Trade Verification (V6 Format)

Transcription

1 Trade Verification (V6 Format) General Description File Reference Name: File Contents: Producers/Consumers: Delivery/Production Time: Field Delimiter Rules: Record Delimiter Rules: Charles Schwab Trust Company (CSTC) Trade Verification File contains trade confirmation and account activity information. Generated by CSTC. Sent to Independent Recordkeepers (IRK) via SchwabInstitutional.com. Returned to Independent Recordkeepers around 6:00 AM Eastern. Fields are comma delimited. Character and String fields are surrounded by double quotes. Commas are NOT allowed between quotes. Each record is terminated with a Carriage Return/Line Feed combination, including the last record. Last Updated: September, 2010

2 File Name Detailed Description # Name Width Format Fixed Description 1 File Type 1 X T Identifies File as Trade file. 2 Date 6 MMDDYY Month/Day/Year file was generated. 3 Generation 1 X Fixed at A. 4 Period 1. DOS filename/extension separator. 5 IRK Code 3 XXX The IRK Code. File Name Example T033105A.015 T121799A.012 The first example is a client return file from IRK #015. It was generated on 03/31/2005 and has a generation number of A. The second example is a client return file from IRK #012. It was generated on 12/17/1999 and has a generation number of A. Notes: File name size is based on MS-DOS file name format of 8.3 (8 characters for the file name, a period, 3 characters for the extension). 2

3 Header Record Detailed Description # Name Type Max Starting Format Fixed Description Width Column 1 Record Type String 2 N/A X HD Identifies record as Header Record. 2 File Date String 6 N/A MMDDYY Month/Day/Year file was generated. 3 Sender Code String 3 N/A X CSTC Fixed at CSTC. 4 Iteration Char 1 N/A X Iteration. Fixed at A. 5 Time String 4 N/A HHMM Time file was generated in Hour/Minute format. Format is 24-hour clock using Eastern Time. Header record example "HD","033105","CSTC","A","0026" "HD","121799","CSTC","A","0121" The first Header example shows the file was generated on 03/31/2005 at 00:26 (12:26 AM ET) and has a generation number of A. The second Header example shows the file was generated on 12/17/1999 at 01:21 (1:21 AM ET) and has a generation number of A. The information in the Header Record Field 2 File Date and Field 4 Iteration is the as the Filename. 3

4 Trade Record Detailed Description # Name Type Max Starting Format Fixed Description Width Column 1 Record Type String 2 N/A X TR Identifies record as Trade Record. 2 IRK Code String 10 N/A X IRK Code. Current values will only populate with 3 and pad to the right. 3 Trade Id String 25 N/A X IRK Trade Identifier that was sent in the Trade File from the IRK. 4 Cusip/Symbol String 14 N/A X Contains Cusip if IRK has been setup to receive Cusips. Otherwise Symbol is returned. 5 Plan Id String 10 N/A X Plan Identifier 6 Transaction Type Char 1 N/A X Buy/Sell Identifier. Either B for Buy or S for Sell. 7 Certainty Char 1 N/A X Certainty Identifier. Either D for Dollar or U for Units. 8 Transaction Source String 3 N/A X IRK Processing Code sent in by client that was agreed upon. 9 Price NDP 12 N/A 9(6).9(5) Unit price. 10 Dollar Amount NDP 12 N/A 9(9).9(2) Dollar amount of transaction. 11 Units NDP 15 N/A 9(11).9(3) Share (units) amount of transaction 12 Commission/Load/SEC Fee NDP 10 N/A 9(7).9(2) Commission, Load and SEC Fee where applicable. 13 Dividend Char 1 N/A X R Fixed at R. 14 Trade Date String 6 N/A MMDDYY Trade date. If asset type is equity, this field is blank. 15 Settlement Date String 6 N/A MMDDYY Fixed at six blanks. 16 Settlement Date Type Char 1 N/A X B Fixed at B. 17 Pool Number NW 3 N/A 9 0 Fixed at zero. 18 Designation Char 1 N/A X T Fixed at T. Note: Sort order is Plan Id, Trade Id, Sell first if returning exchange trade where the buy and sell have the same Trade Id. Body record example "TR", 015 "," "," ","PLAN ID A ","B","D","214", ,20.00,0.575,0.00,"R","080999"," ","B",0,"T" "TR", 015 "," "," ","PLAN ID A ","B","D","214", ,10.00,0.769,0.00,"R","080999"," ","B",0,"T" "TR", 015 "," "," ","PLAN ID B ","S","D","214", ,20.00,0.390,0.00,"R","080999"," ","B",0,"T" "TR", 015 "," "," ","PLAN ID B ","B","D","214", ,20.00,0.994,0.00,"R","080999"," ","B",0,"T" 4

5 SA Record Format # Name Type Max Starting Format Fixed Description Width Column 1 Record Type String 2 N/A X SA Identifies record as Activity Record. 2 IRK Code String 10 N/A X Current values will only populate with 3 and pad to the right. 3 CUSIP/SYMBOL String 14 N/A X Cusip if IRK has been setup to receive Cusips. Otherwise Symbol is returned. 4 Plan ID String 10 N/A X Plan Identifier. 5 Receipt/Disbursement Code String 3 N/A X Code list by request. 6 Transaction Code String 3 N/A X Buy, Sell, Div, etc. Code list by request. 7 Certainty Char 1 N/A X D Trade certainty. Fixed at D for dollars. 8 Price NDP 12 N/A 9(6).9(5) Unit price. 9 Dollar Amount NDP 12 N/A 9(9).9(2) Dollar amount of transaction. 10 Units NDP 15 N/A 9(11).9(3) Share (units) amount of transaction. 11 Trade Date String 6 N/A MMDDYY Trade Date. 12 Settlement Date String 6 N/A MMDDYY Settlement Date. Current set the same as Trade Date. 13 Settlement Date Type Char 1 N/A X B T = Trade S = Settle B = Both Current system fixed at B. 14 Commission/Load/SEC NDP 10 N/A 9(7).9(2) Commission, Load and SEC Fee if applicable. 15 Accrued Interest NDP 11 N/A 9(8).9(2) Accrued Interest. 16 Ex-dividend Date String 6 N/A MMDDYY Ex-dividend Date / End Period Date for Daily Accrual Fund. 17 Activity ID String 50 N/A X Multiple use field see below for explanation. 18 Check Number String 10 N/A X Fixed at blank. 19 Designation Char 1 N/A X T Fixed at T. 20 Record Date String 6 MMDDYY Record Date / Begin Period Date for Daily Accrual Fund. 21 Payable Date String 6 MMDDYY Payable Date. 22 Daily Accrual Fund Indicator Char 1 N/A X Y for daily accrual mutual funds, N for all other assets. Note: Field 17 Activity ID a. wdl records, the field represents the unique Disbursement or Distribution Id received in the Automated Distribution and Disbursement File. b. dep records, the field represents the payroll date entered on the Schwab Retirement Center site. c. rev records, the field provides a message Transaction reverses a prior deposit transaction d. fee records, the field state an example indicated the CSTC Invoice amount paid. Sample FEE PAYMENT RECD 09/13/2010 1,

6 Trailer Record Detailed Description # Name Type Max Starting Format Fixed Description Width Column 1 Record Type String 2 N/A TL Identifies record as a Trailer Record 2 Trade Record Count NW 5 N/A 9(5) Count of all "TR" records. 3 SA Record Count NW 5 N/A 9(5) Count of all "SA" records. 4 Trade Unit Total NDP 15 N/A 9(11).9(3) Sum of all "TR" record units 5 Trade Dollar Total NDP 15 N/A 9(12).9(2) Sum of all "TR" record dollar amounts 6 SA Unit Total NDP 15 N/A 9(12).9(3) Sum of all "SA" record units. 7 SA Dollar Total NDP 15 N/A 9(12).9(2) Sum of all "SA" record dollar amounts. Trailer Record example "TL",4412,4552, , , , Record Type TL Trade Record Count 4412 SA Record Count 4552 Trade Unit Total 4,492, Trade Dollar Total 22,523, SA Unit Total 36,007, SA Dollar Total 34,875,

7 Sample Transactions TR Records File Name: T031805A.667 Note: Sort order is Plan Id, Trade Id, Sell first if returning exchange trade where the buy and sell have the same Trade Id. "TR","667 ","sc01 ","02368A489 ","PLAN ID A ","S","D","012", , , ,0.00,"R","031805"," ","B",0,"T" "TR","667 ","sc011 "," ","PLAN ID A","S","U","012", , , ,0.00,"R","031805"," ","B",0,"T" "TR","667 ","sc02 ","94314H709 ","PLAN ID B","S","D","012", , , ,0.00,"R","031805"," ","B",0,"T" "TR","667 ","sc02 "," ","PLAN ID B","B","D","012", , , ,0.00,"R","031805"," ","B",0,"T" "TR","667 ","sc03 ","04314H303 ","PLAN ID C","S","D","012", , , ,0.00,"R","031805"," ","B",0,"T" "TR","667 ","sc05 "," ","PLAN ID C","B","D","012", , , ,0.00,"R","031805"," ","B",0,"T" SA Records File Name: T030105A.667 Note: No sort order. "SA", 667 "," ","PLAN ID"," ","sel","d", , , ,"030105","030105","b",0.00,0.00," "," "," ","T"," "," "," " "SA", 667 "," ","PLAN ID"," ","buy","d", ,361.65,35.666,"030105","030105","b",0.00,0.00,"022805"," "," ","T","020105","022805","Y" "SA", 667 "," ","PLAN ID"," ","sel","d", ,9.68,0.349,"030105","030105","b",0.00,0.00," "," "," ","T"," "," "," " "SA", 667 "," ","PLAN ID"," ","sel","d", ,398.65,14.371,"030105","030105","b",0.00,0.00," "," "," ","T"," "," "," " "SA", 667 "," ","PLAN ID"," ","buy","d", , , ,"030105","030105","b",0.00,0.00,"022805"," "," ","T","020105","022805","Y" "SA", 667 "," ","PLAN ID"," ","sel","d", ,126.46,2.583,"030105","030105","b",0.00,0.00," "," "," ","T"," "," "," " "SA", 667 "," ","PLAN ID"," ","sel","d", , ,78.022,"030105","030105","b",0.00,0.00," "," "," ","T"," "," "," " "SA", 667 "," ","PLAN ID"," ","sel","d", , , ,"030105","030105","b",0.00,0.00," "," "," ","T"," "," "," " "SA", 667 "," ","PLAN ID"," ","sel","d", ,408.19,9.241,"030105","030105","b",0.00,0.00," "," "," ","T"," "," "," " "SA", 667 "," ","PLAN ID"," ","div","d", , ,0.000,"030105","030105","b",0.00,0.00,"022805"," "," ","T","020105","022805","Y" "SA", 667 "," ","PLAN ID"," ","div","d", ,361.65,0.000,"030105","030105","b",0.00,0.00,"022805"," "," ","T","020105","022805","Y" "SA", 667 "," ","PLAN ID"," ","sel","d", ,23.54,0.481,"030105","030105","b",0.00,0.00," "," "," ","T"," "," "," " "SA", 667 "," ","PLAN ID"," ","div","d", , ,0.000,"030105","030105","b",0.00,0.00,"022805"," "," ","T","020105","022805","Y" "SA", 667 "," ","PLAN ID"," ","sel","d", ,18.57,18.570,"030105","030105","b",0.00,0.00," "," "," ","T"," "," "," " "SA", 667 "," ","PLAN ID"," ","sel","d", ,21.69,0.491,"030105","030105","b",0.00,0.00," "," "," ","T"," "," "," " "SA", 667 ","26201H104 ","PLAN ID"," ","buy","d", ,398.65,19.194,"030105","030105","b",0.00,0.00," "," "," ","T"," "," "," " "SA", 667 "," ","PLAN ID"," ","buy","d", , , ,"030105","030105","b",0.00,0.00,"022805"," "," ","T","020105","022805","Y" "SA", 667 "," ","PLAN ID"," ","sel","d", ,156.89,3.205,"030105","030105","b",0.00,0.00," "," "," ","T"," "," "," " "SA", 667 "," ","PLAN ID"," ","buy","d", ,390.67,36.580,"030105","030105","b",0.00,0.00,"022805"," "," ","T","020105","022805","Y" "SA", 667 "," ","PLAN ID"," ","div","d", ,390.67,0.000,"030105","030105","b",0.00,0.00,"022805"," "," ","T","020105","022805","Y" "SA", 667 "," ","PLAN ID"," ","buy","d", ,172.16,4.289,"030105","030105","b",0.00,0.00," "," "," ","T"," "," "," " "SA", 667 "," ","PLAN ID"," ","buy","d", ,174.99,7.213,"030105","030105","b",0.00,0.00," "," "," ","T"," "," "," " Fee Payment Received "SA","036 "," ","CDC "," ","fee","d", ,0.00,0.000,"091310","091310","b",0.00,0.00," ","FEE PAYMENT RECD 09/13/2010 1,121.29"," ","T"," "," "," " Deposit Payments a. Received "SA","015 "," ","ABC ","238","dep","D", , ,0.000,"091310","091310","B",0.00,0.00," "," "," ","T"," "," "," " "SA","015 "," ","DEF ","27","dep","D", ,261.22,0.000,"091310","091310","B",0.00,0.00," "," "," ","T"," "," "," " "SA","015 "," ","DEF ","25","dep","D", , ,0.000,"091310","091310","B",0.00,0.00," "," "," ","T"," "," "," " b. Reversed and reposted "SA","015 "," ","ABC ","238","rev","D", , ,0.000,"091310","091310","B",0.00,0.00," ","Transaction reverses a prior deposit transaction"," ","T"," "," "," " "SA","015 "," ","ABC ","151","dep","D", , ,0.000,"091310","091310","B",0.00,0.00," "," "," ","T"," "," "," " 7

8 Equity Mutual Fund Dividend a. Capital Gain "SA","667 ","68231N743 ","PLAN ID "," ","buy","d", ,252.86,23.435,"030105","030105","b",0.00,0.00,"022805"," "," ","T","022505","022805","N" "SA","667 ","68231N743 ","PLAN ID "," ","div","d", ,252.86,0.000,"030105","030105","b",0.00,0.00,"022805"," "," ","T","022505","022805","N" "SA","667 ","68231N743 ","PLAN ID "," ","div","d", ,304.81,0.000,"030105","030105","b",0.00,0.00,"022805"," "," ","T","022505","022805","N" "SA","667 ","68231N743 ","PLAN ID "," ","buy","d", ,304.81,28.249,"030105","030105","b",0.00,0.00,"022805"," "," ","T","022505","022805","N" b. Capital Gain, Long-Term, and Short-Term "SA","667 "," ","PLAN ID "," ","buy","d", , , ,"030105","030105","b",0.00,0.00,"022805"," "," ","T","022505","022805","N" "SA","667 "," ","PLAN ID "," ","div","d", ,500.00,0.000,"030105","030105","b",0.00,0.00,"022805"," "," ","T","022505","022805","N" "SA","667 "," ","PLAN ID "," ","div","d", ,300.00,0.000,"030105","030105","b",0.00,0.00,"022805"," "," ","T","022505","022805","N" "SA","667 "," ","PLAN ID "," ","div","d", ,200.00,00.000,"030105","030105","b",0.00,0.00,"022805"," "," ","T","022505","022805","N" Daily Accrual Fund Dividend a. Normal Daily Accrual Fund Dividend "SA", 667 "," ","PLAN ID "," ","buy","d", ,36.13,3.563,"030105","030105","b",0.00,0.00,"022805"," "," ","T","020105","022805","Y" "SA", 667 "," ","PLAN ID "," ","buy","d", , , ,"030105","030105","b",0.00,0.00,"022805"," "," ","T","020105","022805","Y" "SA", 667 "," ","PLAN ID "," ","div","d", ,36.13,0.000,"030105","030105","b",0.00,0.00,"022805"," "," ","T","020105","022805","Y" "SA", 667 "," ","PLAN ID "," ","div","d", , ,0.000,"030105","030105","b",0.00,0.00,"022805"," "," ","T","020105","022805","Y" b. Daily Accrual Fund Paying a Capital Gain "SA","667 "," ","PLAN ID "," ","div","d", ,304.81,0.000,"030105","030105","b",0.00,0.00,"022805"," "," ","T","022505","022805","N" "SA","667 "," ","PLAN ID "," ","buy","d", ,304.81,28.249,"030105","030105","b",0.00,0.00,"022805"," "," ","T","022505","022805","N" Equity Mutual Fund Reversal "SA", 667 "," ","PLAN ID "," ","buy","d", ,885.15, ,"030105","030105","b",0.00,0.00," "," "," ","T"," "," "," " "SA", 667 "," ","PLAN ID "," ","div","d", ,863.75,0.000,"030105","030105","b",0.00,0.00," "," "," ","T"," "," "," " "SA", 667 "," ","PLAN ID "," ","buy","d", ,863.75,68.281,"030105","030105","b",0.00,0.00," "," "," ","T"," "," "," " "SA", 667 "," ","PLAN ID "," ","dbt","d", ,885.15,0.000,"030105","030105","b",0.00,0.00,"053003"," "," ","T"," "," "," " Daily Accrual Fund Reversal "SA", 667 "," ","PLAN ID "," ","buy","d", ,36.13,-3.563,"031505","031505","b",0.00,0.00," "," "," ","T"," "," "," " "SA", 667 "," ","PLAN ID "," ","div","d", ,36.13,0.000,"031505","031505","b",0.00,0.00," "," "," ","T"," "," "," " "SA", 667 "," ","PLAN ID "," ","buy","d", ,37.53,4.012,"031505","031505","b",0.00,0.00," "," "," ","T"," "," "," " "SA", 667 "," ","PLAN ID "," ","dbt","d", ,37.53,0.000,"030105","030105","b",0.00,0.00,"030105"," "," ","T"," "," "," " Stock Dividend "SA","667 "," ","PLAN ID "," ","div","d", , ,0.000,"072607","072607","b",0.00,0.00,"070307"," "," ","T"," ", " "," " 8