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.