MDH TRANSMISSION USER GUIDES RELEASE-REQUEST Output Notifications via the MDH System Participant User Guide

Transcription

1 MDH MDH TRANSMISSION USER GUIDES RELEASE-REQUEST Output Notifications via the MDH System Participant User Guide The Depository Trust Company May 2001

2 Copyright 1999, 2000, 2001 by The Depository Trust Company ('DTC'). All rights reserved. This work (including, without limitation, all text, images, logos, compilation and design) is copyrighted, is proprietary, and is intended for the exclusive use of DTC's participants and other authorized users of DTC's services. If this work is received in any electronic medium, authorized users of this work are permitted the limited right to make reproductions and transmissions necessary for downloading and storage of this work on the users' computers. Such users are also permitted to print one or more paper copies from the electronic version for their own use. Other than to this limited extent, no part of this work (including any paper copies thereof or print versions thereof) may be altered, reproduced or distributed (including by transmission) in any form or by any means, or stored in any information storage and retrieval system, without DTC's prior written permission. The Depository Trust Company 55 Water Street New York, N.Y May of 11

3 TABLE OF CONTENTS TABLE OF CONTENTS...3 I. INTRODUCTION...4 II. RELEASE REQUEST NOTIFICATIONS - MDH PROCEDURE...5 III. MDH DATA REQUEST BLOCK - TYPE '07' RECORD FOR 'MDLS' FUNCTION...6 IV. DATA RESPONSE BLOCK FOR RELEASE REQUEST NOTIFICATIONS...7 May of 11

4 I. INTRODUCTION This document describes how MDH system users can receive the newly developed machine-readable Release Request notifications. These records represent a pledgor's request for the release of 'pledged' shares from the pledgee bank. Participant representatives should familiarize themselves with a new DTC document, Interface Control Management General Function User Guide for Messaging Output. That document will describe the MDLS function and how it is to be used. May of 11

5 II. RELEASE REQUEST NOTIFICATIONS - MDH PROCEDURE DTC-eligible participants may use MDH to receive Release Request Notification records. The Function Request will be MDLS in order to request that the records in the queue be sent. 1. The participant will send a Type '07' transmission block containing header information and the parameters required by the MDLS function. These parameters will control the starting point of the transmission and the quantity of records to be received. 2. MDH will validate the header data and sequence numbers and if valid, will fill a Type '08' block with the Release Request records. 3. Once all of the data has been transmitted, a final Type '08' block will be sent containing the value 'END' in the first four positions of the data area, and the function is terminated. The participant can then either send another Type '03' function-request transmission block or log off. See Figures 1 through 3 for the detailed Type '07' and '08' record formats. May of 11

6 III. MDH DATA REQUEST BLOCK - TYPE '07' RECORD FOR 'MDLS' FUNCTION 'Data Request' Block from Participant - Length 86 Bytes Field Name Pos Len Field Attributer TYPE-OF-BLOCK Value '07' TIME-STAMP Time received (HHMMSS) USER-ID Numeric for individual user (e.g ); Alphanumeric for group user (e.g. G ) INDIVIDUAL-USER-NUMBER Entered by Sender from Type '02' logon response LU6.2-TERMID Internal to MDH Filler Value spaces FUNCTION-REQUESTED Value 'MDLS' REQUEST-TYPE Value 'AD', 'OP' or 'OD' FILE-CTL-NUMBER Format: YYYYDDDS START-SEQ-NUM-REQUESTED Numeric 'starting' sequence number desired. MAXIMUM-NUMBER-TO-SEND Numeric number of records desired in this transmission. Figure 1. Data Request Block from Participant May of 11

7 IV. DATA RESPONSE BLOCK FOR RELEASE REQUEST NOTIFICATIONS The '08' response block is variable length and consists of a 70-byte block prefix followed by up to 10 transactions, each preceded by a 4-byte length attribute. The following figures show blocks that are made up of the 70-byte prefix and, the 4-byte length attribute, followed by the Release Request information. Field Name Pos Len Description TYPE-OF-BLOCK Value 'O8' TIME-STAMP Time received (HHMMSS) USER-ID Numeric for individual user (e.g >; Alphanumeric for group user G ) INDIVIDUAL-USER-NUM Internal to MDH LU6.2-TERMID Internal to MDH Filler Value spaces RESPONSE-CODE 'A' or 'R' RESPONSE-REASON-CODE 'A': Not signed on 'B': Past cutoff 'C': Not in 'MDLU' function 'D': Invalid range request 'E': Function incorrect 'M': Message Delivery is down 'P': PTS is down TRANSACTIONS-INBLOCK Number of transactions in this block BLOCK-DATA-LENGTH Length of the data following this field + 4. TRANSACTION-LENGTH Length of following transaction + 4. Value = '295' Filler For DTC internal use only Filler Value spaces RRQ-PARTIC-ACCOUNT Individual participant # RRQ-SYMBOL Destination Symbol Filler Value '-' RRQ-ACCOUNT-SEQ-# Sequence # of the transaction - unique for each account destination RRQ-PFX-TYPE-INDIC Value '*' or '?' 'RRQ-PFX-PROD-INDIC Value 'P' or 'T' RRQ-PFX-RECORD-TYPE Value 'RELREQ' May of 11

8 Field Name Pos Len Description 'RRQ-PFX-REC-SUFFIX Value '01' (multiple records of a set) RRQ-PFX-REC-VERSION Indicates which format-version the record is in. RRQ-PFX-USER-REFNUM For a user-assigned transaction reference number (optional) RRQ-PFX-ADDRESSEE Addressee for which the transaction was entered (if different from the RRQ-PARTIC- ACCOUNT #). RRQ-PROCESS-DATE The DTC processing date of the Release- Request (MMDDCCYY) RRQ-TRANSACTION-TYPE Free Release Request 02 - SDFS Valued Release Request 03 - OCC Release Request 04 - Federal Reserve Bank Part/Non-Part Release Request 05 - NDFS Valued Release Request RRQ-PROCESS-TIME The DTC processing time of the Release- Request (HHMMSS) RRQ-PLEDGEE-BANK# The DTC pledgee bank number RRQ-PLEDGEE-PART# The DTC pledgee participant number (spaces if not available) RRQ-PLEDGOR-PART # The DTC pledgor participant number RRQ-LOAN-DATE The DTC date of the loan (MMDDCCYY) RRQ-CUSIP-NUM The issue's CUSIP number in expanded format: Pos. 1 2 = Country code Pos = CUSIP number Pos. 12 = International check-digit RRQ-CUSIP-DESC The issue's security description. RRQ-QUANTITY-RELEASED The number of shares (units) of the security being requested for release. The COBOL representation is S9(13). RRQ-SECURITY-PRICE The unit price of the securities being released. The COBOL representation is S9(07)v9(07). RRQ-MARKET-VALUE The market value of the securities being released (whole dollars). COBOL representation is S9(13). RRQ-LOAN-VALUE The loan value of the securities being released. The COBOL representation is S9(11)v9(02). RRQ-RELEASE-TYPE Type of release being done. May of 11

9 Field Name Pos Len Description 1 = Delivery 2 = Substitution 3 = Decrease 4 = Release of excess RRQ-RELEASE-STATUS The status of the release. Space = Unapproved by pledgee bank 1 = Authorized by member but unapproved by OCC RRQ-CNS-INDICATOR Pledgor has indicated that the shares are available for CNS processing once released. Space = Not CNS 1 = Available for CNS RRQ-PREV-PEND-IND Pledgor has indicated that it doesn't want the transaction to recycle for SDFS controls once released. Space = Not prevent-pend 1 = Prevent-pend 'on' RRQ-THIRD-PARTY-ID The participant number of the OCC member. RRQ-BANK-ABA-# The ABA number of the bank for which the pledgor is doing the release. RRQ-ABA-DESCRIPTION The ABA description. RRQ-FED-PURPOSE-IND Federal Reserve purpose. Value: 01 = Discount 02 = Treasury tax & loan 03 = Circular 176 public purpose 04 = Book-Entry daylight overdraft 05 = Daylight overdrafts RRQ-SDFS-INDICATOR DTC SDFS indicator. S = SDFS Space = Not SDFS RRQ-ORIGIN-CODE DTC System origination code: 2 = CCF 3= PTS 5=MDH 0=other RRQ-SUB-ISSUE-TYPE Identifies the type of MMI issue. RRQ-MATURITY-DATE The maturity date if this is for an MMI security (MMDDCCYY). May of 11

10 Field Name Pos Len Description RRQ-COMMENTS Freeform comments (non-occ) THE FOLLOWING IS A REDEFINITION OF THE ABOVE FIELD AND IS APPLICABLE ONLY TO OCC RELEASE REQUESTS: 56 OCC-3RD-PARTY Third Party member (SEPARATOR) Value = Slash (/) OCC-ENTRY-TYPE Entry type (optional) S = Specific V = Value (SEPARATOR) Value = slash (/) OCC-ACCOUNT-IYPE Account Type (optional) C = Customer F = Firm (SEPARATOR) Value = slash (/) OCC-CALL/PUT-IND Call/Put indicator (optional) C= Call P = Put (SEPARATOR) Value = slash (/) OCC-TRADING-SYMBOL Trading symbol (SEPARATOR) Value = slash (/) OCC-EXPIRATION-MONTH Expiration month (SEPARATOR) Value = slash (/) OCC-EXPIRATION-YEAR Expiration year (SEPARATOR) Value = slash (/) OCC-SECURITY-PRICE Price of the security (SEPARATOR) Value = slash (/) OCC-SEC-FRAC-PRICE Fractional price of the security (optional) (SEPARATOR) Value = slash (/) OCC-CROSS-REFERENCE Cross reference number (optional) OCC-CUSTOMER-ACCOUNT Customer account (optional) Figure 2. Format of RELEASE REQUEST NOTIFICATION May of 11