Accessing Participant Information

The Participant Master Inquiry function allows you to research participant information. You can determine whether a participant is set up as a broker, bank, or mutual fund as well as view their eligible settling locations or fund registration instructions.

Note

You can access the Participant Master Inquiry page from many pages within ACATS by clicking the Receiver or Deliverer link.

To access the Participant Master Inquiry search page:

1. From the ACATS Home Page, click Participant Master Inquiry.

   ACATS Home Page: Participant Master Inquiry

   The Participant Master Inquiry page appears.

   Participant Master Inquiry page

2. In the Participant Number field, type or select from the drop-down list the four-digit participant number to search for the participant, and click Search.

   The Participant Master Inquiry page populates with the participant information.

   Participant Master Inquiry

   Note

   Firms researching other participant numbers cannot view certain data elements, such as tax ID numbers and participant fund registration instructions, from this page.

Participant Master Inquiry Field Definitions

Field definitions are listed in the order as they appear, grouped by categories. The following table shows the field definitions available from the Search Criteria and Search Results sections of the
Participant Master Inquiry page.

Participant Master Inquiry - Search Criteria and Search Results Field Definitions

Field	Description
Participant Number	Type the four-digit NSCC account number of the participant.
Description	Description of the NSCC account number of the participant.

The following table shows the field definitions available from the Participant Information section of the Participant Master Inquiry page.

Participant Master Inquiry - Participant Information Field Definitions

Field	Description
Participant Type	Type of ACATS participant.
TIF Block Indicator
Participant Tax ID	Tax identifier of the ACATS participant.
SRO Code	Self-regulatory organization code.
Cost Basis Indicator	Cost basis method that the receiving firm wants the fund to use when handling liquidations.
Cost Basis Effective Date	Date the cost basis method goes into effect.

The following table shows the field definitions available from the Participant Settling Information section of the Participant Master Inquiry page.

Participant Master Inquiry - Participant Settling Information Field Definitions

Field	Description
Organization Number	Number identifying the organization.
Organization Name	Name of the organization.
Initiation Number	Four-digit NSCC account number.
Deliverer Block Indicator	Determines whether ACATS automatically creates a file to send to DTC with the deliver orders for the non-CNS DTC eligible assets in the transfers settling on that day (known as the Auto DO file). Valid values are: Y–Yes, block the Auto DO file. ACATS does not create the Auto DO file for a firm who has a Y value in this indicator. N–No, do not block the Auto DO file. ACATS automatically creates the Auto DO file for a firm who has an N value in this indicator.
Receiver Block Indicator	Determines whether ACATS automatically creates a file to send to DTC with the receiver orders for the non-CNS DTC eligible assets in the transfers settling on that day (known as the Auto DO file). Valid values are: Y: Yes, block the Auto DO file. ACATS does not create the Auto DO file for a firm who has a Y value in this indicator. N: No, do not block the Auto DO file. ACATS automatically creates the Auto DO file for a firm who has an N value in this indicator.
Start Date	Start date, in MM/DD/CCYY format.
End Date	End date, in MM/DD/CCYY format

The following table shows the field definitions available from the Participant Fund Registration Instructions section of the Participant Master Inquiry page.

Participant Master Inquiry - Participant Fund Registration Instructions Field Definitions

Field	Description
Network Control Indicators	Identifies the networking level of the account.
Dividend Code	Identifies how dividends, long-term capital gains, and short-term capital gains are applied to an account. Appears in the asset transfer (AT) input record and the ACATS Mutual Fund Registration (FR) record.
Firm Membership Indicator	Optionally, select the type of account that is being delivered from the following options:. Broker 01 - Trust
Customer Account Prefix	Title, such as Mr. or Mrs., which precedes the customer's name.
Customer Account Suffix	Title, such as Esq. or Ph.D., which follows the customer's name.
Customer Zip Code	Zip code of the customer.
Customer Name/Address 5	Name and address of the customer.
Customer Name/Address 6	Continued address of the customer.