{"text_format":"3","workbook":"xlsx","n_sheets":14,"sheets":["NSCC Formats","Commission Looping Diagram","Commission Data Dictionary","Submitting Header ","Contra Record","Contract Record #1","Contract Record #2","Fund Record","Contract Party Record","Contract Recipient Record","Commission Reject Code List","Commission Code List","Change Log","COM Cycles"],"not_rendered":{"external_links":2,"defined_names":5},"read":"whole","date_system":"1900"}

{"sheet":"NSCC Formats","index":0,"n_rows":39,"n_cols":12,"rows_kept":39,"merged":[[0,11,0,13],[1,11,1,13],[4,0,5,10],[9,11,9,13],[11,11,11,13],[24,2,25,10],[32,2,33,10],[38,2,38,10]]}
["NSCC COMMISSION RECORD FORMATS",{"$nulls":10},"Submitting Header"]
["Updated: 07/2022",{"$nulls":6},"Change Log",{"$nulls":3},"Contra Record"]
[{"$nulls":11},"Contract Record #1"]
[{"$nulls":11},"Contract Record #2"]
["This document describes the record formats to be used for data submitted in NSCC's proprietary, fixed-length format.  The same formats are also used to transmit the NSCC output.",{"$nulls":10},"Fund Record"]
[{"$nulls":11},"Contract Party Record"]
[{"$nulls":11},"Contract Recipient Record"]
["The following definitions apply to the record layouts.  The column headings are as follows:",{"$nulls":10},"Commission Reject Code "]
[{"$nulls":11},"Commission Code List"]
["Start",null,"The position where the field starts",{"$nulls":8},"Commission Data Dictionary"]
[{"$nulls":11},"Commission Looping Diagram"]
["End",null,"The position where he field ends",{"$nulls":8},"Output Cycles"]
[]
["Length",null,"The length of the field in bytes"]
[]
["Type",null,"The type of field:"]
[null,null,"A/N"," =","Alphanumeric"]
[null,null,"N"," =","Numeric"]
[null,null,"D"," =","Date Format:",null,"YYYYMMDD"]
[]
["Field Name",null,"The name of the field"]
[]
["Description",null,"Field description (format, valid value, conditional requirements, etc.)"]
[]
["Item Number",null,"The corresponding item number from the Data Dictionary documentation."]
[]
[]
["Field Indicator",null,"Indicates whether the field is optional or required:"]
[null,null,"O"," =","Optional"]
[null,null,"M"," =","Mandatory"]
[null,null,"OC"," =","Optional/Conditional"]
[]
["Reject Code",null,"The reject code that indicates this field is invalid, available on the output only.  The reject code field is 12 bytes to hold up to 4, 3-byte reject codes."]
[]
[]
["Test Indicator",null,"P = Production Data; T = Test Data"]
[]
[]
["Filler",null,"Filler is bytes reserved for future fields.  Information should not be submitted in any bytes designated as filler.  DTCC, on output, will delete any informaton in filler, and pass the bytes as spaces to the receiving firm."]

{"sheet":"Commission Looping Diagram","index":1,"n_rows":28,"n_cols":15,"rows_kept":28,"merged":[[6,1,6,21],[7,3,7,21],[9,7,9,21],[10,7,10,18],[11,7,11,21],[12,7,12,21],[27,0,27,1],[27,2,27,3],[27,4,27,5],[27,6,27,7],[27,8,27,9],[27,10,27,11]]}
["COMMISSION LOOPING STRUCTURE"]
[]
["Shown below are the relationships of the segments used for data submitted in NSCC format."]
[]
[]
[]
[null,"20 - Submitting Header - Mandatory - at least 1 - occurrence required for each file."]
[{"$nulls":3},"21 - Contra Header - Mandatory - 1 - occurrence for each contra party sent."]
[{"$nulls":5},"22/Seq01 - Contract Record #1 - Mandatory - (99,999,999 occurrences per Contra Header, at least one is required.)"]
[{"$nulls":7},"22/Seq02 - Contract Record #2 - Optional - (1 occurrence per Contract Record 1)"]
[{"$nulls":7},"22/Seq03 - Fund Record - Optional - (99 occurrences per Contract Record 1)"]
[{"$nulls":7},"22/Seq04 - Contract Party Record - Optional - (99 occurrences per Contract Record 1)"]
[{"$nulls":7},"22/Seq05 - Contract Recipient Record - Optional/Conditional - (25 10 occurrences per Contract Record 1)"]
[{"$nulls":14},"(If item# 2007 is present in 22/01, then this segment is required)"]
{"$rows_empty":13}
["(1)",null,"(2)",null,"(3)",null,"(4)",null,"(5)",null,"(6)"]

{"sheet":"Commission Data Dictionary","index":2,"n_rows":150,"n_cols":12,"rows_kept":150,"merged":[[0,5,0,6],[0,7,0,11],[1,10,1,11]]}
["Item #","Item Name - Loops (repeatable block of elements) or Blocks (non-repeatable block of elements) or Data Elements","Data Element Definition and Use Notes","Allowed Values","Format","Req, Opt, or Cond.",null,"NSCC"]
[{"$nulls":7},"System Code","Record Type","Sequence Number","Position"]
["0000","Header - Submitting Participant",{"$nulls":3},"M","Mandatory"]
["0001","Submitting Participant Number","On input to NSCC, at the file level, this is the carrier's NSCC participant Number. ","NSCC Participant Number","X(4)","M","Mandatory","C",20,"-",4,7]
[]
[]
["0002","IPS Business  Code","Identifies the NSCC Business  for the file. ","COM","X(3)","M","Mandatory","C",20,"-",8,10]
["0003","Transmission Unique ID","Submitters NSCC Participant Number","XXXX","X(30)","M","Mandatory",null,20,"-",11,40]
[null,null,"Date Submitted","YYYYMMDD"]
[null,null,"Time Submitted","HHMMSS"]
[null,null,"Hard Coded File","0001"]
["0004","Reject Code","Used to determine the reason for the rejection.  Output only. ","(See Reject Code list)","X(4)X(3)","O","Optional","C",20,"-",289,300]
["0008","Total  Count","Total number of physical records including header and contra headers.",null,"9(12)","M","Mandatory","C",20,"-",41,52]
["0009","Test Indicator","The originator of this transaction assigns a value to this transaction to say whether it is a TEST or PROD event. This is passed to the contra party and maintained on NSCC's copy of the transaction. There is no settlement consequence for transactions flag","T = Test       or                       P = Production","X(1)","M","Mandatory","C",20,"-",53,53]
["2416","Associated Carrier Company ID","Used to segragate data when there is mulitiple companies or different entities that are using the same Carrier NSCC Participant number.  See Assoicated Carrier ID Standard Usage for more information.","Spaces Allowed if not Used.","X(10)","O","Optional","C",20,"-",54,63]
["1000","Contra Participant Loop",{"$nulls":3},"M","Mandatory"]
["1001","Contra Participant Number","This is the participant number of the firm that is receiving the file.  For COM, this would always be the distributor.","NSCC Participant Number","X(4)","M","Mandatory","C",21,"-",4,7]
["1002","Cycle Start Date","The beginning date for the commissions payouts in this Contra Participant block.","CCYYMMDD","9(8)","M","Mandatory","C",21,"-",32,39]
["1003","Cycle End Date","The end date for the commissions payouts in this Contra Participant block.","CCYYMMDD","9(8)","M","Mandatory","C",21,"-",40,47]
["1004","Reject Code","Used to determine the reason for the rejection.  Output only. ","(See Reject Code list)","X(4)X(3)",null,null,"C",21,"-",289,300]
["1007","Submitted Contract Count","The count of contract commission events originally sent to NSCC by the submitting participant for the specifically targeted contra participant.",null,"9(10)","M","Mandatory","C",21,"-",8,17]
["1008","Delivered Contract Count","The count of contract commission events sent on the Contra Participant by NSCC.  Output only. ",null,"9(10)","M","Mandatory","C",21,"-",18,27]
["1010","Associated Firm I.D.",null,"XXXX","X(4)","M","Mandatory","C",21,"-",8,11]
["1012","Associated Firm Submitted Contract Count","On input to NSCC from the carrier and on output from NSCC to the participant firm, this field is the total count of contracts at the associated firm level.",null,"9(10)","M","Mandatory","C",21,"-",12,21]
["1013","Associated Firm Delivered  Contract Count","On output from NSCC: A) to a firm, this is the number of contracts that passed NSCC's edits and are being forwarded, at the associated firm level. B) To a carrier, this is the number of contracts being rejected back to the carrier.","Must be zero on input","9(10)","M","Mandatory","C",21,"-",22,31]
["2000","Contract Loop",null,null,{"v":99999999,"d":"99,999,999"},"M","Mandatory"]
["2001","IPS Stage Code","Used to determine the stage of a transaction in its life cycle within the IPS system.","(See Code list)","X(3)","M","Mandatory","C",22,"01",26,28]
["2002","Reject Code","Used to determine the reason for the rejection.  Output only. ","(See Reject Code list)","X(4)X(3)","O","Optional","C",22,"01",289,300]
["2003","Reject Source Code","Identifies whether it is NSCC or a participant that is rejecting the input.","N or P","X(1)","OC","Opt./Con","C",22,"01",180,180]
["2004","End Receiving Company ID","Used by the receiving company to determine the internal organizational  'ownership' of the contract. ","A/N","X(20)","O","Optional","C",22,"01",29,48]
["2016","End Receiving Company ID Qualifier","To identify a party by type of organization name and code.","(See Code list)","X(2)","OC","Opt./Con","C",22,"01",49,50]
[{"$nulls":3},"1 = D-U-N-S Number"]
[{"$nulls":3},"9 = D-U-N-S +4"]
[{"$nulls":3},"93 = Code designated by originating organization."]
[{"$nulls":3},"94 = Code assigned by designated organization"]
[{"$nulls":3},"FI = Federal TAX I.D."]
[{"$nulls":3},"MI = Member Identifier Number (NSCC Part. #)"]
["2005","CUSIP Number","Carrier product CUSIP registered with S&P","Required if Contract ID present","X(9)","OC","Opt./Con","C",22,"01",51,59]
["2007","Contract ID","Set by the insurance company, uniquely identifies the policy or contract.","A/N","X(30)","O","Optional","C",22,"01",60,89]
["2008","Transaction Effective Date ","The date of the commissionable event.","CCYYMMDD","9(8)","O","Optional","C",22,"01",90,97]
["2009","Commission Option","Commission option is used to identify the commission rate that will be used.","A/N","X(4)","O","Optional","C",22,"02",91,94]
["2010","Distributor’s Account ID","Customer Account number at the firm. ","A/N","X(30)","O","Optional","C",22,"02",26,55]
["2011","Valuation Date","The 'trail commission' date on which the policy is priced at the current value to determine the current commission amount.   The Valuation Date field should be populated only for Trail Commissions.  For other commission types, this date is not significant and is not applicable.","CCYYMMDD","9(8)","O","Optional","C",22,"02",56,63]
["2012","NSCC Control Number","The originator of this transaction assigns a control number according to an NSCC provided algorithm. This number is maintained by NSCC and by the contra-parties.","First 4 Bytes = a participant #, Next 6 Bytes = Extended Ordinal Date, Next 10 Bytes = Sequence Number","X(20)","M","Mandatory","C",22,"02",6,25]
["2013","Distributor's Transaction ID","The Distributor originator of this transaction assigns an internal identifier to the transaction that may be shared with the NSCC and the contra party, this may also be used to store the Case # at the broker's discretion. ","A/N","X(30)","O","Optional","C",22,"02",121,150]
["2060","Commission Basis Reason Code","For Compensation, Commission, or Bonus, the type of transaction (Payment, Advance or adjustment) and its base (premiums, investments, current asset value). ","(See Code list)","X(3)","M","Mandatory","C",22,"01",173,175]
["2065","Commission Basis Amount Debit/Credit Indicator",null,"(See Code list)","X(1)","M","Mandatory","C",22,"01",156,156]
["2061","Commission  Basis Amount ","Gross amount of related transaction or assets or premiums that is the base on which this commission calculation was done. ",null,"9(14)v99","M","Mandatory","C",22,"01",157,172]
["2062","Commission Rate","Percentage that when applied to the Commission Basis Amount produces the Calculated Commission Amount.",null,"9v9(9)","O","Optional","C",22,"02",64,73]
["2066","Calculated Commission Amount Debit/Credit Indicator",null,"(See Code list)","X(1)","OC","Opt./Con","C",22,"02",74,74]
["2063","Calculated Commission Amount","Equals the Commission Basis Amount times the Commission Rate. Analogous to the full load on mutual funds.",null,"9(14)v99","O","Optional","C",22,"02",75,90]
["2067","Net/ Prepaid Commission Amount  Debit/Credit Indicator",null,"(See Code list)","X(1)","M","Mandatory","C",22,"01",139,139]
["2064","Net/Prepaid Commission Amount ","Represents the amount that was previously netted or prepaid by the insurance carrier. This may be less than (the agent or producer’s amount only) or equal to the Calculated Commission Amount.  ","Zeros Accepted","9(14)v99","M","Mandatory","C",22,"01",140,155]
["2422","Paydown Amount Remaining","The remaining commission amount to secure towards the overall annualized commissions earned","Zeros Accepted - Spaces if not used","9(14)v99","O","Optional","C",22,"01",241,256]
["2071","Total Premium Amount Qualifier","This field is the Qualifier for the Total Premium Amount.  Needed for ANSI format only.","GX","X(02)","O","Optional","N/A","N/A","N/A","N/A","N/A"]
["2072","Total Premium Amount","This field can accommodate companies whose commissions are based upon premium bands and needs this field to calculate the commission percentage and dollar amounts to be paid.",null,"9(14)v99","O","Optional","C",22,"02",151,166]
["2073","Total Premium Amount  Debit/Credit Indicator","Note: When the \"Total Premium Amount\" is ZERO, DO NOT SEND THE DEBIT/CREDIT indicator - SPACE this field.","(See Code list)","X(01)","OC","Opt./Con","C",22,"02",167,167]
["2074","Commission Extension","Used to identify multiple releases of the same Annuity Product (same CUSIP) which may have different commission schedules associated with it.  Mutually defined by Trading Partners.","A/N","X(10)","O","Optional","C",22,"02",168,177]
["2075","Premium Payment Mode","Used to identify the frequency of premium payments made to the contract. ","A/N","X(2)","O","Optional","C",22,"02",178,179]
["2078","Commissionable Expected Premium","The agreed amount expected in the stated duration to allow the commission basis to be based. ","N","9(14)v99","O","Optional","C",22,"02",180,195]
["2079","Commissionable Expected Duration","The stated duration period in which the agreed amount expected will be paid by the policy owner.  Required if 2078 is populated.","N","X(2)","OC","Opt./Con","C",22,"02",196,197]
["2080","Commission Expected Duration Qualifier","Qualifies the stated duration period.   Required if 2078 is populated.","(See Code list)","X(1)","OC","Opt./Con","C",22,"02",198,198]
["2076","Product Type Code","The product being reported on at the contract level.","(See Code list)","X(3)","M","Mandatory","C",22,"01",181,183]
["2077","Trail Frequency Indicator","Used to report frequency mode of a particular trail commission transaction.","(See Code list)","X(2)","O","Optional","C",22,"01",184,185]
["2090","Settlement Date","Used by the carrier to indicate when the settlement should occur.  This field can be filled or left with spaces.  If next available settlement is required, recommedation is to fill with spaces.  In this case, NSCC will fill settlements date on output to Broker/Dealer.  If specific settlement date is required, enter valid date.  Settlement dates can be forwarded upto 5 business days in advance. ","CCYYMMDD","9(8)","O             ","Optional       ","C",22,"01",98,105]
["2014","Process Date","Date the commission is processed at the Insurance Carrier.","CCYYMMDD","9(8)","O","Optional","C",22,"01",106,113]
["2015","Policy Effective Date","Date on which duration, anniversary and commison events are calculated.","CCYYMMDD","9(8)","O","Optional","C",22,"01",114,121]
["2017","Not in Use"]
["2018","Non-NSCC Settlement Amount Debit/Credit Indicator",null,"See Code List","X(1)","OC","Opt./Con","C",22,"01",187,187]
["2019","Non-NSCC Settlement Amount ","Actual amount of funds that will be transferred outside of the NSCC Settlement system.  Specifially used for Data Services Only (DSO) firms to indicate what the wire or check amount will be.","N","9(14)v99","O","Optional","C",22,"01",188,203]
["2020","Group Number","Used to identify group or plan number associated with the individual contract number. Can be used to indicate a supplementary contract id such COLI number.","A/N","X(30)","O","Optional","C",22,"01",204,233]
["2415","Coverage Duration","Used to indicate what the commission rate is based on, when calculating the base rider and increase riders.  Generally used for life insurance.","NNN","9(3)","O","Optional","C",22,"01",234,236]
["2091","Contract Owner Residence Jurisdiction","State or jurisdiction of the contract owner.","A/N","X(2)","OC","Opt./Con","C",22,"01",176,177]
["2092","Application Signed Jurisdiction","State or jurisdiction where the transaction settles. ","A/N","X(2)","OC","Opt./Con","C",22,"01",178,179]
["2095","NSCC Settling Amount Debit/Credit Indicator","Whether the IPS settling amount between the participant and NSCC for this event is a net debit or credit to the participant.","(See Code list)","X(1)","M","Mandatory","C",22,"01",122,122]
[2096,"NSCC Settling Amount ","The amount being settled between NSCC and the participant for this commission event. ","Zeros Accepted","9(14)v99","M","Mandatory","C",22,"01",123,138]
[2420,"Commission Duration  ","Used to identify the duration (# of days, months, quarters,  or years) that is used to calculate the payment due to the identified commission receipient.","A/N","X(3)","O","Optional","C",22,"01",237,239]
[2421,"Commission Duration Qualifier","Used to quantify what the meaning of the digits are in the Commission Duration field (item #2420)","(See Code list)","X(1)","OC","Opt./Con","C",22,"01",240,240]
["2100","Fund Loop",null,null,"LE 100","O","Optional"]
["2101","CUSIP/Fund ID","Unique identifier for the product or plan(CUSIP only) or  for the underlying assets of these (CUSIP for the product or plan involved + the carrier-created fund identifier.","A/N","X(19)","M","Mandatory","C",22,"03",26,44]
["2102","Commission Basis Amount","Gross amount of related transactions or assets or premiums that is the base on which this commission calculation was done. ",null,"9(14)v99","M","Mandatory","C",22,"03",45,60]
["2103","Commission Rate","Percentage that when applied to the Commission Basis Amount produces the Earned Commission Amount.",null,"9v9(9)","O","Optional","C",22,"03",63,72]
["2104","Calculated Commission Amount",null,null,"9(14)v99","M","Mandatory","C",22,"03",73,88]
["2105","Commission Basis Amount Qualifier",null,"TP","X(2)","M","Mandatory","C",22,"03",61,62]
["2106","Calculated Commission Amount Debit/Credit Indicator",null,"(See Code list)","X(01)","M","Mandatory","C",22,"03",89,89]
["2107","Commission Basis Amount Debit/Credit Indicator",null,"(See Code list)","X(01)","M","Mandatory","C",22,"03",90,90]
["2108","Mutual Fund CUSIP Number","CUSIP Number of mutual fund that underlying security is tied to.","A/N","X(09)","O","Optional","C",22,"03",91,99]
["2300","Party Loop"," ",null,null,"O","Optional"]
["2301","Party ID Qualifier","What type of identifier is being provided for the party to this contract, e.g., B/D account #, SSN, TID, ...","(See Code list)","X(2)","OC","Opt./Con","C",22,"04",161,162]
[{"$nulls":3},"1 = D-U-N-S Number"]
[{"$nulls":3},"9 = D-U-N-S +4"]
[{"$nulls":3},"34 = Social Security #"]
[{"$nulls":3},"93 = Code designated by originating organization."]
[{"$nulls":3},"94 = Code assigned by designated organization"]
[{"$nulls":3},"FI = Federal TAX I.D."]
[{"$nulls":3},"MI = Member Identifier Number (NSCC Participant Number)"]
["2302","Party ID","A unique identifier for the entity that is a party to this contract.","A/N","X(20)","O","Optional","C",22,"04",141,160]
["2320","Party Last Name"," ","A/N","X(35)","M","Mandatory","C",22,"04",26,60]
["2321","Party First Name",null,"A/N","X(25)","O","Optional","C",22,"04",61,85]
["2322","Party Middle Name",null,"A/N ","X(25)","O","Optional","C",22,"04",86,110]
["2330","Party Prefix",null,"A/N","X(10)","O","Optional","C",22,"04",111,120]
["2331","Party Suffix",null,"A/N","X(10)","O","Optional","C",22,"04",121,130]
["2335","Party Date of Birth",null,"CCYYMMDD","D8","O","Optional","C",22,"04",133,140]
["2340","Party Role","Owner may be carried here to confirm the linking of the contract and/or distributor account identifier to the distributor's internal records and back.","(See Code list)","X(2)","M","Mandatory","C",22,"04",131,132]
[{"$nulls":3},"H1 = Representative"]
[{"$nulls":3},"G2 = Annuitant"]
[{"$nulls":3},"HA = Owner"]
[{"$nulls":3},"ZJ = Branch"]
[{"$nulls":3},"OK = Owner/Annuitant"]
["2341","Party Non-Natural Entity Name","Large name, such as trust.","A/N","X(105)","O/C","Opt/Cond.","C",22,"04",26,130]
["2342","Party Non-Natural Entity Date",null,"CCYYMMDD","9(8)","O","Optional","C",22,"04",133,140]
["2343","Party Non-Natural Entity Date Qualifier",null,"(See Code list)","X(3)","O/C","Opt/Cond.","C",22,"04",163,165]
["2344","Party Natural/Non-Natural Entity Name Indicator","N = Natural,  X = Non-Natural","A/N","X(1)","M","Mandatory","C",22,"04",166,166]
["2345","Plan 3 Digit ID","The 3-digit plan or entity number (PN) the employer or plan administrator assigned to the plan or DFE (direct filing entity.)  This three-digit number, in conjunction with the employer identification (EIN).  The plan is used by the IRS, DoL, and PBGC as a unique 12-digit number to identify the plan or DFE.","N","9(3)","O","Optional","C",22,"04",167,169]
["2400","Recipient Loop",null," ",null,"O","Optional"]
["2401","Recipient  ID","Unique identifier assigned by the firm and carried by the insurance company.","A/N","X(20)","C","Conditional","C",22,"05",26,45]
["2402","Recipient ID Qualifier","SSN, TIN, EID, internal branch office number","(See Code list)","X(2)","C","Conditional","C",22,"05",46,47]
[{"$nulls":3},"1 = D-U-N-S Number"]
[{"$nulls":3},"9 = D-U-N-S +4"]
[{"$nulls":3},"34 = Social Security #"]
[{"$nulls":3},"93 = Code designated by originating organization."]
[{"$nulls":3},"94 = Code assigned by designated organization"]
[{"$nulls":3},"FI = Federal TAX I.D."]
[{"$nulls":3},"MI = Member Identifier Number (NSCC Participant Number)"]
["2405","Recipient Last Name",null,"A/N","X(35)","C","Conditional","C",22,"05",50,84]
["2406","Recipient First Name",null,"A/N","X(25)","O","Optional","C",22,"05",85,109]
["2407","Recipient Middle Name",null,"A/N","X(25)","O","Optional","C",22,"05",110,134]
["2408","Recipient Prefix",null,"A/N","X(10)","O","Optional","C",22,"05",135,144]
["2409","Recipient Suffix",null,"A/N","X(10)","O","Optional","C",22,"05",145,154]
["2410","Recipient Role","Recipient may be carried here to confirm the linking of the contract and/or distributor account identifier to the distributor's internal records and back.","(See Code list)","X(2)","M","Mandatory","C",22,"05",48,49]
[{"$nulls":3},"H1 = Representative"]
[{"$nulls":3},"G2 = Annuitant"]
[{"$nulls":3},"HA = Owner"]
[{"$nulls":3},"ZJ = Branch"]
[{"$nulls":3},"OK = Owner/Annuitant"]
["2411","Distributor Assigned Agen ID",null,"A/N","X(20)","O","Optional","C",22,"05",155,174]
["2412",{"$nulls":6},"C",22,"05",185]
["2412","Recipient Commission Amount","Exact amount paid or charged back to Recipient for this event.","N","9(14)V99","O","Optional","C",22,"05",201,216]
["2413","Recipient Commission Amount Debit/Credit Indicator","Whether the amount between the Carrier and Recipient for this event is a debit or credit to the Recipient.","A/N","X(1)","O/C","Opt/Cond.","C",22,"05",217,217]
["2414","Recipient Commission Percentage","Represents the percentage (split) of commission paid to recipient.  E.g. 70% (on a 70/30 split.)","N","9V9(9)","O","Optional","C",22,"05",218,227]
["2417","Recipient Natural/Non-Natural Name Identifier","N = Natural (person),  X = Non-Natural (non-person)","A/N","X(01)","M","Mandatory","C",22,"05",185,185]
["2418","Recipient Non-Natural Name","Actual Non-Natural Name for Recipient such as Houst Account.","A/N","X(105)","C","Conditional","C",22,"05",50,154]
[2419,"National Producer Number","A unique sequential number that identifies each entity in PDB, including individual producers and business producers. It is a 10-digit number without leading zeros. ","A/N","X(10)","O","Optional","C",22,"05",186,195]
["2412","Recipient Commssion Amount",null,"Zeros Accepted","9(14)v99","O","Optional","C",22,"05",201,216]
["2413","Recipient Commssion Amount Debit/Credit Indicator",null,"1=Debit 2=Credit","X(01)","O","Opt/Cond.","C",22,"05",217,217]
["2414","Recipient Commssion Amount Percentage",null,"Zeros Accepted","9v9(9)","O","Optional","C",22,"05",218,227]
["2423","Carrier Assigned Agent ID","This identifier is created and defined by the insurance carrier (provider) where the defined advisor/agent is appointed with.","A/N","X(20)","O","Optional","C",22,"05",228,247]
["2424","CRD Number","This is the FINRA Central Repository Depository (CRD) identified used by US securities industry and its regulators","A/N","X(10)","O","Optional","C",22,"05",248,257]
["2425","Recipient State Tax Withholding","This amount represents the state withholding  netted from the commissions earned or recouped from the non-resident recipient (agent).  ","Zeros Accepted","9(14)v99","O","Optional","C",22,"05",258,273]
["9999","End"]

{"sheet":"Submitting Header ","index":3,"n_rows":38,"n_cols":11,"rows_kept":38,"merged":[[2,0,2,3],[35,3,36,9],[37,3,37,10]]}
["COMMISSIONS (COM)"]
[]
["Submitting Header - Mandatory"]
[]
["Start","End","Length","Type",null,"Field Name","Description",null,"Item #","Required Indicator","Reject Code"]
[]
[1,1,1,"A/N",null,"Submitter's Code","C = Carrier",null,null,"M"]
[]
[2,3,2,"A/N",null,"Record Type",20,null,null,"M"]
[]
[4,7,4,"A/N",null,"Submitting Participant Number","XXXX",null,"0001","M","003"]
[]
[]
[8,10,3,"A/N",null,"IPS Business Code","COM",null,"0002","M","004"]
[]
[11,40,30,"A/N",null,"Transmission Unique I.D.",null,null,"0003","M","005"]
[{"$nulls":5},"       Submitters NSCC Participant Number","XXXX"]
[{"$nulls":5},"       Date Submitted","YYYYMMDD"]
[{"$nulls":5},"       Time Submitted","HHMMSS"]
[{"$nulls":5},"       Hard Coded File","0001"]
[{"$nulls":5},"       Filler","Spaces"]
[]
[41,52,12,"N",null,"Total Count*","9(12)",null,"0008","M","006"]
[]
[53,53,1,"A/N",null,"Test Indicator","T or P",null,"0009","M","008"]
[]
[54,63,10,"A/N",null,"Associated Carrier Company ID","XXXX",null,"2416","O","090"]
[]
[64,288,225,"A/N",null,"Filler","Spaces",null,null,"M"]
[]
[289,300,12,"A/N",null,"Reject Code",null,null,"0004","O"]
[]
[]
[]
["COMMENT:",null,"00","Item# 0003,  Transmission Unique I.D.  - NSCC edits that this field is unique."]
[null,null,"01","Item# 0008,  Total number of physical records for submitting header.  Includes submitting and contra headers."]
[]
[null,null,"02","Submitter's Code will always be C, since Carrier will always be submitting Commission transactions."]

{"sheet":"Contra Record","index":4,"n_rows":32,"n_cols":11,"rows_kept":32,"merged":[[2,0,2,3]]}
["COMMISSIONS (COM)"]
[]
["Contra Record - Mandatory"]
[]
["Start","End","Length","Type",null,"Field Name","Description",null,"Item #","Required Indicator","Reject Code"]
[]
[1,1,1,"A/N",null,"Submitter's Code","C = Carrier",null,null,"M"]
[]
[2,3,2,"A/N",null,"Record Type",21,null,null,"M"]
[]
[]
[4,7,4,"A/N",null,"Contra Participant Number","XXXX",null,"1001","M","003"]
[]
[8,11,4,"A/N",null,"Associated Firm I.D.","XXXX",null,"1010","M","090"]
[]
[12,21,10,"N",null,"Associated Firm Submitted Contract Count","9(10)",null,"1012","M","011"]
[]
[22,31,10,"N",null,"Associated Firm Delivered Contract Count","9(10)",null,"1013","M","012"]
[]
[32,39,8,"D",null,"Cycle Start Date","CCYYMMDD",null,"1002","M","051"]
[]
[40,47,8,"D",null,"Cycle End Date","CCYYMMDD",null,"1003","M","052"]
[]
[48,288,241,"A/N",null,"Filler","Spaces",null,null,"M"]
[]
[289,300,12,"A/N",null,"Reject Code",null,null,"1004"]
[]
[]
["COMMENT:",null,"01","Item# 1012, total number of 22/01 records under this contra header."]
[null,null,"02","Item# 1013, zero fill on input.  NSCC will fill out delivered count on output."]
[null,null,"03","Contra Header Must be Unique within each submitter header.  A combination of NSCC Participant # /  "]
[{"$nulls":3},"Associated Firm Id/ Cycle Start Date / Cycle End Date must be unique for every C21 under a specific C20."]

{"sheet":"Contract Record #1","index":5,"n_rows":107,"n_cols":11,"rows_kept":107,"merged":[[2,0,2,3],[81,3,81,10],[82,3,82,10],[104,3,104,10],[105,3,105,10],[106,3,106,10]]}
["COMMISSIONS (COM)"]
[]
["Contract Record #1 - Mandatory"]
[]
["Start","End","Length","Type",null,"Field Name","Description",null,"Item #","Required Indicator","Reject Code"]
[]
[1,1,1,"A/N",null,"Submitter's Code","C = Carrier",null,null,"M"]
[]
[]
[2,3,2,"A/N",null,"Record Type",22,null,null,"M"]
[]
[4,5,2,"A/N",null,"Sequence Number","01",null,null,"M"]
[]
[6,25,20,"A/N",null,"NSCC Control Number",null,null,"2012","M","053"]
[]
[26,28,3,"A/N",null,"IPS Stage Code","(See Code List)",null,"2001","M","010"]
[]
[29,48,20,"A/N",null,"End Receiving Company I.D.",null,null,"2004","O"]
[]
[49,50,2,"A/N",null,"End Receiving Company I.D. Qualifier","(See Code List)",null,"2016","OC","080"]
[]
[51,59,9,"A/N",null,"CUSIP Number","Required if Contract I.D. is present",null,"2005","OC","015"]
[]
[60,89,30,"A/N",null,"Contract I.D.",null,null,"2007","O"]
[]
[90,97,8,"D",null,"Transaction Effective Date","CCYYMMDD",null,"2008","O","054"]
[]
[98,105,8,"D",null,"Settlement Date","CCYYMMDD",null,"2090","O","055"]
[]
[106,113,8,"D",null,"Process Date","CCYYMMDD",null,"2014","O","081"]
[]
[114,121,8,"D",null,"Policy Effective Date","CCYYMMDD",null,"2015","O","082"]
[]
[122,122,1,"A/N",null,"NSCC Settling Amount                         Debit/Credit Indicator","(See Code List)",null,"2095","M","056"]
[]
[123,138,16,"N",null,"NSCC Settling Amount","9(14)v99",null,"2096","M","057/680"]
[]
[139,139,1,"A/N",null,"Net/Prepaid Commission Amount Debit/Credit Indicator","(See Code List)",null,"2067","M","086"]
[]
[140,155,16,"N",null,"Net/Prepaid Commission Amount","9(14)v99",null,"2064","M","058"]
[]
[156,156,1,"A/N",null,"Commission Basis Amount Debit/Credit Indicator","(See Code List)",null,"2065","M","087"]
[]
[157,172,16,"N",null,"Commission Basis Amount","9(14)v99",null,"2061","M","059"]
[]
[173,175,3,"A/N",null,"Commission Basis Reason Code","(See Code List)",null,"2060","M","060"]
[]
[176,177,2,"A/N",null,"Contract Owner Residence ** Jurisdiction",null,null,"2091","OC","061"]
[]
[178,179,2,"A/N",null,"Application Signed** Jurisdiction",null,null,"2092","OC","062"]
[]
[180,180,1,"A/N",null,"Reject Source Code","N = NSCC*",null,"2003","M","063"]
[]
[181,183,3,"A/N",null,"Product Type Code","(See Code List)",null,"2076","OC","097"]
[]
[184,185,2,"A/N",null,"Trail Frequency Indicator","(See Code List)",null,"2077","O","307"]
[]
[186,186,1,"A/N",null,"Filler"]
[]
[187,187,1,"A/N",null,"Non-NSCC Settling Amount Debit/Credit Indicator","(See Code List)",null,"2018","OC","333"]
[]
[188,203,16,"N",null,"Non-NSCC Settling Amount","9(14)v99\n",null,"2019","O","334"]
[204,233,30,"A/N",null,"Group Number",null,null,"2020","O"]
[]
[234,236,3,"N",null,"Coverage Duration","See Comment 15",null,"2415","O","336"]
[]
[237,239,3,"A/N",null,"Commission Duration",null,null,"2420","O","541"]
[]
[240,240,1,"A/N",null,"Commission Duration Qualifier","(See Code List)",null,"2421","C","542"]
[]
[241,256,16,"N",null,"Paydown Amount Remaining","9(14)v99\n",null,"2422","O","544"]
[257,288,32,"A/N",null,"Filler","Spaces",null,null,"M"]
[]
[289,300,12,"A/N",null,"Reject Code",null,null,2002]
[]
[]
["COMMENT:",null,"00","Item# 2001, use code INA on input.  NSCC will change to CPL on out to Broker or REJ for rejects back"]
[{"$nulls":3},"to Carrier"]
[null,null,"01","Item# 2003, *Output only:  BLANK ON INPUT"]
[null,null,"02","Item# 2005, if 2007 is present, then 2005 is mandatory."]
[null,null,"03","Item# 2008, 2090, 2014 and 2015, if dates are not needed, use spaces."]
[null,null,"04","Item# 2012, Control Number, (4 byte participant number, 6 byte Ordinal Date (Century Digit, Decade Digit, Last digit of the year, Ordinal Date, 10 byte sequential number)"]
[{"$nulls":3},"(Where the Ordinal Date is >= Current Date minus 7 Business Days or the Ordinal Date is  <= the Current Date plus 1 Business Day.)"]
[null,null,"05","Item# 2016, if 2004 is present, then 2016 is mandatory."]
[null,null,"06","Item# 2061, if the Commission Basis Amount is not needed, ZERO fill is mandatory, bit item 2065 must "]
[{"$nulls":3},"still be filled."]
[null,null,"07","Item# 2064, if the Net/Prepaid Commission Amount is not needed, ZERO fill is mandatory, but item "]
[{"$nulls":3},"2067 must still be filled."]
[null,null,"08","Item# 2090, if left blank, default is same day settlement for submissions before 11:30am et or next day "]
[{"$nulls":3},"settlement for submissions after 11:30am et.  "]
[null,null,"09","Item# 2091 & 2092, ** Neither or both fields must be provided"]
[null,null,"10","Item# 2096, if the NSCC Settling Amount is not needed, ZERO fill is mandatory, but item 2095 must still"]
[{"$nulls":3},"be filled."]
[null,null,"11","Item# 2017, *** this field is spaces unless you are utilizingthe InsurExpress Service."]
[null,null,"12","Item #2096, for DSO contra participants, this field must be xero fill.  Reject 283 will appear if the"]
[{"$nulls":3},"amount is greater than zero."]
[null,null,"13","Item #2018 should be spaces unless 2019 is filled with a numeric amount greater than zero."]
[null,null,"14","Item #2019 cannot be spaces.  If filled, all 16 bytes must be filled with either zeros or a dollar amount"]
[{"$nulls":3},"in the 9(14)v99 format."]
[null,null,"15","Item #2415, should be filled with zeros if not used.  If used, there should be leading zeros."]
[{"$nulls":3},"(Example - Year 1 - 001, Year 15 = 015)"]
[null,null,"16","If item #2420 is present; 2421 must be populated; otherwise not used."]
[{"$nulls":3},"When item 2420 is used - 3 bytes numerc value must be provided. When item 2420 is not used - fill with spaces"]
[null,null,"17","Item #2422, should be filled with spaces if not used."]
[null,null,18,"Reject code 096 will be issued when amount listed in the Commission Basis Amount (item 2026) is not equal to the sum of all  Commission Basis Amount (item 2102) from record 2203"]
[null,null,19,"Reject code 680 will be issued when settlement amount is greater than or equal to $100,000,000"]
[null,null,20,"Item #2076 - if Contract Type (2007) is populated, then product type (2076) is required to be present."]

{"sheet":"Contract Record #2","index":6,"n_rows":56,"n_cols":11,"rows_kept":56,"merged":[[2,0,2,3]]}
["COMMISSIONS (COM)"]
[]
["Contract Record #2 - Optional"]
[]
["Start","End","Length","Type",null,"Field Name","Description",null,"Item #","Required Indicator","Reject Code"]
[]
[1,1,1,"A/N",null,"Submitter's Code","C = Carrier",null,null,"M"]
[]
[]
[2,3,2,"A/N",null,"Record Type",22,null,null,"M"]
[]
[4,5,2,"A/N",null,"Sequence Number","02",null,null,"M"]
[]
[6,25,20,"A/N",null,"NSCC Control Number","Must match control number on 01 record",null,"2012","M","053"]
[]
[26,55,30,"A/N",null,"Distributor's Account I.D.",null,null,"2010","O"]
[]
[56,63,8,"A/N",null,"Valuation Date",null,null,"2011","O","007"]
[]
[64,73,10,"N",null,"Commission Rate","9v9(9)",null,"2062","O","064"]
[]
[74,74,1,"A/N",null,"Calculated Commission Amount Debit/Credit Indicator","(See Code List)",null,"2066","OC","088"]
[]
[75,90,16,"N",null,"Calculated Commission Amount","9(14)v99",null,"2063","O","065"]
[]
[91,94,4,"A/N",null,"Commission Option",null,null,"2009","O"]
[]
[95,120,26,"A/N",null,"Filler"]
[]
[121,150,30,"A/N",null,"Distributor's Transaction I.D.",null,null,"2013","O"]
[]
[151,166,16,"N",null,"Total Premium Amount","9(14)v99",null,"2072","O","094"]
[]
[167,167,1,"A/N",null,"Total Premium Amount                          Debit/Credit Indicator","(See Code List)",null,"2073","O/C","095"]
[]
[168,177,10,"A/N",null,"Commission Extension",null,null,"2074","O"]
[]
[178,179,2,"A/N",null,"Premium Payment Mode","(See Code List)",null,"2075","O","305"]
[]
[180,195,16,"N",null,"Commissionable Expected Premium","9(14)v99",null,"2078","O","474"]
[]
[196,197,2,"N",null,"Commissionable Expected Duration","x(2)",null,"2079","O/C","475"]
[]
[198,198,1,"N",null,"Commission Expected Duration Qualifier","(See Code List)",null,"2080","O/C","476"]
[]
[199,288,90,"A/N",null,"Filler","Spaces",null,null,"M"]
[]
[289,300,12,"A/N",null,"Reject Code",null,null,"2002"]
[]
[]
["COMMENT:",null,"00","Item# 2012, must match the Control Number on the 22/01 record."]
[null,null,"01","Item# 2062, if the Commission Rate is not present, then ZERO fill is mandatory."]
[null,null,"02","Item# 2063, if the Calculated Commission Amount is not present, then ZERO fill is mandatory."]
[null,null,"03","Item# 2072, if the Total Premium Amount is not present, then ZERO fill is mandatory."]
[null,null,"04","Items# 2063 & 2072, if ZERO fill, do not send the Debit/Credit indicators 2066 & 2073 (SPACE)"]
[null,null,"05","Items# 2079 & 2080 are required if 2078 is populated"]

{"sheet":"Fund Record","index":7,"n_rows":43,"n_cols":11,"rows_kept":43,"merged":[[2,0,2,2],[42,3,42,10]]}
["COMMISSIONS (COM)"]
[]
["Fund Record - Optional"]
[]
["Start","End","Length","Type",null,"Field Name","Description",null,"Item #","Required Indicator","Reject Code"]
[]
[1,1,1,"A/N",null,"Submitter's Code","C = Carrier",null,null,"M"]
[]
[]
[2,3,2,"A/N",null,"Record Type",22,null,null,"M"]
[]
[4,5,2,"A/N",null,"Sequence Number","03",null,null,"M"]
[]
[6,25,20,"A/N",null,"NSCC Control Number","Must match control number on 01 record",null,"2012","M","053"]
[]
[26,44,19,"A/N",null,"CUSIP/Fund I.D.",null,null,"2101","M","048"]
[]
[45,60,16,"N",null,"Commission Basis Amount","9(14)v99",null,"2102","M","059"]
[]
[61,62,2,"A/N",null,"Commission Basis Amount Qualifier","TP",null,"2105","M","083"]
[]
[63,72,10,"N",null,"Commission Rate","9v9(9)",null,"2103","O","064"]
[]
[73,88,16,"N",null,"Calculated Commission Amount","9(14)v99",null,"2104","M","065"]
[]
[89,89,1,"A/N",null,"Calculated Commission Amount  Debit/Credit Indicator","(See Code List)",null,"2106","M","088"]
[]
[90,90,1,"A/N",null,"Commission Basis Amount           Debit/Credit Indicator","(See Code List)",null,"2107","M","087"]
[]
[91,99,9,"A/N",null,"Mutual Fund CUSIP Number - see change to comment 05",null,null,"2108","O","335"]
[]
[100,288,189,"A/N",null,"Filler","Spaces",null,null,"M"]
[]
[289,300,12,"A/N",null,"Reject Code",null,null,"2002"]
[]
[]
["COMMENT:",null,"00","Item# 2012, must match the Control Number on the 22/01 record."]
[null,null,"01","Item# 2105, the only valid code is \"TP\" (Commission Basis Amount Qualifier)."]
[null,null,"02","Item# 2103, if the Commission Rate is not present then ZERO fill."]
[null,null,"03","Item# 2102, rolls up to the 22/01 record item# 2061."]
[null,null,"04","Item# 2104, rolls up to the 22/02 record item# 2063."]
[null,null,"05","Item 2108, must be all spaces or all 9 bytes filled.  1 to 8 bytes filled in this field will be rejected."]
[{"$nulls":3},"DTCC will also edit for this field that bytes are filled with characters A to Z, 0 to 9 and/or the following special characters: *, @ #.  Any other characters will cause the field to be rejected."]

{"sheet":"Contract Party Record","index":8,"n_rows":60,"n_cols":11,"rows_kept":60,"merged":[[2,0,2,4],[60,3,60,10]]}
["COMMISSIONS (COM)"]
[]
["Contract Party Record - Optional"]
[]
["Start","End","Length","Type",null,"Field Name","Description",null,"Item #","Required Indicator","Reject Code"]
[]
[1,1,1,"A/N",null,"Submitter's Code","C = Carrier",null,null,"M"]
[]
[]
[2,3,2,"A/N",null,"Record Type",22,null,null,"M"]
[]
[4,5,2,"A/N",null,"Sequence Number","04",null,null,"M"]
[]
[6,25,20,"A/N",null,"NSCC Control Number","Must match control number on 01 record",null,"2012","M","053"]
[]
[26,130,105,"A/N",null,"Party Non-Natural Entity Name",null,null,"2341","O/C","302"]
[]
[{"$nulls":5},"Begin Redefine"]
[26,60,35,"A/N",null,"Party Last Name",null,null,"2320","O/C","072"]
[]
[61,85,25,"A/N",null,"Party First Name",null,null,"2321","O"]
[]
[86,110,25,"A/N",null,"Party Middle Name",null,null,"2322","O"]
[]
[111,120,10,"A/N",null,"Party Prefix",null,null,"2330","O"]
[]
[121,130,10,"A/N",null,"Party Suffix",null,null,"2331","O"]
[{"$nulls":5},"End Redefine"]
[]
[131,132,2,"A/N",null,"Party Role","(See Code List)",null,"2340","M","046"]
[]
[133,140,8,"D",null,"Party Date of Birth",null,null,"2335","O","066"]
[{"$nulls":5},"Redefines the 8 bytes above"]
[133,140,8,"D",null,"Party Non-Natural Entity Date","CCYYMMDD",null,2342,"O","303"]
[{"$nulls":5},"End Redefines"]
[]
[141,160,20,"A/N",null,"Party I.D.",null,null,"2302","O"]
[]
[161,162,2,"A/N",null,"Party I.D. Qualifier","(See Code List)",null,"2301","OC","047"]
[]
[163,165,3,"A/N",null,"Party Non-Natural Entity Date Qualifier","(See Code List)",null,2343,"O/C","304"]
[]
[]
[166,166,1,"A/N",null,"Party Natural/Non-Natural Entity","N = Natural",null,2344,"M","169"]
[{"$nulls":5},"Name Indicator","X = Non-Natural"]
[]
[167,169,3,"A/N",null,"Plan 3 Digit ID","9(3)",null,"2345","O","704"]
[]
[170,288,119,"A/N",null,"Filler","Spaces",null,null,"M"]
[]
[289,300,12,"A/N",null,"Reject Code",null,null,"2002"]
[]
[]
["COMMENT:",null,"00","Item# 2012, must match the Control Number on the 22/01 record."]
[null,null,"01","Item# 2301, if Item# 2302 is present, then 2301 is mandatory."]
[null,null,"02","Item# 2341, if 2344 (Non-Natural) is used, then 2341 is mandatory."]
[null,null,"03","Item# 2320, if 2344 (Natural) is used, then 2320 is mandatory."]
[null,null,"04","Item#2343, if 2344 is X (Non-Natural) and 2342 is used, then 2343 is mandatory.  If 2344 is N (Natural), "]
[{"$nulls":3},"2335 is used and 2343 is not used (must be spaces in this field). "]
[{"$nulls":3},"item 2345 spaces allowed if not populated otherwise left justified and numeric, unused portion must be filled with spaces."]

{"sheet":"Contract Recipient Record","index":9,"n_rows":71,"n_cols":11,"rows_kept":71,"merged":[[2,0,2,8],[69,3,69,10],[70,3,70,10]]}
["COMMISSIONS (COM)"]
[]
["Contract Recipient Record - Optional/Conditional - (Required if Contract Identifier (Item 2007) is present)."]
[]
["Start","End","Length","Type",null,"Field Name","Description",null,"Item #","Required Indicator","Reject Code"]
[]
[1,1,1,"A/N",null,"Submitter's Code","C = Carrier",null,null,"M"]
[]
[]
[2,3,2,"A/N",null,"Record Type",22,null,null,"M"]
[]
[4,5,2,"A/N",null,"Sequence Number","05",null,null,"M"]
[]
[6,25,20,"A/N",null,"NSCC Control Number","Must match control number on 01 record",null,"2012","M","053"]
[]
[26,45,20,"A/N",null,"Recipient I.D.",null,null,"2401","C","068"]
[]
[46,47,2,"A/N",null,"Recipient I.D. Qualifier","(See Code List)",null,"2402","C","069"]
[]
[48,49,2,"A/N",null,"Recipient Role","(See Code List)",null,"2410","M","070"]
[]
[50,154,105,"A/N",null,"Recipient Non-Natural Name",null,null,"2418","C","302"]
[]
[{"$nulls":5},"Begin Redefine"]
[50,84,35,"A/N",null,"Recipient Last Name",null,null,"2405","C","338"]
[]
[85,109,25,"A/N",null,"Recipient First Name",null,null,"2406","O"]
[]
[110,134,25,"A/N",null,"Recipient Middle Name",null,null,"2407","O"]
[]
[135,144,10,"A/N",null,"Recipient Prefix",null,null,"2408","O"]
[]
[145,154,10,"A/N",null,"Recipient Suffix",null,null,"2409","O"]
[{"$nulls":5},"End Redefine"]
[]
[155,174,20,"A/N",null,"Distributor Assigned Agent ID",null,null,"2411","C"]
[]
[175,184,10,"A/N",null,"Filler","Spaces",null,null,"M"]
[]
[185,185,1,"A/N",null,"Recipient Natural/Non-Natural ","N = Natural",null,"2417","M","343"]
[{"$nulls":5},"Name Indicator","X = Non-Natural"]
[]
[186,195,10,"A/N",null,"National Producer Number",null,null,"2419","C"]
[]
[196,200,5,"A/N",null,"Filler","Spaces",null,null,"M"]
[]
[201,216,16,"N",null,"Recipient Commission Amount","9(14)v99",null,"2412","O","309"]
[]
[217,217,1,"A/N",null,"Recipient Commission Amount\nDebit/Credit Indicator ","1= Debit\n2= Credit",null,"2413","O/C","310"]
[]
[218,227,10,"N",null,"Recipient Commission Percentage","9v9(9)",null,"2414","O","311"]
[]
[228,247,20,"A/N",null,"Carrier Assigned Agent ID","X(20)",null,"2423","C"]
[]
[248,257,10,"A/N",null,"CRD Number","X(10)",null,"2424","C"]
[]
[258,273,16,"N",null,"Recipient State Withholding","9(14)v99",null,"2425","O","374"]
[]
[274,288,15,"A/N",null,"Filler","Spaces",null,null,"M"]
[]
[289,300,12,"A/N",null,"Reject Code",null,null,"2002"]
[]
["COMMENT:",null,"00","Item# 2012, must match the Control Number on the 22/01 record."]
[null,null,"01","Item# 2412, if not used, zero fill is required."]
[null,null,"02","Item# 2413, required if Item# 2412 is filled (greater than zero).  If 2412 is a zero fill, 2413 should be "]
[{"$nulls":3},"a space."]
[null,null,"03","Item# 2414, if not used, zero fill is required."]
[null,null,"04","Item# 2418, if 2417 (Non-Natural) is used, then 2418 is mandatory."]
[null,null,"05","Item# 2405, if 2417 (Natural) is used, then 2405 is mandatory."]
[null,null,"06","Recipient ID (2401) and Recipient ID Qualifier (2402) becomes conditional.   If Recipient Role (item #2410 on record 2205) is equal to TM, BG, HA, or RI then 2401 and 2402 are required; otherwise optional.  Use existing reject code 068 and 069."]
[null,null,"07","If Recipient Role (2410 on record 2205) is equal to H1, RM, PA, WA, SA, IA, or CA then one of the following identifiers:  Recipient ID (2401), CRD Number (2424), National Producer Number (2419), Distributor Agent Assigned ID (2411), and Carrier Agent Assigned Agent ID (2423) must be present. More than one may be sent but at a minimum one must be present.   If all are missing, reject code 035 will be issued"]

{"sheet":"Commission Reject Code List","index":10,"n_rows":86,"n_cols":3,"rows_kept":86,"merged":[[55,2,55,9],[56,2,56,4]]}
["COMMISSION REJECT CODE LIST"]
[]
[]
["Reject Code     ",null,"Description"]
["003",null,"Participant Number Missing/Invalid"]
["004",null,"IPS Business Code Missing/Invalid"]
["005",null,"Transmission Unique Id Missing/Invalid"]
["006",null,"Total Count Missing/Invalid"]
["007",null,"Valuation Date Missing/Invalid"]
["008",null,"Test Indicator Missing/Invalid"]
["010",null,"IPS Stage Code Missing/Invalid"]
["011",null,"Submitted Contract Count Missing/Invalid"]
["012",null,"Delivered Contract Count Missing/Invalid"]
["014",null,"Control Number Missing/Invalid"]
["015",null,"CUSIP Number Missing/Invalid"]
["035",null,"Agent Identifier Missing/Invalid"]
["046",null,"Party Role Missing/Invalid"]
["047",null,"Party Identifier Qualifier Missing/Invalid"]
["048",null,"CUSIP/Fund Identifier Missing/Invalid"]
["051",null,"Cycle Start Date Missing/Invalid"]
["052",null,"Cycle End Date Missing/Invalid"]
["053",null,"NSCC Control Number Missing/Invalid"]
["054",null,"Contract Effective Date Invalid"]
["055",null,"Settlement Date Invalid"]
["056",null,"Settling Amount Debit/Credit Indicator Missing/Invalid"]
["057",null,"NSCC Settling Amount Missing/Invalid"]
["058",null,"Netted/Prev. Paid Commission Amount Missing/Invalid"]
["059",null,"Commission Basis Amount Missing/Invalid"]
["060",null,"Commission Basis Reason Code Missing/Invalid"]
["061",null,"Contract Owner Residence Jurisdiction Missing"]
["062",null,"Application Signed Jurisdiction Missing/Invalid"]
["063",null,"Reject Source Code Missing/Invalid"]
["064",null,"Commission Rate Invalid"]
["065",null,"Calculated Commission Amount Invalid"]
["066",null,"Party Date of Birth Invalid"]
["068",null,"Recipient Identifier Missing/Invalid"]
["069",null,"Recipient Identifier Qualifier Missing/Invalid"]
["070",null,"Recipient Role Missing"]
["072",null,"Missing Party Last Name"]
["074",null,"Duplicate Transmission ID"]
["075",null,"Recipient Record Missing"]
["077",null,"Participant Not Yet In Effect"]
["078",null,"Participant Expired On Participant Profile"]
["079",null,"Duplicate NSCC Control Number"]
["080",null,"End Receiving Company ID Qualifier Missing/Invalid"]
["081",null,"Process Date Invalid"]
["082",null,"Issue Date Invalid"]
["083",null,"Commission Basis Amount Qualifier Missing/Invalid"]
["086",null,"Net/Prepaid Comm Amt Debit/Credit Ind Missing/Invalid"]
["087",null,"Commission Basis Amt Debit/Credit Ind Missing/Invalid"]
["088",null,"Calcul. Commission Amt Debit/Credit Ind Missing/Invalid"]
["090",null,"Associated Firm ID Missing/Invalid"]
["093",null,"Duplicate Contra Header"]
["094",null,"Invalid Commission Total Premium Amount"]
["095",null,"Invalid Commission Total Premium Amount Debit/Credit Indicator"]
["096",null,"Commission Basis Amount on Fund Record Does Not Equal Commission Basis Amount on Contract Record#1"]
["097",null,"Product Type Code Invalid"]
["169",null,"Natural/Non-Natural Entity Name Ind Missing/Invalid"]
["283",null,"Invalid NSCC Settle AMT for DSO Membership - must be zero"]
["302",null,"Party Non-Natural Entity Name Missing"]
["303",null,"Party Non-Natural Entity Date Missing/Invalid"]
["304",null,"Party Non-Natrual Entity Date Qualifier Missing/Invalid"]
["305",null,"Premium Payment Mode Invalid"]
["307",null,"Trail Frequency Indicator Invalid"]
["309",null,"Recipient Commission Amount"]
["310",null,"Recipient Commission Amount Debit/Credit Indicator "]
["311",null,"Recipient Commission Percentage"]
["333",null,"Non-NSCC Settlement Amount Debit/Credit Indicator Missing/Invalid"]
["334",null,"Non-NSCC Settlement Amount Missing/Invalid"]
["335",null,"Mutual Fund CUSIP Missing/Invalid"]
["336",null,"Coverage Duration Invalid"]
["338",null,"Rcipient Last Name Missing"]
["343",null,"Recipient Natural/Non-Natural Name Indicator Missing/Invalid"]
["374",null,"Invalid Recipient State Tax Withholding"]
["474",null,"Not Numeric or Spaces Filled"]
["475",null,"Invalid Commissionable Expected Duration"]
["476",null,"Invalid Commissionable Expected Duration Code"]
["500",null,"Record Out of Sequence"]
["501",null,"Mandatory Records/Segments Missing"]
["502",null,"Loop Limit Exceeded"]
["541",null,"Commission Duration Invalid"]
["542",null,"Commission Duration Qualifier Invalid"]
["544",null,"Paydown Amount is invalid"]
["680",null,"Settlement Amount is equal to or greater than $100,000,000"]
[704,null,"Plan 3-digit Identifier Invalid"]
[999,null,"More Than Four Error Conditions"]

{"sheet":"Commission Code List","index":11,"n_rows":328,"n_cols":12,"rows_kept":328,"merged":[[3,8,3,9],[4,8,4,9],[10,8,10,9],[11,8,11,9],[12,8,12,9],[20,8,20,9],[21,8,21,9],[24,0,25,0],[24,1,25,6],[24,7,25,7],[24,8,25,12],[26,0,27,0],[26,1,27,6],[26,7,27,7],[26,8,27,12],[28,0,29,0],[28,1,29,6],[28,7,29,7],[28,8,29,12],[30,0,31,0],[30,1,31,6],[30,7,31,7],[30,8,31,12],[32,1,32,6],[32,8,32,12],[33,8,33,12],[34,1,34,6],[34,8,34,12],[35,1,35,6],[35,8,35,12],[36,1,36,6],[36,8,36,12],[37,1,37,6],[37,8,37,12],[38,1,38,6],[38,8,38,12],[41,0,42,0],[41,1,42,6],[41,7,42,7],[41,8,42,12],[43,0,45,0],[43,1,45,6],[43,7,45,7],[43,8,45,12],[47,8,47,12],[48,8,48,12],[53,8,53,12],[54,8,54,12],[55,8,55,12],[57,0,58,0],[57,1,58,6],[57,7,58,7],[57,8,58,12],[60,1,60,6],[62,1,62,6],[62,8,62,12],[71,8,71,12],[72,8,72,12],[73,8,73,12],[74,8,74,12],[75,8,75,12],[76,8,76,12],[77,8,77,12],[78,1,78,6],[78,8,78,12],[79,1,79,6],[79,8,79,12],[80,1,80,6],[80,8,80,12],[86,1,86,6],[86,8,86,12],[87,1,87,6],[87,8,87,12],[88,1,88,6],[88,8,88,12],[89,1,89,6],[89,8,89,12],[90,1,90,6],[90,8,90,12],[91,1,91,6],[91,8,91,12],[92,1,92,6],[92,8,92,12],[93,1,93,6],[93,8,93,12],[94,1,94,6],[94,8,94,12],[95,1,95,6],[95,8,95,12],[96,1,96,6],[96,8,96,12],[97,1,97,6],[97,8,97,12],[98,1,98,6],[98,8,98,12],[99,1,99,6],[99,8,99,12],[100,1,100,6],[100,8,100,12],[101,1,101,6],[101,8,101,12],[102,1,102,6],[102,8,102,12],[103,1,103,6],[103,8,103,12],[104,1,104,6],[104,8,104,12],[105,1,105,6],[105,8,105,12],[106,1,106,6],[106,8,106,12],[107,1,107,6],[107,8,107,12],[108,1,108,6],[108,8,108,12],[109,1,109,6],[109,8,109,12],[110,1,110,6],[110,8,110,12],[115,1,115,6],[115,8,115,12],[116,1,116,6],[116,8,116,12],[117,1,117,6],[117,8,117,12],[118,1,118,6],[118,8,118,12],[119,1,119,6],[119,8,119,12],[120,1,120,6],[120,8,120,12],[121,1,121,6],[121,8,121,12],[122,1,122,6],[122,8,122,12],[123,1,123,6],[123,8,123,12],[124,1,124,5],[124,8,124,12],[125,1,125,6],[125,8,125,12],[126,1,126,6],[126,8,126,12],[127,1,127,6],[127,8,127,12],[128,1,128,6],[128,8,128,12],[129,1,129,6],[129,8,129,12],[130,1,130,6],[130,8,130,12],[131,1,131,6],[131,8,131,12],[132,1,132,6],[132,8,132,12],[133,1,133,6],[133,8,133,12],[134,1,134,6],[134,8,134,12],[135,1,135,6],[135,8,135,12],[136,1,136,6],[136,8,136,12],[137,1,137,6],[137,8,137,12],[138,1,138,6],[138,8,138,12],[139,1,139,6],[139,8,139,12],[140,1,140,6],[140,8,140,12],[141,1,141,6],[141,8,141,12],[143,0,144,0],[143,1,144,6],[143,7,144,7],[143,8,144,12],[145,0,146,0],[145,1,146,6],[145,7,146,7],[145,8,146,12],[147,0,148,0],[147,1,148,6],[147,7,148,7],[147,8,148,12],[149,0,150,0],[149,1,150,6],[149,7,150,7],[149,8,150,12],[151,1,151,6],[151,8,151,12],[152,1,152,6],[152,8,152,12],[153,1,153,6],[153,8,153,12],[154,8,154,12],[155,8,155,12],[156,8,156,12],[164,8,164,9],[165,8,165,9],[170,8,170,9],[171,8,171,9],[176,8,176,9],[177,8,177,9],[182,8,182,9],[183,8,183,9],[188,6,188,12],[195,6,195,12],[197,6,197,12],[198,6,198,12],[207,8,207,9],[208,8,208,9],[217,8,217,9],[218,8,218,9],[224,8,224,9],[225,8,225,9],[230,8,230,9],[231,8,231,9],[236,8,236,9],[237,8,237,9],[241,8,241,10],[242,8,242,10],[253,8,253,9],[254,8,254,9],[258,6,258,12],[260,8,260,9],[261,8,261,9],[271,8,271,9],[272,8,272,9],[278,8,278,9],[279,8,279,9],[283,8,283,9],[284,8,284,9],[285,1,285,4],[285,6,285,12],[287,6,287,12],[289,6,289,12],[291,6,291,12],[293,6,293,11],[295,6,295,12],[297,1,297,5],[297,6,297,12],[299,1,299,3],[301,6,301,12],[303,6,303,12],[305,6,305,12],[306,6,306,12],[308,8,308,9],[309,8,309,9],[310,8,310,9],[316,8,316,9],[317,8,317,9],[322,8,322,9],[323,8,323,9]]}
["COMMISSION (COM) CODE LIST"]
[]
[]
["IPS Stage Codes",{"$nulls":7},"Data Dictionary",null,null,"Segment"]
[{"$nulls":8},"(2001)",null,null,"(2001)"]
["INA",null,"Initial/Agreed Transaction"]
["CPL",null,"Completed Transaction (Output Only)"]
["REJ",null,"Rejected Transaction (Output Only)"]
[]
[]
["End Receiving Company I.D. Qualifiers",{"$nulls":7},"Data Dictionary",null,null,"Segment"]
[{"$nulls":8},"(2016)",null,null,"(2016)"]
[1,null,"D-U-N-S Number, Dun & Bradstreet"]
[9,null,"D-U-N-S+4, D-U-N-S Number with Four Character Suffix"]
[93,null,"Code Assigned by Originating Organization"]
[94,null,"Code Assigned by Destination Organization"]
["FI",null,"Federal Taxpayer's Identification Number"]
["MI",null,"Member Identification Number (NSCC Participant Number)"]
[]
[]
["Commission Basis Reason Code List",{"$nulls":7},"Data Dictionary",null,null,"Segment"]
[{"$nulls":8},"(2060)",null,null,"(2060)"]
["Code","CODE LIST FOR COMMISSION CHARGES",{"$nulls":5},"Code","CODE LIST FOR COMMISSION PAYMENTS"]
[null,"Premium Commissions - Gross or Netted"]
["CPP","CB for Commission payment for new (initial) premium.  This is associated with a new contract. PAPER",{"$nulls":5},"PPP","Commission payment for new (initial) premium.  This is associated with a new contract. PAPER."]
[]
["CEP","CB for Commission payment for new (initial) premium.  This is associated with a new contract. ELECTRONIC",{"$nulls":5},"PEP","Commission payment for new (initial) premium.  This is associated with a new contract. ELECTRONIC"]
[]
["CPA","CB for Commission payment add-on (sub pay) premium. PAPER",{"$nulls":5},"PPA","Commission payment add-on (sub pay) premium. PAPER. "]
[]
["CEA","CB for Commission payment add-on (sub pay) premium. ELECTRONIC",{"$nulls":5},"PEA","Commission payment add-on (sub pay) premium. ELECTRONIC"]
[]
["CWR","CB for policy netted at incorrect rate",{"$nulls":5},"PWR","Commission payment for incorrect netting"]
["CDI","CB of Interest Payment for Deferred Commissions",{"$nulls":5},"PDI","Interest Payment for Deferred Commissions"]
["CRP","Chargeback for Commission Rider - Asset Based",{"$nulls":5},"PRP","Payment for Commission Rider - Asset Based"]
["CIT","Chargeback for Internal Replacement",{"$nulls":5},"PIT","Payment for Internal Replacement"]
["CAI","Chargeback on Annualized Decrease",{"$nulls":5},"PAI","Payment on Annualized Increase"]
["CNP","Non Standard Chargeback for persistency bonus at the broker dealers request",{"$nulls":5},"PNP","Non-Standard Payout for persistency bonus at the broker dealers request"]
["CER","Chargeback of plan enrollment services",{"$nulls":5},"PER","Compensation for plan enrollment services"]
[null,"Approximate Premium Commissions – Advances"]
["CAN","CB for net adjustment for an advance",{"$nulls":5},"PAN","Commission payment for an advance or transfer"]
["CA5","CB for adjustment for a 1035 advance or transfer.  This is generated following the receipt of actual premium.",{"$nulls":5},"PA5","Commission payment adjustment for a 1035 exchange advance or transfer.  This is generated following the receipt of actual premium."]
[]
["CAP","CB for full advanced amount",{"$nulls":5},"PX5","Commission payment for 1035 or qualified transfer that was NOT advanced on.  This is generated following the receipt of actual premium."]
[]
[]
[null,"Asset Based Commissions - Trails and Renewals"]
["CTA","CB for trails",{"$nulls":5},"PTA","Commission payment for full trail (asset based).  This is generated due to the selection of a trail commission option or related persistency bonus on a variable product."]
["CBA","CB for renewal that was in error.",{"$nulls":5},"PBA","Commission payment for variable asset based persistency bonus (asset based).  This is generated due to the renewal of a variable product."]
["CRF","CB for Renewal of a Fixed Product",{"$nulls":5},"PRF","Commission payment for Renewal of a Fixed Product"]
["CTB","CB for Commission Only Payment for Trails (asset based)",{"$nulls":5},"PTB","Commission Only Payment for Trails (asset based)"]
["CCP","CB for Commission Only Payment for Trails (premium based)",{"$nulls":5},"PPC","Commission Only Payment for Trails (premium based)"]
["CAB","CB for Commission Pay for Trails (annuity payment based)",{"$nulls":5},"PAB","Commission Payment for Trails (annuity payment based)"]
["CFB","CB for Fee Based Commissions",{"$nulls":5},"PFB","Fee Based Commissions  - (fees charged by the broker/dealer for advisor asset management services) "]
["CNB","CB for Net Premium Based - Trails Only",{"$nulls":5},"PNB","Net Premiums Based - Trails Only"]
["CTV","CB for Income Value Based - Trails",{"$nulls":5},"PTV","Income Value Based - Trails"]
[null,"Direct Firm Comp or Reimbursement"]
["CM0","Chargeback for marketing allowance that was based on overall production (not contract specific)",{"$nulls":5},"PM0","Commisssion payment for marketing allowance based on overall production (not contract specific)"]
[]
[{"$nulls":7},"PBP","Commission payment for periodic bonus (premium based)"]
["CFC","Chargeback of Firm Level Commission Payment",{"$nulls":5},"PFC","Firm Level Commission Payment"]
[null,"Charge Backs and Reversals"]
["CPC","CB for cancel policy",{"$nulls":5},"PAA","Commission payment for payment adjustments or reversals of chargebacks"]
["CFL","CB canceled during free look"]
["CRL","CB for inadequate licensing of rep"]
["CPD","CB for decrease in policy"]
["COP","CB for overpaid"]
["CWA","CB for netted incorrectly due to age"]
["CS0","CB due to partial surrender"]
["CS1","CB due to partial surrender 1st 6 months"]
["CS2","CB due to partial surrender 2nd 6 months"]
["CSY","CB due to surrender after 1st year"]
["CSF","CB due to full surrender"]
["C2P","CB due to duplicate payment"]
["CD0","CB due to death claim"]
["CD1","CB due to death claim 1st  6 months"]
["CD2","CB due to death claim 2nd 6 months"]
["CDY","CB due to death claim after 1st year"]
["C96","CB due to annuitization",{"$nulls":5},"P96","Commission payment for annuitization"]
["C97","CB due to internal 1035 or transfer",{"$nulls":5},"P97","Commission payment for internal 1035 or transfer"]
["C98","CB due to conversion",{"$nulls":5},"P98","Commission payment for conversion"]
["C99","CB due to Manual Adjustment",{"$nulls":5},"P99","Commission payment for reversal of Surrenders"]
["CWB","CB due to wrong BD or BD change",{"$nulls":5},"PSP","Commission payment for special payment to firm"]
["CLI","Loan Interest Deduction",{"$nulls":5},"PLI","Reversal of Loan Interest Deduction"]
["CCE","CB due to Premium Commitment Exceeded",{"$nulls":5},"PPN","Premium Commitment Not Met"]
[null,"Life Products Payments and Chargebacks"]
["CY1","Reversal of commission payment for 1st policy year on premium up to target",{"$nulls":5},"PY1","Commission payment for 1st policy year on premium up to target"]
["CE1","Reversal of commission payment for 1st policy year on premium in excess of target",{"$nulls":5},"PE1","Commission payment for 1st policy year on premium in excess of target"]
["CY2","Reversal of commission payment for 2nd policy year on premium up to target",{"$nulls":5},"PY2","Commission payment for 2nd policy year on premium up to target"]
["CE2","Reversal of commission payment for 2nd policy year on premium in excess of target",{"$nulls":5},"PE2","Commission payment for 2nd policy year on premium in excess of target"]
["CY3","Reversal of commission payment for 3rd policy year on premium up to target",{"$nulls":5},"PY3","Commission payment for 3rd policy year on premium up to target"]
["CE3","Reversal of commission payment for 3rd policy year on premium in excess of target",{"$nulls":5},"PE3","Commission payment for 3rd policy year on premium in excess of target"]
["CY4","Reversal of commission payment for 4th policy year on premium up to target",{"$nulls":5},"PY4","Commission payment for 4th policy year on premium up to target"]
["CE4","Reversal of commission payment for 4th policy year on premium in excess of target",{"$nulls":5},"PE4","Commission payment for 4th policy year on premium in excess of target"]
["CY5","Reversal of commission payment for 5th policy year on premium up to target",{"$nulls":5},"PY5","Commission payment for 5th policy year on premium up to target"]
["CE5","Reversal of commission payment for 5th policy year on premium in excess of target",{"$nulls":5},"PE5","Commission payment for 5th policy year on premium in excess of target"]
["CY6","Reversal of commission payment for 6th policy year on premium up to target",{"$nulls":5},"PY6","Commission payment for 6th policy year on premium up to target"]
["CE6","Reversal of commission payment for 6th policy year on premium in excess of target",{"$nulls":5},"PE6","Commission payment for 6th policy year on premium in excess of target"]
["CY7","Reversal of commission payment for 7th policy year on premium up to target",{"$nulls":5},"PY7","Commission payment for 7th policy year on premium up to target"]
["CE7","Reversal of commission payment for 7th policy year on premium in excess of target",{"$nulls":5},"PE7","Commission payment for 7th policy year on premium in excess of target"]
["CY8","Reversal of commission payment for 8th policy year on premium up to target",{"$nulls":5},"PY8","Commission payment for 8th policy year on premium up to target"]
["CE8","Reversal of commission payment for 8th policy year on premium in excess of target",{"$nulls":5},"PE8","Commission payment for 8th policy year on premium in excess of target"]
["CY9","Reversal of commission payment for 9th policy year on premium up to target",{"$nulls":5},"PY9","Commission payment for 9th policy year on premium up to target"]
["CE9","Reversal of commission payment for 9th policy year on premium in excess of target",{"$nulls":5},"PE9","Commission payment for 9th policy year on premium in excess of target"]
["CY0 (zero)","Reversal of commission payment for 10th policy year on premium up to target",{"$nulls":5},"PY0","Commission payment for 10th policy year on premium up to target"]
["CE0 (zero)","Reversal of commission payment for 10th policy year on premium in excess of target",{"$nulls":5},"PE0","Commission payment for 10th policy year on premium in excess of target"]
["CYX","Reversal of commission payment for 11th plus policy years on premium up to target",{"$nulls":5},"PYX","Commission payment for 11th plus policy years on premium up to target"]
["CEX","Reversal of commission payment for 11th plus policy years on premium in excess of target",{"$nulls":5},"PEX","Commission payment for 11th plus policy years on premium in excess of target"]
["COF","Chargeback of commission payment for first year override",{"$nulls":5},"POF","Commission payment for first year override"]
["COR","Chargeback of commission payment for renewal year override",{"$nulls":5},"POR","Commission payment for renewal year override"]
["CCI","Chargeback of commissions paid on Cost of Insurance transactions",{"$nulls":5},"PCI","Commissions paid on Cost of Insurance transactions"]
["CIR","CB due to payment for renewals (premium based)",{"$nulls":5},"PIR","Commission payment for renewals (premium based)"]
["CMI","CB for marketing allowance related to a specific contract",{"$nulls":5},"PMI","Com payment for marketing allowance related to a specific contract"]
["CTP","Chargeback for Commission Payment for Premium Based Trails",{"$nulls":5},"PTP","Commission payment for trails (premium based)"]
["CIL","CB due to Lapsed policy",{"$nulls":5},"PIL","Undo or Reversal of Chargeback due to Lapsed policy"]
["CL1","Chargeback due to Lapsed policy for Target premium in year one. ",{"$nulls":5},"PL1","Undo or Reversal of Chargeback due to Lapsed policy for Target premium in year one."]
["CL2","Chargeback due to Lapsed policy for Excess premium in year one. ",{"$nulls":5},"PL2","Undo or Reversal of Chargeback due to Lapsed policy for Excess premium in year one. "]
["CL3","Chargeback Renewal year policy status Lapsed. ",{"$nulls":5},"PL3","Undo or Reversal  Renewal year Chargeback policy status Lapse. "]
["CFT","Chargeback due to full surrender with Target premium in year one. ",{"$nulls":5},"PFT","Undo or Reversal of a Chargeback due to Surrender with Target premium in year one. "]
["CFE","Chargeback due to full surrender with Excess premium in year one.",{"$nulls":5},"PFE","Undo or Reversal of a Chargeback due to Surrender with Excess premium in year one."]
["CFS","Chargeback Renewal year policy status Surrender. ",{"$nulls":5},"PFS","Undo or Reversal Renewal year Chargeback policy status Surrender."]
["CLT","Chargeback due to Loan with Target premium in year one.",{"$nulls":5},"PLT","Undo or Reversal of Chargeback due to Loan with Target premium in year one. "]
["CLE","Chargeback due to Loan with Excess Premium in year one. ",{"$nulls":5},"PLE","Undo or Reversal of Chargeback due to Loan with Excess premium in year one. "]
["CLL","Chargeback in Renewal year due to loan.",{"$nulls":5},"PLL","Undo or Reversal Renewal year Chargeback due to loan. "]
["CRT","Undo or Reversal of a Loan Repayment with Target premium in year one.",{"$nulls":5},"PRT","Loan Repayment with Target premium in year one. "]
["CRE","Undo or Reversal of a Loan Repayment with Excess premium in year one.",{"$nulls":5},"PRE","Loan Repayment with Excess premium in year one. "]
["CLR","Undo or Reversal of Loan Repayment.",{"$nulls":5},"PRL","Renewal Year Loan Repayment."]
["CLB","Chargeback due to Loan (Combination of Target, Excess and Renewal)",{"$nulls":5},"PLB ","Undo or Reversal of Chargeback due to Loan (Combination of Target, Excess and Renewal)"]
["CRB","Chargeback due to Loan Repayment (Combination of Target, Excess and Renewal)",{"$nulls":5},"PRB","Undo or Reversal of Chargeback due to Loan Repayment (Combination of Target, Excess and Renewal)"]
["CR1","Reversal of Commission Payment for First Rolling Target",{"$nulls":5},"PR1","Commisson Payment for First Rolling Target"]
["CR2","Reversal of Commission Payment for Rolling Target 2",{"$nulls":5},"PR2","Commission Payment for Rolling Target 2"]
["CR3","Reversal of Commission Payment for Rolling Target 3",{"$nulls":5},"PR3","Commission Payment for Rolling Target 3"]
["CR4","Reversal of Commission Payment for Rolling Target 4",{"$nulls":5},"PR4","Commission Payment for Rolling Target 4"]
["CR5","Reversal of Commission Payment for Rolling Target 5",{"$nulls":5},"PR5","Commission Payment for Rolling Target 5"]
["CR6","Reversal of Commission Payment for Rolling Target 6",{"$nulls":5},"PR6","Commission Payment for Rolling Target 6"]
["CR7","Reversal of Commission Payment for Rolling Target 7",{"$nulls":5},"PR7","Commission Payment for Rolling Target 7"]
["CR8","Reversal of Commission Payment for Rolling Target 8",{"$nulls":5},"PR8","Commission Payment for Rolling Target 8"]
["CR9","Reversal of Commission Payment for Rolling Target 9",{"$nulls":5},"PR9","Commission Payment for Rolling Target 9"]
["CR0","Reversal of Commission Payment for Rolling Target 10",{"$nulls":5},"PR0 (zero)","Commission Payment for Rolling Target 10"]
["CRX","Reversal of Commission Payment for Rolling Targets 11 +",{"$nulls":5},"PRX","Commission Payment for Rolling Targets 11 +"]
["CEL","Chargeback for Total Compensation Reached State Specified Excess Level",{"$nulls":5},"PEL","Total Compensation Reached State Specified Excess Level"]
["CTC","Chargeback for Total Compensation Reached State Specified Target Level",{"$nulls":5},"PTC","Total Compensation Reached State Specified Target Level"]
[null,"Retirement Plan Payments and Chargebacks"]
["CTD","CB for Initial Deposit - Transaction Based",{"$nulls":5},"PTD","Initial Deposit - Transaction Based"]
[]
["CAD","CB for Initial Deposit - Asset Based",{"$nulls":5},"PAD","Initial Deposit - Asset Based"]
[]
["CST","CB for Subsequent Deposit - Transaction Based",{"$nulls":5},"PST","Subsequent Deposit - Transaction Based"]
[]
["CSA","CB for Subsequent Deposit - Asset Based",{"$nulls":5},"PSA","Subsequent Deposit - Asset Based"]
[]
["CAF","Chargeback of Advisory Fee Payment - Asset Based",{"$nulls":5},"PAF","Advisory Fee Payment - Asset Based"]
["CPF","Chargeback of Pro-rated Advisory Fee Payment - Asset Based",{"$nulls":5},"PPF","Pro-rated Advisory Fee Payment - Asset Based"]
["CFF","Chargeback of Fiduciary Advisory Fee Payment - Asset Based",{"$nulls":5},"PFF","Fiduciary Advisory Fee Payment - Asset Based"]
["CTA","Chargeback for Trails",{"$nulls":5},"PTA","Compensation payment for full trail (asset based).  This is generated due to the selection of a trail compensation option or persistency bonus."]
["CLP","Chargeback Levelized Plan Compensation",{"$nulls":5},"PLC","Levelized Plan Compensation used to identify insurance commissions or plan compensation that is levelized across firm or product type."]
["CLF","Chargeback Fiduciary Advisory Fee Payment - Flat Fee",{"$nulls":5},"PLF","Fiduciary Advisory Fee Payment - Flat Fee"]
[null,"DOL Related Commission & Trail Chargebacks"]
["CDL","DOL Related Commission Chargeback",{"$nulls":5},"PDL","Reversal of DOL Related Commission Chargeback"]
["CTL","DOL Related Trail Commission Chargeback",{"$nulls":5},"PTL","Reversal of DOL Related Trail Commission Chargeback"]
["CPL","DOL Related Premium Based Commission Chargeback",{"$nulls":5},"PPL","Reversal of DOL Related Premium Based Commission Chargeback"]
[null,"Miscellaneous Commission & Trail Chargebacks"]
["CWC","State Withholding on Commissions",{"$nulls":5},"PWC","Reversal of State Withholding on Commissions"]
[]
["Calculated Commission Amount Debit/Credit Indicators",{"$nulls":7},"Data Dictionary",null,null,"Segment"]
[{"$nulls":8},"(2066)",null,null,"(2066)"]
[1,null,"Debit (-)"]
[2,null,"Credit (+)"]
[]
[]
["Net/Prepaid Commission Amount Debit/Credit Indicators",{"$nulls":7},"Data Dictionary",null,null,"Segment"]
[{"$nulls":8},"(2067)",null,null,"(2067)"]
[1,null,"Debit (-)"]
[2,null,"Credit (+)"]
[]
[]
["Total Premium Amount Debit/Credit Indicator",{"$nulls":7},"Data Dictionary",null,null,"Segment"]
[{"$nulls":8},"(2073)",null,null,"(2073)"]
[1,null,"Debit (-)"]
[2,null,"Credit (+)"]
[]
[]
["Product Type Code",{"$nulls":7},"Data Dictionary",null,null,"Segment"]
[{"$nulls":8},"(2076)",null,null,"(2076)"]
["DIS",null,"Disability"]
["EIA",null,"Fixed Index Annuity (formerly Equity Indexed Annuity) "]
["FIX",null,"Fixed Annuity Products"]
["FIA",null,"Fixed Immediate Annuity"]
["IVA",null,"Index Variable Annuity",{"$nulls":3},"An individual variable and index-linked annuity contract, offering variable subaccount(s) and index-linked allocation strategies.  The contract offers the ability to participate in index-linked market gains, while providing a level of protection against index-linked market losses."]
["UL",null,"Fixed Universal Life Insurance"]
["WL",null,"Fixed Whole Life Insurance"]
["LTC",null,"Long Term Care"]
["MVA",null,"Market Value Adjustment"]
["MMT",null,"Money Market Products"]
["NAP",null,"No Associated Product"]
["OIP",null,"Offshore Investment Product",{"$nulls":3},"An insurance product manufactured by an entity headquartered outside the United States.  Generally these products function like an annuity, but are not considered an annuity.  "]
["PEN",null,"Pension Plan"]
["RXA",null,"Registered Index Annuity",{"$nulls":3},"An individual  index-linked annuity contract registered as a security.  The contract offers the ability to participate in index-linked market gains, while providing a level of protection against index-linked market losses."]
["RET",null,"Retirement Plan",{"$nulls":3},"Retirement an/or other benefit plans/programs offered by a Distributor that are functionally similar to annuities, but not an annuity. The Distributor, functioning as an administrator and/or custodian of the program, offers multiple investment options (typically mutual funds or annuities) within the “wrap” of the program, for sale to plan sponsors through distributing broker/dealer intermediaries."]
["TRM",null,"Term Life"]
["VAR",null,"Variable Annuity Products"]
["VIA",null,"Variable Immediate Annuity"]
["VUL",null,"Variable Universal Life Insurance"]
["VWL",null,"Variable Whole Life Insurance",{"$nulls":3},"Only used when there is no CUSIP for the transaction."]
["INL",null,"Index Life"]
["DIA",null,"Deferred Income Annuity"]
[]
["Trail Frequency Indicator",{"$nulls":7},"Data Dictionary",null,null,"Segment"]
[{"$nulls":8},"(2077)",null,null,"(2077)"]
["BD",null,"Yearly"]
["BM",null,"Bi-Monthly"]
["BW",null,"Bi-Weekly"]
["MO",null,"Monthly"]
["SA",null,"Semi-Annual"]
["SP",null,"Quarterly"]
[]
[]
["Commission Basis Amount Debit/Credit Indicator",{"$nulls":7},"Data Dictionary",null,null,"Segment"]
[{"$nulls":8},"(2107)",null,null,"(2107)"]
[1,null,"Debit (-)"]
[2,null,"Credit (+)"]
[]
[]
[]
["Calculated Commission Amount Debit/Credit Indicator",{"$nulls":7},"Data Dictionary",null,null,"Segment"]
[{"$nulls":8},"(2106)",null,null,"(2106)"]
[1,null,"Debit (-)"]
[2,null,"Credit (+)"]
[]
[]
["NSCC Settling Amount Debit/Credit Indicators",{"$nulls":7},"Data Dictionary",null,null,"Segment"]
[{"$nulls":8},"(2095)",null,null,"(2095)"]
[1,null,"Debit (-)"]
[2,null,"Credit (+)"]
[]
[]
["Commission Basis Amount Debit/Credit Indicators",{"$nulls":7},"Data Dictionary",null,null,"Segment"]
[{"$nulls":8},"(2065)",null,null,"(2065)"]
[1,null,"Debit (-)"]
[2,null,"Credit (+)"]
[]
["Premium Payment Mode",{"$nulls":7},"Data Dictionary",null,null,"Segment"]
["AN",null,"Annual",{"$nulls":5},"(2075)",null,null,"(2075)"]
["AB",null,"Annual - Bank Draft"]
["SA",null,"Semiannual"]
["SB",null,"Semiannual - Bank Draft"]
["QT",null,"Quarterly"]
["QB",null,"Quarterly - Bank Draft"]
["MN",null,"Monthly"]
["MB",null,"Monthly - Bank Draft"]
["OT",null,"Other"]
["OB",null,"Other - Bank Draft"]
[]
["Recipient I.D. Qualifier",{"$nulls":7},"Data Dictionary",null,null,"Segment"]
[{"$nulls":8},"(2402)",null,null,"(2402)"]
["FI",null,"Federal Taxpayer's Identification Number"]
["AV",null,"Provider Advisor ID",{"$nulls":3},"Added for Retirement Plans"]
["BO",null,"Branch Office Number",{"$nulls":3},"Added for Retirement Plans"]
["TM",null,"Distributor Assigned Team ID",{"$nulls":3},"Used when the agent record identifies distributor assigned ID that represents the non-natural (group) as a team entity. A producer team consists of two or more individual producers writing or servicing business as a single entity. "]
[]
["Party Role",{"$nulls":7},"Data Dictionary",null,null,"Segment"]
[{"$nulls":8},"(2340)",null,null,"(2340)"]
["H1",null,"Representative"]
["G2",null,"Annuitant"]
["HA",null,"Owner"]
["ZJ",null,"Branch"]
["OK",null,"Owner/Annuitant or Owner/Insured",{"$nulls":3},"Added Owner/Insured to the description in Sept 2015"]
["PI",null,"Insured"]
["PP",null,"Plan Participant"]
["PN",null,"Plan Name"]
[]
["Party I.D. Qualifier",{"$nulls":7},"Data Dictionary",null,null,"Segment"]
[{"$nulls":8},"(2301)",null,null,"(2301)"]
[34,null,"Social Security Number"]
["FI",null,"Federal Taxpayer's Identification Number"]
["SB",null,"Canadian Social Insurance Number"]
["A3",null,"Non-resident Alien Number"]
[]
["Party Non-Natural Entity Date Qualifier",{"$nulls":7},"Data Dictionary",null,null,"Segment"]
[{"$nulls":8},"(2343)",null,null,"(2343)"]
["AB8",null,"Date of Trust"]
["PLN",null,"Live Date of Retirement or Pension Plan",{"$nulls":3},"Added for Retirement Plans"]
[]
["Recipient Role",{"$nulls":7},"Data Dictionary",null,null,"Segment"]
[{"$nulls":8},"(2410)",null,null,"(2410)"]
["H1","Agent / Additional Agents\n",{"$nulls":4},"Individual Agent with a single SSN and possibly a Broker/Dealer Assigned Id.  Used to list additional agents on an application when Primary Agent is defined.  If Primary Agent is not defined, this code is used to identify agent or agents on the contract."]
[]
["RM","Split Agent",{"$nulls":4},"Multiple agents listed on a application as independent entities (unaffiliated firms) with their own SSN and each with a unique Broker/Dealer Assigned ID."]
[]
["TM","Distributor Assigned Team ID",{"$nulls":4},"Used when the agent record is identifies a team with a team tax id and a team Broker/Dealer Assigned Id that represents the group as a team entity."]
[]
["PA","Primary Agent",{"$nulls":4},"The soliciting and/or corresponding agent on a policy.  This is the agent that the customer would most likely be most aware of. "]
[]
["BG","Brokerage General Agency",{"$nulls":4},"The Brokerage General Agency on the policy."]
[]
["WA","Writing Agent",{"$nulls":4},"The agent or producer who has written the policy but is no longer servicing the client and/or policy."]
[]
["IA ","Investment Adviser Representative ",{"$nulls":4},"The person/individual that has access to this fee-based contract.  The IAR has access to the account to manage the underlying funds.  This person may also be the agent on the contract and will be reported separately under the agent record."]
[]
["RA","Servicing Agent",{"$nulls":4},"This identifies the current agent who is servicing the annuity/policy."]
[]
["CA","Commissionable Agent",{"$nulls":4},"The person/individual is receiving the commissions on the reported contract.   This person is different than the writing agent and/or servicing agent.  "]
[]
["HA","House Account",{"$nulls":4},"When an insurance producer or agent is no longer affiliated with the brokerage firm and the contract/policy is still linked to the agency or broker/dealer. This entity is currently receiving commissions or trails on the contract or policy."]
[]
["RI","Registered Investment Advisory Firm",{"$nulls":4},"The firm/entity (non-individual) that has access to this fee-based contract. The RI has access to the account to manage the underlying funds."]
["IM","Independent Marketing Organization",{"$nulls":4},"An IMO (Independent Marketing Organization) works in partnership between independent insurance agents and insurance carriers. IMO's typically help with marketing, training, contracting, recruiting, and ongoing support."]
[]
[]
["Recipient Commission Amount Debit/Credit Indicator ",{"$nulls":7},"Data Dictionary",null,null,"Segment"]
[{"$nulls":8},"(2413)",null,null,"(2413)"]
[1,null,"Debit (-)"]
[2,null,"Credit (+)"]
[]
[]
[]
["Commission Duration Qualifier",{"$nulls":7},"Data Dictionary",null,null,"Segment"]
[{"$nulls":8},"(2421)",null,null,"(2421)"]
["See item #2080 Code List"]
[]
[]
[]
["Commission Expected Duration Qualifier",{"$nulls":7},"Data Dictionary",null,null,"Segment"]
[{"$nulls":8},"(2080)",null,null,"(2080)"]
[1,null,"Day"]
[2,null,"Month"]
[3,null,"Quarter"]
[4,null,"Year"]

{"sheet":"Change Log","index":12,"n_rows":19,"n_cols":5,"rows_kept":19}
["Change Log",{"$nulls":3},"Main Menu"]
["2013-07-15",null,"Modified record layouts for September 2013 release."]
["2013-08-21",null,"Update CBRC code list."]
["2013-10-18",null,"Modified record layouts for March 2014 release."]
["2014-05-12",null,"Updated with September 2014 enhancements"]
["2014-11-12",null,"Updated with March 2015 enhancements"]
["2015-03-13",null,"Updated with September 2015 enhancements"]
["2018-06-28",null,"Updated codes for June 2018 code release"]
["2018-09-27",null,"Updated with September 2018 enhancements"]
["2018-11-01",null,"November 2018 Code List Updates"]
["2019-03-01",null,"Updated with March 2019 enahcements"]
["2019-03-01",null,"Added value of CTP to code list item 2060"]
["2019-09-01",null,"Updated with Sept 2019 enhancements"]
["2020-03-01",null,"March 2020 Code List changes"]
["2020-09-01",null,"Updated with June 2020 code list release and September 2020 enhancements"]
["2021-04-01",null,"Updated reject codes due to internal audit review"]
["2021-08-01",null,"Updated definitions on data dictionary for items 2062, 2064, and 2414"]
["2021-09-01",null,"September 2021 Code List changes"]
["2022-07-01",null,"Summer 2022 enhancements"]

{"sheet":"COM Cycles","index":13,"n_rows":19,"n_cols":5,"rows_kept":19,"merged":[[12,4,12,7],[16,0,16,8],[18,0,18,8]]}
["COM Output Cycles (701 File)"]
[]
["Production"]
["Cycle #","Output Time",null,"Destination","Business Purpose of File"]
[1,"08:30:00",null,"Carrier Only","Rejects"]
[2,"09:00:00",null,"Carrier Only","Rejects"]
[3,"09:30:00",null,"Carrier Only","Rejects"]
[4,"10:00:00",null,"Carrier Only","Rejects"]
[5,"10:30:00",null,"Carrier Only","Rejects"]
[6,"11:00:00",null,"Carrier Only","Rejects"]
[7,"11:30:00",null,"Carrier Only","Rejects"]
[8,"12:00:00",null,"Carrier Only","Rejects"]
[98,"12:30:00",null,"Distributor and Carrier","Commisson Output - Distributors\nRejects - Carriers"]
[]
["Carriers must submit COM file prior to 12:30pm to make same day settlement."]
[]
["COM MSD-Money Settlement Detail file (702) will be transmitted to Carriers and Distributors between 12:30pm and 1:00pm"]
[]
["COM MSS-Money Settlement Summary file (709) will be transmitted to Carriers and Distributors between 2:00pm and 2:30pm"]