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Bulk Transfer
Name and Address File
Implementation Guide
May 31, 2016
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Table of Contents
1. Business Summary ...................................................................................................... 3
2. Connectivity Options ................................................................................................... 4 3. Eligibility ..................................................................................................................... 5 4. Activation Procedures: ................................................................................................ 6 5. Hours of Operation: ..................................................................................................... 8
6. Fee ............................................................................................................................... 9 7. Input Transmission (Datatrak) ................................................................................... 10
8. Processing .................................................................................................................. 11 9. Output Transmission (Autoroute) .............................................................................. 12
10. Test System/Production System ............................................................................ 13 11. DTCC Contact Information ................................................................................... 14 Appendix A. ...................................................................................................................... 15
Datatrak Header Layout ................................................................................................ 15 Appendix B. ...................................................................................................................... 17
Datatrak Trailer Record Layout .................................................................................... 17 Appendix C. ...................................................................................................................... 18
Autoroute Header Record Layout – this record is created by DTCC. .......................... 18
Appendix D. ...................................................................................................................... 20
Name & Address Data Sample ..................................................................................... 20
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1. Business Summary
About the Name and Address File The Name and Address file is a standard record layout format that firms can use to send
and receive customer account information required in an account conversion process.
The file is expected to be used in cases where a delivering firm is in distress and has
decided to move its accounts to a new firm that can provide continued service to its
customers. The first step (phase 1) in the process is to send customer account
information to the identified receiving firm(s) that allows it to open a new customer
account. Decisions on what firms will receive accounts will be made between firms and
regulators and is outside the scope of this document. The Name and Address file is only a
beginning stage and does not provide all the information that a receiving firm may
require readying a customer for full trading. Additional data files, to be determined in
later phases, may be required to complete that process.
About Account Information Transmission The Account Information Transmission Service (AIT) is secure data transport
infrastructure that provides a standard method of passing data between firms. AIT has
been primarily been used by clearing firms for account conversions. Firms will be
required to subscribe to the AIT service and must be operationally ready to submit and
receive customer account data per regulatory requirements. Firms will send data to the
AIT service via DTCC’s Datatrak protocol and receive data through Autoroute. AIT
service is only a data transport facility. It will only validate participant information in the
Datatrak header and trailer records during submission. It will not edit any of the data
syntax or structure in the actual file. It is the responsibility of the sending firm to adhere
to the rule set forth in the record layouts. If data received by the receiving firm does not
conform to the layout, it will be up to the two parties to reconcile the information.
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2. Connectivity Options 1. The SMART Network – DTCC’s Securely Managed and Reliable Technology built specifically
to transport mission critical data. This is a direct network connection that supports FTP and
NDM.
2. DTCC Web Portal – A Web based environment which uses digital certificates that enable
upload and download of files through the DTCC Portal. Files submitted via Web Portal must
adhere to record layout formats.
Firm should contact their relationship managers or NSCC Support to confirm what option
currently exists or to setup new connectivity.
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3. Eligibility
All firms that use AIT must be a Full Service member. (NSCC Rule 2 Full Service)
AIT is under NSCC Rule 59
RULE 59. ACCOUNT INFORMATION TRANSMISSION SERVICE
The Corporation may provide a service to Members that enables Members to transmit
account related information between themselves on an automated basis in respect of the
movement of correspondent accounts between Members, or other material events that
result in the bulk movement of accounts between Members. Members who desire to use
this service must notify the Corporation in such form and by such time as the Corporation
may determine from time to time. Information transmitted pursuant to this rule (referred
to as “AIT Data”) must be submitted to the Corporation in such form and within such
time frame as established by the Corporation from time to time
http://dtcc.com/legal/rules-and-procedures
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4. Activation Procedures:
Account Information Transmission (AIT) Service – Activation
Procedures:
1. Testing:
It is recommended that firms complete testing of the AIT Service prior to activation:
Testing for this service is available in the Participant Services Environment (PSE) / Test
region. Participant should contact their Relationship Manager at least three days prior to
the preferred test date and request to be setup for the AIT Service. The RM’s will request
on your behalf the setup of Datatrak SYSID 46354 and Autoroute ID 02980354. NSCC
Operations will then contact the firm to initiate setup with your specified technical
contacts.
2. AIT Agreement Execution / Production Setup (see below):
Upon successfully testing the service, the firm will email their RM a request to setup the
AIT service in production. Firm should follow the template provided on the next page of
this document. . The RM’s will request on your behalf the setup of Datatrak SYSID
36354 and Autoroute ID 02510354. NSCC Operations will then contact the firm to initiate
setup with your specified technical contacts. This action will start the billing for the
AIT service.
***Firms may choose to setup both Test and Production at the same time. Please note
that production setup will initiate the monthly billing of the service.
TO BE EXECUTED ON COMPANY’S LETTERHEAD [DATE] Attention: NSCC Relationship Management National Securities Clearing Corporation
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Account Information Transmission Service (AIT) – Activation Letter Please activate _____(firm name)_____________. #_____, effective on processing date ___________________________, 20__, for the Account Information Transmission (AIT) Service. I acknowledge that a monthly fee of $200.00 will be charged to the applicable participant number, beginning in the month of setup. Sincerely,
By:_______________________ Signature of Authorized Person Name:____________________ Title:_____________________
Date:____________________
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5. Hours of Operation: AIT is available for processing 24 hours, 7 days a week, except from Saturday 7:00 PM until Sunday 1:00 PM.
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6. Fee Participants will be required to pay a monthly fee of $200.00 once enrolled. Billing
begins once a participant is setup for production. The AIT fee is charged beginning the
month of connectivity. The full monthly fee will be charged during the month of setup.
No partial fees are provided.
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7. Input Transmission (Datatrak)
Firms using the Account Information Transmission service will send their files to DTCC
via Datatrak.
Datatrak ID number – 46354 – PSE / TEST
Datatrak ID number - 36354 – PRODUCTION
DTCC will support the same data transmission protocols as currently used for the
ACATS input.
The first record on each Datatrak transmission file must be the Datatrak Header record.
The Datatrak Header Layout is defined in Appendix “A”.
Only variable length files may be transmitted via the new Account Information Transfer
system. Each Datatrak input transaction must be defined as 4000 bytes variable record.
Contents of the record are defined by the Name & Address file record layout. Block size
is one of the parameters that must be defined by the firm. The DataTrak software cannot
handle files exceeding 30,000 bytes. Participants are required to set the block size
parameter at an acceptable value for DataTrak.
The Trailer record must be attached to each input Datatrak file as the last record. Please,
note that Datatrak Trailer is for input only and will not be distributed to the receiving
participant as part of the Autoroute output file. The Datatrak Trailer Layout is defined in
Appendix “B”.
The Datatrak date cut off time will be 12:00AM ET including weekends. This
means, that, in order to be accepted, all input files, received in Datatrak, must
have current calendar date in the Submission Date field of the Datatrak Header.
Also, batch sequence numbers must be included on the header and incremented
throughout the day starting anew after midnight
Participants should request to be setup with the test Datatrak SYSID 46354 and test
AutoRoute ID 02980354
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8. Processing
Sending Firm will send their input files to DTCC via Datatrak.
Upon receiving the input file, DTCC will do the following:
Open the file
Process the Datatrak Header, provided by the sending firm
Convert the input Datatrak file into the Autoroute output file for the
Destination (Receiving) broker, specified in the Receiving Broker field of
the Datatrak Header
Distribute output to the Destination Broker via Autoroute immediately.
There are no set cycles. Data will be sent to receiving broker as soon as
DTCC receives and processes the file. Receiving firms must be prepared
to receive multiple files in a single day if the circumstance warrants it.
Receiving firm will receive their output files from DTCC via Autoroute and
process accordingly.
AutoRoute DataTrak
Sending BD (or
Correspondent Clearing
Firm) Generates DataTrak Input
File 36354 Per Required
Header Format.
Proprietary Customer
Name and Address
Information and/or
Position and Balance
Records Are Attached.
Receiving BD (or
Correspondent Clearing
Firm)
Receives Sending BD
Data via NSCC’s
AutoRoute System.
Utilizes name and
address information
and customer position
and balance data as
appropriate.
DTCC
“ The Hub” Facilitates File
Transfer Between
Sending and Receiving
BD via Datatrak.
Receives and
converts DataTrak
Input File 36354 to
AutoRoute Output
File
Delivers Output File
of Sending BD’s
proprietary data via
AutoRoute to
Receiving BD.
Available 7 days,
except 7pm Sat – 1pm
Sun
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9. Output Transmission (Autoroute) Firms using the Account Information Transfer system will receive their files from DTCC
via Autoroute.
Autoroute ID number - 02980354
Autoroute ID number - 02510354
DTCC will support the same data transmission protocols as currently used for the
ACATS Output.
Usually, when Autoroute output file is created, an Autoroute Header record is attached as
a first record on the file. However, at the request of the receiving firm, the Header record
may be removed before the file is distributed by the Autoroute.
Please, note, the Autoroute Header is created in addition to the data provided by the
sending participant, which means that all input records, including Datatrak Header and
detail records, will be passed to the receiving broker as submitted.
The Autoroute Header Record layout is defined by DTCC in Appendix “C”.
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10. Test System/Production System
Test System
DTCC will make the AIT service available in the Participant Service Environment (PSE)
for firms to test connectivity setup. The intent of this environment is for firms to send and
receive test data to verify the correct connectivity has been established. DTCC has a test
Datatrak SYSID (46354) and test Autoroute ID (02980354) for PSE testing. The PSE
environment should not be utilized to submit and receive any production data.
Production System
The AIT production environment should be utilized by firms to exchange data as it
relates to a production bulk transfer event. Participants can exchange test files and
production files in this environment.
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11. DTCC Contact Information The following contact information should be used if you are experiencing any technical
issues with submission or receipt of files to/from DTCC for the AIT service:
NSCC Support
888-382-2721
Option 5, then Option 1
Or
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Appendix A.
Datatrak Header Layout
DATATRAK HEADER - Upgraded Format Header
For a variable-length file, a minimum header length is 72
Description Length Start End Type Comments
Constant 1 5 1 5 A/N 'HDR.S'
DATATRAK Sysid
5 6 10 A/N System Identifier (36354-production or 46354-test)
Constant 2 2 11 12 A/N '.E' (period, E)
Constant 3 2 13 14 A/N '00'
Constant 4 2 15 16 A/N '.C' (period, C)
Originator 4 17 20 A/N Submitter (NSCC Participant Number or Originator Code)
Constant 5 2 21 22 A/N '.S' (period, S)
Suboriginator 4 23 26 A/N Submitted for Broker
Submission Date 8 27 34 A/N MMDDCCYY
File Description 25 35 59 A/N Free Form. May be used by participating firms for additional information concerning the specific transmission (i.e. event name, file name, etc.)
Multi Batch Indicator
1 60 60 A/N No Multi Batch = Space N = Multi Batch, Not Last - use if you plan to send additional files Y = Multi Batch, Last
Multi Batch Number
3 61 63 N No Multi Batch = Spaces Multi Batch = Sequential # starting with 001 (maximum = 500) – used when multi batch indicator is N.
Future Use 1 64 64 A/N Reserved
Variable Length Record Indicator
1 65 65 A/N Variable Length = *
Receiving Broker 4 66 69 A/N Receiving party of the data submitted – NSCC Participant Number
Future Use 3 70 72 A/N Reserved
Job name (from user)
8 73 80 Return what they sent in
END OF RECORD
The first record on each Datatrak transmission file must be the Datatrak Header record.
Example
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>=Space
HDR.S36354.E00.C0122.S012201152015NAMEANDADDRESSFILE>>>>>>>N001>
*>>>>>>>>>>>>>>>
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Appendix B.
Datatrak Trailer Record Layout
DATATRAK TRAILER (Selected applications only)
Trailer
A trailer present for a variable length file has a minimum length of 26 bytes.
Description Length Start End Type Comments
Constant 1 5 1 5 A/N 'END.S'
DATATRAK Sysid 5 6 10 A/N System Identifier (36354-production or 46354-test)
Constant 2 2 11 12 A/N '.E'
Constant 3 2 13 14 A/N '00'
Constant 4 2 15 16 A/N '.C'
Originator 4 17 20 A/N Submitter (NSCC Participant Number or Originator Code)
Constant 5 2 21 22 A/N '.S'
Suboriginator 4 23 26 A/N Submitted for Broker
Record Count 7 27 33 N Optional Field. Count of data records in file.
Future Use 47 34 80 A/N Spaces
END OF RECORD
The Trailer record must be attached to each input Datatrak file as the last record. Example
>=Space
END.S36354.E00.C0122.S012200000150>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>
>>>>>>>>>>>>>>
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Appendix C.
Autoroute Header Record Layout – this record is created by DTCC.
This is the first record of the file received by Receiving Firm.
AUTOROUTE HEADER RECORD
FIELD NAME
LENGTH
START
END
TYPE
COMMENTS
Header ID 6 1 6 A/N Always = 1TRANS
Application Date 8 7 14 NUM CCYYMMDD
Reserved 2 15 16 Do not use
Product Number 3 17 19 NUM
Product Description
20 20 39 A/N Alpha Product Description
Reserved 3 40 42 Do not use
Reserved 1 43 43 Do not use
Multi-Cycle Transmission Counter
2 44 45 A/N 01-99 Logical multi-cycle count of the job sent, or Spaces = Not multi-cycle
Poss Dupe Indicator
1 46 46 A/N Space = original transmission 1 = Poss Dupe from DTCC
Product ID 8 47 54 NUM 8-digit code issued by DTCC to identify the report or file
Application's Multi-Cycle Counter
2 55 56 NUM 1, 2,...,97 = Applications which provide more than one output per day have a sequential number for each output. Final output cycle number for a day = 98. Spaces = Not multi-cycle
Recipient ID 7 57 63 A/N This code is assigned to the destination of this transmission. It normally begins with the four-digit broker ID number.
Constant 1 64 64 NUM Always = 0 (zeros) (Contains other values for DTCC internal distribution)
Record Count 9 65 73 NUM Number of data records or print lines that follow
Sender ID 4 74 77 A/N Always = DTCC
Constant 3 78 80 A/N Always = CDT Last field of 80-byte RJE header
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FIELD NAME
LENGTH
START
END
TYPE
COMMENTS
Reserved 1 81 81 Do not use
Date Created 8 82 89 A/N CCYYMMDD
Reserved 3 90 92 Do not use
Time Created 5 93 97 A/N HH:MM
Reserved 4 98 101 Do not use
Constant 3 102 104 A/N Always = RDT
Reserved 1 105 105 Do not use
Date released 8 106 113 A/N CCYYMMDD File transmission date
Reserved 3 114 116 Do not use
Time released 5 117 121 A/N HH:MM File transmission time
Reserved 12 122 133 Do not use
Filler N 133 N Do not use -- padding to match file record size
END OF RECORD
Example
>=Space 1TRANS20151001>>02510354>>>>>>>>>>>ACCOUNTINFOTANSFER>>>>>>01>980122NY1000099999DTCCCDT>2015100
1>>>15:30>>>>RDT>20151001>>>15:40>>>>>>>>>>>>
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Appendix D.
Name & Address Data Sample A0000000001- Account info 1 C0000000001- Customer info-1 C0000000001 – Customer info-2 A0000000002 – Account info 2 C0000000002 – Customer info-1 C0000000002 – Customer info- 2
1TRANS20160501AITACCOUNTINFOTRANS 01 02510354010122NY10000000045DTCCCDT 20150501 10:30 RDT 20150501 10:31
A00000000010122 12-345678 IRNNNC N99 01 SMITH JOHN
C000000000112-345678 0101 WILLIAMS GEORGE A00000000020122 A23456789 IRNNNC Y01 05 SMITH JOHN
C0000000002A23456789 0101 WILLIAMS GEORGE A00000000110122 Z13456789-01 SNYNNC N99 01 JONES C0000000011Z1345679-01 0101 DAVIS A MARK
C0000000011Z1345679-01 0701 MILLER
