Message Specification Document

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BACK to DTCC New Underwriting System Dictionary

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The Depository Trust Company Message Specification Document

New Underwriting System (NUWS) Version 4.6 – 07-Feb-2008

Text in red indicates a change in the most recent editing cycle.

Contents 1 Sender’s Announcement Reference 2 Sender’s Offering Reference 3 Offering Id 4 Message Sequence 5 Last Message Flag 6 Announcement Function Code 7 Physical Source Id 8 Submitter Type 9 Offering Type 10 Distribution Type 11 Legal Description 12 Issuer Type 13 Sale Method 14 Formal Award Date and Time 15 First Trade Execution Date and Time 16 Document Type 17 Document Date 18 Document Version 19 Underwriter Type 20 Participant Id/ Correspondent Id 21 Requestor Contact First Name 22 Requestor Contact Last Name 23 Requestor Contact Primary Phone 24 Requestor Contact Primary Phone Extension 25 Requestor Contact Alternate Phone 26 Requestor Contact Alternate Phone Extension 27 Requestor Contact Email Address 28 Sender’s Announcement Reference 29 Sender’s Offering Reference 30 Offering Id 31 Message Sequence 32 Last Message Flag 33 Sender’s Issue Reference 34 Issue Id 35 Issue Function Code 36 Sub Issue Type 37 Series Id 38 Expected Closing Date 39 Issuer Id 40 Base CUSIP Number 41 Issue Agency Code 42 Certificate Type 43 Limited Underwriting Flag 44 Issue Offering Shares 45 Issue Offering Amount 46 Issue Take down Shares 47 Issue Take down Amount 48 Bank Qualified Flag 49 New Money Flag 50 Refunding Flag 51 Advanced Refunding Method 52 Remarketing Flag 53 Collateral Type 54 Derivative Code 55 ETF Code 56 FAST Applicable Flag 57 Country of Origin 58 Certificate Currency 59 ABS Type 60 Ownership Restrictions 61 Article 8 Section Flag 62 Registered with SEC Flag 63 Issuer Counsel Name 64 Issuer Counsel Contact First Name 65 Issuer Counsel Contact Last Name 66 Issuer Counsel Contact Primary Phone 67 Issuer Counsel Contact Primary Phone Extension 68 Issuer Counsel Contact Alternate Phone 69 Issuer Counsel Contact Alternate Phone Extension 70 Issuer Counsel Contact Email Id 71 Agent Id 72 Multiple Transfer Agent Flag 73 Agent Contact First Name 74 Agent Contact Last Name 75 Contact Primary Phone 76 Contact Primary Phone Extension 77 Contact Alternate Phone 78 Contact Alternate Phone Extension 79 Contact Email Id 80 Agent Id 81 Agent Contact First Name 82 Agent Contact Last Name 83 Contact Primary Phone 84 Contact Primary Phone Extension 85 Contact Alternate Phone 86 Contact Alternate Phone Extension 87 Contact Email Id 88 Disseminate Decision Flag 89 Reporting Issuer Flag 90 Company Type 91 Escrow Release Date 92 Pending SEC Proceeding Flag 93 Pending SEC Proceeding Start Date 94 Pending SEC Proceeding End Date 95 SEC Filing Form Number 96 Official Statement Available Date 97 Official Statement Available at NRMSIR Date 98 Number of Additional Contact Detail Records 99 Number of Security Records 100 Sender’s Issue Reference 101 Issue Id 102 Block Header 103 Function Code 104 Contact Type 105 Contact Id 106 Contact Organization Name 107 Contact First Name 108 Contact Last Name 109 Contact Primary Phone 110 Contact Primary Phone Extension 111 Contact Alternate Phone 112 Contact Alternate Phone Extension 113 Contact Email Id 114 Sender’s Security Reference 115 DTC Internal Security Id 116 Function Code 117 Primary Security Numbering Agency Code 118 Primary Security Id 119 Class of Security 120 Additional Description 121 Obligor Names 122 Fractional Dollars/ Cents Eligible Flag 123 Dated Date 124 Maturity Date 125 First Payment Date 126 Option for US Dollar Payments Flag 127 Income Source Country 128 Income Source Country Multinational 129 Principal Amortization Type 130 Notional Security Flag 131 Serial/Term Indicator 132 Pay In Kind Flag 133 Special Record Date 134 Global Flag 135 DRS Eligible 136 Federal Taxable Flag 137 Federal Alternative Minimum Tax Flag 138 Auto-Re Investment Option Flag 139 NFE Flag 140 Manual Calculation Flag 141 Interest Classification 142 First Trade Settlement Date 143 Credit Enhancement Applicable Flag 144 Capital Appreciation Flag 145 Zero Coupon Flag 146 Putable Flag 147 Callable Flag 148 Convertible Flag 149 Conversion at DTC Flag 150 Exchangeable Flag 151 Step-Up Flag 152 Right To Retain Flag 153 Super Sinker Flag 154 Average Life Date 155 PAC Bond Flag 156 Revenue, General Obligation, or Double-Barreled 157 Perpetual Maturity Flag 158 Extended Maturity Date Flag 159 Minimum Denomination 160 Multiples of Denomination 161 Par Value 162 Tail Denomination 163 Maturity Principal Amount 164 IPO Tracking Flag 165 IPO Tracking Period 166 IPO Tracking Period End Date 167 Put Type 168 Estate (Death) Put Flag 169 Days to Put Notice 170 Put Notification Window - Business or Calendar 171 Call Type 172 Days to Call Notice 173 Call Notification Window - Business or Calendar indicator 174 Sinking Fund Flag 175 Call Schedule Type 176 Extraordinary Call Flag 177 Make Whole Call Flag 178 Over-Allotment Option Available Flag 179 Maximum Over-Allotment Shares 180 Maximum Over-Allotment Amount 181 Maximum Over-Allotment Percentage 182 Days for expiry of Over-Allotment Option 183 Security Offering Shares 184 Offering Price per share 185 Security Offering Amount 186 Offering Price % 187 Offering Yield 188 OID Price 189 OID Yield 190 Initial PSA 191 Dissemination Underwriter Type 192 Dissemination Underwriter Participant Id/ Correspondent Id 193 Dissemination Contact First Name 194 Dissemination Contact Last Name 195 Dissemination Contact Primary Phone 196 Dissemination Contact Primary Phone Extension 197 Dissemination Contact Alternate Phone 198 Dissemination Contact Alternate Phone Extension 199 Dissemination Contact Email Address 200 Regulation S Flag 201 Regulation S Category 3 Flag 202 Section 3(a) 2 Exempted Flag 203 144A Rule Applicable Flag 204 Section 3(c)(7) Flag 205 Other SEC Exemption Details 206 Investment Grade Flag 207 PORTAL Eligible Flag 208 Linked 144A-RegS Security Primary Security Id Agency Code 209 Linked 144A-RegS Security Primary Security Id 210 Linked Accredited Investor Primary Security Id Agency Code 211 Linked Accredited Investor Primary Security Id 212 Underlying Primary Security Id Agency Code 213 Underlying Primary Security Id 214 Unit Quantity 215 Immediately Separable Flag 216 Underwriter Takedown Shares 217 Underwriter Takedown Amount 218 Underwriter Contact First Name 219 Underwriter Contact Last Name 220 Underwriter Contact Primary Phone 221 Underwriter Contact Primary Phone Extension 222 Underwriter Contact Alternate Phone 223 Underwriter Contact Alternate Phone Extension 224 Underwriter Contact Email Address 225 Crediting Participant Id 226 IPO Tracking Account Flag 227 Crediting Participant Contact First Name 228 Crediting Participant Contact Last Name 229 Crediting Participant Contact Primary Phone 230 Crediting Participant Contact Primary Phone Extension 231 Crediting Participant Contact Alternate Phone 232 Crediting Participant Contact Alternate Phone Extension 233 Crediting Participant Contact Email Address 234 Function Code 235 Unit Component Primary Security Id Agency Code 236 Unit Component Primary Security Id 237 Unit Component Quantity 238 Function Code 239 Alternate Security Id Agency Code 240 Alternate Security Id 241 Function Code 242 Stock Exchange Short Name 243 Primary Exchange Flag 244 Ticker Symbol 245 Function Code 246 Currency Purpose 247 Currency 248 Primary Currency Flag 249 Function Code 250 Rating Agency 251 Short Term Rating 252 Long Term Rating 253 Rating Effective Date 254 Function Code 255 Credit Enhancement Type 256 Credit Enhancer Name 257 Credit Enhancer Level of Priority 258 Credit Enhancement Expiration Date 259 Function Code 260 Guarantor Name 261 Function Code 262 Restricted State 263 Block Header 264 Function Code 265 State Code 266 State Taxable Flag 267 State Alternative Minimum Tax Flag 268 Function Code 269 Interest Type 270 Interest Rate 271 Variable Interest - Basis 272 Variable Interest - Index Name 273 Variable Interest - Index Spread 274 Variable Interest – Index Date Type 275 Interest Computation Method 276 Interest Method 277 Interest Rate Reset Frequency Number 278 Interest Rate Reset Frequency 279 Accrual Period End Type 280 Accrual Period Offset - Before/ After Indicator 281 Accrual Period Offset 282 Accrual Period Offset – Business or Calendar Indicator 283 Accrual Start Date 284 Accrual End Date 285 Record Date Rule 286 Record Date Offset 287 Record Date Offset – Business or Calendar Indicator 288 Record Date – Fixed Day of the Month 289 Record Date – Fixed Month 290 Adjustment rule, if on Saturday 291 Adjustment rule, if on Sunday 292 Adjustment rule, if on Holiday 293 Payment Frequency Number 294 Payment Frequency 295 Earlier or Later Indicator 296 Day of the Month 297 Week of the Month 298 Day of the week 299 Offset - Before or After Indicator 300 Offset 301 Offset - Business or Calendar 302 Adjustment rule, if on Saturday 303 Adjustment rule, if on Sunday 304 Adjustment rule, if on Holiday 305 Function Code for Step Up Rates 306 Accrual Start Date 307 Interest Rate 308 Function Code 309 Record Date Rule 310 Record Date Offset 311 Record Date Offset – Business or Calendar Indicator 312 Record Date – Fixed Day of the Month 313 Record Date – Fixed Month 314 Adjustment rule, if on Saturday 315 Adjustment rule, if on Sunday 316 Adjustment rule, if on Holiday 317 Payment Frequency Number 318 Payment Frequency 319 Earlier or Later Indicator 320 Day of the Month 321 Week of the Month 322 Day of the week 323 Offset - Before or After Indicator 324 Offset 325 Offset - Business or Calendar 326 Adjustment rule, if on Saturday 327 Adjustment rule, if on Sunday 328 Adjustment rule, if on Holiday 329 Data Sequence 330 Function Code for Principal Paydown Rates 331 Paydown Start Date 332 Paydown End Date 333 Principal Paydown Type 334 Paydown Rate 335 Repeat Fields from "Data Sequence for Principal Paydown Rates" to "Paydown Rate" 19 more times 336 Function Code 337 Call Date 338 Called Amount 339 Call Rate Type 340 Call Rate 341 Call Classification 342 Redemption Frequency Number 343 Redemption Frequency 344 Function Code 345 Put Start Date 346 Put End Date 347 Put Frequency Number 348 Put Frequency 349 Put Rate 350 Function Code 351 Conversion Period Start Date 352 Conversion Period End Date 353 Function Code 354 Rate Sequence Number 355 Conversion Primary Security Id Agency Code 356 Conversion Primary Security Id 357 Base Quantity 358 Disbursed Quantity 359 Conversion Price 360 Price based on Base or Disbursed 361 Function Code 362 Warrant Period Start Date 363 Warrant Period End Date 364 Function Code 365 Rate Sequence Number 366 Warrant Primary Security Id Agency Code 367 Warrant Primary Security Id 368 Base Quantity 369 Disbursed Quantity 370 Warrant Price 371 Price based on Base or Disbursed 372 Function Code 373 Exchange Period Start Date 374 Exchange Period End Date 375 Function Code 376 Rate Sequence Number 377 Exchange Primary Security Id Agency Code 378 Exchange Primary Security Id 379 Base Quantity 380 Disbursed Quantity 381 Exchange Price 382 Price based on Base or Disbursed

Sender’s Announcement Reference

Definition

 

Values

 

XML Tag

SndrAnncmntRef

Sender’s Offering Reference

Definition

 

Values

 

XML Tag

SndrOfrngRef

Offering Id

Definition

 

Values

To be filled in only in case when function code is other than "NEWM"

XML Tag

OfrngId

Message Sequence

Definition

 

Values

 

XML Tag

MsgSeq

Last Message Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

LstMsg

Announcement Function Code

Definition

 

Values

- NEWM
- REPL
- CANC
- DELT
- PSTP

XML Tag

FctnCd

Physical Source Id

Definition

 

Values

 

XML Tag

PhysSrcId

Submitter Type

Definition

 

Values

PART – Participant Underwriter
CRDT – Crediting Participant
CORS – Correspondent

XML Tag

SubmitrTp

Offering Type

Definition

Describes whether an Offer is for a New Issue, or to make and Older Issue DTC Eligible or as the result of a Corporate Action

Values

NEWC - New
OLDC - Old

XML Tag

OfrngTp

Distribution Type

Definition

Describes whether this is a Primary Offering or Secondary Offering

Values

PRIM - Primary
SECO - Secondary

XML Tag

DstrbtnTp

Legal Description

Definition

The legal description of the Offering or Issue as stated in the Prospectus or Offering Statement or another applicable document

Values

 

XML Tag

LglDesc

Issuer Type

Definition

Classification of the Issuer as a Municipal Issuer, a Corporate Issuer, a Government Issuer, et al.

Values

MUNI - Municipal
CORP - Corporate

XML Tag

IssrTp

Sale Method

Definition

Identifies the Sale Method for the offering as competitive or negotiated.

Values

COMP - Competitive
NEGO - Negotiated

XML Tag

SaleMtd

Formal Award Date and Time

Definition

Date and time the issuer formally accepts a bid for Competitive Issues or, the Date and Time the Bond Purchase Agreement is executed for Negotiated Issues.

Values

Format: YYYY-MM-DDThh:mm:ss

XML Tag

FrmlAwrdDtAndTm

First Trade Execution Date and Time

Definition

First Date and Time a trade may be executed for this security.

Values

Format: YYYY-MM-DDThh:mm:ss

XML Tag

FrstTradExctnDtAndTm

Document Type

Definition

The type of official offering documentation submitted to DTCC

Values

OFST - Official Statement
PRPT - Prospectus
PPMO - Private Placement Memorandum
TERM - Term Sheet
TRAG - Trust Agreement
PLAG - Placement Agreement
INDT - Indenture
ORDN - Ordinance
SEDE - Series Declaration
OFMO - Offering Memorandum
CERT - Certificate
NTSL – Notice of Sale

XML Tag

DocTp

Document Date

Definition

The stated date of the document submitted to DTCC, from which the document is considered ’Official’ or ’Released’

Values

Format: CCYY-MM-DD

XML Tag

DocDt

Document Version

Definition

Identifies whether the version of the document submitted to DTCC is preliminary or final.

Values

PREL - Preliminary
FINL - Final

XML Tag

DocVrsn

Underwriter Type

Definition

 

Values

PART - Participant
CORS - Correspondent
This must be PART for Old Offering Type.

XML Tag

UndrwrtrTp

Participant Id/ Correspondent Id

Definition

 

Values

DTC Participant Id in case of Old Issue

XML Tag

PtcptId/CrspdtId

Requestor Contact First Name

Definition

The first name of the primary contact at the lead Underwriter for this deal.

Values

 

XML Tag

CtctFrstNm

Requestor Contact Last Name

Definition

The last name of the primary contact at the lead Underwriter for this deal.

Values

 

XML Tag

CtctLstNm

Requestor Contact Primary Phone

Definition

The phone number of the primary contact at the lead Underwriter for this deal.

Values

 

XML Tag

CtctPmryPhne

Requestor Contact Primary Phone Extension

Definition

The phone number extension of the primary contact at the lead Underwriter for this deal.

Values

 

XML Tag

CtctPmryPhneXtnsn

Requestor Contact Alternate Phone

Definition

The phone number extension of the alternate contact at the lead Underwriter for this deal.

Values

 

XML Tag

CtctAltrnPhne

Requestor Contact Alternate Phone Extension

Definition

The phone number extension of the alternate contact at the lead Underwriter for this deal.

Values

 

XML Tag

CtctAltrnPhneXtnsn

Requestor Contact Email Address

Definition

The e-mail address of the primary contact at the lead Underwriter for this deal.

Values

 

XML Tag

CtctEmailAdr

Sender’s Announcement Reference

Definition

 

Values

 

XML Tag

SndrAnncmntRef

Sender’s Offering Reference

Definition

 

Values

 

XML Tag

SndrOfrngRef

Offering Id

Definition

 

Values

To be filled in only in case when function code is other than "NEWM"

XML Tag

OfrngId

Message Sequence

Definition

 

Values

 

XML Tag

MsgSeq

Last Message Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

LstMsg

Sender’s Issue Reference

Definition

 

Values

 

XML Tag

SndrIsseRef

Issue Id

Definition

 

Values

Issue Id will be applicable only when function code is other than ’NEWM’

XML Tag

IsseId

Issue Function Code

Definition

 

Values

- NEWM
- REPL
- CANC
- DELT
- PSTP
- RACT

XML Tag

FctnCd

Sub Issue Type

Definition

Additional level of security classification as used by DTCC

Values

CS - Common Stock
PS - Preferred Stock
LT - Limited Partnership
AD - American Depository Receipts
ET - Exchange Traded Funds
ED - Equity Derivatives
WT - Warrants
RT - Rights
CF - Closed End Fund
OF - Open End Fund
EU - Equity Unit
UI - Unit Investment Trust
IM - IMMI
CB - Corporate Bond
CD - Certificate of Deposit (CD)
CM - Collateralized Mortgage Obligation (CMO)
AB - Asset Backed Securities (ABS)
IC - Corporate Insured Custodial Receipt
GV - Government Security
DD - Debt Derivatives
DU - Debt Unit
CE – Corporate Tax Exempt
MB - Municipal Bond
MN - Municipal Note
MI - Municipal Insured Custodial Receipt
VR - Corporate VRDO
MV - Municipal VRDO
ME – Municipal Tax Exempt

XML Tag

SubIsseTp

Series Id

Definition

 

Values

 

XML Tag

SrsId

Expected Closing Date

Definition

 

Values

Format: CCYY-MM-DD

XML Tag

ClsgDt

Issuer Id

Definition

 

Values

 

XML Tag

IssrId

Base CUSIP Number

Definition

 

Values

 

XML Tag

BaseCusipNb

Issue Agency Code

Definition

 

Values

AF - African Development Bank
AS - Asian Devlopment Bank
VA - Department of Veteran Affairs (Vinnie Mac)
FC - Farm Credit Bank
FF - Farm Credit Financial Assistance Corp
FR - Federal Agricultural Mortgage Corporation (Farmer Mac)
FB - Federal Home Loan Banks
FM - Federal Home Loan Mortgage Association (Freddie Mac)
FN - Federal National Mortgage Association (Fannie Maes)
GM - Government National Mortgage Association (Ginnie Mac)
IA - Inter-American Development Bank
IB - International Bank for Reconstruction and Development - World Bank
RE - REMICs
RF - Resolution Funding Corporation
SL - Student Loan Marketing Association (Sallie Mae)
TV - Tennessee Valley Authority - TVA
TB - Treasury Bills and Notes
MS - Miscellaneous Agency

XML Tag

IsseAgcyCd

Certificate Type

Definition

 

Values

BEOL - Book Entry Only
REGC - Registered (Certificated) (R)
BERR - Bearer
INCH - Interchangeable
DMAT - Dematerialized

XML Tag

CertTp

Limited Underwriting Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

LmtdUndrwrtrg

Issue Offering Shares

Definition

 

Values

Format: 15d

XML Tag

IsseOfrngShrs

Issue Offering Amount

Definition

 

Values

Format: 15d

XML Tag

IsseOfrngAmt

Issue Take down Shares

Definition

 

Values

Format: 15d

XML Tag

IsseTakeDwnShrs

Issue Take down Amount

Definition

 

Values

Format: 15d

XML Tag

IsseTakeDwnAmt

Bank Qualified Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

BankQlfd

New Money Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

NewMny

Refunding Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

Rfndg

Advanced Refunding Method

Definition

 

Values

ADVR - Advance refunding
CRSR - Crossover Refunding
FWDR - Forward Refunding
FCGR - Full Cash or Gross Refunding
NCHR - Net Cash Refunding
SYNR - Synthetic Refunding
CRNR - Current Refunding
DEFN - Defeasance

XML Tag

AdvncdRfndgMtd

Remarketing Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

Rmktg

Collateral Type

Definition

 

Values

EQUI - Equities
CORD - Corporate Debt
GOVD - Government Debts
MUND - Municipal Debts

XML Tag

CollTp

Derivative Code

Definition

 

Values

BO - BOXES
BR - BRIDGES
CT - CAPITAL TRUST
CO - COPRS
CR - CORTS
DR - DARTS
DC - DECS
EL - ELKS
FP - FELINE PRIDES
LQ - LIQUIDS
MP - MIPS
MD - MISC.DERIVATIVE
MT - MITTS
PR - PARRS
PC - PCARS
PP - PEPS
PQ - PERQS
PH - PHONES
PS - PIERS
PE - PIES
PI - PINES
PD - PRIDES
PZ - PRIZES
QD - QUIDS
QP - QUIPS
RC - RECONVS
SI - SAILS
SZ - SIZES
SC - SPACES
SP - SPARQS
SR - STEERS
SS - STRATS
SD - STRIDES
ST - STRYPES
TC - TECONS
TD - TIDES
TE - TIERS
TP - TOPRS
TA - TRACES
TU - TRUCS
TR - TRUPS
TT - TRUST PREF SEC
ZN - ZONES

XML Tag

DerivCd

ETF Code

Definition

 

Values

AM - Ameristock
BL - BLDRS
CL - Claymore
DG - Diagnostics
DY - Dynamic
DJ - DIAMONDS
FD - Fidelity
FT - FIRST TRUST
FI - FORTUNE 500
FR - FTSE RAFI
HE - Healthshares
HC - HOLDRs
IN - INTL
BG - ISHARES
SM - ISHARES MSCI
KB - KBW
LE - Lehman
ES - LDRS
MV - MARKET VECTORS
MC - MIDCAP SPDRs
MS - MISCELLANEOUS
MI - MSCI
NQ - NASDAQ 100
PW - POWERSHARES
RY - Rydex
RU - RUSSELL
SE - S&P Equal
SB - Sabrient
SP - SPDRs
ST - STREETTRACKS
SS - STSSHRS
TD - TDAX
UL - Ultra

XML Tag

ETFCd

FAST Applicable Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

FastAplcbl

Country of Origin

Definition

 

Values

2 Letter ISO Country Code

XML Tag

CtryOfOrgn

Certificate Currency

Definition

 

Values

3 Character ISO Currency List 

XML Tag

CertCcy

ABS Type

Definition

 

Values

ATLR - Automobile Loans/Receivables
CLDO - Collateralized Debt Obligations
CCRC - Credit Card Receivables
HERC - Home Equity/Revolving Credit Loans
RMBS - Residential mortgage backed securities
SBAS - SBAs
STLN - Student Loans
TRRC - Trade Receivables
BTLN - Boat Loan
EQPL - Equipment Loan
RCVH - Recreation Vehicle
SBLN - Senior Bank Loan

XML Tag

ABSTp

Ownership Restrictions

Definition

 

Values

COMM - Communication
MART - Maritime
AVTN - Aviation
GMNG - Gaming
REIT - REIT
OTHE - Others
NONE - None

XML Tag

OwnrshRstrctns

Article 8 Section Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

Article8Sec

Registered with SEC Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

RgstrdWthSEC

Issuer Counsel Name

Definition

 

Values

 

XML Tag

CnslNm

Issuer Counsel Contact First Name

Definition

 

Values

 

XML Tag

CtctFrstNm

Issuer Counsel Contact Last Name

Definition

 

Values

 

XML Tag

CtctLstNm

Issuer Counsel Contact Primary Phone

Definition

 

Values

 

XML Tag

CtctPmryPhne

Issuer Counsel Contact Primary Phone Extension

Definition

 

Values

 

XML Tag

CtctPmryPhneXtnsn

Issuer Counsel Contact Alternate Phone

Definition

 

Values

 

XML Tag

CtctAltrnPhne

Issuer Counsel Contact Alternate Phone Extension

Definition

 

Values

 

XML Tag

CtctAltrnPhneXtnsn

Issuer Counsel Contact Email Id

Definition

 

Values

 

XML Tag

CtctEmailAdr

Agent Id

Definition

 

Values

 

XML Tag

AgtId

Multiple Transfer Agent Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

MltplTrfAgtFlag

Agent Contact First Name

Definition

 

Values

 

XML Tag

CtctFrstNm

Agent Contact Last Name

Definition

 

Values

 

XML Tag

CtctLstNm

Contact Primary Phone

Definition

 

Values

 

XML Tag

CtctPmryPhne

Contact Primary Phone Extension

Definition

 

Values

 

XML Tag

CtctPmryPhneXtnsn

Contact Alternate Phone

Definition

 

Values

 

XML Tag

CtctAltrnPhne

Contact Alternate Phone Extension

Definition

 

Values

 

XML Tag

CtctAltrnPhneXtnsn

Contact Email Id

Definition

 

Values

 

XML Tag

CtctEmailAdr

Agent Id

Definition

 

Values

 

XML Tag

AgtId

Agent Contact First Name

Definition

 

Values

 

XML Tag

CtctFrstNm

Agent Contact Last Name

Definition

 

Values

 

XML Tag

CtctLstNm

Contact Primary Phone

Definition

 

Values

 

XML Tag

CtctPmryPhne

Contact Primary Phone Extension

Definition

 

Values

 

XML Tag

CtctPmryPhneXtnsn

Contact Alternate Phone

Definition

 

Values

 

XML Tag

CtctAltrnPhne

Contact Alternate Phone Extension

Definition

 

Values

 

XML Tag

CtctAltrnPhneXtnsn

Contact Email Id

Definition

 

Values

 

XML Tag

CtctEmailAdr

Disseminate Decision Flag

Definition

 

Values

Y - Yes
N - No
When the Disseminate Decision Flag is ’Yes’ then the Underwriter who sent the message would be considered as the Disseminator of the Securities within the Issue.

XML Tag

DisseminateDecisionFlag

Reporting Issuer Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

RptgIssr

Company Type

Definition

 

Values

BCCP - Blank Check Company (BCC)
RICP - Registered Investment Company (RIC)
BDCP - Business Development Company (BDC)
BBCD - Both BCC and BDC
NONE - None of the above

XML Tag

CoTp

Escrow Release Date

Definition

 

Values

Format: CCYY-MM-DD

XML Tag

EscrwRlsDt

Pending SEC Proceeding Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

PdgSECPrcdg

Pending SEC Proceeding Start Date

Definition

 

Values

Format: CCYY-MM-DD

XML Tag

PdgSECPrcdgStrtDt

Pending SEC Proceeding End Date

Definition

 

Values

Format: CCYY-MM-DD

XML Tag

PdgSECPrcdgEndDt

SEC Filing Form Number

Definition

 

Values

 

XML Tag

SECFilingFormNb

Official Statement Available Date

Definition

 

Values

Format: CCYY-MM-DD

XML Tag

OffclStmtAvlblDt

Official Statement Available at NRMSIR Date

Definition

 

Values

Format: CCYY-MM-DD

XML Tag

OffclStmtAvailableatNRMSIRDt

Number of Additional Contact Detail Records

Definition

 

Values

000 to 006

XML Tag

Not part of XML format

Number of Security Records

Definition

 

Values

001 to 999

XML Tag

Not part of XML format

Sender’s Issue Reference

Definition

 

Values

 

XML Tag

SndrIsseRef

Issue Id

Definition

 

Values

 

XML Tag

IsseId

Block Header

Definition

 

Values

 

XML Tag

Not part of XML format

Function Code

Definition

 

Values

- NEWM
- REPL
- DELT

XML Tag

FctnCd

Contact Type

Definition

 

Values

BNCL - Bond Counsel
REMA - Remarketing Agent
TRST - Trustee
FINA - Financial Advisor
PRNT - Printer
SRVR - Servicer

XML Tag

CtctTp

Contact Id

Definition

 

Values

 

XML Tag

CtctId

Contact Organization Name

Definition

 

Values

 

XML Tag

CtctOrgNm

Contact First Name

Definition

 

Values

 

XML Tag

CtctFrstNm

Contact Last Name

Definition

 

Values

 

XML Tag

CtctLstNm

Contact Primary Phone

Definition

 

Values

 

XML Tag

CtctPmryPhne

Contact Primary Phone Extension

Definition

 

Values

 

XML Tag

CtctPmryPhneXtnsn

Contact Alternate Phone

Definition

 

Values

 

XML Tag

CtctAltrnPhne

Contact Alternate Phone Extension

Definition

 

Values

 

XML Tag

CtctAltrnPhneXtnsn

Contact Email Id

Definition

 

Values

 

XML Tag

CtctEmailAdr

Sender’s Security Reference

Definition

 

Values

 

XML Tag

SndrSctyRef

DTC Internal Security Id

Definition

 

Values

DTC Internal Security Id will be applicable only when the function code at Security Level is not ’NEWM’

XML Tag

DTCIntrnSctyId

Function Code

Definition

 

Values

- NEWM
- REPL
- CANC
- DELT

XML Tag

FctnCd

Primary Security Numbering Agency Code

Definition

 

Values

CINS - CINS
CUSI - CUSIP

XML Tag

PmrySctyIdAgcyCd

Primary Security Id

Definition

 

Values

 

XML Tag

PmrySctyId

Class of Security

Definition

 

Values

 

XML Tag

ClassOfScty

Additional Description

Definition

 

Values

 

XML Tag

AddtlDesc

Obligor Names

Definition

 

Values

 

XML Tag

OblgrNames

Fractional Dollars/ Cents Eligible Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

FracnlElig

Dated Date

Definition

 

Values

Format: CCYY-MM-DD

XML Tag

DatedDate

Maturity Date

Definition

 

Values

Format: CCYY-MM-DD

XML Tag

MtrtyDt

First Payment Date

Definition

 

Values

Format: CCYY-MM-DD

XML Tag

FrstPmtDt

Option for US Dollar Payments Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

OptionforUSDollarPmt

Income Source Country

Definition

 

Values

2 Letter ISO Country Code

XML Tag

IncmSrcCtry

Income Source Country Multinational

Definition

 

Values

Y - Yes
N - No

XML Tag

IncmCtrySrcMltntnl

Principal Amortization Type

Definition

 

Values

ACCR - Accreting
INTO - Interest Only
PRNO - Principal Only
PRIN - Principal & Interest

XML Tag

PrinAmtztnTp

Notional Security Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

NotnlSctyFlag

Serial/Term Indicator

Definition

 

Values

SERL - Serial
TERM - Term

XML Tag

SrlTrmInd

Pay In Kind Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

PayInKind

Special Record Date

Definition

 

Values

Format: CCYY-MM-DD

XML Tag

SpclRcrdDt

Global Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

Glbl

DRS Eligible

Definition

 

Values

ELCS - DRS Eligible / Certificate of Statement
STOL - DRS Statement Only
SOCA - DRS Statement Only at DTC / Certificate from Agent
NOTA - Not Applicable

XML Tag

DRSElig

Federal Taxable Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

FdrlTaxbl

Federal Alternative Minimum Tax Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

FdrlAltrntvMinTax

Auto-Re Investment Option Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

AutoReInvstmtOptn

NFE Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

NFE

Manual Calculation Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

ManuCalc

Interest Classification

Definition

 

Values

PRDC - Periodic
ATMA - At Maturity
DISC - Discounted
NONE - None of the Above

XML Tag

IntrstClssfctn

First Trade Settlement Date

Definition

 

Values

Format: CCYY-MM-DD

XML Tag

FrstTradSttlmDt

Credit Enhancement Applicable Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

CdtNhncmnt

Capital Appreciation Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

CptlAprctnInd

Zero Coupon Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

ZeroCpnInd

Putable Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

Putbl

Callable Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

Cllbl

Convertible Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

ConvtblInd

Conversion at DTC Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

ConvsatDTC

Exchangeable Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

Xchgbl

Step-Up Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

StepUp

Right To Retain Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

RghtToRetn

Super Sinker Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

SprSnkr

Average Life Date

Definition

 

Values

Format: CCYY-MM-DD

XML Tag

AvrgLifeDt

PAC Bond Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

PACBnd

Revenue, General Obligation, or Double-Barreled

Definition

 

Values

RV - Revenue
GO - General Obligation
DB - Double Barreled

XML Tag

RevGnObliDblBar

Perpetual Maturity Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

PrptlMtrtyInd

Extended Maturity Date Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

XtndedMtrtyDt

Minimum Denomination

Definition

 

Values

Format: 15d

XML Tag

MinDnmtn

Multiples of Denomination

Definition

 

Values

Format: 15d

XML Tag

MltplDnmtn

Par Value

Definition

 

Values

Format: 15d

XML Tag

ParVal

Tail Denomination

Definition

 

Values

Format: 15d

XML Tag

TailDnmtn

Maturity Principal Amount

Definition

 

Values

Format: 15d

XML Tag

MtrtyPrinAmt

IPO Tracking Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

IPOTrckg

IPO Tracking Period

Definition

 

Values

001 to 090

XML Tag

IPOTrckgPrd

IPO Tracking Period End Date

Definition

 

Values

Format: CCYY-MM-DD

XML Tag

IPOTrckgPrdEndDt

Put Type

Definition

 

Values

MAND - Mandatory
OPTN - Optional

XML Tag

PutTp

Estate (Death) Put Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

ESDthPut

Days to Put Notice

Definition

 

Values

 001 to 999

XML Tag

DaysToPutNtfctn

Put Notification Window - Business or Calendar

Definition

 

Values

BUSI - Business Days
CALD - Calendar Days

XML Tag

PutWndwNtc

Call Type

Definition

 

Values

LOTR - Lottery
PROR - Pro-rata

XML Tag

CallTp

Days to Call Notice

Definition

 

Values

 001 to 999

XML Tag

DaysToCallNtfctn

Call Notification Window - Business or Calendar indicator

Definition

 

Values

BUSI - Business Days
CALD - Calendar Days

XML Tag

CallNtfctnWndw

Sinking Fund Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

SnkgFnd

Call Schedule Type

Definition

 

Values

DCNN - Discrete Calls with No Notification
CCWN - Continuous Calls with Notification
DCWN - Discrete Calls with Notification
NONE - None

XML Tag

CallSchdlTp

Extraordinary Call Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

XtrdnaryCall

Make Whole Call Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

MkWhlCall

Over-Allotment Option Available Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

OverAltmtOptnAvlbl

Maximum Over-Allotment Shares

Definition

 

Values

Format: 15d

XML Tag

MaxOverAltmtShrs

Maximum Over-Allotment Amount

Definition

 

Values

Format: 15d

XML Tag

MaxOverAltmtAmt

Maximum Over-Allotment Percentage

Definition

 

Values

Format: 15d

XML Tag

MaxOverAltmtPctg

Days for expiry of Over-Allotment Option

Definition

 

Values

 

XML Tag

DaysforXpryofOverAltmtOptn

Security Offering Shares

Definition

 

Values

Format: 15d

XML Tag

SctyOfrngShares

Offering Price per share

Definition

 

Values

Format: 15d

XML Tag

OfrngPric

Security Offering Amount

Definition

 

Values

Format: 15d

XML Tag

SctyOfrngAmt

Offering Price %

Definition

 

Values

Format: 15d

XML Tag

OfrngPricPctg

Offering Yield

Definition

 

Values

Format: 15d

XML Tag

OfrngYld

OID Price

Definition

 

Values

Format: 15d

XML Tag

OIDPric

OID Yield

Definition

 

Values

Format: 15d

XML Tag

OIDYld

Initial PSA

Definition

 

Values

Format: 15d

XML Tag

InitPSA

Dissemination Underwriter Type

Definition

 

Values

PART - Participant
CORS - Correspondent

XML Tag

DsmntrTp

Dissemination Underwriter Participant Id/ Correspondent Id

Definition

 

Values

 

XML Tag

DsmntrId

Dissemination Contact First Name

Definition

 

Values

 

XML Tag

CtctFrstNm

Dissemination Contact Last Name

Definition

 

Values

 

XML Tag

CtctLstNm

Dissemination Contact Primary Phone

Definition

 

Values

 

XML Tag

CtctPmryPhne

Dissemination Contact Primary Phone Extension

Definition

 

Values

 

XML Tag

CtctPmryPhneXtnsn

Dissemination Contact Alternate Phone

Definition

 

Values

 

XML Tag

CtctAltrnPhne

Dissemination Contact Alternate Phone Extension

Definition

 

Values

 

XML Tag

CtctAltrnPhneXtnsn

Dissemination Contact Email Address

Definition

 

Values

 

XML Tag

CtctEmailAdr

Regulation S Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

RglnS

Regulation S Category 3 Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

RglnSCtgy3

Section 3(a) 2 Exempted Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

Sec3a2Xmptd

144A Rule Applicable Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

Rule144AInd

Section 3(c)(7) Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

Sec3c7Ind

Other SEC Exemption Details

Definition

 

Values

 

XML Tag

OthrSECXmptnDtls

Investment Grade Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

InvstmtGrd

PORTAL Eligible Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

PortalElig

Linked 144A-RegS Security Primary Security Id Agency Code

Definition

 

Values

CINS - CINS
CUSI - CUSIP

XML Tag

LkdSctyPmrySecurityIdAgcyCd

Linked 144A-RegS Security Primary Security Id

Definition

 

Values

 

XML Tag

LkdSctyPmrySecurityId

Linked Accredited Investor Primary Security Id Agency Code

Definition

 

Values

CINS - CINS
CUSI - CUSIP

XML Tag

LkdAcdtdInvstrPmrySctyIdAgcyCd

Linked Accredited Investor Primary Security Id

Definition

 

Values

 

XML Tag

LkdAcdtdInvstrPmrySctyId

Underlying Primary Security Id Agency Code

Definition

 

Values

CINS - CINS
CUSI - CUSIP

XML Tag

UndrlygPmrySctyIdAgcyCd

Underlying Primary Security Id

Definition

 

Values

 

XML Tag

UndrlygCUSIP

Unit Quantity

Definition

 

Values

 

XML Tag

UnitQty

Immediately Separable Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

ImdtlySeparable

Underwriter Takedown Shares

Definition

 

Values

Format: 15d
Field valid only for "New" Offering Type only

XML Tag

UndrwrtrTakeDwnShrs

Underwriter Takedown Amount

Definition

 

Values

Format: 15d
Field valid only for "New" Offering Type only

XML Tag

UndrwrtrTakeDwnAmt

Underwriter Contact First Name

Definition

 

Values

 

XML Tag

CtctFrstNm

Underwriter Contact Last Name

Definition

 

Values

 

XML Tag

CtctLstNm

Underwriter Contact Primary Phone

Definition

 

Values

 

XML Tag

CtctPmryPhne

Underwriter Contact Primary Phone Extension

Definition

 

Values

 

XML Tag

CtctPmryPhneXtnsn

Underwriter Contact Alternate Phone

Definition

 

Values

 

XML Tag

CtctAltrnPhne

Underwriter Contact Alternate Phone Extension

Definition

 

Values

 

XML Tag

CtctAltrnPhneXtnsn

Underwriter Contact Email Address

Definition

 

Values

 

XML Tag

CtctEmailAdr

Crediting Participant Id

Definition

 

Values

 

XML Tag

CrdtgPtcptId

IPO Tracking Account Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

IPOTrckgAcct

Crediting Participant Contact First Name

Definition

 

Values

 

XML Tag

CtctFrstNm

Crediting Participant Contact Last Name

Definition

 

Values

 

XML Tag

CtctLstNm

Crediting Participant Contact Primary Phone

Definition

 

Values

 

XML Tag

CtctPmryPhne

Crediting Participant Contact Primary Phone Extension

Definition

 

Values

 

XML Tag

CtctPmryPhneXtnsn

Crediting Participant Contact Alternate Phone

Definition

 

Values

 

XML Tag

CtctAltrnPhne

Crediting Participant Contact Alternate Phone Extension

Definition

 

Values

 

XML Tag

CtctAltrnPhneXtnsn

Crediting Participant Contact Email Address

Definition

 

Values

 

XML Tag

CtctEmailAdr

Function Code

Definition

 

Values

- NEWM
- REPL
- DELT

XML Tag

FctnCd

Unit Component Primary Security Id Agency Code

Definition

 

Values

CINS - CINS
CUSI - CUSIP

XML Tag

UnitCmpntPmrySctyIdAgcyCd

Unit Component Primary Security Id

Definition

 

Values

 

XML Tag

UnitCmpntPmrySctyId

Unit Component Quantity

Definition

 

Values

 

XML Tag

UnitCmpntQty

Function Code

Definition

 

Values

- NEWM
- REPL
- DELT

XML Tag

FctnCd

Alternate Security Id Agency Code

Definition

 

Values

- COMM
- ISIN
- LOCA
- OTHE
- QUIC
- RICN
- SEDO
- SICC
- SICO
- SVMN
- VALO
- WKNN

XML Tag

AltrnSctyIdAgcyCd

Alternate Security Id

Definition

 

Values

 

XML Tag

AltrnSctyId

Function Code

Definition

 

Values

- NEWM
- REPL
- DELT

XML Tag

FctnCd

Stock Exchange Short Name

Definition

 

Values

 

XML Tag

StockXchgShrtNm

Primary Exchange Flag

Definition

 

Values

Y - Yes
N - No

XML Tag

PmryXchg

Ticker Symbol

Definition

 

Values

 

XML Tag

PmryXchgTckrSymb

Function Code

Definition

 

Values

- NEWM
- REPL
- DELT

XML Tag

FctnCd

Currency Purpose

Definition

 

Values

TRDE - Trade
SETT - Settlement

XML Tag

CcyPurp

Currency

Definition

 

Values

ISO Currency List

XML Tag

Ccy

Primary Currency Flag

Definition

 

Values

Y - Yes
N - No