ACCT/ACCF-Customer Account Information-11/09

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PERSHING STANDARD FILE LAYOUTSDETAIL RECORD W – ADDITIONAL ACCOUNT-LEVEL INFORMATIONPOSITION PICTURE TYPE DESCRIPTION001-002 X(02) AN TRANSACTION CODE = “CI”003-003 X(01) AN RECORD INDICATOR VALUE = “W”004-011 9(08) N RECORD ID SEQUENCE NUMBER; begins with“00000001”012-020 X(09) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASEACCOUNT(5); CHECK DIGIT (1)021-023 X(03) AN INTRODUCING BROKER DEALER NUMBER024-024 X(01) AN Not Used025-027 X(03) AN INVESTMENT PROFESSIONAL NUMBER028-028 X(01) AN Not Used029-038 X(10) AN ACCOUNT SHORT NAME039-040 X(02) AN Not UsedNEW ACCOUNT-LEVEL INFORMATION041-041 X(01) AN RECORD TRANSACTION CODE; acceptable values include:“X” or “ ”= Unchanged record“A” = Added account“C” = Change to existing recordCURRENCY / LANGUAGE INFORMATIONBELOW FIELD COPIED FROM RECORD A, position 461042-042 X(01) AN NON-US DOLLAR TRADING; acceptable values include:“Y” = Account approved for trading in non-US Dollars“N” = Not eligible to trade non-US Dollars (default)043-045 X(03) AN BASE CURRENCY; see Appendix N, “Currency Codes”046-048 X(03) AN INCOME CURRENCY; see Appendix N, “Currency Codes,”for values, as well as additional acceptable values:“ISS” = Issue Currency; the currency in which Pershingreceives payment“POS” = Position Currency; the currency in which thecustomer is holding the underlying position“ ” = Not applicable049-051 X(03) AN STATEMENT LANGUAGE; effective 03/2010; valuesinclude:“ENG” = English“SPA” = Spanish“N/A” = Not available052-054 X(03) AN Not Used055-055 X(01) AN MSRB Statement Indicator; effective 03/2010; values include:“Y” = Send Statements“N” = Do not send Statements“ ” = Not applicableACCT/ACCFPage 26 Customer Account Information 10-09
PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION056-061 X(06) AN Not UsedNEW ACCOUNT-LEVEL INFORMATION BELOW FIELD COPIED FROM RECORD A, position 671-671062-062 X(01) AN POLITICALLY EXPOSED PERSON INDICATOR;acceptable values include:“Y” = Politically Exposed Person“N” = Not a Politically Exposed Person“U” = Unknown063-087 X(25) AN FIRST NAME OF POLITICALLY EXPOSED PERSON088-112 X(25) AN LAST NAME OF POLITICALLY EXPOSED PERSON113-116 X(04) AN SUFFIX OF POLITICALLY EXPOSED PERSON117-151 X(35) AN POLITICAL OFFICE HELD152-153 X(02) AN COUNTRY OF OFFICE; see Appendix Q, “ACCT Codes andValues”COPIED FROM RECORD A, position 673-673154-154 X(01) AN FOREIGN BANK ACCOUNT INDICATOR; acceptablevalues include:“Y” = Account is a foreign bank“N” = Account is not a foreign bank“U” = Unknown155-162 9(08) N FOREIGN BANK CERTIFICATION DATE =“CCYYMMDD”163-170 9(08) N FOREIGN BANK CERTIFICATION EXPIRATION DATE =“CCYYMMDD”171-171 X(01) AN CENTRAL BANK INDICATOR; acceptable values include:“Y” = Account is a foreign central bank“N” = Account is not a foreign central bank“U” = UnknownThe following field applies to Foreign Financial Institutions172-172 X(01) AN ACCOUNT FOR FOREIGN FINANCIAL INSTITUTION(non US Bank, non-US branch of US bank, broker dealer,futures merchant, commodities introducing broker, mutualfund, money transmitter or currency exchanger); valid valuesinclude:“Y” = Yes“N” = No“ ” = Not applicableThe following four fields apply to Foreign Banking173-173 X(01) AN FOREIGN BANK ACCOUNT OPERATING UNDEROFFSHORE BANKING LICENSE; acceptable values include:“Y” = Yes“N” = No“ ” = Not applicable174-174 X(01) AN FOREIGN BANK ACCOUNT OPERATING UNDER ABANKING LICENSE ISSUED BY A(cont.)ACCT/ACCFPage 27 Customer Account Information 10-09
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ACCT/ACCF-Customer Account Information-11/09

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