Skip to main content

File Specifications

Back to Bulk Transfer Initiative

DTCC for Bulk Transfer

  • Account and Customer Layout
    Contains two record types: Account and Customer. Each Account record is immediately followed by associated Customer records (up to 99). Linking references are included to provide explicit relationship.
  • Open Tax Lot
    Open tax lots associated with open positions in Positions and Balances file. NOTE: No closed lots should be included in this file. The file is optional and may be excluded from the Data Vaulting Process.
  • Position and Balances Layout
    Customer and firm positions held for the institution’s legal entity. NOTE: Both sides of the ledger were considered critical to fully capture the positions and balances.
  • Security Masterfile
    List of any security that the institution holds open positions in and/or has a pending transactions. NOTE: It does not have to be a full Security Masterfile, it requires only securities that are referred to in any of the other brokerage files.
  • Bulk Transfer File Specification Document

Sheltered Harbor

  • Pending Dividends Layout
    Dividends pending receipt between record date and payable date. It has two record types: Announcement records with rates per unit of security position and Detail records with account record-day positions. Detail records are linked to announcements. NOTE: Only announcements that have corresponding detail records are required.
  • Pending Trades Layout
    Data for trades with a settlement date greater than the extraction day. NOTE: The file contains one-sided trades (one account in the trade record). If the source systems maintain two-sided trades, these trades must be converted to pairs of one-sided trades.
  • Corporate Action Elections
    Accounts elections for voluntary corporate actions. It may refer to DTC announcements or Non-DTC announcements. If an election refers to a non-DTC announcement, the terms of the announcement should be included in Non-DTC Announcements file.