Standard Usage

ACATS/IPS

IFT File Output Structure Guidelines (Acrobat .pdf, 26KB, Current Version)
IFT Reject File Structure Guidelines (Acrobat .pdf, 20KB, Updated 2005)
ACATS/IPS High Level Process Flow (Acrobat .pdf, 9KB, Updated 01/2004)
ACATS/IPS Detailed Level Process Flow Part I - ACATS Process (Acrobat .pdf, 12KB, Updated 02/2004)
ACATS/IPS Detailed Level Process Flow Part II - IPS Process (Acrobat .pdf, 11KB, Updated 03/2004)
ACATS/IPS User Guide (Acrobat .pdf, 1.48MB, Updated 06/2012)
By Transaction Type: CAT Transaction to Carrier (Acrobat .pdf, 46KB, Updated 03/2005)
By Transaction Type: CAT Confirmation (Acrobat .pdf, 95KB, Updated 03/2005)
By Transaction Type: REP Transaction (Acrobat .pdf, 53KB, Updated 04/2005)
By Transaction Type: BEN Transaction (Acrobat .pdf, 54KB, Updated 03/2005)
By Transaction Type: TEX Transaction (Acrobat .pdf, 65KB, Updated 09/2004)
ACATS/IPS Standard Usage for Status Reason Codes (Acrobat .pdf, 28KB, Updated 12/2006)
Canned Data Samples: CAT Output/Confirm (Text .txt, 15KB, Current Version)
Canned Data Samples: TEX Transaction (Text .txt, 1KB, Current Version)
Canned Data Samples: REP Transaction (Text .txt, 6KB, Updated 12/2007)
Selling Agreement Addendum Suggested Verbiage (Acrobat .pdf, 10KB, Updated 12/2003)
The selling agreement addendum is a sample created by the ACATS/IPS Working Group to allow for automated broker/dealer changes. This document can be used as a guide and may be changed to meet the needs of your particular firm. Review this document with your legal department.
Transfer Initiation Form (TIF) Suggested Verbiage (Acrobat .pdf, 11KB, Updated 02/2005)
The attached document provides suggested verbiage to add to the TIF in order to include reference to insurance information.
ACATS/IPS Use Cases (MS-Excel .xls, 88KB, Updated 05/2004)
Use Cases provide examples of how the process would work under different transaction scenarios.

Commissions

1035 Exchange Advanced Commission Payment Standard Usage (MS-Excel .xls, 21.3KB, Current Version)
Commission Processing Workflow (MS-Word .doc, 223KB, Current Version)
Standard Usage for COM Basis Reason Codes (Acrobat .pdf, 162KB, Updated 10/2023)
Standard Usage - Advisory Fee Payment Processing Settlement (Acrobat .pdf, 318KB, Updated 10/2023)
Policy Year Target Standard Usage (Acrobat .pdf, 25KB, Updated 09/2005)
Non-Target - Base Coverage, Riders/Beneifits, Excess Risk, Increases and Agent Splits (Acrobat .pdf, 25KB, Updated 10/2005)
Rolling Targets Standard Usage (Acrobat .pdf, 19KB, Updated 08/2005)
Target and Excess Standard Usage (Acrobat .pdf, 28KB, Updated 08/2005)
Expense Reimbursement Agreement (ERA) Standard Usage (Acrobat .pdf, 17KB, Updated 10/2005)
Commission Payment Overrides Standard Usage (Acrobat .pdf, 19KB, Updated 12/2005)

Financial Activity Reporting

FAR Standard Usage (MS-Excel .xls, 95KB, Updated 11/2018)
FAR Transaction ID standard definitions (MS-Excel .xls, 34.5KB, Updated 09/2018)
FAR Standard Usage for Life Insurance Processing (Acrobat .pdf, 14KB, Current Version)

Fund Transfers

Sample Fund Transfers Selling Agreement Addendum - Long Version (Acrobat .pdf, 18KB, Current Version)
Sample Fund Transfers Selling Agreement Addendum - Short Version (Acrobat .pdf, 15KB, Current Version)

Inforce Transactions

IFT Standard Usage by Transaction: REP Transaction (Acrobat .pdf, 50KB, Updated 03/2005)
IFT Standard Usage by Transaction: BIN Transaction (Acrobat .pdf, 50KB, Updated 09/2004)
Broker Dealer of Record Change Documents (DTCC Learning)

Initial Application (APP) and Subsequent Premium (SUB)

Standard Usage (MS-Excel .xls, 324KB, Updated 04/2010)
APP – Question and Answer Suggested Usage (MS-Excel .xls, 21KB, Updated 03/2023)

IIEX – Commission Schedule Transmittal (CST)

Commission Schedule Identifier – Standard Usage (Acrobat .pdf, 152KB)
Commission Schedule Type – Code Definition – Standard Usage (Acrobat .pdf, 39.4KB)
CST – Updating Commission Rates (Acrobat .pdf, 90.1KB)
CST Multiple Active Schedules – Standard Usage (Acrobat .pdf, 18.4KB)
Commission Schedule Identifier & POV Contract Level Linking – Standard Usage (Acrobat .pdf, 46.7KB)
CST Export - Specifications (MS-Excel .xls, 41.0KB)
CST Export Sample (MS-Excel .xls, 13.7KB)

IIEX – Fee & Expense Transmittal (FET)

Fee & Expense Transmittal – Fee Modeling (MS-Word .doc, 32.9KB)

Licensing & Appointments

Education Providers - Onboarding Procedures (MS-Word .doc, 407KB, Current Version)
Periodic Reconciliation Workflow (MS-Word .doc, 27KB, Current Version)
Renewals Standard Usage (MS-Excel .xls, 93KB, Updated 04/2003)
NAIC Number Standard Usage (MS-Word .doc, 27KB, Current Version)
Misc L&A Processing Standard Usage (Acrobat .pdf, 14KB, Current Version)
Code List Standard Usage (MS-Excel .xls, 130KB, Current Version)
Carrier Reject Processing Standard Usage (Acrobat .pdf, 13KB, Updated 10/2007)

Miscellaneous

Product CUSIP Recommended Usage (Acrobat .pdf, 161KB, Updated 4/2021)
Usage of Party Roles - Best Practices (MS-Word .doc, 279KB, Current Version)
Agent Role Code Standard Usage (MS-Word .doc, 38KB, Current Version)
Multiple Agents / Team Standard Usage (MS-Word .doc, 125KB, Current Version)
Associated Carrier Company ID Standard Usage (Acrobat, .pdf, 26KB, Current Version)
Rules for Reject Processing and Billing (MS-Word .doc, 71KB, Updated 6/2023)
Standard Usage - NPN & CRD Numbers (Acrobat .pdf, 94.8KB, Updated 04/2020)

Positions & Valuations

POV Grouping ID Usage (MS-Word .doc, 43KB, Current Version)
Positions and Values Suggested Usage (Acrobat .pdf, 119KB, Updated 07/2004)
Annuity Payout Record (13-08) Suggested Usage (Acrobat .pdf, 229KB, Updated 08/2004)
POV Immediate Annuities Liquidity Option Standard Usage (Acrobat .pdf, 12KB, Current Version)
Service Feature Record Type Code / Sub-type Code Standard Usage (MS-Excel .xls, 60KB, Updated 05/2010)
POV Standard Usage - Fund Level Dates (MS-Word .doc, 60KB, 01/2024)

Settlement Processing for Insurance (STL)

Best Practice to Establish Carrier Relationships (STL/RPL) (Acrobat .pdf, 207KB, Updated 1/2020)