Record Detail Page




The Record Detail page allows you to view all of the relevant information for an individual announcement. It contains an overall event summary and is divided into four tabs (1).

Click any tab to see the relevant information:

A floating menu on the right (2) allows you quick access to any section of the record detail page. Click to expand this menu from anywhere on the page.

For reference, click here to see a list of Sub-Issue Type Codes.

 

 

 

 

Event Summary



At the top of the page is a tan Event Summary area. It is visible regardless of the tab you are viewing. It summarizes the event at a high level and provides you with security detail information and the status of the event, allowing you to refer quickly to this data from wherever you are on the event record page.

The information displayed here varies according to the event type. Some information elements are common to all event types, while others are specific to the kind of event they describe. The common information includes the CUSIP, Issue Description, Security Description, Asset Class, and Asset Type.

The Processed at DTCC indicator (1) lets you know whether or not the event is being processed at DTCC. If it is not, then this page is informational only. The DTC and Declared Mandatory/Voluntary indicators (2) let you know whether you need to act on this event.

Numeric codes and acronyms that are not self-explanatory are described on the screen. When you place your mouse over the field, you’ll get an explanation of the data.

At the bottom, you can see the status of the event itself (3). Hover your mouse over the codes to see if this event is Approved, Conditionally Approved, Cancelled, or Deleted.

For additional system data, click the gray arrow (4). Here, you can research timestamps related to the announcement. You can see when the announcement was created, when it was last updated, and how long it will be active.

The Select Action menu (5) allows you to refresh the page, view the audit trail, and request the related ISO 20022 message. You can also search for a CMO factor audit trail or submit a corporate actions related inquiry directly to the WINS system.

 

 

 

Event Details Tab

The Event Details tab provides a wealth of information beyond the event summary, allowing you a full, clear picture of the event.

Notes about this page:

 




Some important sections on this page are detailed below.

 

 

 

Legacy Cross Reference



This section shows the function code this event is being mapped to from the old system, explaining where the event came from. It is especially useful for ISO clients taking ISO 20022 messages as it ties in the old function codes and activity codes and provides the RDP reference number for each.

 

 

 

Event Level



The Event Details tab opens with the Event Level twisty open. It provides you with the relevant dates and processing information for the event itself. Some important fields here include:

 

 

 

Options / Payouts

 


Click the black header line (1) to open this twisty. It contains a full list of the options available on this event.

Click the dark blue header line to open the twisty for each option. The top option is always the default option; information here includes whether the default is a declared default, whether it is a DTC default, and whether it is supported by DTC. If the option has been deleted, the Delete checkbox will be checked (2).

Click the light blue Payout line to open the twisty for each payout option. If the payout option has been deleted, the Delete checkbox will be checked (3).

The Rates and Prices section (4) shows you the DTC Rate and the Declared Rate. Click the field name for either to see source information for the rate.

The Tax Treatment US Sourced Income section (5) shows you the NRA tax codes.

 

 

 

Other Sections

 


Based on the event type, you will see other twisty sections on the list. Some common sections include:

 

 

 

Comments Tab

 


On this tab, you can see the external comments made on this event. These comments generally come from the ISO message and include information such as the reason why an event was cancelled.

 

 

 

Related Events Tab

 


This tab displays any other events that have occurred (or could occur) on the same security. Here, you can see any related event history as well as any possible future events that are expected to occur on the same security.

Click the CA ID (1) to open the Record Detail page for a related event.

You can also compare these events with the current one by selecting the checkboxes next to each and clicking Compare (2). You can compare up to 10 events at a time.



This opens a separate Composite Comparison window that provides a side-by-side comparison of the events’ key data. Data for the current event is presented in the first column (3). This is especially useful for tracking rate histories and P&I factors.

 

 

 

Documentation Tab

 


When relevant, this tab provides you with links to press releases, letters of transmittal, reorganization event prospectuses, ADR Depositary Fees, and any other documentation that relates to this event.

Please note that Important Notices are provided in the Event Level section of the Event Details tab when applicable.

Not all events will have corresponding documentation.

 

 

 

Sub-Issue Type Codes

 

CORPORATE EQUITY

Sub-Issue Type

Description

010

Common Stock

011

Convertible Common Stock

012

Common Stock REIT

020

Preferred Stock

022

Preferred Stock REIT

023

Convertible Preferred Stock

024

Tender Rate Preferred Stock

030

Limited Partnership

040

CMO Denom in "Units" or "Undivided Interest"

041

ABS Denom in "Units" or "Undivided Interest"

042

Issue Denom in "Units" or "Undivided Interest"

102

Auction Rate Preferred Stock (ARPS)

110

American Depositary Receipt (ADR)

111

Depositary Share

112

Municipal Option Call Right

117

Exchange Traded Funds

120

MMI Preferred Stock (in CP-like mode)

121

Equity 144A Designated Investors

125

Sealed Envelope

126

Custody User CUSIP

130

Real Estate Investment Trust (REIT)

700

Package

705

Equity Derivative

710

Option Derivative

720

Warrant

730

Right

760

Mutual Fund

761

Closed End Fund

762

(IMMI) Institutional MMI Mutual Fund Shares

780

Equity Unit

790

Unit Investment Trust (UIT) - Nuveen Only

795

Unit Investment Trust (UIT)

CORPORATE DEBT

Sub-Issue Type

Description

450

GNMA REMIC Securities

451

GNMA Pass-Through Securities

452

GNMA Serial Note Securities

500

Corporate Bond (CB) or Global Bond Corp (GCB)

502

MMI Bankers' Acceptance Note (BA)

504

MMI Institutional Certificates of Deposit

505

Certificated Money Market Instrument

506

Certificated Money Market - Periodic Player

507

Certificates of Deposit

510

CPI Interest at Maturity (IAM) Commercial Paper

511

Periodic Payment Commercial Paper

520

CPI Discount Commercial Paper (CP)

525

MMI Corporate Commercial Paper

526

MMI Corporate VRDO/CP

530

MTN Medium Term Note

531

MMI Deposit Note

532

MMI Medium Term Bank Note

533

MMI Medium Term Note

540

Collateralized Mtge Obligation or Global CMO

541

Asset-Backed Security (ABS) or Global ABS (GABS)

542

Non-CMO/ABS Amortizing Issue

545

Corporate 144A Designated Investors

546

Corporate Other Tax Exempt

550

MMI Short-Term Bank Note

551

Z CPN Denom in Initial Principal Amt

560

MMI Discount Note

571

Corporate Auction Rate Note

572

Convertible Corporate Debt

573

Corporate Variable Mode Obligation (CVMO)

574

Corporate Short-Term Note

575

Corporate Debenture

576

Corporate VRDO / Municipal VRDO (MMD)

577

Corporate Insured Custodial Receipt

578

Tender Rate Note

579

Zero Coupon Bond

601

Government Security

602

Government Trust Certificate

603

Junk and Treasury Growth Receipt (JGR)

610

U.S. Treasury Security

611

U.S. Treasury Bill

612

U.S. Treasury Note

613

U.S. Treasury Bond

620

U.S. Government Agency Security

704

Corporate Debt Derivative

781

Debt Unit

MUNICIPAL DEBT

Sub-Issue Type

Description

310

Municipal Bond

311

Municipal Note

312

Municipal Auction Rate Note (ARN)

313

Municipal Variable Mode Obligation (VMO)

314

Municipal Variable Rate Demand Obligation (VRDO)

315

Municipal Insured Custodial Receipt

320

MMI Municipal VRDO/CP

330

MMI Municipal Commercial Paper

340

Bearer, Callable Zero Coupon Bond

346

Municipal Other Tax Exempt

706

Municipal Derivative

708

Municipal Amortized Issue