Data Tag: AM.AI/1

Choose from Depository Elig

Indicates if selected account is depository eligible. Is used as part of the procedure for determining the registration of a BUY, RVP, FRR, or PTI transaction.

Data Tag: AM.AI/2

Table 3: Registration Table

Indicates the registration code used when security and account are not depository eligible.

Automatically supplied on BUY, RVP, FRR, and PTI screens if entered and both account and security are not depository eligible.

System checks this field for registration to use if security and account types do not exist in the DRG override table.

Does not apply to mutual funds when security type or security type/subclass combinations exist in installation master field MFP/1 (Mutual Fund Security Type Codes) or installation master field MFP/2 (Mutual Fund Security Subclass Codes To Include).

Accepts a code from Table 3 (Registration).

Data Tag: AM.AI/3

Choose from Special Reg

Indicates if account uses special registrations. Information only.

Data Tag: AM.AI/4

Choose from Proxies

Indicates status of proxy decisions made for selected account.

Is used in proxy processing (PXY) with interested party submaster field BI/15. Is also used by function SEF for 13F reporting and function SEG for 13G reporting and by functions BSD and PROXY in the preparation of consenting beneficial shareholder reports.

NOTE: You must enter values in installation master field PROXY/16 through PROXY/19 or function MIPT equivalents if you enter R in field AI/4.

Data Tag: AM.AI/5

Choose from Annual Reports

Indicates method of handling annual reports for selected account.

Applies during proxy processing through function PXY (Proxy/Annual Report List & Labels) with submaster field BI/15.

Default is H.

NOTE: Is not used in Proxy Interface processing (function PROXY) or Proxytrust Interface processing (function PPI).

Data Tag: AM.AI/6

Choose from Ny Resident Tax

Indicates if the New York state resident tax is applicable to the account’s transactions. Obsolete as of 10/82.

Data Tag: AM.AI/7

Choose from Lot Selection Method

Method to determine lots to select automatically when removing assets from specified account.

Method entered overrides system default. May be overridden on transaction screen.

Default is lot selection method in installation master field SP/1 (Lot Selection Method).

For more information on lot selection methods, see Special Considerations Relative to Removing Securities, under Functions Used to Remove Securities in Chapter 5, Security Maintenance & Processing.

NOTE: Accepts only F (FIFO) when the account/asset is set up for Cost Basis Reporting Average Lot Selection Method (CBR ALSM). For more information, see Overriding Tax Lot Relief Method to FIFO and Removing Tax Lots for CBR ALSM Accounts/Securities with Sales and Cost Basis Reporting Lot Selection in Chapter 5, Securities Maintenance and Processing.

Data Tag: AM.AI/9

Choose from Trade Serv Fee Processing

Contains the trade service fee schedule for account from TSC.

Overrides the system default in installation master field FE/41 (Trade Service Fee Processing).

Tax basis processing adds the charge for trade services to the cost of purchases or deducts it from sale proceeds, passing the cost of the service on to the customer as part of the net trade amount. Cash basis processing charges the account for trade service fees incurred separately, creating a disbursement to accompany the posted trade.

NOTE: A "blank" value in AI/9 allows the system to default to the value in installation master field FE/41.

Data Tag: AM.AI/10

Choose from Fractional Share Handling

Method to use when stock split fractions result from a dividend or split.

Used with automated stock dividend or stock split MAPs if buy/sell fractions is the specified fraction treatment. Performs specified method when stock fractions are applicable.

Options D and R default to sell if not changed on MAP prior to posting.

Data Tag: AM.AI/11

Data Format: 3(N) or 1(A)

Maximum percentage of stock dividends that must be treated as income per certain state Income laws.

Accepts a percentage or D for discretionary.

If a stock dividend is posted to specified account for this percentage or less, the percentage is automatically posted to the account’s income portfolio using an SDV transaction.

Data Tag: AM.AI/12

Choose from Stock Rights

Method to use when processing stock rights.

Information only.

Data Tag: AM.AI/13

Choose from No Investment

Proportion of assets for which responsibility is assumed by you.

Used to produce CCR reports; if A, this account is bypassed on the CCR report.

Data Tag: AM.AI/14

Choose from Loan Pledge

Proportion of assets in this account pledged on loan.

Information only.

Data Tag: AM.AI/16

Choose from Portfolio For Security Income

Applies to all functions that produce income transactions, including IMC, IML, IMP, BUY, SEL, DRV, DIV, MAT, INT, NMP, and VNG.

Income posts to the portfolio holding the asset generating the income. Overrides AI/17 and posts reinvestments to the holding portfolio.

NOTE: If you define AI/16 as H and income posts to the account after you sell the asset, the system posts income to income portfolio since there is no portfolio to reference.

Income posts to the principal portfolio and reinvestments post to principal unless directed otherwise in AI/17.

Default is blank (income posts to income portfolio).

NOTE: Capital gains dividends posted via MAP processing that are not reinvested post to the holding portfolio regardless of the value in field AI/16. If installation master field GL/13, GL/14, GL/15, GL/16, GL/17, GL/18, or GL/19 stores the tax code, the dividend is a capital gains dividend.

When posting capital gains dividends manually via function DIV (Cash Dividend) or function INT (Interest), the system checks field AI/16 for the default portfolio but you can assign the appropriate portfolio.

Data Tag: AM.AI/17

Choose from Reinvested Income Port

Applies to the Income Reinvestment MAP creation process (IMC), Income Capital Change MAP list (IML), Income Capital Change MAP post (IMP), variable note income calculation (VNG), and by function DRV.

Determines whether to direct the purchase of reinvested income assets to a portfolio that can be different than the portfolio in which the underlying assets are held.

If blank, the system uses the value in field AI/16 for reinvestment transactions.

NOTE: Reinvested capital gains dividends processed via MAPs post to principal regardless of the value in field AI/17. If installation master field GL/13, GL/14, GL/15, GL/16, GL/17, GL/18, or GL/19 stores the tax code, the dividend is a capital gains dividend.

For more information, see Automatic Income Reinvestment or functions DRV, IMC, and VNG in Chapter 8, MAP, Income Collection, Receipts, & Mortgage-Backed Securities.

Data Tag: AM.AI/18

Choose from Multiple Parties Proxies

Used by functions BSD and PROXY in the preparation of consenting beneficial owner disclosures.

For options 2 and 4, the single proxy is directed to a specific interested party through submaster field BI/25. For options 3 and 5, only those interested parties with submaster field BI/15 = Y, receive a proxy.

NOTE: You must enter values in installation master field PROXY/16 through PROXY/19 or function MIPT equivalents if you enter 6 or 7 in field AI/18.

Data Tag: AM.AI/20

Choose from Smac Settlemnt Instruct

Specifies whether to override SMAC trade settlement instructions.

Overrides the settlement instruction established in function PTS (Pending Trades - Settlement Control Table) for agenda processing of pending maturity trades in the pending file.

Data Tag: AM.AI/21

Choose from Merge Lot Assets

Allows the account to combine lot assets. All tax information for multiple lots is combined into a single lot through function MLA or agenda task ML. Subject to security master field BI/72 (Merge Multiple Lots).

Data Tag: AM.AI/22

Choose from Suppress Advs For Csh Swp Trns

Specifies whether to suppress advices and authorizations.

Applies to function ADV (Advices and Authorizations).

Accepts of the following:

Y Yes

Cash management transactions do not print on advices or authorizations.

N No

Advices and authorizations are printed.

Overrides installation master field ST/17 (Suppress advices/Authorizations for Cash Sweep transactions).

Data Tag: AM.AI/24

Choose from Single Lot Accounting

Identifies accounts for single lot accounting.

Automatically builds only one lot per CUSIP and portfolio.

Default is N.

You can set this field to Y if the account meets the following criteria:

Account is open and not yet funded using function FUN (ensures that the account has no transaction activity and holds no assets)

Account is not a control account (account master field BI/95 (Control Account Type) is undefined)

Account type not defined in installation master field BI/121 (Account Types Excluded From SLA)

Account master field TX/17 (Reporting for 1099 BRO, DIV, INT, MISC/RENT, OID, Real Estate Required) is N or undefined

When coded as Y, this field is protected and cannot be changed to N or blank after the account is funded.

In order to change this field from N or blank to Y after an account is funded, you must execute function SLAC (Single Lot Accounting Conversion).

Data Tag: AM.AI/25

Protected Field

MM/DD/YY

Contains date of function SLAC (Single Lot Accounting Conversion) execution.

Protected field.

Data Tag: AM.AI/26

Choose from St Cap Gains Divs To Inc

Optional field.

Specifies whether short term capital gains dividend processed during cash dividend MAP creation post to Income portfolio.

Does not apply to Dividend Reinvestment MAPs.

Short term capital gains dividends processed via cash MAPs post to Income portfolio.

Short term capital gains dividends processed via MAPs follow the same rules as long term capital gains dividends.

Default is N.

Overrides account master field AI/16 (Portfolio for Security Income).

NOTE: If blank, installation master field INC/58 (Acct Tpes For St Divs To Inc) controls MAP processing of short term capital gains dividends.

A short term capital gains dividend results when the tax code resides in installation master field GL/13 (TXC Short Term Cap Gains Dividend).

Data Tag: AM.AI/27

Choose from Recalculate Tax Lots At Post

Specifies whether to recalculate account trades prior to posting.

Recalculates the account's position before posting.

Posts account's trades without recalculating.

For more information, see Recalculating Trades for Posted Free and Valued Trade Activity.

Data Tag: AM.AI/29

Choose from Drp Share Cbr Alsm

Optional field.

Protected for funded accounts and can only be set with function CLAV (Convert Lots to Average).

Specifies whether DRP shares use the Cost Basis Reporting Average Lot Selection (CBR ALSM) method or the method from account master field AI/7 (Lot Selection Method).

Use CBR ALSM method for DRP tax lots. This lot selection method overrides method defined anywhere else.

Use method in account master field AI/7.

Works with field AI/30 (DRP Single Account Election) to determine which tax lots to convert with function CLAV and qualify for CBR ALSM.

Can be defined as Y for unfunded accounts with the following restrictions:

Account master field AI/24 (Single Lot Accounting) is N or undefined.

Account master field AI/27 (Recalculate Tax Lots at Post) equals Y.

If blank, system refers to value in account master field AI/7 to determine lot selection for sales/redemption.

For more information on Cost Basis Reporting Average Lot Selection Method, see Cost Basis Reporting Lot Selection in Chapter 5, Securities Maintenance and Processing.

Data Tag: AM.AI/30

Choose from Drp Single Account Election

Optional field.

Protected for funded accounts and can only be set with function CLAV (Convert Lots to Average).

Specifies whether all DRP shares regardless of tax lot date are considered Covered and subject to the Cost Basis Reporting Average Lot Selection (CBR ALSM) method processing.

Applies to unfunded accounts only.

All DRP shares are subject to CBR ALSM method.

Does not apply CBR ALSM to all DRP shares.

Works with field AI/29 (DRP Share CBR ALSM) to determine which tax lots to convert with function CLAV and qualify for CBR ALSM.

Can only be defined as Y for unfunded accounts with account master field AI/29 equals Y.

For more information on Cost Basis Reporting Average Lot Selection Method, see Cost Basis Reporting Lot Selection in Chapter 5, Securities Maintenance and Processing.

Data Tag: AM.AI/31

Choose from Ric Share Cbr Alsm

Optional field.

Protected for funded accounts and can only be set with function CLAV (Convert Lots to Average).

Specifies whether RIC shares use the Cost Basis Reporting Average Lot Selection (CBR ALSM) method or the method from account master field AI/7 (Lot Selection Method).

Use CBR ALSM method for DRP tax lots. This lot selection method overrides method defined anywhere else.

Use method in account master field AI/7.

Works with field AI/31 (RIC Single Account Election) to determine which tax lots to convert with function CLAV and qualify for CBR ALSM.

Can be defined as Y for unfunded accounts with the following restrictions:

Account master field AI/24 (Single Lot Accounting) is N or undefined.

Account master field AI/27 (Recalculate Tax Lots at Post) equals Y.

If blank, system refers to value in account master field AI/7 to determine lot selection for sales/redemption.

For more information on Cost Basis Reporting Average Lot Selection Method, see Cost Basis Reporting Lot Selection in Chapter 5, Securities Maintenance and Processing.

Data Tag: AM.AI/32

Choose from Ric Single Account Election

Optional field.

Protected for funded accounts and can only be set with function CLAV (Convert Lots to Average).

Specifies whether all RIC shares regardless of tax lot date are considered Covered and subject to the Cost Basis Reporting Average Lot Selection (CBR ALSM) method processing.

Applies to unfunded accounts only.

All RIC shares are subject to CBR ALSM method.

Does not apply CBR ALSM to all RIC shares.

Works with field AI/31 (RIC Share CBR ALSM) to determine which tax lots to convert with function CLAV and qualify for CBR ALSM.

Can only be defined as Y for unfunded accounts with account master field AI/31 equals Y.

For more information on Cost Basis Reporting Average Lot Selection Method, see Cost Basis Reporting Lot Selection in Chapter 5, Securities Maintenance and Processing.

Data Tag: AM.AI/33

Choose from Exclude From Proxy Info Only

Optional field.

Specifies whether to exclude specific securities from Proxy Info Only processing.

Applies to function Proxy (Proxy Processing) and function PPI (Proxytrust Proxy Processing Interface) processing.

Referenced only when security type for the CUSIP is defined in installation master field PROXY/28.

Excludes specific securities from Info Only processing.

Do not exclude specific securities from Info Only processing.

Default is Yes.

Data Tag: AM.AI/34

Protected Field

MM/DD/CCYY

Protected field.

System-supplied when you run function CLAV (Convert Lots to Average) or account master field AI/29 equals Y on an unfunded account.

Data Tag: AM.AI/35

Protected Field

MM/DD/CCYY

Protected field.

System-supplied when you run function CLAV (Convert Lots to Average) or account master field AI/31 equals Y on an unfunded account.

Automated Investment Compliance Review (AICR) Group

Account Master

Automated Investment Compliance Review Group

Field

Name/Format

Description