DO Broker Submission File Format |
Col |
Field Name |
Description |
Validation Rules |
01 |
Broker Number |
DTC assigned broker participation
number. |
- Column cannot be blank. Data is required.
- Fixed Length of 4 characters.
- Must be Integer Data Type.
- Must be the same on all records in the file.
|
02 |
Account Number |
Not applicable. Only used for
Non-DO broker submissions. |
- Must be blank.
|
03 |
Customer Account Number |
Broker assigned customer account number. |
- Column can be blank.
- Variable Length but cannot exceed 16 characters.
- Must be AlphaNumeric Data Type.
|
04 |
CUSIP |
CUSIP Number. |
- Column cannot be blank. Data is required.
- Variable Length but cannot exceed 15 characters.
- Must be AlphaNumeric Data Type.
|
05 |
Tax ID |
Taxpayer
identification number of the primary account holder.
It is usually the customer's SSN (no hyphens). The Tax ID should
be for the investor. The broker's Tax ID should not be used for all
of the investors. |
- Column cannot be blank. Data is required. Use "999999999" if the primary account holder does not have a Tax ID.
- Fixed Length of 9 characters.
- Must be Integer Data Type.
|
06 |
Tax ID Code |
Code indicates
corporate (TIN) or personal tax identification number (SSN). |
- Column cannot be blank. Data is required.
- Fixed Length of 1 character.
- Must be AlphaNumeric Data Type.
- Value must be "S" or "T". Use "S" if the primary account holder does
not have a Tax ID.
|
07 |
Name 1 |
Full name
of owner line 1 as it appears on the broker's records. |
- Column cannot be blank. Data is required.
- Variable Length but cannot exceed 40 characters.
- Must be AlphaNumeric Data Type.
|
08 |
Name 2 |
Full name
of owner line 2 as is appears on the broker's records. |
- Column can be blank.
- Variable Length but cannot exceed 40 characters.
- Must be AlphaNumeric Data Type.
|
09 |
Address 1 |
Address
line 1 as it appears on the customer's statement. The address
information should be for the investor. The broker's address should
not be used for all of the investors. |
- Column can be blank.
- Variable Length but cannot exceed 40 characters.
- Must be AlphaNumeric Data Type.
|
10 |
Address
2 |
Address
line 2 as it appears on the customer's statement. The address
information should be for the investor. The broker's address should
not be used for all of the investors. |
- Column can be blank.
- Variable Length but cannot exceed 40 characters.
- Must be AlphaNumeric Data Type.
|
11 |
Address
3 |
Address
line 3 as it appears on the customer's statement. The address
information should be for the investor. The broker's address should
not be used for all of the investors. |
- Column can be blank.
- Variable Length but cannot exceed 40 characters.
- Must be AlphaNumeric Data Type.
|
12 |
City |
Address city as it appears on the customer's statement. The address
information should be for the investor. The broker's address should
not be used for all of the investors. |
- Column can be blank.
- Variable Length but cannot exceed 20 characters.
- Must be AlphaNumeric Data Type.
|
13 |
State |
State postal
abbreviation as it appears on the customer's statement. The address
information should be for the investor. The broker's address should
not be used for all of the investors. |
- Column can be blank.
- Variable Length but cannot exceed 20 characters.
- Must be AlphaNumeric Data Type.
- If Country, column 15, is "USA", value must be a valid 2-character US postal code (e.g., FL for Florida, IA for Iowa, etc.). If Country, column 15, is not "USA", value must be blank.
|
14 |
Zip |
Address zip as it
appears on the customer's statement (no hyphens). The address information
should be for the investor. The broker's address should
not be used for all of the investors. |
- Column can be blank.
- Variable Length but cannot exceed 9 characters.
- Must be AlphaNumeric Data Type.
- If Country, column 15, is "USA", value must be Integer, Fixed Length, 5 or 9 characters, or field must be blank.
|
15 |
Country |
Country
code as it appears on the customer's statement. |
- Column cannot be blank. Data is required.
- Fixed Length of 3 characters.
- Must be a valid 3-character ISO code for the nation (e.g., USA for United
States of America, AIA for Anguilla, etc.).
|
16 |
Province |
Province
as it appears on the customer's statement. |
- Column can be blank.
- Variable Length but cannot exceed 20 characters.
- Must be AlphaNumeric Data Type.
|
17 |
IRA
Code |
Code or flag indicating the type
of IRA account. |
- Column can be blank.
- Variable Length but cannot exceed 1 character.
- If present, value must be "Y".
|
18 |
Principal |
Principal balance of the customer's
account as of the institution failure date. |
- Column cannot be blank. Data is required.
- Variable Length but cannot exceed 15 characters with 2 digits of precision.
- Must be Numeric Data Type.
|
19 |
Sub-broker
Indicator |
A "Y" (yes) indicates
the customer is a broker for others (as opposed to an individual
investor). The sub-broker record should only be included if
the sub-broker's investors are not included in the file. Additional
information is provided below. |
- Column can be blank.
- Variable Length but cannot exceed 1 character.
- If present, value must be "Y".
|