Data Tag: AM.IV/1

Choose from Responsibility

Investment guideline to use with this account.

Can appear on standard investment review head sheets.

Data Tag: AM.IV/2

Choose from Authority

Degree of investment authority bank or firm has over investment decisions.

Appears on the SEC 13F (function SEF) and 13G (function SEG) reports. If N or blank, the system does not report shares or bond units for the account and item 8 (voting authority) on the SEC 13-F report is bypassed.

Used in conjunction with IR/1 to produce investment reports.

Used by functions CAS and RCT to determine where accounts are reported. If IV/2 is J, holding companies should leave IV/7 blank.

Also used by function POI (Pending Trade Order - Input) to determine the investment authority. For more information on function POI, see Chapter 7, Trade Order Entry.

Default is N.

Data Tag: AM.IV/3

Data Format: 10 lines/9(A)

Contains interested parties and relationships if account has joint investment authority. Format is a 7-digit interested party number followed by a submaster relationship code, for example, 4532212.B. Information only.

Data Tag: AM.IV/4

Table 24: Investment Strategy Table

Codes from table 24 of TAD. Information only.

Data Tag: AM.IV/5

Table 29: Investment Objectives Table

Codes from table 29 of TAD. May appear on standard investment review head sheet.

Data Tag: AM.IV/6

Data Format: 5(N)/3.2

Information only.

Data Tag: AM.IV/7

Data Format: 4(N)

Identifies the investment manager on whose behalf form l3-F is filed.

Accepts codes from the investment manager table (38). Field IV/7 relates to item 7 on the SEC l3-F form. IV/7 should be used when responses to IV/2 are J, I, or B (except for holding companies responding J in IV/2).

Data Tag: AM.IV/10

Choose from Basis For Inv Rev

Specifies whether account holdings that appear on an investment review are listed on the basis of a trade or settlement date.

Data Tag: AM.IV/11

Data Format: 12(N)/10.2

Defines the market value of the account from the previous investment review.

Data Tag: AM.IV/12

Data Format: 6(N)

Defines the estimated annual income of the account from the previous investment review.

Data Tag: AM.IV/13

Data Format: MM/DD/YY

Specifies the date of market value on the previous investment review.

NOTE: Fields IV/11 through IV/13 must be manually updated prior to the current investment review period if field 24 on the IRL screen is set to I (include all amounts). You set this field to I to specify that market value and estimated annual income amounts be included in the investment review. If any of these fields are blank when the investment review is processed, no associated market value or estimated annual income data is contained in the review. Therefore, even if correct previous data is not available, zeroes should be manually entered in these fields to print the relevant current information.

Data Tag: AM.IV/15

Data Format: 3(N)

Codes from table 1 of TAD. Most trading transactions supply the indicated broker code automatically and append a D to indicate the broker was acting as an agent and directed, or one broker selection reason code (Table 33) may be entered here. Used on investment review face sheet.

Data Tag: AM.IV/16

Data Format: 32(A)

Name of account executive assigned to this account. May appear on investment review face sheet.

Data Tag: AM.IV/17

Data Format: 5(A)

Contains a code to define additional investment selection criteria for the account. Provides an optional method of account selection for Dynamic Trading.

Accepts a 5 character code from table 236 of TAD.

Optional field.

Data Tag: AM.IV/18

Data Format: 4 Lines/32(A/N)

Contains four lines of text which display in functions MFP and AMP and in the Trade List created via Dynamic Trading.

Multiline field. Accepts up to 32 alphanumeric characters per line.

Data Tag: AM.IV/19

Data Format: 12.2(N)/3.6(N)%

Optional field.

Contains the required market value that must remain in the account (less variance defined in field IV/21 or installation master field MVC/3).

Accepts dollar amount from 0.00 to 999999999999.99 or a percentage.

You must enter dollar amount with a dollar sign or percentage with a % sign.

Applies when you decrease an account's market value and Market Value Minimum restrictions apply.

Also used when accessing the Market Value Comparison report via function MVCR (Market Value Comparison Report), agenda task MVCR, agenda task MVCRR or the Market Value Comparison action in Account Management.

Displays on SY section of Advisor Dashboard.

Data Tag: AM.IV/20

Choose from Market Val Minimum Portfolio

Optional field.

Contains the portfolio to use when performing market value comparison.

If blank and IV/19 is defined, the market value comparison is done on both portfolios.

Applies when you decrease an account's market value and Market Value Minimum restrictions apply.

Also used when accessing the Market Value Comparison report via function MVCR (Market Value Comparison Report), agenda task MVCR, agenda task MVCRR or the Market Value Comparison action in Account Management.

Displays on SY section of Advisor Dashboard.

Data Tag: AM.IV/21

Data Format: 12.2(N)/3.6(N)%

Optional field.

Contains acceptable variance between account's actual market value and the market value minimum amount defined in account master field IV/19.

Overrides installation master field MVC/3 (Mkt Val Minimum Variance).

Accepts dollar amount from 0.00 to 999999999999.99 or a percentage.

You must enter a dollar amount with a $ sign or percentage with a % sign.

Applies when you decrease an account's market value and Market Value Minimum restrictions apply.

Also used when accessing the Market Value Comparison report via function MVCR (Market Value Comparison Report), agenda task MVCR, agenda task MVCRR or the Market Value Comparison action in Account Management.

Displays on SY section of Advisor Dashboard.

Data Tag: AM.IV/22

Data Format: 8(N)

Optional field. Information only.

Contains the interested party for which the account's market value is restricted.

Accepts a valid interested party number

Applies when you decrease an account's market value and Market Value Minimum restrictions apply.

Also used when accessing the Market Value Comparison report via function MVCR (Market Value Comparison Report), agenda task MVCR, agenda task MVCRR or the Market Value Comparison action in Account Management.

Displays on SY section of Advisor Dashboard.

Data Tag: AM.IV/23

Choose from Mkt Value Min Sec Type Excl

Optional field.

Contains one or more securities types to exclude from market value minimum calculation process.

Displays ADD, DELETE, LIST OR QUIT prompt.

Enter A to add one or more securities.

Enter D to delete one or more securities.

Enter L to list securities.

Excludes no security types.

Overrides by installation master field MVC/4 or corresponding value from the MVC group in function MIPT.

Data Tag: AM.IV/25

Data Format: 5(N)

Optional field.

Contains investment allocation target code to apply to the central account from the Allocation Target Table (130). Used by the Investment Allocation Review action in Account Management to determine which allocation target to apply to the account when reporting a master account to which the central account is linked.

Accepts a five-digit investment allocation target code from Table 130.

If blank, the central account is not included in the Investment Allocation Review report, when run for the master account.

Only one allocation target can be assigned to a single central account. If the same central account is linked to more than one master account, that same target code would apply to the Investment Allocation Code linked to any master account that the central account is reported through. The percentage and description of that target could be different for each Investment Allocation Code used by each master account, but the target code itself would apply to any master accounts the account reported through.

IV Admin Compliance (SAIV) Group

Account Master/Master Account Master

IV Admin Compliance Group[*]

Field

Name/Format

Description