Appendix

Appendix A - Address Type

Code	Type	Accounts Valid For
M	Mailing Address	Corporate & Client
S	Street Address	Corporate
U	Unknown Address	Corporate & Client
H	Home Address	Client
W	Work Address	Client
B	Business Address	Client

Appendix B - Country Codes

Note

Currently, GSAS only supports accounts owned by permanent residents of the United States, using a valid Social Security or taxpayer ID number.

Please use “US” for the United States. For all other countries, please see https://www.iso.org/iso-3166-country-codes.html and look at the alpha-2 formatting.

Appendix C - Account Types

This list is as of February 1st, 2024, and is subject to change without notice.

Natural Person Accounts

Code	Description	Taxable
1	Inherited Roth IRA	No
2	Inherited Traditional IRA	No
6	Estate	No
9	Simple IRA	No
I	Individual	Yes
J	Joint – Rights of Survivorship	Yes
K	Joint – Tenants in Common	Yes
L	Joint – Community Property	Yes
M	Joint – Tenants by Entirety	Yes
P	SEP IRA	No
Q	IRA Rollover	No
R	Traditional IRA	No
S	Roth IRA	No
T	Custodial (UTMA)	Yes
U	Custodial (UGMA)	Yes
X	Revocable Trust	Yes
Y	401(k)	No

Entity Accounts

Code	Description	Taxable
3	Inherited Roth IRA Entity	No
4	Inherited Traditional IRA Entity	No
A	Corporation	Yes
B	General Partnership	Yes
C	Investment Club	Yes
D	Business/Irrevocable Trust	Yes
E	Limited Partnership	Yes
F	Limited Liability Corporation	Yes
G	Qualified Retirement Plan	No
H	Sole Proprietorship	Yes
V	Unincorporated Organization	Yes

Appendix D - Tax Lot Strategy

Code	Description
AVGC	Average Cost (All non-taxable accounts)
LGHL	Maximize Losses / Minimize Gains
HGLL	Maximize Gains / Minimize Losses
FIFO	First In – First Out
LSTG	Maximize Short-Term Losses
WLFS	Maximize Losses / Minimize Gains, Tax Weighted (ST Capital Gains Rate and LT Capital Gains Rate will be populated)
HLTG	Maximize Long-Term Gain
HSTG	Maximize Short-Term Gain
WGFS	Maximize Gains / Minimize Losses, Tax Weighted (ST Capital Gains Rate and LT Capital Gains Rate will be populated)
LIFO	Last In – First Out
LLTG	Maximize Long-Term Losses

Appendix E - Reason for Restriction

Code	Description
001	Awaiting SIMPLE IRA Employer Certification
002	Awaiting Customer Agreement Signature
003	Industry Affiliation
004	Awaiting Qualified Retirement Plan form
005	W-8 Form Required
006	Membership Closed
007	Miscellaneous
008	Invalid Contact Information
009	Account Escheated
010	Outgoing Transfer (All Assets)
011	Regulation-T Trading Debit
012	Debit Balance
013	Account Closed - Acct. Level Billing
014	Account Closed
015	Client is Deceased
016	10% Shareholder
017	Group Account Trustee
018	Compliance Restriction
019	Outgoing Transfer (Partial)
020	Pending Advisory Firm Review
021	Full Restriction
022	API Account Approval
023	Awaiting Inherited IRA Form
024	CIP Failure
025	Outgoing Transfer - Trading Activity
026	CC Processing Failures
027	Awaiting Entity Onboarding Questionnaire
028	ORC Review
029	Returned Mail
030	Awaiting Trust Evidence of Existence Document
031	Minor Age of Termination
032	Pending Guardian or Conservator Account Documents
033	Awaiting Entity Onboarding Questionnaire
034	Held Away 529 Plan Restriction
035	Awaiting Death Certificate for Inherited IRA
036	Awaiting Estate Documentation
037	Missing CIP Updates

Appendix F - Instrument Type

This list is as of February 1st, 2024, and is subject to change without notice.

Code	Instrument
ADR	American Depository Receipt
ADRPFDST	ADR Preferred Stock
AGCYBOND	Agency Bond
CAPBAL	Capital Balance Alternative Inv
CASH	Cash
CD	Certificate of Deposit
CP	Commercial Paper
COLLATER	Collateral Bond
COMSTOCK	Common Stock
CORPBOND	Corporate Bond
CVPFDSTK	Convertible Preferred Stock
GOVBOND	Government Bond
MNYFUND	CORTLAND TR GEN MONEY MKT FD, CORTLAND TR US GOVT FD, CORTLAND TR TAX FREE MM FD, FDIC CASH NOT COVERED BY SIPC, FDIC PLUS NOT COVERED BY SIPC
MRTGPOOL	Mortgage Pool
MUNIBOND	Municipal Bond
MUTFDETF	ETF
MUTFUND	Exchanged-Traded Closed End Funds
MUTFUNDO	Exchanged-Traded Open End Funds
PFDSTK	Preferred Stock
PROTNOTE	Protected Note
REIT	Real Estate Investment Trust
REITPFD	REIT Preferred
RIGHTS	Rights
STRCNOTE	Structured Note
SWEEP	Sweep Security
UIT	Unit Investment Trust
UNITIZED	Unitized Alternative Inv
UNKBOND	Bonds
USLOP	Options
WARRANTS	Warrants

Appendix G - Market Code

Code	Market/Exchange
AMEX	American Stock Exchange
CBOE	Chicago Board Options Exchange
CBOT	Chicago Board of Trade
GADO	Government/Agency (Dealer Quote)
NASD	NASDAQ
NLST	No Listing
NSCC	National Securities Clearing Corporation
NYFE	New York Futures Exchange
NYSE	New York Stock Exchange
PAC	Pacific Stock Exchange
PHIL	Philadelphia Exchange
PINK	OTC Security

Appendix H - Transaction Code

This list is as of February 1st, 2024 and is subject to change without notice.

Transaction Code	Transaction Code Description	Reference Code	Reference Code Detail
ACATC	ACATS IN/OUT (Cash)		Cash Transfer Out
ACATC	ACATS IN/OUT (Cash)		Cash Transfer In
ACATS	ACATS IN/OUT (Securities)		Securities (Transfer)
ACATS	ACATS IN/OUT (Securities)		Securities (Transfer)
ADRFEE	ADR Fee (ReOrg)		ADR Fee
B	Buy		Sweep Buy
B	Buy	A	Trade Allocation
B	Buy	B	Sweep Buy
B	Buy	D	Direct Trade
B	Buy	DEPOSIT_SWEEP	Sweep Buy
B	Buy	MT	Trade
B	Buy	P	Paper Trade
B	Buy	R	Reinvestments
B	Buy	W	Window Trade
B	Buy
BBX	Trade: Buy Vs Box
BC	Trade: Buy to Cover
BNKRT	Bankruptcy
CADJ	Credit Adjustment
CADJR	Cash Adj. Receipt
CADJW	Cash Adj. Withdrawal
CB	Trade: Buy to Close
CDEP	Client Deposits	CIR	Incoming Check
CDEP	Client Deposits	SITX	Reversal of State Tax Withholding
CDEP	Client Deposits	MINT	Reversal - Margin Interest
CDEP	Client Deposits	BPAY	Bill Pay
CDEP	Client Deposits	CKCL	Check Returned
CDEP	Client Deposits	CKDP	Incoming Check
CDEP	Client Deposits	CKPX	Incoming Check
CDEP	Client Deposits	CKRT	Check Returned
CDEP	Client Deposits	CONVBALDEP	Cash Transfer In
CDEP	Client Deposits	ADMIN	Admin – Admin Fee Reversal
CDEP	Client Deposits	DM	Misc. Deposit
CDEP	Client Deposits	BKUP	W9 Withholding
CDEP	Client Deposits	EDP	Incoming ACH
CDEP	Client Deposits	DBPF	Designated Beneficiary Plan Fee
CDEP	Client Deposits	DIVFT	Dividend Foreign Tax Withheld
CDEP	Client Deposits	DIVFTCGL	LT Capital Gains Foreign Tax W
CDEP	Client Deposits	DIVFTCGS	ST Capital Gains Foreign Tax W
CDEP	Client Deposits	DIVFTRCAPPRO	Return of Cap Foreign Tax With
CDEP	Client Deposits	DIVTW	Dividend Domestic Tax Withheld
CDEP	Client Deposits	FEE01	Admin - Express Mail Fee Reversal
CDEP	Client Deposits	FEE02	Admin - Wire Transfer Fee Reversal
CDEP	Client Deposits	FEE03	Admin - Certificate Delivery Same Registration Fee Reversal
CDEP	Client Deposits	FEE04	Admin - Late Trade Settlement Fee Reversal
CDEP	Client Deposits	FEE05	Admin - Physical Corporate Action Fee Reversal
CDEP	Client Deposits	FEE06	Admin - Returned Check/ACH Fee Reversal
CDEP	Client Deposits	FEE07	Admin - NSF Fee Reversal
CDEP	Client Deposits	FEE08	Admin - Stop Payment Fee Reversal
CDEP	Client Deposits	FEE09	Admin - Check Copy Fee Reversal
CDEP	Client Deposits	FEE10	Admin - Research Fee Reversal
CDEP	Client Deposits	FEE11	Admin - Restricted Securities (Rule 14) Fee Reversal
CDEP	Client Deposits	FEE12	Admin - DTC Transfers Fee Reversal
CDEP	Client Deposits	FEE13	Admin - Check Reorder Fee Reversal
CDEP	Client Deposits	FEE14	Admin - Account Closing Fee Reversal
CDEP	Client Deposits	FEE15	Admin - Voluntary Corporate Action Fee Reversal
CDEP	Client Deposits	FEE16	Admin - Misc. Fee Reversal
CDEP	Client Deposits	FEE17	Admin - Transfer of Securities b/w account Fee Reversal
CDEP	Client Deposits	FEE18	Admin - Transfer of Securities & Tax Lot Fee Reversal
CDEP	Client Deposits	FEE19	Admin - Transfer of Cash Fee Reversal
CDEP	Client Deposits	FEE20	Trading - Broker Assisted Trade Fee Reversal
CDEP	Client Deposits	FEE21	Admin - Check Processing Fee Reversal
CDEP	Client Deposits	FEE22	Admin - ACAT Transfer Fee Reversal
CDEP	Client Deposits	FEE23	Admin - Paper Statement Fee Advisor Reversal
CDEP	Client Deposits	FEE25	Admin - Charge off Fee Reversal
CDEP	Client Deposits	FEE26	Admin - QR fee write off Reversal
CDEP	Client Deposits	FEE27	Trading - Mutual Fund, Redemption Fee Reversal
CDEP	Client Deposits	FEE28	Admin - IRA Maintenance Fee Reversal
CDEP	Client Deposits	FEE29	Admin - Waived Incoming Transfer Fee Reversal
CDEP	Client Deposits	FEE30	Admin - Inactivity Fee Reversal
CDEP	Client Deposits	FEE31	Trading - ADR Fee Reversal
CDEP	Client Deposits	FEE32	Admin - Invalid Email Fee Reversal
CDEP	Client Deposits	FEE33	Management - Model Management Fee Reversal
CDEP	Client Deposits	FEE34	Admin - Fixed Income Fee Reversal
CDEP	Client Deposits	FEE35	Admin - Fixed Income Fee Reversal
CDEP	Client Deposits	FEE36	Admin - Closed Account - Residual Balance Fee Reversal
CDEP	Client Deposits	IAFEE01	Management - Advisory Fee Reversal
CDEP	Client Deposits	IAFEE02	Trading - Foliofn Fee Reversal
CDEP	Client Deposits	IAFEE03	Admin - Custody and Clearing Fee Reversal
CDEP	Client Deposits	ADMIN	Admin – Admin Fee Reversal
CDEP	Client Deposits	MANAGE	Management - Advisory Fee Reversal
CDEP	Client Deposits	IACTIN	Incoming Internal Transfer
CDEP	Client Deposits	INT	Interest
CDEP	Client Deposits	LTCG	Capital Gain Distribution
CDEP	Client Deposits	MGJN	Cash Transfer In
CDEP	Client Deposits	STCG	Capital Gain Distribution
CDEP	Client Deposits	TEND	Tender
CDEP	Client Deposits	TRDP	Cash Transfer In
CDEP	Client Deposits	WIRE	Incoming Domestic Wire
CDEP	Client Deposits	WIRT	Wire Returned
CDEP	Client Deposits	LFE	Low Balance Fee Reversal
CDIR		CDI	Dividend
CDMF	Cash Deposit Mgmt fee	ADMIN	Fee Credit - Admin
CDMF	Cash Deposit Mgmt fee	MANAGE	Fee Credit - Management
CGDLT	Div. (Cap.Gain LongTerm)	CGDLT	Capital Gain Distribution
CGDST	Div. (Cap.Gain ShortTerm)	CGDST	Capital Gain Distribution
CIL	Cash In Lieu of Fractional Shares		Cash-In-Lieu of Fractional Shares
CLQ	Cash Liquidation	CLQ	Cash Distribution
CLQF	Cash Liquidation Final	CLQF	Cash Distribution
CLTW	Client Withdrawals	EWD	Outgoing ACH
CLTW	Client Withdrawals	BKUP	Withholding Tax
CLTW	Client Withdrawals	CHK	Outgoing Check
CLTW	Client Withdrawals	CIK	Outgoing Check
CLTW	Client Withdrawals	CKCL	Outgoing Check
CLTW	Client Withdrawals	CKRT	Check Returned
CLTW	Client Withdrawals	IACTOUT	Outgoing Internal Transfer
CLTW	Client Withdrawals	ITX	Withholding Tax
CLTW	Client Withdrawals	MGJN	Cash Transfer Out
CLTW	Client Withdrawals	SITX	Withholding Tax
CLTW	Client Withdrawals	TRWD	Cash Transfer Out
CLTW	Client Withdrawals	WIRE	Outgoing Domestic Wire
CLTW	Client Withdrawals	OIWD	Outgoing International Wire
CLTW	Client Withdrawals	WIRO	Outgoing Domestic Wire
CLTW	Client Withdrawals	WIRT	Wire Returned
CLTW	Client Withdrawals	WM	Misc. Withdrawal
CLTW	Client Withdrawals	DBPF	Designated Beneficiary Plan Fee
CLTW	Client Withdrawals	DIVFT	Dividend Foreign Tax Withheld
CLTW	Client Withdrawals	DIVFTCGL	LT Capital Gains Foreign Tax W
CLTW	Client Withdrawals	DIVFTCGS	ST Capital Gains Foreign Tax W
CLTW	Client Withdrawals	DIVFTRCAPPRO	Return of Cap Foreign Tax With
CLTW	Client Withdrawals	DIVTW	Dividend Domestic Tax Withheld
CLTW	Client Withdrawals	FEE01	Admin - Express Mail Fee
CLTW	Client Withdrawals	FEE02	Admin - Wire Transfer Fee
CLTW	Client Withdrawals	FEE03	Admin - Certificate Delivery Fee
CLTW	Client Withdrawals	FEE04	Admin - Late Trade Settlement Fee
CLTW	Client Withdrawals	FEE05	Admin - Physical Corporate Action Fee
CLTW	Client Withdrawals	FEE06	Admin - Returned Check/ACH Fee
CLTW	Client Withdrawals	FEE07	Admin - NSF Fee
CLTW	Client Withdrawals	FEE08	Admin - Stop Payment Fee
CLTW	Client Withdrawals	FEE09	Admin - Check Copy Fee
CLTW	Client Withdrawals	FEE10	Admin - Research Fee
CLTW	Client Withdrawals	FEE11	Admin - Restricted Securities Fee
CLTW	Client Withdrawals	FEE12	Admin - DTC Transfers Fee
CLTW	Client Withdrawals	FEE13	Admin - Check Reorder Fee
CLTW	Client Withdrawals	FEE14	Admin - Account Closing Fee
CLTW	Client Withdrawals	FEE15	Admin - Voluntary Corporate Action Fee
CLTW	Client Withdrawals	FEE16	Admin - Misc. Fee
CLTW	Client Withdrawals	FEE17	Admin - Transfer of Securities Fee
CLTW	Client Withdrawals	FEE18	Admin - Transfer of Securities & Tax Lot Fee
CLTW	Client Withdrawals	FEE19	Admin - Transfer of Cash Fee
CLTW	Client Withdrawals	FEE20	Trading - Broker Assisted Trade Fee
CLTW	Client Withdrawals	FEE21	Admin - Check Processing Fee
CLTW	Client Withdrawals	FEE22	Admin - ACAT Transfer Fee
CLTW	Client Withdrawals	FEE23	Admin - Paper Statement Fee
CLTW	Client Withdrawals	FEE25	Admin - Charge off Fee
CLTW	Client Withdrawals	FEE26	Admin - QR fee write off Fee
CLTW	Client Withdrawals	FEE27	Trading - Mutual Fund Redemption Fee
CLTW	Client Withdrawals	FEE28	Admin - IRA Maintenance Fee
CLTW	Client Withdrawals	FEE29	Admin - Waived Incoming Transfer Fee
CLTW	Client Withdrawals	FEE30	Admin - Inactivity Fee
CLTW	Client Withdrawals	FEE31	Trading - ADR Fee
CLTW	Client Withdrawals	FEE32	Admin - Invalid Email Fee
CLTW	Client Withdrawals	FEE33	Management - Model Management Fee
CLTW	Client Withdrawals	FEE34	Admin - Fixed Income Fee
CLTW	Client Withdrawals	FEE35	Admin - Fixed Income Fee
CLTW	Client Withdrawals	FEE36	Admin - Closed Account - Residual Balance Fee
CLTW	Client Withdrawals	IAFEE01	Management - Advisory Fee
CLTW	Client Withdrawals	IAFEE02	Trading - Foliofn Fee
CLTW	Client Withdrawals	IAFEE03	Admin - Custody and Clearing Fee
CLTW	Client Withdrawals	MANAGE	Management - Advisory Fee
CLTW	Client Withdrawals	ADMIN	Admin - Admin Fee
CLTW	Client Withdrawals	RIGHT	Pending Rights
CLTW	Client Withdrawals	TEND	Tender
CLTW	Client Withdrawals	LFE	Admin - Low Balance Fee
CLTW	Client Withdrawals	MINT	Margin Interest
CNSNT	Consent
COMDEP	Commission Deposit
CONV	Conversion (ReOrg)		Reorg - Shares Added
CONV	Conversion (ReOrg)		Reorg - Shares Removed
CS	Trade: Sell to Close
CSD	Cash Disbursement
CSR	Cash Receipt
CSR05	Cash Receipt
CSR10	Cash Receipt
DAUC	Dutch Auction
DEL	Delivery
DELMRGN	Deliver Vs Payment (Margin)
DFSMT	Defeasement
DIV	Dividends		Dividend
DIVCGL	Div. (Cap.Gain LongTerm)		Long Term Capital Gain
DIVCGS	Div. (Cap.Gain ShortTerm)		Short Term Capital Gain
DIVFEE	Dividend Fee		Dividend Fee Withheld
DIVFT	Div.Adj(ForeignTax Withheld)		Dividend Foreign Tax Withheld
DIVNRA	Div. Adj (NRA Withheld)		Dividend NRA Tax Withheld
DIVROC	Div.ReturnOfCapital		Return of Capital
DIVSUBBRW	Dividends		Dividend
DIVSUBLN	Dividends		Dividend
DIVTW	Div. Adj(Tefra Withheld)		Dividend Adjustment (Tefra Withheld)
DIVTXEX	Div. TaxExempt		Dividend Tax Exempt
DK	DTC Reclaim
DTCRCL	DTC Reclaim
DTCSUS	DTC Suspense IN
DTF	CNS-DTCC transfers
DTFRG	ReOrg distrb. (DTF)
DTFTA	Transfer of A/cs (DTF)
DVP	DVP
DVPB	DVP-PrimeBrk
DVPBC	DVP-PrimeBrk Cleanup
DVPC	DVP Cleanup
DVPR	DVP Reclaim
DWACD	DWAC Delivery		DWAC Delivery
DWACR	DWAC Receive		DWAC Receive
ELMGR	Election Merger	MER	Election Merger
EXNI		EXNI	Exchange
EXNO		EXNO	Exchange
EXOF	Exchange Offer		Exchange Offer
EXTI		EXTI	Exchange
EXTO		EXTO	Exchange
FATCAT	FACTCA withholding		FACTCA Withholding
FI_COUP	FI coupon		Fixed Income Coupon
FI_INT	FI interest		Fixed Income Interest
FI_INT_ADJ	FI interest adjustment		Fixed Income Interest Adjustment
FI_PRIN	FI principal		Principal Payment
FI_PRN_ADJ	FI principal adjustment		Principal Payment Adjustment
FIMAT	Fixed income maturity		Fixed Income Maturity
FTD	Fail to Deliver
FTR	Fail to Receive
FULCL	Early Call / Full Call		Early Call / Full Call
IADJ	Income Adjustment		Interest
IADJ	Income Adjustment	DIV	Interest
IADJ	Income Adjustment	DIVD	Dividend
IADJ	Income Adjustment	TAXM	Withholding Tax
IADJ	Income Adjustment	FEE31	ADR Fee
IADJ	Income Adjustment	LEGAL	Legal
IADJ	Income Adjustment	LTCG	Capital Gain Distribution
IADJ	Income Adjustment	MDIVD	Dividend
IADJ	Income Adjustment	MERG	Merger
IADJ	Income Adjustment	PCALL	Call
IADJ	Income Adjustment	RCAPM	Return of Capital
IADJ	Income Adjustment	STCG	Capital Gain Distribution
INT	Credit/Margin Interest		Margin Interest Adj
INT	Credit/Margin Interest		Margin Interest
INTBN	Bond Interest (non-taxable)		Bond Interest (nontaxable)
INTBT	Bond Interest (taxable)		Bond Interest (taxable)
INTNRA	Interest. Adj (NRA Withheld)		Interest. Adj (NRA Withheld)
INTS	Short Credit Interest Rebate
INTTW	Interest Adj (Tefra Withheld)		Dividend Adjustment (Tefra Withheld)
IRA0000	Trustee Transfer
IRA0001	Normal Retirement Distribution
IRA0002	Pre-Retirement Distribution
IRA0003	Disability Distribution
IRA0004	Death Distribution-Spousal Rollover
IRA0005	Death Distribution
IRA0006	Divorce Distribution
IRA0008	Refund of Excess
IRA0009	Refund of Excess -72(t)(2) Exception
IRA0010	Refund of Excess - Roth Qualified
IRA0011	Refund of Excess – Roth nonQualified
IRA0012	Direct Rollover
IRA0013	Recharacterization
IRA0014	Prohibited Transaction
IRA0015	Loan Default
IRA0016	Loan Payout
IRA0018	Removal of Excess Aggregate Contribution
IRA0019	72(t)(2) Exception
IRA0021	Divorce Transfer
IRA0024	Death Distrbn -Spouse- 1+yrs after death (HAS Only)
IRA0025	Death Distrbn -Estate- 1+yrs after death (HAS Only)
IRA0100	Transfer In
IRA0110	Rollover Contribution
IRA0120	Recharacterized Contribution
IRA0130	Conversion Contribution
IRA0140	Direct Rollover
IRA0200	Regular Contribution
IRA0210	SEP Contribution
IRA0300	Catch-Up Contribution
IRA0500	Employee Contribution
IRA0510	Employer Contribution
IRA0520	Loan Payment
IRAJNL	Transaction Correction
ITRF	Internal Transfer
JNL	Journal Entry
JNLC	Journal Entry (Cash)
JNLD	Accumulated Drift (Cash)		Accumulated Drift (Cash)
JNLMRGN	Journal Vs Pymt (Margin)
JNLS	Journal Entry (Stock)		Corporate Action Adjustment
LMRK	Loan Mark (StkBrw&Loan)
LQDTN	Liquidation		Liquidation
LTCAL	Early Lottery Call		Early Lottery Call
MA	Merger/Acquisition		Exchange
MA	Merger/Acquisition		Exchange
MAC	Merger/Acq. (Cash)		Merger
MAS	Merger/Acq. (Stock)		Merger - Shares Removed
MAS	Merger/Acq. (Stock)		Merger - Shares Added
MER		MER	Merger
MFCONV	Mutual Fund Share Class Exchange Transactions	MFMAN	Exchange
MFCONV	Mutual Fund Share Class Exchange Transactions	MFVOL	Exchange
MFEEI	Management Fee
MFEEI	Management Fee	ADMIN	Admin - Admin Fee
MFEEI	Management Fee	FEE01	Admin - Express Mail Fee
MFEEI	Management Fee	FEE02	Admin - Wire Transfer Fee
MFEEI	Management Fee	FEE03	Admin - Certificate Delivery Fee
MFEEI	Management Fee	FEE04	Admin - Late Trade Settlement Fee
MFEEI	Management Fee	FEE05	Admin - Physical Corporate Action Fee
MFEEI	Management Fee	FEE06	Admin - Returned Check/ACH Fee
MFEEI	Management Fee	FEE07	Admin - NSF Fee
MFEEI	Management Fee	FEE08	Admin - Stop Payment Fee
MFEEI	Management Fee	FEE09	Admin - Check Copy Fee
MFEEI	Management Fee	FEE10	Admin - Research Fee
MFEEI	Management Fee	FEE11	Admin - Restricted Securities Fee
MFEEI	Management Fee	FEE12	Admin - DTC Transfers Fee
MFEEI	Management Fee	FEE13	Admin - Check Reorder Fee
MFEEI	Management Fee	FEE14	Admin - Account Closing Fee
MFEEI	Management Fee	FEE15	Admin - Voluntary Corporate Action Fee
MFEEI	Management Fee	FEE16	Admin - Misc. Fee
MFEEI	Management Fee	FEE17	Admin - Transfer of Securities Fee
MFEEI	Management Fee	FEE18	Admin - Transfer of Securities & Tax Lot Fee
MFEEI	Management Fee	FEE19	Admin - Transfer of Cash Fee
MFEEI	Management Fee	FEE20	Trading - Broker Assisted Trade Fee
MFEEI	Management Fee	FEE21	Admin - Check Processing Fee
MFEEI	Management Fee	FEE22	Admin - ACAT Transfer Fee
MFEEI	Management Fee	FEE23	Admin - Paper Statement Fee
MFEEI	Management Fee	FEE25	Admin - Charge off Fee
MFEEI	Management Fee	FEE26	Admin - QR fee write off Fee
MFEEI	Management Fee	FEE27	Trading - Mutual Fund Redemption Fee
MFEEI	Management Fee	FEE28	Admin - IRA Maintenance Fee
MFEEI	Management Fee	FEE29	Admin - Waived Incoming Transfer Fee
MFEEI	Management Fee	FEE30	Admin - Inactivity Fee
MFEEI	Management Fee	FEE31	Trading - ADR Fee
MFEEI	Management Fee	FEE32	Admin - Invalid Email Fee
MFEEI	Management Fee	FEE33	Management - Model Management Fee
MFEEI	Management Fee	FEE34	Admin - Fixed Income Fee
MFEEI	Management Fee	FEE35	Admin - Fixed Income Fee
MFEEI	Management Fee	FEE36	Admin - Closed Account - Residual Balance Fee
MFEEI	Management Fee	IAFEE01	Management - Advisory Fee
MFEEI	Management Fee	IAFEE02	Trading - Foliofn Fee
MFEEI	Management Fee	IAFEE03	Admin - Custody and Clearing Fee
MFEEI	Management Fee	LFE	Admin - Low Balance Fee
MFEEI	Management Fee	MANAGE	Management - Advisory Fee
NC	Name Change	NC	Name Change
OB	Trade: Buy to Open		Trade
ODLOT	Odd Lot		Odd Lot
OPASN	Option Assignment		Short Call Option Assignment
OPASN	Option Assignment		Equity Sell leg for Assignment
OPASN	Option Assignment		Short Put Option Assignment
OPASN	Option Assignment		Equity Buy leg for Assignment
OPEXP	Option Expiration		Long Option Expire
OPEXP	Option Expiration		Short Option Expire
OPXRC	Option Exercise		Long Call Option Exercise
OPXRC	Option Exercise		Equity Buy leg of Exercise
OPXRC	Option Exercise		Long Put Option Exercise
OPXRC	Option Exercise		Equity Sell leg of Exercise
OS	Trade: Sell to Open		Trade
PINK	Payment In Kind		Payment In Kind
PL	Profit/Loss
PRCAL	Early Pro-Rata Call		Early Pro-Rata Call
PRFND	Prerefunding		Prerefunding
PTC	Pass Thru Charge
PTR	Pass Thru Rebate
PUTBD	Put Bond		Put Bond
RCAP	Return of Capital	RCAP	Return of Capital
RCAPPRO	Return of Capital pro-rated	RCAPPRO	Return of Capital
RDIV	Dividends (ReInvest)		Dividend Reinvest
REC	Receive
RECMRGN	RecieveVsPymt (Margin)
REDFULL	Full Redemption
REDPART	Partial Redemption		Partial Redemption
REDPRIN	Principal		Principal Redemption
REORG	ReOrg CA
REP	REPO
RGTEX	Rights Exercise		Rights Exercise
RND	Unknown
RRP	Rev REPO
RS		RS	Misc. Withdrawal
RTS	Rights offering (ReOrg)
RVP	RVP
RVPB	RVP-PrimeBrk
RVPBC	RVP-PrimeBrk Cleanup
RVPC	RVP Cleanup
RVPR	RVP Reclaim
S	Sell		Trade
S	Sell	A	Trade Allocation
S	Sell	D	Direct Trade
S	Sell	LEGAL	Trade
S	Sell	MAN	Trade
S	Sell	MT	Trade
S	Sell	P	Paper Trade
S	Sell	PCALL	Trade
S	Sell	RIGHT	Trade
S	Sell	S	Sweep Sell
S	Sell	TEND	Trade
S	Sell	W	Window Trade
SBX	Trade: Short Vs Box		Trade
SC	Symbol Change		Name Change
SD		SD	Stock Dividend
SDO	Security Delivery out
SDO	Security Delivery out	DM	Securities (Transfer)
SDO	Security Delivery out	ETRO	Securities (Transfer)
SDO	Security Delivery out	IACTOUT	Cash Transfer Out
SDO	Security Delivery out	EXCG	Exchanges
SDO	Security Delivery out	ITRO	Transfers Out
SDO	Security Delivery out	LEGAL	Legal
SDO	Security Delivery out	MERG	Merger
SDO	Security Delivery out	PCALL	Call
SDO	Security Delivery out	RSPLIT	Stock Split - Shares Removed
SDO	Security Delivery out	SDOUT	Stock Dividend
SDO	Security Delivery out	SPINO	Spin-off
SDO	Security Delivery out	TEND	Tender
SDO	Internal Transfer		Securities (Transfer)
SDO	Internal Transfer		Securities (Transfer)
SDO	Security Delivery out	ETRO	Securities (Transfer)
SDO	Security Delivery out	ETRO	Securities (Transfer)
SECDEP	Security Deposit
SL	Stock Loan
SPNI		SPNI	Spin-off
SPNO		SPNO	Spin-off
SPO	Sp. Pymt Order (StkBrw&Loan)
SPREALIGN	Security Position Realignment
SPTI		SPTI	Spin-off
SPTO		SPTO	Spin-off
SRI	Security Receive in	DM	Securities (Transfer)
SRI	Security Receive in	ETRI	Securities (Transfer)
SRI	Security Receive in	EXCG	Exchanges
SRI	Security Receive in	FSPLIT	Stock Split - Shares Added
SRI	Security Receive in	IACTIN	Cash Transfer In
SRI	Security Receive in	ITRI	Transfers In
SRI	Security Receive in	LEGAL	Legal
SRI	Security Receive in	MERG	Merger
SRI	Security Receive in	PCALL	Call
SRI	Security Receive in	RDIV	Dividend Reinvestment
SRI	Security Receive in	RDIVLTCG	Capital Gain Distribution
SRI	Security Receive in	RDIVSTCG	Capital Gain Distribution
SRI	Security Receive in	SDIN	Stock Dividend
SRI	Security Receive in	SPINI	Spin-off
SRI	Security Receive in	TEND	Tender
SRI	Internal Transfer		Securities (Transfer)
SRI	Internal Transfer		Securities (Transfer)
SRI	Security Receive in	ETRI	Securities (Transfer)
SRI	Security Receive in	ETRI	Securities (Transfer)
SS	Trade: Short Sell		Trade
SS	Stock Split	FSS	Stock Split - Shares Added
SS	Stock Split	RSS	Stock Split - Shares Removed
SSO	Stock Spin-Off		Spin-off
SSO	Stock Spin-Off		Spin-off
SSP	Stock Split		Stock Split - Shares Added
SSP	Stock Split		Stock Split - Shares Removed
SSPF	Stock Split (Forward)		Stock Split - Shares Added
SSPF	Stock Split (Forward)		Stock Split - Shares Removed
SSPR	Stock Split (Reverse)		Stock Split - Shares Removed
SSPR	Stock Split (Reverse)		Stock Split - Shares Added
TENDR	Tender
TSDO	Security Delivery out	TSDO	Securities (Transfer)
TSRI	Security Receive in	TSRI	Securities (Transfer)
UNITSEP	Unit Separation
UNRS		UNRS	Misc. Deposit
VOLUN	Voluntary (ReOrg)
WIREI	Wire In
WIREO	Wire Out
WNTEX	Warrants Exercise		Warrants Exercise
WOFF		WOF	Misc. Withdrawal
WTS	Warrants (ReOrg)
XJNL	Exception Journals
XSDO	Exch. Security Delivery out	MAN	Securities (Transfer)
XSDO	Exch. Security Delivery out	XSDO	Securities (Transfer)
XSRI	Exch. Security receive in	XSRI	Securities (Transfer)
XTRF	External Transfer

Appendix I - Reasons for Trade

Code	Name	Description
AG	Adjustment to guidelines	The order was placed due to an adjustment to guidelines.
AI	Auto investment	The order was placed by a pre-scheduled auto investment order. An auto investment order is an order that is automatically placed on a certain date of a month based on the settings in the account. This subtype can only be dollar-based.
AS	Account sync	The order was placed within the account to synchronize the sub-accounts of the account to the subscribed allocation.
AT	Account template sync	The order was placed by the allocation manager to synchronize the account to the target weights of the allocation.
CR	Client request	The order was placed at the request of the client.
DR	Automatic dividend reinvestment	The order was placed to reinvest a cash distribution, such as a dividend.
MS	Model sync	The order was placed to synchronize the sub-accounts current weights to the model’s target weights.
NS	Not specified	The reason for the order was not specified.
OP	Operations	The order was placed for an operational function.
OT	Other	The order was placed for a reason that was not specified in our categories.
RC	Raise cash	The reason for the order is to generate a cash position.
SC	Strategy change	The reason for the order is a change of investment strategy.
TL	Tax loss selling	The reason for the order is to realize losses on securities.

Appendix J - Accounting Method

Code	Description
FIFO	First In - First Out
HGLL	Maximize Gains / Minimize Losses
HLTG	Maximize Long-term Gain
HSTG	Maximize Short-term Gain
LGHL	Maximize Losses / Minimize Gains (default)
LIFO	Last In - First Out
LLTG	Maximize Long-term Losses
LSTG	Maximize Short-term Losses
WLFS	Maximize Losses / Minimize Gains, Weighted
WGFS	Maximize Gains / Minimize Losses, Weighted

Appendix K - Mutual Fund Offering

Value	Description
NO_LOAD	Not a Load Fund
LOAD_WAIVED	Load waived is fee-based only
LOAD_AT_LOAD	Load Fund
MULTI_OMNIBUS	Load waived is fee-based, also available as load
NAV_TO_ALL	Load waived is available to everyone
MULTI_OMNIBUS_NAV_TO_ALL	Load waived is available to everyone, also available as load

Appendix L - Asset Type

Code	Description
ALT	Alternative Investments
E	Equity
F	Fixed Income
M	Mutual Fund
MM	Money Market

Appendix M - Rebill Indicator

Code	Description
C	Cancel
R	Active
X	Cancel/Rebooked

Appendix N - Capacity

Code	Description
A	Agent
P	Principal
R	Mixed Capacity

Appendix O - Margin

Code	Description
C	Cash
M	Margin
W	Watch
Z	Model

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Appendix A - Address Type
Appendix B - Country Codes
Appendix C - Account Types
Appendix D - Tax Lot Strategy
Appendix E - Reason for Restriction
Appendix F - Instrument Type
Appendix G - Market Code
Appendix H - Transaction Code
Appendix I - Reasons for Trade
Appendix J - Accounting Method
Appendix K - Mutual Fund Offering
Appendix L - Asset Type
Appendix M - Rebill Indicator
Appendix N - Capacity
Appendix O - Margin

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