FAN Mail Master File Formats Reference Guide PDF

®
FAN Mail
MASTER FILE FORMATS
Reference Guide
November 1, 2018
DST Systems, Inc. (DST) has provided the information in this Reference Guide for general informational purposes only, has a right to alter it at any time, and does not
guarantee its timeliness, accuracy or completeness. All obligations of DST with respect to its systems and services are described solely in written agreements
between DST and its customers. This document does not constitute any express or implied representation or warranty by DST, or any amendment, interpretation or
other modification of any agreement between DST and any party. DST hereby disclaims all warranties, either express or implied, including the warranties of
merchantability and fitness for a particular purpose. In no event shall DST or its suppliers be liable for any damages whatsoever including direct, indirect, incidental,
consequential, loss of business profits or special damages, even if DST or its suppliers have been advised of the possibility of such damages."
©2019 DST Systems, Inc. All rights reserved. The trademarks and service marks of DST and its affiliates, and those of third parties, used herein are the property of
their respective owners.
DST Systems, Inc.
333 W. 11th
Kansas City, MO 64105
www.dstsystems.com
Contents
About This Guide ........................................................................................................................................ 6
What is FAN Mail? ........................................................................................................................................................................ 6
Locating More Information ......................................................................................................................................................... 6
Submitting Documentation Comments ................................................................................................................................... 7
FAN Mail Administration ............................................................................................................................................................. 7
Selection Criteria ........................................................................................................................................................................... 7
File Retrieval .................................................................................................................................................................................. 8
Downloading FAN Mail Files ....................................................................................................................................................... 8
File Naming Conventions ............................................................................................................................................................ 9
Client Account Information ...................................................................................................................................................... 10
CUSIP Information ..................................................................................................................................................................... 13
Customer Account Information .............................................................................................................................................. 13
Interpreting Record Layouts .................................................................................................................................................... 14
1. Header Record ...................................................................................................................................... 15

Header Record (RHR) ............................................................................................................................................................... 15
RHR - Header Record-Header Record 1 of 1 ........................................................................................................................ 15
2. Trailer Record ....................................................................................................................................... 17

Trailer Record (RTR) .................................................................................................................................................................. 17
RTR - Trailer Record-Trailer Record 1 of 1 ............................................................................................................................ 17
3. Account Position .................................................................................................................................. 18

Account Position File (APR) ..................................................................................................................................................... 18
APR Policy Header (VUL Only) ................................................................................................................................................ 18
APR - Account Position-Detail Record 1 of 3 ........................................................................................................................ 19
APR - Account Position-Detail Record 2 of 3 ........................................................................................................................ 22
APR - Account Position-Detail Record 3 of 3 - Optional ..................................................................................................... 24
4. Direct Financial Activity File (DFA) .................................................................................................... 25

DFA - Direct Financial Activity (VUL Only)-Header Record 1 of 1 .................................................................................... 25
DFA - Direct Financial Activity-Detail Record 1 of 4............................................................................................................. 26
DFA - Direct Financial Activity-Detail Record 2 of 4............................................................................................................. 29
DFA - Direct Financial Activity-Detail Record 3 of 4 - Optional ......................................................................................... 31
DFA - Direct Financial Activity-Detail Record 4 of 4 - Optional ......................................................................................... 33
3
Master File Formats Reference Guide
5. New Account Activity, Account Master Position, Non-Financial Activity .................................. 34

New Account Activity File (NAA) ............................................................................................................................................. 34
Account Master Position File (AMP) ...................................................................................................................................... 34
Non-Financial Activity File (NFA) ............................................................................................................................................ 34
NAA/AMP/NFA Policy Header (VUL Only)-Header Record 1 of 2 ................................................................................... 34
NAA/AMP/NFA Policy Header (VUL Only)-Header Record 2 of 2 ................................................................................... 35
NAA/AMP/NFA - New Account Activity, Account Master Position, Non-Financial Activity-Detail Record 1 of 4 .... 36
NAA/AMP/NFA - New Account Activity, Account Master Position, Non-Financial Activity-Detail Record 4 of 4 -
Optional ....................................................................................................................................................................................... 44
NFA(07) - Non-Financial Activity - Detail Record 6 (Optional) ........................................................................................... 45
6. Distribution Activity .............................................................................................................................. 47

Distribution Activity File ............................................................................................................................................................ 47
CGH/DVH/FTH - Distribution Activity-Header Record 1 of 1 ............................................................................................. 47
CGR/DVR/FTR - Distribution Activity-Detail Record 1 of 3 ................................................................................................ 48
CGR/DVR/FTR - Distribution Activity-Detail Record 2 of 3 ................................................................................................ 49
CGR/DVR/FTR - Distribution Activity-Detail Record 3 of 3 - Optional ............................................................................. 50
7. Security File .......................................................................................................................................... 52

Security File................................................................................................................................................................................. 52
Security File-Header Record 1 of 1 ......................................................................................................................................... 52
Security File-Detail Record 1 of 1 ............................................................................................................................................ 53
Security File-Trailer Record 1 of 1 .......................................................................................................................................... 53
8. Fund Price .......................................................................................................................................... 55

Fund Price File ............................................................................................................................................................................ 55
FPR - Fund Price-Header Record 1 of 1 (For Price File Only) ............................................................................................ 55
FPR - Fund Price-Detail Record 1 of 1.................................................................................................................................... 56
9. Cost Basis Account Position File ...................................................................................................... 58

Cost Basis Account Position File ............................................................................................................................................ 58
CBP - Cost Basis Account Position File-Detail Record 1 of 3 ............................................................................................ 58
4
10. Cost Basis Account Activity File ..................................................................................................... 63

Cost Basis Account Activity File ............................................................................................................................................. 63
CBA - Cost Basis Account Activity File-Detail Record 1 of 2 ............................................................................................. 63
CBA - Cost Basis Account Activity File-Detail Record 2 of 2 ............................................................................................. 64
11. Cost Basis Tax Lot Position File ..................................................................................................... 66

Cost Basis Tax Lot Position File ............................................................................................................................................. 66
TLP - Cost Basis Tax Lot Position File-Detail Record 1 of 2 .............................................................................................. 66
TLP - Cost Basis Tax Lot Position File-Detail Record 2 of 2 .............................................................................................. 67
12. Cost Basis Tax Lot Activity File ....................................................................................................... 69

Cost Basis Tax Lot Activity File ............................................................................................................................................... 69
TLA - Cost Basis Tax Lot Activity File-Detail Record 1 of 3 ............................................................................................... 69
Appendix A. Miscellaneous Information .............................................................................................. 74

Social Codes ............................................................................................................................................................................... 74
Record Codes ............................................................................................................................................................................. 74
Account Type Indicators .......................................................................................................................................................... 74
Glossary .......................................................................................................................................... 75
Index .......................................................................................................................................... 84
5
About This Guide

What is FAN Mail?
Financial intermediaries are often looking to close the back-office automation gap and eliminate inefficient data entry. Mutual
Fund, Alternative Investment and Life Insurance companies are often looking for a cost-effective way to consolidate, archive,
address, and deliver customer account information over the Internet. As a result, DST Systems developed FAN Mail.
FAN Mail is an automated source for complete customer account information across mutual fund, variable annuity, variable
universal life, program managers and alternative investment companies including confirmation of purchases, redemptions,
exchanges, and distributions, as well as access to information on positions and daily prices. DST FAN Mail transmits daily
transactions directly from the fund company’s recordkeeping system to the financial intermediary’s portfolio-management or
asset tracking software. Intermediaries download the data from a directory accessed through the DST FAN Mail website,
which is HTTPS/SSL secured.
FAN Mail streamlines daily back-office administration tasks and allows advisors to automate the manual data entry of their
customers’ information and transactions. As an essential component in thousands of financial advisors’ and broker/dealers’
back-offices, FAN Mail is a vital link to the largest single source of mutual fund, variable annuity, variable universal life,
program managers and alternative investment customer account information available.
Financial advisors can enroll at www.dstfanmail.com or call (800) 435-4112, for more information.
Using This Guide

The following formatting conventions are used throughout this guide.
Bold—Keyboard keys, selected/typed/displayed values, and interface elements, such as buttons, labels, boxes,
tables/columns, menus, and options.
Code—Code words, phrases, and syntax you must type exactly as shown.
Note: Helpful information for the current topic/procedure.
Important: Necessary information crucial for the current topic/procedure.
Tip: Information to increase your speed and efficiency while using the application.
Warning: Your actions could cause a loss of data or fatal system error.
Locating More Information

Additional information about this product is available through the TA2000 Customer Center and the DST Workstation Support
Center – (816) 435-8400.
6
Submitting Documentation Comments

DST makes every effort to ensure the accuracy of this guide. If you have comments, questions, or ideas regarding this guide,
contact DST Technical Communications at techcomm@dstsystems.com.
Include the following information with your correspondence:
• Title of the guide and date on the cover
• Document chapter, section, and page number
• Your suggestion for how to correct or improve the documentation

Note: This email address is only for documentation feedback. Contact your Client Relations representative for product
support.
FAN Mail Administration

The DST FAN Mail department handles all types of user inquiries, both technical and non-technical. This department also
serves as an administrative center for all management companies available through the service. Users submit requests for
access through the DST FAN Mail website to track the exact status of all requests for both the data providers and financial
advisors.
In addition to providing user access, the FAN Mail department can help software vendors and proprietary users with the
development of their interfaces by defining the various file types and interpreting specific fields.
Selection Criteria
FAN Mail can transmit files based on various selection criteria found on the accounts located on the recordkeeping system of
the management company.
• Dealer Level—Extraction and transmission of all accounts associated with a broker/dealer firm. Therefore, extraction of
all account data associated with every representative takes place.
• Dealer/Branch Level—Extraction and transmission of all accounts associated with a specific office of advisors.
• Dealer/Branch/Representative Level—Extraction and transmission of all accounts associated with a specific financial
advisor.
Note: FAN Mail supports multiple combinations of selection criteria.
In addition to dealer/branch/representative number, FAN Mail also supports Tax ID, Trust, and Third-Party Administrator as
account selection criteria. These additional selections are not available through the website, so the enrollee must call to enroll
for these types of account selection criteria.
Note: It is important to note this is the Tax ID of the organization such as a trust company, not the individual Social
Security number of a contract owner.
All requests for access require approval by your firm through the DSS website.
No-load funds can assign an individual financial advisor an entire dealer number instead of using the branch or representative
fields to link customer accounts. If the advisor does not have a unique dealer or advisor number at the time of making the
initial request, the fund assigns one, and then codes the accounts accordingly.
7
External Interfaces can use any single field or combination of fields (dealer/branch/representative) to identify the data
recipient. The Dealer, Branch, and Representative fields are required, but can fill with zeros for unused details.
FAN Mail File formats include specific information needed by a financial advisor or broker/dealer for automation and
compliance needs. Therefore, DST does not allow individual interfaces to select which files they offer.
File Retrieval
This manual contains file formats used by the DST FAN Mail product. FAN Mail data is available through the FAN Mail
website. To access files, DST FAN Mail requires that the user’s browser support SSL (Secure Socket Layer).
File Description
Type
01 Distribution Activity (Mutual Funds and Alternative Investments only)
02 Direct Financial Activity
03 Account Position
07 Non-Financial Activity
08 New Account Activity
09 Account Master Position
17 Price File
84 Cost Basis Account Position
85 Cost Basis Account Activity
86 Cost Basis Tax Lot Position
87 Cost Basis Tax Lot Activity
Downloading FAN Mail Files

All FAN Mail files are available on the FAN Mail website located at www.dstfanmail.com. FAN Mail users are able to
download files using their Internet browser or a scripting process. Both methods provide the same level of encryption
(HTTPS/SSL) during file transit.
Manual Website Download

Authentication takes place by entering a user ID and password on the user log-in window when using an Internet browser.
After you have logged onto the site, a list of available files to download appears. You can download files individually or all at
once. You can also remove files.
Note: To properly use all functionality of the FAN Mail website, you must have one of the latest two versions of Internet
Explorer and download the FAN Mail ActiveX Control.
For more information on downloading files manually from the FAN Mail website, see the FAN Mail HTTPs Download Guide.
8
Automated Website Download

You can automate the download process by downloading an ActiveX control script created by FAN Mail. The DSTHTTPDL
ActiveX control provides a programmatic method of downloading files from the FAN Mail website. This program is scriptable
and can be used as an independent process or modified to be used with existing software. Authentication takes place before
you can download files.
For more information on how to use the DSTHTTPDL ActiveX control, see the FAN Mail HTTPs Download Guide.
File Naming Conventions

Production Files
Production files use the following naming convention SYSMTxx.AXXXX.zip, where:
Position Description
1-5 System and management code of data provider. Each data provider has a unique system and management code
combination.
Note: A complete listing of the approved system and management codes is available upon site log-in.
6-7 File type

01 – Distribution
02 – Direct Financial Activity
03 – Account Position
07 – Non-Financial Activity
08 – New Account Activity
09 – Account Master Position
17 – Price Refresher
84 – Cost Basis Account Position
85 – Cost Basis Account Activity
86 – Cost Basis Tax Lot Position
87 – Cost Basis Tax Lot Activity
8 A – Z = production (except R = resend)
9-12 xxxx is a unique number within a user’s directory intended to avoid overwriting existing files in that directory.
Extension .ZIP (indicates a compressed ZIP file)
Note: The zip file is not password protected.
In addition to the file name, a timestamp is provided showing the date that FAN Mail processed the data. A count of total
number of files found on the website helps insure that all files are successfully downloaded.
9
Resend Files
Resend files are handled the same way as production files, but the letter R is used to differentiate it from the production files.
Uncompressed File Names

Production files use the following naming convention SYSMTxx.Axxxx.txt or SYSMTxx.Rxxxx.txt where:
Note: Files archived longer than 45 days on the recipient system could have repeating DST Fan Mail file names.
Product Description
1-5 System and management code of data provider. Each data provider has a unique system and management code
combination.
Note: A complete listing of the approved system and management codes is available upon site log-in.
6-7 File type

01 – Distribution
02 – Direct Financial Activity
03 – Account Position
07 – Non-Financial Activity
08 – New Account Activity
09 – Account Master Position
17 – Price Refresher
84 – Cost Basis Account Position
85 – Cost Basis Account Activity
86 – Cost Basis Tax Lot Position
87 – Cost Basis Tax Lot Activity
8 A – Z = production (except R = resend)
9-12 xxxx is a unique sequential number within a user’s directory intended to avoid overwriting existing files in that
directory.
Extension .TXT (indicates an ASCII text file)
Client Account Information

Account Position File
The Account Position file reports the current share/unit balance of every CUSIP/account combination associated with the
authorized selection criteria, regardless of whether the account had financial activity. This file is included in the initial
transmission, on a month-end basis, or upon request. It enables the user to reconcile all accounts on a monthly basis.
Note: The month-end position file should contain data based on the last business day of the month. Exceptions exist
within the Alternative Investment data provider's portfolio valuation process; therefore, positions may be based on dates
other than the last business day of the month.
10
Account Master Position File

The Account Master Position file contains complete registration and non-financial information, and it is included in the initial
transmission or upon request. This file, in conjunction with the Account Position File, is used to establish or verify the account
database when FAN Mail is implemented.
New Account Activity File

The New Account Activity file provides the same registration information as the Account Master Position file on new
accounts as they are established.
Non-Financial Activity File

The Non-Financial Activity file contains changes to financial intermediary details and shareholder/policy owner account
attributes, generated from maintenance activity to the shareholder/policy owner registration. It contains complete
registration and non-financial information. Additionally, this file generates when an account drops from the user’s authorized
selection criteria.
Direct Financial Activity File

The Direct Financial Activity file generates when transactions post to the owner’s account/contract and this file is used to
report all activity involving the movement of money and/or shares/units. Transactions such as purchases, redemptions, or
exchanges are reported in this file.
Cost Basis Account Position and Activity

The Cost Basis Account Position file contains the cost basis account-level detail and the totals for year-to-date for the
account. When changes to these details take place, an activity file generates.
Cost Basis Tax Lot Position and Activity

The Cost Basis Tax Lot Position and Activity file contains the cost basis tax lot level detail that exists for the cost basis
account. Whenever transactions affect the tax lots, an activity file generates.
Distribution Activity File (Mutual Funds and Alternative Investments Only)

The Distribution Activity file confirms all activity resulting from the distribution of a dividend, and long-term or short-term
capital gain. The Distribution Activity file generates after the distribution activity posts to the owner’s account.
Note: Distribution Activity Files are not used by variable annuity or variable universal life companies.
11
Distribution Calculation and Loadback Process
Each fund posts a stated Record Date on which they must identify all shareowners at the close of business and calculate a
proportionate ownership of income for each account holder. In order to meet this requirement, the exact number of
outstanding fund shares and the exact share count for every shareholder within the fund on the date of record must be
known.
The fund accounting area takes the accumulated income earned from each of the fund’s investments and divides the total by
the number of outstanding fund shares, in order to deliver a distributable rate per share. Once this rate is determined, the
recordkeeper calculates the dollar amount to reinvest into the customer accounts. This is a significant process to complete,
and the figures are estimated. These numbers are then provided to the fund accounting area to be subsequently adjusted,
and then the funding is delivered for the purchase of reinvested shares and cash payout.
On the following business day, referred to as Loadback Day, the recordkeeper posts the calculated estimates to the customer
accounts. Any additions or subtractions of units held that carries over this process causes an adjustment to the actual units
loaded back to the account. Once the loadback completes, it triggers the generation of the distribution data file that is sent
through FAN Mail. Within this file is a data element called Share Balance After Reinvestment, which is the true
end-of-month share position for the CUSIP/Account combination when the reinvestment date in the Distribution Header is
equal to the last business day of the month.
Security File
The Security file provides information on the securities held by the financial intermediaries’ customers. It eliminates the
manual entry of the CUSIP, Ticker/Quotron symbol, and security information into the financial intermediaries’ portfolio
management software. The Security file generates each time that a registration file (New Account Activity, Non-Financial
Activity and/or Account Master Position) is produced for an account or subaccount, or upon request.
Fund Price File

The Fund Price file indicates the share/unit value and offering price as reported by the data providers at the close of the
previous day. Every CUSIP is transmitted, even if shareholder accounts do not exist under each CUSIP.
12
CUSIP Information
Mutual fund companies’ Committee on Uniform Securities Identification Procedures (CUSIP) and fund codes are not
established by FAN Mail. The CUSIPs and fund codes used by the mutual fund companies are assigned by Standard & Poor’s.
Fund/Product Code
The Fund/Product Code field (seven alphanumeric characters maximum) identifies the different products or investments
offered by the management company. Program Managers and Life and Annuity data providers base this information on the
company’s unique system code and an alphanumeric combination determined by the management company.
A unique fund/product code is established for every product and plan type in order to establish a combination of
product/plan and subaccount CUSIP.
CUSIPs
The CUSIP field (nine alphanumeric characters maximum) identifies the funds and subaccounts within a product.
Note: DST FAN Mail establishes the system and management code to ensure uniqueness across management
companies. It is feasible to receive the same CUSIP from multiple system and management companies.
Variable Annuity, Variable Universal Life and Program Managers CUSIP Rules
Funds or subaccounts across different products with common pricing always have the same CUSIP. If the fund or
subaccount is priced differently because of the way it is invested within a product, a new CUSIP must be established. In other
words, each CUSIP is to be uniquely priced.
Customer Account Information

The account number (contract number) and CUSIP relationship must be preserved. There are two ways to support an
account number and CUSIP relationship. One way is that if an investor purchases two account types in the same fund, the
account numbers (contract numbers) must be different, even though the CUSIPs are the same. The other way is that if the
Insurance Carrier and Program Managers company groups multiple products held by the same investor under one account
number (contract number), then they maintain unique CUSIPs across all products.
Fixed funds of differing duration lengths are unique by adding the maturity date and interest rate to the CUSIPs.
Note: The combination of the CUSIP and Product Code comprises the identification of the policy subaccount.
Identification of a policy subaccount cannot be made based on recognition of a Product Code or CUSIP alone.
13
Interpreting Record Layouts

Record layouts in this manual use the format shown in the following diagram. Letters A–K in the Record Layout Field
Descriptions table corresponds to the letters in the following diagram.
Name of Record
AAAAAAAAAAAAAAA
BBBB Record C of D
Start End Length Data/Type Required Description
E F G HHHHH I JJJJJJJJJJJJJJJJJJJJJJ
KKKKKKKKKKKK
Record Layout Field Descriptions

Field Description
A Any special information or comments regarding the sequence or fields within the sequence.
B The type of record defined (Header, Detail, or Trailer record).
C The sequence number of the record (1=first record, 2=second record).
D The total number of records in the sequence

(for example, 6=six records).
E The first byte in the field or starting position of the data.
F The last byte in the field or ending position of the data.
G The total number of bytes or length of the field.
H The type of data in the field (alphabetic, alphanumeric, or numeric).
I Indicates whether the field is required or not

(Yes = required, No = not required).
J The contents or description of the field. Many fields in this manual have specific values for Mutual Funds, Program Manager,
Variable Annuities, Variable Universal Life, and Alternative Investments.
Note: The glossary contains a definition of each field.
K If a field description has various options available, each option is identified and defined.
14
1. Header Record
Header Record (RHR)
The Header Record (RHR) applies to all product types.
Each file type begins with a Header Record, which identifies the type of file, and references internal information for the file,
such as the date, time, and DST job name. The header information enables the client to identify the type of record.
Header Records separate each request number. All Header Records are assigned a sequence number of 001 (fields 4-6),
regardless of the number of Header Records within a file.
All files begin with a Header Record and end with a Trailer Record for audit purposes. For more information, see Trailer
Record.
RHR - Header Record-Header Record 1 of 1

1 3 3 Alpha/Num Yes Record Type

RHR = Request Header
4 6 3 Numeric Yes Sequence Number = 001
7 21 15 Alpha/Num Yes File Type (Description)

ACCT MASTER POS = Account Master Position
ACCT POSITION = Account Position
DISTRIBUTION = Distribution Activity (mutual funds, and
alternative investments only)
FINANCIALDIRECT = Direct Financial Activity
NEWACCT ACTIVIT = New Account Activity
NONFINANCIALACT = Non-Financial Activity
CBA ACCT POS = Cost Basis Account Position
CBA ACCT ACT = Cost Basis Account Activity
TAX LOT POS = Cost Basis Tax-Lot Position
TAX LOT ACT = Cost Basis Tax-Lot Activity
22 29 8 Numeric Yes Super Sheet Date (CCYYMMDD)
30 37 8 Numeric Yes Processed Date (CCYYMMDD)
38 45 8 Numeric No Processed Time (HHMMSSDD)
46 53 8 Alpha/Num Yes Job Name
15
54 56 3 Numeric Yes File Format Code

014 = account position
015 = direct financial activity
016 = new account activity
017 = account master position
018 = distribution activity
022 = non-financial activity
084 = cost basis account position
085 = cost basis account activity
086 = cost basis tax-lot position
087 = cost basis tax-lot activity
57 63 7 Numeric Yes Request Number

0000001 – 9999999
64 64 1 Alphabetic Yes *
65 67 3 Alphabetic Yes System ID
68 69 2 Alphabetic Yes Management Code
71 71 1 Alpha/Num No Populated by DST

P = Program Managers
R = Alternative Investments
V = Variable Annuity
Mutual Funds – Unused
Variable Universal Life – Unused
72 72 1 Alpha/Num Yes Variable Universal Life – Life Data Types

A = whole
B = term
C = universal
D = variable
E = VUL
73 160 88 Alpha/Num No Unused
16
2. Trailer Record
Trailer Record (RTR)
The Trailer Record (RTR) applies to all product types.
Each file type ends with a Trailer Record, which identifies the file type and the number of records contained in the file for the
previous Header and Details. Every Header Record has a corresponding Trailer Record. All Trailer Records have a sequence
number of 001 (fields 4-6) regardless of the number of Trailer Records in a file. The record count shown in the Trailer file
includes all detail records and the Header and Trailer.
All files start with a Header Record and end with a Trailer Record for audit purposes. For more information, see Header
Record.
RTR - Trailer Record-Trailer Record 1 of 1


RTR = Request Trailer
4 6 3 Numeric Yes Sequence Number = 001

ACCT MASTER POS = Account Master position
ACCT POSITION = Account Position
FINANCIALDIRECT = Direct Financial Activity
DISTRIBUTION = Distribution Activity (mutual funds and
alternative investments only)
NEWACCT ACTIVIT = New Account Activity
PRICE REFRESHER = Fund Price
NONFINANCIALACT = Non-Financial Activity
CBA ACCT POS = Cost Basis Account Position
CBA ACCT ACT = Cost Basis Account Activity
TAX LOT POS = Cost Basis Tax-Lot Position
TAX LOT ACT = Cost Basis Tax-Lot Activity
22 30 9 Numeric Yes Trailer Record Count

(includes header, detail, and trailer)
17
3. Account Position
Account Position File (APR)
The Account Position file (APR) is generated upon initial authorization, at month-end and upon request. It reports the current
share/unit balance of every selected account, regardless of whether the account had financial activity. All accounts
associated with the authorized selection criteria on the recordkeeping platform (open, closed, or any specified subset) are
provided in the APR file.
The APR file is used periodically to reconcile all accounts maintained by an external source with those found on the data
provider’s system.
APR files begin with a Header record and end with a Trailer record for audit purposes. For more information, see Header
Record or Trailer Record.
APR Policy Header (VUL Only)

In addition to the standard header record, the Account Position file for life data (excluding variable annuities) has a policy
header record that identifies the information contained within the detail records.
APR Policy Header (VUL Only)


PPH = Policy Position Header
4 6 3 Numeric Yes Sequence

001 = first header record
7 13 7 Numeric Yes Product Code
14 33 20 Alpha/Num Yes Policy/Contract Number
34 48 15 Numeric Yes Policy Value

(two decimal places)
49 63 15 Numeric Yes Surrender Value

64 78 15 Numeric Yes Surrender Charge

79 93 15 Numeric Yes Loan Value

94 108 15 Numeric Yes Collateral Value

109 123 15 Numeric Yes Premium Paid Issue to Date

18
APR - Account Position-Detail Record 1 of 3


APR = Account Position File
4 6 3 Numeric Yes Sequence

001 = first detail record
7 13 7 Alpha/Num Yes Dealer Number
Note: Must be right-justified and

pre-filled with zeroes to reflect seven bytes.
14 22 9 Alpha/Num Yes Dealer/Branch Number
23 31 9 Alpha/Num Yes CUSIP Number
32 38 7 Alpha/Num Yes Mutual Funds - Fund Code

Alternative Investments - Fund Code
Program Manager - Product Code
Variable Annuity - Product Code
Variable Universal Life - Product Code

39 58 20 Alpha/Num Yes Mutual Funds - Customer Account Number

Alternative Investments - Investor/Account Number
Program Managers - Customer Account Number
Variable Annuity - Policy/Contract Number
Variable Universal Life - Policy/Contract Number
59 59 1 Alpha/Num Yes Account Number Code

F = fund account number
60 74 15 Numeric Yes Mutual Funds – Total Shares

(four decimal places)
Alternative Investments– Total Units (four decimal places)
Program Managers– Total Units
(six decimal places), fixed subaccounts are all zeroes
Variable Annuity – Total Units
Variable Universal Life – Total Units (six decimal places),
fixed subaccounts are all zeroes
19
75 89 15 Numeric No Mutual Funds – Unissued Shares

Alternative Investments– Unissued Units (four decimal
places)
Program Managers – Unissued Units
Variable Annuity – Unissued Units
(six decimal places), fixed
subaccounts are all zeroes
Variable Universal Life – Unissued Units (six decimal
places), fixed subaccounts are all zeroes
90 104 15 Numeric No Mutual Funds – Issued Shares

Alternative Investments– Issued Units
Program Managers – Issued Units
Variable Annuity – Issued Units
Variable Universal Life – Issued Units (six decimal places),
fixed subaccounts are all zeroes
105 113 9 Numeric Yes Mutual Funds – Net Asset Value

Alternative Investments – Unit Price Amount (four decimal
places)
Note: Non-priced CUSIPs will populate this field with nine

zeroes.
Program Managers – Unit Value
(six decimal places), fixed subaccounts are all zeroes.
Note: If the unit is greater than 999999999, this field

contains asterisks and the unit value is contained in
positions 114-128 Detail Record 1 of 2.
Variable Annuity – Unit Value
(six decimal places), fixed subaccounts are all zeroes.

positions 114-128 Detail Record 1 of 2.
Variable Universal Life – Unit Value (six decimal places),
fixed subaccounts are all zeroes.

positions 114-128 detail record 1 of 2.
20
114 128 15 Numeric No Mutual Funds – Unused

Alternative Investments– Unused
Program Managers – Extended Unit Value field (six decimal
places).
Note: If positions 105-113 contain asterisks, this field

represents the subaccount unit value.
Variable Annuity – Extended Unit Value field (six decimal
places).

Variable Universal Life – Extended Unit Value field (six
decimal places).

129 132 4 Numeric No NSCC Trust Company Number
133 136 4 Numeric No NSCC Third-Party Administrator Number
137 143 7 Numeric No Trust/Custodian ID Number
144 150 7 Numeric No Third-Party Administrator ID Number
151 151 1 Alpha/Num No PPA Controlled Account Flag (Mutual Fund Only)
Y = PPA controlled account
N = not PPA controlled account
151 153 3 Alpha/Num Yes Product Identifier Code (VA only)

DIS = Disability
EIA = Indexed Annuity (formerly Equity
Indexed Annuity)
FIX = Fixed Annuity Products
FIA = Fixed Immediate Annuity
IVA = Index Variable Annuity
UL = Fixed Universal Life Insurance
WL = Fixed Whole Life Insurance
LTC = Long Term Care
MVA = Market Value Adjustment
MMT = Money Market Products
OIP = Offshore Investment Products
PEN = Pension Plan
RXA = Registered Index Annuity
RET = Retirement Plan
TRM = Term Life
VAR = Variable Annuity Products
VIA = Variable Immediate Annuity
VUL = Variable Universal Life Insurance
VWL = Variable Whole Life Insurance
INL = Index Life
DIA = Deferred Income Annuity
21
APR - Account Position-Detail Record 2 of 3


APR = Account Position File
4 6 3 Numeric Yes Sequence Number

002 = second detail record
7 21 15 Numeric No Mutual Fund – Accrued Dividend Amount (two decimal

places)
Alternative Investments – Accrued Dividend Amount (two
decimal places)
7 13 7 Numeric No Variable Annuity and VUL – Fixed Subaccounts-Only

Interest Rate (four decimal places)
Example: 0070000 = 7%
14 21 8 Numeric No Variable Annuity and VUL – Maturity Date (CCYYMMDD)
22 36 15 Numeric No Escrow Shares Count

37 51 15 Numeric Yes Collected Balance Amount (For Alternative Investments –

Amount Invested)
52 61 10 Alpha/Num No Alpha Code (masked)
62 70 9 Alpha/Num Yes Representative Number
71 100 30 Alpha/Num Yes Representative Name
101 109 9 Numeric No Cumulative Discount Number
110 112 3 Numeric Yes Social Code
113 113 1 Numeric Yes Mutual Fund

Dealer Control Level Code
0 = non-networked broker account
1 = broker-controlled IRA/margin account
2 = customer name brokerage account
3 = broker-controlled brokerage account
4 = fund-controlled brokerage account
No Alternative Investments
Dealer Control Level Code
No Variable Annuity – Unused

Variable Universal Life — Unused
Program Manager — Unused
114 122 9 Numeric No Letter of Intent (LOI) Number
22
123 131 9 Numeric Yes Social Security Number (SSN)
132 132 1 Numeric Yes SSN Status Code

0 = SSN missing
1 = SSN not certified
2 = SSN certified
3 = TIN not certified
4 = TIN certified
5 = SSN applied
6 = SSN IRS offender
7 = TIN IRS offender
8 = SSN exempt account
9 = TIN exempt account
133 133 1 Alpha/Num No Mutual Fund – Net Asset Value (NAV) Code
0 = not a NAV account
1 = NAV account
Alternative Investments
Net Asset Value (NAV) Code
1 = NAV account
Program Managers – Unused
Variable Annuity – Unused
Variable Universal Life – Multiple Owners
M = multiple owners
134 134 1 Alpha/Num No Mutual Fund – Account Price Scheduling Code

1 = reduced pricing
2 = regular pricing
Yes Alternative Investments, Program Managers, Variable

Annuity, and VUL
CUSIP Pricing Information
U = priced CUSIP
I = non-priced CUSIP
135 135 1 Alpha/Num No Mutual Fund – Account Management Company Employee

Code
Y = employee
N = not employee
Account Management Company Employee Code
Y = employee
N = not employee
Variable Universal Life – Collected Balance Value
N = negative
136 144 9 Alpha/Num No Mutual Fund – External Plan ID

Alternative Investments – External Plan ID
23
145 159 15 Numeric Yes Mutual Fund – Collected Shares

Alternative Investments – Collected Units (four decimal
places)
Program Managers – Total Units
(six decimal places), fixed subaccounts will be all zeroes
Variable Annuity – Total Units
Variable Universal Life – Total Units
APR - Account Position-Detail Record 3 of 3 - Optional


APR = Account Position File (Optional)

003 = third detail record
7 21 15 Numeric No Current Income Dividends (two decimal places)
22 36 15 Numeric No Current Long-Term Capital Gains (two decimal places)
37 51 15 Numeric No Current Short-Term Capital Gains (two decimal places)
52 66 15 Numeric No Current Foreign Withholding (two decimal places)
67 81 15 Numeric No Current Dividend Withholding (two decimal places)
82 96 15 Numeric No Current Foreign Tax Paid Amount (two decimal places)
97 97 1 Alpha/Num No Collected Shares Change Code
98 112 15 Numeric No Collected Shares Net Change Count (four decimal places)
113 113 1 Alpha/Num No Collected Shares Net Change Code
114 114 1 Alpha/Num No Stop Transfer Code
115 115 1 Alpha/Num No Stop Transfer Change Code
116 130 15 Numeric No Total Shares Net Change Count (four decimal places)
131 131 1 Alpha/Num No Total Shares Net Change Code
132 151 20 Alpha/Num No Brokerage Identification Number (BIN)
152 152 1 Alpha/Num No Account Number Code

E = external account number
24
4. Direct Financial Activity File (DFA)

The Direct Financial Activity (DFA) file is generated from transactions posted to the owners account/contract. This file
reports all activity involving the movement of money and/or shares/units. For a list of all record codes reported in the DFA
file, see the FAN Mail Record Codes Quick Reference Guide.
All DFA files begin with a Header record and end with a Trailer record for audit purposes. For more information, see Header
Record and Trailer Record.
DFA Policy Header (VUL Only)

In addition to the standard Header record, the DFA data has an additional Transaction Header record. This Header record
further identifies information contained within the detail records. The Transaction Header record is used to update important
contract or policy information affected by underlying subaccount transactions.
DFA - Direct Financial Activity (VUL Only)-Header

Record 1 of 1

PTH = Policy Transaction Header

7 13 7 Alpha/Num Yes Product Code
34 48 15 Numeric Yes Policy Value

49 63 15 Numeric Yes Surrender Value

64 78 15 Numeric Yes Surrender Charge

79 93 15 Numeric Yes Loan Value

94 108 15 Numeric Yes Collateral Value

109 123 15 Numeric Yes Premium Paid Issue to Date

25
DFA - Direct Financial Activity-Detail Record 1 of 4


DFA = Direct Financial Activity File

7 9 3 Numeric Yes Record Code

35 41 7 Alpha/Num Yes Mutual Fund – Fund Code

Alternative Investments – Fund Code
Program Managers – Product Code
Variable Annuity – Product Code
Variable Universal Life – Product Code

42 61 20 Alpha/Num Yes Mutual Fund – Customer Account Number

Alternative Investments – Investor/Account Number
Program Managers – Customer Account Number
Variable Annuity – Policy/Contract Number
Variable Universal Life – Policy/Contract Number

63 69 7 Numeric No Batch Number
70 77 8 Alpha/Num No Mutual Fund – Batch Date (CCYYMMDD)

Alternative Investments– Batch Date (CCYYMMDD)
Program Managers – Batch Date (CCYYMMDD)
Variable Annuity and Variable Universal Life – Maturity Date
Note: This represents the maturity date if it is a subaccount.
78 80 3 Numeric Yes Transaction Code
81 83 3 Numeric Yes Transaction Suffix
84 84 1 Alpha/Num Yes Share Balance Effect Code

A = transaction adds to share balance
N = transaction makes no change to
share balance
S = transaction subtracts from share
balance
26
85 93 9 Numeric Yes Mutual Fund – Share Price Amount (four decimal places)
places);
Non-Publicly traded products should be all zeroes.
Product Manager – Unit Price Amount (six decimal places)
Variable Annuity and Variable Universal Life – Unit Price
Amount (six decimal places)
Note: Fixed sub-accounts are all zeroes. If the unit value is

greater than 999999999, this field contains asterisks and the
unit value contained in positions 86-100-Detail Record 2 of 2.
94 108 15 Numeric Yes Mutual Fund – Gross Transaction Amount (two decimal
places)
Alternative Investments – Gross Transaction Amount (two
decimal places)
Program Managers – Gross Transaction Amount (two
decimal places)
Variable Annuity and Variable Universal Life – Gross
Transaction Amount (two decimal places)
Note: This field should be identical to the Unit Transaction

Count for fixed subaccounts and non-priced CUSIPs, except
for the decimal point placement.
109 123 15 Numeric Yes Mutual Fund – Shares Transaction Count (four decimal
places)
Alternative Investments – Unit Transaction Count (four
decimal places)
Product Manager — Unit Transaction Count (six decimal
places)
Variable Annuity and Variable Universal Life – Unit
Transaction Count (six decimal places)
Note: This field should be identical to Gross Transaction

Amount for fixed subaccounts, except for the decimal point
placement.
124 131 8 Alpha/Num Yes Trade Date (CCYYMMDD) – Date associated with Price of
Transaction
132 139 8 Alpha/Num Yes Confirmation or Payment Date (CCYYMMDD) – Date

associated with Transaction entry on system of record
140 141 2 Numeric No Discount Category
142 150 9 Numeric No Order Number
151 151 1 Numeric Yes Account Type Code

0 = new
1 = existing
2 = historical generation
27
152 152 1 Numeric Yes Mutual Fund – Dealer-Level Control Code

0 = non-networking broker account
Alternative Investments, Program Managers, Variable
Annuity, and
0 = priced CUSIP
5 = non-priced CUSIP
VUL Sub-Account Type Indicator
0 = Variable sub-accounts
6 = Fixed sub-accounts
153 153 1 Alpha/Num Yes Mutual Fund, Alternative Investments and Program
Managers – Payment Method
A = Automated Clearing House(ACH)
C = check
D = draft
Z = not applicable
Variable Annuity – Payment Method
1 = clearing agent
S = special ACH
V = variable annuity
W = wire
Variable Universal Life – Payment Method
E = variable universal life

DIS = Disability
EIA = Indexed Annuity (formerly Equity Indexed Annuity)
PEN = Pension Plan
TRM = Term Life
INL = Index Life
28
DFA - Direct Financial Activity-Detail Record 2 of 4


DFA = Direct Financial Activity File

28 30 3 Numeric Yes Resident State/Country Code
Note: Refer to the TA2000 State and Country Codes Quick

Reference Guide for more information.
Note: When historical transactions are requested and the

requestor was not the originator, the following message
displays in the Rep Name field: INFO
MASKED-PRIOR DLR TRANS.
70 84 15 Numeric No Mutual Fund and Alternative Investments – Percent Sales

Charge(10 decimal places)
85 85 1 Alpha/Num No Mutual Fund – Dealer Commission Code

G = gross
N = net
1 = gross
2 = net
Alternative Investments – Dealer Commission Code
G = gross
N = net
1 = gross
2 = net
3 = special
4 = close
5 = gross exch-red
6 = net exch-red
7 = lo-load first
8 = hi-load first
9 = proportionate
A = app. hi-load first
B = app. gross exch-red
C = app.net exch-red
29
86 100 15 Numeric No Mutual Fund and Alternative Investments – Dealer

Commission Amount (two decimal places)
Program Managers – Extended Unit Value field (six decimal
places)
Variable Annuity and Variable Universal Life – Extended Unit
Value field (six decimal places)
Note: If positions 85-93 of

DFA—Direct Financial Activity Detail Record 1 of 4 contain
asterisks, this field represents the subaccount Unit Value.
101 115 15 Numeric No Mutual Fund – Underwriter Commission Amount (two

decimal places)
Alternative Investments – Underwriter Commission Amount
116 118 3 Numeric No Mutual Fund – As-Of Reason Code

Alternative Investments – As-Of Reason Code
119 119 1 Numeric No Certificate Issuance Code

0 = do not issue certificates
1 = issue certificates
120 132 13 Numeric No Check Number

0 = SSN missing
2 = SSN certified
3 = TIN not certified
4 = TIN certified
5 = SSN applied
143 143 1 Alpha/Num No Mutual Fund – Net Asset Value (NAV) Account
0 = not an NAV account
1-9, A-Z = NAV account
Alternative Investments – Net Asset Value (NAV) Account
0 = not an NAV account
1-9, A-Z = NAV account
Variable Universal Life – Multiple Owners
M = multiple owners
30
144 144 1 Numeric No Mutual Fund – Account Price Schedule Code

1 = reduced pricing
2 = regular pricing
Alternative Investments – Account Price Schedule Code
1 = reduced pricing
2 = regular pricing
145 145 1 Alpha/Num No Mutual Fund – Account Management Company Employee

Code
Y = employee
N = not employee
Alternative Investments – Account Management Company
Employee Code
Y = employee
N = not employee
155 155 1 Alpha/Num No Mutual Fund – Underwriter Commission Code

“+” = positive
“-” = negative
Alternative Investments – Underwriter Commission Code
“+” = positive
“-” = negative
156 159 4 Alpha/Num No CDSC Waiver Reason Code
160 160 1 Alpha/Num No Commissionable Shares

N = no commissionable shares
Y = commissionable shares
DFA - Direct Financial Activity-Detail

Record 3 of 4 - Optional
1 3 3 Alpha/Num No Record Type

DFA = Direct Financial Activity
4 6 3 Numeric No Sequence Number

31
7 10 4 Numeric No Contribution Year
11 17 7 Numeric No Fund From Code
18 28 11 Numeric No Account From/To
29 54 26 Alpha/Num No Voluntary Transaction Description

76 83 8 Numeric No Super Sheet Date (YYYYMMDD)
84 92 9 Numeric No Bank MICR ID
93 109 17 Numeric No Bank Account Number
110 110 1 Alpha/Num No Liquidation Code

F = full liquidation
P = partial liquidation
Z = not applicable (purchases)
111 111 1 Alpha/Num No Trade Entry Method Code

A = audio response
C = conversion
E = client - FE
F = FAN
I = Intelligent Work Station (IWS)
O = on line
S = system
T = transmission
V = Vision
X = TELTRAN
Y = shareholder system
112 118 7 Numeric No Trade Origin ID

0000000 = not applicable
0000100 = NSCC
0000200 = DDPS
0000300 = bulk transmission
0000400 = 10-minute builds
0000500 = SWITCH
0000706 = Vision
0000800 = AFS Share
119 129 11 Numeric No Mutual Fund Transaction ID 1
130 140 11 Numeric No Mutual Fund Transaction ID 2
32
DFA - Direct Financial Activity-Detail


DFA = Direct Financial Activity file

004 = fourth detail record
7 19 13 Alpha/Num No Client Reference Number
20 59 40 Alpha/Num No Merchant Description Text
74 88 15 Numeric No Financial Transaction Advanced Commission AT
89 97 9 Alpha/Num No NSCC Branch ID Number
98 98 1 Numeric No NAV Reason Code

0 = other
1 = net asset transfer
2 = repurchase
3 = employee
4 = error correction
5 = wrap account
99 108 10 Alpha/Num No Client-Defined Text
109 118 10 Alpha/Num No Alpha Code
33
5. New Account Activity, Account Master

Position, Non-Financial Activity
New Account Activity File (NAA)
A New Account Activity File generates when a new account registration is established.
Account Master Position File (AMP)

The Account Master Position (AMP) file generates upon the initial authorization and on request. The AMP file provides
registration information on the selected accounts.
Non-Financial Activity File (NFA)

The Non-Financial Activity (NFA) file generates upon maintenance to the account/contract owner registration or account
options. Additionally, this file generates when an account drops from the user’s authorized selection criteria.
All NAA, AMP, and NFA files begin with a Header record and end with a Trailer record for audit purposes. For more
information, see Header Record or Trailer Record.
NAA/AMP/NFA Policy Header (VUL Only)

In addition to the standard Header record, the Account Master, New Account and Non-Financial Activity (NFA) file for Life
data (excluding variable annuities) has an additional Policy Header record (NAA/AMP/NFA) used to identify the information
contained within the detail records.
NAA/AMP/NFA Policy Header (VUL Only)-Header

Record 1 of 2

PLH = Policy Level Header

7 14 8 Alpha/Num Yes Anniversary Date (CCYYMMDD)
15 22 8 Alpha/Num Yes Issue Date (CCYYMMDD)
23 29 7 Alpha/Num Yes Product Code
34
50 51 2 Numeric Yes Death Benefit Option
52 63 12 Numeric Yes Current Policy Face Amount (two decimal places)
64 75 12 Numeric Yes Current Sum of Riders (two decimal places)
76 87 12 Numeric Yes Current Face Amount Including Sum of Riders (two decimal
places)
88 118 31 Alpha/Num Yes Name of Primary Beneficiary
119 119 1 Alpha/Num Yes M = Multiple Primary Beneficiaries
120 149 30 Alpha/Num Yes Name of Secondary Beneficiary
150 150 1 Alpha/Num Yes M = Multiple Secondary Beneficiaries
151 152 2 Numeric Yes Policy Status
NAA/AMP/NFA Policy Header (VUL Only)-Header

Record 2 of 2

PLH = Policy Level Header

002 = second header record
7 7 1 Numeric Yes Billing Type

1 = check
2 = Automated Clearing House (ACH)
3 = government allotment
4 = list bill
8 8 1 Numeric Yes Billing Frequency

1 = monthly
2 = quarterly
3 = semi-annually
4 = annually
9 23 15 Numeric Yes Billing Amount
24 38 15 Numeric Yes Guideline Annual Premium

39 53 15 Numeric Yes Guideline Single Premium

54 68 15 Numeric Yes Target Premium

69 83 15 Numeric Yes No Lapse Guarantee Premium

35
84 98 15 Numeric Yes Seven Pay Premium

99 99 1 Alphabetic Yes MEC Indicator

Y = modified endowment contract
N = not a modified endowment contract
100 160 61 Alpha/Num Yes Unused
NAA/AMP/NFA - New Account Activity, Account Master

Position, Non-Financial Activity-Detail Record 1 of 4

NAA = New Account Activity File
AMP = Account Master Position File
NFA = Non-Financial Activity File

Note: Must be right-justified and pre-filled with zeroes to

reflect seven bytes.

Note: Must be right justified and pre-filled with zeroes to

39 58 20 Alpha/Num Yes Mutual Fund – Customer Account Number

Program Managers – Customer/Account Number
Variable Annuity – Policy/Contract Number
Variable Universal Life – Policy/Contract Number

60 67 8 Alpha/Num Yes Mutual Fund – Established Date (CCYYMMDD)

Program Managers – Established Date (CCYYMMDD)
Alternative Investments – Established Date (CCYYMMDD)
Variable Annuity – Established Date (CCYYMMDD)
Variable Universal Life – Issue Date (CCYYMMDD)
68 75 8 Alpha/Num No Last Maintenance Date (CCYYMMDD)
36
76 76 1 Numeric Yes Line Code

2 = address begins on line 2
87 87 1 Numeric Yes Mutual Fund – Dealer-Level Control Code

No Alternative Investments – Dealer-Level Control Code

No Program Manager — Unused

Variable Annuity — Unused
Variable Universal Life — Unused
91 93 3 Numeric Yes Resident State/Country Code
Note: Refer to the TA2000 State and Country Codes Quick


0 = SSN missing
2 = SSN certified
3 = Tax ID number (TIN) not certified
4 = TIN certified
5 = SSN applied
104 104 1 Numeric No Systematic Withdrawal Plan (SWP) Account

0 = not a SWP account
1 = SWP account
105 105 1 Numeric No Pre-Authorized Checking Account

0 = not authorized for pre-authorized
checking
1 = authorized for pre-authorized
checking
37
106 106 1 Numeric No Automated Clearing House Account (ACH)

0 = not authorized for ACH activity
1 = authorized for ACH activity
107 107 1 Alpha/Num No Mutual Fund – Reinvest to Another Account

0 = not authorized for dividend
reinvestment in another fund account
1 = authorized for dividend reinvestment in
another fund/account
No Alternative Investments– Reinvest to Another Account

0 = not authorized for dividend reinvestment in
another fund/account
1 = authorized for dividend reinvestment in
another fund account
No Variable Annuity – Unused

Yes Variable Universal Life – Multiple Contract Owners

M = multiple contract owners
108 108 1 Numeric No Mutual Fund – Capital Gains Distribution Option

0 = reinvest
1 = cash
2 = split
Alternative Investments – Capital Gain Distribution Option
0 = reinvest
1 = cash
2 = split
109 109 1 Numeric No Mutual Fund – Dividend Distribution Option

0 = reinvest
1 = cash
2 = split
Alternative Investments – Dividend Distribution Option
0 = reinvest
1 = cash
2 = split
110 110 1 Numeric No Check Writing Account

0 = not authorized for check writing
1 = authorized for check writing
111 111 1 Numeric No Expedited Redemption Account

0 = not authorized for expedited
redemptions
1 = Authorized for expedited
38

redemptions
112 112 1 Numeric No Mutual Fund – Subaccount

0 = not a subaccount
1 = subaccount
Alternative Investments – Subaccount
0 = not a subaccount
1 = subaccount
113 115 3 Numeric No Foreign Tax Rate

(three decimal places)
116 124 9 Numeric Yes ZIP Code (justify left and end with spaces or +4 code)
125 126 2 Numeric No ZIP Code Expansion
145 145 1 Numeric No Timer Flag

0 = not a timer account
1 = timer account
146 146 1 Numeric No GPURCH Account

0 = not a GPURCH account
1 = GPURCH account
147 147 1 Numeric No Mutual Fund – Monitored VIP Account

0 = not a monitored VIP account
1 = monitored VIP account
Alternative Investments – Monitored VIP Account
0 = not a monitored VIP account
1 = monitored VIP account
Program Manager – Unused
148 148 1 Numeric No Mutual Fund – Expedited Exchange Account

0 = not authorized for expedited exchange
1 = authorized for expedited exchange
Alternative Investments – Expedited Exchange Account
0 = not authorized for expedited exchange
1 = authorized for expedited exchange
149 149 1 Numeric No Mutual Fund – Penalty Withholding Account

0 = not subject to penalty withholding
1 = subject to penalty withholding
39

Alternative Investments – Penalty Withholding Account
0 = not subject to penalty withholding
1 = subject to penalty withholding
150 150 1 Numeric No Certificate Issuance Code

0 = do not issue certificates
1 = issue certificates
151 151 1 Numeric No Mutual Fund – Stop Transfer Flag

0 = do not stop transfers
1 = stop transfers
Alternative Investments – Stop Transfer Flag
0 = do not stop transfers
1 = stop transfers
152 152 1 Numeric No Mutual Fund – Blue Sky Exemption Flag

0 = not exempt from Blue Sky reporting
1 = exempt from Blue Sky reporting
Alternative Investments– Blue Sky Exemption Flag
0 = not exempt from Blue Sky reporting
1 = exempt from Blue Sky reporting
Program Managers– Unused
153 153 1 Numeric No Mutual Fund – Bank Card Issued

0 = no bank card issued
1 = bank card issued
Alternative Investments– Bank Card Issued
0 = no bank card issued
1 = bank card issued
Program Managers– Unused
154 154 1 Numeric No Fiduciary Account

0 = not a fiduciary account
1 = fiduciary account
155 155 1 Numeric Yes Plan Status Code

0 = open account
1 = closed account
156 156 1 Alpha/Num No Mutual Fund – Net Asset Value (NAV) Account
1 = NAV account
40

A- Z = NAV account
Alternative Investments – Net Asset Value (NAV) Account
1 = NAV account
A- Z = NAV account
157 157 1 Numeric No Mailing Flag

0 = no mail flag
1 = mail flag
158 158 1 Alpha/Num No Interested Party Code

Y = interested party
N = not an interested party
159 159 1 Alpha/Num No Mutual Fund – Share Account Phone Check Redemption
Code
Y = share account phone check redemption
N = no share account phone check redemption
Alternative Investments – Share Account Phone Check
Redemption Code
Y = share account phone check redemption
N = no share account phone check redemption
160 160 1 Alpha/Num No Mutual Fund – Share Account House Account Code
Y = share account house account
N = no share account house account
Alternative Investments – Share Account House Account
Code
Y = share account house account
N = no share account house account


NFA = Non-Financial Activity File
41

7 7 1 Numeric No Mutual Fund – Dividend Mail Account

0 = does not contain special dividend mail information
1 = contains special dividend mail information
Alternative Investments – Dividend Mail Account
0 = does not contain special dividend mail information
1 = contains special dividend mail information
8 8 1 Numeric No Mutual Fund – Stop Purchase Account

0 = no purchase restrictions
1 = restrict purchases
Alternative Investments – Stop Purchase Account
0 = no purchase restrictions
1 = restrict purchases
9 9 1 Numeric No Mutual Fund – Stop Mail Account

0 = do not stop mail restrictions
1 = stop mail
Alternative Investments – Stop Mail Account
0 = do not stop mail restrictions
1 = stop mail
10 10 1 Numeric No Mutual Fund – Fractional Check

0 = no check issued for fractional shares
1 = issue check for fractional shares
Alternative Investments – Fractional Check
0 = no check issued for fractional shares
1 = issue check for fractional shares
11 45 35 Alpha/Num Yes Registration – Line 1
151 158 8 Numeric No Customer Date of Birth (CCYYMMDD)
42
159 159 1 Numeric No Mutual Fund – Account Price Schedule Code

1 = reduced pricing
2 = regular pricing
Alternative Investments – Account Price Schedule Code
1 = reduced pricing
2 = regular pricing
160 160 1 Alpha/Num No Account Management Company Employee Code

Y = employee
N = not employee


NFA = Non-financial Activity File

7 41 35 Alpha/Num Yes Account Registration – Line 5
151 151 1 Alpha/Num Yes Position Close-Out Indicator

0 = position belongs to data
recipient
1 = position no longer belongs to
data recipient
Note: A value of 1 is only presented within the NFA file.
152 155 2 (two Alpha/Num Yes Account Type Indicator

spaces Mutual Fund/Alternative Investment, Program Managers
after
Note: Refer to the NSCC Social Code Quick Reference Guide for
number
two-byte-cross-reference information.
value)
43
152 155 4 Numeric Yes Variable Annuities
Note: Refer to the IRS Tax Qualification Reference Guide for

four-byte
cross-reference information.

DIS = Disability
EIA = Indexed Annuity (formerly Equity Indexed Annuity)
PEN = Pension Plan
TRM = Term Life
INL = Index Life

Position, Non-Financial Activity-Detail

NFA = Non-Financial Activity File (optional)

004 = fourth detail record

E = external account number (used in positions 7-17)
28 42 15 Numeric No Primary Investor Phone Number
43 57 15 Numeric No Secondary Investor Phone Number
44
58 61 4 Numeric No NSCC Trust Company number
62 65 4 Numeric No NSCC Third-Party Administrator number
66 68 3 Numeric No Citizen State/Country Code
69 88 20 Alpha/Num No External Tracking ID
103 111 9 Alpha/Num No External Plan ID
112 126 15 Numeric No Total Shares
NFA(07) - Non-Financial Activity - Detail Record 6 (Optional)

Note: *this will provide Systematic Payment Maintenance Type details*

NFA = Non-Financial Activity File (optional)

006 = sixth detail record
7 7 1 Alpha/Num No Sys Payment Maintenance Type Code

Blank = N/A, there is no systematic plan on the
account
1 = New
2 = Modified
3 = Closed
4 = Existing
8 9 2 Numeric No Sys Payment - Day of Month

A number between 01 and 31 representing the day of
month of the systematic is executed. In the case of
the systematic is scheduled for more than one day of
the month, only the first day value is used.
45
10 11 2 Alpha/Num No Old Sys Agreement – Frequency

Blank = N/A
01 = 1 month per year
02 = 2 months per year
12 13 2 Alpha/Num No New Sys Agreement – Frequency

Blank = N/A
01 = 1 month per year
14 28 15 Numeric No Old Sys Agreement Amount

29 43 15 Numeric No New Sys Agreement Amount

46
6. Distribution Activity
Distribution Activity File
The Distribution Activity file generates to confirm all activity resulting from calculation and subsequent distribution of
dividend, long-term capital gain, or short-term capital gain to all customers within a CUSIP.
Note: This file type is for mutual funds and alternative investments only.
The Distribution Activity file generates after the distribution activity posts to all accounts holding a position within a CUSIP on
the record date. It also includes the share balance after the distribution activity from that night’s nightly cycle.
All Distribution Activity files begin with a Header record and end with a Trailer record for auditing purposes. For more
information, see Header Record, or Trailer Record.
CGH/DVH/FTH - Distribution Activity-Header Record 1 of 1


CGH = Capital Gain Header Record
DVH = Dividend Header Record
FTH = Foreign Tax Credit Header Record

7 14 8 Alpha/Num Yes Distribution Record Date (CCYYMMDD)
15 22 8 Alpha/Num Yes Distribution Payable Date (CCYYMMDD)
23 30 8 Alpha/Num Yes Distribution Reinvestment Date (CCYYMMDD)
40 46 7 Alpha/Num Yes Fund Code

47 61 15 Numeric Yes Distribution Rate Per Share

(10 decimal places)
62 76 15 Numeric No Fund Expense Rate

(10 decimal places)
77 77 1 Numeric Yes Distribution Type Code

0 = dividend
1 = short-term capital gain
2 = long-term capital gain
3 = stock split
78 86 9 Numeric Yes Reinvestment Share Price

47
87 101 15 Numeric No Penalty Withholding Rate

(10 decimal places)
CGR/DVR/FTR - Distribution Activity-Detail Record 1 of 3


CGR = Capital Gain Activity Detail Record
DVR = Dividend Activity Detail Record
FTR = Foreign Tax Credit Activity Detail Record


23 42 20 Alpha/Num Yes Customer Account Number

44 58 15 Numeric No Fund Expense Amount

59 59 1 Alpha/Num No Fund Expense Allocation Code

0 = single fund expense allocation
1 = cumulative fund expense allocation

0 = SSN missing
2 = SSN certified
3 = Tax ID number (TIN) not certified
4 = TIN certified
5 = SSN applied
48
70 70 1 Numeric Yes Distribution Code

0 = Reinvest distributions
1 = Cash to shareholder
2 = Reinvest to another fund account
3 = Cash in lieu of reinvesting fractional shares
4 = Foreign tax credit
5 = Cash disbursement – ACH
6 = Combination check
7 = Individual wire
8 = Combination wire
9 = Aggregated wire
71 85 15 Numeric Yes Shares Reinvested

86 100 15 Numeric Yes Share Balance After Distribution

Note: This value should override an

end-of-month position balance on funds where the
reinvestment date is equal to the last business day of the
month.
101 115 15 Numeric Yes Issued Shares/Units

116 130 15 Numeric Yes Distribution Amount

131 139 9 Numeric No Subaccounting Fee Amount

140 148 9 Numeric No Other Fees Amount

CGR/DVR/FTR - Distribution Activity-Detail Record 2 of 3



7 9 3 Numeric No Foreign Tax Withholding Rate

(three decimal places)
49
10 24 15 Numeric No Foreign Tax Withholding Amount

25 39 15 Numeric No U.S. Withholding Amount

49 49 1 Numeric Yes Dealer Control Level Code

0 = non-networking broker account
1 = broker-controlled IRA margin account
0 = priced CUSIP
5 = non-priced CUSIP
89 97 9 Alpha/Num No External Fund ID
98 104 7 Numeric Yes Fund From/To
105 111 7 Numeric No Wire Transaction Group Number
112 112 1 Alpha/Num No Balance Indicator

A = add
N = no change
S = subtract
113 115 3 Numeric No Transaction Code
116 118 3 Numeric No Transaction Code Suffix
119 144 26 Alpha/Num No Voluntary Trans. Description
CGR/DVR/FTR - Distribution Activity-Detail


50

7 21 15 Numeric No YTD Income Dividends (two decimal places)
22 36 15 Numeric No YTD Long-Term Capital Gains (two decimal places)
37 51 15 Numeric No YTD Short-Term Capital Gains (two decimal places)
52 66 15 Numeric No YTD Foreign Withholding (two decimal places)
67 81 15 Numeric No YTD Dividend Withholding (two decimal places)
82 96 15 Numeric No YTD Foreign Tax Paid Amount (two decimal places)

(used in positions 97-116)
118 132 15 Numeric No YTD 28% Long-Term Capital Gains (two decimal places)
133 133 1 Alpha/Num No Client Defined Flag 1
51
7. Security File
Security File
The Security File generates each time that a registration file (New Account Activity, Non-Financial Activity and/or Account
Master Position) processes for an account or subaccount. These records will be appended to your registration file types, if
your software vendor is compatible. This file provides information on the securities held by the financial intermediaries’
customers. The Security File eliminates the manual entry of the CUSIP, Ticker/Quotron Symbol and security information into
the financial intermediary’s portfolio management software. DST FAN Mail associates can generate this file upon request
based on information contained in the most recent Account Position File.
The Security File begins with a unique header record and ends with a standard Trailer record for auditing purposes. For more
information, see Trailer Record.
Security File-Header Record 1 of 1


RHR = Request Header


‘SECURITY FILE’ = Security File
22 29 8 Numeric Yes Super Sheet Date (CCYYMMDD)
30 37 8 Numeric Yes Processed Date (CCYYMMDD)
38 45 8 Numeric Yes Processed Time (HHMMSSDD)
46 53 8 Alpha/Num Yes Job Name
54 56 3 Numeric Yes File Format Code

924 = security file
57 63 7 Numeric Yes Request Number

0000001 – 9999999
65 67 3 Alphabetic Yes System ID
68 69 2 Alphabetic Yes Management Code
71 71 1 Alpha/Num Yes Unused = Mutual Fund

R = Alternative Investment
52
72 72 1 Alpha/Num Yes Life Date Type

A = whole
B = term
C = universal
D = variable
E = Variable Universal Life (VUL)
Security File-Detail Record 1 of 1


SFR = Security File Refresher

16 22 7 Alpha/Num Yes Fund Code – Mutual Funds and Alternative Investments

Product Code – Program Managers, Variable Annuity and Life
(right-justified, may contain alpha characters)
23 62 40 Alpha/Num Yes Fund Name
63 100 38 Alpha/Num Yes Product Name

(Programs Managers, Variable Annuity and Life only)
101 108 8 Alpha/Num Yes Market (Quotron/Ticker) Symbol (if available)
109 110 2 Alpha/Num Yes Major Security Type

MF = Mutual Funds
RT = Alternative Investment
PM = Program Managers
VA = Variable Annuity
VL = Variable Universal Life Insurance
Security File-Trailer Record 1 of 1


RTR = Request Trailer

001 = first trailer record
7 21 15 Alpha/Num Yes File Type

‘SECURITY FILE’ = Security File
53
22 30 9 Numeric Yes Trailer Record Count

(includes header, detail, and trailer)
54
8. Fund Price
Fund Price File
The Fund Price file indicates the Net Asset Value (NAV) and Offering Price as reported by the fund or the Unit Value as
reported by the variable annuity company. Transmissions of the Price File may not be available for all data providers.
The Fund Price file contains all possible products offered by that data provider, and it is sent daily.
FPR - Fund Price-Header Record 1 of 1 (For Price File Only)


RHR = Fund Price Refresher File


‘PRICE REFRESHER’
22 29 8 Alpha/Num Yes Super Sheet Date (CCYYMMDD)
30 37 8 Alpha/Num Yes Processed Date (CCYYMMDD)
38 38 1 Alpha/Num Yes *
39 41 3 Alpha/Num Yes System ID
42 43 2 Alpha/Num Yes Management Code
44 44 1 Alpha/Num Yes *
45 45 1 Alpha/Num No Mutual Fund – Unused

Populated by DST
R = Alternative Investments
Yes Variable Universal Life – Unused
46 46 1 Alpha/Num No Mutual Fund – Unused

Alternative Investments – Unused
Variable Universal Life – Variable
Yes Universal Life Indicator

E = variable universal life
55
FPR - Fund Price-Detail Record 1 of 1


FPR = Fund Price Refresher File


23 30 8 Numeric Yes Price Date (CCYYMMDD)
Note: The Price Date must be equal to the super sheet date
in the Fund Price Header record.
31 39 9 Numeric Yes Mutual Fund – Net Asset Value (NAV) per share (four
decimal places)
places)
Program Managers – Unit Price
(six decimal places)
Variable Annuity – Unit Price
(six decimal places)
Variable Universal Life – Unit Price (six decimal places)
Note: If the unit value is greater than 999999999, this field

positions 98-112.
40 48 9 Numeric Yes Mutual Fund – Public Offering Price (four decimal places)
Alternative Investments – Public Offering Price (four
decimal places)
Program Managers – Public Offering Price (six decimal
places)
Variable Annuity – Public Offering Price (six decimal
places)
Variable Universal Life – Public Offering Price (six decimal
places)
49 59 11 Numeric No Mutual Fund – Daily Dividend Rate (nine decimal places)

Alternative Investments – Daily Dividend Rate (nine decimal
places)
60 97 38 Alpha/Num Yes Fund Name
56
98 112 15 Numeric No Mutual Fund – Unused

Alternative Investments – Unused
Program Managers – Extended Unit Value field
Variable Annuity and Variable Universal Life – Extended
Unit Value field

represents the sub-account unit value (six decimal places).
127 130 4 Alpha/Num Yes Share Class
57
9. Cost Basis Account Position File

Cost Basis Account Position File
The Cost Basis Account Position File contains the cost basis account-level detail and the totals for year-to-date for the
account. This file is received based on the frequency it is established through the Refresher application. The refresher type is
84.
CBP - Cost Basis Account Position File-Detail Record 1 of 3


Indicates the record type of the file:
CBP = Position

Sequence number for the record.
7 13 7 Numeric Yes Financial Dealer ID

Financial dealer identification number.
14 22 9 Alpha/Num Yes Dealer Branch ID

Dealer/branch identification number.

Unique numeric identifier for a fund assigned by the Committee
on Uniform Securities Identification Procedures.
32 38 7 Alpha/Num Yes Fund Code

Numerical identifier assigned to the fund.
39 58 20 Alpha/Num Yes Customer Account Number

Numerical identifier assigned to all accounts.

Indicates whether the account is a fund account or an external
account.
F = Fund account number
E = External account number
60 60 1 Alpha/Num Yes Dealer Level Control Code

Indicates the dealer control level.
0 = Non-networking broker account
1 = Broker-controlled IRA / margin
account
2 = Customer name brokerage account
3 = Broker-controlled brokerage account
4 = Fund-controlled brokerage account
Note: Social code of the account, refer to the TA2000 Social

Codes Quick Reference Guide for more information.
58
64 72 9 Numeric Yes Tax Identification Number

Tax identification number of the customer on the account.
Note: The data in this field can be masked based on the settings
for the Transmitter ID in the Refresher Facility
73 73 1 Numeric Yes Tax identification Number Status

Code
This field describes the status of the tax identification number
on the account.
0 = SSN Missing
1 = SSN Not certified
2 = SSN Certified
3 = TIN Not certified
4 = TIN Certified
5 = SSN Applied
8 = SSN Exempt account
9 = TIN Exempt account

The Representative Identification Number.

The Representative Name.
113 121 9 Numeric Yes Cumulative Discount Number

Identifies the Cumulative Discount Account Group within the
Fund Sponsor.
122 128 7 Numeric Yes Custodial ID

Identification number of the custodian account.
129 135 7 Numeric Yes Third Party Admin ID

Identification number of any third party administrator of the
account.

Start End Length Data/Type Description
1 3 3 Alpha/Num Record Type

Indicates the record type of the file:
CBP = Position
4 6 3 Numeric Sequence Number

59
7 7 1 Alpha/Num Cost Basis Accounting Method

The cost basis accounting method identifier of the account.
F = FIFO
L = LIFO
H = HIFO
C = LOFO
G = LGUT
I = SLID
S = SAAC
A = ACST
8 8 1 Alpha/Num Secondary Cost Basis Account Method

The secondary cost basis accounting method identifier of the account, only
valid when the cost basis account method on the account is Specific Lot
Identification. This field will be populated if the Cost Basis Account Method is
SLID.
F = FIFO
L = LIFO
H = HIFO
C = LOFO
G = LGUT
9 9 1 Alpha/Num Cost Basis Method Source

The source of the cost basis accounting method on the account.
C = Future Election
S = Shareholder
F = Fund Default
10 19 10 Alpha/Num Cost Basis Accounting Method Election Date

The effective date (YYYY-MM-DD) of the current election on the account.
20 20 1 Alpha/Num Cost Basis Processing Status

The reason an account is suspended.
E = The account is suspended due to a system error
O = The account is out of balance
S = The account is suspended because the cost basis process was unable to
build, rebuild or otherwise maintain tax lots
21 35 15 Numeric Covered Available Cost Amount

Derived from the sum of available cost amounts from all covered lots This
value will only be populated on the account position file.
36 50 15 Numeric Covered Available Share Count

Derived from the sum of available share counts from all covered lots This
value will only be populated on the account position file.
51 65 15 Numeric Covered Sold Off Cost Amount

Derived from the sum of sold off cost from all the covered lots. This value will
only be populated on the account position file and if a reduction of shares has
occurred in the account.
66 80 15 Numeric Covered Short Term Gain Amount

Derived from the sum of short-term gain from the covered lots This value will
60
81 95 15 Numeric Covered Short Term Loss Amount

Derived from the sum of short-term loss from the covered lots, This value will
96 110 15 Numeric Covered Long Term Gain Amount

Derived from the sum of long-term gain from the covered lots This value will
111 125 15 Numeric Covered Long Term Loss Amount

Derived from the sum of long-term loss from the covered lots This value will
126 140 15 Numeric Covered Average Cost Per Share

The average cost per share for covered tax lots. This is populated only if the
shareholder’s cost basis method is Average Cost or Single Account Average
Cost. This value will only be populated on the account position.
141 160 20 Alpha/Num Unused


This indicates the record type of the file:
CBP = Position

This is a sequence number for the record.
7 21 15 Numeric Non-Covered Available Cost Amount

Derived from the sum of available cost amounts from all non-covered lots.
This value will only be populated on the account position file.
22 36 15 Numeric Non-Covered Available Share Count

Derived from the sum of available share counts from all non-covered lots.
This value will only be populated on the account position file.
37 51 15 Numeric Non-Covered Sold Off Cost Amount

Derived from the sum of sold off cost from all the non-covered lots. This
value will only be populated on the account position file and if a reduction of
shares has occurred in the account.
52 66 15 Numeric Non-Covered Short Term Gain Amount

Derived from the sum of short-term gain from the non-covered lots This value
will only be populated on the account position file and if a reduction of shares
has occurred in the account.
67 81 15 Numeric Non-Covered Short Term Loss Amount

Derived from the sum of short-term loss from the non-covered lots This value
61
82 96 15 Numeric Non-Covered Long Term Gain Amount

Derived from the sum of long-term gain from the non-covered lots This value
97 111 15 Numeric Non-Covered Long Term Loss Amount

Derived from the sum of long-term loss from the
non-covered lots This value will only be populated on the account position file
and if a reduction of shares has occurred in the account.
112 126 15 Numeric Non-Covered Average Cost Per Share – The average cost per share for non-
covered tax lots. This is only populated if a good average cost exists for all
non-covered tax lots and the shareholder elected to continue average cost on
their non-covered shares. This value will only be populated on the account
position file.
127 127 1 Alpha/Num Tax Lot Unknown Cost Indicator

This indicates that there is at least one lot in the account with unknown cost.
128 128 1 Alpha/Num Eligible to Revoke Code

This indicates whether the shareholder has the eligibility to revoke an Average
Cost election.
129 138 10 Alpha/Num Average Cost Revoked Date

The date on which the previous method was revoked This date will only be
shown when the previous cost basis accounting method on the account was
Average Cost or Single Account Average Cost and the election was revoked.
62
10. Cost Basis Account Activity File

Cost Basis Account Activity File
The Cost Basis Account Activity File contains the cost basis account-level detail for an account. This file is received based
when activity occurs that changes one of the fields. The refresher type number is 85.
CBA - Cost Basis Account Activity File-Detail Record 1 of 2


Indicates the record type of the file.
CBA = Activity

7 13 7 Numeric Financial Dealer ID

Financial dealer identification number
14 22 9 Alpha/Num Dealer Branch ID

Dealer/branch identification number
23 31 9 Alpha/Num CUSIP Number

Unique numeric identifier for a fund assigned by the Committee on Uniform
Securities Identification Procedures
32 38 7 Alpha/Num Fund Code

Numerical identifier assigned to the fund.
39 58 20 Alpha/Num Customer Account Number

Numerical identifier assigned to all accounts.
59 59 1 Alpha/Num Account Number Code

This code indicates whether the account is a fund account or an external
account.
60 60 1 Alpha/Num Dealer Level Control Code

0 = Non=networking broker account
1 = Broker=controlled IRA / margin account
3 = Broker=controlled brokerage account
4 = Fund=controlled brokerage account
61 63 3 Numeric Social Code
Note: Social code of the account, refer to the TA2000 Social Codes Quick
63
64 72 9 Numeric Owner Tax Identification Number

Tax identification number of the customer on the account.
Note: The data in this field can be masked based on the settings for the
Transmitter ID in the Refresher facility.
73 73 1 Numeric Tax identification Number Status Code = This field describes the status of
the tax identification number on the account.
0 = SSN Missing
2 = SSN Certified
4 = TIN Certified
5 = SSN Applied
74 82 9 Alpha/Num Representative Number

83 112 30 Alpha/Num Representative Name

113 121 9 Numeric Cumulative Discount Number

Identifies the Cumulative Discount Account Group within the Fund
Sponsor.
122 128 7 Numeric Custodial ID

The identification number of the custodian account.
129 135 7 Numeric Third Party Admin ID

The identification number of any third party administrator of the account.
CBA - Cost Basis Account Activity File-Detail Record 2 of 2


CBA = Activity

64

The cost basis accounting method identifier of the account.
F = FIFO
L = LIFO
H = HIFO
C = LOFO
G = LGUT
I = SLID
S = SAAC
A = ACST
8 8 1 Alpha/Num Secondary Cost Basis Account Method

The secondary cost basis accounting method identifier of the account,
only valid when the cost basis account method on the account is Specific
Lot Identification. This field will be populated if the Cost Basis Account
Method is SLID.
F = FIFO
L = LIFO
H = HIFO
C = LOFO
G = LGUT

The source of the cost basis accounting method on the account.
C = Future Election
S = Shareholder
F = Fund Default
10 19 10 Alpha/Num Cost Basis Accounting Method Election Date

The effective date (YYYY-MM-DD) of the current election on the account.
20 20 1 Alpha/Num Cost Basis Processing Status (The reason an account is suspended)

E = The account is suspended due to a system error
O = The account is out of balance
S = The account is suspended because the cost
basis process was unable to build, rebuild or
otherwise maintain tax lots
21 30 10 Alpha/Num Average Cost Revoked Date

The date on which the previous method was revoked This date will only be
shown when the previous cost basis accounting method on the account
was Average Cost or Single Account Average Cost and the election was
revoked.
65
11. Cost Basis Tax Lot Position File

Cost Basis Tax Lot Position File
The Cost Basis Tax Lot Position File contains the cost basis tax lot level detail that exists for the cost basis account. This file
will be sent based on the schedule that established in the Refresher facility. The refresher type number is 86.
TLP - Cost Basis Tax Lot Position File-Detail Record 1 of 2

1 3 3 Alpha/Num Record Code

TLP = Position


The financial dealer identification number.

The dealer/branch identification number.

The unique numeric identifier for a fund assigned by the Committee on
Uniform Securities Identification Procedures.
32 38 7 Numeric Fund Code

A numerical identifier assigned to the fund.

A numerical identifier assigned to all accounts.

Indicates whether the account is a fund account or an external account.

0 = Non-networking broker account
1 = Broker-controlled IRA / margin account
3 = Broker-controlled brokerage account
4 = Fund-controlled brokerage account
66

The tax identification number of the customer on the account.
Transmitter ID in the Refresher Facility.
73 73 1 Numeric Tax identification Number Status Code

Describes the status of the tax identification number on the account.
0 = SSN Missing
2 = SSN Certified
4 = TIN Certified
5 = SSN Applied



Sponsor.


136 158 23 Numeric Tax Lot Identification Number
TLP - Cost Basis Tax Lot Position File-Detail Record 2 of 2


The record type of the file.
TLP = Position

7 7 1 Alpha/Num Tax Lot Covered Code
8 17 10 Alpha/Num Acquisition Date
18 18 1 Alpha/Num Aggregated Lot Code
67
19 19 1 Alpha/Num Acquisition Reason

Indicates how the shareholder acquired the shares in the tax lot.
G = Gifted
I = Inherited
B = Inherited to Gift
A = Gifted then Averaged
Z = Acquisition N/A
20 20 1 Alpha/Num Acquisition Code

Indicates if the tax lot originated as a purchase or reinvest.
P = Purchase
R = Reinvest
21 21 1 Alpha/Num Unknown Cost Indicator

Indicates that there is at least one lot in the account with unknown cost.
22 36 15 Numeric Available Cost

Available cost on the lot.
37 51 15 Numeric Available Shares

Available Shares on the lot.
52 66 15 Numeric Cost per Share

The cost per share on the tax lot.
67 81 15 Numeric Fair Market Value Cost per Share Rate

An independent cost per share based on the FMV for shares gifted.
Note: This rate is evaluated at the time of sale, to establish the cost of the
gifted shares.
82 96 15 Numeric Alternate Valuation Amount

Transfers due to inheritance may be valued (in dollars) by an approved
representative, this field represents the cost per share of the alternate
valuation amount.
A cost per share value for Secondary Market transfer is captured in this
field.
97 106 10 Alpha/Num Alternate Valuation Date

The date (YYYY-MM-DD) on which the lots were valued, this date identifies
the FMV of the lots.
68
12. Cost Basis Tax Lot Activity File

Cost Basis Tax Lot Activity File
The Cost Basis Tax Lot Activity File contains the cost basis tax lot level detail that is impacted due to a sale of shares in an
account. This file will be sent when financial activity occurs that reduces the tax lots. The refresher type number is 87.
TLA - Cost Basis Tax Lot Activity File-Detail Record 1 of 3


TLA = Activity


The financial dealer identification number

The dealer/branch identification number

The unique numeric identifier for a fund assigned by the Committee on
Uniform Securities Identification Procedures
32 38 7 Numeric Fund Code

A numerical identifier assigned to the fund.

A numerical identifier assigned to all accounts.

Indicates whether the account is a fund account or an external account.

0 = Non=networking broker account
1 = Broker=controlled IRA / margin account
3 = Broker=controlled brokerage account
4 = Fund=controlled brokerage account
69

The tax identification number of the customer on the account.
Transmitter ID in the Refresher Facility.
73 73 1 Numeric Tax identification Number Status Code

Describes the status of the tax identification number on the account.
0 = SSN Missing
2 = SSN Certified
4 = TIN Certified
5 = SSN Applied



Sponsor.


136 158 23 Numeric Tax Lot Identification Number


This indicates the record type of the file.
TLA = Activity

7 7 1 Alpha Tax Lot Action Type

Identifies if the tax lot was added or reduced.
A = Add
R = Reduction
70
8 18 11 Numeric Event Identifier 1

Identifies the posted financial transaction event that is represented by a
cost basis transaction.
19 29 11 Numeric Event Identifier 2

Identifies the posted financial transaction event that is represented by a
cost basis transaction.
30 40 11 Numeric Transaction Identifier 1

This is the first series of numbers that uniquely identifies a financial
transaction on the TA2000 system.
41 51 11 Numeric Transaction Identifier 2

This is the second series of numbers that uniquely identifies a financial
transaction on the TA2000 system.

The cost basis accounting method identifier of the transaction.
F = FIFO
L = LIFO
H = HIFO
C = LOFO
G = LGUT
I = SLID
S = SAAC
A = ACST

The source of the cost basis accounting method on the transaction.
E = Election
D = Default
S = Secondary
O = Override
54 54 1 Alpha/Num Tax Lot Covered Code

Indicates whether the tax lot is covered by the Mandatory Cost Basis
Reporting legislation
55 64 10 Alpha/Num Tax Lot Acquisition Date

The date (YYYY-MM-DD) the tax lot was acquired.
65 65 1 Alpha/Num Tax Lot Aggregate Lot Code

Indicates whether the tax lot is an aggregated tax lot.
66 66 1 Alpha/Num Acquisition Reason

Indicates how the shareholder acquired the shares in the tax lot.
G = Gifted
I = Inherited
B = Inherited to Gift
A = Gifted then Averaged
67 67 1 Alpha/Num Acquisition Code

Indicates if the tax lot originated as a purchase or reinvest.
P = Purchase
R = Reinvest
71
68 68 1 Alpha/Num Unknown Cost Indicator

Indicates the cost for the tax lot that is being added or depleted is
unknown.’ Previously this field was indicating that at least one tax lot in the
account contained unknown cost.
69 83 15 Numeric Available Cost

Available cost remaining in the lot after the redemption activity.
84 98 15 Numeric Available Shares

Available Shares on the lot after the reduction of shares from the
redemption activity.
99 113 15 Numeric Reduction Share Count

The number of shares reduced in a tax reportable transaction.
114 128 15 Numeric Reduction Sold-off Cost Amount

The amount reduced in a tax reportable transaction.
129 143 15 Numeric Cost per Share

The cost per share on covered tax lots. If the shareholder cost basis
method is Average Cost or Single Account Average Cost, the average cost
per share will be reflected in this field for covered shares.
144 158 15 Numeric Reduction Short-Term Gain

The amount of short-term gain on the tax lot for a cost basis transaction


This indicates the record type of the file.
TLA = Activity

7 21 15 Numeric Reduction Short-Term Loss

The amount of short-term loss on the tax lot for a cost basis transaction
22 36 15 Numeric Reduction Long-Term Gain

The amount of long-term gain on the tax lot for a cost basis transaction
37 51 15 Numeric Reduction Long-Term Loss

The amount of long-term loss on the tax lot for a cost basis transaction
52 52 1 Alpha/Num Tax Lot Reduction Gift Cost Basis Type Code

A code used to determine how the cost basis was selected for
transactions that use tax lots that were built for a gift.
F = Fair Market Value
D = Donor Basis
T = Trade Date
Z = Not Applicable
72
53 67 15 Numeric Wash Sale Disallowed Amount

The amount of the original loss that was disallowed due to a wash sale
that affected the tax reportable transaction.
68 82 15 Numeric Load Basis Deferred Amount

The amount of the available load that was used to reduce the sold off cost
amount because the tax reportable transaction was subject to the IRS
Load Basis Deferral Rule.
83 92 10 Alpha/Num Date of Gift

The date on which a transfer due to gift was gifted.
93 102 10 Alpha/Num Date of Death

The date on which a transfer due to inheritance was inherited
103 117 15 Numeric Cost per Share Fair Market Value Rate
An independent cost per share based on the FMV for shares gifted.
This rate is evaluated at the time of sale, to establish the cost of the gifted
shares.
118 132 15 Numeric Alternate Valuation Amount

Transfers due to inheritance may be valued (in dollars) by an approved
representative, this field represents the cost per share of the alternate
valuation amount.
A cost per share value for Secondary Market transfer is captured in this
field.
133 142 10 Alpha/Num Alternate Valuation Date

The date (YYYY-MM-DD) on which the lots were valued, this date identifies
the FMV of the lots.
143 143 1 Alpha/Num Transfer Event Pro-Rata Depletion Code

A code that indicates whether the tax lots should be depleted using the
pro-rata method for the transfer.
144 158 15 Numeric Tax Reportable Tax Lot

Reduction Allocated Trade Amount
Note: The Cost Basis Tax Lot Activity File will be generated when purchase and/or redemption activity occurs in the
account. The tax lot activity file will not be generated when a cancellation, adjustment, Adtrans, or modifications are
performed to the tax lots through the tax lot maintenance facility. If this type of activity does occur on an account a full
Cost Basis Tax Lot Position File will need to be requested.
73
Appendix A. Miscellaneous Information

Social Codes
For more information on specific social codes, contact your FAN Mail Client Services representative or see the FAN Mail
Social Codes Quick Reference Guide.
Record Codes
For more information on specific record codes, contact your FAN Mail Client Services representative or see the FAN Mail
Record Codes Quick Reference Guide.
Account Type Indicators

For more information on Account Type Indicators, contact your FAN Mail Client Services representative or see the NSCC
Social Codes Quick Reference Guide.
74
Glossary
Account Number Code A code used to identify whether the Account Number field on the file represents the external
account number or the fund account number.
Account Management Company Employee Code (Mutual Funds and Alternative Investments) A code used to indicate
whether a person is an employee of the account management company.
Account Number A value assigned by individual product companies to customer investments. An Account Number
becomes unique when combined with investment CUSIPs.
Account Price Scheduling Code (Mutual Funds and Alternative Investments) A code used to indicate whether the mutual
fund/alternative investment receives reduced or regular pricing.
Account Type Code A code used to indicate whether an account is new or already exists.
Account Type Indicator A standardized NSCC social code.
Accrued Dividend Amount (Mutual Funds) Indicates the dollar amount of interest earned but not received in cash.
Alpha Code A code developed from the shareholder registration enabling the user to locate the account without the account
number.
Anniversary Date Date from which anniversaries are measured.
As-Of Reason Code A code explaining the reason for processing a trade into an account on a date prior to its entry into the
recordkeeping system.
Automated Clearing House (ACH) Account An account in which the shareholder elected to make fund purchases or
redemption activity electronically from a pre-approved bank or financial institution.
Bank Account Number A number assigned to the specific owner’s account with the bank.
Bank Card Issued A code used to determine whether a debit card was issued to the shareholder.
Bank MICR ID Magnetic Ink Character Recognition is the automation concept used by the banking industry to identify
account numbers on the bottom of checks.
Batch Date The date that a group of transactions were entered into the recordkeeping system.
Batch Number A number assigned to a set of similar transactions that a clerk enters into the system. This field is used
primarily for research purposes only. This field can be used by the client to track a transaction through the system.
Benefit Option Structure of policy determining calculation of death benefit.
Blue Sky Exemption Flag A flag indicating whether a transaction is counted toward the maximum number of shares sold
within a given state.
Capital Gains Distribution Options Indicates whether capital gains for a given customer are reinvested or paid in cash.
75
Cash Distribution A code indicating whether the distribution amount is received in cash. This code is used for reinvesting
into another account.
Certificate Issuance Code A code indicating whether a certificate should be issued. A certificate is the document that
indicates ownership in a corporation.
Check Number A unique identifier for a check related to a transaction.
Check Writing Account A code used to indicate if the shareholder was issued check writing drafts. Check writing is a
shareholder privilege offered by some money market and fixed income funds that provides the shareholder with special
checks that can be written against the mutual fund account.
Collateral Value The amount of the policy that is held to secure a loan.
Collected Balance Amount Indicates the dollar amount within an account that the recordkeeping system allows the
shareholder to redeem, prior to a fund controlled waiting period.
Collected Shares (Mutual Funds) The total number of shares in an account available to the shareholder for redemptions,
exchanges, or transfers.
Confirmation Date The date a transaction was processed into the system.
Contribution Year The year that a fiduciary transaction applies to.
Cumulative Discount Number A value used to associate or link together accounts for the purpose of securing reduced
sales prices on purchases.
CUSIP Number An alphanumeric value used to identify the fund.
Customer Date of Birth The date of birth of the investment owner.
Dealer/Branch Number A value used to identify a dealer branch within a dealer.
Dealer Commission Amount The amount of money paid to a dealer and representative for their compensation for
investments that they solicited.
Dealer Commission Code A code indicating whether the dealer received his commission up front or will be paid in standard
cycle (N = net or G = gross).
Dealer Level Control Code A code used to indicate the type of account. Valid codes include:
• 0 = non-networked broker account; or variable sub-account (for VAs and

VULs)
• 1 = broker-controlled IRA/margin account
• 2 = customer name brokerage account
• 3 = broker-controlled brokerage account
• 4 = fund-controlled brokerage account
• 5 = non-priced CUSIP
• 6 = VUL fixed subaccount
Dealer Number A value used to identify a broker/dealer on the recordkeeping system.
76
Discount Category A code that identifies the discount received by an investor in a fund family on a transaction. Lowered
fees derived by totaling transactions in several funds from the same fund family to obtain a reduced fee. Generally, fees for
investing in a mutual fund decrease as the amount that a person invests increases; therefore, if there is a required minimum
investment that allows an investor to receive the fee discount, the investor can receive the discount without having to invest
that entire minimum in the same fund.
Distribution Amount The proportionate distribution amount of dividends, capital gains, or foreign tax credit payments
realized by the fund and passed along to the shareholder account.
Distribution Code A code used to determine how a distribution is processed.
Distribution Payable Date The date on which a distribution is paid.
Distribution Record Date A stated date on which a shareholder must own shares within the fund in order to receive a
portion of the distributable income or capital gain earned by a fund.
Distribution Reinvestment Date The date on which the net asset value (NAV) is used to determine the price per share at
which distributions are reinvested.
Distribution Type A value indicating how the distribution is to be distributed.
Dividend Distribution Option Indicates whether dividends for a given customer are reinvested or paid in cash.
Dividend Mail Account A code indicating if the shareholder has elected to mail distribution checks to an address other than
the address on record.
Escrow Shares Count Shares held in custody by the recordkeeping system pending successful completion of a Letter of
Intent (LOI).
Established Date The date an account was opened.
Expedited Exchange Account Determines if the shareholder has the privilege to exchange funds using the telephone or
telegraph.
Expedited Redemption Account A code used to determine if the shareholder has the privilege to redeem shares by
telephone and have funds wire-transferred to a previously established bank.
Extended Unit Value This field is used if the value is greater than $999.999999.
External Plan A unique identifier of a plan that does not use a DST recordkeeping system.
Fiduciary Account A code that indicates whether the shareholder is utilizing the fiduciary subaccounting system.
File Format Code The three-position code found in the header record that identifies the numeric value assigned to the type
of file.
File Type (Description) A field used in the Header and Trailer records that describes the type of records sent.
Foreign Tax Withholding Amount The non-resident alien (NRA) tax withheld for an account after it has been calculated
using the Foreign Tax Rate.
Foreign Tax Withholding Rate The rate at which the non-resident alien (NRA) withholding tax is calculated for foreign
shareholders.
77
Fractional Check (Mutual Funds) A code used to indicate whether a check should be issued for fractional shares.
Fractional Shares (Mutual Funds) Share amounts that are less than one full share.
Fund Code A numeric value used to identify the fund.
Fund Expense Allocation Code Indicates how the fund expenses are allocated. Fund expenses are not calculated at this
time.
Fund Expense Amount The amount calculated for the fund expenses using the Fund Expense Rate. Fund expenses are not
calculated at this time.
Fund Expense Rate The rate at which the fund expense is calculated. Fund expenses are not calculated at this time.
Fund Name A field that describes the name of the fund.
Fund Order Number A number used to identify a specific order on the recordkeeping system’s Order Processing tables.
Gross Shares The share figure associated with a shareholder’s transaction.
Gross Transaction Amount The net dollar figure associated with a shareholder’s transactions.
Guideline Annual Premium The maximum annual premium that may be paid while still qualifying as life insurance under the
Federal Internal Revenue Code.
Guideline Single Premium The maximum single premium that may be paid while still qualifying as life insurance under the
Federal Internal Revenue Code.
Interested Party Code A code used to indicate whether a shareholder is an interested party.
Interest Rate Indicates the rate of interest for a variable annuities’ fixed sub-account.
Issued Date The date in which the policy / contract was issued.
Issued Shares Shares issued in certificate form.
Issued Units Units issued in certificate form.
Job Name The job name associated with a type of file.
Last Maintenance Date The date changes were last made to the shareholder’s account.
Letter of Intent Number A numeric value used to identify the Letter of Intent (LOI) number for an account.
Line Code A numeric value indicating on which line of the shareholder registration the address starts.
Liquidation Code A number that represents the type of liquidation that has occurred.
GPURCH Account Indicates whether the shareholder has established the privilege of making periodic purchases using the
GPURCH facility (GPURCH replaced the LISTBILL facility).
Load/No-Load Code Indicates whether a fund is a load or no-load fund. On a load fund, the commission amount is added to
the net asset value (NAV) price of a fund. On a no-load fund, the commission amount is not added to the NAV price.
78
Loan Value The sum value of all loan activity for an individual policy
Mailing Flag Indicates whether the address referenced is an interested party address or a dividend mailing address.
Management Code An alphanumeric code used to identify the Management Company.
Maturity Date (Variable Annuity) The date on which a variable annuity sub-account matures.
Monitored VIP Account Indicates whether an account is set up for monitoring. This flag is used to indicate fund executives
or shareholders with large investments.
Multiple Owners This is used to indicate if there are multiple owners on the policy.
Mutual Fund Transaction ID A series of numbers which uniquely identifies a transaction on the system.
NAV Code A code used to indicate whether an account is a net asset value (NAV) account.
Net Asset Value (NAV) The value of one share of a fund as determined by this formula: (total fund assets – total fund
liabilities)/total fund shares outstanding.
NSCC The National Securities Clearing Corporation, established in 1976, is currently the nation’s leading provider of
centralized clearance, settlement, and information services to brokers, dealers, banks, and mutual funds. Owned jointly by the
New York and American Stock exchanges and the National Association of Securities Dealers, the NSCC is a registered
clearing agency with the Securities and Exchange Commission. The NSCC offers four products: Networking, Fund/SERV,
Commission Settlement, and Automated Customer Account Transfer Service.
Order Number A number used to identify a specific order on the DST Order Processing System.
Other Fees Additional fees taken out from the dividend-distribution cycle such as a service charge or dealer fee.
Payment Date Allows the optional entry of the payment (effective) date of the trades in the batch.
Payment Method A code used to indicate the payment method for variable life insurance products. Valid Codes include:
V = variable annuity fixed sub-accounts
E = variable universal life fixed sub-accounts
Penalty Withholding Account Indicates whether a shareholder is subject to a 20 percent distribution withholding to be paid
to the Internal Revenue Service. Penalty Withholding results from failure to provide the fund with a certified Tax Identification
Number (Social Security number or employee ID number).
Percentage Sales Charge The percentage amount deducted from shareholder purchases or redemptions paid to the dealer.
Plan Status Code A code used to indicate whether an account within the plan is open or closed.
Policy/Contract Number A value assigned by individual product companies to customer investments. A Policy/Contract
Number becomes unique when combined with investment CUSIPs.
Policy Value The collective balance of all sub-accounts associated with one individual policy.
Position Close-Out Indicator An identifier from the product company stating that the position no longer belongs to the FAN
Mail data file recipient.
79
Pre-Authorized Checking Account A code used to indicate whether the shareholder has the privilege of allowing the
transfer agent to make fund deposits from the shareholder’s checking account.
Premium Paid Issue to Date The total amount of premium paid as of that current date.
Price Date The date the shares/units are priced.
Primary Beneficiary The person who inherits the investment if the benefactor dies.
Processed Date The date the job was executed.
Processed Time The time the job was executed.
Product Code Identifies the life company product or plan.
Public Offering Price The price at which a new issue of securities is offered to the public by underwriters.
Rate Per Share The distribution amount paid per share for each share held as of the record date.
Record Code A value used to describe a set of transaction codes and suffixes that categories a type of transaction.
Record Date Shares held in the account on this date are eligible for the distribution payout.
Record Type A value used to identify the type of information contained in the file record.
Redemption Amount A dollar figure used in a redemption transaction.
Reduced Price Indicates whether the trade is processed at a reduced price.
Registration Identifies the name and address of the account/policy owner.
Reinvest Capital Gains Option A shareholder option that controls whether the capital gain distribution is reinvested.
Reinvest Dividend Option A shareholder option that controls whether the capital gain distribution is to be reinvested.
Reinvest to Another Account A flag used to determine whether the shareholder has elected to reinvest distributions in
another fund account. The account generating the distribution must be coded for cash distributions.
Reinvestment Price The price at which all shares are reinvested into an account.
Representative Name The name of the registered representative assigned to the account.
Representative Number Identifies the registered representative assigned to the account.
Request Number A sequentially-assigned number used to identify a particular set of selection criteria in a file.
Resident State / Country Code Number associated with the state or country of the account owner.
Sequence Number A sequentially-assigned number used to identify a particular record.
Share Account House Account Code (Mutual Funds) A code used to indicate whether an account is a share account
house account.
80
Share Account Phone Check Redemption Code (Mutual Funds) A code used to indicate whether an account is a share
account phone check redemption.
Share Amount The total number of shares requested in a transaction.
Share Balance Effect Code Determines how a particular transaction affects the total number of shares within an account.
Share Balance The total number of shares in an account as of a specific date and time. This includes all issued and un-
issued shares.
Share Price Amount The price at which shares are purchased or redeemed.
Shares Reinvested The total number of shares that the shareholder elected to purchase into the fund after being paid a
distribution.
Shares Transaction Count The total number of shares involved with a transaction.
Social Code A code established and maintained that characterizes the owner of the account (such as male, female, joint
tenant, trustee, charitable organization). Social codes can be specifically assigned by a management company.
Social Security Number (SSN) A number assigned by the Internal Revenue Service that uniquely identifies an individual.
SSN Status Code Indicates the status of the certification of the Tax Identification Number (Social Security number or
employee ID number).
State/Country Code Identifies the state or country in which a shareholder resides. Refer to the TA2000 State and Country
Codes Quick Reference Guide for a complete listing.
Stop Mail Account Determines if suppression of shareholder mailings can be legally done for a particular account. Stop
mails are generally used when shareholder mail has been returned due to insufficient address and when the fund is unable to
obtain a better address.
Stop Purchase Account Determines whether suppression of shareholder purchases can be legally restricted for a particular
account.
Stop Transfer Flag Determines whether suppression of account transfer can be legally restricted for a specific account.
Stop transfers are generally issued when adverse claims are pending against an account and there is not to be any further
debits, transfers or redemptions.
Sub-Account An account linked by cumulative discount number to other accounts for the purpose of combined reporting.
Sub-Account Type Identifies whether or not the sub-account is of a fixed or variable nature.
Subaccounting Fee The fees associated with handling a sub-account.
Suffix Number Links a specific interested party address with a shareholder’s account that already contains multiple
interested party addresses.
Super Sheet Date The date the nightly processing uses to process a transaction.
Surrender Charge A charge assessed to the policyholder if the policy is surrendered prior to its maturity date.
Surrender Value The value of a policy at the time of a surrender.
81
SWP Account A code used to indicate whether an account is established as a systematic withdrawal plan account.
System ID An internal DST code.
Target Premium The premium amount the policy owner must pay to keep the policy in force. Target Premium is also known
as No Loss Guarantee.
Term Life Insurance Life insurance payable to a beneficiary only when an insured dies within a specified period.
Third-Party Administrator Number (TPA) A unique identifier for a financial institution responsible for the placement of
trades through the National Securities Clearing Corporation (NSCC) and for recordkeeping and administrative functions as
designated by a trust company. Third-party administrators are members of the NSCC with an assigned TPA number.
Timer Flag A code indicating whether an account is associated with a Timer (Dealer) Group.
Total Shares The amount of shares purchased by the shareholder in certificate form.
Total Units Total amount of units purchased by the contract / policy owner within a sub-account of a life policy.
Trade Date The date the trade was affected. Also, the date the system uses to determine share price of the transaction.
Trailer Record Count The total number of records contained within a request. This count includes all detail records, plus the
header and trailer.
Transaction Code Identifies the type of activity processed against the account on the system.
Transaction Suffix Further defines the type of activity processed against the account within a specific Transaction Code on
the system.
Transaction Type Indicates whether a new record is being added or if an existing record is being changed or deleted.
Trust Company Number A unique identifier for a financial institution that holds legal title to a legal ownership registration in
order to administer the account for a beneficiary. The trust can be custodian of the assets of the account and is a member of
the National Securities Clearing Corporation (NSCC) with an NSCC assigned Trust Member Number.
Underwriter Commission Amount The fees paid to an underwriter who markets a new fund offering.
Underwriter Commission Code A code used to indicate whether an underwriter commission is credited or debited to the
total commission paid.
Unissued Shares The shares held on deposit by the transfer agent for which certificates are not issued.
Unit Price Amount The price at which units are purchased or redeemed.
Unit Transaction Count The total number of units involved with a transaction.
Unit Value The price at which units are purchased or redeemed.
Universal Life A flexible premium life insurance policy under which the policy may change the death benefit from time to
time (with satisfactory evidence of insurability for increases) and vary the amount of timing of premium payments. Premiums
(minus expense charges) are credited to a policy account from which mortality charges are deducted and to which interest is
credited at rates that can change from time to time.
82
Variable Life Life insurance under which benefits relate to the value of assets behind the contract at the time the benefit is
paid. The amount of death benefit payable would, under variable life policies that have been proposed, never be less than the
initial death benefit payable under the policy.
Variable-Universal Life A life insurance policy that combines the premium flexibility feature of universal life insurance with
the equity-based benefit feature of variable life insurance.
Whole Life Insurance Life insurance payable to a beneficiary at the death of the insured whenever it occurs. Premiums may
be payable for a specified number of years (limited payment life) or for life (straight life).
Wire Transaction Group Number A unique identifier for a group of wire transactions.
ZIP Code A code used by the U.S. Postal Service to indicate the street, city, and state for delivery of mail.
83
Index
A
D
Account Management Company Employee Code 23, 31
Daily Dividend Rate 56
Account Number Code 26, 36, 48
Dealer Commissions
Account Price Schedule Code 23, 31, 43
amount 30
Accounts
code 29
automated clearing house (ACH) 38
Dealer Control Level Code 22, 50
check writing 39
Dealer Number 19, 26, 36, 48
dividend mail 42
Dealer/Branch Number 19, 26, 36, 48
expedited exchange 40
Direct Financial Activity
expedited redemptions 39
detail record 3 31, 33
fiduciary 41
Discount Category 27
ListBill 39
Distribution Amount 49
monitored VIP 39
Distribution Code 49
net asset value 30, 41
Distribution Payable Date 47
penalty withholding 40
Distribution Record Date 47
pre-authorized checking (PAC) 38
Distribution Reinvestment Date 47
stop mail 43
Distribution Type Code 47
stop purchase 42
Distributions
systematic withdrawal plan (SWP) 37
amount 49
Accrued Dividend Amount 22
codes 49
ActiveX 9
payable date 47
Alpha Code 22
record date 47
As-Of Reason Code 30
reinvestment date 47
share balance after 49
B type code 47
Bank Card Issued 41 DSTHTTPDL control 9
Batch Date 26
Batch Number 26 E
Billing
Established Date 36
amount 35
External Fund ID 50
frequency 35
External Plan ID 23
type 35
Blue Sky Exemption Flag 40
F
C FAN Mail
administration 7
Certificate Issuance Code 30, 40
automatic downloads 9
Check Number 30
manual downloads 8
Collateral Value 18
production files 9
Collected Balance Amount 22
resend files 10
Confirmation Date 27
selection criteria 7
Cost Basis Account Activity File 63
uncompressed files 10
Cost Basis Account Position File 58
Fees
Cost Basis Tax Lot Activity File 69
other 49
Cost Basis Tax Lot Position File 66
File Format Code 16
Cumulative Discount Number 22, 29, 39, 50
File Type 8, 15, 17, 55
CUSIP 13, 19, 26, 36, 47, 56
Foreign Tax
Customer Account number 26
rate 39
Customer Account Number 36, 48
84
withholding amount 50 O
withholding rate 49
Foreign Tax Rate 39 Other Fees Amount 49
Foreign Tax Withholding Amount 50
Foreign Tax Withholding Rate 49 P
Fractional Check 43
Payment Date 27
FTP transmissions Payment Method 28
file naming convention Penalty Withholding 40, 48
production files 9
Penalty Withholding Rate 48
resend files 10 Percent Sales Charge 29
uncompressed files 10 Plan Status Code 41
Fund Code 26, 36, 47, 56
Policy
Fund Expense Allocation Code 48 value 18
Fund Expense Amount 48 Policy Value 18
Fund Expense Rate 47
Policy/Contract Number 18
Fund From/To 50 Premium
Fund Name 56 Guideline annual 35
Fund Price File 55
Guideline single 35
no lapse guarantee 35
G seven pay 36
Gross Transaction Amount 27 target 35
premiums
paid issue to date 18
H
Price Date 56
Header Records 15 Processed Date 15, 55
Processed Time 15
I Product Code 18, 56
Public Offering Price 56
Interest Rate 22
Interested Party Code 41 R
interpreting record layouts 14
Issue Date 36 record layout field descriptions 14
record layouts 14
J Reinvest to Another Account 38
Reinvestment Share Price 47
Job Name 15 Representative Name 22, 29, 44, 50
Representative Number 22, 29, 44, 50
L Request Number 16
Last Maintenance Date 36

Letter of Intent 22, 29, 39
S
Loan Value 18 selection criteria 7
LOI See Letter of Intent Share Account House Account Code 42
Share Account Phone Check Redemption Code 41
M Share Balance After Distribution 49
Shares
Mailing Flag 41
balance after distribution 49
Management Code 16, 55
balance effect code 26
Maturity Date 22, 26
collected 24
Multiple Contract Owners 38
escrow 22
Multiple Owners 23, 30
escrowed count 22
issued 20, 49
N price amount 27
NAV See Net Asset Value reinvested 49
NAV Account 30, 41 total 19
Net Asset Value 20 transaction count 27
accounts 30, 41 unissued 20
Shares Reinvested 49
Social Code 22, 29, 37
85
Social Security Number 22, 30, 37, 48 U.S. Withholding Amount 50

SSN Status Code 23, 30, 48 uncompressed files See data files
State and Country Codes 29, 37 Underwriters
Super Sheet Date 15 commission code 31
Surrender Charge 18 Units
Surrender Value 18 extended value 21, 57
System ID 16, 55 issued 20
price amount 27
T total 19, 20, 24
transaction count 27
TELTRAN 32 unissued 20
Third-Party Administrator 21, 45, 49 value 20, 21, 30, 57
Timer Flag 39
Total Shares 19
V
Total Units 19, 20, 24
Trade Date 27 Variable Universal Life
Trailer Records 17 life data types 16
Transaction Codes
direct financial activity records 26 W
Transaction Suffix
direct financial activity records 26 Wire Transaction Group Number 50
Trust Company Number 21, 45, 49
Z
U ZIP Code 39
86

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1. Header Record ...................................................................................................................................... 15

2. Trailer Record ....................................................................................................................................... 17

3. Account Position .................................................................................................................................. 18

4. Direct Financial Activity File (DFA) .................................................................................................... 25

5. New Account Activity, Account Master Position, Non-Financial Activity .................................. 34

6. Distribution Activity .............................................................................................................................. 47

7. Security File .......................................................................................................................................... 52

8. Fund Price .......................................................................................................................................... 55

9. Cost Basis Account Position File ...................................................................................................... 58

10. Cost Basis Account Activity File ..................................................................................................... 63

11. Cost Basis Tax Lot Position File ..................................................................................................... 66

12. Cost Basis Tax Lot Activity File ....................................................................................................... 69

Appendix A. Miscellaneous Information .............................................................................................. 74

About This Guide

Using This Guide

Note: Helpful information for the current topic/procedure.

Important: Necessary information crucial for the current topic/procedure.

Locating More Information

Submitting Documentation Comments

Include the following information with your correspondence:

• Title of the guide and date on the cover

• Document chapter, section, and page number

• Your suggestion for how to correct or improve the documentation

FAN Mail Administration

Note: FAN Mail supports multiple combinations of selection criteria.

01 Distribution Activity (Mutual Funds and Alternative Investments only)

02 Direct Financial Activity

08 New Account Activity

09 Account Master Position

84 Cost Basis Account Position

85 Cost Basis Account Activity

86 Cost Basis Tax Lot Position

87 Cost Basis Tax Lot Activity

Downloading FAN Mail Files

Manual Website Download

Automated Website Download

File Naming Conventions

6-7 File type

8 A – Z = production (except R = resend)

Extension .ZIP (indicates a compressed ZIP file)

Note: The zip file is not password protected.

Uncompressed File Names

6-7 File type

8 A – Z = production (except R = resend)

Extension .TXT (indicates an ASCII text file)

Client Account Information

Account Master Position File

New Account Activity File

Non-Financial Activity File

Direct Financial Activity File

Cost Basis Account Position and Activity

Cost Basis Tax Lot Position and Activity

Distribution Activity File (Mutual Funds and Alternative Investments Only)

Distribution Calculation and Loadback Process

Fund Price File

Customer Account Information

Interpreting Record Layouts

Start End Length Data/Type Required Description

Record Layout Field Descriptions

B The type of record defined (Header, Detail, or Trailer record).

C The sequence number of the record (1=first record, 2=second record).

D The total number of records in the sequence