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  • A Tour of IFT Access

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    IFT Access allows Distributors to submit brokerage identification number (BIN) or representative of record (REP) changes. Click the image to launch this video tour. Watch from start to finish or use navigation tabs to select topic.
  • A Tour of LNA Access

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    LNA Access enables distributors to submit licensing and appointment requests and producer information transactions. Watch from start to finish or use navigation tabs to select a topic. Click the image to launch the presentation.
  • Requesting Information from Profile

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
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  • Record Types

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
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  • Distribution Declaration Database Process Flow Example

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
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  • About Matrix Level Controls

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Networking
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  • Firm or Trust Company Capabilities - Account Maintenance

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Networking
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  • Dividend Privileges

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Networking
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  • Shareholder Privileges

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Networking
    0.00 ( 0 votes )
  • Participant Database

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
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  • Record Types

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
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  • Participant Database Process Flow Example

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
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  • How will price corrections be reflected for batch clients when multiple corrections are submitted for the same Security Issue ID in different cycles?

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
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  • How will price corrections be reflected for batch clients when multiple corrections are submitted for the same Security Issue ID within the same cycle (with the exception of Cycle 98 – the final cycle)?

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
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  • How will price corrections be handled for MQ data recipients?

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
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  • How will price corrections be reflected for batch clients when multiple corrections are submitted for the same Security Issue ID within the Cycle 98 (the final cycle)?

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
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  • Will the 98 Cycle (the final cycle) of the multi-batch contain everything that has been submitted?

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
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  • Will the 98 Cycle of the single batch contain everything that has been submitted?

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
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  • What are ISO and SWIFT?

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
    0.00 ( 0 votes )
  • Canceling RAD Transactions

    • Settlement
    • Broker/Dealer
    • Bank
    • Settlement Web
    • DTC Settlement Risk Management Controls
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Inventory Management System

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Custodial to Non-Custodial - Sample Message (with Sept 2000 requirement)

This is an XML Sample of a Policy Administration Transaction (TXLife) response message for Broker De ...
In Broker Dealer of Record Change Downloads: 516
pdf
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Processing Rules for Broker Dealer of Record Change: B2B Client Transmission

This guide provides guidelines for building the B2B Policy Administration (TXLife 113) request messa ...
In Broker Dealer of Record Change Downloads: 611
pdf
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Sample Carrier Day 1 Response Message for Broker Dealer of Record Change (Carrier Accepted for Further Processing)

This is an XML Sample of a Policy Administration Transaction (TXLife) response message for Broker De ...
In Broker Dealer of Record Change Downloads: 450
pdf
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Sample Carrier Day 1 Response Message for Broker Dealer of Record Change (Carrier Reject for Business Reason)

This is an XML Sample of a Policy Administration Transaction (TXLife) response message for Broker De ...
In Broker Dealer of Record Change Downloads: 492
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CTM UI Product Release Information: UI 4.0 Release 13 (2020)

In User Interface 4.0 Downloads: 750
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MTU Service Description

This document provides an overview of the Margin Transit Utility (MTU) services and onboarding proce ...
In General Downloads: 8169
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CTM: FIX 4.4 Interface Message Specification: Broker/Dealers (Legacy)

Describes the legacy, query-response FIX 4.4 interface for broker/dealers using the CTM service. ...
In Financial Information eXchange (FIX) Downloads: 5932
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CTM: MTI Batch Scheduler: Broker/Dealers

Describes how to install and configure the batch scheduler to import and export trade information fo ...
In Batch Schedulers Downloads: 4578
archive
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CTM: MTI .DAT Files for Broker/Dealers

The MTI_Transactions.dat and MTI_Records.dat files that describe the format of the import and export ...
In Message Translation Interface (MTI) Downloads: 3200
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Onboarding Guide for CTM Direct with ALERT: Broker/Dealers

Describes the onboarding tasks and timeframes to implement the CTM service using Direct XML with ALE ...
In CTM Onboarding Guides - Brokers Downloads: 1287
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Onboarding Guide for CTM Direct via Event Based Push with ALERT: Broker/Dealers

Describes the onboarding tasks and timeframes to implement the CTM service using Direct via Event Ba ...
In CTM Onboarding Guides - Brokers Downloads: 1342
pdf
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Onboarding Guide for CTM FIX with ALERT: Broker/Dealers

Describes the onboarding tasks and timeframes to implement the CTM service using Financial Informati ...
In CTM Onboarding Guides - Brokers Downloads: 1436
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Onboarding Guide for CTM Manual Interface with ALERT: Broker/Dealers

Describes the onboarding tasks and timeframes to implement the CTM service to use the Manual User In ...
In CTM Onboarding Guides - Brokers Downloads: 1472
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Onboarding Guide for CTM MTI with ALERT: Broker/Dealers

Describes the onboarding tasks and timeframes to implement the CTM service using MTI (Message Transl ...
In CTM Onboarding Guides - Brokers Downloads: 1585
pdf
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Trade Blotter Reference: Broker/Dealers

Topics for broker/dealers to view, create, and manage trades. ...
In User Interface 3.0 (Trade Blotter) Downloads: 8165
pdf
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CTM Broker/Dealer Manual Entry Job Aid

Provides step-by-step instructions for manual brokers entering block and confirmation messages. ...
In User Interface 3.0 (Trade Blotter) Downloads: 2597
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Webinar Q&A: Processing US Fixed Income Trades via CTM

Provides the Q&A content related to the webinar held on 22 October 2019. ...
In US-Specific Best Practices Downloads: 1477
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CTM: MTI Specification: Debt/Equity for Broker/Dealers

A detailed specification of the CTM message translation interface for broker/dealers. ...
In Message Translation Interface (MTI) Downloads: 8214
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CTM: Match Advisor: Overview and Implementation Guide

Describes CTM Match Advisor, which addresses block shaping issues encountered by investment managers ...
In General Downloads: 993

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