Financial Deliveries User Manual
Contents
1. The preliminary assignment allows buyers holders of long positions to determine what they may be in line to receive from the deliveries process Preliminary assignments are continually updated every 5 minutes during 4 00 and 5 00 PM CST on Day 1 of the delivery cycle 20 e Toviewa preliminary assignment select Assignment Preliminary Assignment from the drop down list e The Preliminary Assignment screen appears e Inthe Search Criteria entry area enter your Clearing Firm Exchange Trading Firm Origin and Contract and click on the Search button e The Search results appear displaying any potential assignments at this time Holdings Intents Invoice Assignment Search Criteria Clearing Firm Exchange Trading Firm Origin Contract Intent Date Last Run Time CBT 990 ous 17 200712 T BONDS 1242 2007 02 21 2008 15 07 56 Preliminary Assignments Download to Excel Number of Preliminary Assignment Records Found 5 Buying Firm ae Original p Origin Account Number Contract Trade Date Quantity 17 200712 09 28 2007 250 17 200712 09 25 2007 25 17 200712 09 25 2007 225 8568558 17 200712 10 01 2007 17 200712 10 01 2007 13 Totals 16 Final Assignment e To obtain Final Assignment information select Assignment Final Assignment from the drop down list Final Assignment occurs at 8 00 PM CST on Dayi e The Final Assignment screen will appear Holdings Intents i Assignment Deli2. 33 oc Allocated Bank Instructions 709 709 CUST 280250 67 078 080 00 USD NO BANK INSTRUCTION e After selecting the Intent ID the screen enables selection of CUSIPs and entry of Quantity allocations 14 Holdings Intents Invoice Assignment Deliveries Deliveries Invoice Update Invoice Firm Criteria Clearing Firm Exchange Trading Firm Origin Contract 995 CBT 990 HOUS 17 200712 T BONDS Invoice s Invoice Status UNCONFIRMED Seller Buyer Instructions Instructions 288250 ttt WO BANK INSTRUCTION ttt WO BANK INSTRUCTION Totals 500 Coupon Details Intent Date 12 11 2007 Delivery Date 12 13 2007 Settlement Price 118 71575 Contract Size 100 000 Contract Value 118 713 75 USD Coupon List Coupon Maturity Principal Accrued int Accrued Principal Acc Int Invoice Rate Date Amount Interest Day Days Int Total Total Total 912810EP9 71425 0245 2023 1 1103 131 813 43 USD 19 361413 USD 121 2 342 73 USD 64 906 715 00 USD 1 171 365 00USD 67 078 080 00 USD 912810EQ7 625 0815 2023 1 025 121 686 72USD 16 9836957 USD 121 055 0 00 USD 0 00 USD 0 00 USD 912610E53 750 1145 2024 1 157 137 357 59 USD 20 6043956 USD 29 0 00 USD 0 00 USD 0 00 USD 65 906 715 00USD 1 171 365 00 USD 67 076 080 00 USD e To allocate CUSIPs at the invoice level select the sign next to each intent to expand the intent and view each particular invoice associated to that intent e Select the particular invoice ID and
3. amp CME Group Financial Deliveries User Manual May 2012 Global Operations Education CME Group Table of Contents MT OOUCHOM is 22ccccccscmedecntstcecancauedoundcucaceutstetaduesecesdaceedaeesedateatstcdsdecaeeeededateteendseasdedsieeeadeestcecaseseeds 3 Navigating the Application ia tee rt tre rt te tre re rer tt rer 5 Add Update Bank Instruction ccccccccececececeeeeeeeeeeeeeseeeseeeseueeseeeseeeesauessueeseueeseeesaeeeseeeenes 5 POIO SU e E E A E E E E E E A E A tie 6 AAG By 0 0 2 S soin eeno een E E E ee eee 6 OO ae 1 9 ESTE WIG a a PE RR O A RS E E 10 VIEW POSION LIS qi A a sah EN Omid siete sited 11 AW OCS erasenioenineni nen caesar seyret ven eye 12 OVENI ON qts E E S E S E O E 12 MVOC LI a 13 MOCE SUMA sao anda E E E E Se eee eee eee eee ee eee es 17 Theoretical Invoice scccsancoucguanasedeiancenceuuncded eianauncemunaied esaneunce denotes sinnennsedncverssnmarecesunaverssanasecasdins 19 PASS IO MIME ss an a 20 Preliminary ASSIONIME Meisncseiassncseiassndieieesndsaiasind did gude dd dd dd dd A ands 20 Fna ASS O A Ca a a E a a atiae anai 21 PODON S a a a 23 Contact HAT UTA Og eesti ES A A PSD ode 23 The information within this user guide has been compiled by CME Group for general information purposes only Although every attempt has been made to ensure the accuracy of the information within this user guide CME Group assumes no responsibility for any errors or omissions While CME Group may use
4. assign the correct CUSIP to the invoice e Repeat as necessary Holdings Intents Invoice Assignment Deliveries Deliveries Invoice Update Invoice Firm Criteria Clearing Firm Exchange Trading Firm Origin Contract 709 CBT 709 CUST 17 200712 T BONDS Invoice s Invoice Status UNCONFIRMED Seller Buyer Instructions Instructions 288250 NO BANK INSTRUCTION ttt NO BANK INSTRUCTION Totals 500 Coupon Details Intent Date 12 11 2007 Delivery Date 12 13 2007 Settlement Price 118 71875 Contract Size 100 000 Contract Value 118 718 75 USD Coupon List A Coupon Maturity Principal Accrued Accrued Principal Acc Int Invoice Rate Date Amount Interest Day Int Total Total Total 912610EP9 7125 0245 2023 11103 131 813 43 USD 19 361413 USD 121 2 342 73 USD soo 65 906 715 00 USD 1 171 365 00USD 67 076 080 00 USD 9126810807 6 25 0815 2023 1 025 121 686 72USD 16 9836957 USD 121 2 055 03 USD 0 00 USD 0 00 USD 0 00 USB 912610E53 750 1145 2024 1 157 137 357 59 USD 20 6043956 USD 29 597 53 USD Do 0 00 USD 0 00 USD 0 00 USD Totals 500 65 906 715 00USD 1 171 365 00USD 67 076 080 00 USD 15 e The CUSIP breakdown will appear in the Quantity field as circled above e Prior to confirming the invoice you must ensure that bank instructions exist for the eligible securities you intend to deliver e If the no bank instructions message appears you must enter bank instructions To enter bank instr
5. intent click the Confirm radio button e Select the intent you want to confirm by clicking in the checkbox that precedes it If you wish to confirm all unconfirmed invoices click on the Select All button To clear all selected intents select the Clear All button e Click on the Confirm button 16 Holdings Intents Invoice Assignment Deliveries Deliveries Invoice Invoice List Search Criteria Clearing Firm Exchange Trading Firm Origin Contract Intent Date ALL cer face ALL e 1211 2007 x Side Invoice Status SELL UNCONFIRMED Invoice List saga Download Microsoft Internet Explorer a x re you sure you want to CONFIRM the selected intentis E Last Modified Modified User Date Time Clear All 0 00 USD UNCONFIRMED 02 22 2008 JAJ 11 52 33 709 CUST 286250 67 078 080 00 USD ttt NO BANK INSTRUCTION ee conim Download to Excel SL e Click OK to Confirm or Cancel to quit e The Invoice List will reappear with the status of the selected intent changed to Confirmed oldings Intent Invoice Assignment Deliveries Deliveries Invoice Invoice List Search Criteria Clearing Firm Exchange Trading Firm Intent Date 395 CAT 25 2007 Side Invoice Status SELL UNCONFIRMED Search Invoice List Select All All C cim Dun Humber of Intent s Found 1 clear al All Last r Etem Contract Quantity status Modifies
6. over the menu titles to display the sub menus On the dashboard you can select the Administration Facility or Intent Options The Holdings Inventory and Invoice tabs are not used for the financial option e To view the Items Requiring Action Issues and Stops Current Inventory Earliest Long Dates and Delivery Events select the Clearing Firm Exchange Trading Firm Origin and Product e Click the Search button Administration Facility Holdings Deliveries Deliveries Dashboard Search Criteria Items Requiring Action No records found amp No records found Current Inventory No records found To esaf OO Displays items requiring action based on the Exchange selected Earliest Long Dates No records found a Product Family Delivery Events No records found Navigating the Application There are several ways to navigate from one screen to another From the home page you can click on the hyperlinked names of the functions e Under Holdings the Add Holding s Holding List and Position List functional areas are hyperlinked e Under Intents the Add Intent Intent List and Position List functional areas are hyperlinked e Under Invoice the Invoice List Invoice Summary Theoretical Invoice and Add Update Bank Instruction functional areas are hyperlinked e Under Assignment the Preliminary Assignment and Final Assignment functional areas are hyperlinked e From any screen you
7. the EREP Enterprise Reporting Portal system The list of financial reports includes the following reports DLV200 INTENT AUDIT TRAIL REPORT DLV300 ASSIGNMENT NOTICE REPORT DLV400 FINANCIAL PRODUCTS INVOICE REPORT DLV401 FINANCIAL INVOICE SUMMARY REPORT DLV500 HOLDING LIST REPORT DLV501 HOLDING SUMMARY BY FIRM REPORT DIV502 HOLDING SUMMARY BY DATE REPORT DLV503 HOLDING AUDIT TRAIL REPORT DLV600 DAILY ISSUES AND STOPS REPORT DLV610 ISSUES AND STOPS FACILITY DETAIL REPORT DLV620 ISSUES AND STOPS LOCATION DETAIL REPORT DLV630 MONTH TO DATE ISSUES AND STOPS REPORT DLV660 YEAR TO DATE ISSUES AND STOPS REPORT Contact Information If you have any questions concerning the Financial Delivery System please contact the CME Clearing Delivery Unit at 312 930 3172 23 CME GROUP HEADQUARTERS CME GROUP GLOBAL OFFICES 20 South Wacker Drive New York Washington DC Houston Chicago IL 60606 London Singapore Tokyo cmegroup com S o Paulo
8. the appropriate search criteria and then click on the Search button e The Bank Instruction will appear e Click on the Confirm button mr any vtet i gt o i gret Deliveries Deliveries Bank Maintenance Add Update Bank Instruction Tem Seach Chew erg Fam Ee haje Posion Ass sema CH 4 Eee e 4400 Eua iniia tor CEA teat UT PAS Bard beotitections Detect Do sim ateste ALA leant Asmaa Mastro Comis Bane Catat Prete Create FOTU Comu mad JAJ OCITO e Click OK to confirm or Cancel to save any changes or quit The screenshot displays the results including the user that created the instruction and the second user who confirmed the instruction and the times of creation and confirmation e You can also Delete a Bank Instruction as long as there are no Intents associated with it e To Delete enter the search criteria and click on the Search button e Click the Delete button e A confirmation box will appear e Click OK to proceed with the delete or Cancel to quit e Finally you can copy an existing bank instruction if you d like to create a similar one e Enter the appropriate search criteria then click on the Search button e The existing instruction will appear e Click on Copy to make a copy of this instruction 6 Holding List Add Holdings Clearing members are required to report financial contract holdings and original trade dates for these deliverable positions by the se
9. valid firm numbers or names to display examples in computer based training and user guides the data in all examples is fictitious and is provided for general information purposes only Additionally all examples in this guide are hypothetical used for explanation purposes only and should not be considered investment advice or the results of actual market experience All matters pertaining to rules and specifications herein are made subject to and are superseded by official CME CBOT NYMEX and CME Group rules Current rules should be consulted in all cases 2013 CME Group Inc All rights reserved Global Operations Education Introduction The Deliveries Plus System is a web based application that is used to manage inventory and delivery of all CME Group contracts Deliveries Plus gives users the ability to enter intents and manage their delivery schedules Deliveries Plus component offers the following features Web based delivery processing available through CME Connect Ability to manage your firm s contact information Ability to manage your firm s customer information Delivery intent management Ability to view assignment details Ability to manage delivery schedules and automatically receive notifications throughout the delivery process Ability to download data using Excel in a CSV format Requesting Access If you are new to the Deliveries Plus System please request access by completing the Customer On Line Access R
10. 18 71875 Coupon Maturity Date 024 5 2023 08 15 2023 1115 2024 02 5 2025 08 15 2025 02 5 2026 0845 2026 1115 2026 024 5 2027 Conv Factor 1 1103 1 025 1457 aalala 1 094 1 00 1 0831 1 0557 1 0703 Principal Amount 131 813 43 USD 121 686 72 USD 137 357 59 USD 139 102 76 USD 129 878 31 USD 118 718 75 USD 128 584 26 USD 125 331 38 USD 127 064 68 USD Contract Size 100 000 pede Atirus Int Accrued Interest Day 19 361413 USD 16 9836957 USD 20 6043956 USD 20 7201087 USD 18 6820652 USD 16 3043478 USD 18 3423913 USD 17 8571429 USD 18 0027174 USD 119 119 27 230401 USD 5 2 021 06 USD Do 556 32 USD e 2 465 69 USD 2 223 17 USD e 1 940 22 USD 2 182 74 USD e 482 14 USD Totals 25 Contract Value 118 718 75 USD Principal Total 95 335 75 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 3 295 335 75 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 USD Acc Int Tatal 57 600 25 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 57 600 25 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD OUSD f Invoice Total 3 352 936 00 U 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 3 352 936 00 USD 15 Assignment Preliminary Assignment
11. 3 1145 2024 0215 2025 08 15 2025 02 1 5 2026 08 15 2026 1115 2026 02 5 2027 Intents 1 1103 1 025 1 157 atri 1 094 1 00 1 0831 1 0557 1 0703 131 813 43 USD 121 686 72 USD 137 357 59 USD 139 102 76 USD 129 878 31 USD 118 718 75 USD 128 584 26 USD 125 331 38 USD 127 064 68 USD Invoice Contract Size 100 000 19 361413 USD 16 9836957 USD 20 6043956 USD 20 7201087 USD 18 6820652 USD 16 3043478 USD 18 3423913 USD 17 8571429 USD 18 0027174 USD Assignment 119 119 27 113 Deliveries Deliveries Invoice Theoretical Invoice Coupon Details CUSIP 912810EP9 912810EQ7 912810ES3 912810ET1 912810EV6 91281 0EV 4 912810EX2 912810EY0 912810EZ7 Rate 7 125 6 25 7 50 7 625 6 875 6 00 6 75 6 50 6 625 Search Criteria Exchange Contract Contract Value 116 715 75 USD CUSIP Coupon Maturity Conv Principal Accrued sra Accrued Principal Acc Int Invoice Rate Date Factor Amount Interest Day D Int Total Total Total 2 304 01 USD 25 Z 2 021 06 USD 556 32 USD DJ 2 465 69 USD o 2 223 17 USD DJ 1 940 22 USD TS 2 182 74 USD 48214 USD Do 2 142 32 USD Totals 0 The Updated Theoretical Invoice values and Totals will appear Intent Date 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 00 USD 0 USD cer 17200712 T sonos 12052007 Search Settlement Price 1
12. 6 9836957 USD 119 2 021 06 USD 0 00 USD 0 00 USD 0 00 USD 912810ES3 7 50 1115 2024 1 157 137 357 59 USD 20 6043956 USD 556 32 USD 0 00 USD 0 00 USD 0 00 USD 912810ET1 7 625 0215 2025 1 1717 139 102 76 USD 20 7201087 USD 2 465 69 USD 0 00 USD 0 00 USD 0 00 USD 912810EV6 6 875 0815 2025 1 094 129 578 31 USD 18 6820652 USD 2 223 17 USD 0 00 USD 0 00 USD 0 00 USD 91251 OBVY4 6 00 0215 2026 1 00 118 718 75 USD 16 3043478 USD 1 940 22 USD 0 00 USD 0 00 USD 0 00 USD 912810EX2 6 75 0857 2026 1 0831 128 584 28 USD 18 3423913 USD 2 182 74 USD 0 00 USD 0 00 USD 0 00 USD 912510EY0 6 50 11052026 1 0557 125 331 38 USD 17 8571429 USD 452 14 USD 0 00 USD 0 00 USD 0 00 USD 912810EZ7 6 625 0215 2027 1 0703 127 064 65 USD 18 0027174 USD 2 142 32 USD 0 00 USD 0 00 USD 0 00 USD Totals 0 USD 0 USD 0 USD e To compute a theoretical invoice select Exchange Contract and Intent Date and enter a quantity in the quantity field of the CUSIP from which you wish to compute an invoice You can only select from the current Intent Date or the previous Intent Date e Then click on the Update buiton 19 Coupon Details 912810EP9 912810EQ 912810ES3 912810ET1 912810EV6 91281 0EVY4 912810EX2 912810EY0 912810EZ7 Holdings 7 125 6 25 7 50 7 625 6 875 6 00 6 75 6 50 6 625 Search Criteria Exchange Contract Intent Date cer 17 200712 T sonos 12052007 Settlement Price 118 71575 02 5 2023 08 5 202
13. a Modined JateiTime HOUS 56769 17 200712 269957 117 062 315 00 USN CONFIRMED 13 Invoice Summary e To view the Invoice Summary select Invoice Invoice Summary from the drop down list e The Invoice Summary page will display 17 Holdings Intents Invoice Assignment Deliveries Deliveries Invoice Invoice Summary m Search Criteria Clearing Firm Exchange Trading Firm Origin Contract Intent Date CBT T 990 ind OUS ALL 12 05 2007 Side Invoice Status Group By Buy CONFIRMED DELIVERABLE Search Invoice Details Download to Excel Humber of Invoice Summary Records Found 2 es Detwerabie TO Quantity amount status 17 200712 912810EP9 7 125 02M5 2023 550 73 764 592 00 USD CONFIRMED 17 200712 912610EQ 1 6 25 0815 2023 350 43 297 723 00 USD CONFIRMED e To view the invoice we just created select the following search criteria O O Clearing Firm 995 Exchange CBT Trading firm 990 Origin House Contract 17 200712 T BONDS Intent Date 12 05 2007 Side Sell Invoice Status Confirmed Group by Firm to display firm total or deliverable broken down by CUSIP allocation Then click on the Search button The Invoice Details will appear 18 Holdings Intents Insole Assignment Deliveries Deliveries Invoice Invoice Summary Search Criteria Clearing Firm Exchange Trading Firm Origin Contract Intent Date 395 cat eso Ho
14. can click on the Holdings Intents Invoice or Assignment drop down menus in the upper left hand corner of the screen to switch to another function 5 Add Update Bank Instruction e Select Add Update Bank Instruction from the Invoice drop down menu e The Add Update Bank Instruction page will appear e To update an existing bank instruction enter the Clearing Firm number Exchange and Position Account search criteria then click on the Search button Holdings Intents Invoice Assignment Deliveries Deliveries Bank Maintenance Add Update Bank Instruction Firm Search Clearing Firm Exchange Position Account 995 CBT bud 995 search e FOUND Bank Instruction for CF 995 Ex CBT PA 995 mBank Instructions Delivery Destination BKOFNYCHARCUSN 23456 ABA Humber 125456789 Account Hame Cotioral Contact Name Optional Contact Phone Ootional Created JAJ 02 15 2008 07 03 08 Confirmed Contirm Delete e The existing Bank Instruction will appear with the following confirmation message FOUND Bank Instruction for CF 995 Ex CBT PA 995 e The number 995 represents both the clearing firm CF and position account numbers PA and CBT is the Exchange EX e Make any updates to the Bank Instruction then click on the Save button e To confirm the Bank Instruction a second user must log on and access this Add Update Bank Instruction screen e Enter
15. cond business day prior to the delivery date and every day thereafter 6 e To Add Holdings from the main menu select the Add Holding s hyperlink e The Add Holding s page appears e Select the Exchange Trading Firm and Origin from the drop down menus e Select a contract from the Contract drop down menu e Click on the Select button e The Add Holding s page expands to enable data entry Holdings Intents Invoice Assignment Deliveries Deliveries Holdings Add Holding s Firm Criteria Clearing Firm Exchange Trading Firm Origin Contract 995 CBT 990 HOUS 17 200712 T BONDS Long Position O Current Holding Quantity 0 Quantity Original Trade Date Account Number Cotiona MM DDVYYY i l Original Trade Date Account Number e Enter a quantity the original trade date in mm dd yyyy format and optionally an account number Holdings Intents Invoice Assignment Deliveries Deliveries Holdings Add Holding s Firm Criteria Clearing Firm Exchange Trading Firm Origin Contract 995 CBT 990 HOUS 17 200712 T BONDS Long Position O Current Holding Quantity O Quantity Original Trade Date Account Number Qsiiorz MM DDYYYY 07 22 s 2007 Original Trade Date Account Number e Then click on the Save button The Added Holding will appear below the text entry boxes 7 Viewing the Holding List e To view the Holding List select Holdings Holding List from the drop d
16. dings Intents Invoice Assignment Deliveries Deliveries Holdings Holding List Search Criteria Clearing Firm Exchange Trading Firm Origin Contract 995 C vi 1990 HOUS MESSAGES Holding List Humber of Holding s Found 1 Download to Excel Clearing Trading Original Account Last Modified HOUS 17 200712 07123 2007 3333333 02 08 2006 FCBTS 11 07 30 8 Intents e To Add an Intent Select Intent Add Intent from the Intent drop down list e The Add Intent screen will display e Select a Contract from the drop down list for which you would like to add an intent and click on the Select button Holdings Intents Invoice Assignment Deliveries _Deliverie ies gt Intents Intent Detail Intent Details Firm Criteria Clearing Firm Exchange Trading Firm Origin Contract 995 CBT 990 HOUS 21 200712 10YR NOTES Intent Date 11 30 2007 Delivery Date 12 04 2007 Short Position Total Intent Quantity Quantity Account Number Cotioral Cancel Enter a Quantity Optionally an Account Number can be entered in the appropriate text boxes then click on the Save button You will be asked to confirm the Save Click Ok to Save or Cancel to Quit Note The Quantity field in the Intent Detail screen exists to allow entry of an intent for certificates which the user does not currently have listed in his her inventory If your short positions are less than
17. equest Form available at http Awww cmegroup com clearing files onlineaccess pdf Please fax the completed form to CME Customer Support Group at 312 338 2626 Existing users can log into Deliveries Plus using their Clearing Single Sign on Accessing Deliveries Plus To access Deliveries Plus in Production open your Internet browser Go to http connect cme com Enter your Connect Username and Password Ensure the product selection list is set to CME Portal Click the Login button and the Connect menu will appear Click the Deliveries Plus icon Enter your Clearing Single Sign on using your Deliveries Plus USername and Password select Deliveries from the dropdown list and click Go Firms should use the CME Group Certification Environment for testing purposes To access Deliveries Plus in Certification open your Internet browser Go to http connectcert cme com Enter your Connect Username and Password Ensure the product selection list is set to CME Portal Click the Login button and the Connect menu will appear Click the Deliveries Plus New Release icon Enter your Clearing Single Sign on Username and Password select Deliveries from the dropdown list and click Go 4 Deliveries Dashboard The Deliveries Dashboard is a screen that allows users to be notified of items that require action It also allows users to view delivery information for deliverable products To navigate between screens on the dashboard hover the mouse
18. h Criteria Clearing Firm Exchange Trading Firm Origin Contract Intent Date cet 390 ous 17 200712 T BONDS 12 05 2007 Invoice Status UNCONFIRMED Search m Invoice List Select Al C Cfrm Dwn Humber of Intent s Found 2 Clear All Last Cfrm Quantity Modified E atado Date Time UCs E r pm 99 HOUS 56789 17 200712 269957 0 00 USD UNCONFIRMED 02 15 2008 07 05 39 te r pf 995 930 HOUS 17 200712 269958 0 00 USD UNCONFIRMED 02 15 2008 07 05 39 13 12 CUSIP Selection You can allocate particular CUSIPs to invoices in two different manners either at the intent level or at each particular invoice level In order to allocate CUSIPs at the intent level select the intent ID from the invoice list and enter the quantity of each CUSIP The deliveries system will then allocate the correct number of CUSIPS to each firm within the intent Contact Us Chicago Mercantile Exchange Go Administration Holdings Intents Invoice Assignment Deliveries Deliveries Invoice Invoice List Search Criteria Clearing Firm Exchange Trading Firm Origin Contract Intent Date ALL x cer face faut faut 1211 2007 x Side Invoice Status SELL UNCONFIRMED Invoice List Select All Confirm Download Humber of Intent s Found 1 Clear All All Last Cfrm TMF Intent ID i Modified a Date Time 273616 JAJ HOUS 17 200712 67 078 080 00 USD UNCONFIRMED 02 22 2008 11 52
19. liver in the delivery system At 8 00 p m Central Standard Time CST Clearing runs the Final Assignment process On Day 2 of the delivery process the seller the short firm who entered the Intent must update confirm their financial invoice by 2 00 p m CST 3 00 p m CST on the last invoicing date include the correct bank account information and choose the CUSIP which they plan to deliver to the buyer 12 Also on Day 2 the buyer has to verify the correct bank account information that has been applied to the delivery in which they were assigned The buyer will not be able to see the invoice from the seller until the seller has confirmed it Invoices are processed by Clearing at 4 00 p m once all invoices have been confirmed in the delivery system Invoice List On Day 2 the seller must make any necessary updates to their financial invoices by 3 00 p m e Toconfirm the Invoice select the Invoice drop down menu Invoice List The Invoice List Search Criteria screen will appear e Enter the following Search Criteria in the appropriate text boxes o Select your Clearing Firm o Select the Exchange o Select your Trading Firm o Select the Origin o Select the Contract o Select the Intent Date o Select Sell Side o Select Invoice Status of Unconfirmed o Then click on the Search button o The unconfirmed invoice will display Holdings Intents Invoice Assignment Deliveries Deliveries Invoice Invoice List Searc
20. own menu e The Holding List will appear e f you wish to export the holding list to Excel click the Download to Excel button e A pop up box will ask whether you want to open or save the file Click Open to view the contents of the file or Save to save the file elsewhere Holdings Intents Invoice Assignment Deliveries pelve Holdings Holding List Search Criteria Clearing Firm Exchange Trading Firm Origin Contract EE cer 20 Aous a Search Holding List Humber of Holding s Found 1 Download to Excel to Excel Clearing Trading Original Account Last Modifi ed HOUS 17 200712 OF es2007 III O2 06 2008 FLATS 10 51 02 Contract Original Trade Account N Update Date Update User Begin Quantity Adjustments End Quantity 990 HOUS 17 200712 7 23 2007 3333333 AAAHHH FCBTS 24 0 24 e To adjust your holdings simply enter a new quantity in the New Quantity field Holdings Intents Invoice Assignment Deliveries Deliveries Holdings Holding List Search Criteria Clearing Firm Exchange Trading Firm Origin Contract 235 cer 530 Hous ace v Search Holding List Humber of Holding s Found 1 Download to Excel A Last Clearing Trading Original Account 3 Last Modified E HOUS 17 200712 07 23 2007 3333333 FCBTS e Then press the Enter key A confirmation message will appear stating that your quantity was updated successfully and displaying the new quantity Hol
21. t Quantity 201109 14 0 0 O Intents O 0 O Holdings 201109 1 0 0 0 Intents 0 0 0 Holdings 201109 21 0 0 O Intents 0 0 O Holdings 201109 o 0 0 O Intents 0 0 0 Holdings 201109 26 0 0 O Intents 0 0 0 Holdings 201109 C 201109 0 0 O Intents 0 0 O Holdim DDG 0 0 O intents 0 0 0 Holdings Totals 0 0 0 0 O 0 Records 1 16 of 16 e From the Position List you can view the Contract details by clicking on the hyperlinked Contract name 11 e The Position Detail will display k Search Criteria De Clearing Firm Exchange Position Account Origin Contract 25 201109 SYR NOTES Back Eciearin Position Gross Total geanne o E 9 7 Origin Position Holdingimem Hrm Account A Long Quantity Refresh Download to Excel Gross Difference Total Short Difference Position Long Quantity Short Short No records found e You may Download the position detail to Excel To do this click on the Download to Excel button e A pop up box will ask if you want to open the file or save it elsewhere e Click the Open button to display the contents of the file Gross Position Short Total Intent Quantity Difference 0 10 11 Invoice Overview Day 1 of the delivery process also known as Initial Inventory Day is the first day firms with long positions dates holdings are responsible for reporting their original trade dates in the delivery system Simultaneously firms that are holders of short positions can enter intents to de
22. ts Intent List Search Criteria Clearing Firm Exchange Trading Firm Origin Contract Intent Date EE E ET oes E Intent List Select All Humber of Intent s Found 1 Download to Excel Clear All Clearing Trading Account stat Last Modified Last bea ta Hous 21 200712 my 12 BEG6666 UNASSIGNED 202006 13 13 17 FLATS e The Intent Details will display 10 e You may also elect to download the Intent List to Excel To download the Intent List to Excel click the Download to Excel button You can selectively choose which items to include in the download file by selecting the checkboxes that precede each line or click the Select All button to include all intents Holdings Intents Invoice Assignment Deliveries Deliveries Intents Intent List Search Criteria Clearing Firm Exchange Trading Firm Origin Contract Intent Date ee eos mr IntentLis select AIN Humber of Intent s Found 1 C DownloadtoExcel CRE to Excel D po Riad Al i Trading Contract Quantity Account Last Modified Last Modified Firm Firm Humber Date Time User HOUS 21 200712 256612 BEGG UNASSIGNED 0206 2005 13 13 17 FCATS 10 View Position List e To view the Intents Position List select Intents Position List from the Intents drop down menu e The Position List will display Position List Download to Excel E Ea aie Difference Ena 3 Difference E Long Ps 7 pe Short Total Contract Position holding inten
23. uctions click on the NO BANK INSTRUCTION hyperlink e The Bank Instructions pop up box will appear e Complete the bank instructions then click the Save button Please note that by entering instructions on this screen they will only apply to this particular invoice If you have standard banking instructions you would like used on all following invoices please enter them using the Add Update Bank Instructions on page 8 of this manual e Next ensure that all quantities have been allocated to CUSIPs e Click on the Intent ID number e The Update Invoice screen appears e Enter any unallocated quantities to the CUSIPs you wish then click on the Save button e The Invoice List will reappear displaying the allocated security amounts Holdings Intents Invoice Assignment Deliveries Deliveries Invoice Invoice List ALL CBT Er ALL ALL ALL v 1211 2007 Search Criteria Clearing Firm Exchange Trading Firm Origin Contract Intent Date Side Invoice Status SELL Invoice List Select All C Confirm Download Number of Intent s Found Clear All Last E Cfrm asd Ed TMF Origin Contract Quantity Modified Ec ee Date Time JAJ Iv E 17 200712 275616 67 078 080 00 USD UNCONFIRMED O2 22 2008 11 52 33 anocstea Amount Bank Instructions 709 CUST 288250 500 500 67 075 050 00 USD NO BANK INSTRUCTION e The intent is now ready to be confirmed e To confirm the
24. us 17 200712 T BONDS 12052007 Side Invoice Status Group By SELL conFinmeD Finn Search Invoice Details Download to Excel Humber of Invoice Summary Records Found 1 A 17 200712 117 062 315 00 USD CONFIRMED Totals 117 062 315 00 USD 14 Theoretical Invoice The Theoretical Invoice option allows the user to compute the total invoice amount based on the particular CUSIP chosen but before the actual final invoice is created This is an estimate that is based on actual market data that shows the costs of delivery The CUSIP list updates after 4 15 PM CST daily If the list hasn t yet been updated you will not be able to see the current intent date e o compute a theoretical invoice select Invoice Theoretical Invoice from the drop down list e The Theoretical Invoice page will appear See Next Page Holdings Intents Invoice Assignment Deliveries Deliveries Invoice gt Theoretical Invoice Search Criteria Exchange Contract Intent Date cer 17 200712 T BONDS 12 05 2007 v Search Coupon Details Settlement Price 118 715875 Contract Size 100 000 Contract Value 118 718 75 USD pe Maturity Conv Principal Accrued nt Accrued Principal Acc Int Invoice Date Factor Amount Interest Day Int Total Total Total 91251 0EP9 7125 0215 2023 131 8613 43 USD 19 361413 USD 119 2 304 01 USD 0 00 USD 0 00 USD 0 00 USD 912810EQ7 6 25 0545 2023 1 025 121 686 72 USD 1
25. veries Deliveries gt Assignment gt Final Assignment Search Criteria Clearin irm Exchange Trading Firm CBT Sa 390 ous 17 200712 T BONDS inal Assignments cS Download to Excel Number of Final Assignment Records Found O Selling Firm Account Number Sbi Quantity Trade Date e Select the Clearing firm Exchange Trading Firm Origin Contract Intent Date and Side Buy Sell from the drop down lists in Search Criteria e Then click on the Search button e The Final Assignment information for the selected contract and intent date will display 21 Holdings Intents Invoice Assignment Deliveries Deliveries Assignment Final Assignment Search Criteria Clearing Firm Exchange Trading Firm Origin Contract Intent Date cer 990 Final Assignments Download to Excel e inal A i ment Reco o Selling Firm Contract Quantity Origin Account Number 17 200712 500 Totals 500 e f you wish this information can be downloaded to Excel Click on the Download to Excel button e Click on the Open button to view the data in Excel or click the Save button to save the file e Here are the results after clicking the Open button Buyer Trading Buyer Firm Origin Contract Original Trade Date Quantity seller Clearing Firm Seller Trading Firm Seller Origin Account Number 709 CUST 17 200712 Ofer 200 S00 das s90 Hous Reports All delivery reports are available through
26. your intent quantities you will receive an error that can be overridden or accepted This is a warning to check your intent quantity to confirm it is correct Click OK to save your entry The Add Intent screen will display along with a message that the addition was successfully saved Note the Intent Number that is assigned to the newly added intent Holdings Intents Invoice Assignment Deliveries Deliveries Intents Add Intent Select Firm Criteria Clearing Firm Exchange Trading Firm Origin Contract 395 cer 90 Hous SELECT e Intent 256612 Contract 21 200712 Quantity 10 added successfully o Mercantile Exchange 9 Intent List e To view the Intent List from the Intent drop down menu select Intent List e The Intent List page will display Holdings Intents Invoice Assignment Deliveries Deliveries Intents Intent List Search Criteria Clearing Firmi Exchange Trading Firm Origin Contract Intent Date ES ae shes eer Intent List Select All Humber of Intent s Found 1 Download to Excel Clear al All Clearing Trading Account Last Modified Last Modified HOUS 21 200712 BEGEGGE UNASSIGNED O2082008 13 13 17 FCBTS e From the Intent List you can view the details of an intent by clicking on the hyperlinked Intent ID In order to edit an existing Intent click on the Intent ID to go back to the Add Intent screen Holdings Intenta Invoice Assignment Deliveries Deliveries Inten
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