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, GSCS 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
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
6	Estate	Yes
A	Corporation	Yes
B	General Partnership	Yes
C	Investment Club	Yes
D	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
038	Account Closure Requested
039	Government Sanctioned Holding

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
EQSN	Equity Structured Note
GOVBOND	Government Bond
MNYFUND	CORTLAND TR GEN MONEY MKT FD, CORTLAND TR US GOVT FD, CORTLAND TR TAX FREE MM FD, DP CASH NOT COVERED BY SIPC, DP 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-Reference	Transaction Description	Category	Category ID	Sub Category	Sub Category ID
ACATC	ACATS Transfer - Outgoing	Transfers	3	ACATS Transfer	ACAT
ACATS	ACATS Transfer - Incoming	Transfers	3	ACATS Transfer	ACAT
ADRFEE	ADR Fee	Expenses	6	Trading Expenses	FTE
B	Trade	Sweep Activity	8	Incoming	SBY
B_A	Trade Allocation	Trades	4	Sells	SL
B_B	Sweep Buy	Trades	4	Buys	BY
B_D	Direct Trade
B_DEPOSIT_SWEEP	Sweep Buy	Trades	4	Buys	BY
B_MT	Trade	Sweep Activity	8	Incoming	SBY
B_P	Paper Trade	Corporate Actions	7	Other	OHR
B_R	Reinvestments	Trades	4	Buys	BY
B_W	Window Trade	Trades	4	Reinvestments	REINV
BBX	Trade: Buy Vs Box	Sweep Activity	8	Incoming	SBY
BC	Trade: Buy to Cover
BNKRT	Bankruptcy	Trades	4	Buys	BY
CADJ	Credit Adjustment	Trades	4	Buys	BY
CADJR	Cash Adj. Receipt
CADJW	Cash Adj. Withdrawal
CB	Trade: Buy to Close
CDEP	Deposit
CDEP_ADMIN	Manual Fee Upload - Admin	Deposits	1	Miscellaneous Deposits	DMISC
CDEP_BKUP	W9 Withholding	Expenses	6	Fee Refunds	RRF
CDEP_BPAY	Bill Pay	Expenses	6	Fee Refunds	RRF
CDEP_CIR	Check Deposit	Deposits	1	Miscellaneous Deposits	DMISC
CDEP_CKCL	Incoming Check Return	Deposits	1	Checks	ICK
CDEP_CKDP	Incoming Check	Deposits	1	Checks	ICK
CDEP_CKPX	Check Deposit	Deposits	1	Checks	ICK
CDEP_CKRT	Incoming Check Return	Deposits	1	Checks	ICK
CDEP_CONVBALDEP	Cash Transfer In	Deposits	1	Checks	ICK
CDEP_DBPF	Designated Beneficiary Plan Fe	Transfers	3	Internal Transfer - Incoming	TRI
CDEP_DCARR	Debit Card Return	Expenses	6	Fee Refunds	RRF
CDEP_DIVFT	Dividend Foreign Tax Withheld	Deposits	1	Debit Card Activity	IDC
CDEP_DIVFTCGL	LT Capital Gains Foreign Tax W	Expenses	6	Tax Withheld Activity	WITH
CDEP_DIVFTCGS	ST Capital Gains Foreign Tax W	Expenses	6	Fee Refunds	RRF
CDEP_DIVFTRCAPPRO	Return of Cap Foreign Tax With	Expenses	6	Fee Refunds	RRF
CDEP_DIVTW	Dividend Domestic Tax Withheld	Expenses	6	Tax Withheld Activity	WITH
CDEP_DM	Miscellaneous Deposit	Expenses	6	Tax Withheld Activity	WITH
CDEP_EDP	Incoming ACH	Deposits	1	Miscellaneous Deposits	DMISC
CDEP_EWD	Incoming ACH Return	Deposits	1	ACH	IACH
CDEP_FEE01	Express Mail Fee	Deposits	1	ACH	IACH
CDEP_FEE02	Wire Transfer Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE03	Certificate Delivery Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE04	Late Trade Settlement Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE05	Physical Corporate Action Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE06	Returned Check/ACH Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE07	NSF Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE08	Stop Payment Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE09	Check Copy Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE10	Research Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE11	Restricted Securities Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE12	DTC Transfer Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE13	Check Reorder Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE14	Account Closing Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE15	Voluntary Corporate Action Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE16	Misc Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE17	Securities Transfer Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE18	Securities Transfer Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE19	Cash Transfer Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE20	Broker Assisted Trade Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE21	Check Processing Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE22	Acat Transfer Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE23	Paper Statement Fee - Advisor	Expenses	6	Fee Refunds	RRF
CDEP_FEE25	Charge off Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE26	QR fee w/o	Expenses	6	Fee Refunds	RRF
CDEP_FEE27	Mutual Fund Redemption Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE28	IRA Maintenance Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE29	Waived Incoming Transfer Fees	Expenses	6	Fee Refunds	RRF
CDEP_FEE30	Inactivity Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE31	ADR Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE32	Invalid Email Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE33	Model Management Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE34	Fixed Income Fee - Advisor	Expenses	6	Fee Refunds	RRF
CDEP_FEE35	Fixed Income Fee	Expenses	6	Fee Refunds	RRF
CDEP_FEE36	Closed Account - Residual Balance Fee	Expenses	6	Fee Refunds	RRF
CDEP_IACTIN	Cash Transfer In	Expenses	6	Fee Refunds	RRF
CDEP_IAFEE01	Advisory Fee	Transfers	3	Internal Transfer - Incoming	TRI
CDEP_IAFEE02	Fee	Expenses	6	Fee Refunds	RRF
CDEP_IAFEE03	Custody and Clearing Fee	Expenses	6	Fee Refunds	RRF
CDEP_IIWD	Incoming International Wire	Expenses	6	Administrative Fees	FADM
CDEP_INT	Interest	Deposits	1	Wires	IWIRE
CDEP_LFE	Low Balance Fee	Income	5	Interest	ITS
CDEP_LTCG	Dividend - Long Term Capital Gain	Expenses	6	Fee Refunds	RRF
CDEP_MANAGE	Manual Fee Upload - Management	Income	5	Capital Gains	CGD
CDEP_MGJN	Cash Transfer In	Expenses	6	Fee Refunds	RRF
CDEP_MINT	Reversal -Margin Interest	Transfers	3	Internal Transfer - Incoming	TRI
CDEP_SITX	Reversal of State Tax Witholding	Expenses	6	Interest Paid	INTM
CDEP_STCG	Dividend - Short Term Capital Gain	Expenses	6	Tax Withheld Activity	WITH
CDEP_TEND	Tender	Income	5	Capital Gains	CGD
CDEP_TRDP	Cash Transfer In	Corporate Actions	7	Other	OHR
CDEP_WIRE	Incoming Domestic Wire	Transfers	3	Internal Transfer - Incoming	TRI
CDEP_WIRT	Incoming Wire Return	Deposits	1	Wires	IWIRE
CDIR_CDI	Dividend	Deposits	1	Wires	IWIRE
CDIR_CDIR	Dividend
CDMF	Cash Credit	Income	5	Dividends	DI
CDMF_ADMIN	Fee Credit - Admin	Expenses	6	Administrative Fees	FADM
CDMF_MANAGE	Management Fee Credit	Expenses	6	Investment Management Fees	FIM
CGDLT_CGDLT	Capital Gain Distribution	Income	5	Capital Gains	CGD
CGDST_CGDST	Capital Gain Distribution	Income	5	Capital Gains	CGD
CIL	Cash-In-Lieu of Fractional Shares	Corporate Actions	7	Other	OHR
CLQ_CLQ	Cash Distribution	Income	5	Cash Liquidations	CL
CLQF_CLQF	Cash Distribution	Income	5	Cash Liquidations	CL
CLTW	Withdrawal	Withdrawals	2	Miscellaneous Withdrawals	WMISC
CLTW_ADMIN	Admin - Admin Fee
CLTW_BKUP	Withholding Tax	Expenses	6	Tax Withheld Activity	WITH
CLTW_CHK	Outgoing Check	Withdrawals	2	Checks	OCK
CLTW_CIK	Outgoing Check	Withdrawals	2	Checks	OCK
CLTW_CKCL	Outgoing Check	Withdrawals	2	Checks	OCK
CLTW_CKRT	Check Returned	Withdrawals	2	Checks	OCK
CLTW_DBPF	Designated Beneficiary Plan Fe	Expenses	6	Administrative Fees	FADM
CLTW_DCARD	Debit Card	Withdrawals	2	Debit Card Activity	ODC
CLTW_DIVFT	Dividend Foreign Tax Withheld	Expenses	6	Tax Withheld Activity	WITH
CLTW_DIVFTCGL	LT Capital Gains Foreign Tax W	Expenses	6	Trading Expenses	FTE
CLTW_DIVFTCGS	ST Capital Gains Foreign Tax W	Expenses	6	Trading Expenses	FTE
CLTW_DIVFTRCAPPRO	Return of Cap Foreign Tax With	Expenses	6	Tax Withheld Activity	WITH
CLTW_DIVTW	Dividend Domestic Tax Withheld	Expenses	6	Tax Withheld Activity	WITH
CLTW_EDP	Outgoing ACH Return	Withdrawals	2	ACH	OACH
CLTW_EWD	Outgoing ACH	Withdrawals	2	ACH	OACH
CLTW_FEE01	Express Mail Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE02	Wire Transfer Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE03	Certificate Delivery Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE04	Late Trade Settlement Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE05	Physical Corporate Action Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE06	Returned Check/ACH Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE07	NSF Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE08	Stop Payment Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE09	Check Copy Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE10	Research Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE11	Restricted Securities Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE12	DTC Transfer Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE13	Check Reorder Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE14	Account Closing Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE15	Voluntary Corporate Action Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE16	Misc Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE17	Securities Transfer Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE18	Securities Transfer Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE19	Cash Transfer Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE20	Broker Assisted Trade Fee	Expenses	6	Trading Expenses	FTE
CLTW_FEE21	Check Processing Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE22	Acat Transfer Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE23	Paper Statement Fee - Advisor	Expenses	6	Administrative Fees	FADM
CLTW_FEE25	Charge off Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE26	QR fee w/o	Expenses	6	Administrative Fees	FADM
CLTW_FEE27	Mutual Fund Redemption Fee	Expenses	6	Trading Expenses	FTE
CLTW_FEE28	IRA Maintenance Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE29	Waived Incoming Transfer Fees	Expenses	6	Administrative Fees	FADM
CLTW_FEE30	Inactivity Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE31	ADR Fee	Expenses	6	Trading Expenses	FTE
CLTW_FEE32	Invalid Email Fee	Expenses	6	Administrative Fees	FADM
CLTW_FEE33	Management Fee	Expenses	6	Investment Management Fees	FIM
CLTW_FEE34	Admin - Fixed Income Fee
CLTW_FEE35	Admin - Fixed Income Fee
CLTW_FEE36	Admin - Closed Account - Residual Balance Fee
CLTW_IACTOUT	Cash Transfer Out	Transfers	3	Internal Transfer - Outgoing	TRO
CLTW_IAFEE01	Management - Advisory Fee
CLTW_IAFEE02	Trading - Foliofn Fee
CLTW_IAFEE03	Admin - Custody and Clearing Fee
CLTW_ITX	Withholding Tax	Expenses	6	Tax Withheld Activity	WITH
CLTW_LFE	Low Balance Fee	Expenses	6	Administrative Fees	FADM
CLTW_MANAGE	Management - Advisory Fee
CLTW_MGJN	Cash Transfer Out	Transfers	3	Internal Transfer - Outgoing	TRO
CLTW_MINT	Margin Interest	Expenses	6	Interest Paid	INTM
CLTW_OIWD	Outgoing International Wire	Withdrawals	2	Wires	OWIRE
CLTW_RIGHT	Pending Rights	Corporate Actions	7	Other	OHR
CLTW_SITX	Withholding Tax	Expenses	6	Tax Withheld Activity	WITH
CLTW_TEND	Tender	Corporate Actions	7	Other	OHR
CLTW_TRWD	Cash Transfer Out	Transfers	3	Internal Transfer - Outgoing	TRO
CLTW_WIRE	Outgoing Domestic Wire	Withdrawals	2	Wires	OWIRE
CLTW_WIRO	Outgoing Wire	Withdrawals	2	Wires	OWIRE
CLTW_WIRT	Outgoing Wire Return	Withdrawals	2	Wires	OWIRE
CLTW_WM	Miscellaneous Withdrawal	Withdrawals	2	Miscellaneous Withdrawals	WMISC
CNSNT	Client Consent	Corporate Actions	7	Other	OHR
CNSNT	Reimbursement for Consent Election	Income	5	Interest	ITS
COMDEP	Commission Deposit
CONV	Reorg - Shares Added	Corporate Actions	7	Reorg	REOG
CONV	Reorg - Shares Removed	Corporate Actions	7	Reorg	REOG
CS	Trade: Sell to Close
CSD	Cash Disbursement
CSR	Cash Receipt
CSR05	Cash Receipt
CSR10	Cash Receipt
DAUC	Dutch Auction	Corporate Actions	7	Other	OHR
DEL	Delivery
DELMRGN	Deliver Vs Payment (Margin)
DFSMT	Defeasement
DIV	Dividend	Income	5	Dividends	DI
DIVCGL	Dividend - Long Term Capital Gain	Income	5	Capital Gains	CGD
DIVCGS	Dividend - Short Term Capital Gain	Income	5	Capital Gains	CGD
DIVFEE	Dividend Fee Withheld	Expenses	6	Trading Expenses	FTE
DIVFT	Dividend - Foreign Tax Withheld	Expenses	6	Tax Withheld Activity	WITH
DIVNRA	Dividend - NRA Tax Withheld	Expenses	6	Tax Withheld Activity	WITH
DIVROC	Dividend - Return of Capital	Income	5	Return of Capital	ROC
DIVSUBBRW	Dividend	Income	5	Dividends	DI
DIVSUBLN	Dividend	Income	5	Dividends	DI
DIVTW	Dividend Adjustment (Tefra Withheld)	Expenses	6	Trading Expenses	FTE
DIVTXEX	Dividend - Tax Exempt	Income	5	Dividends	DI
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	Transfers	3	Internal Transfer - Outgoing	TRO
DWACR	DWAC Receive	Transfers	3	Internal Transfer - Incoming	TRI
ELMGR_MER	Election Merger	Corporate Actions	7	Mergers & Acquisitions	MGE
EXNI_EXNI	Exchange	Corporate Actions	7	Exchanges	EX
EXNO_EXNO	Exchange	Corporate Actions	7	Exchanges	EX
EXOF	Exchange Offer	Corporate Actions	7	Exchanges	EX
EXTI_EXTI	Exchange	Corporate Actions	7	Exchanges	EX
EXTO_EXTO	Exchange	Corporate Actions	7	Exchanges	EX
FATCAT	FACTCA Withholding	Withdrawals	2	Miscellaneous Withdrawals	WMISC
FI_COUP	Coupon Payment	Income	5	Interest	ITS
FI_INT	Fixed Income Interest	Income	5	Interest	ITS
FI_INT_ADJ	FI Interest Adjustment	Income	5	Interest	ITS
FI_PRIN	Principal Payment	Lifecycle Events	9	Principal	PRI
FI_PRN_ADJ	Principal Payment Adjustment	Lifecycle Events	9	Principal	PRI
FIMAT	Fixed Income Maturity	Lifecycle Events	9	Fixed Income Events	FIE
FTD	Fail to Deliver
FTR	Fail to Receive
FULCL	Early Call / Full Call	Lifecycle Events	9	Fixed Income Events	FIE
IADJ	Income Adjustment	Income	5	Interest	ITS
IADJ_DIV	Interest	Income	5	Interest	ITS
IADJ_DIVD	Dividend	Income	5	Dividends	DI
IADJ_FEE31	ADR Fee	Expenses	6	Trading Expenses	FTE
IADJ_LEGAL	Legal	Corporate Actions	7	Other	OHR
IADJ_LTCG	Dividend - Long Term Capital Gain	Income	5	Capital Gains	CGD
IADJ_MDIVD	Dividend	Income	5	Dividends	DI
IADJ_MERG	Merger	Corporate Actions	7	Mergers & Acquisitions	MGE
IADJ_PCALL	Call	Lifecycle Events	9	Fixed Income Events	FIE
IADJ_RCAPM	Return of Capital	Income	5	Return of Capital	ROC
IADJ_STCG	Dividend - Short Term Capital Gain	Income	5	Capital Gains	CGD
IADJ_TAXM	Withholding Tax	Expenses	6	Tax Withheld Activity	WITH
IADJ_TEND	Tender	Corporate Actions	7	Other	OHR
INT	Credit/Margin Interest	Expenses	6	Interest Paid	INTM
INT	Credit/Margin Interest	Expenses	6	Interest Paid	INTM
INTBN	Bond Interest (non-taxable)	Income	5	Interest	ITS
INTBT	Bond Interest (taxable)	Income	5	Interest	ITS
INTNRA	Interest - NRA Tax Withheld	Expenses	6	Trading Expenses	FTE
INTS	Short Credit Interest Rebate
INTTW	Dividend Adjustment (Tefra Withheld)	Expenses	6	Trading Expenses	FTE
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
IRA0025	Death Distrbn -Estate- 1+yrs after death (HAS
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	Cash Credit	Expenses	6	Administrative Fees	FADM
JNLMRGN	Journal Vs Pymt (Margin)
JNLS	Corporate Action Adjustment	Corporate Actions	7	Other	OHR
LMRK	Loan Mark (StkBrw&Loan)
LQDTN	Liquidation	Corporate Actions	7	Other	OHR
LTCAL	Early Lottery Call	Lifecycle Events	9	Fixed Income Events	FIE
MA	Merger or Acquisition	Corporate Actions	7	Exchanges	EX
MA	Merger or Acquisition	Corporate Actions	7	Exchanges	EX
MAC	Merger or Acquisition - Cash	Corporate Actions	7	Mergers & Acquisitions	MGE
MAS	Merger or Acquisition - Security	Corporate Actions	7	Mergers & Acquisitions	MGE
MAS	Merger or Acquisition - Security	Corporate Actions	7	Mergers & Acquisitions	MGE
MER_MER	Merger	Corporate Actions	7	Mergers & Acquisitions	MGE
MFCONV	Mutual Fund Share Class Exchange	Corporate Actions	7	Exchanges	EX
MFCONV_MFMAN	Mutual Fund Share Class Exchange	Corporate Actions	7	Exchanges	EX
MFCONV_MFVOL	Mutual Fund Share Class Exchange	Corporate Actions	7	Administrative Fees	EX
MFEEI_ADMIN	Fee	Expenses	6	Administrative Fees	FADM
MFEEI_BKUP	W9 Withholding	Expenses	6	Trading Expenses	FTE
MFEEI_DBPF	Designated Beneficiary Plan Fe	Expenses	6	Administrative Fees	FADM
MFEEI_DIVFT	Dividend Foreign Tax Withheld	Expenses	6	Tax Withheld Activity	WITH
MFEEI_DIVFTCGL	LT Capital Gains Foreign Tax W	Expenses	6	Trading Expenses	FTE
MFEEI_DIVFTCGS	ST Capital Gains Foreign Tax W	Expenses	6	Trading Expenses	FTE
MFEEI_DIVFTRCAPPRO	Return of Cap Foreign Tax With	Expenses	6	Tax Withheld Activity	WITH
MFEEI_DIVTW	Dividend Domestic Tax Withheld	Expenses	6	Tax Withheld Activity	WITH
MFEEI_FEE01	Express Mail Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE02	Wire Transfer Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE03	Certificate Delivery Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE04	Late Trade Settlement Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE05	Physical Corporate Action Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE06	Returned Check/ACH Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE07	NSF Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE08	Stop Payment Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE09	Check Copy Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE10	Research Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE11	Restricted Securities Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE12	DTC Transfer Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE13	Check Reorder Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE14	Account Closing Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE15	Voluntary Corporate Action Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE16	Misc Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE17	Securities Transfer Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE18	Securities Transfer Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE19	Cash Transfer Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE20	Broker Assisted Trade Fee	Expenses	6	Trading Expenses	FTE
MFEEI_FEE21	Check Processing Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE22	Acat Transfer Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE23	Paper Statement Fee - Advisor	Expenses	6	Administrative Fees	FADM
MFEEI_FEE25	Charge off Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE26	QR fee w/o	Expenses	6	Administrative Fees	FADM
MFEEI_FEE27	Mutual Fund Redemption Fee	Expenses	6	Trading Expenses	FTE
MFEEI_FEE28	IRA Maintenance Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE29	Waived Incoming Transfer Fees	Expenses	6	Administrative Fees	FADM
MFEEI_FEE30	Inactivity Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE31	ADR Fee	Expenses	6	Trading Expenses	FTE
MFEEI_FEE32	Invalid Email Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE33	Management Fee	Expenses	6	Investment Management Fees	FIM
MFEEI_FEE34	Management Fee	Expenses	6	Investment Management Fees	FIM
MFEEI_FEE35	Fixed Income Fee	Expenses	6	Administrative Fees	FADM
MFEEI_FEE36	Closed Account - Residual Balance Fee	Expenses	6	Administrative Fees	FADM
MFEEI_IAFEE01	Management Fee	Expenses	6	Investment Management Fees	FIM
MFEEI_IAFEE02	Fee	Expenses	6	Trading Expenses	FTE
MFEEI_IAFEE03	Custody and Clearing Fee	Expenses	6	Administrative Fees	FADM
MFEEI_LFE	Low Balance Fee	Expenses	6	Administrative Fees	FADM
MFEEI_MANAGE	Management Fee	Corporate Actions	7	Name Changes	NMC
NC_NC	Name Change	Corporate Actions	7		NMC
OB	Trade: Buy to Open
ODLOT	Odd Lot	Corporate Actions	7	Other	OHR
OPASN	Equity Buy Leg for Assignment	Lifecycle Events	9	Option Events	OPT
OPASN	Equity Sell Leg for Assignment	Lifecycle Events	9	Option Events	OPT
OPASN	Short Call Option Assignment	Lifecycle Events	9	Option Events	OPT
OPASN	Short Put Option Assignment	Lifecycle Events	9	Option Events	OPT
OPEXP	Long Option Expire	Lifecycle Events	9	Option Events	OPT
OPEXP	Short Option Expire	Lifecycle Events	9	Option Events	OPT
OPXRC	Equity Buy Leg of Exercise	Lifecycle Events	9	Option Events	OPT
OPXRC	Equity Sell Leg of Exercise	Lifecycle Events	9	Option Events	OPT
OPXRC	Long Call Option Exercise	Lifecycle Events	9	Option Events	OPT
OPXRC	Long Put Option Exercise	Lifecycle Events	9	Option Events	OPT
OS	Trade: Sell to Open
PINK	Payment In Kind	Corporate Actions	7	Other	OHR
PL	Profit/Loss
PRCAL	Early Pro-Rata Call
PRFND	Prerefunding	Lifecycle Events	9	Fixed Income Events	FIE
PTC	Pass Thru Charge
PTR	Pass Thru Rebate
PUTBD	Put Bond	Income	5	Return of Capital	ROC
RCAP_RCAP	Return of Capital	Lifecycle Events	9	Fixed Income Events	FIE
RCAPPRO_RCAPPRO	Return of Capital	Income	5	Return of Capital	ROC
RDIV	Dividend Reinvestment	Trades	4	Reinvestments	REINV
REC	Receive
RECMRGN	RecieveVsPymt (Margin)
REDFULL	Full Redemption
REDPART	Partial Redemption	Lifecycle Events	9	Fixed Income Events	FIE
REDPRIN	Principal Redemption	Lifecycle Events	9	Fixed Income Events	FIE
REORG	Reorg - Shares Added	Corporate Actions	7	Reorg	REOG
REORG	Reorg - Shares Removed	Corporate Actions	7	Reorg	REOG
REORG	Reorg - Shares Added	Corporate Actions	7	Other	OHR
REORG	Reorg - Shares Removed	Corporate Actions	7	Other	OHR
REP	REPO
RGTEX	Rights Exercise	Lifecycle Events	9	Equity Events	EE
RND	Unknown
RRP	Rev REPO
RS RS	Miscellaneous Withdrawal	Withdrawals	2	Miscellaneous Withdrawals	WMISC
RTS	Rights Offering Reorg	Corporate Actions	7	Other	OHR
RVP	RVP
RVPB	RVP-PrimeBrk
RVPBC	RVP-PrimeBrk Cleanup
RVPC	RVP Cleanup
RVPR	RVP Reclaim
S	Trade	Trades	4	Sells	SL
S_A	Trade Allocation	Corporate Actions	7	Name Changes	NMC
S_D	Direct Trade
S_LEGAL	Trade	Trades	4	Sells	SL
S_MAN	Trade	Trades	4	Sells	SL
S_MT	Trade	Trades	4	Buys	BY
S_P	Paper Trade	Trades	4	Buys	BY
S_PCALL	Trade	Corporate Actions	7	Stock Splits	SPL
S_RIGHT	Trade
S_S	Sweep Sell	Corporate Actions	7	Stock Splits	SPL
S_TEND	Trade	Trades	4	Sells	SL
S_W	Window Trade	Trades	4	Buys	BY
SBX	Trade: Short Vs Box
SC	Symbol Change	Corporate Actions	7	Other	OHR
SD_SD	Stock Dividend	Trades	4	Buys	BY
SDO	Security Delivery Out	Transfers	3	Internal Transfer - Outgoing	TRO
SDO_CBAD	Capital Balance Adjustment	Transfers	3	Internal Transfer - Outgoing	TRO
SDO_DM	Securities (Transfer)	Transfers	3	Internal Transfer - Outgoing	TRO
SDO_ETRO	Non-ACATS Transfer - Outgoing	Transfers	3	Non-ACATS Transfer	NACAT
SDO_EXCG	Exchange	Corporate Actions	7	Exchanges	EX
SDO_IACTOUT	Internal Transfer - Outgoing	Transfers	3	Internal Transfer - Outgoing	TRO
SDO_ITRO	Transfers Out	Transfers	3	Internal Transfer - Outgoing	TRO
SDO_LEGAL	Legal	Corporate Actions	7	Other	OHR
SDO_MERG	Merger	Corporate Actions	7	Mergers & Acquisitions	MGE
SDO_PCALL	Call	Lifecycle Events	9	Fixed Income Events	FIE
SDO_RSPLIT	Stock Split - Shares Removed	Corporate Actions	7	Stock Splits	SPL
SDO_SADJ	Share Adjustment	Transfers	3	Internal Transfer - Outgoing	TRO
SDO_SDOUT	Stock Dividend	Income	5	Dividends	DI
SDO_SPINO	Stock Spin Off	Corporate Actions	7	Stock Spin Offs	SNO
SDO_TEND	Tender	Income	5	Dividends	DI
SECDEP	Security Deposit
SL	Stock Loan	Trades	4	Sells	SL
SPNI_SPNI	Stock Spin Off	Corporate Actions	7	Stock Spin Offs	SNO
SPNO_SPNO	Stock Spin Off	Corporate Actions	7	Stock Spin Offs	SNO
SPO	Sp. Pymt Order (StkBrw&Loan)
SPREALIGN	Security Position Realignment
SPTI_SPTI	Stock Spin Off	Corporate Actions	7	Stock Spin Offs	SNO
SPTO_SPTO	Stock Spin Off	Corporate Actions	7	Stock Spin Offs	SNO
SRI	Security Receive In	Transfers	3	Internal Transfer - Incoming	TRI
SRI_CBAD	Capital Balance Adjustment	Transfers	3	Internal Transfer - Incoming	TRI
SRI_DM	Securities (Transfer)	Transfers	3	Internal Transfer - Incoming	TRI
SRI_ETRI	Non-ACATS Transfer - Incoming	Transfers	3	Non-ACATS Transfer	NACAT
SRI_EXCG	Exchange	Corporate Actions	7	Exchanges	EX
SRI_FSPLIT	Stock Split - Shares Added	Trades	4	Sells	SL
SRI_IACTIN	Internal Transfer - Incoming	Transfers	3	Internal Transfer - Incoming	TRI
SRI_ITRI	Transfers In	Transfers	3	Internal Transfer - Incoming	TRI
SRI_LEGAL	Legal	Corporate Actions	7	Other	OHR
SRI_MERG	Merger	Corporate Actions	7	Mergers & Acquisitions	MGE
SRI_PCALL	Call	Lifecycle Events	9	Fixed Income Events	FIE
SRI_RDIV	Dividend Reinvestment	Income	5	Dividends	DI
SRI_RDIVLTCG	Dividend Reinvestment	Income	5	Dividends	DI
SRI_RDIVSTCG	Dividend Reinvestment	Income	5	Dividends	DI
SRI_SADJ	Share Adjustment	Transfers	3	Internal Transfer - Incoming	TRI
SRI_SDIN	Stock Dividend	Income	5	Dividends	DI
SRI_SPINI	Stock Spin Off	Corporate Actions	7	Stock Spin Offs	SNO
SRI_TEND	Tender	Corporate Actions	7	Other	OHR
SS	Trade	Sweep Activity	8	Outgoing	SSL
SS_FSS	Stock Split - Shares Added	Corporate Actions	7	Stock Splits	SPL
SS_RSS	Stock Split - Shares Removed	Corporate Actions	7	Stock Splits	SPL
SSO	Stock Spin Off	Corporate Actions	7	Stock Spin Offs	SNO
SSO	Stock Spin Off	Corporate Actions	7	Stock Spin Offs	SNO
SSP	Stock Split - Shares Added	Corporate Actions	7	Stock Splits	SPL
SSP	Stock Split - Shares Removed	Corporate Actions	7	Stock Splits	SPL
SSPF	Stock Split - Shares Added	Corporate Actions	7	Stock Splits	SPL
SSPF	Stock Split - Shares Removed	Corporate Actions	7	Stock Splits	SPL
SSPR	Stock Split - Shares Added	Corporate Actions	7	Stock Splits	SPL
SSPR	Stock Split - Shares Removed	Trades	4	Sells	BY
TENDR	Tender	Corporate Actions	7	Other	OHR
TRD_CAPC	Capital Call	Trades	4	Buys	BY
TRD_PRCH	Purchase	Trades	4	Buys	BY
TRD_RED	Redemption	Trades	4	Sells	SL
TSDO_TSDO	Securities (Transfer)	Transfers	3	Internal Transfer - Outgoing	TRO
TSRI_TSRI	Securities (Transfer)	Transfers	3	Internal Transfer - Incoming	TRI
UNITSEP	Unit Separation	Corporate Actions	7	Other	OHR
UNRS_UNRS	Miscellaneous Deposit	Deposits	1	Miscellaneous Deposits	DMISC
VOLUN	Voluntary Reorg	Corporate Actions	7	Other	OHR
WIREI	Wire In
WIREO	Wire Out
WNTEX	Warrants Exercise	Lifecycle Events	9	Equity Events	EE
WOFF_WOF	Misc. Withdrawal
WOFF_WOFF	Miscellaneous Withdrawal	Withdrawals	2	Miscellaneous Withdrawals	WMISC
WTS	Warrants Reorg	Corporate Actions	7	Other	OHR
XJNL	Exception Journals
XSDO	Exch. Security Delivery Out	Transfers	3	Internal Transfer - Outgoing	TRO
XSDO_MAN	Non-ACATS Transfer - Outgoing	Transfers	3	Non-ACATS Transfer	NACAT
XSDO_XSDO	Non-ACATS Transfer - Outgoing	Transfers	3	Non-ACATS Transfer	NACAT
XSRI	Non-ACATS Transfer - Incoming	Transfers	3	Non-ACATS Transfer	NACAT
XSRI_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
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
O	Options

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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