes 81 Partial Transfer Receiver sssssssessssrsssrererrssrurirestrirennsterrurnnnertrnnanarernnannrennn 93 Reclaim nessen an e a fee Ea Ea e e DE A A ewe dad EE E E 103 Reject Transter e i csaie coc i onain e ea EEEE o i ESA pad neat le EA Rie ee 110 Residual Credit scciisccas ntaeted eect hes ienei AEA EEEE EEEE EER EIEE 115 INSUFANCES Registrato ereman naaa a R AAEE tia aa 123 National Securities Clearing Corporation Page ii Revised and Posted October 2007 Transaction Input PCWeb Direct Introduction to ACATS I NTRODUCTI ON The purpose of this chapter is to provide Automated Customer Account Transfer Service ACATS users with the information needed to in
51. alance the valid values are CRED Credit Balance DEB Debit Balance If the settling location is 45 Memo the valid values are CASH Underlying Cash Balance COMT Comment Settling Reason SMA Special Miscellaneous Accounting Value USEC Underlying Security If the settling location is 50 R amp D the valid values are RSEC Restricted Security SFK Safekeeping XSET Outside CNS DTC and Fund SERV FCUR Foreign Currency DDEL Delayed Delivery Choose W When Issued to indicate whether the asset is a when issued Winam ISSued security or N Not When Issued if it is not Mutual Fund Information In this field You can Choose the format of the customer assets being transferred Click one of the following list items 0 In and Out Book Shares BIN Specified Book Physical Shares 1 In and Out Book Shares FIN Specified 2 In Book Shares Out Physical Note The Broker Account Number BIN and Fund Account Number FIN are supplied on the Fund SERV Transfer Record National Securities Clearing Corporation Page 86 Revised and Posted October 2007 ACATS USER MANUAL Choose the Contingent Deferred Sales Charges CDSC indicator Click one of the following list items 0 Not Applicable if your selection in the Dividend Code field already contains information relating to the type of dividend capital gain and CDSC Indicator short term capital gain
52. amp D the value for this field is locked at XSET Outside CNS DTC and Fund SERV When Issued This field is locked at the value N Not When Issued Settling Reason Mutual Fund I nformation In this field You can Choose the format of the customer assets being transferred Click one of the following list items 0 In and Out Book Shares BIN Specified Book Physical Shares 1 In and Out Book Shares FIN Specified 2 In Book Shares Out Physical Note The Broker Account Number BIN and Fund Account Number FIN are supplied on the Fund SERV Transfer Record National Securities Clearing Corporation Page 78 Revised and Posted October 2007 ACATS USER MANUAL Choose the Contingent Deferred Sales Charges CDSC indicator Click one of the following list items 0 Not Applicable if your selection in the Dividend Code field already contains information relating to the type of dividend capital gain and CDSC Indicator short term capital gain 1 Delivering firm will provide info within Networking if the delivering firm provides automated CDSC lot listing information 2 Delivering firm will provide info outside Networking if the delivering firm provides CDSC lot listing information outside the system Click 1 Customer Name if the assets are registered in the customer s Customer Street name or 2 Street Name if the assets are registered in street name Click the div
53. artecipant HHD Reperts VAR Ro ts Faced Income Raquiatury FIGURE 13 HOME PAGE FOCUS ON FILES UPLOAD Input to SIAC The Upload function allows you to send preformatted files from your hard drive to SIAC s DataTrak system one at a time If multiple files need to be sent consolidate all files into one master file Then send that master file to SIAC S DataTrak system To send a file 1 Click Files Upload on the Home page s menu see Figure 14 This invokes the Upload page 2 Click Browse and select the file to be uploaded National Securities Clearing Corporation Page 16 Revised and Posted October 2007 3 Click Submit to complete the process a en a A Sxuiy Shp D 22192168 25 Asv kh omiman hanss GS i lt i Products Password Preferences Logout Hel FIGURE 14 UPLOAD PAGE National Securities Clearing Corporation Page 17 Revised and Posted October 2007 ACATS USER MANUAL INTRODUCTION TO ACATS The Automated Customer Account Transfer Service ACATS automates and standardizes procedures for the transfer of assets in a customer account from one brokerage firm and or bank to another The system expedites account transfers by resolving them in an automated environment NSCC developed ACATS in conjunction with the NYSE its Rule 412 Task Force Committee and the NASD to address the industry s need to reduce delays and inconsistencies associated with manual processing ACATS enables pa
54. asset position and whether the entire position full or part of a position partial is being transferred Fund Customer Type the 20 character Fund Customer Account number Account Fund Customer Type the 20 character Fund Customer Account number Account National Securities Clearing Corporation Page 40 Revised and Posted October 2007 ACATS USER MANUAL Mutual Fund Information Network Control Choose how the account will be handled in Networking or indicate that it Indicator will not be networked Option Information In this field You can Indicate whether the option is a buy or a Sell according to the following rules If you are the deliverer and the account is long an option submit the position as a closing sell If you are the deliverer and the account is short an option submit the position as a closing buy Buy Sell If you are the receiver of an account with a long option it will be reflected as an opening sell If you are the receiver of an account with a short option it will be reflected as an opening buy Note The ACATS reports for the receiver and the deliverer will reflect the opposite for the same position ACATS performs the flip internally Comments Type a message of up to 16 characters regarding the transfer of this option Enter the expiration date in mm ccyy format You must include the dashes to separate the month and four digit year Anything else will
55. ategory Cash Margin Short zj Ponor L Long Position z MeS Currency Code uso Serial Amount COO MY Quantity nm aT bait Transfer zj Reason Bearer Bond N Not a Bearer Bond z When N Not When Issued Asset Description Comments Full Partial Transfer Book Physical Shares Network Control Customer Street Dividend Code Dividend Payee Executing Broker Fund Customer Account CDSC Indicator Firm Membership Indicator Deliverer I More Assets Reset BHontact us FAIL REVERSAL PAGE National Securities Clearing Corporation Page 54 Revised and Posted October 2007 Entering a Fail Reversal 1 On the home page menu point to ACATS The ACATS menu appears Click Fail Reversal The Fail Reversal page appears Notes All required fields appear in bold followed by a red asterisk A conditional field appears as optional until you type or select information that makes it required When a field becomes required a red asterisk appears next to it but the field name will not become bold Type or select information in all required fields and any applicable optional fields For help with any fields that appear on this page see Fail Reversal Field Definitions In the Asset Information section type or select information in all required fields and any applicable optional fields for the asset being redelivered If the asset is a mutual fund type or select information
56. cation number used by Owner 1 National Securities Clearing Corporation Page 90 Revised and Posted October 2007 ACATS USER MANUAL Owner 1 ID qualifier Select the type of identification used by Owner 1 that corresponds to Owner 1 s identification number Choices are e 34 Social Security Number A3 Non Resident Alien Number e Fl Federal Taxpayer s Identification Number e SB Canadian Social Insurance Number Owner 1 last name Type the last name of Owner 1 Owner 1 middle name Type the middle name of Owner 1 Owner 1 natural non Select natural indicator e N Natural e X Non Natural Natural indicates an owner who is an individual Non natural indicates an owner that is an institution such as a company or trust Owner 1 non natural name Owner 1 prefix Type the title Mr Mrs etc that precedes Owner 1 s name Owner 1 Qualifier Select a qualifier for Owner 1 A qualifier identifies Owner 1 as a person a corporation a trust etc Type the title Esq Ph D etc that follows Owner 1 s name Owner 2 first name Type the first name of Owner 2 Type Owner 1 s non natural name A second owner is recorded when the insurance contract is purchased by more than one individual Type the identification number used by Owner 2 Owner 2 ID qualifier Select the type of identification used by Owner 2 that corresponds to Owner 2 s identification number Choices are e 34 Social Sec
57. cet Rep Name for this field is 15 characters Type the full address for the customer The first address line is required use additional lines as needed You can enter a maximum of 35 characters on each line Address Line 1 Address Line 6 Type the six digit Asset Sequence Number that was generated by the ACATS system This number was assigned to the asset when it was originally added to ACATS Asset Sequence Number Choose the format of the customer assets being transferred Click one of the following list items 0 In and Out Book Shares BIN Specified Book Physical Shares 1 In and Out Book Shares FIN Specified 2 In Book Shares Out Physical Note The Broker Account Number BIN and Fund Account Number FIN are supplied on the Fund SERV Transfer Record Type the branch code associated with the receiving firm Maximum Branch length for this field is nine characters Click the Contingent Deferred Sales Charges indicator either 0 Not CDSE Indicata applicable or 1 Receiving firm requires CDSC info Type the W8 Certification Date in mm dd ccyy format including dashes This field is required if you chose B C or D in the Withholding Indicator field Certification Date National Securities Clearing Corporation Page 67 Revised and Posted October 2007 ACATS USER MANUAL Click a list item to indicate whether or not this fund has check writing privileges Check Writing
58. cial Security number Use a nine digit Secondary SaN numeric format without hyphens or spaces Asset I nformation In this field You can Type the original dollar amount of the asset Up to 13 characters can be entered before the decimal point up to four characters can be entered after the decimal point For US currency please use only two places after the decimal point for foreign currency please use four places after the decimal point Amount Type a text description of the asset being transferred Create line breaks by pressing ENTER otherwise your text will be contained on a single line Bearer Bond Choose whether a bond is a bearer instrument Cash Margin Short Choose whether the position is cash margin or short Type any additional notes or information about this asset not already covered by the entry fields Create line breaks by pressing ENTER otherwise your text will be contained on a single line Asset Description Comments Type the three character ISO Currency Code for the asset This field is Currency Code required when the Asset Pricing Category field reads FCUR Type the International Security Identification Number which consists of a country code a nine character alphanumeric code that identifies the security and an ISIN check digit when the country code is not US ISI N I National Securities Clearing Corporation Page 84 Revised and Posted October 2007 ACATS US
59. clear all data from the fields without submitting the transfer to PCWeb Direct National Securities Clearing Corporation Page 63 Revised and Posted October 2007 Fund Registration gt lt Products Password Preferences Logout Help Transaction Inputs Back Reset Submit Transfer Information Bi Required Original Receiver orse Original Deliverer ACATS Control Coe Number CYYDDDNNNNNNN Customer Name Acct Rep Name Branch Fund Customer Ranier Fund Account Ind Social Code SSN EIN Type SSN EIN Zip Code Address Line 1 Address Line 2 Address Line 3 Address Line 4 Address Line 5 Address Line 6 MF Transaction Type NAV j Margin Check Writing 1 Country of Origin peck ie raca Physical Inv Delivery zj Dividend Code CDSC Indicator Payable Info Firm Membership Indicator Indicator Receiver Fraction Withholding Indicator Override NRA Override Country Percentage Code Certification Date Expiration Date MM MM DD CCYY DD CCYY TPA Number Executing Broker NRA Tax Percent State of Sale I Cost Basis Code J CDSC Payment Code z ACH j Memo T Bank Account Type i First Check Date ABA Routing Number Bank Account Number PAC I SWP I zj Retirement Tax Code zj E AE Payment Day Ca Monthly Paymentind Disbursement en Disbursement Option Amount ROA LOI Date C ROA LOI Value I MM DD ccYY Related Trade i R
60. count Number Deliverer Customer Account Number Primary SSN Secondary SSN Account Type Receiver OCC Broker Number Receiver Correspondent Associated ACATS Control Number CCYYDDDNNNNNNN Associated Settlement Date MM DD CCYY ta Preferences Logout Help Transaction Inputs Comments Asset Information Setting Location Settling Reason Option Category Cash Margin Short Currency Code Amount ISIN Bearer Bond Asset Description Comments Full Partial Transfer Book Physical Shares Network Control Customer Street Dividend Code Dividend Payee Executing Broker Fund Customer Account DSC Indicator Firm Membership Indicator Deliverer 00 System Generated Do 00 Non Option a USD COo O E Mutual Fund Information Pricing I Category Position C Long Position Ea L Long Position MBS Serial Note n Not When Issued Issued Option Inform ation Symbol Expiration Date mm ccyy Strike Price Integer Strike Price Fraction I z eights Strike Price Fraction decimals Buy Sell Put Call I Open Close e Close zj occ C Deliverer Option Account C Customer x Type Sub i Account ID Comments Back Reset Submit National Securities Clearing Corporation Page 115 Revised and Posted October 2007 RESI DUAL CREDIT PAGE Entering a Residual Transfer Cr
61. ctober 2007 Products Password Preferences Logout Help Weicome to c WebDirect enables the following products Confirms _ Data Upload Commission Billing j Correspondent Clearing NSCC is a wholly owned subsidiary of DTCC B Hontact Us BE site Map Hmportant Legal Information FIGURE 2 ACCESSING THE DATA PAGES FROM AN ACATS I NPUT PAGE Click on the name of the page you want to access National Securities Clearing Corporation Page 4 Revised and Posted October 2007 Summary Page The Summary page allows you to search for a specific transaction type or to view a list of unsent transactions within a product Products Password Preferences Logout Help Transaction Fail Reversal Search Unsent Records Search Full Transfer Partial Transfer Deliverer Partial Transfer Receiver Residual Credit Search Search Search Search Search Transfer Adjustments Transfer Rejects Search Search Transfer Accelerates Assets Search Search Asset Adjustments Search Asset Deletes Search Fund Registration Search Insurance Registration FIGURE 3 ACATS SUMMARY PAGE Search Search criteria vary for each product transaction type ortant Legal Information Enter the required information accordingly Click Begin Search when you are finished National Securities Clearing Corporation Page 5 Revised and Posted October
62. cy DDEL Delayed Delivery Asset I nformation Transfer Reason Choose the option that represents why the asset is being reclaimed Choose whether the asset is being transferred when issued or not when issued When Issued Mutual Fund Information Please note that Mutual Fund is not a valid asset type for Reclaim transfers Option Information Please note that Option is not a valid asset type for Reclaim transfers National Securities Clearing Corporation Page 108 Revised and Posted October 2007 Other Page Items In this field You can Back Click to return to the PCWeb Direct home page Click to enter more assets to this reclaim After you submit the reclaim the eee system returns a page where you can enter another asset connected to this TIF Click to clear all data from the fields without submitting the transfer to PCWeb Direct Submit Click to send the transfer information to PCWeb Direct Reset National Securities Clearing Corporation Page 109 Revised and Posted October 2007 Reject Transfer Products Password Preferences Logout Help Transaction Inputs r Back Reset Submit Transfer Information g Required Transfer Type Submitter Number Submitter Original Receiver Original Deliverer ACATS Control Number CCYYDDDNNNNNNN Reason Code Comments Back Reset Submit Contact Us Hmportant Legal Informa
63. d deletes will be processed first The account will not be accelerated This page does not support a search function all information must be consistent with the original entry in order to delete the correct asset record This entry negates the existing asset entry record in the system National Securities Clearing Corporation Page 52 Revised and Posted October 2007 ACATS USER MANUAL Delete Asset Field Definitions Items appear in alphabetical order Items marked with an asterisk are required Note that conditional fields may become required depending upon your selections in other fields These fields will display an asterisk once your selections make them required fields Transfer Information TIF ACATS Control Number CCYYDDNNNNNNN Asset Sequence Number Comments Option Category Original Deliverer In this field You can Type the 14 digit ACATS control number It appears on ACATS reports as the ACATS Control Number for the ACATS transfer associated with the current transaction The ccyyddnnnnnnn format breaks down as follows cc the millennium and century of the transfer submission yy the year of the transfer submission ddd the Julian date of the transfer submission nnnnnnn a system assigned sequence number Type the six digit Asset Sequence Number that was generated by the ACATS system This number was assigned to the asset when it was originally added to ACATS Type any a
64. dditional notes or information about this asset not already covered by the entry fields Create line breaks by pressing ENTER otherwise your text will be contained on a single line Choose the type of option entered or indicate that the asset is a non option Type the four digit number for the participant that inputs assets for delivery This field differs according to your user type If you are logged in as a participant your participant number appears in this field by default If you are logged in as a Service Bureau this field becomes a drop down list that contains all participant numbers to which you have access If you are logged in as an NSCC Branch Office this field is empty Original Receiver Type the four digit number for the participant that initiates the transfer and receives the assets National Securities Clearing Corporation Page 53 Revised and Posted October 2007 Fail Reversal Products Password Preferences Logout Help Transaction Inputs E Back Reset Submit Transfer Information Account Number Primary SSN Secondary SSN Account Type Receiver OCC Broker Number Receiver Correspondent Associated ACATS Control Number CCYYDDDNNNNNNN Associated Settlement Date MM DD CCYY Comments Asset Information Settling Location 50 R Settling Reason XSET Outside CNS DTC Fund SERV i Pricing Option Category 00 Non Option C
65. delivered either a Broker account or a O1 Trust account Click the type of transfer either Full or Partial This indicator refers to the asset position and whether the entire position full or part of a position partial is being transferred National Securities Clearing Corporation Page 59 Revised and Posted October 2007 ACATS USER MANUAL Fund Customer Account Type the 20 character Fund Customer Account number Network Control Choose how the account will be handled in Networking or indicate that it Indicator will not be networked Other Page Items In this field You can Back Click to return to the PCWeb Direct home page Click to enter more assets to this Fail Reversal After you submit the fail reversal the system returns a page where you can enter another asset connected to this TIF More Assets Click to clear all data from the fields without submitting the transfer to PCWeb Direct Submit Click to send the transfer information to PCWeb Direct Reset National Securities Clearing Corporation Page 60 Revised and Posted October 2007 Requesting a Full Transfer Products Password Preferences Logout Help Submit Transfer Information g Required Original Receiver Customer Name Receiver Customer Account o Number Deliverer Customer Account Number Primary SSN E oOo k Secondary SSN Account Type Receiver OCC Brok
66. ds 2 To add another payable address to the fund you are registering click More Payables at the bottom of the page before clicking Submit 3 Click Submit to finish your transaction If you clicked More Payables another Payables page appears or Click Reset to clear all data or Click Back to return to the PCWeb Direct home page Fund Registration Field Definitions Items appear in alphabetical order Items marked with an asterisk are required Note that conditional fields may become required depending upon your selections in other fields These fields will display an asterisk once your selections make them required fields National Securities Clearing Corporation Page 66 Revised and Posted October 2007 ACATS USER MANUAL Transfer Information In this field You can Type the 14 digit ACATS control number It appears on ACATS reports as the ACATS Control Number for the ACATS transfer associated with the current transaction The ccyyddnnnnnnn format breaks down as follows ACATS Control Number a CCYYDDNNNNNNN cc the millennium and century of the transfer submission yy the year of the transfer submission ddd the Julian date of the transfer submission nnnnnnn a system assigned sequence number Type the mutual fund account representative s number Maximum length K Account Rep Number fS this field is nine digits Type the mutual fund account representative s name Maximum length x A
67. e Delivering associated Type the identification number of the delivering associated firm The firm ID delivering associated firm is the correspondent firm of the ACATS clearing member that is processing the ACATS transaction Insurance customer account number deliverer Type the account number of the customer s insurance asset at the delivering firm IRS qualification code Select a code from the 26 available IRS qualification codes Owner 1 first name Type the first name of Owner 1 The owner is the individual who has purchased the insurance contract Owner 1 ID Type the identification number used by Owner 1 Owner 1 ID qualifier Select the type of identification used by Owner 1 that corresponds to Owner 1 s identification number Choices are e 34 Social Security Number A3 Non Resident Alien Number e Fl Federal Taxpayer s Identification Number SB Canadian Social Insurance Number Owner 1 last name Type the last name of Owner 1 Owner 1 middle name Type the middle name of Owner 1 Owner 1 natural non Select natural indicator e N Natural e X Non Natural Natural indicates an owner who is an individual Non natural indicates an National Securities Clearing Corporation Page 44 Revised and Posted October 2007 ACATS USER MANUAL Asset Insurance Information fs owner that is an institution such as a company or trust Owner 1 non natural name Owner 1 prefix Type the title
68. e O E AA een EN 1 FUNCTIONS saeni nanie ain otis taaaune gts dren dda a af N AEE RO EA E AREE EAE EEN 1 Hardware and Software Requirement cce cece e eee eee eee ene teen a teeta ene aeee 1 PCWeb Direct Procedures cccc eee ene eee ene nena eee eee nee 2 Data Review Sendi imeni cuted iotansdet inaa ie a a aaa lawaitws e aE a Eaa 2 Accessing Data Review Send Pages from Transaction Input PageS eeeees 3 SUMMANy PAQC sisien inte weet vaeiius pinned awakened nthe ani E eeu E euwede een 5 Send PAGO cit sccsice eects tapi oui oan cis aw an nals D a a bagi cnet ve eles oa ean ee 7 Send Confirm Cycle cccecccc ccc eee eee ee eee eens eee eens eae n et EEEE eens ne nner eas 8 Sent Batches Page wecsieeseeeedie ue euies eee eee ence dew ede E EE ev da eet T ee vex 9 PRED ORES caure ini hia ee dualntt chia E SE aetna dated ei AA a a a a Ea a 10 View Print and SAVE sssssssssssssssssssssssssrrnrrrnrrrrrrrrrrrrrrrrrrr EEE ESE E ESE ESSE E SESE EEE ES 12 Refresh Page Reload 0 cccceee eee eee E a enna eee 13 AlIa IEE A sot leche eran TAA TA patentee set E T TES 13 AVS E E E A E AEA EA A A E A E T 14 Data rinira ahi nia E i a EE E E ENE end Ea Ee mee E E 14 Upload sesos pionne Ee i a Vad hak Aa E aa Back Dewees hak ni a AE 15 IM PUC to SIAC stisi tuina niio ii EN AEA TOi OE ai 16 ACATS Descriptions Page Snapshots and Field Definitions ssssssessrrrerrse 19 Accelerate a TranSter osaisin ian
69. e carrier National Securities Clearing Corporation Page 129 Revised and Posted October 2007 ACATS USER MANUAL Representative 2 Tax ID Representative 2 Tax ID Qualifier Representative 3 Allocation Percent format 9 999999999 Representative 3 DOB MM DD CCYY Representative 3 ID Representative 3 Tax ID Representative 3 Tax ID Qualifier Representative 4 Allocation Percent format 9 999999999 Representative 4 DOB MM DD CCYY Representative 4 ID Type the tax identification number used by representative 2 Representatives of the insurance asset may use their social security number non resident alien number federal taxpayer s identification number or Canadian social insurance number as their tax identification number Select the type of identification used by representative 2 that corresponds to Representative 2 s identification number Choices are e 34 Social Security Number A3 Non Resident Alien Number e Fl Federal Taxpayer s Identification Number SB Canadian Social Insurance Number Type the percentage of the insurance asset allocated to Representative 3 This field is required when the All Representatives Included field has been set to Y All representatives included Type Representative 3 s date of birth Type the identification number of Representative 3 assigned by the insurance carrier Type the tax identification number used by Representative 3
70. e fields will display an asterisk once your selections make them required fields Transfer Information TIF In this field You can Account Type Choose the customer s account type if you were the original deliverer Type the 14 digit ACATS control number of the prior associated transfer as required This number can be obtained from the reports produced by the ACATS system The format is ccyydddnnnnnnn where cc the century when the transfer was submitted Associated ACATS Control Number yy the year when the transfer was submitted ddd the Julian date when the transfer was submitted nnnnnnn a system assigned sequence number Associated Settlement Date Type the settlement date for the prior associated transfer in mm dd ccyy format Type any additional notes or information about this reclaim not already covered by the entry fields Create line breaks by pressing ENTER otherwise your text will be contained on a single line Customer Name Type the customer s name You can enter a maximum of 60 characters Deliverer Customer Type the deliverer s customer account number You can enter a Account Number maximum of 20 characters Comments Transfer Information TIF National Securities Clearing Corporation Page 105 Revised and Posted October 2007 ACATS USER MANUAL View choose or type the four digit membership number of the NSCC participant originally delivering the transfer of a
71. e optional fields for the assets being reclaimed 5 If the asset is a mutual fund type or select information in the Mutual Fund Information section or If the asset is an option type or select information in the Option Information section or If the asset is neither a mutual fund nor an option you do not have to complete either section 6 Check for missed required fields such as conditional fields that may have become required during your data entry 7 Click More Assets to enter additional assets for this partial reclaim When you submit this entry PCWeb Direct will return a page that allows you to add another asset Click More Assets on each subsequent page until you have entered all assets related to this reclaim National Securities Clearing Corporation Page 104 Revised and Posted October 2007 ACATS USER MANUAL 8 Click Submit to finish your transaction or Click Reset to clear all data or Click Back to return to the PCWeb Direct home page This transaction is considered a nonstandard transfer It has a three day review period However the reclaim function allows you to override the review period using the Accelerate Transfer input page The reclaim may be rejected using the Reject Transfer page Reclaim Field Definitions Items appear in alphabetical order Items marked with an asterisk are required Note that conditional fields may become required depending upon your selections in other fields Thes
72. e system returns a page where you can enter another asset connected to this TIF More Assets Click to clear all data from the fields without submitting the transfer to PCWeb Direct Submit Click to send the transfer information to PCWeb Direct Reset National Securities Clearing Corporation Page 102 Revised and Posted October 2007 Reclaim gt gt Products Password Preferences Logout Help Transfer Information Original Receiver Original Deliverer Customer Name Receiver Customer Account Number Deliverer Customer Account Number Primary SSN Secondary SSN Account Type Receiver OCC Broker Number Receiver Correspondent Associated ACATS Control Number CC YYDDDNNNNNNN Associated Settlement Date MM DD cCYY Comments Asset Information Settling Location oo System Generated Settling Reason H Option Category 00 Non Option zj Cash Margin Short Currency Code uso Amount I f I ISIN ps f Bearer Bond n Not a Bearer Bond a Asset Description Comments Mutual Fund Information Full Partial Transfer Book Physical Shares Network Control Customer Street Dividend Code Dividend Payee Executing Broker Fund Customer Account CDSC Indicator Firm Membership erker E Indicator Deliverer Broker Bf More Assets Back Reset Submit quired lt lt le Cogon L Long Position MBS serial
73. e to identify the broker executing the delivery Choose the format of the customer assets being transferred Click one of the following list items 0 In and Out Book Shares BIN Specified 1 In and Out Book Shares FIN Specified 2 In Book Shares Out Physical Note The Broker Account Number BIN and Fund Account Number FIN are supplied on the Fund SERV Transfer Record Choose the Contingent Deferred Sales Charges CDSC indicator Click one of the following list items 0 Not Applicable if your selection in the Dividend Code field already contains information relating to the type of dividend capital gain and short term capital gain 1 Delivering firm will provide info within Networking if the delivering firm provides automated CDSC lot listing information 2 Delivering firm will provide info outside Networking if the delivering firm provides CDSC lot listing information outside the system Click 1 Customer Name if the assets are registered in the customer s name or 2 Street Name if the assets are registered in street name Click the dividend code from an 8 item list Each item displays the dividend code number and manner cash or reinvestment in which payment will be made for dividend payments capital gains and short term capital gains Example 2 Cash Cash Reinvest Dividend payments Cash Capital gains Cash Short term capital gains Reinvest Select the type of account that is being
74. ect of a Partial Transfer If the PTD is not rejected it will go to settle close status Settlement will occur the next day Partial Transfer Deliverer Field Definitions Items appear in alphabetical order Items marked with an asterisk are required National Securities Clearing Corporation Page 82 Revised and Posted October 2007 ACATS USER MANUAL Note that conditional fields may become required depending upon your selections in other fields These fields will display an asterisk once your selections make them required fields Transfer Information TIF In this field You can Choose the customer s account type if you are acting as the original Account Type deliverer If you are responding to a partial transfer receiver request type the 14 digit ACATS control number for the associated transfer as required This number can be obtained from the reports produced by the ACATS system The format is ccyydddnnnnnnn where Associated ACATS cc the century when the transfer was submitted Control Number yy the year when the transfer was submitted ddd the Julian date when the transfer was submitted nnnnnnn a system assigned sequence number Type any additional notes or information about this partial transfer deliverer not already covered by the entry fields Create line breaks by pressing ENTER otherwise your text will be contained on a single line Customer Name Type the customer s name Y
75. edit After an account moves through the ACATS process and settles the delivering firm may notice the accumulation of monies or shares of securities in the account that the customer has closed Use the ACATS Residual Credit option to move these additional monies or shares for the previously transferred asset from the old account to the new one 1 On the home page menu point to ACATS The ACATS menu appears 2 Click Residual Credit The Residual Credit page appears Notes All required fields appear in bold followed by a red asterisk A conditional field appears as optional until you type or select information that makes it required When a field becomes required a red asterisk appears next to it but the field name will not become bold 3 In the Transfer Information section type or select information in all required fields and any applicable optional fields 4 In the Asset Information section type or select information in all required fields and any applicable optional fields for the residual credit transfer 5 If the asset is a mutual fund type or select information in the Mutual Fund Information section or If the asset is an option type or select information in the Option Information section or If the asset is neither a mutual fund nor an option you do not have to complete either section 6 Check for missed required fields such as conditional fields that may have become required during your data entry 7
76. egistration You can type up to 20 characters Related Trade Select Yes or No to indicate if there is a trade related to this registration Advise funds what to do with residual credits that hit the account during the transfer period Residuals Select the appropriate code for reason of retirement related to this registration This reason determines how monies disbursed from this fund will be taxed ROA LOI Date Type the effective date of the Rights of Accumulation or Letter of Intent Retirement Tax Code National Securities Clearing Corporation Page 71 Revised and Posted October 2007 ACATS USER MANUAL Type the amount of the Rights of Accumulation or Letter of Intent An ROA is a cumulative discount accorded by the fund when a customer s aggregate purchases of fund shares reach a certain level A LOI is a promise by a mutual fund shareholder to invest a specified sum of money monthly for about a year In return the shareholder is entitled to lower sales charges ROA LOI Value State of Sale Account Transfer Disbursement SWP SWP PAC Effective Date MM DD CCYY Select the state in which the sale was executed This is for taxation reasons Select whether the shareholder will participate in the Systematic Withdrawal Plan The SWP allows a shareholder to automatically liquidate shares in the account according to an agreed upon schedule and amount Enter the date in MM DD
77. elated account Related Account Ind I Nociber Accrual Amount Accrual Amount Ind El W Payables contact Us FUND REGISTRATION PAGE National Securities Clearing Corporation Page 64 Revised and Posted October 2007 Registering a Mutual Fund Use the Fund Registration Input page to re register a mutual fund The receiving firm initiates this action upon being notified that it will receive a mutual fund asset with a settling location of 10 Fund SERV After the receiving firm submits the fund registration ACATS passes the entry to the Fund SERV system which in turn passes it to the fund 1 On the home page menu point to ACATS The ACATS menu appears 2 Click Fund Registration The Fund Registration page appears Notes All required fields appear in bold followed by a red asterisk A conditional field appears as optional until you type or select information that makes it required When a field becomes required a red asterisk appears next to it but the field name will not become bold 3 In the Transfer Information section type or select information in all required fields and any applicable optional fields 4 In the Account Transfer Disbursement section type or select information in all required fields and any applicable optional fields for the fund registration 5 Check for missed required fields such as conditional fields that may have become required during your data entry 6 To add a payab
78. en Issued Issued Asset Description Comments Option Category 00 Non Option gt Mutual Fund Information New Fund Customer Account Number Re registration Date at Fund MM DD ccyy Full Partial Transfer I E Book Physical Shares I z Network Control xl Customer Street HE Dividend Code A Dividend Payee nr Executing Broker Fund Customer as Account CDSC Indicator Firm Membership Erker E Indicator Deliverer Broker x I More Assets Back Reset Submit National Securities Clearing Corporation Page 73 Revised and Posted October 2007 MUTUAL FUND CLEANUP PAGE Entering a Mutual Fund Cleanup Use the ACATS Mutual Funds Cleanup function to resolve the monies associated with mutual fund assets that were included in an earlier ACATS transfer but were subsequently re registered outside of ACATS To perform a mutual funds cleanup 1 On the home page menu point to ACATS The ACATS menu appears 2 Click Mutual Fund Cleanup The Mutual Fund Cleanup page appears Notes All required fields appear in bold followed by a red asterisk A conditional field appears as optional until you type or select information that makes it required When a field becomes required a red asterisk appears next to it but the field name will not become bold 3 In the Transfer Information section type or select information in all re
79. eparate the month and four digit year Anything else will not register in the system Enter the five digit Options Clearing Corporation Deliverer number This field is required only if the OCC clearing number is different from the NSCC clearing number OCC Deliverer National Securities Clearing Corporation Page 29 Revised and Posted October 2007 ACATS USER MANUAL Option Information Indicate whether the option is opening or closing according to the following rules If you are the deliverer and the account is long an option submit the position as a closing sell If you are the deliverer and the account is short an option submit the position as a closing buy Open Close If you are the receiver of an account with a long option it will be reflected as an opening sell If you are the receiver of an account with a short option it will be reflected as an opening buy Note The ACATS reports for the receiver and the deliverer will reflect the opposite for the same position ACATS performs the flip internally Type the fraction portion of the strike price when it is expressed as a decimal Do not use this field when expressing the fractional amount as an actual fraction Strike Price Fraction Decimal Select the fraction portion of the strike price when it is expressed as a fraction Do not use this field when expressing the fractional amount as a decimal Strike Price Fraction Fraction
80. er You can enter a maximum of 20 characters Type the five character Receiver Options Clearing Corporation Broker number This number is required only if it differs from the receiving participant number Receiver OCC Broker Number Type the customer s secondary Social Security number Use a nine digit Secondary SSN numeric format without hyphens or spaces Asset I nformation In this field You can Type the original dollar amount of the asset Up to 13 characters can be entered before the decimal point up to four characters can be entered after the decimal point For US currency please use only two places after the decimal point for foreign currency please use four places after the decimal point Amount Type a text description of the asset being transferred Create line breaks by Asset Description pressing ENTER otherwise your text will be contained on a single line National Securities Clearing Corporation Page 118 Revised and Posted October 2007 ACATS USER MANUAL Bearer Bond Choose whether a bond is a bearer instrument Choose whether the position is cash or margin A short position is not a Cash Margin Short valid selection for the residual credit transfer type Type any additional notes or information about this residual credit not already covered by the entry fields Create line breaks by pressing ENTER otherwise your text will be contained on a single line Comments
81. er Number Receiver Correspondent Comments E Fill my next input screen with this data Reset Submit NSCC is a wholly owned subsidiary of DTCC Bf contact us a Se FULL TRANSFER PAGE Requesting a Full Transfer The account receiver uses an ACATS Full Transfer to request a full customer account from another firm No specific customer assets need to be defined The deliverer will use the Add Asset function to include all assets in the customer account 1 On the home page menu point to ACATS The ACATS menu appears 2 Click Full Transfer The Full Transfer page appears Notes All required fields appear in bold followed by a red asterisk A conditional field appears as optional until you type or select information that makes it required National Securities Clearing Corporation Page 61 Revised and Posted October 2007 ACATS USER MANUAL When a field becomes required a red asterisk appears next to it but the field name will not become bold 3 Type or select information in all required fields and any applicable optional fields Type comments about the transfer in the Comments box 5 Check for missed required fields such as conditional fields that may have become required during your data entry 6 Click Fill my next input page with this data to enter another full transfer with similar information 7 You can change information that differs when entering the subsequent transfer 8 Click Submit t
82. er Receiver gt lt _ Products Password Preferences Logout Help Transfer Information Primary SSN Secondary SSN Account Type Receiver OCC Broker Number Receiver Correspondent Comments Asset Information Setting Location oo System Generated Transaction Inputs Back Reset EE Settling Reason Option Category 00 Non Option Cash Margin Short z Currency Code uso Amount I C ISIN BIC TET Bearer Bond N Not a Bearer Bond Full Partial Ind Ej Quantity Request C Type Pricing I a Category Position iia cae L Long Position MBS Serial Cc Note Quantity I F I In Not When Issued Percent I Asset Description J Comments El Mutual Fund Information Full Partial Transfer Book Physical Shares Network Control Customer Street Dividend Code Dividend Payee Executing Broker Fund Customer C Account I I Option DSC Indicator Account Firm Membership Taroker Indicator Deliverer 8roker S W More Assets National Securities Clearing Corporation Option Information Symbol Expiration Date MM cCYY Strike Price Integer Strike Price Fraction eights Strike Price Fraction decimals Buy Sell Put Call Open Close occ Deliverer Type Sub Account ID Comments Back Reset Submit contact Us Emportant Legal Information Page 93 Revised and Posted
83. f you are the receiver of an account with a long option it will be reflected as an opening sell Open Close If you are the receiver of an account with a short option it will be reflected as an opening buy Note The ACATS reports for the receiver and the deliverer will reflect the opposite for the same position ACATS performs the flip internally Option Account Type Indicate whether the account is for a Customer Firm or Market Maker Put Call Indicate whether this is a put option or a call option Sub Account ID Enter the four digit sub account ID number Option Information Symbol Enter the six character option symbol Type the fraction portion of the strike price when it is expressed as a decimal Do not use this field when expressing the fractional amount as an actual fraction Strike Price Fraction Decimal Select the fraction portion of the strike price when it is expressed as a fraction Do not use this field when expressing the fractional amount as a decimal Strike Price Fraction Fraction Enter the integer portion of the strike price for the option in numeric format Strike Price I nteger up to five digits National Securities Clearing Corporation Page 101 Revised and Posted October 2007 Other Page Items In this field You can Back Click to return to the PCWeb Direct home page Click to enter more assets to this partial transfer After you submit the transfer th
84. fter the decimal point for foreign currency please use four places after the decimal point Amount Type a text description of the asset being transferred Create line breaks by pressing ENTER otherwise your text will be contained on a single line Bearer Bond Choose whether a bond is a bearer instrument Cash Margin Short Choose whether the position is cash margin or short Type any additional notes or information about this asset not already covered by the entry fields Create line breaks by pressing ENTER otherwise your text will be contained on a single line Asset Description Comments Type the three character ISO Currency Code for the asset This field is required when the Asset Pricing Category field reads FCUR Full Partial Ind Choose whether the requested position is full or partial Type the International Security Identification Number which consists of a country code a nine character alphanumeric code that identifies the security and an ISIN check digit when the country code is not US Currency Code ISI N Type the three character serial note unit number used to identify mortgage backed securities Option Category Choose the type of option entered Percent Position Code Choose whether the position is short long or not applicable Choose an asset pricing category This field is required unless the requested settling location is 35 OCC 40 Cash Balance or 45 Memo for Cash only
85. ginal Receiver Original Deliverer Transaction Inputs z Submit g Required ACATS Control Number CCYYDDDNNNNNNN Transfer Type Comments al Fill my next input screen with this data NSCC is a wholly owned subsidiary of DTCC gs ontact Us BE site Map ACCELERATE TRANSFER PAGE To Accelerate a Transfer 1 On the home page menu point to ACATS The ACATS menu appears 2 Click Accelerate Transfer The Accelerate Transfer page appears Notes Submit g Himportant Legal Information All required fields appear in bold followed by a red asterisk A conditional field appears as optional until you type or select information that makes it required When a field becomes required a red asterisk appears next to it but the field name will not become bold National Securities Clearing Corporation Page 20 Revised and Posted October 2007 3 Type or select information in all required fields and any applicable optional fields For help with fields that appear on this page see Accelerate Transfer Field Definitions 4 Type comments about the transfer acceleration in the Comments box 5 Check for missed required fields such as conditional fields that may have become required during your data entry 6 Click Fill my next input page with this data to add another asset with similar information You can change information that differs when entering the subsequent transfer accele
86. hanges made to the font size or print mode while viewing a report file will affect the entire browser For example if the font is reduced to view large files reports all pages viewed through the browser will appear reduced as well Save To save a report as a file on your hard drive 1 Click on a hyperlink to view that report see Figure 12 2 Click on the File drop down menu and select Save As This report is then saved locally to your PC s hard drive All reports are listed by product Any report that is not part of a specific product heading will appear under the Miscellaneous Reports list Data Overview The PCWeb Direct Data option provides you with the ability to download machine readable output MRO files from SIAC s AutoRoute system National Securities Clearing Corporation Page 14 Revised and Posted October 2007 Producte T Preferences Logout Help d ACATS CNS Commission Billing Correspondent Claering gt FITS RECAPS Fund SERV Networking Profile Distribution Profiles Participant Profiles secur EMRHS Reports Harmes MID Reports VAR eae Frowd Tecate Regulatory PIER Reports Data oa Hmportant Legal Information FIGURE 12 HOME PAGE FOCUS ON FILES DATA Save On the Home page click the Data option under the Files heading If there are data files in the system associated with your login ID then these files will be listed on the Data page These files are so
87. hens or spaces Receiver Type the four character Receiver Correspondent number Correspondent National Securities Clearing Corporation Page 49 Revised and Posted October 2007 ACATS USER MANUAL Receiver Customer Account Number Type the receiver s customer account number You can enter a maximum of 20 characters Transfer Information TIF Receiver OCC Broker Number Type the five character Receiver Options Clearing Corporation Broker number This field is required only if the OCC clearing number is different from the NSCC clearing number Secondary SSN Type the customer s secondary Social Security number if you act as the receiver Use a nine digit numeric format without hyphens or spaces Submitter Number Type the four digit number for the participant submitting the transfer This field differs according to your user type If you are logged in as a Participant your participant number appears in this field by default If you are logged in as a Service Bureau this field becomes a drop down list that contains all participant numbers to which you have access If you are logged in as an NSCC Branch Office this field is empty Submitter Click Deliverer or Receiver Other Page Items In this field You can Back Click to return to the PCWeb Direct home page Fill my next input page with th
88. hysical Note The Broker Account Number BIN and Fund Account Number FIN are supplied on the Fund SERV Transfer Record Choose the Contingent Deferred Sales Charges CDSC indicator Click one of the following list items 0 Not Applicable if your selection in the Dividend Code field already contains information relating to the type of dividend capital gain and CDSC Indicator short term capital gain 1 Delivering firm will provide info within Networking if the delivering firm provides automated CDSC lot listing information 2 Delivering firm will provide info outside Networking if the delivering firm provides CDSC lot listing information outside the system Click 1 Customer Name if the assets are registered in the customer s Custom r Street name or 2 Street Name if the assets are registered in street name Click the dividend code from an 8 item list Each item displays the dividend code number and manner cash or reinvestment in which payment will be made for dividend payments capital gains and short term capital gains Example 2 Cash Cash Reinvest Dividend Code _ Dividend payments Cash Capital gains Cash Short term capital gains Reinvest Dividend Payee Click the dividend recipient type from a list Executing Broker Type the 4 digit code to identify the broker executing the delivery Firm Membership Select the type of account that is being delivered either a Broker account Indicator
89. ication Number e SB Canadian Social Insurance Number Representative 4 Tax ID Qualifier Type the team identification number The team identification number is assigned by the insurance carrier to the team of representatives that represent the insurance asset Team ID National Securities Clearing Corporation Page 131 Revised and Posted October 2007
90. ich payments should be made Click a list item to indicate how you want physical securities delivered This field is only required if you selected 2 In Book Shares Out Physical in the Book Physical Shares field Physical Inv Delivery Click a list item to choose W8 Qualified Intermediary information for this fund This field is required if you selected C Certified foreign intermediary account W8 IMY form on file in the Withholding Indicator field Social Code Click a list item to indicate the type of mutual fund you are re registering Type either the Social Security number the tax ID number associated with this fund or the investor EIN Employee Identification Number as specified in the SSN EIN Type field Qualified Intermediary Indicator SSN EIN Number Click a list item to indicate whether the number in the SSN EIN Number SSN EIN Type field represents an SSN or an EIN Click a list item to identify the type of ACATS transfer you are currently Transfer Type processing National Securities Clearing Corporation Page 69 Revised and Posted October 2007 ACATS USER MANUAL Click a list item to choose the applicable withholding information for this fund Withholding Indicator Type the five digit zip code and four digit extension for the registrant s i Zip Code address Account Transfer Disbursement In this field You can Type the American Banking Association
91. idend code from an eight item list Each item displays the dividend code number and manner cash or reinvestment in which payment will be made for dividend payments capital gains and short term capital gains Example 2 Cash Cash Reinvest Dividend Code Na Dividend payments Cash Capital gains Cash Short term capital gains Reinvest Dividend Payee Click the dividend recipient type from a list Executing Broker Type the four digit code to identify the broker executing the delivery Mutual Fund Information Firm Membership Indicator Deliverer Select the type of account that is being delivered either a Broker account or a 01 Trust account Click the type of transfer either Full or Partial Full Partial Transfer This indicator refers to the asset position and whether the entire position full or part of a position partial is being transferred Fund Customer Type the 20 character Fund Customer Account number Account Network Control Indicator Choose how the account will be handled in Networking or indicate that it will not be networked National Securities Clearing Corporation Page 79 Revised and Posted October 2007 ACATS USER MANUAL Type the 20 character New Fund Customer Account number for the receiver This is the new fund account at the receiver the deliverer sends this new account number as proof that the fund is re registered New Fund Customer Account N
92. inter Any laser printer with landscape and compressed printing capabilities Modem 33 6 modem Check with your ISP for support of faster modems ISDN T 1 Internet Browsers IE 6 0 SP1 e 1E5 5 Cipher Strength 128bit e Netscape 4 7with support for 128 bit key strong encryption Operating System e Windows NT e Windows 2000 Other Diskette Drive Note These guidelines are subject to change PCWeb Direct Procedures Table 2 contains a list of procedures excerpted from the PCWeb Direct Manual TABLE 2 PROCEDURES LIST senarconmmr ee sere 6 Input to SIAC Data Review Send To view product options from the Home page move your mouse over the product name National Securities Clearing Corporation Page 2 Revised and Posted October 2007 The Data Review Send page links for that product are located at the bottom of the floating menu FIGURE 1 HOME PAGE ACATS Data REviIEW SEND MENU These pages are e Summary Displays a list of all transactions entered for a specific product e g FITS e Send Displays a list of transactions available for submission to SIAC s DataTrak system Accessing Data Review Send Pages from Transaction Input Pages To access one of a product s Data Review Send pages from a Transaction Input page simply select that page s name from the Go To menu on the right side of the page heading National Securities Clearing Corporation Page 3 Revised and Posted O
93. is data Click to populate your next transaction page with the information you provided on this one You can change any information that differs when entering the subsequent transaction Reset Click to clear all data from the fields without submitting the transfer to PCWeb Direct Submit Click to send the transfer information to PCWeb Direct National Securities Clearing Corporation Page 50 Revised and Posted October 2007 Delete Asset Products Password Preferences Logout Help Transaction Inputs Submit Transfer Information g Required Submitter Number Submitter Original Deliverer Original Receiver C E ACATS Control Number CCYYDDDNNNNNNN Asset Sequence Number Option Category Comments Back Reset Submit ontact Us i Hmportant Legal Information DELETE ASSET PAGE Deleting an Asset 1 On the home page menu point to ACATS The ACATS menu appears 2 Click Delete Asset The Delete Asset page appears Notes All required fields appear in bold followed by a red asterisk A conditional field appears as optional until you type or select information that makes it required National Securities Clearing Corporation Page 51 Revised and Posted October 2007 When a field becomes required a red asterisk appears next to it but the field name will not become bold 3 Type or select information in all required fields and
94. ith fields that appear on this page see Adjust Asset Field Definitions 4 If the asset is a mutual fund type or select information in the Mutual Fund Information section or If the asset is an option type or select information in the Option Information section or If the asset is neither a mutual fund nor an option you do not have to complete either section 5 Check for missed required fields such as conditional fields that may have become required during your data entry 6 Click Fill my next input page with this data to adjust another asset with similar information You can change information that differs when entering the subsequent transfer adjustment 7 Click Submit to finish your transaction or Click Reset to clear all data or Click Back to return to the PCWeb Direct home page This page does not support search functionality all information must be consistent with the original entry aside from the fields that are being edited This creates an entirely new record that overwrites the existing asset record The Adjust Asset function applies to full transfers only The deliverer s cutoff time for adjusting an asset is 2 00 PM EST cycle 4 In order to reference the existing asset record properly you must include the Asset Sequence Number that was provided in the reports produced by the ACATS system Adjust Asset Field Definitions Items appear in alphabetical order Items marked with an asterisk are required Nati
95. ity Number e A3 Non Resident Alien Number e Fl Federal Taxpayer s Identification Number e SB Canadian Social Insurance Number Annuitant 2 last name Type the last name of Annuitant 2 Annuitant 2 middle name annuitant 2 prefix JAnnuitant 2 prefix Type the title Mr Mrs etc that precedes Annuitant 2 s name a JAnnuitant 2 suffix Type the title Type the title Esq Ph D etc that follows Annuitant 2 s name Ph D etc that follows Annuitant 2 s name Contract value as of the last date on which the insurance contract was valued SS ee the date MM DD CCYY brokerage holding the asset For example some insurance assets could have underlying mutual funds or other assets with variable values and the last date these assets were valued is the date that determines the insurance contract value Type the middle name of Annuitant 2 Delivering associated Type the identification number of the delivering associated firm The firm ID delivering associated firm is the correspondent firm of the ACATS clearing member that is processing the ACATS transaction Insurance customer account number deliverer Type the account number of the customer s insurance asset at the delivering firm IRS qualification code Select a code from the 26 available IRS qualification codes Owner 1 first name Type the first name of Owner 1 The owner is the individual who has purchased the insurance contract Owner 1 ID Type the identifi
96. le address click Payables at the bottom of the page before clicking Submit 7 Click Submit to finish your transaction or Click Reset to clear all data or Click Back to return to the PCWeb Direct home page In ACATS the receiver of the transfer is responsible for submitting mutual fund registrations The receiver must submit the fund registration to ACATS while the account is in Review status If ACATS has not received a fund registration for a mutual fund asset with a settling location of 10 Fund SERV by the end of the review period ACATS will generate a default registration and send the default registration to the fund National Securities Clearing Corporation Page 65 Revised and Posted October 2007 The ACATS default registration is comprised of data fields from a firm s ACATS Default Registration Form on file with NSCC and asset information obtained from the deliverer Due to the shorter settlement cycle of non standard ACATS transfers the receiver must submit the fund registration information on the same day that the assets are submitted to ACATS Adding a Payable Address The Payables page appears if you have clicked the Payables checkbox on the bottom of the Fund Registration page before you submitted the registration On this page you can enter payable information that is not covered on the main page This Payable Information page is optional To enter payable information 1 Type all address information in the fiel
97. ling location or if the requested settling location is invalid for either the receiver or the deliverer Firms can select the 00 System Generated settlement location ACATS then determines the valid asset settling location Asset I nformation Choose the settling reason This field is required when the settling location is 35 40 45 or 50 If the settling location is 35 OCC your options are EXPO Expiring Option OPT Option USEC Underlying Security If the settling location is 40 Cash Balance the valid values are CRED Credit Balance DEB Debit Balance If the settling location is 45 Memo the valid values are Settling Reason CASH Underlying Cash Balance COMT Comment SMA Special Miscellaneous Accounting Value USEC Underlying Security If the settling location is 50 R amp D the valid values are RSEC Restricted Security SFK Safekeeping XSET Outside CNS DTC and Fund SERV FCUR Foreign Currency DDEL Delayed Delivery Choose whether the asset is being transferred when issued or not when issued National Securities Clearing Corporation Page 27 Revised and Posted October 2007 ACATS USER MANUAL Mutual Fund Information Choose the format of the customer assets being transferred Click one of the following list items 0 In and Out Book Shares BIN Specified Book Physical Shares 1 In and Out Book Shares FIN Specified 2 In Book Shares Out P
98. mation you provided on this one You can change any information that differs when entering the subsequent transaction Fill my next input page with this data Click to clear all data from the fields without submitting the transfer to PCWeb Direct Click to send the transfer information to PCWeb Direct National Securities Clearing Corporation Page 34 Revised and Posted October 2007 Adjust Asset Gener 2 First Marne Cenar 2 Midde nama Owner 2 Last Marne Cenar 2 Prefix Gener 2 stx Ceres 2 Men maeral Name Owner 210 Owner 2 1D Quales Owner 2 Qualfier Aeran 2 Penn Mame emustarh 2 Media Name Aeresnarh 2 Lan nama Aemustark 2 Prats pemesnarh 2 bahis Aerutark 2 10 Aemustark 2 10 Quelfier Contran murder Contran vabre As Of Date MM osem ADJUST ASSET PAGE To Adjust an Asset 1 On the home page menu point to ACATS The ACATS menu appears 2 Click Adjust Asset The Adjust Asset page appears Notes All required fields appear in bold followed by a red asterisk National Securities Clearing Corporation Page 35 Revised and Posted October 2007 A conditional field appears as optional until you type or select information that makes it required When a field becomes required a red asterisk appears next to it but the field name will not become bold 3 In the Transfer Information section type or select information in all required fields and any applicable optional fields For help w
99. mer Firm or Market Maker Strike Price Fraction Decimal Select the fraction portion of the strike price when it is expressed as a fraction Do not use this field when expressing the fractional amount as a decimal Strike Price Fraction Fraction Enter the integer portion of the strike price for the option in numeric format Strike Price I nteger up to five digits National Securities Clearing Corporation Page 42 Revised and Posted October 2007 ACATS USER MANUAL Asset I nsurance Information Type the first name of Annuitant 1 An annuitant is an individual for whom the insurance was purchased For example if a husband purchased Annuitant 1 First Name an insurance asset to insure his wife and his children were the beneficiaries the husband is the owner the wife is the annuitant and the children are the beneficiaries Annuitant 11D Type the identification number used by Annuitant 1 Annuitant 1 1D qualifier Select the type of identification used by Annuitant 1 that corresponds to Annuitant 1 s identification number Choices are e 34 Social Security Number e A3 Non Resident Alien Number e Fl Federal Taxpayer s Identification Number e SB Canadian Social Insurance Number Annuitant 1 last name Type the last name of Annuitant 1 Annuitant 1 middle name Annuitant 1 prefix Type the title Mr Mrs etc that precedes Annuitant 1 s name Annuitant 1 suffix Type the ti
100. mplete the send process click Submit Confirm After transactions have been submitted to SIAC s DataTrak system for processing a confirmation Figure 8 is returned to the submitter 1DTS053C0 RUN DATE 04 13 04 DATATRAK SYSTEM PAGE 001 RUN TIME 11 01 02 55 WATER STXXNEW YORK NY 10041 INPUT PROGRAM TRANSMISSION STATUS REPORT STATUS INPUT RECEIVED BY SIAC S DATATRAK SYSTEM DETAIL RECORDS RECEIVED 5 HEADER RECORD RECEIVED FIGURE 7 DATATRAK SEND CONFIRMATION Sent Batches Page View To view a batch sent to the DataTrak system Click on a hyperlink in the Batch Number column A detailed batch list will appear To view another batch from a specific Sent Batch page click on the Back button to return to the general Sent Batches page Click on another batch number from the list Re send To re send a rejected batch or a batch lost during transmission Click on the Re send check box to the right of each batch National Securities Clearing Corporation Page 9 Revised and Posted October 2007 ACATS USER MANUAL Click on the Re send button Products Password Preferences Logout Help Transaction Inputs X lt Back Re send p5 Date Batch Number 85004486 14 39 85004487 Re send 4 15 13 85004488 20 32 85004494 12 05 85004550 12 28 4 85004551 16 08 16 30 85004552 85004553 13 20 17 42 850045
101. n about this asset not already Comments covered by the entry fields Create line breaks by pressing ENTER Otherwise your text will be contained on a single line Type the three character ISO Currency Code for the asset This field is Currency Code required when the Asset Pricing Category field reads FCUR Type the International Security Identification Number which consists of a country code a nine character alphanumeric code that identifies the security and an ISIN check digit when the country code is not US Type the three character serial note unit number used to identify Puerto Rican mortgage backed securities Option Category Choose the type of option entered Choose whether the position is short long or not applicable Choose an asset pricing category This field is required unless the Pricing Category requested settling location is 35 OCC 40 Cash Balance or 45 Memo for Cash only MBS Serial Note Type the original quantity of the asset Up to 13 characters can be Quantity entered before the decimal point up to four characters can be entered after the decimal point National Securities Clearing Corporation Page 26 Revised and Posted October 2007 ACATS USER MANUAL Asset I nformation Select a settling location or method if you are acting as the original deliverer The ACATS system overrides your selection if the asset cannot settle in Settling Location the requested sett
102. nce asset at the delivering firm IRS qualification code Select a code from the 26 available IRS qualification codes Owner 1 first name Type the first name of Owner 1 The owner is the individual who has purchased the insurance contract Owner 1 ID Type the identification number used by Owner 1 Owner 1 ID qualifier Select the type of identification used by Owner 1 that corresponds to Owner 1 s identification number Choices are e 34 Social Security Number e A3 Non Resident Alien Number e Fl Federal Taxpayer s Identification Number e SB Canadian Social Insurance Number Owner 1 last name Type the last name of Owner 1 Owner 1 middle name Type the middle name of Owner 1 Owner 1 natural non Select natural indicator e N Natural e X Non Natural Natural indicates an owner who is an individual Non natural indicates an owner that is an institution such as a company or trust Owner 1 non natural Type Owner 1 s non natural name A non natural owner is an institution name such as a company or a trust Owner 1 prefix Type the title Mr Mrs etc that precedes Owner 1 s name National Securities Clearing Corporation Page 32 Revised and Posted October 2007 ACATS USER MANUAL Asset I nsurance Information Owner 1 Qualifier Select a qualifier for Owner 1 A qualifier identifies Owner 1 as a person a corporation a trust etc Owner 1 suffix Type the title Esq Ph D etc that f
103. ng location or if the requested settling location is invalid for either the receiver or the deliverer Settling Location Firms can select the 00 System Generated settlement location ACATS then determines the valid asset settling location Choose the settling reason This field is required when the settling location is 40 45 or 50 If the settling location is 40 Cash Balance the valid value is CRED Credit Balance If the settling location is 45 Memo the valid values are CASH Underlying Cash Balance COMT Comment Settling Reason SMA Special Miscellaneous Accounting Value USEC Underlying Security If the settling location is 50 R amp D the valid values are RSEC Restricted Security SFK Safekeeping XSET Outside CNS DTC and Fund SERV FCUR Foreign Currency DDEL Delayed Delivery Asset I nformation Choose the option that represents why there is residual credit to be Transfer Reason transferred Choose W When Issued to indicate whether the asset is a when issued when sea security or N Not When Issued if it is not National Securities Clearing Corporation Page 120 Revised and Posted October 2007 ACATS USER MANUAL Mutual Fund Information In this field You can Choose the format of the customer assets being transferred Click one of the following list items 0 In and Out Book Shares BIN Specified Book Physical Shares 1 In and Out
104. nship to Owner Select an appropriate beneficiary relationship from the 69 choices available Beneficiary State Type the state where the beneficiary of the insurance asset lives Type the title Esq Ph D etc that follows the beneficiary of the insurance asset Beneficiary Suffix Beneficiary Telephone Number Beneficiary Zip Code Type the zip code of the beneficiary of the insurance asset Select this checkbox to indicate whether or not there are multiple beneficiaries Choices are Type the telephone number of the beneficiary of the insurance asset Multiple Beneficiary Indicator e Y Multiple when there is more than one beneficiary e N Non Multiple when there is a single beneficiary National Securities Clearing Corporation Page 128 Revised and Posted October 2007 ACATS USER MANUAL Representatives Information In this field You can Select e Y All representatives included All Representatives e N No representatives included Included I ndicator Representatives are individuals that have been assigned by the insurance carrier to represent the insurance asset Typically there is one representative for the insurance asset but there can be as many as 99 representatives Primary Representative Allocation Percent format 9 999999999 Type the percentage of the insurance asset allocated to the primary representative This field is required when the All Representative
105. ntered into the ACATS system About Creating an Insurance Registration You create an Insurance Registration IR record to allow broker dealer change request information to be initiated into ACATS Once created the Insurance Registration IR record is forwarded to IPS at the end of the ACATS 24 hour review period if a transfer is accelerated the review period terminates the same day IPS converts the IR record into an IFT Inforce Transaction record and the IFT record is sent to the insurance carrier by IPS The insurance carrier confirms the transaction by sending IPS a customer account transfer CAT transaction with a status of acknowledged hard reject the insurance registration is rejected and must be resubmitted or soft reject the receiving broker can take corrective action within 20 days IPS sends a subset of the CAT transaction to ACATS which sends the information to the receiving and delivering broker dealer National Securities Clearing Corporation Page 124 Revised and Posted October 2007 ACATS USER MANUAL Transfer Information In this field You can Type the 14 digit number assigned to the transaction by ACATS The ACATS control number breaks down as follows e CC the millennium and century of the transfer submission e YY the year of the transfer submission e DDD the Julian date of the transfer submission e NNNNNNN a system assigned sequence number ACATS Control Number CCYYDDDNNNNNNN
106. o finish your transaction or Click Reset to clear all data or Click Back to return to the PCWeb Direct home page Full Transfer Field Definitions Items appear in alphabetical order Items marked with an asterisk are required Note that conditional fields may become required depending upon your selections in other fields These fields will display an asterisk once your selections make them required fields Transfer I nformation TIF In this field You can Choose the customer s account type from a list if you are the original Account Type receiver Type any additional notes or information about this full transfer not already covered by the entry fields Create line breaks by pressing ENTER otherwise your text will be contained on a single line Customer Name Type the customer s name You can enter a maximum of 60 characters Deliverer Customer Type the deliverer s account number for the customer You can enter a Account Number maximum of 20 characters Comments National Securities Clearing Corporation Page 62 Revised and Posted October 2007 ACATS USER MANUAL Original Deliverer Original Receiver Primary SSN Receiver Correspondent Number Receiver Customer Account Number Receiver OCC Broker Number Secondary SSN View choose or type the four digit membership number of the NSCC participant originally delivering the transfer of assets This field differs
107. ollows Owner 1 s name Owner 2 first name Type the first name of Owner 2 A second owner is recorded when the insurance contract is purchased by more than one individual Type the identification number used by Owner 2 Owner 2 ID qualifier Select the type of identification used by Owner 2 that corresponds to Owner 2 s identification number Choices are e 34 Social Security Number A3 Non Resident Alien Number e Fl Federal Taxpayer s Identification Number e SB Canadian Social Insurance Number Type the last name of Owner 2 Owner 2 middle name Type the middle name of Owner 2 Owner 2 natural non Select natural indicator e N Natural e X Non Natural Natural indicates an owner who is an individual Non natural indicates an owner that is an institution such as a company or trust Owner 2 non natural Type Owner 2 s non natural name A non natural owner is an institution name such as a company or a trust Owner 2 prefix Type the title Mr Mrs etc that precedes Owner 2 s name Owner 2 Qualifier Select a qualifier for Owner 2 A qualifier identifies Owner 2 as a person a corporation a trust etc Type the title Esq Ph D etc that follows Owner 2 s name National Securities Clearing Corporation Page 33 Revised and Posted October 2007 ACATS USER MANUAL Click to return to the PCWeb Direct home page Click to populate your next transaction page with the infor
108. onal Securities Clearing Corporation Page 36 Revised and Posted October 2007 ACATS USER MANUAL Note that conditional fields may become required depending upon your selections in other fields These fields will display an asterisk once your selections make them required fields Transfer Information TIF Type the 14 digit ACATS control number It appears on ACATS reports as the ACATS Control Number for the ACATS transfer associated with the current transaction The ccyyddnnnnnnn format breaks down as follows ACATS Control Number cc the millennium and century of the transfer submission CCYYDDNNNNNNN yy the year of the transfer submission ddd the Julian date of the transfer submission nnnnnnn a system assigned sequence number Type the four digit number for the participant that inputs assets for delivery This field differs according to your user type If you are logged in as a participant your participant number appears in Original Deliverer this field by default If you are logged in as a Service Bureau this field becomes a drop down list that contains all participant numbers to which you have access If you are logged in as an NSCC Branch Office this field is empty Type the four digit number for the participant that initiates the transfer and receives the assets Transfer Type The Adjust Asset function only applies to full transfers Original Receiver Asset I nformation
109. or e X Non Natural Natural indicates an owner who is an individual Non natural indicates an owner that is an institution such as a company or trust Owner Non Natural Name Type the name of the non natural owner A non natural owner is an institution such as a company or a trust National Securities Clearing Corporation Page 126 Revised and Posted October 2007 ACATS USER MANUAL Type the title Mr Mrs etc that precedes the name of the owner of the insurance asset Owner State Type the state where the owner of the insurance asset lives Type the title Esq Ph D etc that follows the name of the owner of the insurance asset Owner Prefix Owner Suffix Owner Telephone Number Owner Zip Code Type the zip code of the owner of the insurance asset Type the telephone number of the owner of the insurance asset Beneficiary Information In this field You can Beneficiary Address Line 1 Type the first line of the address of the beneficiary of the insurance asset Beneficiary Address Line 2 Type the second line of the address of the beneficiary of the insurance asset Beneficiary City Type the city where the beneficiary of the insurance asset lives Beneficiary Country Code Type the country code of the beneficiary of the insurance asset Beneficiary DOB MM DD CCYY Beneficiary First Name Type the first name of the beneficiary of the insurance asset
110. ording to the following rules If you are the deliverer and the account is long an option submit the position as a closing sell If you are the deliverer and the account is short an option submit the position as a closing buy Buy Sell If you are the receiver of an account with a long option it will be reflected as an opening sell If you are the receiver of an account with a short option it will be reflected as an opening buy Note The ACATS reports for the receiver and the deliverer will reflect the opposite for the same position ACATS performs the flip internally Comments Type a message of up to 16 characters regarding the transfer of this option Enter the expiration date in mm ccyy format You must include the dashes to separate the month and four digit year Anything else will not register in the system Expiration Date Enter the five digit Options Clearing Corporation Deliverer number This field is required only if the OCC clearing number is different from the NSCC clearing number OCC Deliverer National Securities Clearing Corporation Page 100 Revised and Posted October 2007 ACATS USER MANUAL Indicate whether the option is opening or closing according to the following rules If you are the deliverer and the account is long an option submit the position as a closing sell If you are the deliverer and the account is short an option submit the position as a closing buy I
111. ormation Type the three character serial note unit number used to identify Puerto Rican mortgage backed securities Option Category This field is locked at the value 00 Non Option Position Code Choose whether the position is short long or not applicable Choose an asset pricing category This field is required unless the requested settling location is 35 OCC 40 Cash Balance or 45 Memo for Cash only MBS Serial Note Pricing Category Type the original quantity of the asset Up to 13 characters can be entered before the decimal point up to four characters can be entered after the decimal point Settling Location The settling location for this transfer type is locked at 50 R amp D Since the settling location is locked at 50 R amp D the value for this field is locked at XSET Outside CNS DTC and Fund SERV Transfer Reason Choose the option that represents the reason for this fail When Issued This field is locked at the value N Not When Issued Quantity Settling Reason National Securities Clearing Corporation Page 58 Revised and Posted October 2007 ACATS USER MANUAL Mutual Fund Information Book Physical Shares CDSC Indicator Customer Street Dividend Code Firm Membership Indicator Deliverer Full Partial Transfer In this field You can Dividend Payee Click the dividend recipient type from a list Executing Broker Type the four digit cod
112. ou can enter a maximum of 60 characters Deliverer Customer Account Number Comments Type the deliverer s customer account number You can enter a maximum of 20 characters Type the four digit number for the participant that inputs assets for delivery This field differs according to your user type If you are logged in as a participant your participant number appears in Original Deliverer this field by default If you are logged in as a Service Bureau this field becomes a drop down list that contains all participant numbers to which you have access If you are logged in as an NSCC Branch Office this field is empty Original Receiver Type the four digit number for the participant that will receive the assets National Securities Clearing Corporation Page 83 Revised and Posted October 2007 ACATS USER MANUAL Transfer Information TIF P Type the customer s Social Security number Use a nine digit numeric Primary SSN format without hyphens or spaces Receiver Correspondent Type the four character Receiver Correspondent number Receiver Customer Account Number Type the receiver s customer account number You can enter a maximum of 20 characters Type the five character Receiver Options Clearing Corporation Broker number This field is required only if the OCC clearing number is different from the NSCC clearing number Receiver OCC Broker Number Type the customer s secondary So
113. poration Page 7 Revised and Posted October 2007 ACATS USER MANUAL pcWebdirect OD once Products Password Preferences Logout Help Transaction Inputs Y lt Back Submit rq Send No Action _ menue Record Select All E Select All E Count J gt Custody Re Delivery O Fail Reversal O Full Transfer Partial Transfer Deliverer X Partial Transfer Receiver O Residual Credit 2 Reclaim C C O G c C C 2 Transfer Adjustments Transfer Rejects gt Transfer Accelerates a a Assets Asset Adjustments Asset Deletes cm O cM O fm oO O d 3 Fund Registration Mutual Fund Cleanup O zj NSCC is a wholly owned subsidiary of DTCC3 Contact Us BElsite Map Q Himportant Legal Information FIGURE 6 ACATS SEND PAGE To view edit or delete a transaction listed on this page click on its hyperlink in the Product column Note After a transaction has been sent it can be viewed and printed However it cannot be edited Send Confirm Cycle Send To send a batch or batches to SIAC s DataTrak input system click the option button next to the specific transaction type to be sent Or click on the button from the Send column This prepares all transactions for that transaction type for submission to SIAC National Securities Clearing Corporation Page 8 Revised and Posted October 2007 To co
114. ports Midday ACATS Fund SERV Deliver Instruction Midday ACATS Fund SERV Receive Instruction Midday ACATS Position EOD Member Transaction Report ACATS Settlement Settlement and Option Report s EOD ACATS Deliver Instruction EOD ACATS Receive Instruction EOD National Securities Clearing Corporation Page 11 Revised and Posted October 2007 ACATS USER MANUAL ALAS HS Commicsion Bi ling Correspondent Geocing os E RECAPS PEPITA Funds Stier Networking Profile Dts trethsaten ip ie teed iacoma keculsecry FIGURE 9 HOME PAGE FOCUS ON FILES SECTION View Print and Save 4 To view your reports click on Reports from the Files section of the Home page menu see Figure 10 5 Ifyou are a Branch Office you need to select your participant number Figure 11 Peoducte Paceword Ore ferences Logout Help 1 Subnet 7 Selacta pavtiomantiD snd press ihe Submit duton National Securities Clearing Corporation Page 12 Revised and Posted October 2007 FIGURE 10 PARTICIPANT SELECTION PAGE The Reports page for that participant appears Figure 12 The Reports page contains a list of all reports available for the selected participant If you are a participant you will be brought directly to the Reports page Figure 12 i Preeducte Paewrword Vreferemces Lacpeeil Hela Reports 3 Rt Saaria narticinantiN and pass the Sitmit butte
115. put transactions Chapter 4 contains the following topics e Excerpts from the PCWeb Direct User Manual e Introduction to the ACATS Web Help available on PCWeb Direct e Field definitions and page snapshots from the ACATS Web Help PCWEB DIRECT What is PCWeb Direct PCWeb Direct provides users with direct access to NSCC s Web applications via standard Internet browsers According to each user s product subscriptions PCWeb Direct dynamically generates a custom menu containing only the applications available to that user Functions PCWeb Direct is menu driven and designed to be user friendly The following functions are available e PRODUCTS Data entry applications e PASSWORD Reset user password e PREFERENCES Choose a color scheme and font size for your PCWeb Direct display e LOGOUT Logout of application e HELP Online reference for all PCWeb Direct services Hardware and Software Requirements PCWeb Direct is designed to run on any computer that can support Netscape Communicator v4 7 or Microsoft Internet Explorer v5 x and is capable of connecting to the I nternet Table 1 contains the specifications for running PCWeb Direct TABLE 1 PCWEB DIRECT SPECIFICATIONS Processor Pentium Class PC 350 MHz National Securities Clearing Corporation Page 1 Revised and Posted October 2007 ACATS USER MANUAL Memory 128MB RAM Video 800x600 resolution Monitor 17 color monitor Pr
116. quired fields and any applicable optional fields 4 In the Asset Information section type or select information in all required fields and any applicable optional fields 5 In the Mutual Fund Information section type or select information in all required fields and any applicable optional fields for the asset being cleaned up 6 Check for missed required fields such as conditional fields that may have become required during your data entry 7 Click More Assets to enter additional assets for this mutual fund cleanup When you submit this entry PCWeb Direct will return a page that allows you to add another asset Click More Assets on each subsequent page until you have entered all assets related to this mutual fund cleanup 8 Click Submit to finish your transaction or Click Reset to clear all data National Securities Clearing Corporation Page 74 Revised and Posted October 2007 or Click Back to return to the PCWeb Direct home page The cleanup action that this page performs is to reverse the settlement incentive money charged to the deliverer and credited to the receiver when the original transfer was prepared for settlement The deliverer will provide the new Fund Customer Account Number of the receiver which the deliverer has received from the fund as verification that the new Mutual Fund asset has been re registered into the receiver s account at the fund This transaction is considered a non standard transfer
117. r Type an identifying symbol number for the executing broker National Securities Clearing Corporation Page 70 Revised and Posted October 2007 Disbursement Option ACATS USER MANUAL Type the date to issue the first check for SWP or PAC payments in First Check Date ccyymmdd format Select the method for handling fractional shares during the transfer period Select either to accept fractional shares of a mutual fund or to liquidate the fractional shares and accept cash in lieu of the fractions Fraction Cash in Lieu Account Transfer Disbursement Memo Type up to 12 characters of additional information Monthly Payment Ind Type the monthly payment indicator You can type up to 12 characters Type the percentage of tax to be withheld based on a non resident s NRA Tax Percent pan country of origin Select whether this fund will use pre authorized checks PAC allows drafts to be drawn against a shareholder s bank account for the purpose of purchasing fund shares on a regular basis PAC Select the day of the month on which payments are to be made to the bank account specified on this registration You can also select L for the last day of the month or N for Normal Payment Day Select Fund or Firm to indicate what type of account corresponds to the Related Account I nd Related Account Number field Related Account Number Type the number of the fund or firm account related to this r
118. r the position is cash margin or short Type any additional notes or information about this asset not already covered by the entry fields Create line breaks by pressing ENTER otherwise your text will be contained on a single line Currency Code Type the three character ISO Currency Code for the asset Comments National Securities Clearing Corporation Page 77 Revised and Posted October 2007 ACATS USER MANUAL Type the International Security Identification Number which consists of a country code a nine character alphanumeric code that identifies the security and an ISIN check digit when the country code is not US ISI N Type the three character serial note unit number used to identify Puerto Rican mortgage backed securities Option Category This field is locked at the value 00 Non Option Position Code This field is locked at the value L Long Position Choose an asset pricing category either MFMM Mutual Fund Money Market or MFNM Mutual Fund Non Money Market MBS Serial Note Pricing Category Type the original quantity of the asset Up to 13 characters can be entered before the decimal point up to four characters can be entered after the decimal point Quantity The settling location for this transfer type is locked at 00 System A Ak settling Location Generated ACATS will assign a settling location of 50 R amp D Since the settling location will be assigned as 50 R
119. ration 7 Click Submit to finish your transaction or Click Reset to clear all data or Click Back to return to the PCWeb Direct home page Usually the process for full transfers requires one day for review status one day for Settle Prep status and one day after that for item settlement This process can be accelerated so that Settle Prep occurs on the same day as review status Additionally as the reclaim review period has been expanded to three days it now can be accelerated using this page The original receiver can elect to accelerate a reclaim transfer during the first two days of a reclaim s review period Accelerate Transfer Field Definitions Items appear in alphabetical order Items marked with an asterisk are required Note that conditional fields may become required depending upon your selections in other fields These fields will display an asterisk once your selections make them required fields National Securities Clearing Corporation Page 21 Revised and Posted October 2007 ACATS USER MANUAL Transfer Information TIF Type the 14 digit ACATS control number It appears on ACATS reports as the ACATS Control Number for the ACATS transfer associated with the current transaction The ccyyddnnnnnnn format breaks down as follows ACATS Control Number CCYYDDNNNNNNN cc the millennium and century of the transfer submission yy the year of the transfer submission ddd the Julian date of the
120. re EXPO Expiring Option OPT Option USEC Underlying Security If the settling location is 40 Cash Balance the valid values are CRED Credit Balance DEB Debit Balance If the settling location is 45 Memo the valid values are CASH Underlying Cash Balance COMT Comment SMA Special Miscellaneous Accounting Value USEC Underlying Security If the settling location is 50 R amp D the valid values are RSEC Restricted Security SFK Safekeeping XSET Outside CNS DTC and Fund SERV FCUR Foreign Currency DDEL Delayed Delivery When Issued Choose whether the asset is being transferred when issued or not when issued Mutual Fund Information Book Physical Shares Choose the format of the customer assets being transferred Click one of the following list items 0 In and Out Book Shares BIN Specified 1 In and Out Book Shares FIN Specified 2 In Book Shares Out Physical Note The Broker Account Number BIN and Fund Account Number FIN are supplied on the Fund SERV Transfer Record National Securities Clearing Corporation Page 39 Revised and Posted October 2007 ACATS USER MANUAL Mutual Fund Information Choose the Contingent Deferred Sales Charges CDSC indicator Click one of the following list items 0 Not Applicable if your selection in the Dividend Code field already contains information relating to the type of dividend capi
121. routing number used to direct ABA Routing Number monies to the customer s account Advise funds what to do with the accrual bucket during the transfer period Accruals ae Select either cash to customer delivering firm or process bucket to bucket transfer to receiving firm Accrual Amount Indicator Select whether there is an accrual amount to be added as per the Add Accrual Amount field Indicate if an account utilizes the Automated Clearing House ACH for pen disbursement of funds Type the dollar value amount in relation to accruals mutual fund dividends Bank Account Number Type the bank account number to be used for disbursement Select the applicable type of bank account to which this disbursement is payable checking savings or other Add Accrual Amount Bank Account Type Indicate if a systematic withdrawal or preauthorized check payment CDSC Payment Code should be processed gross or net of any deferred sales charge Select the cost basis method that the receiving firm wants the fund to use when handling liquidations Please note that not all mutual funds offer this option Cost Basis Code Type the actual amount to be disbursed on a monthly basis if applicable Disbursement Amount You can type up to 12 characters Select the actual disbursement method taken during the transfer period for the accrual bucket residuals and cash in lieu resulting from fractional shares Executing Broke
122. rted by product These files are machine readable output MRO only you cannot view them online but you can save these files to a local drive on your computer To save an MRO file 1 Click on the identification number for the file you want to download A Save As dialog box appears prompting you to save the file to a local directory on your PC s hard drive 2 Select the directory to which you want to save the file and click Save Upload Overview The upload feature of PCWeb Direct was originally designed to replace the PC Access capability The upload function allows you to transmit or send an external file created from outside the PCWeb Direct system National Securities Clearing Corporation Page 15 Revised and Posted October 2007 The file must be accessible on a PC from where PCWeb Direct is accessed a user must have a digital certificate installed on the machine where the file to be uploaded is located When a file is uploaded PCWeb Direct picks up the file and sends it to SIAC s DataTrak system All files must be in the proper DTCC format and contain a header record Upon receiving the file SIAC will send a valid confirmation back to the user Please refer to the Confirms section of this user guide for an explanation of DataTrak Confirmation functionality Password Preferences Logout Help Correspondent Cleorieg bes Fixe come FETS RELAPS Fund SPRY Netiror king Dredd Dist r nstion Profile f
123. rticipants to enter review and settle transfers in an efficient and automated environment The service standardizes transfer procedures reduces operating costs and speeds transaction settlements Instruments handled by ACATS include equities corporate and municipal bonds unit investment trusts mutual funds options cash and other investment products ACATS facilitates the accurate and timely transfer of a customer s account while also e Providing uniform time frames standardized reporting and automated control functions e Debiting delivering brokers the full market value of customers securities promoting the timely transfer of assets For account transfers where a bank is the contra side ACATS delivers the assets for no charge e Requiring the customer s Social Security Tax Identification Numbers to enhance the ability of firms to identify individual accounts e Providing an automated transfer initiation procedure that incorporates the industry s effort to eliminate paper documents e Providing automated residual credit processing This allows credits that accumulate after a transfer is completed such as stock or cash dividends to be transferred electronically from the delivering firm to the receiving firm through ACATS e Allowing easy re registration of customers mutual funds assets through the ACATS Fund SERV link ACATS offers several types of deliverer initiated transactions that give participants greater control The re
124. s Fraction Fund Customer Number Margin National Securities Clearing Corporation Page 68 Revised and Posted October 2007 Type the International Security Identification Number which consists of a country code a nine character alphanumeric code that identifies the security and an ISIN check digit when the country code is not US The default country code is US Indicate whether this is a margin account by clicking the appropriate list item ACATS USER MANUAL Click a list item to choose the type of mutual fund transaction you wish to re register Click a list item to indicate whether the fund has a Net Asset Value MF Transaction Type Transfer Information Network Control Indicator Click a list item to indicate how the account will be handled in Networking or to indicate that it will not be networked Type the four digit number for the participant that inputs and delivers the Original Deliverer g assets Type the four digit number for the participant that initiates the transfer Original Receiver f g and receives the assets Type the two digit country code Please refer to the NSCC Fund SERV Override Co ntry Code manual for a list of country codes Override NRA Percentage Type the W8 Override NRA Special Rate the foreign tax rate Type the percentage amount to three decimal places Payable I nfo I ndicator Click a list item to choose the location to wh
125. s Included field has been set to Y All representatives included Primary Representative DOB MM DD CCYY Type the date of birth of the primary representative of the insurance asset Primary Representative ID Type the identification number of the primary representative assigned by the insurance carrier Type the identification number used by the primary representative of the insurance asset Beneficiaries may use their social security number non resident alien number federal taxpayer s identification number or Canadian social insurance number as their ACATS IPS Beneficiary identification number Primary Representative Tax ID Select the type of identification used by the primary representative of the insurance asset that corresponds to the primary representative s identification number Choices are Primary Representative Tax ID Qualifier e 34 Social Security Number A3 Non Resident Alien Number e Fl Federal Taxpayer s Identification Number e SB Canadian Social Insurance Number Representative 2 Allocation Percent format 9 999999999 Type the percentage of the insurance asset allocated to Representative 2 This field is required when the All Representatives Included field has been set to Y All representatives included Representative 2 DOB MM DD CCYY Type Representative 2 s date of birth Type the identification number of Representative 2 assigned by the Representative 2 1D P insuranc
126. s produced by the ACATS system The format is ccyydddnnnnnnn where cc the century when the transfer was submitted Associated ACATS Control Number yy the year when the transfer was submitted ddd the Julian date when the transfer was submitted nnnnnnn a system assigned sequence number Associated Settlement Type the settlement date for the prior associated transfer in mm dd ccyy Date format Type any additional notes or information about this mutual fund cleanup not already covered by the entry fields Create line breaks by pressing ENTER otherwise your text will be contained on a single line Customer Name Type the customer s name You can enter a maximum of 60 characters Deliverer Customer Account Number Comments Type the deliverer s customer account number You can enter a maximum of 20 characters Type the four digit number for the participant that inputs the transaction This field differs according to your user type If you are logged in as a participant your participant number appears in this field by default Original Deliverer If you are logged in as a Service Bureau this field becomes a drop down list that contains all participant numbers to which you have access Type the four digit number for the participant that initiated the original Original Receiver g transfer Type the customer s Social Security number Use a nine digit numeric H Primary SSN format without hyphens or spaces
127. sfer When you submit this entry PCWeb Direct will return a page that allows you to add another asset Click More Assets on each subsequent page until you have entered all assets related to this partial transfer 8 Click Submit to finish your transaction or National Securities Clearing Corporation Page 94 Revised and Posted October 2007 ACATS USER MANUAL Click Reset to clear all data or Click Back to return to the PCWeb Direct home page The receiving participant uses the ACATS Partial Transfer Receiver PTR function to request the assets to be transferred in a partial account transfer This is performed by entering the full TIF and asset information into the input page The deliverer can address the PTR in four ways e By inputting assets to the PTR The deliverer can input assets to the PTR by using the Add Assets page The deliverer should reference the ACATS control number for the PTR when submitting these assets e By taking no action If the deliverer takes no action the PTR will drop off of the ACATS system in three days initial plus two e By rejecting the PTR The deliverer can reject the PTR request by using the deliverer reject codes 01 through 09 The receiver initiator of the PTR can address these responses in two ways e If the deliverer has responded to the PTR by adding assets and the receiver does not reject those submitted assets the PTR will go to Settle Close status at the end of the
128. sidual credit process together with the following transfer types are referred to as nonstandard transfers e Residual Credit Allows the original deliverer to transfer to the original receiver any residual credit balances remaining in the account e Fail Reversal Allows the original deliverer to reverse monies with the original receiver associated with an outstanding fail e Reclaim Allows the original deliverer to initiate the return of an asset from the original receiver e Partial Transfer Receiver PTR Allows the receiver to initiate a partial transfer according to the customer s instructions National Securities Clearing Corporation Page 18 Revised and Posted October 2007 ACATS USER MANUAL e Partial Transfer Deliverer PTD Allows the deliverer to initiate a partial transfer according to the customer s instructions e Mutual Fund Cleanup Allows a deliverer to clean up mutual fund assets that were included in an earlier ACATS transfer but were reregistered outside ACATS The cleanup action will be to reverse the settlement incentive money charged to the deliverer and credited to the receiver when the original transfer was prepared for settlement The deliverer must submit the new fund customer account number of the receiver and the date of the re registration that the deliverer received from the fund as verification that the new mutual fund asset was reregistered into the receiver s account at the fund e
129. ssets This field differs according to your user type If you are logged in as a participant your participant number appears in this field by default If you are logged in as a Service Bureau this field becomes a drop down list that contains all participant numbers to which you have access Original Deliverer If you are logged in as an NSCC Branch Office this field is empty Type the four digit number for the participant that initiated the original Original Recelver transfer and received the assets Type the customer s Social Security number Use a nine digit numeric format without hyphens or spaces Receiver Correspondent Type the four character Receiver Correspondent number Receiver Customer Account Number Primary SSN Type the receiver s customer account number You can enter a maximum of 20 characters Type the five character Receiver Options Clearing Corporation Broker number This field is required only if the OCC clearing number is different from the NSCC clearing number Receiver OCC Broker Number Type the customer s secondary Social Security number Use a nine digit secondary SSN numeric format without hyphens or spaces Asset I nformation In this field You can Type the original dollar amount of the asset Up to 13 characters can be entered before the decimal point up to four characters can be entered after the decimal point For US currency please use only two places after
130. surance Information Type the first name of Annuitant 1 An annuitant is an individual for whom the insurance was purchased For example if a husband purchased Annuitant 1 First Name an insurance asset to insure his wife and his children were the beneficiaries the husband is the owner the wife is the annuitant and the children are the beneficiaries Annuitant 11D Type the identification number used by Annuitant 1 Annuitant 1 1D qualifier Select the type of identification used by Annuitant 1 that corresponds to Annuitant 1 s identification number Choices are e 34 Social Security Number e A3 Non Resident Alien Number e Fl Federal Taxpayer s Identification Number e SB Canadian Social Insurance Number Annuitant 1 last name Type the last name of Annuitant 1 Annuitant 1 middle name Annuitant 1 prefix Type the title Mr Mrs etc that precedes Annuitant 1 s name Annuitant 1 suffix Type the title Esq Ph D etc that follows Annuitant 1 s name Annuitant 2 first name Type the first name of Annuitant 2 Type the middle name of Annuitant 1 National Securities Clearing Corporation Page 89 Revised and Posted October 2007 ACATS USER MANUAL Annuitant 2 ID Type the identification number used by Annuitant 2 Annuitant 2 ID qualifier Select the type of identification used by Annuitant 2 that corresponds to Annuitant 2 s identification number Choices are e 34 Social Secur
131. tal gain and CDSC Indicator short term capital gain 1 Delivering firm will provide info within Networking if the delivering firm provides automated CDSC lot listing information 2 Delivering firm will provide info outside Networking if the delivering firm provides CDSC lot listing information outside the system Click 1 Customer Name if the assets are registered in the customer s Customer Street name or 2 Street Name if the assets are registered in street name Click the dividend code from an eight item list Each item displays the dividend code number and manner cash or reinvestment in which payment will be made for dividend payments capital gains and short term capital gains Example 2 Cash Cash Reinvest Dividend Code _ Dividend payments Cash Capital gains Cash Short term capital gains Reinvest Dividend Payee Click the dividend recipient type from a list Executing Broker Type the four digit code to identify the broker executing the delivery Firm Membership Select the type of account that is being delivered either a Broker account Indicator Deliverer or a 01 Trust account Click the type of transfer either Full or Partial Full Partial Transfer This indicator refers to the asset position and whether the entire position full or part of a position partial is being transferred Click the type of transfer either Full or Partial Full Partial Transfer This indicator refers to the
132. ter a maximum of 20 characters National Securities Clearing Corporation Page 56 Revised and Posted October 2007 ACATS USER MANUAL Transfer Information TIF View choose or type the four digit membership number of the NSCC participant who was the original deliverer of the assets This field differs according to your user type If you are logged in as a participant your participant number appears in Original Deliverer this field by default If you are logged in as a Service Bureau this field becomes a drop down list that contains all participant numbers to which you have access Type the four digit membership number of the NSCC participant that was Original Receiver to receive the transfer of assets Type the customer s Social Security number Use a nine digit numeric i Primary SSN format without hyphens or spaces Receiver Correspondent Number Type the four digit Receiver Correspondent number if the receiving participant is acting on behalf of another party Receiver Customer Account Number Type the receiver s customer account number You can enter a maximum of 20 characters Type the receiver s five character Options Clearing Corporation Broker number This field is required only if the OCC clearing number is different from the NSCC clearing number Receiver OCC Broker Number Type the customer s secondary Social Security number Use a nine digit secondary SSN numeric format
133. tion REJ ECT TRANSFER PAGE Rejecting a Transfer The ACATS Reject Transfer function serves as a way to reject a TIF once it has been submitted 1 On the home page menu point to ACATS The ACATS menu appears 2 Click Reject Transfer The Reject Transfer page appears Notes All required fields appear in bold followed by a red asterisk A conditional field appears as optional until you type or select information that makes it required National Securities Clearing Corporation Page 110 Revised and Posted October 2007 When a field becomes required a red asterisk appears next to it but the field name will not become bold 3 Type or select information in all required fields and any applicable optional fields 4 Type comments about the transfer rejection in the Comments box 5 Check for missed required fields such as conditional fields that may have become required during your data entry 6 Click Fill my next input screen with this data to reject another transfer with similar information You can change information that differs when entering the subsequent transfer rejection 7 Click Submit to finish your transaction or Click Reset to clear all data or Click Back to return to the PCWeb Direct home page Full Transfer Partial Transfer Deliverer Partial Transfer Receiver Residual Credit Reclaim Custody Re Delivery Mutual Fund Cleanups and Fail Reversal requests can be rejected using this page
134. tle Esq Ph D etc that follows Annuitant 1 s name Annuitant 2 first name Type the first name of Annuitant 2 Annuitant 2 ID Type the identification number used by Annuitant 2 Annuitant 2 ID qualifier Select the type of identification used by Annuitant 2 that corresponds to Annuitant 2 s identification number Choices are Type the middle name of Annuitant 1 e 34 Social Security Number e A3 Non Resident Alien Number e Fl Federal Taxpayer s Identification Number e SB Canadian Social Insurance Number Annuitant 2 last name Type the last name of Annuitant 2 Annuitant 2 middle Type the middle name of Annuitant 2 name National Securities Clearing Corporation Page 43 Revised and Posted October 2007 ACATS USER MANUAL Asset I nsurance Information Annuitant 2 prefix Type the title Mr Mrs etc that precedes Annuitant 2 s name Type the title Esq Ph D etc that follows Annuitant 2 s name Contract number Type the contract policy number assigned by the insurance carrier Contract value Type the dollar amount of the contract Contract value as of Type the last date on which the insurance contract was valued by the date MM DD CCYY brokerage holding the asset For example some insurance assets could have underlying mutual funds or other assets with variable values and the last date these assets were valued is the date that determines the insurance contract valu
135. transfer submission nnnnnnn a system assigned sequence number Type any additional notes or information not already covered by the entry Comments fields Create line breaks by pressing ENTER Otherwise your text will be contained on a single line Type the four digit NSCC account number for the deliverer originally Original Deliverer indicated on the transfer View your participant number If you are logged in as a service bureau you can select the applicable participant number in this field Transfer Type Select the transfer type that is being accelerated Full or Reclaim Click to return to the PCWeb Direct home page Click to populate your next transaction page with the information you provided on this one You can change any information that differs when entering the subsequent transaction Original Receiver Fill my next input page with this data Click to clear all data from the fields without submitting the transfer to PCWeb Direct Click to send the transfer information to PCWeb Direct National Securities Clearing Corporation Page 22 Revised and Posted October 2007 Add an Asset Transfer Inform Priding Category EE Position Code C Dong Position zj MBS Serist Note CO m f C U E a Ci N Not a Bearer Bond z N Not When issued FullPartial Transfer Ci book Physical Shares J EO Oste MM e Netvork Control Btrike Price Integer Strike Price Fraction eigh
136. ts Strike Price Fraction dacima sti buysell Dividend Payee Pucali Customer Street Exeoutng Broker Open close Fund Customer Account OCC Deliverer DSC indicator Option Account Type C customer Firm Membership Indicator Oeliverer Sub Account I0 Comments Insurance Customer Account Number Deliverer Owner 2 Owner 1 Natura Men Natural Indicator brinch Owner 1 First Name Owner 2 First Name Owner 2 Middle Owner 1 Middle Name Name Owner 1 Lact Name Ovner 2 tast Name Owner 1 Prefix Owner 2 Prefix j Owner 1 Cuffix Ovner 2 Cuffix I Owner 1 Non Natural Owner 2 Non Natural Name Name z Owners 1D Owner 2 i0 I Owner 1 ID Qualifier 3 Ovner 2 10 Qualifier I Owner t Qualifier Ovner 2 Quolifier f Annuitant 2 First Annuitant 1 Firs Name CRER Annuitant 4 Middle Anautont 2 midia Name Name E Annuitant 2 Last Annuitant 1 Last Name Name Annuitant i Profi Annuitant 2 Prefix Annuitant 1 Suffix Annuitant 2 Suffix Annwitant 1 10 annuitant 2 10 Annuitant 1 10 Annuitant 210 qualifier Qualifier Contract Number Contract Value As Of Date MM DD CCYY ADD ASSET PAGE National Securities Clearing Corporation Page 23 Revised and Posted October 2007 To Add an Asset 1 On the home page menu point to ACATS The ACATS menu appears 2 Click Add Asset The Add Asset page appears Notes All required fields appear
137. ttlement date for the prior associated transfer in mm dd ccyy format Type any additional notes or information about this residual credit not already covered by the entry fields Create line breaks by pressing ENTER otherwise your text will be contained on a single line Customer Name Type the customer s name You can enter a maximum of 60 characters Deliverer Customer Type the deliverer s customer account number You can enter a maximum Account Number of 20 characters Comments National Securities Clearing Corporation Page 117 Revised and Posted October 2007 ACATS USER MANUAL Type the four digit number for the participant that inputs assets for delivery This field differs according to your user type If you are logged in as a participant your participant number appears in this field by default Original Deliverer If you are logged in as a Service Bureau this field becomes a drop down list that contains all participant numbers to which you have access Transfer Information TIF Type the four digit number for the participant that initiated the original Original Recelver transfer and received the assets Type the customer s Social Security number Use a nine digit numeric i Primary SSN format without hyphens or spaces Receiver Correspondent Type the four character Receiver Correspondent number Receiver Customer Account Number Type the receiver s customer account numb
138. ty and an ISIN check digit when the country code is not US ISIN Type the three character serial note unit number used to identify Puerto Rican mortgage backed securities Option Category Choose the type of option entered Position Code Choose whether the position is short long or not applicable Choose an asset pricing category This field is required unless the requested settling location is 35 OCC 40 Cash Balance or 45 Memo for Cash only MBS Serial Note Pricing Category Type the original quantity of the asset Up to 13 characters can be entered before the decimal point up to four characters can be entered after the decimal point Quantity Asset Information Select a settling location or method if you are acting as the original deliverer The ACATS system overrides your selection if the asset cannot settle in the requested settling location or if the requested settling location is invalid for either the receiver or the deliverer Settling Location Firms can select the 00 System Generated settlement location ACATS then determines the valid asset settling location National Securities Clearing Corporation Page 38 Revised and Posted October 2007 ACATS USER MANUAL Asset I nformation Settling Reason Choose the settling reason This field is required when the settling location is 35 40 45 or 50 If the settling location is 35 OCC your options a
139. umber CYYDDDNNNNNNN Transaction Inputs Submit uired Asset Seq Number Natural Indicator Owner First Name Owner Last Name Owner Suffix Owner Non Natural Name Owner Middle Name Owner Prefix Owner DOB MM DD ccyy Owner ID Qualifier Owner Address Line 1 Owner City owner ID Owner Address Line 2 Owner State Owner Zip Code Owner Telephone Number Owner E Mail Address Beneficiary Information Multiple Beneficiary Indicator Owner Country Code Beneficiary Natural Non Natural Indicator Beneficiary First Name Beneficiary Middle Name Beneficiary Last Name Beneficiary Prefix Beneficiary Suffix Beneficiary Non Natural Name Beneficiary DOB MM DD CCYY Beneficiary ID Qualifier Beneficiary ID Beneficiary Address Ene Beneficiary City Beneficiary Zip Code Beneficiary Telephone Number Beneficiary Relationship to Owner Team ID Primary Representative Tax ID Primary Representative DOB MM DD CCYY Primary Representative Allocation Percent Representative 2 Tax ID Representative 2 DOB MM DD CCYY Representative 2 Allocation Percent Representative 3 Tax ID Representative 3 DOB MM DD CCYY Representative 3 Allocation Percent Representative 4 Tax 1D Representative 4 DOB MM DD CCYY Representative 4 Allocation Percent Beneficiary Address Line 2
140. umber Receiver Type the date on which the mutual fund asset was re registered by the ne Registration Date deliverer at the fund in mm dd ccyy format Other Page Items In this field You can Back Click to return to the PCWeb Direct home page Click to enter more assets to this mutual fund cleanup After you submit this transaction the system returns a page where you can enter another asset connected to this TIF More Assets Click to clear all data from the fields without submitting the transfer to PCWeb Direct Submit Click to send the transfer information to PCWeb Direct Reset National Securities Clearing Corporation Page 80 Revised and Posted October 2007 Partial Transfer Deliverer PARTIAL TRANSFER DELI VERER PAGE Entering a Partial Transfer Deliverer Use the ACATS Partial Transfer Deliverer function to request the movement of selected customer assets The delivering firm initiates this transfer request 1 On the home page menu point to ACATS The ACATS menu appears National Securities Clearing Corporation Page 81 Revised and Posted October 2007 7 Click Partial Transfer Deliverer The Partial Transfer Deliverer page appears Notes All required fields appear in bold followed by a red asterisk A conditional field appears as optional until you type or select information that makes it required When a field becomes required a red asterisk appears next to it
141. umber for the participant that inputs assets for delivery This field differs according to your user type If you are logged in as a Participant your participant number appears in If you are logged in as a Service Bureau this field becomes a drop down list that contains all participant numbers to which you have access If you are logged in as an NSCC Branch Office this field is empty National Securities Clearing Corporation Page 25 Revised and Posted October 2007 ACATS USER MANUAL Type the four digit number for the participant that initiates the transfer and receives the assets Original Receiver Choose whether the type of transfer to which you are adding this asset is a Transfer Type full transfer or a partial transfer receiver PTR Asset I nformation Type the original dollar amount of the asset Up to 13 characters can be entered before the decimal point up to four characters can be entered after the decimal point For US currency please use only two places after the decimal point for foreign currency please use four places after the decimal point Type a text description of the asset being transferred Create line breaks by pressing ENTER Otherwise your text will be contained on a single line Asset Description Choose whether a bond is a bearer instrument Cash Margin Short Choose whether the position is cash margin or short Type any additional notes or informatio
142. urity Number e A3 Non Resident Alien Number e Fl Federal Taxpayer s Identification Number e SB Canadian Social Insurance Number Type the last name of Owner 2 Owner 2 middle name Type the middle name of Owner 2 National Securities Clearing Corporation Page 91 Revised and Posted October 2007 ACATS USER MANUAL Owner 2 natural non Select natural indicator e N Natural e X Non Natural Natural indicates an owner who is an individual Non natural indicates an owner that is an institution such as a company or trust Owner 2 non natural name Owner 2 prefix Type the title Mr Mrs etc that precedes Owner 2 s name Owner 2 Qualifier Select a qualifier for Owner 2 A qualifier identifies Owner 2 as a person a corporation a trust etc Type the title Esq Ph D etc that follows Owner 2 s name Type Owner 2 s non natural name Other Page Items In this field You can Back Click to return to the PCWeb Direct home page Click to enter more assets to this partial transfer After you submit this transfer the system returns a page where you can enter another asset connected to this TIF More Assets Click to clear all data from the fields without submitting the transfer to PCWeb Direct Submit Click to send the transfer information to PCWeb Direct Reset National Securities Clearing Corporation Page 92 Revised and Posted October 2007 Partial Transf
143. ust Transfer page appears National Securities Clearing Corporation Page 47 Revised and Posted October 2007 ACATS USER MANUAL Notes All required fields appear in bold followed by a red asterisk A conditional field appears as optional until you type or select information that makes it required When a field becomes required a red asterisk appears next to it but the field name will not become bold 3 Type or select information in all required fields and any applicable optional fields 4 Type comments about the transfer in the Comments box 5 Check for missed required fields such as conditional fields that may have become required during your data entry 6 Click Fill my next input page with this data to adjust another transfer with similar information You can change information that differs when entering the subsequent transfer adjustment 7 Click Submit to finish your transaction or Click Reset to clear all data or Click Back to return to the PCWeb Direct home page The receiver normally uses the Adjust Transfer function when the deliverer has rejected the transfer request with a 24 hour ACATS reject code codes 01 05 When the deliverer rejects the ACATS transfer request with a 24 hour reject code the receiver has a 24 hour period to adjust the TIF information For standard full transfers The receiver uses the Adjust Transfer function to adjust all TIF information fields except the Deliverer
144. without hyphens or spaces Asset I nformation In this field You can Type the original dollar amount of the asset Up to 13 characters can be entered before the decimal point up to four characters can be entered after the decimal point For US currency please use only two places after the decimal point for foreign currency please use four places after the decimal point Amount Type a text description of the asset being transferred Create line breaks by pressing ENTER otherwise your text will be contained on a single line Bearer Bond This field is locked at the value N Not a Bearer Bond Cash Margin Short Choose whether the position is cash margin or short National Securities Clearing Corporation Page 57 Revised and Posted October 2007 Asset Description ACATS USER MANUAL Asset I nformation Type any additional notes or information about this asset not already covered by the entry fields Create line breaks by pressing ENTER otherwise your text will be contained on a single line Comments Type the three character ISO Currency Code for the asset This field is Currency Code required when the Asset Pricing Category field reads FCUR Type the International Security Identification Number which consists of a country code a nine character alphanumeric code that identifies the security and an ISIN check digit when the country code is not US ISI N th Asset I nf
145. y This field is required unless the requested settling location is 40 Cash Balance or 45 Memo for Cash only Option Category Pricing Category Type the original quantity of the asset Up to 13 characters can be entered before the decimal point up to four characters can be entered after the decimal point Quantity Select a settling location or method if you are acting as the original deliverer The ACATS system overrides your selection if the asset cannot settle in the requested settling location or if the requested settling location is invalid for either the receiver or the deliverer Settling Location Firms can select the 00 System Generated settlement location ACATS then determines the valid asset settling location National Securities Clearing Corporation Page 107 Revised and Posted October 2007 ACATS USER MANUAL Choose the settling reason This field is required when the settling location is 40 45 or 50 If the settling location is 40 Cash Balance the valid values are CRED Credit Balance DEB Debit Balance If the settling location is 45 Memo the valid values are CASH Underlying Cash Balance COMT Comment Setting Reason SMA Special Miscellaneous Accounting Value USEC Underlying Security If the settling location is 50 R amp D the valid values are RSEC Restricted Security SFK Safekeeping XSET Outside CNS DTC and Fund SERV FCUR Foreign Curren

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