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					000 - NSCC Output Header
001 - Firm Order
002 - Fund Order
003 – Firm Acknowledgement of Fund Order
004 – Firm Reject of Fund Order
005 – Fund Acknowledgement of Firm Order
006 – Fund Reject of Firm Order
007 – Confirmation
008 – Correction
009 - Firm Exit of Order
010 - Fund Exit of Order
011 – Firm Order with Registration
012 – Fund Order with Registration


015 – Firm Exchange
016 – Fund Exchange
018 - Fund Confirmation of Exchange


025 - Registration
026 - Registration Acknowledgement
027 - Registration Reject


030 – Payment
031 – Payment Acknowledgement
032 – Prepaid Firm Order
036 - Fund Acknowledgement of Prepaid Order
037 - Fund Reject of Prepaid Order
038 - Firm Exit of Prepaid Order
040 – Prepaid Order Confirmation
041 – Prepaid Order Correction
042 – Contract Note
043 - Prepaid Firm Order with Registration


050 – Activity and Distribution
051 – Commission
052 – Position
053 - Account Maintenance
054 – Activity Acknowledgement
055 – Activity Reject
056 – Activity Confirmation


060 –   Valuation

061 - Security General
062 - Security Announcement
063 - Security Contact
064 – Security Profile Request
065 – Security Profile Request Acknowledgement
066 – Security Profile Request Reject
067 – Position Schedule Request
068 – Position Schedule Request Acknowledgement
069 – Position Schedule Request Reject
070 - Settlement Detail
071 - Settlement Trailer
072 - Settlement Grand Total Trailer


080 - Pending Registration
081 - Pending Registration Acknowledgement
082 - Pending Order Acknowledgement from Firm
083 - Pending Order Acknowledgement from Fund
084 - Pending Exchange Confirmation
085 – Pending Order Confirmation
086 - Pending Firm Order
087 - Order Settlement Date differ from Security Announcement
      (This reminder is sent once when fund changes Security Announcement Settlement Date, for every order for that security
      with Settlement Date different than the one on the Announcement)
088 - Pending Fund Order


090 = Firm Documentation
091 = Documentation Acknowledgement by Firm
092 = Documentation Reject by Firm
093 = Fund Documentation
094 = Documentation Acknowledgement by Fund
095 = Documentation Reject by Fund


100 - Pending Payment Acknowledgement
101 - Pending Prepaid Order Acknowledgement from Firm
102 - Pending Prepaid Order Acknowledgement from Fund
103 - Pending Prepaid Order Confirmation
104 - Pending Activity Acknowledgement
105 - Pending Activity Confirmation
106 – Pending Security Profile Request Acknowledgement
107 - Pending Prepaid Order
108 - Pending Contract Note
109 - Pending Position Schedule Request Acknowledgement
110 - Broadcast Message For The Security Records Update



999 – NSCC Output Trailer
rder for that security
                                                                                                   Security Gen Profile



                                                                                                                                                                                                     Reject
                                                                                                            Values                                               Definition                                       Reject Code Definition
                         Field Name          Start   End   Length   Type   Opt/Req                                                                                                                   Code
                       Record Length          1       4      4       N       R                                                                                                                       0001       Record Length missing/invalid
                       Originator Type        5       5      1      A/N      R       F = Fund                                                                                                        0002       Originator Type missing/invalid
                                                                                     Space= All recipients;
                                                                                                                                                The NSCC ID of the broker dealer firm or the
                                                                                     Otherwise, enter Participant Number to indicate                                                                 0167      Recipient Number missing/invalid
                                                                                                                                                             custodian firm.
                   Recipient Number           6      13      8      A/N      OC      specific Recipient
                    Fund Number               14     21      8      A/N      R                                                                      The NSCC ID of the Fund Company.                 0004        Fund Number missing/invalid
                     Record Type              22     24      3      A/N      R       061 = Security General                                                                                          0005        Record Type missing/invalid

                                                                                     ppppppppnnnnnnnn
                                                                                     Where:
                                                                                     pppppppp = Fund Number
                                                                                     nnnnnnnn = Unique sequential number assigned by
                                                                                     NSCC
                                                                                     This field will be used on orders to identify the        The NSCC Security Issue Number was issued
                                                                                     Security Issue.                                          when the initial Security General Profile and/or                  NSCC Security Issue Number
                                                                                                                                                                                                     0006
                                                                                     Note: When introducing a new Security Issue, this       Security Announcement record was received from                          missing/invalid
                                                                                     field should be blank (Space). It will then be                               the firm.
                                                                                     generated by NSCC for the new Security Issue. For
                                                                                     subsequent submissions of this record (to update
                                                                                     existing Security Issue), this field may be populated
                                                                                     with the value created initially by NSCC

              NSCC Security Issue Number      25     40      16     A/N      O
                                                                                     Note: When introducing a new Security Issue, this       Sidepockets are created to designate a portion of
                                                                                     field should be blank (Space). It will then be          the portfolio illiquid and exempt from any offerings
                                                                                                                                                                                                     0343            Sidepocket ID invalid
                                                                                     generated by NSCC for the new Security Issue when                           or redemptions.
                  NSCC Sidepocket ID          41     43      3      A/N      O       Sidepocket ID is introduced.
                                                                                     The class of Shares represented by the Security
                                                                                                                                                    The Funds' designated share class.               0346             Share Class invalid
                         Share Class          44     51      8      A/N      O       Issue Number

                                                                                     Required if NSCC Security Issue Number is blank
                                                                                     1 = ISIN                                                 The NSCC Security Issue Number is the required
                                                                                     2 = SEDOL                                               identifier, but Funds may opt to send this additional   0007          Security Identifier invalid
                                                                                     3 = CUSIP                                                                    information.
                                                                                     4 = Custom
                       Security Identifier    52     52      1      A/N      R
                                                                                                                                              After the initial Security Profile General record is
                                                                                                                                             submitted, the NSCC Security Issue Number is the        0168       Security Class missing/invalid
                  Security Issue Name         53     87      35     A/N      R                                                                                  required identifier.
                                                                                     Required if NSCC Security Issue Number is blank.
                                                                                     Must be 12 bytes, if less than 12 bytes, pad with                                                               0008          Security Issue ID invalid
                       Security Issue ID      88     99      12     A/N      R       zeros.
                                                                                     1=Unitized
                                                                                                                                             Indicates if the Fund is Unitized or Capital Balance    0418      Unitized Indicator missing/invalid
                       Unitized Indicator    100     100     1      A/N      R       2=Capital Balance

                                                                                                                                                Registered Indicator – Registered implies the
                                                                                     1=Registered
                                                                                                                                               instrument is 33 Act Registered Unregistered          0169     Registered Indicator missing/invalid
                                                                                     2=Unregistered
                                                                                                                                              implies the instrument is not 33 Act Registered
                  Registered Indicator       101     101     1      A/N      R
                                                                                     0 or space = Add/ Replace                               Funds can opt to delete an existing Security
                                                                                     1 = Delete                                              Announcement record.                                    0170       Delete Indicator missing/invalid
                       Delete Indicator      102     102     1      A/N      OC




Security Gen Profile                                                                                          5
                                                                                                Security Gen Profile



                                                                                                                                                                                   Reject
                                                                                                        Values                                     Definition                                 Reject Code Definition
                        Field Name        Start   End   Length   Type   Opt/Req                                                                                                    Code
                                                                                  Input: Spaces
                                                                                  Output:
                                                                                                                                                                                   0014      NSCC Reject Indicator invalid
                                                                                  0 = Accepted by NSCC
                 NSCC Reject Indicator    103     103     1      A/N      R       1 = Rejected by NSCC
                                                                                  Input: Spaces
                                                                                                                                                                                   0015       NSCC Reject Code invalid
              NSCC Reject Reason Code 1   104     107     4      A/N      R       Output: Reject code or space
                                                                                  Input: Spaces
                                                                                                                                                                                   0015       NSCC Reject Code invalid
              NSCC Reject Reason Code 2   108     111     4      A/N      R       Output: Reject code or space
                                                                                  Input: Spaces
                                                                                                                                                                                   0015       NSCC Reject Code invalid
              NSCC Reject Reason Code 3   112     115     4      A/N      R       Output: Reject code or space
                                                                                  Input: Spaces
                                                                                                                                                                                   0015       NSCC Reject Code invalid
              NSCC Reject Reason Code 4   116     119     4      A/N      R       Output: Reject code or space
                                                                                  mmddccyy
                                                                                                                                        The date the record is submitted.          0011     Submission Date missing/invalid
                       Submission Date    120     127     8       N       R       Must be equal to the processing date
                                                                                  mmddccyy                                          The effective date of the information in the
                                                                                                                                                                                   0145      Effective Date missing/invalid
                        Effective Date    128     135     8       N       R       Must be greater or equal to the processing date            Announcement record.

                                                                                  01 = Hedge Fund
                                                                                  02 = Fund of Funds
                                                                                  03 = Private Equity Fund
                                                                                  04 = Managed Debt Fund
                                                                                  05 = Private Debt Fund
                                                                                                                                    The security type represented by the Fund.     0198      Security Type missing/invalid
                                                                                  06 = Managed Currency Fund
                                                                                  07 = Commodity Pool Fund
                                                                                  08 = REIT
                                                                                  09 = Managed Future Fund
                                                                                  10 = Other
                        Security Type     136     137     2      A/N      R




Security Gen Profile                                                                                      6
                                                                                                            Security Gen Profile



                                                                                                                                                                                                       Reject
                                                                                                                       Values                                            Definition                                  Reject Code Definition
                       Field Name                  Start   End   Length   Type   Opt/Req                                                                                                               Code
                                                                                           01 = Limited Partnership
                                                                                           02 = US Limited Liability Corp
                                                                                           03 = US S Corp
                                                                                           04 = US C Corp
                                                                                           05 = Cayman Ordinary Resident Company
                                                                                           06 = Cayman Exempted Company
                                                                                           07 = Cayman Ordinary
                                                                                           Nonresident Company
                                                                                           08 = Cayman Limited Duration Exempted Company
                                                                                           09 = Cayman Foreign Company
                                                                                           10 = Cayman Trust
                                                                                           11 = BVI Company Limited by Guarantee, no Shares
                                                                                           12 = BVI Company Limited by Guarantee, may issue Shares
                                                                                           13 = BVI Unlimited Company, no Shares
                                                                                           14 = BVI Unlimited Company, may issue Shares
                                                                                           15 = Bermuda Company Limited by Shares
                                                                                           16 = Bermuda Company Limited by Guarantee
                                                                                           17 = Bermuda Unlimited Liability Company
                                                                                           18 = Luxembourg Public Limited Company (SA)
                                                                                           19 = Luxembourg Private Limited Company (SARL)
                                                                                           20 = Luxembourg Partnership (SNC)
                                                                                                                                                          The legal ownership structure of the Fund.   0314     Ownership Structure missing/invalid
                                                                                           21 = Luxembourg Limited Partnership (SNC)
                                                                                           22 = Luxembourg Cooperative Company (SC)
                                                                                           23 = Irish Private Limited Company
                                                                                           24 = Irish Public Limited Company
                                                                                           25 = Irish Company Limited by Guarantee
                                                                                           26 = Jersey Limited Liability Partnerships
                                                                                           27 = Jersey Public Company
                                                                                           28 = Jersey Private Company
                                                                                           29 = Isle of Man Limited Liability Company
                                                                                           30 = Isle of Man Trust
                                                                                           31 = Mauritius Domestic Company
                                                                                           32 = Mauritius Company holding a Category I Global Business
                                                                                           License
                                                                                           33 = Mauritius Company holding a Category II Global Business
                                                                                           License
                                                                                           34 = Mauritius Societe Commerciale
                                                                                           35 = Mauritius Societe en nom collectif et en commandite
                                                                                           36 = Mauritius Societe Civile
                                                                                           37 = Other
                                                                                           38 = Delaware Business Trust
                   Ownership Structure             138     139     2      A/N      R       39 = Massachusetts Business Trust
                                                                                           0=No
                                                                                                                                                                                                       0350     Segregated Portfolio Company invalid
          Segregated Portfolio Company Indicator   140     140     1      A/N      O       1= Yes




Security Gen Profile                                                                                                     7
                                                                                                    Security Gen Profile



                                                                                                                                                                                      Reject
                                                                                                            Values                              Definition                                           Reject Code Definition
                       Field Name              Start   End   Length   Type   Opt/Req                                                                                                  Code

                                                                                       01-Merger Arbitrage
                                                                                       02-Distressed Securities
                                                                                       03-Activist
                                                                                       04-Macro
                                                                                       05-Global Macro
                                                                                       06-Long/Short
                                                                                       07-Market Neutral
                                                                                       08-Dedicated Short
                                                                                                                                  The investment strategy of the Fund.                0315                 Strategy invalid
                                                                                       09-Fixed Income
                                                                                       10-Equity Hedge
                                                                                       11-Relative Value
                                                                                       12-Event Driven
                                                                                       13-Variable Equity
                                                                                       14-Commodity Trading
                                                                                       15-CTA/Managed Futures
                                                                                       16-Other
                        Strategy               141     142     2      A/N      O
                                                                                       0=No
                                                                                                                              Indicates if the Fund allows NAV purchases.             0316          NAV Eligible Indicator invalid
                  NAV Eligible Indicator       143     143     1      A/N      O       1= Yes

                                                                                                                           (i) the applicable Eligible AIP Product is not subject
                                                                                                                             to any right, charge, security interest, lien or claim
                                                                                                                                of any kind in favor of the Issuer’s designated
                                                                                                                           Record keeper, or any person claiming through the
                                                                                                                             Issuer’s designated Record keeper, except to the
                                                                                                                           extent the Eligible AIP Product would be subject to
                                                                                                                                liquidation in the event that the investor in the
                                                                                                                                    Eligible AIP Product failed to perform its
                                                                                                                           obligations under an agreement with the applicable
                                                                                                                                          Issuer or its principle underwriter;
                                                                                                                           (ii) the applicable Eligible AIP Product is registered
                                                                                                                                with the SEC pursuant to the Securities Act of
                                                                                       0=No                                1933 and/or the Investment Company Act of 1940,
                                                                                                                                                                                      0317     No Lien Acknowledgment missing/invalid
                                                                                       1= Yes                               is exempt from such registration, or is not required
                                                                                                                                                 to be so registered;
                                                                                                                                    (iii) the applicable Eligible AIP Product is
                                                                                                                            registered on the books and records of the Issuer,
                                                                                                                           maintained by its designated Record keeper, in the
                                                                                                                           name of the AIP Custodian for its customer(s); and
                                                                                                                              (iv) in the case of an Eligible AIP Product issued
                                                                                                                                   outside the U.S., neither the Issuer nor its
                                                                                                                                   designated Record keeper require the AIP
                                                                                                                           Custodian carrying the Eligible AIP Product, or any
                                                                                                                               of its customers, to pay any fees other than for
                                                                                                                              safe custody or administration as a condition for
                                                                                                                                     the transfer of the Eligible AIP Product.
           No Lien Acknowledgement Indicator   144     144     1      A/N      R
                                                                                       0=No                                    Indicates if there are lock-up provisions on
                                                                                                                                                                                      0318            Subject to Lock-Up invalid
               Subject to Lock-Up Indicator    145     145     1      A/N      O       1= Yes                                                  redemptions.
                                                                                                                                                                                      0319     Lock-up Time Period in # of Days invalid
            Lock-up Time Period in # of Days   146     148     3       N       O




Security Gen Profile                                                                                         8
                                                                                                  Security Gen Profile



                                                                                                                                                                                  Reject
                                                                                                          Values                               Definition                                      Reject Code Definition
                       Field Name            Start   End   Length   Type   Opt/Req                                                                                                Code
                                                                                     0=No
                                                                                                                                 Indicates if the Fund has series issues.         0320            Series Eligible invalid
                 Series Eligible Indicator   149     149     1      A/N      O       1= Yes
                                                                                                                                                                                             Performance Fee Payout Date
                                                                                     mmddccyy                                                                                     0310
              Performance Fee Payout Date    150     157     8       N       O                                                                                                                      missing/invalid
                                                                                     0=No                                    Indicates if the Fund is subject to a performance
                                                                                                                                                                                  0321      Performance Fee missing/invalid
               Performance Fee Indicator     158     158     1      A/N      O       1= Yes                                                          fee.
                                                                                     0=No                                    Indicates if the Fund is subject to a Redemption
                                                                                                                                                                                  0322       Redemption Fee missing/invalid
                Redemption Fee Indicator     159     159     1      A/N      O       1= Yes                                                         Fee.
                                                                                     99.99
               Redemption Fee Percentage     160     163     4       N       O/C
                                                                                                                                               Allow Zeros                        0419     Redemption Fee Percentage invalid
                                                                                     Required if Redemption Fee (1 = Yes)

                                                                                     00 = 30 Days
                                                                                     01 = 60 Days
                                                                                     02 = 90 Days
                                                                                     03 = 6 Months                          Period of time purchased shares are subject to the
                                                                                                                                                                                  0420       Redemption Fee Period invalid
                                                                                     04 =9 Months                                                  fee
                                                                                     05 = 12Months
                                                                                     06 = 18 Months
                                                                                     Required if Redemption Fee (1 = Yes)
                 Redemption Fee Period       164     165     2      A/N      OC
                                                                                     0=No
                 Incentive Fee Indicator     166     166     1      A/N      O
                                                                                                                              Indicates whether and incentive fee is charged      0421       Incentive Fee Indicator missing
                                                                                     1= Yes
                                                                                     0=No
                                                                                                                                  Indicates if there is a Highwater mark.         0323       Highwater Mark missing/invalid
                Highwater Mark Indicator     167     182     16      N       O       1= Yes
                                                                                                                             Total dollar amount of shares sold to the Firm's
                                                                                     99,999,999,999,999.99                                                                        0423          Benchmark Dollars invalid
                   Benchmark Dollars         183     198     16      N       O                                                                 customers
                                                                                                                               Total number of shares sold to the Firm's
                   Benchmark Shares          199     212     14      N       O
                                                                                     999,999,999,999.99                                                                           0424         Benchmark Shares invalid
                                                                                                                                               customers
                                                                                     0=No
                                                                                                                                                                                  0351        Hurdle Rate Indicator invalid
                  Hurdle Rate Indicator      213     213     1      A/N      O       1= Yes

                                                                                     999.999                                        Indicates if there is a Hurdle rate.          0324         Hurdle Rate missing/invalid
                       Hurdle Rate           214     219     6       N       O
                                                                                                                              The portion of the performance fee a partner
                                                                                     0=No                                    received if the partnership has more than one
                                                                                                                                                                                  0325          Carve Out missing/invalid
                                                                                     1= Yes                                 general partner, or if any limited partner receives
                   Carve Out Indicator       220     220     1      A/N      O                                                                part of the fee.

                                                                                                                              A provision in a limited partnership agreement
                                                                                     0=No                                   stating that the general partner must refund all or
                                                                                                                                                                                  0326     Clawback Provision missing/invalid
                                                                                     1= Yes                                  part of the performance fee if the partnership’s
                                                                                                                                      profit fall below a certain level.
              Clawback Provision Indicator   221     221     1      A/N      O
                                                                                                                            If the Fund is Sidepocket eligible, the minimum %
                                                                                     999.999                                     of the capital balance account eligible for a    0327     Sidepocket Minimum missing/invalid
                  Sidepocket Minimum         222     227     6       N       O                                                             sidepocket designation.

                                                                                                                            If the Fund is Sidepocket eligible, the maximum %
                                                                                     999.999                                     of the capital balance account eligible for a    0328     Sidepocket Maximum missing/invalid
                                                                                                                                           sidepocket designation.
                  Sidepocket Maximum         228     233     6       N       O
                                                                                                                            A restriction placed on a fund limiting the amount
                                                                                     0=No
                                                                                                                            of withdrawals from the fund during a redemption      0329        Gate Provision missing/invalid
                                                                                     1= Yes
                 Gate Provision Indicator    234     234     1      A/N      O                                                                    period.



Security Gen Profile                                                                                         9
                                                                                                   Security Gen Profile



                                                                                                                                                                                    Reject
                                                                                                            Values                                  Definition                                     Reject Code Definition
                       Field Name            Start   End   Length   Type   Opt/Req                                                                                                  Code
                                                                                     99.99
                                                                                     Required if Gate Provision indicator is 1                                                      0422     Gate Provision Percent missing/invalid
             Gate Provision Percentage (%)   235     238     4       N       O/C     Allow zeros.
                   Management Fee            239     244     6       N        O      999.999                                         The fee used to fund operating expenses.       0330        Management Fee missing/invalid
                                                                                     999.999                                       The fee used to fund administrative expenses.    0331       Administration Fee missing/invalid
                   Administration Fee        245     250     6       N       O
                                                                                     999.999                                                                                        0332      Investor Servicing Fee missing/invalid
                 Investor Servicing Fee      251     256      6      N       O
                     Initial Minimum         257     272     16      N       R       99,999,999,999,999.99                            The minimum initial investment amount.        0183         Initial Minimum missing/invalid
                                                                                     99,999,999,999,999.99                         The minimum subsequent investment amount.        0184      Subsequent Minimum missing/invalid
                  Subsequent Minimum         273     288     16      N       R

                                                                                     99,999,999,999,999.99                         The minimum balance allowed in an account.       0185            Absolute Minimum invalid
                   Absolute Minimum          289     304     16      N       O
                                                                                     01 = Daily
                                                                                     02 = Weekly
                                                                                     03 = Bi-Weekly
                                                                                     04 = Monthly
                                                                                                                                  Funds may indicate the frequency of valuations.   0190           Valuation Frequency invalid
                                                                                     05 = Semi-Monthly
                                                                                     06 = Quarterly
                                                                                     07 = Annually
                  Valuation Frequency        305     306     2      A/N      O       08 = Other
                    Base Currency            307     309     3      A/N      O       ISO Compliant                                                                                  0122            Base Currency invalid
                  Reporting Currency         310     312     3      A/N      O       ISO Compliant                                                                                  0022       Reporting Currency missing/invalid
                                                                                     1=Level Load
                                                                                     2=Back-End Load
                                                                                     3=Front-End Load
                                                                                     4=Finder's Fee
                                                                                     5=Other                                                                                        0039       Load Type Indicator missing/invalid
                                                                                     6 = Medium
                                                                                     7 = Hybrid
                                                                                     8= N/A
                  Load Type Indicator        313     313     1      A/N      R

                                                                                     01 = Weekly
                                                                                     02 = Bi-Weekly
                                                                                     03 = Monthly
                                                                                     04 = Bi = Monthly                                  When the Fund pays commissions.             0216     Commission Payment Frequency invalid
                                                                                     05 = Quarterly
                                                                                     06 = Annually
                                                                                     07 = Other
             Commission Payment Frequency    314     315     2      A/N      O

                                                                                                                                                                                                  Commission Percentage High
                                                                                               999.999                                                                              0199
                                                                                                                                                                                                       missing/invalid
              Commission Percentage High     316     321     6       N       R
                                                                                                                                 The lowest amount of commission charged on the                   Commission Percentage Low
                                                                                               999.999                                                                              0200
              Commission Percentage Low      322     327     6       N       R                                                                      security.                                          missing/invalid
                                                                                     Required if Breakpoint Eligible = 1
                                                                                                                                 The number of commission breakpoints associated
                                                                                                                                                                                    0201     Number of Breakpoints missing/invalid
                                                                                                                                                with the security.
                 Number of Breakpoints       328     329     2       N       OC
                                                                                     99,999,999,999,999.99                                  The breakpoints lower limit,            0202     Breakpoint Lower Limit missing/invalid
                Breakpoint Lower Limit 1     330     345     16      N       OC




Security Gen Profile                                                                                         10
                                                                                                            Security Gen Profile



                                                                                                                                                                                        Reject
                                                                                                                   Values                             Definition                                      Reject Code Definition
                       Field Name                    Start   End   Length   Type   Opt/Req                                                                                              Code
                                                                                             99,999,999,999,999.99                            The breakpoints upper limit.              0203     Breakpoint Upper Limit missing/invalid
                 Breakpoint Upper Limit 1            346     361     16      N       OC
                    Percent of POP 1                 362     371     10      N       OC      999.9999999                                     The percent of offering price.             0204        Percent of POP missing/invalid
                                                                                             99,999,999,999,999.99                            The breakpoints lower limit,              0202     Breakpoint Lower Limit missing/invalid
                 Breakpoint Lower Limit 2            372     387     16      N       OC

                                                                                             99,999,999,999,999.99                            The breakpoints upper limit.              0203     Breakpoint Upper Limit missing/invalid
                 Breakpoint Upper Limit 2            388     403     16      N       OC
                    Percent of POP 2                 404     413     10      N       OC      999.9999999                                     The percent of offering price.             0204        Percent of POP missing/invalid
                                                                                             99,999,999,999,999.99                            The breakpoints lower limit,              0202     Breakpoint Lower Limit missing/invalid
                 Breakpoint Lower Limit 3            414     429     16      N       OC

                                                                                             99,999,999,999,999.99                            The breakpoints upper limit.              0203     Breakpoint Upper Limit missing/invalid
                 Breakpoint Upper Limit 3            430     445     16      N       OC
                    Percent of POP 3                 446     455     10      N       OC      999.9999999                                     The percent of offering price.             0204        Percent of POP missing/invalid
                                                                                             99,999,999,999,999.99                            The breakpoints lower limit,              0202     Breakpoint Lower Limit missing/invalid
                 Breakpoint Lower Limit 4            456     471     16      N       OC
                                                                                             99,999,999,999,999.99                            The breakpoints upper limit.              0203     Breakpoint Upper Limit missing/invalid
                 Breakpoint Upper Limit 4            472     487     16      N       OC
                    Percent of POP 4                 488     497     10      N       OC      999.9999999                                     The percent of offering price.             0204        Percent of POP missing/invalid
                                                                                             99,999,999,999,999.99                            The breakpoints lower limit,              0202     Breakpoint Lower Limit missing/invalid
                 Breakpoint Lower Limit 5            498     513     16      N       OC
                                                                                             99,999,999,999,999.99                            The breakpoints upper limit.              0203     Breakpoint Upper Limit missing/invalid
                 Breakpoint Upper Limit 5            514     529     16      N       OC
                    Percent of POP 5                 530     539     10      N       OC      999.9999999                                    The percent of offering price.              0204        Percent of POP missing/invalid
                                                                                             0 = No                                Indicates whether the tender offer proceeds are
                                                                                                                                                                                                   Tender Offer Subject to Holdback
                                                                                             1 = Yes                                            subject to holdback.                    0049
                                                                                                                                                                                                           missing/invalid
        Tender Offer Subject to Holdback Indicator   540     540     1      A/N      O
                                                                                             999                                   If there is holdback, Funds can give the Holdback             Number of Business Days for Holdback
                                                                                                                                                                                        0050
          Number of Business Days for Holdback       541     543     3       N       O                                                          period in # of business days.                               missing/invalid
                                                                                             999.999                                  Funds may provide a Holdback percentage, if
                                                                                                                                                                                        0052       Holdback Percent missing/invalid
                  Holdback Percentage                544     549     6       N       O                                                                       known.
                                                                                             0 = No                                    If there is a fixed dollar amount for Holdback
                                                                                             1 = Yes                                                        interest.                   0054       Interest Paid on Holdback invalid
            Interest Paid on Holdback Indicator      550     550     1      A/N      O
                                                                                             0 = Monthly                           The compounding period of the interest rate paid
                                                                                                                                                                                                   Interest Rate Compounding Period
                                                                                             1 = Quarterly                                    on Holdback monies.                       0429
                                                                                                                                                                                                                 invalid
            Interest Rate Compounding Period         551     551     1      A/N      O       2 = Annually
                                                                                             0 = Active Fund
                                                                                                                                       Indicates if the Fund is active or closed.       0205      Fund Status Indicator missing/invalid
                  Fund Status Indicator              552     552     1      A/N      R       1 = Closed Fund
                                                                                             0 = To Existing
                                                                                              1 = To New                            Indicates if the Fund is closed to investments.     0206       Purchase Closed Indicator invalid
                Purchase Closed Indicator            553     553     1      A/N      O       2 = Both
                                                                                             0 = No
                                                                                             1 = Yes                                 Indicates if the Fund is closed to liquidations.   0207      Redemption Closed Indicator invalid
               Redemption Closed Indicator           554     554     1      A/N      O       2 = N/A
                                                                                             1 = in (existing)
                                                                                             2 = in (new)
                                                                                                                                        Indicated if the Fund allows exchanges.         0208       Exchange Closed Indicator invalid
                                                                                             3 = out (existing)
                Exchange Closed Indicator            555     555     1      A/N      O       4 = all
                                                                                             0 = No
                                                                                                                                                                                        0349       Dividend Payment Indicator invalid
               Dividend Payment Indicator            556     556     1      A/N      O       1 = Yes




Security Gen Profile                                                                                                 11
                                                                                                      Security Gen Profile



                                                                                                                                                                                             Reject
                                                                                                                Values                                  Definition                                          Reject Code Definition
                        Field Name              Start   End   Length   Type   Opt/Req                                                                                                        Code
                                                                                        0 = Daily
                                                                                                                                                                                             0209        Dividend Calculation Type invalid
                Dividend Calculation Type       557     557     1      A/N      O       1 = Record Date
                                                                                        0 = Monthly
                                                                                         1 = Quarterly
                                                                                                                                            Frequency of Dividend payments.                  0210          Dividend Payable Type invalid
                                                                                         2 = Semi Annually
                 Dividend Payable Type          558     558     1      A/N      O       3 = Annually
                                                                                        Required if the Fund Status Indicator = 1
                                                                                        0 = Liquidated                                   Further explanation of the Fund Status.             0211     Closed Fund Disposition Indicator invalid
            Closed Fund Disposition Indicator   559     559     1      A/N      OC      1 = Merged
                                                                                        0 = Liquidated
                                                                                                                                     Indicates if the Fund was merged with another                        Merged Fund Security Indicator
                                                                                        1 = Merged                                                                                           0212
                                                                                                                                                         security.                                               missing/invalid
             Merged Fund Security Indicator     560     560     1      A/N      OC      Req'd if Closed Find Disposition Ind is 1
                                                                                        Req'd if Closed Find Disposition Ind is 1
                                                                                        0 = No                                      Indicates if the security is eligible for breakpoints.   0213            Breakpoint Eligible invalid
                   Breakpoint Eligible          561     561     1      A/N      OC      1 = Yes
                                                                                        0 = No
                                                                                        1 = Yes                                                                                              0214            LOI Eligible missing/invalid
                         LOI Eligible           562     562     1      A/N      R       2 = N/A
                                                                                        0 = No
                                                                                                                                      Indicates if the security is eligible for Rights of
                                                                                        1 = Yes                                                                                              0215           ROA Eligible missing/invalid
                                                                                                                                                        Accumulation.
                        ROA Eligible            563     563     1      A/N      R       2 = N/A
                                                                                        0 = No
                                                                                                                                    Indicates if retroactive or backdating of Letters of
                                                                                        1 = Yes                                                                                              0217             Retroactive LOIs invalid
                                                                                                                                        Intent or Commitment Letters are allowed.
                       Retroactive LOIs         564     564     1      A/N      O       2 = Not Applicable
                                                                                        01   = 30 days
                                                                                        02   = 60 days
                                                                                        03   = 90 days
                                                                                        04   = 120 days
                                                                                        05   = 150 days
                                                                                        06   = 180 days
                                                                                        07   = 45 days                                Indicates the period allowed for backdating a
                                                                                                                                                                                             0218          Retroactive LOI Period invalid
                                                                                        08   = 75 days                                               Letters of Intent.
                                                                                        09   = 105 days
                                                                                        10   = 135 days
                                                                                        11   = 165 days
                                                                                        12   = 365 days
                                                                                        98   = Not Applicable
                 Retroactive LOI Period         565     566     2      A/N      O       99   = No Limit




Security Gen Profile                                                                                            12
                                                                                                     Security Gen Profile



                                                                                                                                                                                                Reject
                                                                                                             Values                                         Definition                                        Reject Code Definition
                       Field Name            Start   End   Length   Type   Opt/Req                                                                                                              Code




                                                                                     0   =   No
                                                                                     1   =   Yes                                         Linking allowed at the account level to qualify for
                                                                                                                                                                                                0219            Link by Spouse invalid
                                                                                     2   =   Not Applicable                              Rights of Accumulation or a reduced breakpoint.
                                                                                     3   =   Special Rules Apply




                       Link by Spouse        567     567     1      A/N      O
                                                                                     0   =   No
                                                                                     1   =   Yes                                         Linking allowed at the account level to qualify for
                                                                                                                                                                                                0220          Link by Civil Union invalid
                                                                                     2   =   Not Applicable                              Rights of Accumulation or a reduced breakpoint.
                   Link by Civil Union       568     568     1      A/N      O       3   =   Special Rules Apply
                                                                                     0   =   No
                                                                                     1   =   Yes                                         Linking allowed at the account level to qualify for
                                                                                                                                                                                                0221     Link by Domestic Partnership invalid
                                                                                     2   =   Not Applicable                              Rights of Accumulation or a reduced breakpoint.
              Link by Domestic Partnership   569     569     1      A/N      O       3   =   Special Rules Apply
                                                                                     0   =   No
                                                                                     1   =   Yes                                         Linking allowed at the account level to qualify for
                                                                                                                                                                                                0222     Link by Common Law Marriage invalid
                                                                                     2   =   Not Applicable                              Rights of Accumulation or a reduced breakpoint.
              Link by Common Law Marriage    570     570     1      A/N      O       3   =   Special Rules Apply
                                                                                     0   =   No
                                                                                     1   =   Yes                                         Linking allowed at the account level to qualify for
                                                                                                                                                                                                0223            Link by Parent invalid
                                                                                     2   =   Not Applicable                              Rights of Accumulation or a reduced breakpoint.
                       Link by Parent        571     571     1      A/N      O       3   =   Special Rules Apply
                                                                                     0   =   No
                                                                                     1   =   Yes                                         Linking allowed at the account level to qualify for
                                                                                                                                                                                                0224          Link by Step Parent invalid
                                                                                     2   =   Not Applicable                              Rights of Accumulation or a reduced breakpoint.
                   Link by Step Parent       572     572     1      A/N      O       3   =   Special Rules Apply
                                                                                     0   =   No
                                                                                     1   =   Yes                                         Linking allowed at the account level to qualify for
                                                                                                                                                                                                0225        Link by Legal Guardian invalid
                                                                                     2   =   Not Applicable                              Rights of Accumulation or a reduced breakpoint.
                 Link by Legal Guardian      573     573     1      A/N      O       3   =   Special Rules Apply
                                                                                     0   =   No
                                                                                     1   =   Yes                                         Linking allowed at the account level to qualify for
                                                                                                                                                                                                0226             Link by Child invalid
                                                                                     2   =   Not Applicable                              Rights of Accumulation or a reduced breakpoint.
                        Link by Child        574     574     1      A/N      O       3   =   Special Rules Apply
                                                                                     Required if "Link by Child" is 1=Yes or 3=Special
                                                                                     Rules Apply.
                                                                                                                                          Linking allowed at the account level to qualify for
                                                                                     Put in age in years, or                                                                                    0227         Child Maturation Age invalid
                                                                                                                                         Rights of Accumulation or a reduced breakpoint. T
                                                                                     98 = Not applicable, or
                  Child Maturation Age       575     576     2       N       O/C     99 = No Limit




Security Gen Profile                                                                                           13
                                                                                                     Security Gen Profile



                                                                                                                                                                                                 Reject
                                                                                                              Values                                            Definition                                     Reject Code Definition
                        Field Name              Start   End   Length   Type   Opt/Req                                                                                                            Code
                                                                                        ISO Compliant Country Codes,                          List ISO Compliant country codes, separated by              Countries Where Fund is Registered
                                                                                                                                                                                                 0334
           Countries Where Fund is Registered   577     726    150     A/N      O       separated by spaces                                                       spaces                                            missing/invalid
                                                                                        ISO Compliant Country Codes,
                                                                                                                                                                                                 0352               Domiciled invalid
                         Domiciled              727     729     3      A/N      O       separated by spaces
                                                                                        0 = No
                                                                                                                                               Indicates if the fund is listed on an exchange.   0353           Exchange Listing invalid
                Exchange Listing Indicator      730     730     1      A/N      O       1 = Yes


                                                                                        01=New York Stock Exchange
                                                                                        02=Luxemburg Stock Exchange
                                                                                        03=Swiss Stock Exchange
                                                                                        04=Irish Stock Exchange
                                                                                        05=Vienna Stock Exchange
                                                                                        06=London Stock Exchange
                                                                                        07=Channel Islands Stock Exchange                             Exchange where fund is listed.             0354           Exchange Name invalid
                                                                                        08=Bermuda Stock Exchange
                                                                                        09=Stockholm
                                                                                        10=Paris
                                                                                        11=Cayman
                                                                                        12=Irish/Bermuda Stock Exchange
                                                                                        13=Not Disclosed
                       Exchange Name            731     732     2      A/N      O




                                                                                        mmddccyy                                                                                                 0355            Inception Date invalid




                       Inception Date           733     740     8       N       O


                                                                                        Input: Spaces
                                                                                        Output: mmddccyy                                                                                                  Security General Profile Last Updated
                                                                                                                                                     Date of last change to Profile.             0430
                                                                                        Populated by NSCC on Output listing the date of the                                                                          missing/invalid
                                                                                        most recent Profile
        Security General Profile Last Updated   741     748     8       N       R
                                                                                                                                                                                                           Date of Last Offering Memorandum
                                                                                        mmddccyy                                              Date of most recent offering memorandum            0431
          Date of Last Offering Memorandum      749     756     8       N       O                                                                                                                                        invalid




Security Gen Profile                                                                                           14
                                                                                               Security Gen Profile



                                                                                                                                                                      Reject
                                                                                                      Values                           Definition                                   Reject Code Definition
                        Field Name         Start   End   Length   Type   Opt/Req                                                                                      Code
                                                                                   00-Daily
                                                                                   01-Weekly
                                                                                   02-Bi-Weekly
                                                                                   03-Monthly
                                                                                                                         How often the fund allows exchanges          0432         Exchange Frequency invalid
                                                                                   04-Quarterly
                                                                                   05-Bi-Annually
                                                                                   06-Annually
                 Exchange Frequency        757     758     2      A/N      O
                                                                                   00-Daily
                                                                                   01-Weekly
                                                                                   02-Bi-Weekly
                                                                                   03-Monthly
                                                                                   04-Quarterly                           How often the fund allows transfers         0433          Transfer Frequency invalid
                                                                                   05-Bi-Annually
                                                                                   06-Annually


                  Transfer Frequency       759     760     2      A/N      O
                                                                                   00-Daily
                                                                                   01-Weekly
                                                                                   02-Bi-Weekly
                                                                                   03-Monthly
                                                                                                                         How often the fund allows purchases          0434         Purchase Frequency invalid
                                                                                   04-Quarterly
                                                                                   05-Bi-Annually
                                                                                   06-Annually
                 Purchase Frequency        761     762     2      A/N      O
                                                                                   00-Daily
                                                                                   01-Weekly
                                                                                   02-Bi-Weekly
                                                                                   03-Monthly
                                                                                                                        How often the fund allows redemptions         0435     Redemption/Tender Frequency invalid
                                                                                   04-Quarterly
                                                                                   05-Bi-Annually
                                                                                   06-Annually
           Redemption / Tender Frequency   763     764     2      A/N      O
                                                                                                                        Blue Sky is information used to report the
                                                                                                                        sale of corporate securities by investment
                                                                                                                       companies and the status of a security in a
                                                                                                                      specified state. There should be 2 bytes for    0436            Blue Sky State invalid
                                                                                                                       each state with the ‘|’ character separating
                                                                                                                           each state. For example, NY|CA|FL

                       Blue Sky State      765     952    188     A/N      O




Security Gen Profile                                                                                   15
                                                                                         Security Announcement



Field Name                   Start   End Length   Type   Opt/Req   Values                                                       Definition                                              Reject Code           Reject Code Definition
Record Length                 1       4    4       N       R                                                                                                                               0001       Record Length missing/invalid
Originator Type               5       5    1      A/N      R                                                                                                                               0002       Originator Type missing/invalid
                                                                   Space = All recipients;                                      The NSCC ID of the broker dealer firm or the
                                                                   Otherwise, enter Participant                                 custodian firm.                                            0167
Recipient Number               6     13    8      A/N      OC      Number to indicate specific Recipient                                                                                              Recipient Number missing/invalid
Fund Number                   14     21    8      A/N      R                                                                    The NSCC ID of the Fund Company.                           0004       Fund Number missing/invalid
Record Type                   22     24    3      A/N      R       062 = Security Announcement                                                                                             0005       Record Type missing/invalid
                                                                   ppppppppnnnnnnnn                                             The NSCC Security Issue Number was issued when
                                                                   Where:                                                       the initial Security General Profile and/or Security
                                                                   pppppppp = Fund Number                                       Announcement record was received from the firm.
                                                                   nnnnnnnn = Unique sequential number assigned by                                                                         0006
                                                                   NSCC

                                                                   This field will be used on orders to identify the Security                                                                         NSCC Security Issue Number
NSCC Security Issue Number    25     40    16     A/N      O       Issue.                                                                                                                             missing/invalid
                                                                                                                                Sidepockets are created to designate a portion of
                                                                                                                                the portfolio illiquid and exempt from any offerings
                                                                   Note. This field will be generated by NSCC when                                                                         0343
                                                                                                                                or redemptions.
                                                                   Sidepocket ID is introduced (Announcement Type =
NSCC Sidepocket ID            41     43    3      A/N      O       11).                                                                                                                               Sidepocket ID invalid
                                                                   The class of Shares represented by the Security Issue
                                                                                                                              The Funds' designated share class.                           0346
Share Class                   44     51    8      A/N      O       Number                                                                                                                             Share Class invalid
                                                                                                                              The NSCC Security Issue Number is the required
                                                                   This field will be used on orders to identify the Security identifier, but Funds may opt to send this additional
                                                                   Issue.                                                     information.
                                                                   Required if NSCC Security Issue Number is blank
                                                                   1 = ISIN                                                                                                                0007
                                                                   2 = SEDOL
                                                                   3 = CUSIP
                                                                   4 = Custom
Security Identifier           52     52     1     A/N      OC                                                                                                                                         Security Identifier invalid
Filler                        53     87    35     A/N      R       Spaces
                                                                   Required if NSCC Security Issue Number is blank              The NSCC Security Issue Number is the required
                                                                                                                                identifier, but Funds may opt to send this additional      0008
Security Issue ID            88       99   12     A/N      OC                                                                   information.                                                          Security Issue ID invalid
Filler                       100     101    2     A/N      R
                                                                   0 or space = Add/ Replace                                    Funds can opt to delete an existing Security
                                                                   1 = Delete                                                   Announcement record.
                                                                                                                                                                                           0170
                                                                   Note. Space is not allowed for XML
Delete Indicator             102     102   1      A/N      OC                                                                                                                                         Delete Indicator missing/invalid
                                                                   Input: Spaces
                                                                   Output:
                                                                                                                                                                                           0014
                                                                   0 = Accepted by NSCC
NSCC Reject Indicator        103     103   1      A/N      R       1 = Rejected by NSCC                                                                                                               NSCC Reject Indicator invalid
                                                                   Input: Spaces
                                                                                                                                                                                           0015
NSCC Reject Reason Code 1    104     107   4      A/N      R       Output: Reject code or space                                                                                                       NSCC Reject Code invalid
                                                                   Input: Spaces
                                                                                                                                                                                           0015
NSCC Reject Reason Code 2    108     111   4      A/N      R       Output: Reject code or space                                                                                                       NSCC Reject Code invalid
                                                                   Input: Spaces
                                                                                                                                                                                           0015
NSCC Reject Reason Code 3    112     115   4      A/N      R       Output: Reject code or space                                                                                                       NSCC Reject Code invalid
                                                                   Input: Spaces
                                                                                                                                                                                           0015
NSCC Reject Reason Code 4    116     119   4      A/N      R       Output: Reject code or space                                                                                                       NSCC Reject Code invalid




                                                                                              Page 16 of 116
                                                                                       Security Announcement



Field Name                   Start   End Length   Type   Opt/Req   Values                                                Definition                                               Reject Code           Reject Code Definition
                                                                   mmddccyy                                              The date the record is submitted.
                                                                                                                                                                                     0011
Submission Date              120     127   8       N       R       Must be equal to the processing date                                                                                         Submission Date missing/invalid
                                                                   mmddccyy
                                                                                                                                                                                     0145
Effective Date               128     135   8       N       R       Must be greater or equal to the processing date                                                                              Effective Date missing/invalid
                                                                   00 = Subscription Offer                               An Announcement Type of "12=Fund Administrator
                                                                   01 = Tender Offer                                     Change" must be passed with a Security Contact
                                                                   02 = Fund Merger                                      record (063) with the address details of the Fund
                                                                   03 = Fund Closing                                     Administrator
                                                                   04 = Purchase Restrictions (existing fund)
                                                                   05 = Redemption Restrictions/Gate (existing fund)
                                                                   06 = Dividend
                                                                   07 = Capital Gain
                                                                   08 = Settlement Date Change
                                                                   09 = Valuation Update
                                                                   10 = Special Tender Offer
                                                                   11 = Sidepocket Event
                                                                   12 = Fund Administrator/TA Change
                                                                                                                                                                                     0171
                                                                   13 = Initial Offering w/Escrow
                                                                   14 = Capital Call
                                                                   15 = Equalization Event
                                                                   16=Recurring Subscription
                                                                   17=Recurring Redemption
                                                                   18=Recurring Exchange
                                                                   19=Closed to Purchase
                                                                   20=Closed to Redemptions
                                                                   21-Return of Capital
                                                                   22=Rescission Date Change
                                                                   23 = Holdback Payout
Announcement Type            136     137   2      A/N      R                                                                                                                                    Announcement Type missing/invalid
                                                                   0 = Projected                                         Allows the Fund to indicate if the information in the
                                                                                                                                                                                     0172
Projected/Actual Indicator   138     138   1      A/N      R       1 = Actual                                            file is Projected or Actual.                                           Projected/Actual Indicator missing/invalid
                                                                   Required if the Announcement type is "07 = Capital    Funds must indicate the type of Capital Gain if this
                                                                   Gain"                                                 is a Capital Gain Announcement record.
                                                                   0 = Undetermined projected gain
                                                                   1 = Short Term Capital Gain
                                                                   2 = Long Term Capital Gain                                                                                        0173
                                                                   3 = Gain on Collectables
                                                                   4 = Section 1202 Gain
                                                                   5 = Unrecaptured Section 1250 Gain
Capital Gain Indicator       139     139   1      A/N      OC                                                                                                                                   Capital Gain Indicator missing/invalid
                                                                   Required if the Announcement type is "06= Dividend"   Funds must indicate the Distribution type if this is a
                                                                   0 = Undetermined projected dividend                   Distribution Announcement Record.
                                                                   1 = Actual Dividend                                                                                               0174

Dividend Indicator           140     140   1      A/N      OC                                                                                                                                   Dividend Indicator missing/invalid




                                                                                            Page 17 of 116
                                                                                                       Security Announcement



Field Name                                  Start   End Length   Type   Opt/Req   Values                                                   Definition                                             Reject Code           Reject Code Definition
                                                                                                                                           The date issuer has determined the shareholder of
                                                                                  mmddccyy                                                 record’s entitlement to the distribution.                 0175
Record Date                                 141     148   8       N       O                                                                                                                                     Record Date missing/invalid
                                                                                                                                           The date issuer has determined the shareholder of
                                                                                  mmddccyy                                                 record’s entitlement to the distribution.                 0176
Ex Date                                     149     156   8       N       O                                                                                                                                     Ex Date missing/invalid
                                                                                                                                           The date which the distribution will be reinvested.
                                                                                                                                                                                                     0177
Reinvest Date                               157     164   8       N       O       mmddccyy                                                                                                                      Reinvest Date missing/invalid
                                                                                                                                           Payable date of distribution.
                                                                                                                                                                                                     0178
Payable Date                                165     172   8       N       O       mmddccyy                                                                                                                      Payable Date missing/invalid
                                                                                  Required if the Announcement type is                     The amount of the distribution.
                                                                                  06 = Dividend
                                                                                  07 = Capital Gain                                                                                                  0179
                                                                                  99,999,999,999,999.99
Distribution Amount                         173     188   16      N       OC      Zeros Allowed                                                                                                                 Distribution Amount missing/invalid
                                                                                                                                                                                                     0180
Distribution Reinvest Price                 189     200   12      N       O       999999.999999                                            The reinvestment price, if known.                                    Distribution Reinvest Price missing/invalid
                                                                                  mmddyyyy                                                 Date for payment and/or order placement. Payment
                                                                                  If the Announcement Type is 00, 01, 08, or 10, then      usually occurs prior to Dealing day or on Dealing
                                                                                  this field required.                                     Day. Order details are sent at any point on or after      0012
                                                                                  Must be later than current date.                         Dealing Day and prior to the offering end date.
Trade Date/Dealing Date                     201     208   8       N       OC                                                                                                                                    Trade Date missing/invalid
                                                                                  mmddccyy                                                 Date the Fund will pay for Redemptions and Tender                    Performance Fee Payout Date
                                                                                                                                                                                                     0310
Payment Date                                209     216   8       N       O                                                                Offers.                                                              missing/invalid
                                                                                  mmddccyy                                                 A date the Fund or Fund Administrator determines
                                                                                                                                           is the receipt date for documentation.                    0311
Documentation Date                          217     224   8       N       O                                                                                                                                     Documentation Date missing/invalid
                                                                                  mmddccyy                                                 The start date of a subscription period. This can be
                                                                                                                                           future dated. This field is required if the               0181       Security Subscription/Purchase Start Date
Security Subscription/Purchase Start Date   225     232   8       N       OC                                                               Announcement Type is “00” or "16"                                    missing/invalid
                                                                                  mmddccyy                                                 The end date of a subscription period. This field is
                                                                                                                                           required if the Announcement Type is “00” or '16'
                                                                                                                                           Announcement Type (16) must have an end date              0182
                                                                                                                                           within two (2) years of the start date.                              Security Subscription/Purchase End Date
Security Subscription/Purchase End Date     233     240   8       N       OC                                                                                                                                    missing/invalid
                                                                                  mmddccyy                                                 Required if the Announcement Type = 01 or 10 or                      Tender Offer Start/Redemption Date
                                                                                                                                                                                                     0186
Tender Offer/Redemption Start Date          241     248   8       N       OC                                                               17                                                                   missing/invalid
                                                                                  mmddccyy                                                 Required if the Announcement Type = 01 or 10 or
                                                                                                                                           17
                                                                                                                                                                                                     0187
                                                                                                                                           Announcement Type (17) must have an end date                         Tender Offer End/Redemption Date
Tender Offer/Redemption End Date            249     256   8       N       OC                                                               within two (2) years of the start date.                              missing/invalid
                                                                                  99999999999999.99                                                                                                             Total Amount of Tender Offer Dollars
                                                                                                                                                                                                     0439
Total Amount of Tender Offer Dollars        257     272   16      N       O                                                                                                                                     invalid
                                                                                  mmddccyy                                                 Required if the Announcement type is 06 =
                                                                                  Must be later than current date if the Announcement      Dividend or 07 = Capital Gain”
                                                                                  type is 00                                               For tender this is the date money moves
                                                                                  Must be later than Security Subscription Start Date if                                                             0017
                                                                                  the Announcement type is 01
Fund Settlement Date/Contract Note          273     280   8       N       OC      Must be later than Tender Offer Start Date                                                                                    Settlement Date missing/invalid
                                                                                  0 = No                                                   Overrides the settlement date of the original
                                                                                  1 = Yes                                                  security announcement record.                             0019
Settlement Date Override Indicator          281     281   1      A/N      O                                                                                                                                     Settlement Date Override Indicator invalid




                                                                                                            Page 18 of 116
                                                                            Security Announcement



Field Name                 Start   End Length   Type   Opt/Req   Values                             Definition                                     Reject Code           Reject Code Definition
                                                                 hhmm                               The Funds processing end time.   FOR TENDERS
                                                                                                    ONLY                                              0188
Trading Cutoff Time        282     285   4       N       R                                                                                                       Trading Cutoff Time missing/invalid
                                                                                                    FOR TENDERS ONLY
                                                                                                                                                      0189
Trading Cutoff Time Zone   286     288   3      A/N      R                                                                                                       Trading Cutoff Time Zone missing/invalid



                                                                                                                                                      0437


Rescission Date            289     296   8       N       O       mmddccyy                                                                                        Rescission Date invalid




                                                                               Page 19 of 116
                                                                                                            Security Announcement



Field Name                                      Start   End Length   Type   Opt/Req   Values                                                   Definition                                            Reject Code          Reject Code Definition
                                                                                                                                               Indicates the Frequency of the Recurring
                                                                                      00=Daily                                                 Subscription or Redemption.
                                                                                      01=Weekly                                                Required if Announcement Type equals:                    0441
                                                                                      02=Monthly                                               16 = Recurring Subscription
                                                                                      03=Quarterly                                             17 = Recurring Redemption                                           Recurring Subscription/Redemption
Recurring Subscription/Redemption Frequency     297     298   2      A/N      O/C     04=Annually                                              Otherwise it is not allowed                                         Frequency missing/invalid
                                                                                                                                               The dealing day of the week for the Recurring
                                                                                      01=Monday                                                Subscription or Redemption.
                                                                                      02=Tuesday                                               Required if Recurring Subscription or Redemption
                                                                                                                                                                                                        0442
                                                                                      03=Wednesday                                             Frequency equals:
Recurring Subscription/Redemption Dealing Day                                         04=Thursday                                              01 = Weekly                                                         Recurring Subscription/Redemption
(Weekly)                                        299     300   2      A/N      O/C     05=Friday                                                Otherwise it is not allowed                                         Dealing Day missing/invalid

                                                                                                                                               The specific dealing date of the month for the
                                                                                                                                               Recurring Subscription or Redemption.
                                                                                                                                               Required if Recurring Subscription/Redemption
                                                                                                                                               Frequency equals:                                        0443
                                                                                                                                               02 = Monthly,
                                                                                                                                               03 = Quarterly
Recurring Subscription/Redemption Dealing                                             01-31 Representing the 30 or 31 days of a month          04 = Annually                                                       Recurring Subscription/Redemption
Date (Monthly, Quarterly, Annually)             301     302   2      A/N      O/C     00=Last Day of the Month                                 Otherwise it is not allowed                                         Dealing Date missing/invalid

                                                                                      01-Jan                                                   The dealing month(s) for the Recurring Subscription
                                                                                      02-Feb                                                   or Redemption.
                                                                                      03-Mar                                                   Required if Recurring Subscription/Redemption
                                                                                      04-Apr                                                   Frequency equals:
                                                                                      05-May                                                   03 = Quarterly
                                                                                      06-Jun                                                   04 = Annually                                            0444
                                                                                      07-Jul                                                   Otherwise it is not allowed
                                                                                      08-Aug                                                   Spaces must be padded with zeros for the following
                                                                                      09-Sept                                                  Frequency
                                                                                      10-Oct                                                   04 = Annually the spaces should be padded with                      Recurring Subscription/Redemption
Recurring Subscription/Redemption Dealing                                             11-Nov                                                   zeros. For Example, The month of December is                        Dealing Months (Quarterly/Annually)
Months (Quarterly , Annually)                   303     310   8      A/N      O/C     12-Dec                                                   specified as 12000000                                               missing/invalid


                                                                                      If the settlement day is not provided, settlement will
                                                                                      occur on the following AIP business day.
                                                                                      If the settlement day is not within the same week as
                                                                                      the dealing day, settlement will not occur until the     The settlement day of the week for the Recurring
                                                                                      following specified weekday .                            Subscription or Redemption.                              0445
                                                                                      01=Monday                                                Required if Recurring Subscription or Redemption
                                                                                      02=Tuesday                                               Frequency equals:
                                                                                      03=Wednesday                                             01 = Weekly
Recurring Subscription/Redemption Settlement                                          04=Thursday                                              spaces allowed                                                      Recurring Subscription/Redemption
Day (Weekly)                                    311     312   2      A/N      O/C     05=Friday                                                Otherwise it is not allowed                                         Settlement Day (Weekly) missing/invalid




                                                                                                                 Page 20 of 116
                                                                                                         Security Announcement



Field Name                                     Start   End Length   Type   Opt/Req   Values                                            Definition                                               Reject Code           Reject Code Definition

                                                                                     01-Jan
                                                                                     02-Feb
                                                                                     03-Mar                                            The settlement month(s) for the Recurring
                                                                                     04-Apr                                            Subscription or Redemption .
                                                                                     05-May                                            Required if Recurring Subscription or Redemption
                                                                                     06-Jun                                            Frequency equals:                                           0446
                                                                                     07-Jul                                            03 = Quarterly
                                                                                     08-Aug                                            04 = Annually
                                                                                     09-Sept                                           Otherwise it is not allowed
                                                                                     10-Oct                                            Spaces must be padded with zeros for the following                     Recurring Subscription/Redemption
Recurring Subscription/Redemption Settlement                                         11-Nov                                            Frequency                                                              Settlement Months (Quarterly/Annually)
Months (Quarterly, Annually)                   313     320   8      A/N      O/C     12-Dec                                            04 = Annually                                                          missing/invalid
                                                                                                                                       The specific settlement date of the month for the
                                                                                                                                       Recurring Subscription or Redemption .
                                                                                                                                       Required if Recurring Subscription or Redemption
                                                                                                                                       Frequency equals:
                                                                                                                                                                                                   0447
                                                                                                                                       02 = Monthly,
                                                                                                                                       03 = Quarterly
Recurring Subscription/Redemption Settlement                                         01-31 Representing the 30 or 31 days of a month   04 = Annually                                                          Recurring Subscription/Redemption
Date                                           321     322   2      A/N      O/C     00=Last Day of the Month                          Otherwise it is not allowed                                            Settlement Date missing/invalid
                                                                                      0 = No                                           Must be indicated for a Subscription/Redemption
                                                                                     1 =Yes                                            Frequency
                                                                                                                                       02 = Monthly,                                               0194
                                                                                                                                       03 = Quarterly
                                                                                                                                                                                                              Special Commission Advance Indicator
                                                                                                                                       04 = Annually
Special Commission Advance Indicator           323     323   1      A/N      O                                                                                                                                invalid
                                                                                                                                       Optional for all others.
                                                                                     Required if Special Commission Advance =1
                                                                                                                                                                                                   0195
                                                                                     999.99999
Special Commission Rate                        324     331   8       N       OC                                                                                                                               Special Commission Rate missing/invalid
YTD Return                                     332     335   4       N       O       99.99                                             Year to Date return.                                        0356       YTD Return invalid
                                                                                     0 = Positive                                                                                                             YTD Return Positive/Negative Indicator
                                                                                                                                                                                                   0357
YTD Positive/Negative Indicator                336     336   1      A/N      O       1 = Negative                                                                                                             invalid

                                                                                                                                       A technique used to estimate the probability of
                                                                                     99.99                                             portfolio losses based on the statistical analysis of       0358
                                                                                                                                       historical price trends and volatilities.
VAR(95%)                                       337     340   4       N       O                                                                                                                                VAR(95%) invalid
                                                                                     0 = Positive
                                                                                                                                                                                                   0359
VAR Positive/Negative Indicator                341     341   1      A/N      O       1 = Negative                                                                                                             VAR Positive/Negative Indicator invalid

                                                                                                                                       A ratio developed by William F. Sharpe to measure
                                                                                                                                       risk-adjusted performance. The Sharpe ratio is
                                                                                                                                       calculated by subtracting the risk-free rate - such
                                                                                     99.99                                                                                                         0360
                                                                                                                                       as that of the 10-year U.S. Treasury bond - from the
                                                                                                                                       rate of return for a portfolio and dividing the result
                                                                                                                                       by the standard deviation of the portfolio returns.
Sharp Ratio                                    342     345   4       N       O                                                                                                                                Sharpe Ratio invalid
                                                                                     0 = Positive                                                                                                             Sharpe Ratio Positive/Negative Indicator
                                                                                                                                                                                                   0361
Sharp Ratio Positive/Negative Indicator        346     346   1      A/N      O       1 = Negative                                                                                                             invalid




                                                                                                             Page 21 of 116
                                                                                                      Security Announcement



Field Name                                  Start   End Length   Type   Opt/Req   Values                                                Definition                                             Reject Code           Reject Code Definition

                                                                                                                                        A ratio developed by Frank A. Sortino to
                                                                                                                                        differentiate between good and bad volatility in the
                                                                                                                                        Sharpe ratio. This differentiation of upwards and
                                                                                  99.99                                                 downwards volatility allows the calculation to            0362
                                                                                                                                        provide a risk-adjusted measure of a security or
                                                                                                                                        fund's performance without penalizing it for upward
                                                                                                                                        price changes.
Sortino Ratio                               347     350   4       N       O                                                                                                                                  Sortino Ratio invalid
                                                                                  0 = Positive                                                                                                               Sortino Ratio Positive/Negative Indicator
                                                                                                                                                                                                  0363
Sortino Ratio Positive/Negative Indicator   351     351   1      A/N      O       1 = Negative                                                                                                               invalid
                                                                                                                                        Funds may indicate if Holdbacks will be refunded
                                                                                  0 = No                                                automatically.
                                                                                                                                                                                                  0058
                                                                                  1 = Yes                                                                                                                    Automatic Holdback Refund
Automatic Holdback Refund                   352     352   1      A/N      O                                                                                                                                  missing/invalid
                                                                                                                                        Funds may provide an actual Holdback release
                                                                                                                                                                                                  0051
Holdback Release Date                       353     360   8       N       O       mmddccyy                                              date.                                                                Holdback Release Date missing/invalid

                                                                                  Input: Spaces
                                                                                  Output: mmddccyy                                                                                                0438
                                                                                  Populated by NSCC on Output listing the date of the
                                                                                  most recent Announcement                                                                                                   Security Announcement Last Updated
Security Announcement Last Updated          361     368   8       N       R                                                                                                                                  missing/invalid




                                                                                                           Page 22 of 116
                                                                                                            Security Contact

Field Name                   Start   End   Length   Type   Opt/Req Values                                              Definition                                     Reject Code              Reject Code Definition
Record Length                 1       4      4       N       R                                                                                                           0001       Record Length missing/invalid
Originator Type               5       5      1      A/N      R     F = Fund                                                                                              0002       Originator Type missing/invalid
                                             8                     Space = All recipients;
                                                                   Otherwise, enter Participant Number to indicate
Recipient Number               6     13             A/N      OC    specific Recipient                                                                                    0167       Recipient Number missing/invalid
Fund Number                   14     21       8     A/N       R                                                                                                          0004       Fund Number missing/invalid
Record Type                   22     24       3     A/N       R    063 = Security Contact                                                                                0005       Record Type missing/invalid
                                             16                    ppppppppnnnnnnnn           Where:                   The NSCC Security Issue Number was
                                                                   pppppppp = Fund Number                              issued when the initial Security General
                                                                   nnnnnnnn = Unique sequential number assigned        Profile and/or Security Announcement record
                                                                   by NSCC                                             was received from the firm.
                                                                   This field will be used on orders to identify the
                                                                   Security Issue.
NSCC Security Issue Number    25     40             A/N      O                                                                                                           0006       NSCC Security Issue Number missing/invalid
Filler                        41     43      3      A/N      R
                                             8                     The class of Shares represented by the Security
                                                                                                                       The Funds' designated share class.
Share Class                   44     51             A/N      O     Issue Number                                                                                          0346       Share Class invalid
                                             1                     Required if NSCC Security Issue Number is           The NSCC Security Issue Number is the
                                                                   blank                                               required identifier, but Funds may opt to
                                                                   1 = ISIN                                            send this additional information.
                                                                   2 = SEDOL
                                                                   3 = CUSIP
Security Identifier           52     52             A/N      OC    4 = Custom                                                                                            0007       Security Identifier invalid
Filler                        53     87      35     A/N       R    Spaces
                                             12                    Required if NSCC Security Issue Number is           The NSCC Security Issue Number is the
                                                                   blank                                               required identifier, but Funds may opt to
Security Issue ID            88       99            A/N      OC                                                        send this additional information.                 0008       Security Issue ID invalid
Filler                       100     101     2      A/N       R
                                             1                     0 or Space = Add/ Replace                           Funds can opt to delete an existing Security
Delete Indicator             102     102             A/N     OC     1 = Delete                                         Announcement record.                              0170       Delete Indicator missing/invalid
                                             1                     Input: Spaces
                                                                   Output:
                                                                   0 = Accepted by NSCC
NSCC Reject Indicator        103     103            A/N      R     1 = Rejected by NSCC                                                                                  0014       NSCC Reject Indicator invalid
                                             4                     Input: Spaces
NSCC Reject Reason Code 1    104     107            A/N      R     Output: Reject Code or space                                                                          0015       NSCC Reject Code invalid
                                             4                     Input: Spaces
NSCC Reject Reason Code 2    108     111            A/N      R     Output: Reject Code or space                                                                          0015       NSCC Reject Code invalid
                                             4                     Input: Spaces
NSCC Reject Reason Code 3    112     115            A/N      R     Output: Reject Code or space                                                                          0015       NSCC Reject Code invalid
                                             4                     Input: Spaces
NSCC Reject Reason Code 4    116     119            A/N      R     Output: Reject Code or space                                                                          0015       NSCC Reject Code invalid
                                             8                     mmddccyy                                            The date the record is submitted.
Submission Date              120     127             N       R     Must be equal to the processing date                                                                  0011       Submission Date missing/invalid
                                             8                     mmddccyy                                            The effective date of the information in the
                                                                   Must be greater or equal to the processing date     Announcement record.
Effective Date               128     135             N       R                                                                                                           0145       Effective Date missing/invalid
                                                                                                            Security Contact

Field Name                             Start   End   Length   Type   Opt/Req Values                                Definition   Reject Code            Reject Code Definition
                                                       2                     01 = Administrator
                                                                             02 = Main Fund Order Desk
                                                                              03 = Marketing/Sales
                                                                             04 = Fund Management Company
                                                                             05 = Local Fund Order Desk
                                                                             06 = Commission
                                                                             07 = Exchange
                                                                             08 = Transfers
                                                                             09 = Settlement
                                                                             10 = Other
                                                                             11 = Auditor
Security Contact Type of Record 1      136     137            A/N      R                                                           0197       Security Contact Type missing/invalid
Contact Address Line 1 of Record 1     138     172     35              R                                                           0287       Contact Address Line 1 length invalid
Contact Address Line 2 of Record 1     173     207     35              O                                                           0288       Contact Address Line 2 length invalid
Contact Address Line 3 of Record 1     208     242     35              O                                                           0289       Contact Address Line 3 length invalid
Contact Address Line 4 of Record 1     243     277     35              O                                                           0290       Contact Address Line 4 length invalid
Contact Address Line 5 of Record 1     278     312     35              O                                                           0291       Contact Address Line 5 length invalid
Contact Telephone Number of Record 1   313     329     17              O                                                           0293       Contact Telephone Number length invalid
Contact Fax Number of Record 1         330     346     17              O                                                           0294       Contact Fax Number length invalid
Contact Email Address of Record 1      347     446    100              O                                                           0312       Contact Email Address
                                                        2                    01 = Administrator
                                                                             02 = Main Fund Order Desk
                                                                              03 = Marketing/Sales
                                                                             04 = Fund Management Company
                                                                             05 = Local Fund Order Desk
                                                                             06 = Commission
                                                                             07 = Exchange
                                                                             08 = Transfers
                                                                             09 = Settlement
                                                                             10 = Other
                                                                             11 = Auditor
Security Contact Type of Record 2      447     448            A/N      O                                                           0197       Security Contact Type missing/invalid
Contact Address Line 1 of Record 2     449     483     35              OC                                                          0287       Contact Address Line 1 length invalid
Contact Address Line 2 of Record 2     484     518     35               O                                                          0288       Contact Address Line 2 length invalid
Contact Address Line 3 of Record 2     519     553     35               O                                                          0289       Contact Address Line 3 length invalid
Contact Address Line 4 of Record 2     554     588     35               O                                                          0290       Contact Address Line 4 length invalid
Contact Address Line 5 of Record 2     589     623     35              O                                                           0291       Contact Address Line 5 length invalid
Contact Telephone Number of Record 2   624     640     17              O                                                           0293       Contact Telephone Number length invalid
Contact Fax Number of Record 2         641     657     17               O                                                          0294       Contact Fax Number length invalid
Contact Email Address of Record 2      658     757    100               O                                                          0312       Contact Email Address
                                                        2                    01 = Administrator
                                                                             02 = Main Fund Order Desk
                                                                              03 = Marketing/Sales
                                                                             04 = Fund Management Company
                                                                             05 = Local Fund Order Desk
                                                                             06 = Commission
                                                                             07 = Exchange
                                                                             08 = Transfers
                                                                             09 = Settlement
                                                                             10 = Other
                                                                             11 = Auditor
Security Contact Type of Record 3      758     759            A/N      O                                                           0197       Security Contact Type missing/invalid
Contact Address Line 1 of Record 3     760     794     35              OC                                                          0287       Contact Address Line 1 length invalid
Contact Address Line 2 of Record 3     795     829     35               O                                                          0288       Contact Address Line 2 length invalid
Contact Address Line 3 of Record 3     830     864     35               O                                                          0289       Contact Address Line 3 length invalid
Contact Address Line 4 of Record 3     865     899     35               O                                                          0290       Contact Address Line 4 length invalid
Contact Address Line 5 of Record 3     900     934     35              O                                                           0291       Contact Address Line 5 length invalid
Contact Telephone Number of Record 3   935     951     17              O                                                           0293       Contact Telephone Number length invalid
                                                                                                             Security Contact

Field Name                             Start   End    Length   Type   Opt/Req Values                                Definition   Reject Code            Reject Code Definition
Contact Fax Number of Record 3         952     968      17              O                                                           0294       Contact Fax Number length invalid
Contact Email Address of Record 3      969     1068    100              O                                                           0312       Contact Email Address
                                                         2                    01 = Administrator
                                                                              02 = Main Fund Order Desk
                                                                               03 = Marketing/Sales
                                                                              04 = Fund Management Company
                                                                              05 = Local Fund Order Desk
                                                                              06 = Commission
                                                                              07 = Exchange
                                                                              08 = Transfers
                                                                              09 = Settlement
                                                                              10 = Other
                                                                              11 = Auditor
Security Contact Type of Record 4      1069    1070            A/N      O                                                           0197       Security Contact Type missing/invalid
Contact Address Line 1 of Record 4     1071    1105     35              OC                                                          0287       Contact Address Line 1 length invalid
Contact Address Line 2 of Record 4     1106    1140     35               O                                                          0288       Contact Address Line 2 length invalid
Contact Address Line 3 of Record 4     1141    1175     35               O                                                          0289       Contact Address Line 3 length invalid
Contact Address Line 4 of Record 4     1176    1210     35               O                                                          0290       Contact Address Line 4 length invalid
Contact Address Line 5 of Record 4     1211    1245     35              O                                                           0291       Contact Address Line 5 length invalid
Contact Telephone Number of Record 4   1246    1262     17              O                                                           0293       Contact Telephone Number length invalid
Contact Fax Number of Record 4         1263    1279     17               O                                                          0294       Contact Fax Number length invalid
Contact Email Address of Record 4      1280    1379    100               O                                                          0312       Contact Email Address
                                                         2                    01 = Administrator
                                                                              02 = Main Fund Order Desk
                                                                               03 = Marketing/Sales
                                                                              04 = Fund Management Company
                                                                              05 = Local Fund Order Desk
                                                                              06 = Commission
                                                                              07 = Exchange
                                                                              08 = Transfers
                                                                              09 = Settlement
                                                                              10 = Other
                                                                              11 = Auditor
Security Contact Type of Record 5      1380    1381            A/N      O                                                           0197       Security Contact Type missing/invalid
Contact Address Line 1 of Record 5     1382    1416     35              OC                                                          0287       Contact Address Line 1 length invalid
Contact Address Line 2 of Record 5     1417    1451     35               O                                                          0288       Contact Address Line 2 length invalid
Contact Address Line 3 of Record 5     1452    1486     35               O                                                          0289       Contact Address Line 3 length invalid
Contact Address Line 4 of Record 5     1487    1521     35               O                                                          0290       Contact Address Line 4 length invalid
Contact Address Line 5 of Record 5     1522    1556     35              O                                                           0291       Contact Address Line 5 length invalid
Contact Telephone Number of Record 5   1557    1573     17              O                                                           0293       Contact Telephone Number length invalid
Contact Fax Number of Record 5         1574    1590     17               O                                                          0294       Contact Fax Number length invalid
Contact Email Address of Record 5      1591    1690    100               O                                                          0312       Contact Email Address
                                                                                                                   Position

                      Field Name   Start   End   Length   Type   Opt/Req                  Values                                    Definition                     Reject Code          Reject Code Definition
Record Length                        1      4      4       N       R                                                                                                  0001       Record Length missing/invalid
Originator Type                      5      5      1      A/N      R       F = Fund                                                                                   0002       Originator Type missing/invalid
                                                                                                                    The NSCC ID of the broker dealer firm or
Firm Number                          6     13      8      A/N       R                                               the custodian firm.                               0003       Firm Number missing/invalid
Fund Number                         14     21      8      A/N       R                                               The NSCC ID of the Fund Company.                  0004       Fund Number missing/invalid
Record Type                         22     24      3      A/N       R      052 = Position                                                                             0005       Record Type missing/invalid
                                                                           ppppppppnnnnnnnn           Where:        The NSCC Security Issue Number was
                                                                           pppppppp = Fund Number                   issued when the initial Security General
                                                                           nnnnnnnn = Unique sequential             Profile and/or Security Announcement
                                                                           number assigned by NSCC                  record was received from the firm.
                                                                           This field will be used on orders to                                                                  NSCC Security Issue Number
NSCC Security Issue Number          25     40      16     A/N      R       identify the Security Issue.                                                               0006       missing/invalid
                                                                           Note. This field will be generated by    Sidepockets are created to designate a
                                                                           NSCC when Sidepocket ID is               portion of the portfolio illiquid and exempt
                                                                           introduced (Announcement Type =          from any offerings or redemptions.
NSCC Sidepocket ID                  41     43      3      A/N      O       11).                                                                                       0343       Sidepocket ID invalid
                                                                           The class of Shares represented by
                                                                                                                    The Funds' designated share class.
Share Class                         44     51      8      A/N      O       the Security Issue Number                                                                  0346       Share Class invalid
                                                                           Required if NSCC Security Issue          The NSCC Security Issue Number is the
                                                                           Number is blank                          required identifier, but Funds may opt to
                                                                           1 = ISIN                                 send this additional information.
                                                                           2 = SEDOL
                                                                           3 = CUSIP
Security Identifier                 52     52      1      A/N      O       4 = Custom                                                                                 0007       Security Identifier invalid
                                                                           Required if NSCC Security Issue          he NSCC Security Issue Number is the
                                                                           Number is blank                          required identifier, but Funds may opt to
                                                                           The number associated with the           send this additional information.
Security Issue ID                   53     64      12     A/N      O       Security Identifier                                                                        0008       Security Issue ID invalid
Filler                              65     102     38              R       Space
                                                                           Input: Spaces
                                                                           Output:
                                                                           0 = Accepted by NSCC
NSCC Reject Indicator               103    103     1      A/N      R       1 = Rejected by NSCC                                                                       0014       NSCC Reject Indicator invalid
                                                                           Input: Spaces
NSCC Reject Reason Code 1           104    107     4      A/N      R       Output: Reject code or space                                                               0015       NSCC Reject Code invalid
                                                                           Input: Spaces
NSCC Reject Reason Code 2           108    111     4      A/N      R       Output: Reject code or space                                                               0015       NSCC Reject Code invalid
                                                                           Input: Spaces
NSCC Reject Reason Code 3           112    115     4      A/N      R       Output: Reject code or space                                                               0015       NSCC Reject Code invalid
                                                                           Input: Spaces
NSCC Reject Reason Code 4           116    119     4      A/N      R       Output: Reject code or space                                                               0015       NSCC Reject Code invalid
Filler                              120    130     11     A/N      R       Space
                                                                           B = Broker Controlled                    The code indicating whether the account is
                                                                           .                                        Broker Controlled or Customer Controlled.                    Network Control Indicator
Network Control Indicator           131    131     1      A/N      R       C = Customer Controlled                                                                    0025       missing/invalid
                                                                           Required if the Network Control          The Broker Dealer account number if
                                                                           Indicator = B                            applicable. If the account is Broker
                                                                                                                    Controlled, Fund’s must store and provide
                                                                                                                    the Firm Account Number on all applicable
Firm Account Number                 132    151     20     A/N      OC                                               records.                                          0026       Firm Account Number missing/invalid
                                                                           Required if Firm Account Number          The Fund or Fund Administrator account
Fund Account Number                 152    171     20     A/N      OC      field is blank                           number.                                           0027       Fund Account Number missing/invalid




       Position                                                                                                      26
                                                                                                  Position

                     Field Name   Start   End   Length   Type   Opt/Req                Values                      Definition                      Reject Code         Reject Code Definition
                                                                                                   A group of shares issued when an
                                                                                                   offshore fund receives a new of additional
                                                                                                   subscription. All subscriptions that occur at
                                                                                                   the same time belong to the same series.
                                                                                                   All shareholders in the same series pay
                                                                                                   performance fee on those shares at the
                                                                                                   same time.



Series                             172    179     8       N       O       ccyymmdd                                                                    0307       Series missing/invalid
                                                                                                   The currency representing the balance.
Balance Currency                   180    182     3      A/N       R                                                                                  0121       Balance Currency missing
                                                                                                   The currency representing the reported
Reporting Currency                 183    185     3      A/N      O                                balance.                                           0022       Reporting Currency missing/invalid
Base Currency                      186    188     3      A/N      O                                The currency used as the base.                     0122       Base Currency invalid
                                                                                                   The money balance reported on the
Previous Money Value               189    204     16      N       R       99,999,999,999,999.99    previous position file.                            0123       Previous $ Value missing/invalid
                                                                                                   The share balance reported on the
Previous Share Balance             205    218     14      N       O       99,999,999, 999.999      previous position file.                            0124       Previous Share Balance invalid
                                                                                                   The date of the previous position file.
Previous Value Date                219    226     8       N        R      mmddccyy                                                                    0125       Previous Value Date missing/invalid
                                                                                                   The closing value as of this position file.
Closing Money Value                227    242     16      N        R      99,999,999,999,999.99                                                       0129       Closing $ Value missing/invalid
                                                                                                   The closing share balance as of this
Closing Share Balance              243    256     14      N        R      9,999,999,999.9999       position file.                                     0130       Closing Share Balance invalid
                                                                                                   The date representing this position file.
Closing Balance Date               257    264     8       N        R      mmddccyy                                                                    0131       Closing Balance Date missing/invalid
                                                                                                   The beginning date of the time period that
                                                                                                   investment cannot be released from the
Lock Up Start Date                 265    272     8       N       O       mmddccyy                 fund.                                              0338       Lock Up Start Date missing/invalid
                                                                                                   The end date of the time period the
                                                                                                   investment cannot be released from the
Lock Up End Date                   273    280     8       N       O       mmddccyy                 fund.                                              0339       Lock Up End Date missing/invalid
                                                                                                   The date the Series ends and is rolled up
                                                                                                   into the underlying share class.
Series Roll Up Date                281    288     8       N       O       mmddccyy                                                                    0308       Series Roll Up Date missing/invalid
                                                                          99,999,999,999,999.99    An amount equal to the greatest value of a
                                                                                                   partner’s capital account, adjusted for
                                                                                                   contributions and withdrawals. An
                                                                                                   investment partnership uses the Highwater
                                                                                                   mark to calculate a limited partner’s target
                                                                                                   capital for performance fee charges.
High Water Mark                    289    304     16      N       O                                                                                   0323       Highwater Mark missing/invalid
                                                                          999.999                  The amount a limited partner’s capital
                                                                                                   account must appreciate before it’s subject
                                                                                                   to a performance fee charge. Hurdle rates
                                                                                                   are defined as an annual percentage of
                                                                                                   the partner’s Highwater mark.
Hurdle Rate                        305    310     6       N       O                                                                                   0324       Hurdle Rate missing/invalid
                                                                          99,999,999,999,999.99    Net Asset Value
                                                                                                   Please populate with $1.00 if the Fund is
NAV                                311    326     16      N       R                                non-unitized.                                      0344       NAV invalid
Custodian Name                     327    361     35     A/N      O                                                                                   0085       Custodian Name missing
                                                                                                                                                                 Custodian Tax Identification Number
Custodian Tax ID #                 362    370     9      A/N      O                                                                                   0086       missing



         Position                                                                                   27
                                                                                                              Position

                   Field Name                 Start   End   Length   Type   Opt/Req                  Values                     Definition                       Reject Code         Reject Code Definition
                                                                                                                                                                               Account Registration Name
Account Registration Name                      371    405     35     A/N      O                                                                                     0029       missing/invalid
YTD Performance                                406    409     4       N       O       99.99                    Year to Date Performance                             0345       YTD Performance invalid
                                                                                      0 = Positive                                                                             YTD Performance Positive/Negative
YTD Performance Positive/Negative Indicator    410    410     1      A/N      O       1 = Negative                                                                  0364       Indicator invalid
Invested Value                                 411    426     16      N       O       99,999,999,999,999.99                                                         0347       Invested Value invalid
GAV                                            427    442     16      N       O       99,999,999,999,999.99    Gross Asset Value                                    0370       GAV invalid
Fund Inception Date                            443    450     8       N       O       mmddyyyy                 Date of Fund inception.                              0355       Inception Date invalid
YTD Return                                     451    454     4       N       O       99.99                    Year to Date Return.                                 0356       YTD Return invalid
                                                                                      0 = Positive                                                                             YTD Return Positive/Negative Indicator
YTD Positive/Negative Indicator                455    455     1      A/N      O       1 = Negative                                                                  0357       invalid
                                                                                                               A technique used to estimate the
                                                                                                               probability of portfolio losses based on the
                                                                                                               statistical analysis of historical price trends
VAR(95%)                                       456    459     4       N       O       99.99                    and volatilities.                                    0358       VAR(95%) invalid
                                                                                      0 = Positive
VAR Positive/Negative Indicator                460    460     1      A/N      O       1 = Negative                                                                  0359       VAR Positive/Negative Indicator invalid


                                                                                                               A ratio developed by William F. Sharpe to
                                                                                                               measure risk-adjusted
                                                                                                               performance. The Sharpe ratio is
                                                                                                               calculated by subtracting the risk-free rate -
                                                                                                               such as that of the 10-year U.S. Treasury
                                                                                                               bond - from the rate of return for a portfolio
                                                                                                               and dividing the result by the standard
Sharpe Ratio                                   461    464     4       N       O       99.99                    deviation of the portfolio returns.                  0360       Sharpe Ratio invalid
                                                                                      0 = Positive                                                                             Sharpe Ratio Positive/Negative
Sharpe Ratio Positive/Negative Indicator       465    465     1      A/N      O       1 = Negative                                                                  0361       Indicator invalid


                                                                                                               A ratio developed by Frank A. Sortino to
                                                                                                               differentiate between good and bad
                                                                                                               volatility in the Sharpe ratio. This
                                                                                                               differentiation of upwards and downwards
                                                                                                               volatility allows the calculation to provide a
                                                                                                               risk-adjusted measure of a security or
                                                                                                               fund's performance without penalizing it for
Sortino Ratio                                  466    469     4       N       O       99.99                    upward price changes.                                0362       Sortino Ratio invalid
                                                                                      0 = Positive                                                                             Sortino Ratio Positive/Negative
Sortino Ratio Positive/Negative Indicator      470    470     1      A/N      O       1 = Negative                                                                  0363       Indicator invalid
Total Commitment Amount                        471    486     16      N       O       99,999,999,999,999.99                                                         0378       Total Commitment Amount invalid
                                                                                      99,999,999,999,999.99
Fulfilled Commitment Amount                    487    502     16      N       O                                                                                     0408       Fulfilled Commitment Amount invalid
                                                                                      99,999,999,999,999.99
Remaining Commitment Amount                    503    518     16      N       O                                                                                     0409       Remaining Commitment Amount invalid
Month to Date Return                           519    522     4       N       O       99.99                                                                         0379       Month to Date Return invalid
                                                                                      0 = Positive
                                                                                      1 = Negative
Month to Date Return Indicator                 523    523     1      A/N      O                                                                                     0380       Month to Date Return Indicator invalid
Quarter to Date Return                         524    527     4       N       O       99.99                                                                         0381       Quarter to Date Return invalid
                                                                                      0 = Positive
                                                                                      1 = Negative
Quarter to Date Return Indicator               528    528     1      A/N      O                                                                                     0382       Quarter to Date Return Indicator invalid
Return since Inception                         529    532     4       N       O       99.99                                                                         0383       Return since Inception invalid




       Position                                                                                                 28
                                                                                                             Position

                    Field Name               Start   End   Length   Type   Opt/Req                  Values              Definition   Reject Code         Reject Code Definition
                                                                                     0 = Positive
                                                                                     1 = Negative
Return Since Inception Indicator              533    533     1      A/N      O                                                          0384       Return since Inception Indicator invalid

Number of Shares in Lock Up                   534    547     14      N       O       99,999,999, 999.999                                0413       Number of Shares in Lock Up invalid
Value of Lock Up Assets                       548    563     16      N       O       99,999,999,999,999.99                              0414       Value of Lock Up Assets invalid
                                                                                                                                                   Number of Unaged Shares for
Number of Unaged Shares for Redemption Fee    564    577     14      N       O       99,999,999, 999.999                                0415       Redemption Fee invalid

Holdback Position Number of Shares            578    591     14      N       O       99,999,999, 999.999                                0416       Holdback Position # of Shares invalid
Value of Holdback Position                    592    607     16      N       O       99,999,999,999,999.99                              0417       Value of Holdback Position invalid
                                                                                     0 = No
Interest Included Indicator                  608     608     1      A/N      O       1 = Yes                                            0450       Interest Included Invalid
                                                                                                                                                   Account Registration Name - Extended
Account Registration Name - Extended          609    768    160     A/N      O                                                          0451       Invalid
Custodian Name - Extended                     769    808     40     A/N      O                                                          0452       Custodian Name - Extended Invalid




       Position                                                                                                29
                                                                                                        Activity Distribution

              Field Name                   Start   End   Length   Type   Opt/Req                        Values                                         Definition                     Reject Code   Reject Code Definition
              Record Length                  1      4      4       N       R                                                                                                             0001       Record Length missing/invalid
              Originator Type                5      5      1      A/N      R       F = Fund                                                                                              0002       Originator Type missing/invalid
                                                                                                                                       The NSCC ID of the broker dealer firm or
              Firm Number                    6     13      8      A/N      R                                                           the custodian firm.                               0003       Firm Number missing/invalid
              Fund Number                   14     21      8      A/N      R                                                           The NSCC ID of the Fund Company.                  0004       Fund Number missing/invalid
                                                                                   050 = Activity and Distribution
              Record Type                   22     24      3      A/N      R       056 = Activity Confirmation                                                                           0005       Record Type missing/invalid
                                                                                   ppppppppnnnnnnnn           Where:                   The NSCC Security Issue Number was
                                                                                   pppppppp = Fund Number                              issued when the initial Security General
                                                                                   nnnnnnnn = Unique sequential number                 Profile and/or Security Announcement
                                                                                   assigned by NSCC                                    record was received from the firm.
                                                                                   This field will be used on orders to identify the
              NSCC Security Issue Number    25     40      16     A/N      R       Security Issue.                                                                                       0006       NSCC Security Issue Number missing/invalid
                                                                                                                                       Sidepockets are created to designate a
                                                                                   Note. This field will be generated by NSCC          portion of the portfolio illiquid and exempt
                                                                                   when Sidepocket ID is introduced                    from any offerings or redemptions.
              NSCC Sidepocket ID            41     43      3      A/N      O       (Announcement Type = 11).                                                                             0343       Sidepocket ID invalid
                                                                                   The class of Shares represented by the Security
                                                                                                                                       The Funds' designated share class.
              Share Class                   44     51      8      A/N      O       Issue Number                                                                                          0346       Share Class invalid
                                                                                   Required if NSCC Security Issue Number is           The NSCC Security Issue Number is the
                                                                                   blank                                               required identifier, but Funds may opt to
                                                                                   1 = ISIN                                            send this additional information.
                                                                                    2 = SEDOL
                                                                                   3 = CUSIP
              Security Identifier           52     52      1      A/N      O       4 = Custom                                                                                            0007       Security Identifier invalid
                                                                                   Required if NSCC Security Issue Number is           The NSCC Security Issue Number is the
                                                                                   blank                                               required identifier, but Funds may opt to
                                                                                   The number associated with the Security             send this additional information.
              Security Issue ID             53     64      12     A/N      O/C     Identifier                                                                                            0008       Security Issue ID invalid
                                                                                   ppppppppyydddnnnnnnn
                                                                                   Where:
                                                                                   pppppppp = Fund number
                                                                                   yyddd = Julian date
                                                                                   nnnnnnn = Unique sequential number
              Control Number                65     84      20     A/N      R                                                                                                             0009       Control Number missing/invalid
              Filler                        85     102     18     A/N      R
                                                                                   Input: Spaces
                                                                                   Output:
                                                                                   0 = Accepted by NSCC
              NSCC Reject Indicator         103    103     1      A/N      R       1 = Rejected by NSCC                                                                                  0014       NSCC Reject Indicator invalid
                                                                                   Input: Spaces
              NSCC Reject Reason Code 1     104    107     4      A/N      R       Output: Reject code or space                                                                          0015       NSCC Reject Code invalid
                                                                                   Input: Spaces
              NSCC Reject Reason Code 2     108    111     4      A/N      R       Output: Reject code or space                                                                          0015       NSCC Reject Code invalid
                                                                                   Input: Spaces
              NSCC Reject Reason Code 3     112    115     4      A/N      R       Output: Reject code or space                                                                          0015       NSCC Reject Code invalid
                                                                                   Input: Spaces
              NSCC Reject Reason Code 4     116    119     4      A/N      R       Output: Reject code or space                                                                          0015       NSCC Reject Code invalid




Activity Distribution                                                                                             30
                                                                                                      Activity Distribution

              Field Name                  Start   End   Length   Type   Opt/Req                       Values                                                   Definition            Reject Code   Reject Code Definition
                                                                                                                                   01 = Direct Purchase
                                                                                                                                   02 = Direct Redemption
                                                                                                                                   03 = Holdback Remainder
                                                                                                                                   04 = Interest on Holdback
                                                                                                                                   05 = LOI Adjustment
                                                                                                                                   06 = Side Letter Adjustment
                                                                                                                                   07 = Dividend Adjustment
                                                                                                                                   08 = Long Term Capital Gain Adjustment
                                                                                                                                   09 = Fund Price Adjustment
                                                                                                                                   10 = Exchange/Switch Fee
                                                                                                                                   11 = Fiduciary Fees
                                                                                                                                   12 = Reinvest from other Fund/DRIP
                                                                                                                                   13 = Direct Transfer In
                                                                                                                                   14 = Systematic Withdrawal Plan
                                                                                                                                   15 = Investor Servicing Fee
                                                                                                                                   16 = Direct Transfer Out
                                                                                                                                   17 = Sidepocket Transfer In
                                                                                                                                   18 = Sidepocket Transfer Out
                                                                                                                                   19 = Series Creation
                                                                                                                                   20 = Series Rollup
                                                                                                                                   21 = Share Adjustment
                                                                                                                                   22 = Share Class Exchange In
                                                                                                                                   23 = Fund Merger Activity
                                                                                                                                   24 = Purchase Cancellation
                                                                                                                                   25 = Redemption Cancellation
                                                                                                                                   26 = Gain On Collectables Adjustment
                                                                                                                                   27 = Section 1202 Gain Adjustment
                                                                                                                                   28 = Un-recaptured Section 1250-Gain Adjustment
                                                                                                                                   29 = Dividend Reinvestment
                                                                                                                                   30 = Net Profit
                                                                                                                                   31 = Net Loss
                                                                                                                                   32 = Performance Fee
                                                                                                                                   33 = Ordinary Income
                                                                                                                                   34 = Net Short Term Realized Gain/Loss
                                                                                                                                   35 = Net Long Term Realized Gain/Loss
                                                                                                                                   36 = Short Term Unrealized Gain/Loss
                                                                                                                                   37 = Long Term Unrealized Gain/Loss
                                                                                                                                   38 = Other Income/Loss
                                                                                                                                   39 = Hot Issue Realized Gain/Loss
                                                                                                                                   40 = Clawback Provision
                                                                                                                                   41 = Assignment
                                                                                                                                   42 = Allocation
                                                                                                                                   43 = Management Fee
                                                                                                                                   44 = Administration Fee
                                                                                                                                   45 = Swap In
                                                                                                                                   46 = Swap Out
                                                                                                                                   47 = Pledge
                                                                                                                                   48 = Unpledged
                                                                                                                                   49 = Distribution
                                                                                                                                   50 = Closing balance record
                                                                                                                                   51 = Share Class Exchange Out
                                                                                                                                   52 = Return of Capital
                                                                                                                                   53 = Capital Call
                                                                                                                                   54 = Capital Call for Management Fees



              Transaction Type             120    121     2      A/N      R                                                                                                             0144       Transaction Type missing/invalid

                                                                                                                                   The settlement date is the monies
                                                                                                                                   are due for settlement. NSCC will
                                                                                  Required if the Settlement Indicator = 1 - Yes   debit or credit the members account
              Settlement Date              122    129     8       N       OC      mmddccyy                                                                                              0017       Settlement Date missing/invalid
                                                                                                                                   on the business date after the
                                                                                  1 = Settling                                     Designates if the transaction is
              Settlement Indicator         130    130     1      A/N      R       2 = Non-Settling                                 settling or not.                                     0018       Settlement Indicator missing/invalid
                                                                                  B = Broker Controlled                            The code indicating whether the
                                                                                  C = Customer Controlled                          account is Broker Controlled or
              Network Control Indicator    131    131     1      A/N      R                                                                                                             0025       Network Control Indicator missing/invalid
                                                                                                                                   Customer Controlled.
                                                                                  Required if the Network Control Indicator = B    The Broker Dealer account number if
                                                                                                                                   applicable. If the account is Broker
                                                                                                                                   Controlled, Fund’s must store and provide
                                                                                                                                   the Firm Account Number on all
              Firm Account Number          132    151     20     A/N      OC                                                       applicable records.                                  0026       Firm Account Number missing/invalid
                                                                                  Required if Firm Account Number field is blank   The Fund or Fund Administrator account
              Fund Account Number          152    171     20     A/N      OC                                                       number.                                              0027       Fund Account Number missing/invalid




Activity Distribution                                                                                          31
                                                                                                                  Activity Distribution

              Field Name                              Start   End   Length   Type   Opt/Req                        Values                                      Definition                    Reject Code   Reject Code Definition
                                                                                              ccyymmdd                                          A group of shares issued when an
                                                                                                                                                offshore fund receives a new of additional
                                                                                                                                                subscription. All subscriptions that occur
                                                                                                                                                at the same time belong to the same
                                                                                                                                                series. All shareholders in the same
                                                                                                                                                series pay performance fee on those
                                                                                                                                                shares at the same time.



              Series                                   172    179     8       N       O                                                                                                         0307       Series missing/invalid
              Currency                                 180    182     3      A/N      R       ISO Compliant                                                                                     0023       Settlement Currency missing/invalid
                                                                                              9,999,999,999.9999                                Activity can be reported as shares
                                                                                                                                                or dollars. If the Money Amount
                                                                                                                                                field is blank, then this field is
              Share Quantity                           183    196     14      N       OC                                                                                                        0024       Share Quantity missing/invalid
                                                                                                                                                required.
                                                                                              1 = Debit Firm / Credit Fund
                                                                                              2 = Debit Fund / Credit Firm
                                                                                              Required if Share Quantity is populated
              Share Debit/Credit Indicator             197    197     1      A/N      OC                                                                                                        0376       Share Debit/Credit Indicator missing/invalid
                                                                                              mmddccyy                                          The date the sender requests the
                                                                                                                                                transaction be effective. The field
                                                                                                                                                can be past or future dated.
              Effective Date                           198    205     8       N       R                                                                                                         0145       Effective Date missing/invalid
                                                                                              99,999,999,999,999.99                             The dollar amount of the transaction
                                                                                              Maximum is 9,999,999,999,999.99 per day           being reported. If the transaction is
                                                                                              This amount will be settled by NSCC if            “settling” then this is the amount
                                                                                              Settlement Indicator = 1                          NSCC will add to the Settlement
                                                                                              Required if Share Quantity is not populated or
                                                                                                                                                obligation.
                                                                                              Settlement Indicator = 1
                                                                                                                                                Required if Share Quantity is not
                                                                                                                                                populated or Settlement Indicator =
              Money Amount                             206    221     16      N       OC                                                        1                                               0021       Dollar Amount missing/invalid
                                                                                              1 = NRA                                           If the account of the Activity or
                                                                                              2 = Tefra Backup                                  Distribution transaction is subject to
                                                                                              3 = Tefra Pension                                 Withholding, this indicator is
              Withholding Indicator                    222    222     1      A/N      O                                                                                                         0096       Withholding Indicator missing/invalid
                                                                                                                                                required.
              Withholding Amount                       223    238     16      N       O       99,999,999,999,999.99                                                                             0146       Withholding amount missing/invalid
                                                                                              9.999                                             Used to report a sales charge
                                                                                              Required for purchase transactions (Transaction   associated with the Activity.
                                                                                              Type = 01).                                       Represented as a percentage.
              Sales Charge Rate                        239    242     4       N       OC      Zeroes allowed                                                                                    0148       Sales Charge Rate missing/invalid
                                                                                              mmddccyy                                          If the transaction is an adjustment,
                                                                                                                                                the sender can indicate the original
                                                                                                                                                trade or transaction date
              Original Trade Date/ Payable Date for                                                                                                                                                        Original Trade Date/ Payable Date for
                                                                                                                                                information in this field.
              Adjustment                               243    250     8       N       O                                                                                                         0149       Adjustment invalid
                                                                                              999,999.999999                                    Used to report a price associated
                                                                                                                                                with the Activity or Distribution.
              Price                                    251    262     12      N       O                                                                                                         0156       Price invalid
                                                                                              999.99999                                         Required on all dividend related
                                                                                              Required if Transaction Type = 07, 18, 29         transaction types. The payable rate
              Dividend Rate                            263    270     8       N       OC      Zeroes allowed                                    represented in $.                               0150       Dividend Rate missing/invalid
                                                                                              999.99999                                         Required on all Capital Gain related
                                                                                              Required if Transaction Type = 08, 26, 27, 28,    transaction types. The payable rate
                                                                                              32, 33 or 34                                      represented in $.
              Capital Gain Rate                        271    278     8       N       OC      Zeroes allowed                                                                                    0151       Capital Gain Rate missing/invalid



Activity Distribution                                                                                                       32
                                                                                                                Activity Distribution

              Field Name                             Start   End   Length   Type   Opt/Req                        Values                                     Definition                   Reject Code   Reject Code Definition
                                                                                             0 = Address of Record                            If the Activity or Distribution is
                                                                                             1 = Payable Address                              settling and is going to a specific
                                                                                             2 = Automatic Clearing House                     address.
                                                                                             3 = Cash to Firm
              Cash Disbursement Indicator             279    279     1      A/N      O                                                                                                       0152       Cash Disbursement Indicator invalid
                                                                                             1 = Debit Firm / Credit Fund                     Indicates whether this
                                                                                             2 = Debit Fund / Credit Firm                     announcement is expected to be a
              Money Debit/Credit Indicator            280    280     1      A/N      OC      Required if Money Amount is populated            debit or credit.                               0132       Money Debit/Credit Indicator missing/invalid
                                                                                             1=Level Load
                                                                                             2=Back-End Load
                                                                                             3=Front-End Load
                                                                                             4=Finder's Fee
                                                                                             5=Other
                                                                                             6 = Medium
                                                                                             7 = Hybrid
                                                                                             8= N/A
              Load Type Indicator                     281    281     1      A/N      O                                                                                                       0039       Load Type Indicator missing/invalid
                                                                                             Required if Transaction Type = 12, 10, 23        This field reports Activity or
                                                                                                                                              Distribution information that
                                                                                                                                              generated in another Security.
              Cross Security NSCC ID                  282    297     16     A/N      OC                                                                                                      0154       Cross Security Issue Number missing/invalid
              Commission/CDSC Amount                  298    313     16      N       O       99,999,999,999,999.99                                                                           0155       Commission/CDSC Amount invalid
              Valuation Date                          314    321     8       N       O       mmddccyy                                         The price date of the transaction.             0045       Valuation Date missing/invalid
                                                                                             999,999.999999                                   The NAV or GAV associated with the
              Valuation Price                         322    333     12      N       O                                                        valuation.                                     0046       Value Price missing/invalid
                                                                                             9,999,999,999.9999                               The number of shares associated with the
              Value Confirm Shares                    334    347     14      N       O                                                        valuation.                                     0047       Value Confirm Shares missing/invalid
                                                                                             1 = Estimated                                    Indicated whether the valuation is actual                 Estimated/Actual Value Confirm
              Estimated/Actual Value Confirm          348    348     1      A/N      O       2 = Actual                                       or estimated.                                  0048       missing/invalid
              Custodian Name                          349    383     35     A/N      O                                                                                                       0085       Custodian Name missing

              Custodian Tax ID #                      384    392     9       N       O                                                                                                       0086       Custodian Tax Identification Number missing

              Account Registration Name               393    427     35     A/N      O                                                                                                       0029       Account Registration Name missing/invalid
                                                                                             ppppppppddddnnnnnnnn
                                                                                             Where:
                                                                                             pppppppp = Fund number
                                                                                             dddd = Julian date
                                                                                             nnnnnnnn = Unique sequential number
                                                                                             Required if the transaction type = 03 Holdback
              Related Control Number                  428    447     20     A/N      OC      Remainder                                                                                       0366       Related Control Number missing/invalid
                                                                                             Required if Transaction Type = 13, 16                                                                      Transfer To/From Account Number
              Transfer To/From Account Number         448    467     20     A/N      OC                                                                                                      0371       missing/invalid
                                                                                             999.999                                                                                                    Upfront Commission Percentage
              Upfront Commission Percentage           468    473     6       N       O                                                                                                       0377       missing/invalid
              Share Lot Identifier                    474    481     8      A/N      O                                                                                                       0385       Share Lot Identifier 1 invalid
                                                                                                                                                                                                        Account Registration Name - Extended
              Account Registration Name - Extended    482    641    160     A/N      O                                                                                                       0451       Invalid
              Custodian Name - Extended               642    681     40     A/N      O                                                                                                       0452       Custodian Name - Extended Invalid




Activity Distribution                                                                                                      33
                                               Activity Transaction Types


                                                    A purchase made directly with the Fund, and without an Order
01 = Direct Purchase                                record sent through NSCC.
                                                    A redemption made directly with the Fund, and without an Order
02 = Direct Redemption                              record sent through NSCC.
03 = Holdback Remainder                             Refund of monies held back on a prior redemption.

04 = Interest on Holdback                           Payment of interest on monies held back from a prior redemption.
05 = LOI Adjustment                                 Adjustment made due to a Letter of Intent.

                                                    Adjustment made due to the existence of a Side Letter or separate
06 = Side Letter Adjustment                         agreement with the Fund, usually for reduced fees or commission.
07 = Dividend Adjustment                            Adjustment made by the Fund to a dividend.
08 = Long Term Capital Gain Adjustment
09 = Fund Price Adjustment                          An adjustment due to a change in share price.
10 = Exchange/Switch Fee                            Fee charged for exchanges or switches.
11 = Fiduciary Fees                                 Fee charged for fiduciary services.
                                                    Change in balance due to a dividend reinvestment from another
12 = Reinvest from other Fund/DRIP                  fund account.
                                                    A transfer in from another Fund account done directly with the
13 = Direct Transfer In                             Fund.
14 = Systematic Withdrawal Plan                     Systemic withdrawal of monies or shares from the account.
15=Investor Servicing Fee                           Fund fee charged for account services.
                                                    A transfer out from the Fund account into another Fund account
16 = Direct Transfer Out                            done directly with the Fund.
                                                    Transfer in of assets released from a sidepocket or the illiquid
17=Sidepocket Transfer In                           portion of the portfolio.
                                                    Transfer out of assets into a sidepocket or the illiquid portion of the
18=Sidepocket Transfer Out                          portfolio.
                                                    The creation of a Series on a Fund account, if not previously
19 =Series Creation                                 reported on a contract note.
20 =Series Rollup                                   The closing of a series after the allotted timeframe.
21 = Share Adjustment                               Adjustment to the share balance.
22 = Share Class Exchange In                        A movement or exchange of one share class for another.
23 = Fund Merger Activity
24 = Purchase Cancellation                          Adjustment for a purchase cancellation.
25 = Redemption Cancellation                        Adjustment for a redemption cancellation.
                                                    Adjustment to Gain from the sale of collectibles and, generally, the taxable
                                                    part of your gain from the sale of qualified small business stock held more
26 = Gain On Collectables Adjustment                than 5 years.
27 = Section 1202 Gain Adjustment                   Adjustment to Gain paid on qualified small business stock
                                                    Adjustment to gain from any part of your net capital gain from selling
28 = Un-recaptured Section 1250 - Gain Adjustment   section 1250 property
29 = Dividend Reinvestment                          Reinvestment of income received into underlying account
30 = Net Profit                                     Equalization transaction of net profit.
31 = Net Loss                                       Equalization transaction of a net loss.
32 = Performance Fee                                Fund performance fee charge.
                                                    Income received that is taxed at the highest rates, or ordinary
33=Ordinary Income                                  income rates.
                                                    A realized gain or loss resulting from selling an asset at a price higher or
34=Net Short term Realized Gain/Loss                lower than the original purchase price.
                                        Activity Transaction Types



                                             A realized gain or loss resulting from selling an asset held longer than 12
35=Net Long term Realized Gain/Loss          mos. at a price higher or lower than the original purchase price.
36=Short term Unrealized Gain/Loss           A gain or loss on an asset that has not been cashed in.
                                             A gain or loss on an asset held longer than 12 months that has not been
37=Long term Unrealized Gain/Loss            cashed in.
38=Other Income/Loss

                                             Any realized gain or loss associated with an issue that sells at a
39=Hot Issue Realized Gain/Loss              premium over the public offering price on the first day of trading
                                             Refund of performance fee by the general partner of a limited
                                             partnership if the partnership profits have fallen below a certain
40=Clawback Provision                        level.
                                             A limited partners transferring some or all of their interest in an
41 = Assignment                              partnership to another partner.
42 = Allocation
43 = Management Fee                          A fee charged to fund the operating expenses of the fund.
44 = Administration Fee                      A fee charge for the administrative services of the fund.
45 = Swap In                                 Added to accommodate Merrill Lynch
46 = Swap Out                                Added to accommodate Merrill Lynch
47 = Pledge                                  Added to accommodate Merrill Lynch
48 = Unpledged                               Added to accommodate Merrill Lynch
49 = Distribution
50 = Closing balance record                  A record indicating the last balance on an account.
51 = Share Class Exchange Out                A movement or exchange of one share class for another.
52 = Return of Capital                       Return of pledged or other capital investment.
53 = Capital Call

54 = Capital Call for Management Fees
Field Name                   Start   End   Length   Type   Opt/Req
Record Length                 1       4      4       N       R

Originator Type               5       5      1      A/N      R

Firm Number                    6     13      8      A/N      R
Fund Number                   14     21      8      A/N      R




Record Type                   22     24      3      A/N      R




NSCC Security Issue Number    25     40     16      A/N      O




NSCC Sidepocket ID            41     43      3      A/N      O
Share Class                   44     51      8      A/N      O




Control Number                52     71     20      A/N      R
Filler                        72     102    31      A/N      R




NSCC Reject Indicator        103     103     1      A/N      R


NSCC Reject Reason Code 1    104     107     4      A/N      R

NSCC Reject Reason Code 2    108     111     4      A/N      R

NSCC Reject Reason Code 3    112     115     4      A/N      R

NSCC Reject Reason Code 4    116     119     4      A/N      R
                                                                     Populated by Firm/Fu

Documentation Description    120     179    60      A/N      O




Documentation Status         180     180     1      A/N      OC
Series                           181   188   8   N       O
                                                  Populated by Firm/Fund on Record Types = 092 o




Fund/Firm Reject Indicator       189   189   1   A/N    OC

Fund/Firm Reject Reason Code 1   190   193   4   A/N    OC

Fund/Firm Reject Reason Code 2   194   197   4   A/N     O

Fund/Firm Reject Reason Code 3   198   201   4   A/N     O

Fund/Firm Reject Reason Code 4   202   205   4   A/N     O
                      Values                                          Definition                     Reject Code
                                                                                                        0001
B = Firm
F = Fund                                                                                                0002
                                                      The NSCC ID of the broker dealer firm or
                                                      the custodian firm.                               0003
                                                      The NSCC ID of the Fund Company.                  0004
090 = Firm Documentation
091 = Documentation Acknowledgement by Firm
092 = Documentation Reject by Firm
093 = Fund Documentation
094 = Documentation Acknowledgement by Fund
095 = Documentation Reject by Fund



                                                                                                        0005
ppppppppnnnnnnnn                                      The NSCC Security Issue Number was
Where:                                                issued when the initial Security General
pppppppp = Fund Number                                Profile and/or Security Announcement
nnnnnnnn = Unique sequential number assigned by       record was received from the firm.
NSCC
                                                                                                        0006
                                                      Sidepockets are created to designate a
                                                      portion of the portfolio illiquid and exempt
                                                      from any offerings or redemptions.
                                                                                                        0343
                                                      The Funds' designated share class.                0346
ppppppppyydddnnnnnnn
Where:
pppppppp = Fund number
yyddd = Julian date
nnnnnnn = Unique sequential number
                                                                                                        0009

Input: Spaces
Output:
0 = Accepted by NSCC
1 = Rejected by NSCC                                                                                    0014
Input: Spaces
Output: Reject code or space                                                                            0015
Input: Spaces
Output: Reject code or space                                                                            0015
Input: Spaces
Output: Reject code or space                                                                            0015
Input: Spaces
Output: Reject code or space                                                                            0015
                Populated by Firm/Fund

                                                                                                        0302

Required if Record Type = 091 or 092 or 094 or 095
1 = Received
2 = Accepted (allowed only for Record Type = 091 or
094 )
3 = Rejected (allowed only for Record Type = 092 or
095)
4 = Partial Acceptance                                                                                  0079
                                                 A group of shares issued when an
                                                 offshore fund receives a new of
                                                 additional subscription. All subscriptions
                                                 that occur at the same time belong to the
                                                 same series. All shareholders in the
                                                 same series pay performance fee on
                                                 those shares at the same time.
         ccyymmdd                                                                             0307
ulated by Firm/Fund on Record Types = 092 or 095 (Documentation Reject)


         Required for Record Type = 092 or 095
         0 = Accepted by Firm/Fund
         1 = Rejected by Firm/Fund                                                            0059
         Rejected for Record Type = 092 or 095
         Spaces for other Record Types                                                        0060
         Rejected for Record Type = 092 or 095
         Spaces for other Record Types                                                        0060
         Rejected for Record Type = 092 or 095
         Spaces for other Record Types                                                        0060
         Rejected for Record Type = 092 or 095
         Spaces for other Record Types                                                        0060
Reject Code Definition
Record Length missing/invalid

Originator Type missing/invalid

Firm Number missing/invalid
Fund Number missing/invalid




Record Type missing/invalid




NSCC Security Issue Number
missing/invalid




Sidepocket ID invalid
Share Class invalid




Control Number missing/invalid




NSCC Reject Indicator invalid


NSCC Reject Code invalid

NSCC Reject Code invalid

NSCC Reject Code invalid

NSCC Reject Code invalid



Documentation Description missing/invalid




Account Documentation Attached
missing/invalid
Series missing/invalid




Fund/Firm Reject Indicator missing/invalid
Fund/Firm Reject Reason Code
missing/invalid
Fund/Firm Reject Reason Code
missing/invalid
Fund/Firm Reject Reason Code
missing/invalid
Fund/Firm Reject Reason Code
missing/invalid
                                                                                                                         Commission


             Field Name      Start   End   Length   Type   Opt/Req                         Values                                        Definition                    Reject Code             Reject Code Definition
Record Length                  1      4      4       N       R                                                                                                            0001       Record Length missing/invalid
Originator Type                5      5      1      A/N      R       F = Fund                                                                                             0002       Originator Type missing/invalid
                                                                                                                           The NSCC ID of the broker dealer firm or
Firm Number                    6     13      8      A/N      R                                                             the custodian firm.                            0003       Firm Number missing/invalid
Fund Number                   14     21      8      A/N      R                                                             The NSCC ID of the Fund Company.               0004       Fund Number missing/invalid
Record Type                   22     24      3      A/N      R       051 = Commission                                                                                     0005       Record Type missing/invalid
                                                                     ppppppppnnnnnnnn           Where:                     The NSCC Security Issue Number was
                                                                     pppppppp = Fund Number                                issued when the initial Security General
                                                                     nnnnnnnn = Unique sequential number assigned by       Profile and/or Security Announcement
                                                                     NSCC                                                  record was received from the firm.
                                                                     This field will be used on orders to identify the
NSCC Security Issue Number    25     40      16     A/N      R       Security Issue.                                                                                      0006       NSCC Security Issue Number missing/invalid
                                                                                                                        Sidepockets are created to designate a
                                                                     Note. This field will be generated by NSCC when    portion of the portfolio illiquid and exempt
                                                                     Sidepocket ID is introduced (Announcement Type = from any offerings or redemptions.
NSCC Sidepocket ID            41     43      3      A/N      O       11).                                                                                                 0343       Sidepocket ID invalid
Share Class                   44     51      8      A/N      O                                                          The Funds' designated share class.                0346       Share Class invalid
                                                                     1 = ISIN                                           The NSCC Security Issue Number is the
                                                                     2 = SEDOL                                          required identifier, but Funds may opt to
                                                                     3 = CUSIP                                          send this additional information.
Security Identifier           52     52      1      A/N      O       4 = Custom                                                                                           0007       Security Identifier invalid
                                                                     Required if NSCC Security Issue Number is blank    The NSCC Security Issue Number is the
                                                                     The number associated with the Security Identifier required identifier, but Funds may opt to
                                                                                                                        send this additional information.
Security Issue ID             53     64      12     A/N      O                                                                                                            0008       Security Issue ID invalid
                                                                     ppppppppyydddnnnnnnnn                                 The control number of a trade related to
                                                                     Where:                                                the commission payment.
                                                                     pppppppp = Originating participant number
                                                                     yyddd = Julian date
                                                                     nnnnnnnn = Unique sequential number

                                                                     Required if Debit Reason Code is 4
Related Control Number        65      84     20     A/N      O/C                                                                                                          0009       Control Number missing/invalid
Filler                        85     102     18     A/N       R
                                                                     Input: Spaces
                                                                     Output:
                                                                     0 = Accepted by NSCC
NSCC Reject Indicator         103    103     1      A/N      R       1 = Rejected by NSCC                                                                                 0014       NSCC Reject Indicator invalid
                                                                     Input: Spaces
NSCC Reject Reason Code 1     104    107     4      A/N      R       Output: Reject code or space                                                                         0015       NSCC Reject Code invalid
                                                                     Input: Spaces
NSCC Reject Reason Code 2     108    111     4      A/N      R       Output: Reject code or space                                                                         0015       NSCC Reject Code invalid
                                                                     Input: Spaces
NSCC Reject Reason Code 3     112    115     4      A/N      R       Output: Reject code or space                                                                         0015       NSCC Reject Code invalid
                                                                     Input: Spaces
NSCC Reject Reason Code 4     116    119     4      A/N      R       Output: Reject code or space                                                                         0015       NSCC Reject Code invalid
                                                                     01 = Initial purchase                                 Indicates if the commission payment
                                                                     02 = Subsequent purchase                              belongs to an initial or subsequent
Transaction Code              120    121     2      A/N      O                                                             purchase if applicable.                        0016       Transaction Code missing/invalid
                                                                     mmddccyy                                              The date the commission payment will
Settlement Date               122    129     8       N       R                                                             settle.                                        0017       Settlement Date missing/invalid
                                                                     1 = Settling                                          The commission payment can be a debit
                                                                     2 = Non-Settling                                      or a credit.
Settlement Indicator          130    130     1      A/N      R                                                                                                            0018       Settlement Indicator missing/invalid


       Commission                                                                                                             42
                                                                                                                         Commission


             Field Name     Start   End   Length   Type   Opt/Req                           Values                                       Definition                    Reject Code            Reject Code Definition
                                                                    B = Broker Controlled                                 The code indicating whether the account
                                                                    C = Customer Controlled                               is Broker Controlled or Customer
Network Control Indicator    131    131     1      A/N      R                                                             Controlled.                                     0025       Network Control Indicator missing/invalid
                                                                                                                          The Broker Dealer account number if
Firm Account Number          132    151     20     A/N      OC      Required if the Network Control Indicator = B         applicable.                                     0026       Firm Account Number missing/invalid
                                                                                                                          The Fund or Fund Administrator account
Fund Account Number          152    171     20     A/N      OC      Required if the Firm Account Number field is blank    number.                                         0027       Fund Account Number missing/invalid
                                                                    ccyymmdd                                              A group of shares issued when an
                                                                                                                          offshore fund receives a new of
                                                                                                                          additional subscription. All subscriptions
                                                                                                                          that occur at the same time belong to the
                                                                                                                          same series. All shareholders in the
                                                                                                                          same series pay performance fee on
                                                                                                                          those shares at the same time.



Series                       172    179     8       N       O                                                                                                             0307       Series missing/invalid
                                                                    ISO Compliant                                         The currency of the commission amount.
Currency                     180    182     3      A/N      R                                                                                                             0023       Settlement Currency missing/invalid
                                                                                                                          The share quantity of the underlying
Share Quantity               183    196     14      N       O       9,999,999,999.9999                                    trade if applicable.                            0024       Share Quantity missing/invalid
                                                                    mmddccyy                                              The original trade date of the underlying
Trade Date                   197    204     8       N       O                                                             trade.                                          0012       Trade Date missing/invalid
                                                                                                                          The price associated with the underlying
Price                        205    216     12      N       O       999,999.999999                                        trade.                                          0154       Cross Security Issue Number missing/invalid
                                                                    1 = Debit Firm / Credit Fund                          Debit or Credit indicator.
Debit/Credit Indicator       217    217     1      A/N      R       2 = Debit Fund / Credit Firm                                                                          0132       Money Debit/Credit Indicator missing/invalid
                                                                    Required if Debit/Credit Indicator is 1               The Funds' reason for debiting
                                                                    1 = Adjustment Reclaim                                commissions.
                                                                    2 = Commission Reclaim
                                                                    3 = Statement of Intent Reclaim
                                                                    4 = Trade Cancellation
Debit Reason Code            218    218     1      A/N      OC      5 = Other                                                                                             0133       Debit Reason Code missing/invalid
                                                                    mmddccyy                                              The date the Fund will process the
Fund Processing Date         219    226     8       N       R                                                             commission payment or reporting.                0134       Fund Processing Date invalid
                                                                                                                          The type of commission payment
                                                                    01 = Front End                                        represented in the record.
                                                                    02 = Basis Point
                                                                    03 = Re-Invested dividend
                                                                    04 = CDSC Advance
                                                                    05 = Promotional
                                                                    06 = Finders Fee
                                                                    07 = 12b-1 Fee
                                                                    08 = Supplemental
                                                                    09 = Negotiated Commission
                                                                    10 = Pre-Paid Commission
                                                                    11 = Wrap Fee Commission
                                                                    12 = Finder Fee Wire Commission
                                                                    13 = Service Fee
                                                                    14 = Record-keeping Fee
Commission Type              227    228     2      A/N      R       15 = Advisor Paid Fee                                                                                 0135       Commission Type missing/invalid
Record Date                  229    236     8       N       O       mmddccyy                                                                                              0136       Record Date missing/invalid
                                                                    99,999,999,999,999.99                                 The dollar amount of the commission
                                                                    Maximum is 9,999,999,999,999.99 per day               payment.
Commission Amount                           16      N       R       This amount will be settled by NSCC if Settlement                                                                Commission Amount missing/invalid
                             237    252                                                                                                                                   0137
                                                                    Indicator = 1


         Commission                                                                                                          43
                                                                                                           Commission


           Field Name           Start   End   Length   Type   Opt/Req                             Values                  Definition                 Reject Code            Reject Code Definition
                                                                        0 = Tax Identification#
                                                                        1 = SSN
SSN/TIN Number Indicator                        1      A/N      O       2 = Investor TIN/EIN                                                                       SSN/TIN Number Indicator missing/invalid
                                 253    253                                                                                                             0138
                                                                                                            The SSN/TIN of the associated account.
SSN/TIN Number                   254    262     9      A/N      O                                                                                       0139       SSN/TIN Number missing/invalid
Branch Id Number                 263    271     9      A/N      R                                           The broker dealers' branch id.              0033       Branch Identification Number invalid
                                                                                                            The broker dealers' registered
Account Representative Number    272    280     9      A/N      O                                           representative number.                      0032       Account Representative Number invalid
                                                                        Required if Name 1 is not blank
                                                                        C = Customer name
Name Indicator 1                 281    281      1     A/N      OC      R = Representative name                                                         0141       Name Indicator missing/invalid
Name 1                           282    316     35     A/N      O                                                                                       0285       Name 1 length invalid
                                                                        Required if Name 2 is not blank
                                                                        C = Customer name
                                                                        R = Representative name
Name Indicator 2                 317    317      1     A/N      OC                                                                                      0141       Name Indicator missing/invalid
Name 2                           318    352     35     A/N      O                                                                                       0286       Name 2 length invalid
Commission Rate                  353    360      8      N       O       999.99999                                                                       0142       Commission Rate missing/invalid
Gross Amount of Trade            361    376     16      N       O       999,999,999,999,999.99                                                          0143       Gross Amount of Trade invalid
Custodian Name                   377    411     35     A/N      O                                                                                       0085       Custodian Name missing

Custodian Tax ID #               412    420     9      A/N      O                                                                                       0086       Custodian Tax Identification Number missing

Account Registration Name        421    455     35     A/N      O                                                                                       0029       Account Registration Name missing/invalid
Share Lot Identifier             456    463      8     A/N      O                                                                                       0385       Share Lot Identifier 1 invalid
Custodian Name - Extended        464    503     40     A/N      O                                                                                       0452       Custodian Name - Extended Invalid
Account Registration Name -
Extended                         504    663    160     A/N      O                                                                                       0451       Account Registration Name - Extended Invalid




      Commission                                                                                               44
      Order


                                                                                         Values                                          Definition                     Reject            Reject Code Definition
Field Name                   Start   End   Length   Type   Opt/Req                                                                                                      Code
Record Length                 1       4      4       N       R                                                                                                           0001    Record Length missing/invalid
                                                                     B = Firm
Originator Type               5       5      1      A/N      R       F = Fund                                                                                            0002    Originator Type missing/invalid
                                                                                                                         The NSCC ID of the broker dealer firm or the
Firm Number                   6      13      8      A/N      R                                                           custodian firm.                                 0003    Firm Number missing/invalid
Fund Number                   14     21      8      A/N      R                                                           The NSCC ID of the Fund Company.                0004    Fund Number missing/invalid
                                                                     001 = Firm Order
                                                                     002 = Fund Order
Record Type                   22     24      3      A/N      R       032 = Prepaid Firm Order                                                                            0005    Record Type missing/invalid
                                                                     ppppppppnnnnnnnn           Where:                   The NSCC Security Issue Number was
                                                                     pppppppp = Fund Number                              issued when the initial Security General
                                                                     nnnnnnnn = Unique sequential number assigned        Profile and/or Security Announcement record
                                                                     by NSCC                                             was received from the firm.
                                                                     This field will be used on orders to identify the
NSCC Security Issue Number    25     40     16      A/N      R       Security Issue.                                                                                     0006    NSCC Security Issue Number missing/invalid
                                                                     The class of Shares represented by the Security
                                                                                                                         The Funds' designated share class.
NSCC Sidepocket ID            41     43      3      A/N      O       Issue Number                                                                                        0343    Sidepocket ID invalid
Share Class                   44     51      8      A/N      O                                                       The Funds' designated share class.                  0346    Share Class invalid
                                                                     Required if NSCC Security Issue Number is blank The NSCC Security Issue Number is the
                                                                     1 = ISIN                                        required identifier, but Funds may opt to
                                                                      2 = SEDOL                                      send this additional information.
                                                                     3 = CUSIP
                                                                     4 = Custom
Security Identifier           52     52      1      A/N      A/N                                                                                                        0007     Security Identifier invalid
                                                                     The number associated with the Security             The NSCC Security Issue Number is the
                                                                     Identifier.                                         required identifier, but Funds may opt to
Security Issue ID             53     64     12      A/N      O                                                           send this additional information.               0008    Security Issue ID invalid
                                                                     ppppppppyydddnnnnnnn                                The unique control number assigned by the
                                                                     Where:                                              submitter to identify the trade.
                                                                     pppppppp = Fund number
                                                                     yyddd = Julian date
                                                                     nnnnnnnn = Unique sequential number

Control Number                65     84     20      A/N      R                                                                                                          0009     Control Number missing/invalid
Correction Indicator          85     85      1      A/N      O       Space                                                                                              0010     Correction Indicator missing/invalid
                                                                     mmddccyy                                            The date the submitter transmitted the
Submission Date               86      93     8       N       R                                                           transaction.                                   0011     Submission Date missing/invalid
Trade Date/Dealing Date       94     101     8       N       R       mmddccyy                                            The date the Order was initiated.              0012     Trade Date missing/invalid
                                                                     Required for initial purchase
                                                                     (Transaction Code = 01)
                                                                     Otherwise, if not provided,
                                                                     Registration will not be allowed.
                                                                     0 = No Registration Required
                                                                     1 = Registration required
                                                                     2 = Registration submitted before.
                                                                     Must be 2 on Firm Order (Record Type = 001),
                                                                     Prepaid Firm Order (Record Type = 032), and
                                                                     Fund Order (Record Type = 002) if original
                                                                     purchase (Transaction Code = 01).


Registration Indicator       102     102     1      A/N      OC                                                                                                         0013     Registration Indicator missing/invalid
      Order


                                                                                                 Values                                         Definition                      Reject            Reject Code Definition
Field Name                           Start   End   Length   Type   Opt/Req                                                                                                      Code
                                                                             Input: Spaces
                                                                             Output:
                                                                             0 = Accepted by NSCC
                                                                             1 = Rejected by NSCC
NSCC Reject Indicator                103     103     1      A/N      R       2 = Accepted with errors                                                                           0014     NSCC Reject Indicator invalid
                                                                             input: Spaces
NSCC Reject Reason Code 1            104     107     4      A/N      R       Output: Reject code or space                                                                       0015     NSCC Reject Code invalid
                                                                             input: Spaces
NSCC Reject Reason Code 2            108     111     4      A/N      R       Output: Reject code or space                                                                       0015     NSCC Reject Code invalid
                                                                             input: Spaces
NSCC Reject Reason Code 3            112     115     4      A/N      R       Output: Reject code or space                                                                       0015     NSCC Reject Code invalid
                                                                             input: Spaces
NSCC Reject Reason Code 4            116     119     4      A/N      R       Output: Reject code or space                                                                       0015     NSCC Reject Code invalid
                                                                             01 = Initial purchase                             Indicates whether the Order is a purchase or
                                                                             02 = Subsequent purchase                          redemption in a new or existing account.
                                                                             03 = New Redemption Request
                                                                             04 = Redemption Request of Holdback




Transaction Code                     120     121     2      A/N      R                                                                                                           0016    Transaction Code missing/invalid
                                                                             mmddyyyy                                          REIT's will use settlement date as the date
                                                                             If not provided, will be populated by NSCC from   the Order in finalized and the recipient
                                                                             Security Announcement information                 expects proceeds of the Order.
Settlement Date/Contract Note        122     129     8       N       O                                                                                                          0017     Settlement Date missing/invalid
                                                                             1 = Settling                                      Orders can settle through NSCC or users
                                                                             2 = Non-Settling                                  may opt to just exchange the trade facts and
                                                                                                                               settle outside of NSCC. Typically non-settling
                                                                                                                               transactions will occur on Orders placed in
Settlement Indicator                 130     130     1      A/N      R                                                         non-USD.                                          0018    Settlement Indicator missing/invalid
                                                                             0 = No                                            Funds, on Fund generated orders, may opt
                                                                             1 = Yes                                           to override the established "Settlement Date"
                                                                             Allowed only on Fund generated trades             date listed on the Security Profile
Settlement Date Override Indicator   131     131     1      A/N      O                                                         Announcement.                                     0019    Settlement Date Override Indicator invalid
                                                                             1 = Attached (via Paper Flow)                     Indicates if the subaccount documentation
                                                                             2 = Not Attached                                  was sent via the Paper Workflow application
                                                                                                                               with a corresponding Control #.                           Account Documentation Attached
Documentation Status Indicator       132     132     1      A/N      R                                                                                                           0079    missing/invalid
                                                                             9999999999999
Money Amount                         133     148    16       N       R       Maximum is 9,999,999,999,999.99 per day                                                             0021    Dollar Amount missing/invalid
Reporting Currency                   149     151     3      A/N      R       ISO Compliant                                     The reporting currency of the trade.              0022    Reporting Currency missing/invalid
Settlement Currency                  152     154     3      A/N      R       ISO Compliant                                     The settlement currency of the trade.             0023    Settlement Currency missing/invalid
Share Quantity                       155     168    14       N       O       9,999,999,999.9999                                The share quantity of the trade.                  0024    Share Quantity missing/invalid
                                                                             B = Broker Controlled                             Designates the account broker controlled or
Network Control Indicator            169     169     1      A/N      R       C = Customer Controlled                           customer controlled.                              0025    Network Control Indicator missing/invalid
                                                                             Required if the Network Control Indicator = B     The Broker Dealer account number if
                                                                                                                               applicable. If the account is Broker
                                                                                                                               Controlled, Fund’s must store and provide
                                                                                                                               the Firm Account Number on all applicable
Firm Account Number                  170     189    20      A/N      OC                                                        records.                                          0026    Firm Account Number missing/invalid
                                                                             Required if Firm Account Number field is blank    The Fund or Fund Administrator account
Fund Account Number                  190     209    20      A/N      OC                                                        number.                                           0027    Fund Account Number missing/invalid
Series                               210     217     8       N        O      ccyymmdd                                                                                            0307    Series missing/invalid
     Order


                                                                                              Values                                           Definition                      Reject           Reject Code Definition
Field Name                      Start   End   Length   Type   Opt/Req                                                                                                          Code
                                                                        mmddccyy                                             The date the series is scheduled to end.




Series Roll Up Date             218     225     8       N       O                                                                                                               0308    Series Roll Up Date missing/invalid
                                                                                                                             The account number used by the Custodian
                                                                                                                             to identify the customer account.
Custodian Account Number        226     245    20      A/N      O                                                                                                               0309    Custodian Account Number missing/invalid
                                                                        01   = Individual                                    The type of account the registration
                                                                        02   = Corporation                                   represents.
                                                                        03   = Partnership
                                                                        04   = Sole Proprietorship
                                                                        05   = Exempt Organization
                                                                        06   = Joint Account
                                                                        07   = Trust
                                                                        08   = UGMA/UTMA
                                                                        09   = Nominee with type of entity
                                                                        10   = Non-custodial IRA
                                                                        11   = Traditional IRA
                                                                        12   = Rollover IRA
                                                                        13   = SEP IRA
                                                                        14   = Roth IRA
                                                                        15   = Roth Conversion
Account Type                    246     247     2      A/N      R                                                                                                               0028    Account Type missing/invalid
                                                                        Required for Initial Purchase (Transaction Code =    The name of the account holder.
Account Registration Name       248     407    160     A/N      OC      01)                                                                                                     0029    Account Registration Name missing/invalid
                                                                        Required if Related Trade Indicator = 1 and          If this is a Correction of a previously settled
                                                                        Related Account Number and Related Account           trade, this field can be used to indicate the
                                                                        Security Issue ID are not provided. Also, required   original control number.
                                                                        if Transaction Code = 04 (Redemption Request of
Original Control Number         408     427    20      A/N      OC      Holdback)                                                                                               0030    Original Control Number Invalid
                                                                        1 = Registered Investment Advisor                    The representative type responsible for the
                                                                        2 = Registered Representative                        account.
RIA/RR Indicator                428     428     1      A/N      O                                                                                                               0031    RIA/RR Indicator missing/invalid
                                                                                                                             The name of the firm acting as the broker or
                                                                                                                             the party with custody responsibilities on the
Company Name                    429     463    35      A/N      O                                                            account.                                           0244    Company Name length invalid
Account Representative Name     464     478    15      A/N      O                                                            The name of the account representative.            0245    Account Representative Name length invalid
                                                                                                                             The number of the account representative.
Account Representative Number   479     487     9      A/N      O                                                                                                               0032    Account Representative Number invalid
                                                                                                                             The branch id of the account representative.
Branch ID                       488     496     9      A/N      O                                                                                                               0033    Branch Identification Number invalid
Branch Address 1                497     531    35      A/N      O                                                            The branch address line #1.                        0246    Branch Address 1 length invalid
      Order


                                                                                                Values                                       Definition                       Reject            Reject Code Definition
Field Name                          Start   End   Length   Type   Opt/Req                                                                                                     Code
Branch Address 2                    532     566     35     A/N      O                                                       The branch address line #2.                        0247    Branch Address 2 length invalid
Branch Address 3                    567     601     35     A/N      O                                                       The branch address line #3.                        0248    Branch Address 3 length invalid
Branch Address 4                    602     636     35     A/N      O                                                       The branch address line #4.                        0249    Branch Address 4 length invalid
Branch Address 5                    637     671     35     A/N      O                                                       The branch address line #5.                        0250    Branch Address 5 length invalid
                                                                            Required if Branch Address Line 1 is entered    The postal code of the branch address,
Branch Postal Code/Zip Code         672     682    11      A/N      OC                                                                                                         0034    Branch Zip missing/invalid
                                                                            Required if Branch Address Line 1 is entered.
                                                                            ISO Compliant
Branch Country                      683     685     3      A/N      OC                                                                                                         0035    Branch Country missing/invalid
                                                                            0 = No                                          Indicates if there is a trade related to the
                                                                            1 = Yes                                         current transaction.
                                                                                                                            If there is an LOI/Commitment or ROA/Side
                                                                                                                            Letter eligible trade, the indicator should be
                                                                                                                            “1=Yes". This field is for information
                                                                                                                            purposed only, NSCC will not validate.
Related Trade Indicator             686     686     1      A/N      O                                                                                                         0036     Related Trade Indicator invalid
                                                                            Required if Related Trade Indicator = 1 and     Indicates if there is an account related to the
                                                                            Original Control Number is not provided         current transaction.
                                                                                                                            If there is an LOI/Commitment or ROA/Side
                                                                                                                            Letter eligible trade, the indicator should be
                                                                                                                            “1=Yes". This field is for information
                                                                                                                            purposed only, NSCC will not validate.
Related Account Number              687     706    20      A/N      OC                                                                                                        0037     Related Account Number invalid
                                                                            Required if Related Trade Indicator = 1 and
Related Account Security Issue ID   707     718    12      A/N      OC      Original Control Number is not provided                                                           0038     Related Account Security Issue ID invalid
                                                                            1=Level Load
                                                                            2=Back-End Load
                                                                            3=Front-End Load
                                                                            4=Finder's Fee
                                                                            5=Other
                                                                            6 = Medium
                                                                            7 = Hybrid
                                                                            8= N/A
Load Type Indicator                 719     719     1      A/N      R                                                                                                         0039     Load Type Indicator missing/invalid
                                                                            1 = ROA/Side Letter value at fund               Indicates a change, usually a reduction, in
                                                                            2 = LOI/Commitment Letter at fund               the anticipated or published commission/fee
                                                                            3 = The higher of cost or                       rate.
                                                                                 market value at fund
Breakpoint Change Reason Code       720     720     1      A/N      O                                                                                                         0040     Breakpoint Change Reason Code invalid
                                                                            99,999,999,999,999.99                           The commission or fee amount in dollars.
Commission Amount                   721     736    16       N       O                                                                                                          0041    Commission Amount invalid
Commission Percentage               737     742     6       N       O       999.999                                         The commission or fee amount in %.                 0042    Commission Percentage invalid
Dealer Concession                   743     758    16       N       O       99,999,999,999,999.99                           The dealer concession in dollars.                  0043    Dealer Concession invalid
Redemption Percentage               759     764     6       N       O       999.999
Share Lot Identifier 1              765     772     8      A/N      O       mmddyyyy                                                                                           0385    Share Lot Identifier 1 invalid
Share Lot Identifier 2              773     780     8      A/N      O       mmddyyyy                                                                                           0386    Share Lot Identifier 2 invalid
Share Lot Identifier 3              781     788     8      A/N      O       mmddyyyy                                                                                           0387    Share Lot Identifier 3 invalid
Share Lot Identifier 4              789     796     8      A/N      O       mmddyyyy                                                                                           0388    Share Lot Identifier 4 invalid
Share Lot Identifier 5              797     804     8      A/N      O       mmddyyyy                                                                                           0389    Share Lot Identifier 5 invalid
                                                                            0 = No
Erisa Eligible Indicator            805     805     1      A/N      R       1 = Yes                                                                                            0397    Erisa Eligible Indicator missing/invalid
Erisa Percentage                    806     811     6       N       R       999.999                                                                                            0398    Erisa Percentage missing/invalid
                                                                            0 = No
Erisa Pre-certified Indicator       812     812     1      A/N      R       1 = Yes                                                                                            0399    Erisa Pre-certified missing/invalid
                                                                                                                    Order w-Registration

Field Name                      Start   End   Length Type   Opt/Req Values                                              Definition                                              Reject Code            Reject Code Definition
Record Length                    1       4      4     N       R                                                                                                                    0001       Record Length missing/invalid
                                                                    B - Firm
Originator Type                  5       5      1    A/N      R     F - Fund                                                                                                       0002       Originator Type missing/invalid
                                                                                                                        The NSCC ID of the broker dealer firm or the
Firm Number                      6      13      8    A/N      R                                                         custodian firm.                                            0003       Firm Number missing/invalid
Fund Number                      14     21      8    A/N      R                                                         The NSCC ID of the Fund Company.                           0004       Fund Number missing/invalid
                                                                    011 - Firm Order with Registration
                                                                    012 - Fund Order with Registration
                                                                    043 - Prepaid Firm Order with Registrationn
Record Type                      22     24      3    A/N      R                                                                                                                    0005       Record Type missing/invalid
                                                                    ppppppppnnnnnnnn           Where:                   The NSCC Security Issue Number was issued
                                                                    pppppppp = Fund Number                              when the initial Security General Profile and/or
                                                                    nnnnnnnn = Unique sequential number assigned        Security Announcement record was received from
                                                                    by NSCC                                             the firm.
                                                                    This field will be used on orders to identify the
                                                                    Security Issue.                                                                                                           NSCC Security Issue Number
NSCC Security Issue Number       25     40     16    A/N      R                                                                                                                    0006       missing/invalid
                                                                    Note. This field will be generated by NSCC when     Sidepockets are created to designate a portion of
                                                                    Sidepocket ID is introduced (Announcement           the portfolio illiquid and exempt from any offerings
NSCC Sidepocket ID               41     43      3    A/N      O     Type = 11).                                         or redemptions.                                            0343       Sidepocket ID invalid
                                                                    The class of Shares represented by the Security
                                                                                                                        The Funds' designated share class.
Share Class                      44     51      8    A/N      O     Issue Number                                                                                                   0346       Share Class invalid
                                                                    Required if NSCC Security Issue Number is blank     The NSCC Security Issue Number is the required
                                                                    1 = ISIN                                            identifier, but Funds may opt to send this additional
                                                                     2 = SEDOL                                          information.
                                                                    3 = CUSIP
                                                                    4 = Custom


Security Identifier              52     52      1    A/N      O                                                                                                                    0007       Security Identifier invalid
                                                                    Required if NSCC Security Issue Number is blank he NSCC Security Issue Number is the required
                                                                    The number associated with the Security Identifier identifier, but Funds may opt to send this additional
Security Issue ID                53     64     12    A/N      O/C                                                      information.                                                0008       Security Issue ID invalid
                                                                    ppppppppyydddnnnnnnn                                The unique control number assigned by the
                                                                    Where:                                              submitter to identify the trade.
                                                                    pppppppp = Fund number
                                                                    yyddd = Julian date
                                                                    nnnnnnnn = Unique sequential number

Control Number                   65     84     20    A/N      R                                                                                                                    0009       Control Number missing/invalid
Correction Indicator             85     85      1    A/N      O     Space                                                                                                          0010       Correction Indicator missing/invalid
Submission Date                  86     93      8     N       R     mmddccyy                                            The date the submitter transmitted the transaction.        0011       Submission Date missing/invalid
Trade Date/Dealing Date          94     101     8     N       R     mmddccyy                                            The date the Order was initiated.                          0012       Trade Date missing/invalid
Filler                          102     102     1    A/N      R     Space
                                                                    Input: Spaces
                                                                    Output:
                                                                    0 = Accepted by NSCC
                                                                    1 = Rejected by NSCC
NSCC Reject Indicator           103     103     1    A/N      R     2 = Accepted with errors                                                                                       0014       NSCC Reject Indicator invalid
                                                                    Input: Spaces
NSCC Reject Reason Code 1       104     107     4    A/N      R     Output: Reject code or space                                                                                   0015       NSCC Reject Code invalid
                                                                    Input: Spaces
NSCC Reject Reason Code 2       108     111     4    A/N      R     Output: Reject code or space                                                                                   0015       NSCC Reject Code invalid
                                                                    Input: Spaces
NSCC Reject Reason Code 3       112     115     4    A/N      R     Output: Reject code or space                                                                                   0015       NSCC Reject Code invalid
                                                                    Input: Spaces
NSCC Reject Reason Code 4       116     119     4    A/N      R     Output: Reject code or space                                                                                   0015       NSCC Reject Code invalid


         Order w-Registration                                                                                                 49
                                                                                                                          Order w-Registration

Field Name                           Start   End   Length Type   Opt/Req Values                                              Definition                                             Reject Code           Reject Code Definition
                                                                         01 = Initial purchase                               The type of trade represented in the Order record.
                                                                         02 = Subsequent purchase
                                                                         03 = New Redemption Request
                                                                         04 = Redemption Request of Holdback
Transaction Code                     120     121     2    A/N      R                                                                                                                   0016       Transaction Code missing/invalid
                                                                         mmddccyy                                            REIT's will use settlement date as the date the
                                                                         If not provided, will be populated by NSCC from     Order in finalized and the recipient expects
                                                                         Security Announcement information                   proceeds of the Order.

                                                                                                                             Hedge Funds use Settlement Date/Contract Note
                                                                                                                             as the date the Order is finalized however, for
                                                                                                                             Subscriptions/Purchases, money has already
                                                                                                                             settled via a payment record.

                                                                                                                             Hedge Fund Tender Offers/Redemptions will use
                                                                                                                             Settlement Date/Contract Note with settlement
                                                                                                                             occurring at the end of the Order cycle like REIT's.


Settlement Date/Contract Note        122     129     8     N       O                                                                                                                   0017       Settlement Date missing/invalid
                                                                         1 = Settling                                        Orders can settle through NSCC or users may opt
                                                                         2 = Non-Settling                                    to just exchange the trade facts and settle outside
                                                                                                                             of NSCC. Typically non-settling transactions will
                                                                                                                             occur on Orders placed in non-USD.
Settlement Indicator                 130     130     1    A/N      R                                                                                                                   0018       Settlement Indicator missing/invalid
                                                                         0 = No                                              Funds, on Fund generated orders, may opt to
                                                                         1 = Yes                                             override the established "Settlement Date/Contract
                                                                         Allowed only on Fund generated trades               Note" date listed on the Security Profile
Settlement Date Override Indicator   131     131     1    A/N      O                                                         Announcement.                                             0019       Settlement Date Override Indicator invalid
                                                                         1 = Attached (via Paper Flow)                       Indicates if the subaccount documentation was
                                                                         2 = Not Attached                                    sent via the Paper Workflow application with a                       Account Documentation Attached
Documentation Status Indicator       132     132     1    A/N      R                                                         corresponding Control #.                                  0079       missing/invalid
                                                                         99,999,999,999.99
Money Amount                         133     148    16     N       R     Maximum is 9,999,999,999,999.99 per day                                                                       0021       Dollar Amount missing/invalid
Reporting Currency                   149     151     3    A/N      R     ISO Compliant                                       The reporting currency of the trade.                      0022       Reporting Currency missing/invalid
Settlement Currency                  152     154     3    A/N      R                                                         The settlement currency of the trade.                     0023       Settlement Currency missing/invalid
Share Quantity                       155     168    14     N       O     9,999,999,999.9999                                  The share quantity of the trade.                          0024       Share Quantity missing/invalid
                                                                         B = Broker Controlled                               Designates the account broker controlled or
                                                                         C = Customer Controlled                             customer controlled. If the account is Broker
                                                                                                                             Controlled, no Fund originated orders will be
Network Control Indicator            169     169     1    A/N      R                                                         accepted by NSCC.                                         0025       Network Control Indicator missing/invalid
                                                                         Required if the Network Control Indicator = B       The Broker Dealer account number if applicable. If
                                                                                                                             the account is Broker Controlled, Fund’s must
                                                                                                                             store and provide the Firm Account Number on all
                                                                                                                             applicable records.
Firm Account Number                  170     189    20    A/N      OC                                                                                                                  0026       Firm Account Number missing/invalid
                                                                         Required if Firm Account Number field is blank      The Fund or Fund Administrator account number.
Fund Account Number                  190     209    20    A/N      OC                                                                                                                  0027       Fund Account Number missing/invalid

                                                                                                                             A group of shares issued when an offshore fund
                                                                                                                             receives a new of additional subscription.
                                                                                                                             All subscriptions that occur at the same time
                                                                                                                             belong to the same series. All shareholders in the
                                                                                                                             same
                                                                                                                             series pay performance fee on those shares at the
Series                               210     217     8     N       O     ccyymmdd                                            same time                                                 0307       Series missing/invalid




         Order w-Registration                                                                                                      50
                                                                                                                  Order w-Registration

Field Name                      Start   End   Length Type   Opt/Req Values                                              Definition                                               Reject Code           Reject Code Definition
                                                                    mmddccyy                                            The date the Series ends and is rolled up into the
                                                                                                                        underlying share class.




Series Roll Up Date             218     225     8     N       O                                                                                                                     0308       Series Roll Up Date missing/invalid
                                                                                                                        The account number used by the Custodian to
Custodian Account Number        226     245    20    A/N      O                                                         identify the customer account.                              0309       Custodian Account Number missing/invalid
                                                                    01   = Individual                                   The type of account the registration represents.
                                                                    02   = Corporation
                                                                    03   = Partnership
                                                                    04   = Sole Proprietorship
                                                                    05   = Exempt Organization
                                                                    06   = Joint Account
                                                                    07   = Trust
                                                                    08   = UGMA/UTMA
                                                                    09   = Nominee with type of entity
                                                                    10   = Non-custodial IRA
                                                                    11   = Traditional IRA
                                                                    12   = Rollover IRA
                                                                    13   = SEP IRA
                                                                    14   = Roth IRA
                                                                    15   = Roth Conversion
Account Type                    246     247     2    A/N      R                                                                                                                     0028       Account Type missing/invalid
                                                                    Required for Initial Purchase (Transaction Code =   The name of the account holder.
Account Registration Name       248     407    160   A/N      OC    01)                                                                                                             0029       Account Registration Name missing/invalid
                                                                    Required if Related Trade Indicator = 1 and         If this is a Correction of a previously settled trade,
                                                                    Related Account Number or Related Account           this field can be used to indicate the original
                                                                    Security Issue ID are not provided.                 control number.
                                                                    Also, required if Transaction Code = 04
Original Control Number         408     427    20    A/N      OC    (Redemption Request of Holdback)                                                                                0030       Original Control Number Invalid
                                                                    1 = Registered Investment Advisor                   The representative type responsible for the
                                                                    2 = Registered Representative                       account.
RIA/RR Indicator                428     428     1    A/N      R                                                                                                                     0031       RIA/RR Indicator missing/invalid

                                                                                                                        The name of the firm acting as the broker or the
Company Name                    429     463    35    A/N      O                                                         party with custody responsibilities on the account.         0244       Company Name length invalid
                                                                                                                        The name of the account representative.                                Account Representative Name length
Account Representative Name     464     478    15    A/N      O                                                                                                                     0245       invalid
Account Representative Number   479     487     9    A/N      O                                                         The number of the account representative.                   0032       Account Representative Number invalid
Branch ID                       488     496     9    A/N      O                                                         The branch id of the account representative.                0033       Branch Identification Number invalid
Branch Address 1                497     531    35    A/N      O                                                         The branch address line #1.                                 0246       Branch Address 1 length invalid
Branch Address 2                532     566    35    A/N      O                                                         The branch address line #2.                                 0247       Branch Address 2 length invalid
Branch Address 3                567     601    35    A/N      O                                                         The branch address line #3.                                 0248       Branch Address 3 length invalid
Branch Address 4                602     636    35    A/N      O                                                         The branch address line #4.                                 0249       Branch Address 4 length invalid


        Order w-Registration                                                                                                  51
                                                                                                                          Order w-Registration

Field Name                            Start   End   Length Type   Opt/Req Values                                             Definition                                              Reject Code           Reject Code Definition
Branch Address 5                      637     671    35    A/N      O                                                        The branch address line #5.                                0250       Branch Address 5 length invalid
                                                                          Required if Branch Address Line 1 is entered       The postal code of the branch address,
Branch Postal Code/Zip Code           672     682    11    A/N      OC                                                                                                                  0034       Branch Zip missing/invalid
                                                                          Required if Branch Address Line 1 is entered.
Branch Country                        683     685     3    A/N      OC    ISO Compliant                                                                                                 0035       Branch Country missing/invalid
                                                                          0 = No                                             Indicates if there is a trade related to the current
                                                                          1 = Yes                                            transaction.
                                                                                                                             If there is an LOI/Commitment or ROA/Side Letter
                                                                                                                             eligible trade, the indicator should be “1=Yes". This
                                                                                                                             field is for information purposed only, NSCC will
Related Trade Indicator               686     686     1    A/N      O                                                        not validate.                                              0036       Related Trade Indicator invalid
                                                                          Required if Related Trade Indicator = 1 and        Indicates if there is an account related to the
                                                                          Original Control Number is not provided            current transaction.
                                                                                                                             If there is an LOI/Commitment or ROA/Side Letter
                                                                                                                             eligible trade, the indicator should be “1=Yes". This
                                                                                                                             field is for information purposed only, NSCC will
Related Account Number                687     706    20    A/N      OC                                                       not validate.                                              0037       Related Account Number invalid
                                                                          Required if Related Trade Indicator = 1 and
Related Account Security Issue ID     707     718    12    A/N      OC    Original Control Number is not provided                                                                       0038       Related Account Security Issue ID invalid
                                                                          1=Level Load
                                                                          2=Back-End Load
                                                                          3=Front-End Load
                                                                          4=Finder's Fee
                                                                          5=Other
                                                                          6 = Medium
                                                                          7 = Hybrid
                                                                          8= N/A
Load Type Indicator                   719     719     1    A/N      R                                                                                                                   0039       Load Type Indicator missing/invalid
                                                                          1 = ROA/Side Letter value at fund                  Indicates a change, usually a reduction, in the
                                                                          2 = LOI/Commitment Letter at fund                  anticipated or published commission/fee rate.
                                                                          3 = The higher of cost or
                                                                               market value at fund
Breakpoint Change Reason Code         720     720     1    A/N      O                                                                                                                   0040       Breakpoint Change Reason Code invalid
Commission Amount                     721     736    16     N       O     99,999,999,999,999.90                              The commission or fee amount in dollars.                   0041       Commission Amount invalid
Commission Percentage                 737     742     6     N       O     999.999                                            The commission or fee amount in %.                         0042       Commission Percentage invalid
Dealer Concession                     743     758    16     N       O     99,999,999,999,999.90                              The dealer concession in dollars.                          0043       Dealer Concession invalid
CRD Number                            759     768    10    A/N      O                                                        FINRA issued ID                                            0335       CRD Number missing/invalid
Filler                                769     773     5    A/N      R     Spaces
                                                                          0 = Tax Identification Number                      Indicates whether the # given is a SSN, TIN or
                                                                          1 = SSN                                            EIN.
                                                                          2 = Investor TIN/EIN
EIN/SSN Indicator                     774     774     1    A/N      O                                                                                                                   0082       EIN/SSN Indicator missing/invalid
EIN/SSN Number                        775     783     9    A/N      O                                                                                                                   0083       EIN/SSN Number missing
Owner DOB                             784     791     8     N       R     mmddccyy                                           The primary owners' date of birth.                         0084       Owner DOB missing/invalid
                                                                          Required if Account Type is "08".                  The name of the party with Custodian
Custodian Name                        792     831    40    A/N      OC                                                       responsibility for the account.                            0085       Custodian Name missing
                                                                                                                                                                                                   Custodian Tax Identification Number
Custodian Tax Identification Number   832     840     9    A/N      O                                                                                                                   0086       missing
Joint Owner Name                      841     875    35    A/N      OC    Required if Account Type is "06".                  The name of the account joint owner.                       0087       Joint Owner Name missing
Joint Owner SSN Number                876     884     9    A/N      O                                                                                                                   0088       Joint Owner SSN Number missing
                                                                          Required if the Joint Owner Name is populated      The joint owners' date of birth.
                                                                          mmddccyy
Joint Owner DOB                       885     892     8     N       OC                                                                                                                  0089       Joint Owner DOB missing




        Order w-Registration                                                                                                       52
                                                                                                                          Order w-Registration

Field Name                            Start   End   Length Type   Opt/Req Values                                              Definition         Reject Code           Reject Code Definition
                                                                          W9 indications
                                                                          0 = Certified (W-9 on File)
                                                                          1 = Failure to Provide Tin
                                                                          2 = Failure to Certify Tin
                                                                          3 = Notification of Incorrect Tin From The
                                                                          Secretary of Treasury
                                                                          4 = Failure to Certify backup Withholding Status
                                                                          5 = Voluntary Disclosure from Payee of
                                                                          Affirmative Backup Withholding Status
                                                                          6 = Notification to Commence Backup
                                                                          Withholding from the Secretary of Treasury
                                                                          Underreporting Dividends and/or Interest
                                                                          Payments
                                                                          7 = Applied for Social Security Number
                                                                          8 = Exempt Recipient
                                                                          9 = Withhold due b/c notice
                                                                          W8 indications
                                                                          A = Uncertified foreign account (no W8 form on
                                                                          file-backup withholding necessary)
                                                                          B = Certified foreign beneficial owner account
                                                                          (from W8-BEN on file)
                                                                          C = Certified foreign intermediary account (form
                                                                          W8-IMY on file)
                                                                          D = Certified valid foreign account (form W8-ECI
                                                                          on file with ITIN)
                                                                          E = Certified foreign exempt account (form W8-
                                                                          IMY on file)
                                                                          F = W8 on file - no treaty rate claimed
                                                                          G = W8 Beneficiary with TIN on file



Withholding Indicator                 893     893     1    A/N      R                                                                               0096       Withholding Indicator missing/invalid
                                                                          Required if Withhold Indicator is B, C, D, or F
W8 Certification Date                 894     901     8     N       OC    mmddccyy                                                                  0097       W8 Certification Date missing/invalid
                                                                          Required if Withhold Indicator is D or E or if
                                                                          Withhold Indicator is B and EIN/SSN Number is
                                                                          not provided
W8 Expiration Date                    902     909     8     N       OC    mmddccyy                                                                  0098       W8 Expiration Date missing/invalid
                                                                          Required if Withhold Indicator is C
                                                                          1 = QI (Qualified intermediary - primary
                                                                          withholding)
                                                                          2 = QI (Qualified intermediary - non-withholding)
                                                                          3 = Non-QI (non-Qualified intermediary - non-
                                                                          withholding, not the beneficial owner)
                                                                          4 = Partnership (withholding)
                                                                          5 = Partnership (non-withholding)                                                    W8 Qualified Intermediary Indicator
W8 Qualified Intermediary Indicator   910     910     1    A/N      OC                                                                              0099       missing/invalid

W8 Override Country Code              911     913     3    A/N      O                                                                               0269       W8 Override Country Code length invalid
W8 Override NRA Special Rate          914     921     8     N       O     999.99999                                                                 0100       W8 Override NRA Special Rate invalid
                                                                          0 = No
                                                                          1 = LOI
                                                                          2 = ROA
LOI/Commitment Indicator              922     922     1     N       O     3 = Both                                                                  0101       LOI/ROA Indicator invalid
Side Letter Number                    923     942    20    A/N      O                                                                               0270       ROA Number length invalid
Side Letter Value                     943     958    16     N       O     99,999,999,999,999.90                                                     0102       ROA Value invalid
LOI Number                            959     978    20    A/N      O                                                                               0271       LOI Number length invalid


        Order w-Registration                                                                                                       53
                                                                                                       Order w-Registration

Field Name                          Start   End    Length Type   Opt/Req Values                           Definition          Reject Code           Reject Code Definition
LOI Value                           979     994     16     N       O     99,999,999,999,999.90                                   0103       LOI Value invalid
                                                                         0 = Other
                                                                         1 = NAV Transfer
                                                                         2 = Repurchase
NAV Account Indicator               995      995     1    A/N      O     3 = Employee                                            0104       NAV Account Indicator invalid
ABA Routing Number                  996     1004     9    A/N      O                                                             0111       ABA Routing Number missing/invalid
ACH Account Number                  1005    1024    20    A/N      O                                                             0112       ACH Account Number missing/invalid
ACH Account Name                    1025    1059    35    A/N      O                                                             0113       ACH Account Name missing
                                                                         0 = Primary
Beneficiary Designation Indicator   1060    1060     1    A/N      O     1 = Secondary                                           0115       Beneficiary Designation missing/invalid
Beneficiary Asset Percent           1061    1066     6     N       O     999.999                                                 0116       Beneficiary Asset % missing/invalid
Beneficiary Name                    1067    1101    35    A/N      O                                                             0117       Beneficiary Name missing
Beneficiary SSN                     1102    1110     9    A/N      O                                                             0284       Beneficiary SSN length invalid
                                                                         01 = Spouse
                                                                         02 = Mother
                                                                         03 = Father
                                                                         04 = Son
                                                                         05 = Daughter
                                                                         06 = Grandson
                                                                         07 = Granddaughter
                                                                         08 = Sister
                                                                         09 = Brother
                                                                         10 = Other Relative
                                                                         11 = Trust
                                                                         12 = Estate
                                                                         13 = Charity
Beneficiary Relationship            1111    1112     2    A/N      O                                                             0118       Beneficiary Relationship invalid
Beneficiary DOB                     1113    1120     8     N       O     mmddccyy                                                0119       Beneficiary DOB invalid
Filler                              1121    1220    100   A/N      R     Spaces                                                  0089       Joint Owner DOB missing
                                                                         01 = Primary
                                                                         02 = Secondary
                                                                         03 = Dividend
                                                                         04 = Capital Gain
                                                                         05 = Beneficiary
                                                                         06 = Account Statement
                                                                         07 = SWP
                                                                         08 = Prospectus
                                                                         09 = Interested Party
Address Type of Record 1            1221    1222      2   A/N      R     10 = Custodian                                                     Address Type missing/invalid
                                                                                                                                 0091
Address of Record 1 Line 1          1223    1257     35   A/N      R                                                             0092       Address of Record Line1 missing
Address of Record 1 Line 2          1258    1292     35   A/N      O                                                             0252       Address of Record Line 2 length invalid
Address of Record 1 Line 3          1293    1327     35   A/N      O                                                             0253       Address of Record Line 3 length invalid
Address of Record 1 Line 4          1328    1362     35   A/N      O                                                             0254       Address of Record Line 4 length invalid
Address of Record 1 Line 5          1363    1397     35   A/N      O                                                             0255       Address of Record Line 5 length invalid
Postal Code/Zip Code of Record 1    1398    1408     11   A/N      R                                                             0093       Zip missing/invalid
Country of Record 1                 1409    1411      3   A/N      R                                                             0094       Country missing/invalid
Phone Number of Record 1            1412    1427     16   A/N      O     Allow international numbers                             0257       Phone Number length invalid
Email Address of Record 1           1428    1527    100   A/N      O                                                             0258       Email Address length invalid




        Order w-Registration                                                                                   54
                                                                                                                    Order w-Registration

Field Name                         Start   End    Length Type   Opt/Req Values                                         Definition          Reject Code           Reject Code Definition
                                                                        01 = Primary
                                                                        02 = Secondary
                                                                        03 = Dividend
                                                                        04 = Capital Gain
                                                                        05 = Beneficiary
                                                                        06 = Account Statement
                                                                        07 = SWP
                                                                        08 = Prospectus
                                                                        09 = Interested Party
                                                                        10 = Custodian
                                                                        11 = Dividend ACH
                                                                        12 = Dividend Cash to Firm
                                                                        13 = Capital Gain ACH
                                                                        14 = Capital Gain Cash to Firm
Address Type of Record 2           1528    1529     2    A/N      OC                                                                          0091       Address Type missing/invalid
Address of Record 2 Line 1         1530    1564    35    A/N      OC    Required if Address Type is populated                                 0092       Address of Record Line1 missing
Address of Record 2 Line 2         1565    1599    35    A/N      O                                                                           0252       Address of Record Line 2 length invalid
Address of Record 2 Line 3         1600    1634    35    A/N      O                                                                           0253       Address of Record Line 3 length invalid
Address of Record 2 Line 4         1635    1669    35    A/N      O                                                                           0254       Address of Record Line 4 length invalid
Address of Record 2 Line 5         1670    1704    35    A/N       O                                                                          0255       Address of Record Line 5 length invalid
Postal Code/Zip Code of Record 2   1705    1715    11    A/N      OC    Required if Address Type is populated                                 0093       Zip missing/invalid
                                                                        Required if Address Type is populated
Country of Record 2                1716    1718      3   A/N      OC    ISO Compliant                                                         0094       Country missing/invalid
Phone Number of Record 2           1719    1734     16   A/N      O     Allow international numbers                                           0257       Phone Number length invalid
Email Address of Record 2          1735    1834    100   A/N      O                                                                           0258       Email Address length invalid
                                                                        01 = Primary
                                                                        02 = Secondary
                                                                        03 = Dividend
                                                                        04 = Capital Gain
                                                                        05 = Beneficiary
                                                                        06 = Account Statement
                                                                        07 = SWP
                                                                        08 = Prospectus
                                                                        09 = Interested Party
                                                                        10 = Custodian
                                                                        11 = Dividend ACH
                                                                        12 = Dividend Cash to Firm
                                                                        13 = Capital Gain ACH
                                                                        14 = Capital Gain Cash to Firm
Address Type of Record 3           1835    1836     2    A/N      OC                                                                          0091       Address Type missing/invalid
Address of Record 3 Line 1         1837    1871    35    A/N      OC    Required if Address Type is populated                                 0092       Address of Record Line1 missing
Address of Record 3 Line 2         1872    1906    35    A/N      O                                                                           0252       Address of Record Line 2 length invalid
Address of Record 3 Line 3         1907    1941    35    A/N      O                                                                           0253       Address of Record Line 3 length invalid
Address of Record 3 Line 4         1942    1976    35    A/N      O                                                                           0254       Address of Record Line 4 length invalid
Address of Record 3 Line 5         1977    2011    35    A/N       O                                                                          0255       Address of Record Line 5 length invalid
Postal Code/Zip Code of Record 3   2012    2022    11    A/N      OC    Required if Address Type is populated                                 0093       Zip missing/invalid
                                                                        Required if Address Type is populated ISO
Country of Record 3                2023    2025      3   A/N      OC    Compliant                                                             0094       Country missing/invalid
Phone Number of Record 3           2026    2041     16   A/N      O     Allow international numbers                                           0257       Phone Number length invalid
Email Address of Record 3          2042    2141    100   A/N      O                                                                           0258       Email Address length invalid




        Order w-Registration                                                                                                55
                                                                                                                      Order w-Registration

Field Name                         Start   End    Length Type   Opt/Req Values                                              Definition       Reject Code            Reject Code Definition
                                                                        Required if Address of Record Line 4 is populated
                                                                        01 = Primary
                                                                        02 = Secondary
                                                                        03 = Dividend
                                                                        04 = Capital Gain
                                                                        05 = Beneficiary
                                                                        06 = Account Statement
                                                                        07 = SWP
                                                                        08 = Prospectus
                                                                        09 = Interested Party
                                                                        10 = Custodian
                                                                        11 = Dividend ACH
                                                                        12 = Dividend Cash to Firm
                                                                        13 = Capital Gain ACH
                                                                        14 = Capital Gain Cash to Firm

Address Type of Record 4           2142    2143     2    A/N      OC                                                                            0091       Address Type missing/invalid
Address of Record 4 Line 1         2144    2178    35    A/N      OC    Required if Address Type is populated                                   0092       Address of Record Line1 missing
Address of Record 4 Line 2         2179    2213    35    A/N      O                                                                             0252       Address of Record Line 2 length invalid
Address of Record 4 Line 3         2214    2248    35    A/N      O                                                                             0253       Address of Record Line 3 length invalid
Address of Record 4 Line 4         2249    2283    35    A/N      O                                                                             0254       Address of Record Line 4 length invalid
Address of Record 4 Line 5         2284    2318    35    A/N       O                                                                            0255       Address of Record Line 5 length invalid
Postal Code/Zip Code of Record 4   2319    2329    11    A/N      OC    Required if Address Type is populated                                   0093       Zip missing/invalid
                                                                        Required if Address Type is populated
Country of Record 4                2330    2332      3   A/N      OC    ISO Compliant                                                           0094       Country missing/invalid
Phone Number of Record 4           2333    2348     16   A/N      O     Allow international numbers                                             0257       Phone Number length invalid
Email Address of Record 4          2349    2448    100   A/N      O                                                                             0258       Email Address length invalid
                                                                        Required if Address of Record Line 5 is populated
                                                                        01 = Primary
                                                                        02 = Secondary
                                                                        03 = Dividend
                                                                        04 = Capital Gain
                                                                        05 = Beneficiary
                                                                        06 = Account Statement
                                                                        07 = SWP
                                                                        08 = Prospectus
                                                                        09 = Interested Party
                                                                        10 = Custodian
                                                                        11 = Dividend ACH
                                                                        12 = Dividend Cash to Firm
                                                                        13 = Capital Gain ACH
                                                                        14 = Capital Gain Cash to Firm

Address Type of Record 5           2449    2450     2    A/N      OC                                                                            0091       Address Type missing/invalid
Address of Record 5 Line 1         2451    2485    35    A/N      OC    Required if Address Type is populated                                   0092       Address of Record Line1 missing
Address of Record 5 Line 2         2486    2520    35    A/N      O                                                                             0252       Address of Record Line 2 length invalid
Address of Record 5 Line 3         2521    2555    35    A/N      O                                                                             0253       Address of Record Line 3 length invalid
Address of Record 5 Line 4         2556    2590    35    A/N      O                                                                             0254       Address of Record Line 4 length invalid
Address of Record 5 Line 5         2591    2625    35    A/N       O                                                                            0255       Address of Record Line 5 length invalid
Postal Code/Zip Code of Record 5   2626    2636    11    A/N      OC    Required if Address Type is populated                                   0093       Zip missing/invalid
                                                                        Required if Address Type is populated
Country of Record 5                2637    2639      3   A/N      OC    ISO Compliant                                                           0094       Country missing/invalid
Phone Number of Record 5           2640    2655     16   A/N      O     Allow international numbers                                             0257       Phone Number length invalid
Email Address of Record 5          2656    2755    100   A/N      O                                                                             0258       Email Address length invalid
Share Lot Identifier 1             2756    2763      8   A/N      O                                                                             0385       Share Lot Identifier 1 invalid
Share Lot Identifier 2             2764    2771      8   A/N      O                                                                             0386       Share Lot Identifier 2 invalid
Share Lot Identifier 3             2772    2779      8   A/N      O                                                                             0387       Share Lot Identifier 3 invalid


        Order w-Registration                                                                                                     56
                                                                               Order w-Registration

Field Name                      Start   End    Length Type   Opt/Req Values       Definition                                           Reject Code            Reject Code Definition
Share Lot Identifier 4          2780    2787     8    A/N      O                                                                          0388       Share Lot Identifier 4 invalid
Share Lot Identifier 5          2788    2795     8    A/N      O                                                                          0389       Share Lot Identifier 5 invalid
                                                                     0 = N0       Indicates whether the investor is subject to ERISA
Erisa Eligible Indicator        2796    2796     1    A/N      R     1 = Yes      declaration.                                            0397       Erisa Eligible Indicator missing/invalid
Erisa Percentage                2797    2802     6     N       R     999.999      The percentage of assets held in the Fund.              0398       Erisa Percentage missing/invalid
                                                                     0 = No       Indicates if the investor has already established
Erisa Pre-certified Indicator   2803    2803     1    A/N      R     1 = Yes      their Erisa status with the Fund.                       0399       Erisa Pre-certified missing/invalid




         Order w-Registration                                                           57
                                                                                                                  Order Corr Conf
                                                                                                                                                                               Reject
Field Name                   Start   End   Length   Type   Opt/Req Values                                              Definition                                              Code            Reject Code Definition
Record Length                  1      4      4       N       R                                                                                                                  0001    Record Length missing/invalid
                                                                   B = Firm
Originator Type                5      5      1      A/N      R     F = Broker                                                                                                   0002    Originator Type missing/invalid
                                                                                                                       The NSCC ID of the broker dealer firm or the
Firm Number                    6     13      8      A/N      R                                                         custodian firm.                                          0003    Firm Number missing/invalid
Fund Number                   14     21      8      A/N      R                                                         The NSCC ID of the Fund Company.                         0004    Fund Number missing/invalid
                                                                   007 = Confirmation (Originator Type - F only)
                                                                   008 = Correction (Originator Type - B only)
                                                                   040 = Prepaid Confirmation (Originator Type - F
                                                                   only)
                                                                   041 = Prepaid Correction (Originator Type - B
                                                                   only)
Record Type                   22     24      3      A/N      R     042 = Contract Note                                                                                          0005    Record Type missing/invalid
                                                                   ppppppppnnnnnnnn           Where:                 The NSCC Security Issue Number was issued when
                                                                   pppppppp = Fund Number                            the initial Security General Profile and/or Security
                                                                   nnnnnnnn = Unique sequential number assigned Announcement record was received from the firm.
                                                                   by NSCC
                                                                   This field will be used on orders to identify the
                                                                   Security Issue.                                                                                                      NSCC Security Issue Number
NSCC Security Issue Number    25     40      16     A/N      R                                                                                                                  0006    missing/invalid
                                                                   Note. This field will be generated by NSCC when     Sidepockets are created to designate a portion of the
                                                                   Sidepocket ID is introduced (Announcement Type      portfolio illiquid and exempt from any offerings or
NSCC Sidepocket ID            41     43      3      A/N      O     = 11).                                              redemptions.                                             0343    Sidepocket ID invalid
                                                                   The class of Shares represented by the Security
                                                                                                                       The Funds' designated share class.
Share Class                   44     51      8      A/N      O     Issue Number                                                                                                 0346    Share Class invalid
                                                                   Required if NSCC Security Issue Number is blank     The NSCC Security Issue Number is the required
                                                                   1 = ISIN                                            identifier, but Funds may opt to send this additional
                                                                    2 = SEDOL                                          information.
                                                                   3 = CUSIP
                                                                   4 = Custom

Security Identifier           52     52      1      A/N      O                                                                                                                  0007    Security Identifier invalid
                                                                   Required if NSCC Security Issue Number is blank The NSCC Security Issue Number is the required
                                                                   The number associated with the Security Identifier identifier, but Funds may opt to send this additional
                                                                                                                      information.
Security Issue ID             53     64      12     A/N      O                                                                                                                  0008    Security Issue ID invalid
                                                                   ppppppppyydddnnnnnnn
                                                                   Where:
                                                                   pppppppp = Fund number                              The unique control number assigned by the submitter
                                                                   yyddd = Julian date                                 to identify the trade.

                                             20
                                                                   nnnnnnnn = Unique sequential number
Control Number                65     84             A/N      R                                                                                                                  0009    Control Number missing/invalid
                                                                   For confirmation (Record Type 007) must match
                                                                   the value in AIP database.
                                                                   Required for Correction (Record Type 008) and
                                                                   must be greater than the value in AIP database
                                                                   Space = No correction
                                                                   C-Z = Correction
Correction Indicator          85     85      1      A/N      OC                                                                                                                 0010    Correction Indicator missing/invalid
                                                                   mmddccyy                                            The date the submitter transmitted the transaction.
Submission Date               86     93      8       N       R                                                                                                                  0011    Submission Date missing/invalid
                                                                   mmddccyy                                            Date for payment and/or order placement. Payment
                                                                                                                       usually occurs prior to Dealing day or on Dealing
                                                                                                                       Day. Order details are sent at any point on or after
                                                                                                                       Dealing Day and prior to the offering end date.
Trade Date/Dealing Day        94     101     8       N       R                                                                                                                  0012    Trade Date missing/invalid


           Order Corr Conf                                                                                               116
                                                                                                                           Order Corr Conf
                                                                                                                                                                                        Reject
Field Name                           Start   End   Length   Type   Opt/Req Values                                              Definition                                               Code            Reject Code Definition
                                                                           This field can be used to change registration
                                                                           requirement.
                                                                           0 = No Registration Required
                                                                           1 = Registration required
                                                                           2 = Registration submitted before.
                                                                           3 = Registration attached.

                                                                           Required and Must be 2 for Correction (Record
                                                                           type 008) if Transaction Code changes from 02 to
                                                                           01.
                                                                           Required and Must be 1 or 2 for Confirmation
                                                                           (Record type 007) if Transaction Code changes
                                                                           from 02 to 01.
Registration Indicator                102    102     1      A/N      OC                                                                                                                  0013    Registration Indicator missing/invalid
                                                                           Input: Spaces
                                                                           Output:
                                                                           0 = Accepted by NSCC
                                                                           1 = Rejected by NSCC
NSCC Reject Indicator                 103    103     1      A/N      R     2 = Accepted by NSCC with errors                                                                              0014    NSCC Reject Indicator invalid
                                                                           Input: Spaces
NSCC Reject Reason Code 1             104    107     4      A/N      R     Output: Reject code or space                                                                                  0015    NSCC Reject Code invalid
                                                                           Input: Spaces
NSCC Reject Reason Code 2             108    111     4      A/N      R     Output: Reject code or space                                                                                  0015    NSCC Reject Code invalid
                                                                           Input: Spaces
NSCC Reject Reason Code 3             112    115     4      A/N      R     Output: Reject code or space                                                                                  0015    NSCC Reject Code invalid
                                                                           Input: Spaces
NSCC Reject Reason Code 4             116    119     4      A/N      R     Output: Reject code or space                                                                                  0015    NSCC Reject Code invalid
                                                                           01 = Initial purchase                               Indicates whether the Order is a purchase or
                                                                           02 = Subsequent purchase                            redemption in a new or existing account.
                                                                           03 = New Redemption Request
                                                                           04 = Redemption Request of Holdback



Transaction Code                      120    121     2      A/N      R                                                                                                                   0016    Transaction Code missing/invalid
                                                                           mmddccyy                                            REIT's will use settlement date as the date the Order
Settlement Date/Contract Note         122    129     8       N       OC    Optional for Correction (record type = 008).        in finalized and the recipient expects proceeds of the    0017    Settlement Date missing/invalid
                                                                           For Settling
                                                                           1 = confirmation (record type = 007), must equal    Order. can settle through NSCC or users may opt to
                                                                                                                               Orders
                                                                           2 = Non-Settling                                    just exchange the trade facts and settle outside of
                                                                                                                               NSCC. Typically non-settling transactions will occur
                                                                                                                               on Orders placed in non-USD.
Settlement Indicator                  130    130     1      A/N      R                                                                                                                   0018    Settlement Indicator missing/invalid
                                                                           0 = No                                              Funds, on Fund generated orders, may opt to
                                                                           1 = Yes                                             override the established "Settlement Date/Contract
                                                                           Must be 1 for Confirmation (record type = 007) if   Note" date listed on the Security Profile
                                                                           Settlement Date is different than the Security      Announcement.
                                                                           Announcement Settlement Date                                                                                          Settlement Date Override Indicator
Settlement Date Override Indicator    131    131     1      A/N      O                                                                                                                   0019    invalid
Filler                                132    132     1      A/N      R     Space
                                                                           99,999,999,999,999.99
                                                                           Maximum is 9,999,999,999,999.99 per day
                                                                           This amount will be settled by NSCC if Settlement
Money Amount                          133    148     16      N       R     Indicator = 1                                                                                                 0021    Dollar Amount missing/invalid
Reporting Currency                    149    151     3      A/N      R     ISO Compliant                                     The reporting currency of the trade.                        0022    Reporting Currency missing/invalid
Settlement Currency                   152    154     3      A/N      R                                                       The settlement currency of the trade.                       0023    Settlement Currency missing/invalid
Share Quantity                        155    168     14      N       O     9,999,999,999.9999                                The share quantity of the trade.                            0024    Share Quantity missing/invalid

          Order Corr Conf                                                                                                        116
                                                                                                                      Order Corr Conf
                                                                                                                                                                                    Reject
Field Name                      Start   End   Length   Type   Opt/Req Values                                              Definition                                                Code            Reject Code Definition
                                                                      B = Broker Controlled                               Designates the account broker controlled or
                                                                      C = Customer Controlled                             customer controlled. If the account is Broker
                                                                                                                          Controlled, no Fund originated orders will be
Network Control Indicator        169    169     1      A/N      R                                                         accepted by NSCC.                                          0025    Network Control Indicator missing/invalid
                                                                      Required if the Network Control Indicator = B       The Broker Dealer account number if applicable. If
                                                                                                                          the account is Broker Controlled, Fund’s must store
                                                                                                                          and provide the Firm Account Number on all
Firm Account Number              170    189     20     A/N      OC                                                        applicable records.                                        0026    Firm Account Number missing/invalid
                                                                      Required if Firm Account Number field is blank      The Fund or Fund Administrator account number.
Fund Account Number              190    209     20     A/N      OC                                                                                                                   0027    Fund Account Number missing/invalid

                                                                                                                          A group of shares issued when an offshore fund
                                                                                                                          receives a new of additional subscription.
                                                                                                                          All subscriptions that occur at the same time belong
                                                                                                                          to the same series. All shareholders in the same
                                                                                                                          series pay performance fee on those shares at the
Series                           210    217     8      A/N      O     ccyymmdd                                            same time                                                  0307    Series missing/invalid
                                                                      mmddccyy                                            The date the Series ends and is rolled up into the
Series Roll Up Date              218    225     8      A/N      O                                                         underlying share class.                                    0308    Series Roll Up Date missing/invalid
                                                                                                                          The account number used by the Custodian to                        Custodian Account Number
Custodian Account Number         226    245     20     A/N      O                                                         identify the customer account.                             0309    missing/invalid
                                                                      01   = Individual                                   The type of account the registration represents.
                                                                      02   = Corporation
                                                                      03   = Partnership
                                                                      04   = Sole Proprietorship
                                                                      05   = Exempt Organization
                                                                      06   = Joint Account
                                                                      07   = Trust
                                                                      08   = UGMA/UTMA
                                                                      09   = Nominee with type of entity
                                                                      10   = Non-custodial IRA
                                                                      11   = Traditional IRA
                                                                      12   = Rollover IRA
                                                                      13   = SEP IRA
                                                                      14   = Roth IRA
                                                                      15   = Roth Conversion
Account Type                     246    247     2      A/N      R                                                                                                                    0028    Account Type missing/invalid
                                                                      Required for Initial Purchase (Transaction Code =   The name of the account holder.                                    Account Registration Name
Account Registration Name        248    407    160     A/N      OC    01)                                                                                                            0029    missing/invalid
                                                                      Required if Related Trade Indicator = 1 and         If this is a Correction of a previously settled trade,
                                                                      Related Account Number or Related Account           this field can be used to indicate the original control
                                                                      Security Issue ID are not provided.                 number.
                                                                      Also, required if Transaction Code = 04
                                                                      (Redemption Request of Holdback)
Original Control Number          408    427     20     A/N      OC                                                                                                                   0030    Original Control Number Invalid
                                                                      1 = Registered Investment Advisor                   The representative type responsible for the account.
                                                                      2 = Registered Representative
RIA/RR Indicator                 428    428     1      A/N      O                                                                                                                    0031    RIA/RR Indicator missing/invalid
Filler                           429    463     35     A/N      R     Space
                                                                                                                          The name of the account representative.                            Account Representative Name length
Account Representative Name      464    478     15     A/N      O                                                                                                                    0245    invalid
                                                                                                                          The number of the account representative.
Account Representative Number    479    487     9      A/N      O                                                                                                                    0032    Account Representative Number invalid
Filler                           488    709    222     A/N      R     Space




          Order Corr Conf                                                                                                   116
                                                                                                                                 Order Corr Conf
                                                                                                                                                                                                  Reject
Field Name                                   Start   End   Length   Type   Opt/Req Values                                             Definition                                                  Code            Reject Code Definition
                                                                                   0 = No                                             Indicates if there is a trade related to the current
                                                                                   1 = Yes                                            transaction.
                                                                                                                                      If there is an LOI/Commitment or ROA/Side Letter
                                                                                                                                      eligible trade, the indicator should be “1=Yes". This
                                                                                                                                      field is for information purposed only, NSCC will not
Related Trade Indicator                       710    710     1      A/N      O                                                        validate.                                                    0036    Related Trade Indicator invalid
                                                                                   Required if Related Trade Indicator = 1 and        Indicates if there is an account related to the current
                                                                                   Original Control Number is not provided            transaction.
                                                                                                                                      If there is an LOI/Commitment or ROA/Side Letter
                                                                                                                                      eligible trade, the indicator should be “1=Yes". This
                                                                                                                                      field is for information purposed only, NSCC will not
Related Account Number                        711    730     20     A/N      OC                                                       validate.                                                    0037    Related Account Number invalid
                                                                                   Required if Related Trade Indicator = 1 and                                                                             Related Account Security Issue ID
Related Account Security Issue ID             731    742     12     A/N      OC    Original Control Number is not provided                                                                         0038    invalid
                                                                                   1=Level Load
                                                                                   2=Back-End Load
                                                                                   3=Front-End Load
                                                                                   4=Finder's Fee
                                                                                   5=Other
                                                                                   6 = Medium
                                                                                   7 = Hybrid
                                                                                   8= N/A
Load Type Indicator                           743    743     1      A/N      R                                                                                                                     0039    Load Type Indicator missing/invalid
                                                                                   1 = ROA/Side Letter value at fund                  Indicates a change, usually a reduction, in the
                                                                                   2 = LOI/Commitment Letter at fund                  anticipated or published commission/fee rate.
                                                                                   3 = The higher of cost or
                                                                                        market value at fund
Breakpoint Change Reason Code                 744    744     1      A/N      O                                                                                                                     0040    Breakpoint Change Reason Code invalid
Commission Amount                             745    760     16      N       O     99,999,999,999,999.99                              The commission or fee amount in dollars.                     0041    Commission Amount invalid
Commission Percentage                         761    766     6       N       O     999.999                                            The commission or fee amount in %.                           0042    Commission Percentage invalid
Dealer Concession                             767    782     16      N       O     99,999,999,999,999.90                              The dealer concession in dollars.                            0043    Dealer Concession invalid
                                                                                   Required if Confirmation record                    Funds can indicate their anticipated valuation date in               Number of Business Days Until
Number of Business Days Until Valuation       783    785     3       N       OC                                                       # of business days.                                          0044    Valuation missing/invalid
                                                                                   Required if Confirmation record                    Funds can indicate their anticipated valuation date.
Valuation Date                                786    793     8       N       OC    mmddccyy                                                                                                        0045    Valuation Date missing/invalid
                                                                                   Required if Confirmation record                    If there is a value price available, funds can provide it
Value Price                                   794    805     12      N       OC    999,999.999999                                     on the confirmation record.                                  0046    Value Price missing/invalid
                                                                                   Required if Confirmation record                    If the shares can be determined, funds can provide
                                                                                   9,999,999,999.9999                                 the information on a confirmation record.
Value Confirm Shares                          806    819     14      N       OC                                                                                                                    0047    Value Confirm Shares missing/invalid
                                                                                   Required on Confirmation record                    If the trade is a redemption, Funds must indicate if
                                                                                   1 = Estimated                                      the tender offer is subject to holdback.
                                                                                   2 = Actual                                                                                                              Estimated/Actual Value Confirm
Estimated/Actual Value Confirm                820    820     1      A/N      OC                                                                                                                    0048    missing/invalid
                                                                                   Required on Confirmation records                   If the tender offer is subject to holdback, Funds can
                                                                                   when Transaction Code = 3                          indicate # of business days until the holdback is
                                                                                   0 = No                                             released.
                                                                                   1 = Yes                                                                                                                 Tender Offer Subject to Holdback
Tender Offer Subject to Holdback Indicator    821    821     1      A/N      OC                                                                                                                    0049    missing/invalid

                                                                                   Required if Tender Offer Subject to Holdback = 1
                                                                                   Zeroes allowed                                                                                                          Number of Business Days for Holdback
Number of Business Days for Holdback          822    824     3       N       OC                                                                                                                    0050    missing/invalid




          Order Corr Conf                                                                                                               116
                                                                                                                          Order Corr Conf
                                                                                                                                                                                      Reject
Field Name                            Start   End   Length   Type   Opt/Req Values                                             Definition                                             Code            Reject Code Definition
                                                                                                                             Funds can indicate the actual or estimated holdback
                                                                            Required if Tender Offer Subject to Holdback = 1 release date.
Holdback Release Date                  825    832     8       N       OC                                                                                                               0051    Holdback Release Date missing/invalid
                                                                                                                               Funds can indicate the % of holdback.
                                                                            Required if Tender Offer Subject to Holdback = 1
Holdback Percent                       833    838     6       N       OC    999.999                                                                                                    0052    Holdback Percent missing/invalid
                                                                            999.99999                                        Fund can indicate the % of interest to be paid on
Interest Rate on Holdback              839    846     8       N       O                                                      holdback monies.                                          0053    Interest Rate on Holdback invalid
                                                                            99,999,999,999,999.99                            Funds can indicate in dollars the interest to be paid
Interest Paid on Holdback              847    862     16      N       O                                                      on holdback monies.                                       0054    Interest Paid on Holdback invalid
                                                                            Required if Transaction Code = 3                 Funds can indicate if the tender offer is oversold.
                                                                            0 = No
                                                                            1 = Yes
Tender Offer Oversold Indicator        863    863     1      A/N      OC                                                                                                               0055    Tender Offer Oversold missing/invalid
                                                                            Required if Tender Offer Oversold = 1
                                                                            0 = No
                                                                            1 = Yes
Tender Offer Pro Rata Indicator        864    864     1      A/N      OC                                                                                                               0056    Tender Offer Pro Rata missing/invalid
                                                                            Required if Tender Offer ProRata = 1               Funds can indicate the % of pro ration.
                                                                            999.999                                                                                                            Percent of Pro Rata Allocation
Percent of ProRata Allocation          865    870     6       N       OC                                                                                                               0057    missing/invalid
                                                                            Required if Tender Offer Oversold = 1              Funds can indicate if Holdbacks will be refunded
                                                                            0 = No                                             automatically or if another redemption request is
                                                                            1 = Yes                                            required for holdback monies.                                   Automatic Holdback Refund
Automatic Holdback Refund Indicator    871    871     1      A/N      OC                                                                                                               0058    missing/invalid
Share Lot Identifier 1                 872    879     8      A/N      O                                                                                                                0385    Share Lot Identifier 1 invalid
Share Lot Identifier 2                 880    887     8      A/N      O                                                                                                                0386    Share Lot Identifier 2 invalid
Share Lot Identifier 3                 888    895     8      A/N      O                                                                                                                0387    Share Lot Identifier 3 invalid
Share Lot Identifier 4                 896    903     8      A/N      O                                                                                                                0388    Share Lot Identifier 4 invalid
Share Lot Identifier 5                 904    911     8      A/N      O                                                                                                                0389    Share Lot Identifier 5 invalid
                                                                            9,999,999,999,999.999
Equalization Amount                    912    927     16      N       O                                                                                                                0394    Equalization Amount missing/invalid
                                                                            999.999
Equalization Percentage                928    933     6       N       O                                                                                                                0395    Equalization Percentage missing/invalid
                                                                            Required if Equalization Amount or Equalization
                                                                            Percentage is populated
                                                                            0-Debit                                            If Equalization Amount of Equalization Percentage is
Equalization Debit/Credit Indicator    934    934     1      A/N      O/C   1=Debit                                            populated, then this field is required.                 0396    Equalization Debit/Credit Indicator
                                                                            1=Yes
Erisa Eligible Indicator               935    935     1      A/N      R     2=No                                                                                                       0397    Erisa Eligible Indicator missing/invalid
Erisa Percentage                       936    941     6       N       R     999.999                                                                                                    0398    Erisa Percentage missing/invalid
                                                                            1=Yes
Erisa Pre-certified                    942    942     1      A/N      R     2=No                                                                                                       0399    Erisa Pre-certified missing/invalid




           Order Corr Conf                                                                                                       116
                                                                                                               Order Ack-Rejct
Field Name                   Start   End   Length   Type   Opt/Req Values                                              Definition                                         Reject Code       Reject Code Definition
Record Length                  1      4      4       N       R                                                                                                               0001       Record Length missing/invalid
Originator Type                5      5      1      A/N      R     B = Firm                                                                                                  0002       Originator Type missing/invalid
                                                                   F = Fund                                            The NSCC ID of the broker dealer firm or the
Firm Number                    6     13      8      A/N      R                                                         custodian firm.                                       0003       Firm Number missing/invalid
Fund Number                   14     21      8      A/N      R                                                         The NSCC ID of the Fund Company.                      0004       Fund Number missing/invalid



                                                                   003 = Firm Acknowledgement of Fund Order
                                                                   004 = Firm Reject of Fund Order
                                                                   005 = Fund Acknowledgement of Firm Order
                                                                   006 = Fund Reject of Firm Order
                                                                   009 = Firm Exit of Order
                                                                   010 = Fund Exit of Order
                                                                   036 - Fund Acknowledgement of Prepaid
                                                                   Order

                                                                   037 - Fund Reject of Prepaid Order
                                                                   038 - Firm Exit of Prepaid Order
Record Type                   22     24      3      A/N      R                                                                                                               0005       Record Type missing/invalid
                                                                   ppppppppnnnnnnnn           Where:                   The NSCC Security Issue Number was issued
                                                                   pppppppp = Fund Number                              when the initial Security General Profile and/or
                                                                   nnnnnnnn = Unique sequential number                 Security Announcement record was received
                                                                   assigned by NSCC                                    from the firm.
                                                                   This field will be used on orders to identify the                                                                    NSCC Security Issue Number
NSCC Security Issue Number    25     40      16     A/N      R     Security Issue.                                                                                           0006       missing/invalid
                                                                   Note. This field will be generated by NSCC          Sidepockets are created to designate a portion
                                                                   when Sidepocket ID is introduced                    of the portfolio illiquid and exempt from any
NSCC Sidepocket ID            41     43      3      A/N      O     (Announcement Type = 11).                           offerings or redemptions.                             0343       Sidepocket ID invalid
                                                                   The class of Shares represented by the
                                                                                                                       The Funds' designated share class.
Share Class                   44     51      8      A/N      O     Security Issue Number                                                                                     0346       Share Class invalid
                                                                   Required if NSCC Security Issue Number is           The NSCC Security Issue Number is the
                                                                   blank                                               required identifier, but Funds may opt to send
                                                                   1 = ISIN                                            this additional information.
                                                                    2 = SEDOL
                                                                   3 = CUSIP
Security Identifier           52     52      1      A/N      O     4 = Custom                                                                                                0007       Security Identifier invalid
                                                                   Required if NSCC Security Issue Number is           The NSCC Security Issue Number is the
                                                                   blank                                               required identifier, but Funds may opt to send
                                                                   The number associated with the Security             this additional information.
Security Issue ID             53     64      12     A/N      O     Identifier                                                                                                0008       Security Issue ID invalid
                                                                   ppppppppyydddnnnnnnn                                The unique control number assigned by the
                                                                   Where:                                              submitter to identify the trade.
                                                                   pppppppp = Fund number
                                                                   yyddd = Julian date
                                                                   nnnnnnnn = Unique sequential number

Control Number                65     84      20     A/N      R                                                                                                               0009       Control Number missing/invalid
Filler                        85     85       1     A/N      R
                                             8                     mmddccyy                                            The date the submitter transmitted the
Submission Date               86      93             N       R                                                         transaction.                                          0011       Submission Date missing/invalid
Trade Date/Dealing Date       94     101     8       N       R     mmddccyy                                            The date the Order was initiated.                     0012       Trade Date missing/invalid




      Order Ack-Rejct                                                                                                   116
                                                                                                                         Order Ack-Rejct
Field Name                               Start   End    Length   Type   Opt/Req Values                                           Definition                                         Reject Code       Reject Code Definition
                                                          1                     Required for by Fund Acknowledgement
                                                                                (record type 005 or 037).
                                                                                0 = No Registration Required
                                                                                1 = Registration required
                                                                                2 = Registration submitted before
                                                                                3 = Registration attached.
                                                                                This field is used by Fund Acknowledgement
                                                                                (record type 005) to change registration
                                                                                requirement by setting the field to 0 or 1.
                                                                                Any other value or record type will not change
                                                                                registration requirement.
                                                                                                                                                                                                  Registration Indicator
Registration Indicator                     102    102            A/N      OC                                                                                                           0013       missing/invalid
                                                          1                     Input: Spaces
                                                                                Output:
                                                                                0 = Accepted by NSCC
NSCC Reject Indicator                      103    103            A/N      R     1 = Rejected by NSCC                                                                                   0014       NSCC Reject Indicator invalid
                                                                                Input: Spaces
NSCC Reject Reason Code 1                  104    107     4      A/N      R     Output: Reject code or space                                                                           0015       NSCC Reject Code invalid
                                                                                Input: Spaces
NSCC Reject Reason Code 2                  108    111     4      A/N      R     Output: Reject code or space                                                                           0015       NSCC Reject Code invalid
                                                                                Input: Spaces
NSCC Reject Reason Code 3                  112    115     4      A/N      R     Output: Reject code or space                                                                           0015       NSCC Reject Code invalid
                                                                                Input: Spaces
NSCC Reject Reason Code 4                   116   119     4      A/N      R     Output: Reject code or space                                                                           0015       NSCC Reject Code invalid
  The following fields below are populated by NSCC
                                                                                01 = Initial purchase                            Indicates whether the Order is a purchase or
                                                                                02 = Subsequent purchase                         redemption in a new or existing account.
                                                                                03 = New Redemption Request
                                                                                04 = Redemption Request of Holdback



Transaction Code                           120    121     2      A/N
                                                                                mmddccyy                                         REIT's will use settlement date as the date the
                                                                                                                                 Order in finalized and the recipient expects
                                                                                                                                 proceeds of the Order.

                                                                                                                                 Hedge Funds use Settlement Date/Contract
                                                                                                                                 Note as the date the Order is finalized however,
                                                                                                                                 for Subscriptions/Purchases, money has already
                                                                                                                                 settled via a payment record.

                                                                                                                                 Hedge Fund Tender Offers/Redemptions will use
                                                                                                                                 Settlement Date/Contract Note with settlement
                                                                                                                                 occurring at the end of the Order cycle like
                                                                                                                                 REIT's.
Settlement Date/Contract Note              122    129     8       N
                                                                                1 = Settling                                     Orders can settle through NSCC or users may
                                                                                2 = Non-Settling                                 opt to just exchange the trade facts and settle
                                                                                                                                 outside of NSCC. Typically non-settling
                                                                                                                                 transactions will occur on Orders placed in non-
Settlement Indicator                       130    130     1      A/N                                                             USD.




      Order Ack-Rejct                                                                                                             116
                                                                                                                            Order Ack-Rejct
Field Name                                   Start   End   Length   Type   Opt/Req Values                                          Definition                                            Reject Code       Reject Code Definition
                                                                                   0 = No                                          Funds, on Fund generated orders, may opt to
                                                                                   1 = Yes                                         override the established "Settlement
                                                                                   Allowed only on Fund generated trades           Date/Contract Note" date listed on the Security
Settlement Date Override Indicator            131    131     1      A/N                                                            Profile Announcement.
Filler                                        132    132     1      A/N            Space
Money Amount                                  133    148     16      N             9,999,999,999,999.999
Reporting Currency                            149    151     3      A/N            ISO Compliant                                   The reporting currency of the trade.
Settlement Currency                           152    154     3      A/N            ISO Compliant                                   The settlement currency of the trade.
Share Quantity                                155    168     14      N             9,999,999,999.9999                              The share quantity of the trade.
Filler                                        169    169     1      A/N            Space
                                                                                   Required if the Network Control Indicator = B   The Broker Dealer account number if applicable.
                                                                                                                                   If the account is Broker Controlled, Fund’s must
                                                                                                                                   store and provide the Firm Account Number on
                                                                                                                                   all applicable records.
Firm Account Number                           170    189     20     A/N
                                                                                                                                   The Fund or Fund Administrator account
Fund Account Number                           190    209     20     A/N                                                            number.
                                                                                                                                   A group of shares issued when an offshore fund
                                                                                                                                   receives a new of additional subscription.
                                                                                                                                   All subscriptions that occur at the same time
                                                                                                                                   belong to the same series. All shareholders in
                                                                                                                                   the same
                                                                                                                                   series pay performance fee on those shares at
Series                                        210    217     8       N             ccyymmdd                                        the same time
                                                                                   mmddccyy                                        The date the Series ends and is rolled up into
Series Roll Up Date                           218    225     8       N                                                             the underlying share class.
Filler                                        226    282     57     A/N            Space
                                                                                                                                   If this is a Correction of a previously settled
                                                                                                                                   trade, this field can be used to indicate the
Original Control Number                       283    302     20     A/N                                                            original control number.
Filler                                        303    695    393     A/N            Space
                                                                                   Required on Fund initiated Orders,              If the trade is a redemption, Funds must indicate
                                                                                   Required on Confirmation records,               if the tender offer is subject to holdback.
                                                                                   Required when Transaction Code = 3
                                                                                   0 = No
Tender Offer Subject to Holdback Indicator    696    696     1      A/N            1 = Yes
Filler                                        697    737     41     A/N            Space
                                                                                   0 = No                                          Funds can indicate if the tender offer is oversold.
                                                                                   1 = Yes
Tender Offer Oversold Indicator               738    738     1      A/N
                                                                                   0 = No
Tender Offer Pro Rata Indicator               739    739     1      A/N            1 = Yes
Percent of ProRata Allocation                 740    745     6       N             999.999                                         Funds can indicate the % of pro ration.
                                                                                   0 = No                                          Funds can indicate if Holdbacks will be refunded
                                                                                   1 = Yes                                         automatically or if another redemption request is
                                                                                                                                   required for holdback monies.
Automatic Holdback Refund Indicator           746    746     1      A/N
Populated by Fund/Firm                                                             Required for Record Types = 004, 006, 009,
                                                                                   010, 037, 038
                                                                                   0 = Accepted by Fund/Firm                                                                                           Fund/Firm Reject Indicator
Fund/Firm Reject Indicator                   747     747     1      A/N      OC    1 = Rejected by Fund/Firm                                                                                0059       missing/invalid
                                                                                   Required for Record Types = 004, 006, 009,
                                                                                   010, 037, 038                                                                                                       Fund/Firm Reject Reason Code
Fund/Firm Reject Reason Code 1               748     751     4      A/N      OC    Spaces for other Record Types                                                                            0060       missing/invalid


         Order Ack-Rejct                                                                                                            116
                                                                                                                   Order Ack-Rejct
Field Name                            Start   End   Length   Type   Opt/Req Values                                       Definition        Reject Code       Reject Code Definition
                                                                                                                                                         Fund/Firm Reject Reason Code
Fund/Firm Reject Reason Code 2        752     755     4      A/N      O     Allowed only for Record Types = 004, 006, 009, 010, 037, 038      0060       missing/invalid
                                                                                                                                                         Fund/Firm Reject Reason Code
Fund/Firm Reject Reason Code 3        756     759     4      A/N      O     Allowed only for Record Types = 004, 006, 009, 010, 037, 038      0060       missing/invalid
                                                                                                                                                         Fund/Firm Reject Reason Code
Fund/Firm Reject Reason Code 4        760     763     4      A/N      O     Allowed only for Record Types = 004, 006, 009, 010, 037, 039      0060       missing/invalid

                                                                            Allowed only for Record Types = 004, 006,
                                                                            009, 010, 037, 038
                                                                            3 = Not Found
                                                                            4 = Received
                                                                            5 = Accepted
                                                                            6 = Partial accepted                                                         Account Documentation Attached
Documentation Status Indicator         764    764     1      A/N      O     7 = Rejected                                                      0079       missing/invalid
                                                                            Required for Record Type = 038
                                                                            1 = Received                                                                 Payment Status Indicator
Payment Status Indicator               765    765     1      A/N      OC    2 = Not Received                                                  0342       missing/invalid
                                                                                                                                                         Equalization Amount
Equalization Amount                    766    781     16      N       O     99999999999999.99                                                 0394       missing/invalid
                                                                                                                                                         Equalization Percentage
Equalization Percentage                782    787     6       N       O     999.999                                                           0395       missing/invalid
                                                                            Required if Record Type = 009, 010 or 038
                                                                            and Equalization Amount of Equalization
                                                                            Percentage is populated
                                                                            1 = Debit
Equalization Debit/Credit Indicator    788    788     1      A/N      OC    2 = Credit                                                        0396       Equalization Debit/Credit Indicator
                                                                            1=Yes                                                                        Erisa Eligible Indicator
Erisa Eligible Indicator               789    789     1      A/N      R     2=No                                                              0397       missing/invalid
                                                                            999.999
Erisa Percentage                       790    795     6      A/N      R                                                                       0398       Erisa Percentage missing/invalid
                                                                            1=Yes
Erisa Pre-certified Indicator          796    796     1      A/N      R     2=No                                                              0399       Erisa Pre-certified missing/invalid




      Order Ack-Rejct                                                                                                     116
                                                                                                                         Exchange-Switch
                   Field Name              Start   End   Length   Type   Opt/Req                               Values                                                Definition                   Reject Code             Reject Code Definition
Record Length                                1      4      4       N       R                                                                                                                         0001       Record Length missing/invalid
                                                           1                       B = Firm
Originator Type                              5      5             A/N      R       F = Fund                                                                                                          0002       Originator Type missing/invalid
                                                           8                                                                                           The NSCC ID of the broker dealer
Firm Number                                  6     13             A/N      R                                                                           firm or the custodian firm.                   0003       Firm Number missing/invalid
                                                           8                                                                                           The NSCC ID of the Fund Company.
Fund Number                                 14     21             A/N      R                                                                                                                         0004       Fund Number missing/invalid
                                                           3                       015 = Firm Exchange
                                                                                   016 = Fund Exchange
Record Type                                 22     24             A/N      R       018 = Fund Confirmation of Exchange                                                                               0005       Record Type missing/invalid
                                                           16                      ppppppppnnnnnnnn           Where:                                   The NSCC Security Issue Number
                                                                                   pppppppp = Fund Number                                              was issued when the initial Security
                                                                                   nnnnnnnn = Unique sequential number assigned by NSCC                General Profile and/or Security
                                                                                   This field will be used on orders to identify the Security Issue.   Announcement record was received
                                                                                                                                                       from the firm.
NSCC Security Issue Number Exchange From    25     40             A/N      R                                                                                                                         0006       NSCC Security Issue Number missing/invalid
NSCC Sidepocket ID From                     41     43      3      A/N      O                                                                                                                         0343       Sidepocket ID invalid
                                                           8                                                                                           The Funds' designated share class.
Share Class From                            44     51             A/N      O                                                                                                                         0346       Share Class invalid
                                                           1                       1 = ISIN                                                            The NSCC Security Issue Number is
                                                                                   2 = SEDOL                                                           the required identifier, but Funds may
                                                                                   3 = CUSIP                                                           opt to send this additional information.
Security Identifier Exchange From           52     52             A/N      O       4 = Custom                                                                                                        0007       Security Identifier invalid
                                                           12                                                                                          The NSCC Security Issue Number is
                                                                                                                                                       the required identifier, but Funds may
                                                                                                                                                       opt to send this additional information.
Security Issue ID Exchange From             53     64             A/N      O                                                                                                                         0008       Security Issue ID invalid
                                                           20                      ppppppppyydddnnnnnnnn                                               The unique control number assigned
                                                                                   Where:                                                              by the submitter to identify the trade.
                                                                                   pppppppp = Originating participant number
                                                                                   yyddd = Julian date
                                                                                   nnnnnnnn = Unique sequential number
Control Number                              65     84             A/N      R                                                                                                                         0009       Control Number missing/invalid
Filler                                      85     85      1      A/N      R       Space
                                                           8                       mmddccyy                                                            The date the submitter transmitted the
Submission Date                             86      93             N       R       Must be greater or equal to the processing date                     transaction.                                  0011       Submission Date missing/invalid
Trade Date                                  94     101     8       N       R       mmddccyy                                                            The date the Order was initiated.             0012       Trade Date missing/invalid
Filler                                      102    102     1      A/N      R       Space
                                                           1                       Input: Spaces
                                                                                   Output:
                                                                                   0 = Accepted by NSCC
                                                                                   1 = Rejected by NSCC
NSCC Reject Indicator                       103    103            A/N      R       2 = Accepted with errors                                                                                          0014       NSCC Reject Indicator invalid
                                                           4                       Input: Spaces
NSCC Reject Reason Code 1                   104    107            A/N      R       Output: Reject code or space                                                                                      0015       NSCC Reject Code invalid
                                                           4                       Input: Spaces
NSCC Reject Reason Code 2                   108    111            A/N      R       Output: Reject code or space                                                                                      0015       NSCC Reject Code invalid
                                                           4                       Input: Spaces
NSCC Reject Reason Code 3                   112    115            A/N      R       Output: Reject code or space                                                                                      0015       NSCC Reject Code invalid
                                                           4                       Input: Spaces
NSCC Reject Reason Code 4                   116    119            A/N      R       Output: Reject code or space                                                                                      0015       NSCC Reject Code invalid
                                                           2                       05 = Exchange to Existing Account                                   The date the Fund expects the
Transaction Code                            120    121            A/N      R        06 = Exchange to New Account                                       transaction to settle.                        0016       Transaction Code missing/invalid
                                                           8                       mmddccyy                                                            This field is to report any settlement
                                                                                                                                                       monies generated from the exchange.
Settlement Date                             122    129             N       R                                                                                                                         0017       Settlement Date missing/invalid

                                                                                                                         Exchange-Switch
                                                                                                                  Exchange-Switch
                  Field Name         Start   End   Length   Type   Opt/Req                              Values                                      Definition                  Reject Code            Reject Code Definition
                                                     1                       1 = Settling                                             This field is populated on record type
                                                                             2 = Non-Settling                                         019 or Fund Confirmation.
Settlement Indicator                  130    130            A/N      R                                                                                                             0018       Settlement Indicator missing/invalid
                                                     1                       0 = No
                                                                             1 = Yes
Settlement Date Override Indicator    131    131            A/N      O                                                                                                             0019       Settlement Date Override Indicator invalid
                                                     1                       1 = Full Exchange                                        The money amount of the debit or sell
                                                                             2 = Partial Exchange                                     side of the exchange transaction.
Exchange Type                         132    132            A/N      R                                                                                                             0061       Exchange Type missing/invalid
                                                     16                      99,999,999,999,999.99
                                                                             Maximum is 9,999,999,999,999.99 per day
                                                                             Note: NSCC will settle the net amount of Exchange from
                                                                             Money Amount and Exchange to Money Amount
Exchange from Money Amount            133    148             N       R                                                                                                             0062       Exchange from Dollar Amount missing/invalid
Filler                                149    154      6     A/N      R       Space
                                                     14                                                                               The share quantity of the debit or sell
                                                                                                                                      side of the exchange transaction.
Exchange from Share Quantity          155    168             N       O       9,999,999,999.9999                                                                                    0063       Exchange from Share Quantity invalid
                                                     1                                                                                The code indicating whether the
                                                                             B = Broker Controlled                                    account is Broker Controlled or
Network Control Indicator             169    169            A/N      R       C = Customer Controlled                                  Customer Controlled.                         0025       Network Control Indicator missing/invalid
                                                     20                      Required if the Network Control Indicator = B            The Broker Dealer account number if
                                                                                                                                      applicable. If the account is Broker
                                                                                                                                      Controlled, Fund’s must store and
                                                                                                                                      provide the Firm Account Number on
                                                                                                                                      all applicable records.
Exchange From Firm Account Number     170    189            A/N      OC                                                                                                            0064       From Firm Account Number missing/invalid
                                                     20                      Required if Firm Account Number field is blank           The Fund or Fund Administrator
Exchange From Fund Account Number     190    209            A/N      OC                                                               account number.                              0065       From Fund Account Number missing/invalid
                                                     8                       ccyymmdd                                                 A group of shares issued when an
                                                                                                                                      offshore fund receives a new of
                                                                                                                                      additional subscription. All
                                                                                                                                      subscriptions that occur at the same
                                                                                                                                      time belong to the same series. All
                                                                                                                                      shareholders in the same series pay
                                                                                                                                      performance fee on those shares at
                                                                                                                                      the same time.



Series From                           210    217             N       O                                                                                                             0336       Series From missing/invalid
                                                     2                       01   = Individual                                        The type of account the registration
                                                                             02   = Corporation                                       represents.
                                                                             03   = Partnership
                                                                             04   = Sole Proprietorship
                                                                             05   = Exempt Organization
                                                                             06   = Joint Account
                                                                             07   = Trust
                                                                             08   = UGMA/UTMA
                                                                             09   = Nominee with type of entity
                                                                             10   = Non-custodial IRA
                                                                             11   = Traditional IRA
                                                                             12   = Rollover IRA
                                                                             13   = SEP IRA
                                                                             14   = Roth IRA
                                                                             15   = Roth Conversion

Account Type                          218    219            A/N      O                                                                                                             0028       Account Type missing/invalid

                                                                                                                  Exchange-Switch
                                                                                                                   Exchange-Switch
                 Field Name           Start   End   Length   Type   Opt/Req                               Values                                         Definition                  Reject Code            Reject Code Definition
                                                     160                                                                                   The registration of the exchange to or
Account Registration Name              220    379            A/N      O                                                                    credit account.                              0029       Account Registration Name missing/invalid
                                                      20                      Required if Related Trade Indicator = 1 and Related Account Indicates if there was an associated
                                                                              Number or Related Account Security Issue ID are not          control number from a previous trade
Original Control Number                380    399            A/N      OC      provided.                                                    or exchange.                                 0030       Original Control Number Invalid
Filler                                 400    435     36     A/N      R       Space
                                                      15                                                                                   The name of the registered
Account Representative Name            436    450            A/N      O                                                                    representative on the account.               0245       Account Representative Name length invalid
                                                      9                                                                                    The broker dealers identification
                                                                                                                                           number for the registered
Account Representative Number          451    459            A/N      O                                                                    representative.                              0032       Account Representative Number invalid
Filler                                 460    691    232     A/N      O       Space
                                                      1                                                                                    Indicates if there is an associated
                                                                              0 = No                                                       trade related to the exchange/switch.
Related Trade Indicator                692    692            A/N      O       1 = Yes                                                                                                   0036       Related Trade Indicator invalid
                                                      20                      Required if Related Trade Indicator = 1 and Original Control Indicated if there is an associates
                                                                              Number is not provided                                       account number related to the
Related Account Number                 693    712            A/N      OC                                                                   exchange/switch.                             0037       Related Account Number invalid
                                                      12                      Required if Related Trade Indicator = 1 and Original Control The Security ID of the related trade or
Related Account Security Issue ID      713    724            A/N      OC      Number is not provided                                       account number.                              0038       Related Account Security Issue ID invalid
                                                      1                                                                                    This field reports commissions, if any,
                                                                              1=Level Load
                                                                              2=Back-End Load                                              on the Exchange to/credit account.
                                                                              3=Front-End Load
                                                                              4=Finder's Fee
                                                                              5=Other
                                                                              6 = Medium
                                                                              7 = Hybrid
                                                                              8= N/A
Load Type Indicator                    725    725            A/N      R                                                                                                                 0039       Load Type Indicator missing/invalid
                                                      1                       1 = ROA value at fund                                         If the Fund designates a different
                                                                              2 = LOI at fund                                               breakpoint than the one submitted by
                                                                              3 = The higher of cost or                                     the Firm.
                                                                                  market value at fund
Breakpoint Change Reason Code          726    726            A/N      O                                                                                                                 0040       Breakpoint Change Reason Code invalid
                                                      16                      99,999,999,999,999.99                                         The commission amount, if applicable,
Exchange from Commission Amount        727    742             N       O                                                                     on the sell-side.                           0066       Exchange from Commission Amount invalid
                                                      6                       999.999                                                       The commission percentage, if
Exchange from Commission Percentage    743    748             N       O                                                                     applicable, on the sell-side.               0067       Exchange from Commission Percentage invalid
                                                      16                      99,999,999,999,999.99                                         The dealer concession, if applicable,
Exchange from Dealer Concession        749    764             N       O                                                                     on the sell-side.                           0068       Exchange from Dealer Concession invalid
                                                      12                      999,999.999999                                                Funds may opt to report this
                                                                              Zeroes allowed                                                information on the 018 Fund
Exchange From Price                    765    776             N       O                                                                     confirmation record.                        0368       Exchange from Price missing/invalid
Custodian Name                         777    816     40     A/N      O                                                                                                                 0085       Custodian Name missing
Custodian Tax Identification Number    817    825     9      A/N      O                                                                                                                 0086       Custodian Tax Identification Number missing
Share Lot Identifier 1 From            826    833     8      A/N      O                                                                                                                 0385       Share Lot Identifier 1 invalid
Share Lot Identifier 2 From            834    841     8      A/N      O                                                                                                                 0386       Share Lot Identifier 2 invalid
Share Lot Identifier 3 From            842    849     8      A/N      O                                                                                                                 0387       Share Lot Identifier 3 invalid
Share Lot Identifier 4 From            850    857     8      A/N      O                                                                                                                 0388       Share Lot Identifier 4 invalid
Share Lot Identifier 5 From            858    865     8      A/N      O                                                                                                                 0389       Share Lot Identifier 5 invalid




                                                                                                                   Exchange-Switch
                                                                                                                       Exchange-Switch
                 Field Name              Start   End    Length   Type   Opt/Req                              Values                                             Definition                   Reject Code            Reject Code Definition
                                                          16                      ppppppppnnnnnnnn           Where:                                 Funds may opt to report this
                                                                                  pppppppp = Fund Number                                            information on the 018 Fund
                                                                                  nnnnnnnn = Unique sequential number assigned by NSCC confirmation record.
                                                                                  This field will be used on orders to identify the Security Issue.

NSCC Security Issue Number Exchange To    866    881             A/N      R                                                                                                                     0069       NSCC Security Issue Exchange To missing/invalid
NSCC Sidepocket ID To                     882    884      3      A/N      O                                                                                                                     0343       Sidepocket ID invalid
Share Class To                            885    892      8      A/N      O                                                                                                                     0346       Share Class invalid
                                                          1                       1 = ISIN
                                                                                  2 = SEDOL
                                                                                  3 = CUSIP
Security Identifier Exchange To           893    893             A/N      O       4 = Custom                                                                                                    0070       Security Identifier Exchange To invalid
                                                          12                      Required if NSCC Security Issue Number is blank                 he NSCC Security Issue Number is
                                                                                                                                                  the required identifier, but Funds may
                                                                                                                                                  opt to send this additional information.
Security Issue ID Exchange To             894    905             A/N      O                                                                                                                     0071       Security Issue ID Exchange To invalid
                                                          16                      99,999,999,999,999.99                                           The money amount of the buy-side of
                                                                                  Maximum is 9,999,999,999,999.99 per day                         the transaction.
                                                                                  Note: NSCC will settle the net amount of Exchange from
Exchange to Money Amount                  906    921              N       R       Money Amount and Exchange to Money Amount                                                                     0072       Exchange to Dollar Amount missing/invalid
                                                          14                      9,999,999,999.9999                                              The share quantity of the buy-side of
Exchange to Share Quantity                922    935              N       O                                                                       the transaction.                              0073       Exchange to Share Quantity invalid
                                                          20                      Required if the Network Control Indicator = B                   The Broker Dealer account number if
                                                                                                                                                  applicable. If the account is Broker
                                                                                                                                                  Controlled, Fund’s must store and
                                                                                                                                                  provide the Firm Account Number on
                                                                                                                                                  all applicable records.
Exchange To Firm Account Number           936    955             A/N      OC                                                                                                                    0074       To Firm Account Number missing/invalid
                                                          20                      Required if Exchange To Firm Account Number field is blank The Fund or Fund Administrator
Exchange To Fund Account Number           956    975             A/N      OC                                                                 account number.                                    0075       To Fund Account Number missing/invalid
                                                          8                       ccyymmdd                                                   A group of shares issued when an
                                                                                                                                             offshore fund receives a new of
                                                                                                                                             additional subscription. All
                                                                                                                                             subscriptions that occur at the same
                                                                                                                                             time belong to the same series. All
                                                                                                                                             shareholders in the same series pay
                                                                                                                                             performance fee on those shares at
                                                                                                                                             the same time.



Series To                                 976    983              N       O                                                                                                                     0337       Series To missing/invalid
                                                          16                      99,999,999,999,999.99                                           Funds may opt to report this
                                                                                                                                                  information on the 018 Fund
Exchange to Commission Amount             984    999              N       O                                                                       confirmation record.                          0076       Exchange to Commission Amount invalid
                                                          6                                                                                       Funds may opt to report this
                                                                                                                                                  information on the 018 Fund
Exchange to Commission Percentage        1000    1005             N       O       999.999                                                         confirmation record.                          0077       Exchange to Commission Percentage invalid
                                                          16                      99,999,999,999,999.99                                           Funds may opt to report this
                                                                                                                                                  information on the 018 Fund
Exchange to Dealer Concession            1006    1021             N       O                                                                       confirmation record.                          0078       Exchange to Dealer Concession invalid
                                                          12                      999,999.999999                                                  The price of the buy-side transaction.
Exchange to Price                        1022    1033             N       R       Zeros allowed                                                                                                 0369       Exchange to Price missing/invalid
Share Lot Identifier 1 To                                 8      A/N
                                         1034    1041                     O                                                                                                                     0400       Share Lot Identifier 1 To invalid
Share Lot Identifier 2 To                1042    1049     8      A/N      O                                                                                                                     0401       Share Lot Identifier 2 To invalid
Share Lot Identifier 3 To                1050    1057     8      A/N      O                                                                                                                     0402       Share Lot Identifier 3 To invalid

                                                                                                                       Exchange-Switch
                                                                               Exchange-Switch
                Field Name   Start   End    Length   Type   Opt/Req   Values                     Definition   Reject Code            Reject Code Definition
Share Lot Identifier 4 To    1058    1065     8       A/N      O                                                 0403       Share Lot Identifier 4 To invalid
Share Lot Identifier 5 To    1066    1073     8       A/N      O                                                 0404       Share Lot Identifier 5 To invalid




                                                                               Exchange-Switch
                                                                                                                            Acct. Registration-Maintenance



              Field Name         Start   End   Length   Type   Opt/Req Values                                                               Definition                   Reject Code       Reject Code Definition
Record Length                      1      4      4       N       R                                                                                                          0001       Record Length missing/invalid
                                                                       B = Firm
                                                                       F = Fund
Originator Type                    5      5      1      A/N      R                                                                                                          0002       Originator Type missing/invalid
                                                                                                                               The NSCC ID of the broker dealer
Firm Number                        6     13      8      A/N      R                                                             firm or the custodian firm.                  0003       Firm Number missing/invalid
                                                                                                                               The NSCC ID of the Fund Company.
Fund Number                       14     21      8      A/N      R                                                                                                          0004       Fund Number missing/invalid
                                                                       025 = Registration
                                                                       053 = Account Maintenance
Record Type                       22     24      3      A/N      R                                                                                                          0005       Record Type missing/invalid
                                                                       ppppppppnnnnnnnn                                        The NSCC Security Issue Number
                                                                       Where:                                                  was issued when the initial Security
                                                                       pppppppp = Fund Number                                  General Profile and/or Security
                                                                       nnnnnnnn = Unique sequential number assigned by         Announcement record was received
                                                                       NSCC                                                    from the firm.                                          NSCC Security Issue Number
NSCC Security Issue Number        25     40      16     A/N      R                                                                                                          0006       missing/invalid
                                                                                                                               Sidepockets are created to
                                                                       Note. This field will be generated by NSCC when         designate a portion of the portfolio
                                                                       Sidepocket ID is introduced (Announcement Type =        illiquid and exempt from any
NSCC Sidepocket ID                41     43      3      A/N      O     11).                                                    offerings or redemptions.                    0343       Sidepocket ID invalid
                                                                       The class of Shares represented by the Security
                                                                                                                               The Funds' designated share class.
Share Class                       44     51      8      A/N      O     Issue Number                                                                                         0346       Share Class invalid
                                                                       1   = ISIN                                              The NSCC Security Issue Number is
                                                                       2   = SEDOL                                             the required identifier, but Funds
                                                                       3   = CUSIP                                             may opt to send this additional
Security Indicator                52     52      1      A/N      O     4   = Custom                                            information.                                 0007       Security Identifier invalid
                                                                                                                               The NSCC Security Issue Number is
                                                                                                                               the required identifier, but Funds
                                                                       Required if NSCC Security Issue Number is blank         may opt to send this additional
Security Issue ID                 53     64      12     A/N      O     The number associated with the Security Identifier      information.                                 0008       Security Issue ID invalid
                                                                       ppppppppyydddnnnnnnnn                                   The unique control number assigned
                                                                       Where:                                                  by the submitter to identify the trade.
                                                                       pppppppp = Originating participant number
                                                                       yyddd = Julian date
                                                                       nnnnnnn = Unique sequential number.
                                                                       Required if Record Type is 025



Control Number                    65     84      20     A/N      OC                                                                                                         0009       Control Number missing/invalid
                                                                       1 = Attached (via Paper Flow)                           Status of account documentation                         Account Documentation Attached
Documentation Status Indicator    85     85      1      A/N      R     2 = Not Attached                                                                                     0079       missing/invalid
                                                                       mmddccyy                                                The date the submitter transmitted
Submission Date                   86     93      8       N       R     Must be greater or equal to the processing date         the transaction.                             0011       Submission Date missing/invalid
                                                                       Required if Record Type is 025
Trade Date                        94     101     8       N       OC    mmddccyy                                                                                             0012       Trade Date missing/invalid
Filler                            102    102     1      A/N       R    Spaces




                                                                                                                            Acct. Registration-Maintenance
                                                                                                                   Acct. Registration-Maintenance



             Field Name     Start   End   Length   Type   Opt/Req Values                                                         Definition         Reject Code       Reject Code Definition
                                                                  Input: Spaces
                                                                  Output:
                                                                  0 = Accepted by NSCC
                                                                  1 = Rejected by NSCC
                                                                  2 = Accepted with errors by NSCC

NSCC Reject Indicator        103    103     1      A/N      R                                                                                          0014       NSCC Reject Indicator invalid
                                                                  Input: Spaces
NSCC Reject Reason Code 1    104    107     4      A/N      R     Output: Reject code or space                                                         0015       NSCC Reject Code invalid
                                                                  Input: Spaces
NSCC Reject Reason Code 2    108    111     4      A/N      R     Output: Reject code or space                                                         0015       NSCC Reject Code invalid
                                                                  Input: Spaces
NSCC Reject Reason Code 3    112    115     4      A/N      R     Output: Reject code or space                                                         0015       NSCC Reject Code invalid
                                                                  Input: Spaces
NSCC Reject Reason Code 4    116    119     4      A/N      R     Output: Reject code or space                                                         0015       NSCC Reject Code invalid
                                                                  Required if Record Type is 025 (Account
                                                                  Registration)
                                                                  01 = Open New Account
                                                                  02 = Update Existing Account
Transaction Code             120    121     2      A/N      OC                                                                                         0016       Transaction Code missing/invalid
Filler                       122    168     47     A/N       R    Spaces
                                                                  B = Broker Controlled                                                                           Network Control Indicator
Network Control Indicator    169    169     1      A/N      R     C = Customer Controlled                                                              0025       missing/invalid
                                                                                                                                                                  Firm Account Number
Firm Account Number          170    189     20     A/N      OC    Required if the Network Control Indicator = B                                        0026       missing/invalid
                                                                                                                                                                  Fund Account Number
Fund Account Number          190    209     20     A/N      OC    Required if Firm Account Number field is blank                                       0027       missing/invalid
Series                       210    217     8       N       O     ccyymmdd                                                                             0307       Series missing/invalid
                                                                                                                                                                  Series Roll Up Date
Series Roll Up Date          218    225     8       N       O     mmddccyy                                                                             0308       missing/invalid
                                                                                                                                                                  Custodian Account Number
Custodian Account Number     226    245     20     A/N      O                                                                                          0309       missing/invalid




                                                                                                                   Acct. Registration-Maintenance
                                                                                                                      Acct. Registration-Maintenance



               Field Name       Start   End   Length   Type   Opt/Req Values                                                           Definition                   Reject Code       Reject Code Definition
                                                                                                                          The type of account the registration
                                                                                                                          represents.
                                                                      Required if Record Type is 053 (Account
                                                                      Maintenance)
                                                                      and Transaction Code is 01 (Open New Account)
                                                                      or Record Type is 025
                                                                      (Account Registration)

                                                                      01   = Individual
                                                                      02   = Corporation
                                                                      03   = Partnership
                                                                      04   = Sole Proprietorship
                                                                      05   = Exempt Organization
                                                                      06   = Joint Account
                                                                      07   = Trust
                                                                      08   = UGMA/UTMA
                                                                      09   = Nominee with type of entity
                                                                      10   = Non-custodial IRA
                                                                      11   = Traditional IRA
                                                                      12   = Rollover IRA
                                                                      13   = SEP IRA
                                                                      14   = Roth IRA
                                                                      15   = Roth Conversion
Account Type                     246    247     2      A/N      OC                                                                                                     0028       Account Type missing/invalid
                                                                                                                          The name of the account holder.                         Account Registration Name
Account Name Registration        248    407    160     A/N      R                                                                                                      0029       missing/invalid
Filler                           408    422     15     A/N      R     Spaces
                                                                      Required if Record Type is 053 (Account             If this is a Correction of a previously
                                                                      Maintenance) and Transaction Code is 01 (Open New   settled trade, this field can be used
                                                                      Account) or Record Type is 025 (Account             to indicate the original control
                                                                      Registration)                                       number.

                                                                      1 = Registered Investment Advisor
RIA/RR Indicator                 423    423     1      A/N      OC    2 = Registered Representative                                                                    0031       RIA/RR Indicator missing/invalid
                                                                                                                          The representative type responsible
Company Name                     424    458     35     A/N      O                                                         for the account.                             0244       Company Name length invalid

                                                                                                                          The name of the firm acting as the
                                                                                                                          broker or the party with custody                        Account Representative Name
Account Representative Name      459    473     15     A/N      O                                                         responsibilities on the account.             0245       length invalid
                                                                                                                          The name of the account                                 Account Representative Number
Account Representative Number    474    482     9      A/N      O                                                         representative.                              0032       invalid
                                                                                                                          The number of the account                               Branch Identification Number
Branch ID                        483    491     9      A/N      O                                                         representative.                              0033       invalid
                                                                                                                          The branch id of the account
Branch Address 1                 492    526     35     A/N      O                                                         representative.                              0246       Branch Address 1 length invalid
                                                                                                                          The branch address line #1.
Branch Address 2                 527    561     35     A/N      O                                                                                                      0247       Branch Address 2 length invalid
                                                                                                                          The branch address line #2.
Branch Address 3                 562    596     35     A/N      O                                                                                                      0248       Branch Address 3 length invalid
                                                                                                                          The branch address line #3.
Branch Address 4                 597    631     35     A/N      O                                                                                                      0249       Branch Address 4 length invalid
                                                                                                                          The branch address line #4.
Branch Address 5                 632    666     35     A/N      O                                                                                                      0250       Branch Address 5 length invalid
Branch Zip                       667    677     11     A/N      O                                                         The branch address line #5.                  0034       Branch Zip missing/invalid
                                                                                                                          The postal code of the branch
Branch Country                   678    680     3      A/N      O     ISO Compliant                                       address,                                     0035       Branch Country missing/invalid
CRD Number                       681    690     10     A/N      O                                                          FINRA issued ID                             0335       CRD Number missing/invalid

                                                                                                                      Acct. Registration-Maintenance
                                                                                               Acct. Registration-Maintenance



            Field Name   Start   End   Length   Type   Opt/Req Values                                        Definition         Reject Code       Reject Code Definition
Filler                    691    695     5      A/N      R     Spaces
                                                               0 = Tax Identification Number
                                                               1 = SSN
EIN/SSN Indicator         696    696     1      A/N      O     2 = Investor TIN/EIN                                                0082       EIN/SSN Indicator missing/invalid




                                                                                               Acct. Registration-Maintenance
                                                                                                                             Acct. Registration-Maintenance



             Field Name               Start   End   Length   Type   Opt/Req Values                                                         Definition         Reject Code       Reject Code Definition
EIN/SSN Number                         697    705     9      A/N      O                                                                                          0083       EIN/SSN Number missing
Owner DOB                              706    713     8       N       R     mmddccyy                                                                             0084       Owner DOB missing/invalid

                                                                            Required if Record Type is 025 (Account
Custodian Name                         714    753     40     A/N      OC    Registration) and Account Type is 08 (UGMA/UTMA)                                     0085       Custodian Name missing
                                                                                                                                                                            Custodian Tax Identification
Custodian Tax Identification Number    754    762     9      A/N      O                                                                                          0086       Number missing

                                                                            Required if Record Type is 025 (Account
Joint Owner Name                       763    797     35     A/N      OC    Registration) and Account Type is 06 (UGMA/UTMA)                                     0087       Joint Owner Name missing

Joint Owner SSN Number                 798    806     9      A/N      O                                                                                          0088       Joint Owner SSN Number missing
Joint Owner DOB                        807    814     8       N       OC    Required if the Joint Owner Name is populated                                        0089       Joint Owner DOB missing



                                                                            Required if Record Type is 053 (Account
                                                                            Maintenance)
                                                                            and Transaction Code is 01 (Open New Account)
                                                                            or Record Type is 025
                                                                            (Account Registration)
                                                                            W9 indications
                                                                            0 = Certified (W-9 on File)
                                                                            1 = Failure to Provide Tin
                                                                            2 = Failure to Certify Tin
                                                                            3 = Notification of Incorrect Tin From The Secretary
                                                                            of Treasury
                                                                            4 = Failure to Certify backup Withholding Status
                                                                            5 = Voluntary Disclosure from Payee of Affirmative
                                                                            Backup Withholding Status
                                                                            6 = Notification to Commence Backup Withholding
                                                                            from the Secretary of Treasury Underreporting
                                                                            Dividends and/or Interest Payments
                                                                            7 = Applied for Social Security Number
                                                                            8 = Exempt Recipient
                                                                            9 = Withhold due b/c notice
                                                                            W8 indications
                                                                            A = Uncertified foreign account (no W8 form on file-
                                                                            backup withholding necessary)
                                                                            B = Certified foreign beneficial owner account (from
                                                                            W8-BEN on file)
                                                                            C = Certified foreign intermediary account (form W8-
                                                                            IMY on file)
                                                                            D = Certified valid foreign account (form W8-ECI on
                                                                            file with ITIN)
                                                                            E = Certified foreign exempt account (form W8-IMY
                                                                            on file)
                                                                            F = W8 on file - no treaty rate claimed                                                         Withholding Indicator
Withholding Indicator                  815    815     1      A/N      OC    G = W8 Beneficiary with TIN on file                                                  0096       missing/invalid
                                                                            Required if Withhold Indicator is B, C, D, or F                                                 W8 Certification Date
W8 Certification Date                  816    823     8       N       OC    mmddccyy                                                                             0097       missing/invalid
                                                                            Required if Withhold Indicator is D or E or
                                                                            if Withhold Indicator is B and EIN/SSN Number is not
                                                                            provided
W8 Expiration Date                     824    831     8       N       OC    mmddccyy                                                                             0098       W8 Expiration Date missing/invalid




                                                                                                                             Acct. Registration-Maintenance
                                                                                                                                Acct. Registration-Maintenance



             Field Name               Start   End    Length   Type   Opt/Req Values                                                           Definition         Reject Code       Reject Code Definition


                                                                             Required if Withhold Indicator is C
                                                                             1 = QI (qualified intermediary - primary withholding)
                                                                             2 = QI (Qualified intermediary - non-withholding)
                                                                             3 = Non-QI (non-Qualified intermediary - non-
                                                                             withholding, not the beneficial owner)
                                                                             4 = Partnership (withholding)                                                                     W8 Qualified Intermediary
W8 Qualified Intermediary Indicator    832    832      1      A/N      OC    5 = Partnership (non-withholding)                                                      0099       Indicator missing/invalid
                                                                                                                                                                               W8 Override Country Code length
W8 Override Country Code               833    835      3      A/N      O                                                                                            0269       invalid
                                                                                                                                                                               W8 Override NRA Special Rate
W8 Override NRA Special Rate           836    843      8       N       O     999.99999                                                                              0100       invalid
                                                                             0 = No
                                                                             1 = LOI
                                                                             2 = ROA
LOI/Commitment Letter Indicator        844    844      1      A/N      O     3 = Both                                                                               0101       LOI/ROA Indicator invalid
Side Letter Number                     845    864      20     A/N      O                                                                                            0270       ROA Number length invalid
Side Letter Value                      865    880      16      N       O     99,999,999,999,999.99                                                                  0102       ROA Value invalid
LOI Number                             881    900      20     A/N      O                                                                                            0271       LOI Number length invalid
LOI Value                              901    916      16      N       O     99,999,999,999,999.99                                                                  0103       LOI Value invalid
                                                                             0 = Other
                                                                             1 = NAV Transfer
                                                                             2 = Repurchase
                                                                             3 = Employee
NAV Account Indicator                  917    917      1      A/N      O                                                                                            0104       NAV Account Indicator invalid
                                                                                                                                                                               ABA Routing Number
ABA Routing Number                     918    926      9      A/N      O                                                                                            0111       missing/invalid
                                                                                                                                                                               ACH Account Number
ACH Account Number                     927    946      20     A/N      O                                                                                            0112       missing/invalid
ACH Account Name                       947    981      35     A/N      O                                                                                            0113       ACH Account Name missing
                                                                             0 = Primary                                                                                       Beneficiary Designation
Beneficiary Designation                982    982      1      A/N      O     1 = Secondary                                                                          0115       missing/invalid
                                                                                                                                                                               Beneficiary Asset %
Beneficiary Asset Percent              983     988     6       N       O     999.999                                                                                0116       missing/invalid
Beneficiary Name                       989    1023     35     A/N      O                                                                                            0117       Beneficiary Name missing
Beneficiary SSN                       1024    1032     9      A/N      O                                                                                            0284       Beneficiary SSN length invalid
                                                                             01 = Spouse
                                                                             02 = Mother
                                                                             03 = Father
                                                                             04 = Son
                                                                             05 = Daughter
                                                                             06 = Grandson
                                                                             07 = Granddaughter
                                                                             08 = Sister
                                                                             09 = Brother
                                                                             10 = Other Relative
                                                                             11 = Trust
                                                                             12 = Estate
Beneficiary Relationship              1033    1034     2      A/N      O     13 = Charity                                                                           0118       Beneficiary Relationship invalid
Beneficiary DOB                       1035    1042     8       N       O     mmddccyy                                                                               0119       Beneficiary DOB invalid




                                                                                                                                Acct. Registration-Maintenance
                                                                                                                         Acct. Registration-Maintenance



             Field Name       Start   End    Length   Type   Opt/Req Values                                                            Definition         Reject Code       Reject Code Definition
                                                                     01 = Primary
                                                                     02 = Secondary
                                                                     03 = Dividend
                                                                     04 = Capital Gain
                                                                     05 = Beneficiary
                                                                     06 = Account Statement
                                                                     07 = SWP
                                                                     08 = Prospectus
                                                                     09 = Interested Party
                                                                     10 = Custodian
                                                                     11 = Dividend ACH
                                                                     12 = Dividend Cash to Firm
                                                                     13 = Capital Gain ACH
Address Type of Record 1      1043    1044     2      A/N      R     14 = Capital Gain Cash to Firm                                                          0091       Address Type missing/invalid

Address of Record 1 Line 1    1045    1079     35     A/N      R                                                                                             0092       Address of Record Line1 missing
                                                                                                                                                                        Address of Record Line 2 length
Address of Record 1 Line 2    1080    1114     35     A/N      O                                                                                             0252       invalid
                                                                                                                                                                        Address of Record Line 3 length
Address of Record 1 Line 3    1115    1149     35     A/N      O                                                                                             0253       invalid
                                                                                                                                                                        Address of Record Line 4 length
Address of Record 1 Line 4    1150    1184     35     A/N      O                                                                                             0254       invalid
                                                                                                                                                                        Address of Record Line 5 length
Address of Record 1 Line 5    1185    1219     35     A/N      O                                                                                             0255       invalid
Zip/Postal Code of Record 1   1220    1230     11     A/N      R                                                                                             0093       Zip missing/invalid
Country of Record 1           1231    1233     3      A/N      R                                                                                             0094       Country missing/invalid
Phone Number of Record 1      1234    1249     16     A/N      O     Allow international numbers                                                             0257       Phone Number length invalid
Email Address of Record 1     1250    1349    100     A/N      O                                                                                             0258       Email Address length invalid
                                                                     Required if Address of Record Line 2 is populated
                                                                     01 = Primary
                                                                     02 = Secondary
                                                                     03 = Dividend
                                                                     04 = Capital Gain
                                                                     05 = Beneficiary
                                                                     06 = Account Statement
                                                                     07 = SWP
                                                                     08 = Prospectus
                                                                     09 = Interested Party
                                                                     10 = Custodian
                                                                     11 = Dividend ACH
                                                                     12 = Dividend Cash to Firm
                                                                     13 = Capital Gain ACH
Address Type of Record 2      1350    1351     2      A/N      OC    14 = Capital Gain Cash to Firm                                                          0091       Address Type missing/invalid

Address of Record 2 Line 1    1352    1386     35     A/N      OC    Required if Address Type is populated                                                   0092       Address of Record Line1 missing
                                                                                                                                                                        Address of Record Line 2 length
Address of Record 2 Line 2    1387    1421     35     A/N      O                                                                                             0252       invalid
                                                                                                                                                                        Address of Record Line 3 length
Address of Record 2 Line 3    1422    1456     35     A/N      O                                                                                             0253       invalid
                                                                                                                                                                        Address of Record Line 4 length
Address of Record 2 Line 4    1457    1491     35     A/N      O                                                                                             0254       invalid
                                                                                                                                                                        Address of Record Line 5 length
Address of Record 2 Line 5    1492    1526     35     A/N      O                                                                                             0255       invalid
Zip/Postal Code of Record 2   1527    1537     11     A/N      OC    Required if Address Type is populated                                                   0093       Zip missing/invalid
                                                                     Required if Address Type is populated
Country of Record 2           1538    1540     3      A/N      OC    ISO Compliant                                                                           0094       Country missing/invalid
Phone Number of Record 2      1541    1556     16     A/N      O     Allow international numbers                                                             0257       Phone Number length invalid
Email Address of Record 2     1557    1656    100     A/N      O                                                                                             0258       Email Address length invalid

                                                                                                                         Acct. Registration-Maintenance
                                                                                                                         Acct. Registration-Maintenance



             Field Name       Start   End    Length   Type   Opt/Req Values                                                            Definition         Reject Code       Reject Code Definition
                                                                     Required if Address of Record Line 3 is populated
                                                                     01 = Primary
                                                                     02 = Secondary
                                                                     03 = Dividend
                                                                     04 = Capital Gain
                                                                     05 = Beneficiary
                                                                     06 = Account Statement
                                                                     07 = SWP
                                                                     08 = Prospectus
                                                                     09 = Interested Party
                                                                     10 = Custodian
                                                                     11 = Dividend ACH
                                                                     12 = Dividend Cash to Firm
                                                                     13 = Capital Gain ACH
Address Type of Record 3      1657    1658     2      A/N      OC    14 = Capital Gain Cash to Firm                                                          0091       Address Type missing/invalid

Address of Record 3 Line 1    1659    1693     35     A/N      OC    Required if Address Type is populated                                                   0092       Address of Record Line1 missing
                                                                                                                                                                        Address of Record Line 2 length
Address of Record 3 Line 2    1694    1728     35     A/N      O                                                                                             0252       invalid
                                                                                                                                                                        Address of Record Line 3 length
Address of Record 3 Line 3    1729    1763     35     A/N      O                                                                                             0253       invalid
                                                                                                                                                                        Address of Record Line 4 length
Address of Record 3 Line 4    1764    1798     35     A/N      O                                                                                             0254       invalid
                                                                                                                                                                        Address of Record Line 5 length
Address of Record 3 Line 5    1799    1833     35     A/N      O                                                                                             0255       invalid
Zip/Postal Code of Record 3   1834    1844     11     A/N      OC    Required if Address Type is populated                                                   0093       Zip missing/invalid
                                                                     Required if Address Type is populated
Country of Record 3           1845    1847     3      A/N      OC    ISO Compliant                                                                           0094       Country missing/invalid
Phone Number of Record 3      1848    1863     16     A/N      OC    Allow international numbers                                                             0257       Phone Number length invalid
Email Address of Record 3     1864    1963    100     A/N      O                                                                                             0258       Email Address length invalid


                                                                     Required if Address of Record Line 4 is populated
                                                                     01 = Primary
                                                                     02 = Secondary
                                                                     03 = Dividend
                                                                     04 = Capital Gain
                                                                     05 = Beneficiary
                                                                     06 = Account Statement
                                                                     07 = SWP
                                                                     08 = Prospectus
                                                                     09 = Interested Party
                                                                     10 = Custodian
                                                                     11 = Dividend ACH
                                                                     12 = Dividend Cash to Firm
                                                                     13 = Capital Gain ACH
Address Type of Record 4      1964    1965     2      A/N      OC    14 = Capital Gain Cash to Firm                                                          0091       Address Type missing/invalid

Address of Record 4 Line 1    1966    2000     35     A/N      OC    Required if Address Type is populated                                                   0092       Address of Record Line1 missing
                                                                                                                                                                        Address of Record Line 2 length
Address of Record 4 Line 2    2001    2035     35     A/N      O                                                                                             0252       invalid
                                                                                                                                                                        Address of Record Line 3 length
Address of Record 4 Line 3    2036    2070     35     A/N      O                                                                                             0253       invalid
                                                                                                                                                                        Address of Record Line 4 length
Address of Record 4 Line 4    2071    2105     35     A/N      O                                                                                             0254       invalid
                                                                                                                                                                        Address of Record Line 5 length
Address of Record 4 Line 5    2106    2140     35     A/N      O                                                                                             0255       invalid
Zip/Postal Code of Record 4   2141    2151     11     A/N      OC    Required if Address Type is populated                                                   0093       Zip missing/invalid


                                                                                                                         Acct. Registration-Maintenance
                                                                                                                      Acct. Registration-Maintenance



              Field Name        Start   End    Length   Type   Opt/Req Values                                                       Definition         Reject Code       Reject Code Definition
                                                                       Required if Address Type is populated
Country of Record 4             2152    2154     3      A/N      OC    ISO Compliant                                                                      0094       Country missing/invalid

Phone Number of Record 4        2155    2170     16     A/N      O     Allow international numbers                                                        0257       Phone Number length invalid
Email Address of Record 4       2171    2270    100     A/N      O                                                                                        0258       Email Address length invalid



                                                                       Required if Address of Record 5 is populated
                                                                       01 = Primary
                                                                       02 = Secondary
                                                                       03 = Dividend
                                                                       04 = Capital Gain
                                                                       05 = Beneficiary
                                                                       06 = Account Statement
                                                                       07 = SWP
                                                                       08 = Prospectus
                                                                       09 = Interested Party
                                                                       10 = Custodian
                                                                       11 = Dividend ACH
                                                                       12 = Dividend Cash to Firm
                                                                       13 = Capital Gain ACH
Address Type of Record 5        2271    2272     2      A/N      OC    14 = Capital Gain Cash to Firm                                                     0091       Address Type missing/invalid

Address of Record 5 Line 1      2273    2307     35     A/N      OC    Required if Address Type is populated                                              0092       Address of Record Line1 missing
                                                                                                                                                                     Address of Record Line 2 length
Address of Record 5 Line 2      2308    2342     35     A/N      O                                                                                        0252       invalid
                                                                                                                                                                     Address of Record Line 3 length
Address of Record 5 Line 3      2343    2377     35     A/N      O                                                                                        0253       invalid
                                                                                                                                                                     Address of Record Line 4 length
Address of Record 5 Line 4      2378    2412     35     A/N      O                                                                                        0254       invalid
                                                                                                                                                                     Address of Record Line 5 length
Address of Record 5 Line 5      2413    2447     35     A/N      O                                                                                        0255       invalid
Zip/Postal Code of Record 5     2448    2458     11     A/N      OC    Required if Address Type is populated                                              0093       Zip missing/invalid
                                                                       Required if Address Type is populated
Country of Record 5             2459    2461     3      A/N      OC    ISO Compliant                                                                      0094       Country missing/invalid
Phone Number of Record 5        2462    2477     16     A/N      O     Allow international numbers                                                        0257       Phone Number length invalid
Email Address of Record 5       2478    2577    100     A/N      O                                                                                        0258       Email Address length invalid
                                                                       0 = No                                                                                        Erisa Eligible Indicator
Erisa Eligible Indicator        2578    2578     1      A/N      R     1 = Yes                                                                            0397       missing/invalid
                                                                       999.999
Erisa Percentage                2579    2584     6       N       R     Zeroes Allowed                                                                     0398       Erisa Percentage missing/invalid
                                                                       0 = No
Erisa Pre-Certified Indicator   2585    2585     1      A/N      R     1 = Yes                                                                            0399       Erisa Pre-certified missing/invalid




                                                                                                                      Acct. Registration-Maintenance
                                                                                                        Registration Acknowledgement
                                                                                                             Registration Reject
                                                                                                          Activity Acknowledgement
                                                                                                                 Activity Reject

             Field Name          Start End Length Type    Opt/Req               Values                              Description        Reject Code       Reject Code Definition
Record Length                        1   4       4  N        R                                                                            0001     Record Length missing/invalid
Originator Type                      5   5       1 A/N       R    B = Firm                                                                0002
                                                                  (Record Type 054, 055, 026, 027)
                                                                  F = Fund
                                                                  (Record Type 026, 027)
                                                                                                                                                    Originator Type missing/invalid
Firm Number                         6   13      8   A/N      R                                                                            0003      Firm Number missing/invalid
Fund Number                        14   21      8   A/N      R                                                                            0004      Fund Number missing/invalid
Record Type                        22   24      3   A/N      R     026 = Registration Acknowledgement                                     0005
                                                                   027 = Registration Reject
                                                                   054 = Activity Acknowledgement
                                                                   055 = Activity Reject



                                                                                                                                                    Record Type missing/invalid
NSCC Security Issue Number         25   40     16   A/N      R     ppppppppnnnnnnnn                                                       0006
                                                                   Where:
                                                                   pppppppp = Fund Number
                                                                   nnnnnnnn = Unique sequential
                                                                   number assigned by NSCC
                                                                                                                                                    NSCC Security Issue Number
                                                                                                                                                    missing/invalid
NSCC Sidepocket ID                 41   43      3   A/N      O                                                                            0343      Sidepocket ID invalid
Share Class                        44   51      8   A/N      O                                                                            0346      Share Class invalid
Security Identifier                52   52      1   A/N      O     1   =   ISIN                                                           0007
                                                                   2   =   SEDOL
                                                                   3   =   CUSIP
                                                                   4   =   Custom                                                                   Security Identifier invalid
Security Issue ID                  53   64     12   A/N      O                                                                            0008      Security Issue ID invalid
Control Number                     65   84     20   A/N      R                                                                            0009      Control Number missing/invalid
Documentation Status Indicator     85   85      1   A/N      O     3 = Not Found                                                          0079
                                                                   4 = Received
                                                                   5 = Accepted
                                                                   6 = Partial accepted
                                                                   7 = Rejected                                                                     Account Documentation Attached
                                                                                                                                                    missing/invalid
Submission Date                    86   93      8   N       OC     Required for Record Type = 026 or                                      0011
                                                                   027
                                                                   mmddccyy                                                                         Submission Date missing/invalid
Trade Date                         94   101     8   N       OC     Required for Record Type = 026 or                                      0012
                                                                   027
                                                                   mmddccyy
                                                                                                                                                    Trade Date missing/invalid
Filler                            102   102     1   A/N      R     Spaces
NSCC Reject Indicator             103   103     1   A/N      R     Input: Spaces                                                          0014
                                                                   Output:
                                                                   0 = Accepted by NSCC
                                                                   1 = Rejected by NSCC                                                             NSCC Reject Indicator invalid
NSCC Reject Reason Code 1         104   107     4   A/N      R     Input: Spaces                                                          0015
                                                                   Output: Reject code or space
                                                                                                                                                    NSCC Reject Code invalid
NSCC Reject Reason Code 2         108   111     4   A/N      R     Input: Spaces                                                          0015
                                                                   Output: Reject code or space
                                                                                                                                                    NSCC Reject Code invalid
NSCC Reject Reason Code 3         112   115     4   A/N      R     Input: Spaces                                                          0015
                                                                   Output: Reject code or space                                                     NSCC Reject Code invalid
NSCC Reject Reason Code 4         116   119     4   A/N      R     Input: Spaces                                                          0015
                                                                   Output: Reject code or space
                                                                                                                                                    NSCC Reject Code invalid
                                                                                                            Registration Acknowledgement
                                                                                                                 Registration Reject
                                                                                                              Activity Acknowledgement
                                                                                                                     Activity Reject

            Field Name           Start End    Length   Type   Opt/Req                 Values                            Description        Reject Code         Reject Code Definition
                                                                        The Following fields are populated by NSCC
Filler                            120   121        2   A/N
Settlement Date/Contract Note     122   129        8    N               mmddccyy                                                              0017       Settlement Date missing/invalid
Series                            130   137        8    N               ccyymmdd                                                              0307       Series missing/invalid
Filler                            138   169       32   A/N              Spaces
Firm Account Number               170   189       20   A/N
                                                                                                                                              0026       Firm Account Number missing/invalid
Fund Account Number               190   209       20   A/N                                                                                               Fund Account Number
                                                                                                                                              0027       missing/invalid
Filler                            210   556      347   A/N              Spaces
                                                                     The following fields are populated by Fund/Firm
Fund/Firm Reject Indicator        557   557        1   A/N      OC      Required for Record Type = 027 or                                     0059
                                                                        055
                                                                        0 = Accepted by Fund/Firm
                                                                        1 = Rejected by Fund/Firm                                                        Fund/Firm Reject Indicator
                                                                                                                                                         missing/invalid
Fund/Firm Reject Reason Code 1    558   561        4   A/N      OC      Required for Record Type = 027 or                                     0060
                                                                        055,
                                                                        Spaces for other Record Types                                                    Fund/Firm Reject Reason Code
                                                                                                                                                         missing/invalid
Fund/Firm Reject Reason Code 2    562   565        4   A/N      O       Required for Record Type = 027 or                                     0060
                                                                        055,                                                                             Fund/Firm Reject Reason Code
                                                                        Spaces for other Record Types                                                    missing/invalid
Fund/Firm Reject Reason Code 3    566   569        4   A/N      O       Required for Record Type = 027 or                                     0060
                                                                        055,
                                                                                                                                                         Fund/Firm Reject Reason Code
                                                                        Spaces for other Record Types
                                                                                                                                                         missing/invalid
Fund/Firm Reject Reason Code 4    570   573        4   A/N      O       Required for Record Type = 027 or                                     0060
                                                                        055,
                                                                        Spaces for other Record Types                                                    Fund/Firm Reject Reason Code
                                                                                                                                                         missing/invalid
                                                                            Payment Ackn Rej

                                                                                                                                                     Reject
Field Name                   Start End Length   Type   Opt/Req                  Values                                Description                    Code       Reject Code Definition
Record Length                 1    4     4       N       R                                                                                            0001    Record Length missing/invalid
                                                                 F = Fund
Originator Type               5    5     1      A/N      R                                                                                            0002    Originator Type missing/invalid
                                                                 The NSCC ID of the broker dealer The NSCC ID of the broker dealer firm
Firm Number                   6    13    8      A/N      R       firm or the custodian firm.      or the custodian firm.                              0003    Firm Number missing/invalid
                                                                 The NSCC ID of the Fund Company. The NSCC ID of the Fund Company.
Fund Number                   14   21    8      A/N      R                                                                                            0004    Fund Number missing/invalid
                                                                 031 – Payment Acknowledgement
Record Type                   22   24    3      A/N      R                                                                                            0005    Record Type missing/invalid
                                                                 ppppppppnnnnnnnn                        The NSCC Security Issue Number was
                                                                 Where:                                  issued when the initial Security General
                                                                 pppppppp = Fund Number                  Profile and/or Security Announcement
                                                                 nnnnnnnn = Unique sequential            record was received from the firm.
                                                                 number assigned by NSCC                                                                      NSCC Security Issue Number
NSCC Security Issue Number    25   40    16     A/N      R                                                                                            0006    missing/invalid
                                                                 Note. This field will be generated by   Sidepockets are created to designate a
                                                                 NSCC when Sidepocket ID is              portion of the portfolio illiquid and
                                                                 introduced (Announcement Type =         exempt from any offerings or
NSCC Sidepocket ID            41   43    3      A/N      O       11).                                    redemptions.                                 0343    Sidepocket ID invalid
                                                                 The class of Shares represented by
                                                                                                         The Funds' designated share class.
Share Class                   44   51    8      A/N      O       the Security Issue Number                                                            0346    Share Class invalid
                                                                 1 = ISIN                                The NSCC Security Issue Number is the
                                                                 2 = SEDOL                               required identifier, but Funds may opt to
                                                                 3 = CUSIP                               send this additional information.
Security Identifier           52   52    1      A/N      O       4 = Custom                                                                           0007    Security Identifier invalid
                                                                 Required if NSCC Security Issue         The NSCC Security Issue Number is the
                                                                 Number is blank                         required identifier, but Funds may opt to
                                                                 The number associated with the          send this additional information.
Security Issue ID             53   64    12     A/N      O       Security Identifier                                                                  0008    Security Issue ID invalid
                                                                 ppppppppyydddnnnnnnn                    The unique control number assigned by
                                                                 Where:                                  the submitter to identify the trade.
                                                                 pppppppp = Originating participant
                                                                 number
                                                                 yyddd = Julian date
                                                                 nnnnnnn = Unique sequential
                                                                 number

Control Number                65   84    20     A/N      R                                                                                            0009    Control Number missing/invalid
Filler                        85   85    1      A/N      R       Space
                                                                 mmddccyy                             The date the submitter transmitted the
                                                                 Must be equal to the processing date transaction.                                            Submission Date
Submission Date               86   93    8       N       R                                                                                            0011    missing/invalid
Trade Date/Dealing Date       94   101   8       N       R       mmddccyy                                The date the Order was initiated.            0012    Trade Date missing/invalid
Filler                       102   102   1      A/N      R       Spaces
                                                                 Input: Spaces
                                                                 Output:
                                                                 0 = Accepted by NSCC
                                                                 1 = Rejected by NSCC
                                                                 2 = Accepted with errors
NSCC Reject Indicator        103   103   1      A/N      R                                                                                            0014    NSCC Reject Indicator invalid
                                                                       Payment Ackn Rej

                                                             Input: Spaces
NSCC Reject Reason Code 1        104   107   4    A/N   R    Output: Reject code or space                                                     0015   NSCC Reject Code invalid
                                                             Input: Spaces
NSCC Reject Reason Code 2        108   111   4    A/N   R    Output: Reject code or space                                                     0015   NSCC Reject Code invalid
                                                             Input: Spaces
NSCC Reject Reason Code 3        112   115   4    A/N   R    Output: Reject code or space                                                     0015   NSCC Reject Code invalid
                                                             Input: Spaces
NSCC Reject Reason Code 4        116   119   4    A/N   R    Output: Reject code or space                                                     0015   NSCC Reject Code invalid
                                                          The following fields below are populated by NSCC
                                                             01 = Initial purchase               REIT's will use settlement date as the
                                                             02 = Subsequent purchase            date the Order in finalized and the
                                                             03 = New Redemption Request         recipient expects proceeds of the Order.
                                                             04 = Redemption Request of
                                                             Holdback                            Hedge Funds use Settlement
                                                                                                 Date/Contract Note as the date the
                                                                                                 Order is finalized however, for
                                                                                                 Subscriptions/Purchases, money has
                                                                                                 already settled via a payment record.

                                                                                                   Hedge Fund Tender Offers/Redemptions
                                                                                                   will use Settlement Date/Contract Note
                                                                                                   with settlement occurring at the end of
                                                                                                   the Order cycle like REIT's.



Transaction Code                 120   121   2    A/N
                                                              mmddccyy                             Orders can settle through NSCC or
                                                                                                   users may opt to just exchange the trade
                                                                                                   facts and settle outside of NSCC.
                                                                                                   Typically non-settling transactions will
                                                                                                   occur on Orders placed in non-USD.
Settlement Date/Contract Note    122   129   8    N
                                                              1 = Settling                         Funds, on Fund generated orders, may
                                                              2 = Non Settling                     opt to override the established
                                                                                                   "Settlement Date/Contract Note" date
                                                                                                   listed on the Security Profile
Settlement Indicator             130   130   1    A/N                                              Announcement.
Filler                           131   131   1    A/N         Spaces
                                                              1 = Attached (via Paper Flow)        Indicates if the subaccount
                                                              2 = Not Attached                     documentation was sent via the Paper
                                                                                                   Workflow application with a
Documentation Status Indicator   132   132   1    A/N                                              corresponding Control #.
Money Amount                     133   148   16    N          99,999,999,999,999.99
Reporting Currency               149   151   3    A/N         ISO Compliant                        The reporting currency of the trade.
Settlement Currency              152   154   3    A/N                                              The settlement currency of the trade.
Share Quantity                   155   168   14    N          9,999,999,999.9999                   The share quantity of the trade.
                                                              B = Broker Controlled
Network Control Indicator        169   169   1    A/N         C = Customer Controlled
                                                              Required if the Network Control      The Broker Dealer account number if
                                                              Indicator = B                        applicable. If the account is Broker
                                                                                                   Controlled, Fund’s must store and
                                                                                                   provide the Firm Account Number on all
Firm Account Number              170   189   20   A/N                                              applicable records.
                                                     Payment Ackn Rej

                                                                        The Fund or Fund Administrator account
Fund Account Number    190   209   20   A/N                             number.
                                              ccyymmdd                  A group of shares issued when an
                                                                        offshore fund receives a new of
                                                                        additional subscription.
                                                                        All subscriptions that occur at the same
                                                                        time belong to the same series. All
                                                                        shareholders in the same
                                                                        series pay performance fee on those
Series                 210   217   8    N                               shares at the same time
Payment Date           218   225   8    N     mmddccyy                  The date payment is due.
Documentation Date     226   233   8    N     mmddccyy                  The date documentation is due.
                                              mmddccyy                  The date the Fund will provide pricing.
Price/Valuation Date   234   241   8    N
                                                                                                                          Payment Record



               Field Name     Start   End   Length   Type   Opt/Req                        Values                                           Definition                      Reject Code                    Reject Code Definition
Record Length                   1      4      4       N       R                                                                                                                0001       Record Length missing/invalid
Originator Type                 5      5      1      A/N      R       B = Firm                                                                                                 0002       Originator Type missing/invalid
                                                                                                                           The NSCC ID of the broker dealer firm or the
Firm Number                     6     13      8      A/N      R                                                            custodian firm.                                     0003       Firm Number missing/invalid
Fund Number                    14     21      8      A/N      R                                                            The NSCC ID of the Fund Company.                    0004       Fund Number missing/invalid
Record Type                    22     24      3      A/N      R       030 = Payment                                                                                            0005       Record Type missing/invalid
                                                                      ppppppppnnnnnnnn           Where:                    The NSCC Security Issue Number was
                                                                      pppppppp = Fund Number                               issued when the initial Security General
                                                                      nnnnnnnn = Unique sequential number                  Profile and/or Security Announcement record
                                                                      assigned by NSCC                                     was received from the firm.
                                                                      This field will be used on orders to identify the
NSCC Security Issue Number     25     40      16     A/N      R       Security Issue.                                                                                          0005       Record Type missing/invalid
NSCC Sidepocket ID             41     43       3     A/N      O                                                                                                                0343       Sidepocket ID invalid
Share Class                    44     51       8     A/N      O                                                            The Funds' designated share class.                  0346       Share Class invalid
                                                                      Required if NSCC Security Issue Number is            The NSCC Security Issue Number is the
                                                                      blank                                                required identifier, but Funds may opt to send
                                                                      1 = ISIN                                             this additional information.
                                                                       2 = SEDOL
                                                                      3 = CUSIP
Security Identifier            52     52      1      A/N      O       4 = Custom                                                                                               0007       Security Identifier invalid
                                                                      Required if NSCC Security Issue Number is            he NSCC Security Issue Number is the
                                                                      blank                                                required identifier, but Funds may opt to send
Security Issue ID              53     64      12     A/N      O                                                            this additional information.                        0008       Security Issue ID invalid
                                                                      ppppppppyydddnnnnnnn                                 The unique control number assigned by the
                                                                      Where:                                               submitter to identify the trade.
                                                                      pppppppp = Fund number
                                                                      yyddd = Julian date
                                                                      nnnnnnnn = Unique sequential number

Control Number                 65     84      20     A/N      R                                                                                                                0009       Control Number missing/invalid
Filler                         85     85       1     A/N      R       Space
                                                                      mmddyyyy
Submission Date                86     93      8       N       R       Must be equal to the processing date                                                                     0011       Submission Date missing/invalid
                                                                      mmddccyy                                             The Business Day following each Valuation
Trade Date/Dealing Date        94     101     8       N       R                                                            Day of the hedge fund                               0012       Trade Date missing/invalid
Filler                         102    102     1      A/N      R       Space
                                                                      Input: Spaces
                                                                      Output:
                                                                      0 = Accepted by NSCC
                                                                      1 = Rejected by NSCC
NSCC Reject Indicator          103    103     1      A/N      R       2 = Accepted with errors                                                                                 0014       NSCC Reject Indicator invalid
                                                                      Input: Spaces
NSCC Reject Reason Code 1      104    107     4      A/N      R       Output: Reject code or space                                                                             0015       NSCC Reject Code invalid
                                                                      Input: Spaces
NSCC Reject Reason Code 2      108    111     4      A/N      R       Output: Reject code or space                                                                             0015       NSCC Reject Code invalid
                                                                      Input: Spaces
NSCC Reject Reason Code 3      112    115     4      A/N      R       Output: Reject code or space                                                                             0015       NSCC Reject Code invalid
                                                                      Input: Spaces
NSCC Reject Reason Code 4      116    119     4      A/N      R       Output: Reject code or space                                                                             0015       NSCC Reject Code invalid




             Payment Record                                                                                                      86
                                                                                                                         Payment Record



               Field Name        Start   End   Length   Type   Opt/Req                      Values                                         Definition                       Reject Code                   Reject Code Definition
                                                                         01 = Initial purchase
                                                                         02 = Subsequent purchase



Transaction Code                  120    121     2      A/N      R                                                                                                             0016       Transaction Code missing/invalid
Settlement Date/Contract Note     122    129     8       N       O       mmddccyy                                                                                              0017       Settlement Date missing/invalid
                                                                         1 = Settling
Settlement Indicator              130    130     1      A/N      R       2 = Non Settling                                                                                      0018       Settlement Indicator missing/invalid
Filler                            131    131     1      A/N      R       Space
                                                                         1 = Attached (via Paper Flow)
Documentation Status Indicator    132    132     1      A/N      R       2 = Not Attached                                                                                      0079       Account Documentation Attached missing/invalid
                                                                         99,999,999,999,999.99
Money Amount                      133    148     16      N       R       Maximum is 9,999,999,999,999.99 per day                                                               0021       Dollar Amount missing/invalid
Reporting Currency                149    151      3     A/N      R       ISO Compliant                                                                                         0022       Reporting Currency missing/invalid
Settlement Currency               152    154      3     A/N      R       ISO Compliant                                                                                         0023       Settlement Currency missing/invalid
Share Quantity                    155    168     14      N       O       9,999,999,999.9999                                                                                    0024       Share Quantity missing/invalid
                                                                         B = Broker Controlled
Network Control Indicator         169    169     1      A/N      R       C = Customer Controlled                                                                               0025       Network Control Indicator missing/invalid
                                                                         Required if the Network Control Indicator = B    The Broker Dealer account number if
                                                                                                                          applicable. If the account is Broker
                                                                                                                          Controlled, Fund’s must store and provide
                                                                                                                          the Firm Account Number on all applicable
Firm Account Number               170    189     20     A/N      OC                                                       records.                                             0026       Firm Account Number missing/invalid
                                                                         Required if Firm Account Number field is blank The Fund or Fund Administrator account
Fund Account Number               190    209     20     A/N      OC                                                     number.                                                0027       Fund Account Number missing/invalid
                                                                         ccyymmdd                                       A group of shares issued when an offshore
                                                                                                                        fund receives a new of additional
                                                                                                                        subscription. All subscriptions that occur at
                                                                                                                        the same time belong to the same series. All
                                                                                                                        shareholders in the same series pay
                                                                                                                        performance fee on those shares at the same
                                                                                                                        time.

Series                            210    217     8       N       O                                                                                                             0307       Series missing/invalid
                                                                         mmddccyy                                         The date payment is due to the Fund for
                                                                                                                          subscriptions or the date Funds will distribute
Payment Date                      218    225     8       N       R                                                        redemption proceeds.                                 0310       Performance Fee Payout Date missing/invalid
                                                                         mmddccyy                                         The date Funds require account
Documentation Date                226    233     8       N       O                                                        documentation.                                       0311       Documentation Date missing/invalid
Price/Valuation Date              234    241     8       N       O       mmddccyy                                         The date Funds will strike the NAV.                  0045       Valuation Date missing/invalid
Share Lot Identifier 1            242    249     8      A/N      O                                                                                                             0385       Share Lot Identifier 1 invalid
Share Lot Identifier 2            250    257     8      A/N      O                                                                                                             0386       Share Lot Identifier 2 invalid
Share Lot Identifier 3            258    265     8      A/N      O                                                                                                             0387       Share Lot Identifier 3 invalid
Share Lot Identifier 4            266    273     8      A/N      O                                                                                                             0388       Share Lot Identifier 4 invalid
Share Lot Identifier 5            274    281     8      A/N      O                                                                                                             0389       Share Lot Identifier 5 invalid




           Payment Record                                                                                                       87
                                                                                                                      Reminder

Field Name                   Start   End       Length   Type   Opt/Req Values                                        Definition   Reject Code             Reject Code Definition
Record Length                    1         4     4       N        R                                                                  0001       Record Length missing/invalid
Originator Type                  5         5     1      A/N       R   N = NSCC                                                       0002       Originator Type missing/invalid
Firm Number                      6     13        8      A/N       R                                                                  0003       Firm Number missing/invalid

Fund Number                     14     21        8      A/N       R                                                                  0004       Fund Number missing/invalid


Record Type                     22     24        3      A/N       R   080 = Pending Registration                                     0005       Record Type missing/invalid
                                                                      081 = Pending Registration
                                                                      Acknowledgement
                                                                      082 = Pending Order Acknowledgement
                                                                      from Firm
                                                                      083 = Pending Order Acknowledgement from
                                                                      Fund
                                                                      084 = Pending Exchange Confirmation
                                                                      085 = Pending Order Confirmation
                                                                      086 = Pending Firm Order
                                                                      087 = Order Settlement Date differ from
                                                                      Security Announcement
                                                                      (This reminder is sent once when fund
                                                                      changes Security Announcement Settlement
                                                                      Date, for every order for that security with
                                                                      Settlement Date different than the one on
                                                                      the Announcement)
                                                                      088 = Pending Fund Order
                                                                      100 - Pending Payment Acknowledgement
                                                                      102 - Pending Prepaid Order
                                                                      Acknowledgement from Fund
                                                                      103 - Pending Prepaid Order Confirmation
                                                                      104 - Pending Activity Acknowledgement
                                                                      105 - Pending Activity Confirmation
                                                                      106 – Pending Security Profile Request
                                                                      Acknowledgement
                                                                      107 - Pending Prepaid Order
                                                                      108 - Pending Contract Note
                                                                      109 - Pending Position Schedule Request
NSCC Security Issue Number      25     40        16     A/N       R                                                                  0006       NSCC Security Issue Number missing/invalid
NSCC Sidepocket ID              41     43         3     A/N       O                                                                  0343       Sidepocket ID invalid
Share Class                     44     51        8      A/N       O                                                                  0346       Share Class invalid
Security Indicator              52     52        1      A/N       O   1   =   ISIN                                                   0007       Security Identifier invalid
                                                                      2   =   SEDOL
                                                                      3   =   CUSIP
                                                                      4   =   Custom

Security Issue ID               53     64        12     A/N       O                                                                  0008       Security Issue ID invalid
Control Number                  65     84        20     A/N       R                                                                  0009       Control Number missing/invalid
Correction Indicator            85     85        1      A/N       R                                                                  0010       Correction Indicator missing/invalid
Submission Date                 86     93        8       N        R   mmddccyy                                                       0011       Submission Date missing/invalid
Trade Date                      94    101        8       N        O   mmddccyy                                                       0012       Trade Date missing/invalid
Filler                         102    102        1      A/N       R   spaces
Settlement Date                103    110        8       N        O   mmddccyy                                                       0017       Settlement Date missing/invalid
Reminder Age                   111    114        4       N        R   9999                                                           0120       Reminder Age missing/invalid




          Reminder                                                                                                       116
                  Field Name   Start   End   Length   Type   Opt/Req                     Values                                  Definition                   Reject Code         Reject Code Definition
Record Length                    1      4      4       N        R                                                                                                0001       Record Length missing/invalid
                                                                       B = Firm
Originator Type                  5      5      1      A/N      R       F = Fund                                                                                  0002       Originator Type missing/invalid

                                                                                                                    The NSCC ID of the broker
Firm Number                      6     13      8      A/N      R                                                    dealer firm or the custodian firm.           0003       Firm Number missing/invalid
                                                                                                                    The NSCC ID of the Fund
Fund Number                     14     21      8      A/N      R                                                    Company.                                     0004       Fund Number missing/invalid
                                                                       064 = Security Profile Request
                                                                       065 = Security Profile Request
                                                                       Acknowledgement
                                                                       066 = Security Profile Request Reject
                                                                       067 = Position Request
                                                                       068 = Position Request
                                                                       Acknowledgement
                                                                       069 = Position Request Reject
Record Type                     22     24      3      A/N      R                                                                                                 0005       Record Type missing/invalid
                                                                                                                    The NSCC Security Issue
                                                                                                                    Number was issued when the
                                                                                                                    initial Security General Profile
                                                                                                                    and/or Security Announcement
                                                                       ppppppppnnnnnnnn           Where:            record was received from the
                                                                       pppppppp = Fund Number                       firm.
                                                                       nnnnnnnn = Unique sequential number          If a NSCC Security Issue
                                                                       assigned by NSCC                             Number is not given the
                                                                       This field will be used on orders to         Participant is requesting all                           NSCC Security Issue Number
NSCC Security Issue Number      25     40      16     A/N      R       identify the Security Issue.                 available Position files.                    0006       missing/invalid
                                                                                                                    Sidepockets are created to designate
                                                                       Note. This field will be generated by NSCC   a portion of the portfolio illiquid and
                                                                       when Sidepocket ID is introduced             exempt from any offerings or
NSCC Sidepocket ID              41     43      3      A/N      O       (Announcement Type = 11).                    redemptions.                                 0343       Sidepocket ID invalid
                                                                       The class of Shares represented by the
                                                                                                                    The Funds' designated share class.
Share Class                     44     51      8      A/N      O       Security Issue Number                                                                     0346       Share Class invalid
Filler                          52     64      13     A/N      R
                                                                       ppppppppyydddnnnnnnn
                                                                       Where:
                                                                       pppppppp = Fund number
                                                                       yyddd = Julian date
Control Number                  65     84      20     A/N      R       nnnnnnn = Unique sequential number                                                        0009       Control Number missing/invalid
                                                                       01 = Security General (Record Type 064,
                                                                       065, 066 only)
                                                                       02 = Security Announcement (Record
                                                                       Type 064, 065, 066 only)
                                                                       03 = Security Contact (Record Type 064,
                                                                       065, 066 only)
                                                                       04 = New Position File Schedule (Record
                                                                       Type 067)
                                                                       05 = Update Position File Schedule
                                                                       (Record Type 067)
                                                                       06 = Ad-Hoc Position File Request
Request Type                    85     86      2      A/N      R       (Record Type 067, 068, 069 only)                                                          0373       Request Type missing/invalid
Filler                          87     102     16     A/N      R
                Field Name       Start    End    Length   Type    Opt/Req                    Values                            Definition             Reject Code         Reject Code Definition
                                                                            Input: Spaces
                                                                            Output:
                                                                            0 = Accepted by NSCC
NSCC Reject Indicator             103      103     1       A/N       R      1 = Rejected by NSCC                                                         0014       NSCC Reject Indicator invalid
                                                                            Input: Spaces
NSCC Reject Reason Code 1         104      107     4       A/N       R      Output: Reject code or space                                                 0015       NSCC Reject Code invalid
                                                                            Input: Spaces
NSCC Reject Reason Code 2         108      111     4       A/N       R      Output: Reject code or space                                                 0015       NSCC Reject Code invalid
                                                                            Input: Spaces
NSCC Reject Reason Code 3         112      115     4       A/N       R      Output: Reject code or space                                                 0015       NSCC Reject Code invalid
                                                                            Input: Spaces
NSCC Reject Reason Code 4         116      119     4       A/N       R      Output: Reject code or space                                                 0015       NSCC Reject Code invalid
                                         Reject Reason Codes Populated by Firm/Fund on Record Types = 066 or 069 (Security Request Reject)
                                                                            Required for Record Type = 066 or 069                                                   Fund/Firm Reject Indicator
Fund/Firm Reject Indicator        120      120     1       A/N      OC      1 = Rejected by Firm/Fund                                                    0059       missing/invalid
                                                                                                                     See Firm-Fund Reject Reason
                                                                            Required for Record Type = 066 or 069       Code Tab to select the                      Fund/Firm Reject Reason Code
Fund/Firm Reject Reason Code 1    121      124     4       A/N      OC      Spaces for other Record Types             appropriate Reason Code:           0060       missing/invalid
                                                                                                                     See Firm-Fund Reject Reason
                                                                            Allowed only for Record Type = 066 or       Code Tab to select the                      Fund/Firm Reject Reason Code
Fund/Firm Reject Reason Code 2    125      128     4       A/N       O      069                                       appropriate Reason Code:           0060       missing/invalid
                                                                                                                     See Firm-Fund Reject Reason
                                                                            Allowed only for Record Type = 066 or       Code Tab to select the                      Fund/Firm Reject Reason Code
Fund/Firm Reject Reason Code 3    129      132     4       A/N       O      069                                       appropriate Reason Code:           0060       missing/invalid
                                                                                                                     See Firm-Fund Reject Reason
                                                                            Allowed only for Record Type = 066 or       Code Tab to select the                      Fund/Firm Reject Reason Code
Fund/Firm Reject Reason Code 4    133      136     4       A/N       O      069                                       appropriate Reason Code:           0060       missing/invalid


                                                                                                                    A group of shares issued when
                                                                                                                    an offshore fund receives a new
                                                                                                                    of additional subscription. All
                                                                                                                    subscriptions that occur at the
                                                                                                                    same time belong to the same
                                                                                                                    series. All shareholders in the
                                                                                                                    same series pay performance
                                                                                                                    fee on those shares at the same
                                                                                                                    time.

Series                            137      144     8        N        O      ccyymmdd                                                                     0307       Series missing/invalid
                                                                            Required if Request Type = 04
                                                                            1-Weekly
                                                                            2-Bi-Weekly
                                                                            3-Monthly
                                                                            4-Bi-Monthly
                                                                            5-Quarterly                             This field is required when the
                                                                            6-Annually                              Position File Request Type is 1
Position File Schedule            145      145     1       A/N      OC                                              or 2.                                0390       Position File Schedule missing/invalid
               Field Name     Start   End   Length   Type   Opt/Req                    Values                         Definition          Reject Code         Reject Code Definition
                                                                      Required if Record Type = 067 and
                                                                      Position File Schedule = 1
                                                                      1=Monday
                                                                      2=Tuesday
                                                                      3=Wednesday
                                                                      4=Thursday
                                                                      5=Friday                            If the Position file schedule
                                                                      6=Saturday                          indicator is 1, this field is                 Position File Day of Week
Position File Day of Week      146    146     1      A/N      OC      7=Sunday                            required.                          0391       missing/invalid
                                                                      Required if Record Type = 067 and
                                                                      Position File Schedule = 1
                                                                      nn
                                                                      Where:                              Valid values are 1-31                         Position File Numeric Date
Position File Numeric Date     147    148     2       N       OC      nn from 1 to 31                                                        0392       missing/invalid
                                                                      Required if Record Type = 068 and                                                 Position File Schedule Date
Position File Schedule Date    149    156     8       N       OC      Request Type = 06 mmddccyy          For Type 3 Requests                0393       missing/invalid
                                                                                                                                      Valuation

                 Field Name             Start   End   Length   Type   Opt/Req                     Values                                          Definition                       Reject Code             Reject Code Definition
Record Length                             1      4      4       N       R                                                                                                             0001       Record Length missing/invalid
Originator Type                           5      5      1      A/N      R       F= Fund                                                                                               0002       Originator Type missing/invalid
                                                                                Space = All recipients;                         The NSCC ID of the broker dealer firm or the
                                                                                Otherwise, enter Participant Number to          custodian firm.
Recipient Number                          6     13      8      A/N      OC      indicate specific Recipient                                                                           0167       Recipient Number missing/invalid
Fund Number                              14     21      8      A/N      R                                                       The NSCC ID of the Fund Company.                      0004       Fund Number missing/invalid
Record Type                              22     24      3      A/N      R       060 = Valuation                                                                                       0005       Record Type missing/invalid
                                                                                ppppppppnnnnnnnn           Where:               The NSCC Security Issue Number was issued
                                                                                pppppppp = Fund Number                          when the initial Security General Profile and/or
                                                                                nnnnnnnn = Unique sequential number             Security Announcement record was received
                                                                                assigned by NSCC                                from the firm.
                                                                                This field will be used on orders to identify
NSCC Security Issue Number               25     40      16     A/N      R       the Security Issue.                                                                                   0006       NSCC Security Issue Number missing/invalid
Filler                                   41     43       3     A/N      R
Share Class                              44     51       8     A/N      O                                                       The Funds' designated share class.                    0346       Share Class invalid
                                                                                Required if NSCC Security Issue Number          The NSCC Security Issue Number is the
                                                                                is blank                                        required identifier, but Funds may opt to send
                                                                                1 = ISIN                                        this additional information.
                                                                                 2 = SEDOL
                                                                                3 = CUSIP
Security Identifier                      52     52      1      A/N      O       4 = Custom                                                                                            0007       Security Identifier invalid
                                                                                Required if NSCC Security Issue Number          he NSCC Security Issue Number is the
                                                                                is blank                                        required identifier, but Funds may opt to send
                                                                                The number associated with the Security         this additional information.
Security Issue ID                        53     64      12     A/N      O       Identifier                                                                                            0008       Security Issue ID invalid
Filler                                                         A/N      O
                                         65     85      21
                                                                                mmddccyy                                        The date the submitter transmitted the
                                                                                Must be equal to the processing date            transaction.
Submission Date                          86     93      8       N       R                                                                                                             0011       Submission Date missing/invalid
                                                                                mmddccyy
                                                                                Must be greater or equal to the processing
Effective Date                                          8       N       R       date                                                                                                             Effective Date missing/invalid
                                         94     101                                                                                                                                   0145
Filler                                   102    102     1      A/N      R
                                                                                Input: Spaces
                                                                                Output:
                                                                                0 - Accepted by NSCC
NSCC Reject Indicator                    103    103     1      A/N      R       1 - Rejected by NSCC                                                                                  0014       NSCC Reject Indicator invalid
                                                                                Input: Spaces
NSCC Reject Reason Code 1                104    107     4      A/N      R       Output: Reject code or space                                                                          0015       NSCC Reject Code invalid
                                                                                Input: Spaces
NSCC Reject Reason Code 2                108    111     4      A/N      R       Output: Reject code or space                                                                          0015       NSCC Reject Code invalid
                                                                                Input: Spaces
NSCC Reject Reason Code 3                112    115     4      A/N      R       Output: Reject code or space                                                                          0015       NSCC Reject Code invalid
                                                                                Input: Spaces
NSCC Reject Reason Code 4                116    119     4      A/N      R       Output: Reject code or space                                                                          0015       NSCC Reject Code invalid
                                                                                1 = Actual
Estimated or Actual Indicator            120    120     1      A/N      R       2 = Estimated                                                                                         0160       Estimated or Actual Indicator missing/invalid
                                                                                ISO Compliant                                   The ISO compliant currency used for pricing.
Base Currency                            121    123      3     A/N      R                                                                                                             0122       Base Currency invalid
Base Currency Price                      124    135     12      N       R       999,999.999999                                  The numeric value of the base currency.               0161       Base Currency Price missing/invalid
                                                                                99,999,999,999,999.99                                                                                            Base Currency Gross Net Asset Value
Base Currency Gross Asset Value (GAV)    136    151     16      N       O                                                                                                             0340       (GNAV) missing/invalid
                                                                                999.999                                         The percentage of base currency.
Base Currency Percentage                 152    157     6       N       R                                                                                                             0162       Base Currency Percentage missing/invalid


          Valuation                                                                                                                       92
                                                                                                                   Valuation

             Field Name                    Start   End   Length   Type   Opt/Req                    Values                     Definition                      Reject Code            Reject Code Definition
Base Currency Units                         158    167     10      N       R       99,999,999.99             The units of base currency.                          0163       Base Currency Units missing/invalid
                                                                                   ISO Compliant             The currency the Fund will use for reporting.
Reporting Currency                          168    170     3      A/N      R                                                                                      0022       Reporting Currency missing/invalid
                                                                                   999,999.999999            The currency the Fund will use Reporting
Reporting Currency NAV                      171    182     12      N       R                                 Pricing.                                             0164       Reporting Currency Price missing/invalid
                                                                                   99,999,999,999,999.99     The total assets of a fund, class, or series
Reporting Currency Gross Net Asset Value                                                                     excluding total liabilities & performance fees                  Reporting Currency Gross Net Asset Value
(GAV)                                       183    198     16      N       O                                 on a per share basis.                                0341       (GNAV) missing/invalid
                                                                                   999.999                   The currency the Fund will use for Reporting                    Reporting Currency Percentage
Reporting Currency Percentage               199    204      6      N       O                                 Percentage.                                          0165       missing/invalid
Reporting Currency Units                    205    214     10      N       R                                 The units of currency used for reporting.            0166       Reporting Currency Units missing/invalid
                                                                                   ccyymmdd                  A group of shares issued when an offshore
                                                                                                             fund receives a new of additional subscription.
                                                                                                             All subscriptions that occur at the same time
                                                                                                             belong to the same series. All shareholders in
                                                                                                             the same series pay performance fee on those
                                                                                                             shares at the same time.

Series                                      215    222     8      A/N      O                                                                                      0307       Series missing/invalid




         Valuation                                                                                                     93
         Field Name    Start   End    Length   Type   Opt/Req

Record Length            1      4       4       N       R



Originator Type          5      5       1      A/N      R

Recipient Number         6     13       8      A/N      R

Fund Number             14     21       8      A/N      R
Record Type                                    A/N      R
                        22     24       3




NSCC Security Issue
Number                  25     40       16     A/N      R




NSCC Sidepocket ID      41     43       3      A/N      O



Share Class             44     51       8      A/N      O




Security Identifier     52     52       1      A/N      O




Security Issue ID       53     64       12     A/N      O

Filler                  65     84       20      N       R


Submission Date         85     92       8       N       R



Request Type            93     94       2      A/N      R



Updated Columns List    95     4094    4000    A/N      R
                                                                                   Reject
               Values                                 Definition                   Code         Reject Code Definition

                                                                                   0001     Record Length missing/invalid



NSCC - N                                                                           0002     Originator Type missing/invalid
                                        The NSCC ID of the broker dealer firm
                                        or the custodian firm or Fund               0167    Recipient Number missing/invalid
                                        The NSCC ID of the Fund Company.
                                                                                    0004    Fund Number missing/invalid
110 = Security Broadcast Message
                                                                                    0005    Record Type missing/invalid
ppppppppnnnnnnnn           Where:       The NSCC Security Issue Number
pppppppp = Fund Number                  was issued when the initial Security
nnnnnnnn = Unique sequential            General Profile and/or Security
number assigned by NSCC                 Announcement record was received
This field will be used on orders to    from the firm.
                                                                                            NSCC Security Issue Number
identify the Security Issue.
                                                                                    0006    missing/invalid
                                        Sidepockets are created to designate
                                        a portion of the portfolio illiquid and
                                        exempt from any offerings or
                                        redemptions.
Note. This field will be generated by
NSCC when Sidepocket ID is
introduced (Announcement Type =
11).                                                                                0343    Sidepocket ID invalid
                                        The Funds' designated share class.

                                                                                    0346    Share Class invalid
Required if NSCC Security Issue         The NSCC Security Issue Number is
Number is blank                         the required identifier, but Funds may
1 = ISIN                                opt to send this additional information.
 2 = SEDOL
3 = CUSIP
4 = Custom
                                                                                    0007    Security Identifier invalid
Required if NSCC Security Issue         The NSCC Security Issue Number is
Number is blank                         the required identifier, but Funds may
The number associated with the          opt to send this additional information.
Security Identifier
                                                                                    0008    Security Issue ID invalid



mmddccyy
Must be equal to the processing date
                                                                                    0011    Submission Date missing/invalid

01 = Security General
02 = Security Announcement
03 = Security Contact                                                               0448    Request Type missing/invalid

Column names separated with
special character ‘|’                                                               0449    Updated Columns List missing
                                                    Settling Trade Detail - 070
                                    This record is created per Recipient, per Settlement Date


                       Field Name   Start          End           Length          Type                               Description

Record Length                        1               4              4              N

Originator Type                      5               5              1             A/N      N = NSCC

Recipient Number                     6              13              8              N


Contra Participant Number            14             21              8              N


Record Type                          22             24              3             A/N      070 = Settlement Detail
                                                                                           ppppppppnnnnnnnn           Where:
                                                                                           pppppppp = Fund Number
                                                                                           nnnnnnnn = Unique sequential number assigned by
                                                                                           NSCC
                                                                                           This field will be used on orders to identify the Security
NSCC Security Issue Number           25             40             16             A/N      Issue.
                                                                                           Note. This field will be generated by NSCC when Sidepocket ID is
NSCC Sidepocket ID                   41             43              3             A/N      introduced (Announcement Type = 11).

                                                                                           The class of Shares represented by the Security Issue Number
Share Class                          44             51              8             A/N

                                                                                           1 = ISIN
                                                                                           2 = SEDOL
                                                                                           3 = CUSIP
Security Identifier                  52             52              1             A/N      4 = Custom

Security Issue ID                    53             64             12             A/N

Control Number                       65             84             20             A/N
                                                                                           Space = No correction
Correction Indicator                 85             85              1             A/N      C - Z = Correction

Settlement Date                      86             93              8              N       mmddccyy

Trade Date                           94            101              8              N       mmddccyy


Original Record Type                102            104              3             A/N
                                                                                           1 = Recipient Debit
Debit/Credit Indicator              105            105              1             A/N      2 = Recipient Credit
                                                                                           B = Firm
Recipient Type                      106            106              1             A/N      F = Fund
                                                             Settling Trade Detail - 070
                                             This record is created per Recipient, per Settlement Date


                     Field Name              Start          End           Length          Type                              Description
                                                                                                    0 = Non-settling
                                                                                                    1 = Settling
Settlement Indicator                         107            107              1             A/N      2 = Failed to Settle


Share Quantity                               108            121             14              N       9,999,999,999.9999

Price Per Share                              122            133             12              N       9999,999.999999

Money Amount                                 134            149             16              N       99,999,999,999,999.99

Currency Indicator                           150            152              3             A/N
                                                                                                    Space = Not an Exchange
                                                                                                    1 = Exchange From (credit firm, debit fund)
Exchange Indicator                           153            153              1             A/N      2 = Exchange To (debit firm, credit fund)
                                                                                                    ppppppppnnnnnnnn           Where:
                                                                                                    pppppppp = Fund Number
                                                                                                    nnnnnnnn = Unique sequential number assigned by
                                                                                                    NSCC
                                                                                                    This field will be used on orders to identify the Security
Contra Exchange NSCC Security Issue Number   154            169             16             A/N      Issue.
                                                                                                    1 = ISIN
                                                                                                    2 = SEDOL
                                                                                                    3 = CUSIP
Contra Exchange Security Identifier          170            170              1             A/N      4 = Custom

Contra Exchange Security Issue ID            171            182             12             A/N

Firm Account Number                          183            202             20             A/N

Fund Account Number                          203            222              20            A/N
                                                      Settling Trade Trailer - 071
                                      This record is created per Recipient, per Settlement Date


                       Field Name     Start          End         Length           Type                                  Description

Record Length                          1              4             4               N

Originator Type                        5              5             1              A/N        N = NSCC

Recipient Number                       6              13            8               N

Filler                                 14             21            8              A/N        Space

Record Type                            22             24            3              A/N        071 = Settlement Trade Trailer




Settlement Date                        25             32            8               N         mmddccyy



Total Settling Items                   33             39            7               N         9,999,999

                                                                                              99,999,999,999,999.9999
Total Settling Share Quantity          40             54            15              N

Total Settling Dollar Amount           55             71            17              N         999,999,999,999,999.99

Total Non-Settling Items               72             78            7               N         9,999,999
                                                                                              99,999,999,999,999.9999
Total Non-Settling Share Quantity      79             93            15              N

Total Non-Settling Dollar Amount       94            110            17              N         999,999,999,999,999.99

Total Fail-to-Settle Items            111            117            7               N         9,999,999
                                                                                              99,999,999,999,999.9999
Total Fail-to-Settle Share Quantity   118            132            15              N

Total Fail-to-Settle Dollar Amount    133            149            17              N         999,999,999,999,999.99
                                        Settlement Grand Total Trailer - 072
                                        This record is created per Recipient


                   Field Name   Start       End           Length           Type                          Description

Record Length                    1           4               4                 N

Originator Type                  5           5               1             A/N     N = NSCC


Recipient Number                 6           13              8                 N

Filler                           14          21              8             A/N     Space

Record Type                      22          24              3             A/N     072 = Settlement Grand Total Trailer


Total Items                      25          33              9                 N   999,999,999
    Security Request Reject Reason Codes

Reject Codes                 Description
    0456           Requestor not entitle to information

   0457              Fund unable to release request

   0458                Selling agreement missing

   0459                 Please contact the Fund

   0500           Please contact the Fund administrator

   0501             Cannot accommodate additional
                         Position information
   0502             Cannot accommodate Position file
                               schedule
Reject Code              Description
   0001        Record Length missing/invalid
   0002       Originator Type missing/invalid
   0003       Firm Number missing/invalid
   0004       Fund Number missing/invalid
   0005       Record Type missing/invalid
   0006       NSCC Security Issue Number
              missing/invalid
   0007       Security Identifier invalid
   0008       Security Issue ID invalid
   0009       Control Number missing/invalid
   0010       Correction Indicator
              missing/invalid
   0011       Submission Date missing/invalid

   0012       Trade Date missing/invalid
   0013       Registration Indicator
              missing/invalid
   0014       NSCC Reject Indicator invalid
   0015       NSCC Reject Code invalid
   0016       Transaction Code
              missing/invalid
   0017       Settlement Date missing/invalid

   0018       Settlement Indicator
              missing/invalid
   0019       Settlement Date Override
              Indicator invalid
   0020       Exception Indicator
              missing/invalid
   0021       Dollar Amount missing/invalid
   0022       Reporting Currency
              missing/invalid
   0023       Settlement Currency
              missing/invalid
   0024       Share Quantity missing/invalid
   0025       Network Control Indicator
              missing/invalid
   0026       Firm Account Number
              missing/invalid
   0027       Fund Account Number
              missing/invalid
   0028       Account Type missing/invalid
   0029       Account Registration Name
              missing/invalid
   0030       Original Control Number Invalid
   0031       RIA/RR Indicator missing/invalid

   0032       Account Representative Number
              invalid
0033   Branch Identification Number
       invalid
0034   Branch Zip missing/invalid
0035   Branch Country missing/invalid
0036   Related Trade Indicator invalid
0037   Related Account Number invalid

0038   Related Account Security Issue
       ID invalid
0039   Load Type Indicator
       missing/invalid
0040   Breakpoint Change Reason
       Code invalid
0041   Commission Amount invalid
0042   Commission Percentage invalid

0043   Dealer Concession invalid
0044   Number of Business Days Until
       Valuation missing/invalid
0045   Valuation Date missing/invalid
0046   Value Price missing/invalid
0047   Value Confirm Shares
       missing/invalid
0048   Estimated/Actual Value Confirm
       missing/invalid
0049   Tender Offer Subject to
       Holdback missing/invalid
0050   Number of Business Days for
       Holdback missing/invalid
0051   Holdback Release Date
       missing/invalid
0052   Holdback Percent
       missing/invalid
0053   Interest Rate on Holdback
       invalid
0054   Interest Paid on Holdback invalid

0055   Tender Offer Oversold
       missing/invalid
0056   Tender Offer Pro Rata
       missing/invalid
0057   Percent of Pro Rata Allocation
       missing/invalid
0058   Automatic Holdback Refund
       missing/invalid
0059   Fund/Firm Reject Indicator
       missing/invalid
0060   Fund/Firm Reject Reason Code
       missing/invalid
0061   Exchange Type missing/invalid
0062   Exchange from Dollar Amount
       missing/invalid
0063   Exchange from Share Quantity
       invalid
0064   From Firm Account Number
       missing/invalid
0065   From Fund Account Number
       missing/invalid
0066   Exchange from Commission
       Amount invalid
0067   Exchange from Commission
       Percentage invalid
0068   Exchange from Dealer
       Concession invalid
0069   NSCC Security Issue Exchange
       To missing/invalid
0070   Security Identifier Exchange To
       invalid
0071   Security Issue ID Exchange To
       invalid
0072   Exchange to Dollar Amount
       missing/invalid
0073   Exchange to Share Quantity
       invalid
0074   To Firm Account Number
       missing/invalid
0075   To Fund Account Number
       missing/invalid
0076   Exchange to Commission
       Amount invalid
0077   Exchange to Commission
       Percentage invalid
0078   Exchange to Dealer Concession
       invalid
0079   Account Documentation
       Attached missing/invalid
0080   Number of Account Documents
       missing/invalid
0081   Type of Account Paperwork
       Attached missing/invalid
0082   EIN/SSN Indicator
       missing/invalid
0083   EIN/SSN Number missing
0084   Owner DOB missing/invalid
0085   Custodian Name missing
0086   Custodian Tax Identification
       Number missing
0087   Joint Owner Name missing
0088   Joint Owner SSN Number
       missing
0089   Joint Owner DOB missing
0090   Number of Account Addresses
       invalid
0091   Address Type missing/invalid
0092   Address of Record Line1
       missing
0093   Zip missing/invalid
0094   Country missing/invalid
0095   Secondary Address Indicator
       invalid
0096   Withholding Indicator
       missing/invalid
0097   W8 Certification Date
       missing/invalid
0098   W8 Expiration Date
       missing/invalid
0099   W8 Qualified Intermediary
       Indicator missing/invalid
0100   W8 Override NRA Special Rate
       invalid
0101   LOI/ROA Indicator invalid
0102   ROA Value invalid
0103   LOI Value invalid
0104   NAV Account Indicator invalid
0105   Dividend Code missing/invalid
0106   Dividend Payable Information
       Indicator missing/invalid
0107   Dividend Payable Address Line1
       missing/invalid
0108   Capital Gain Code
       missing/invalid
0109   C/G Payable Information
       Indicator missing/invalid
0110   C/G Payable Address Line1
       missing
0111   ABA Routing Number
       missing/invalid
0112   ACH Account Number
       missing/invalid
0113   ACH Account Name missing
0114   Number of Beneficiaries invalid
0115   Beneficiary Designation
       missing/invalid
0116   Beneficiary Asset %
       missing/invalid
0117   Beneficiary Name missing
0118   Beneficiary Relationship invalid
0119   Beneficiary DOB invalid
0120   Reminder Age missing/invalid
0121   Balance Currency missing
0122   Base Currency invalid
0123   Previous $ Value missing/invalid

0124   Previous Share Balance invalid
0125   Previous Value Date
       missing/invalid
0126   Opening $ Value missing/invalid

0127   Opening Share Balance invalid
0128   Opening Balance Date
       missing/invalid
0129   Closing $ Value missing/invalid

0130   Closing Share Balance invalid
0131   Closing Balance Date
       missing/invalid
0132   Money Debit/Credit Indicator
       missing/invalid
0133   Debit Reason Code
       missing/invalid
0134   Fund Processing Date invalid
0135   Commission Type
       missing/invalid
0136   Record Date missing/invalid
0137   Commission Amount
       missing/invalid
0138   SSN/TIN Number Indicator
       missing/invalid
0139   SSN/TIN Number missing/invalid

0141   Name Indicator missing/invalid
0142   Commission Rate
       missing/invalid
0143   Gross Amount of Trade invalid
0144   Transaction Type missing/invalid

0145   Effective Date missing/invalid
0146   Withholding amount
       missing/invalid
0147   Exchange Fee missing/invalid
0148   Sales Charge Rate
       missing/invalid
0149   Original Trade Date/ Payable
       Date for Adjustment invalid
0150   Dividend Rate missing/invalid
0151   Capitan Gain Rate
       missing/invalid
0152   Cash Disbursement Indicator
       invalid
0153   Buy/Sell Indicator invalid
0154   Cross Security Issue Number
       missing/invalid
0155   Commission/CDSC Amount
       invalid
0156   Price invalid
0157   AIP Recipient Indicator
       missing/invalid
0158   Number of Recipient Firms
       missing/invalid
0159   AIP Recipient Firm Number
       missing/invalid
0160   Estimated or Actual Indicator
       missing/invalid
0161   Base Currency Price
       missing/invalid
0162   Base Currency Percentage
       missing/invalid
0163   Base Currency Units
       missing/invalid
0164   Reporting Currency Price
       missing/invalid
0165   Reporting Currency Percentage
       missing/invalid
0166   Reporting Currency Units
       missing/invalid
0167   Recipient Number
       missing/invalid
0168   Security Class missing/invalid
0169   Registered Indicator
       missing/invalid
0170   Delete Indicator missing/invalid
0171   Announcement Type
       missing/invalid
0172   Projected/Actual Indicator
       missing/invalid
0173   Capital Gain Indicator
       missing/invalid
0174   Dividend Indicator
       missing/invalid
0175   Record Date missing/invalid
0176   Ex Date missing/invalid
0177   Reinvest Date missing/invalid
0178   Payable Date missing/invalid
0179   Distribution Amount
       missing/invalid
0180   Distribution Reinvest Price
       missing/invalid
0181   Security Subscription/Purchase
       Start Date missing/invalid
0182   Security Subscription/Purchase
       End Date missing/invalid

0183   Initial Minimum missing/invalid

0184   Subsequent Minimum
       missing/invalid
0185   Absolute Minimum invalid
0186   Tender Offer Start/Redemption
       Date missing/invalid
0187   Tender Offer End/Redemption
       Date missing/invalid
0188   Trading Cutoff Time
       missing/invalid
0189   Trading Cutoff Time Zone
       missing/invalid
0190   Valuation Frequency invalid
0191   Estimated Valuation Settlement
       Date invalid
0192   Estimated Valuation Date –
       From invalid
0193   Estimated Valuation Date – To
       invalid
0194   Special Commission Advance
       Indicator invalid
0195   Special Commission Rate
       missing/invalid
0196   Number of Contacts
       missing/invalid
0197   Security Contact Type
       missing/invalid
0198   Security Type missing/invalid
0199   Commission Percentage High
       missing/invalid
0200   Commission Percentage Low
       missing/invalid
0201   Number of Breakpoints
       missing/invalid
0202   Breakpoint Lower Limit
       missing/invalid
0203   Breakpoint Upper Limit
       missing/invalid
0204   Percent of POP missing/invalid

0205   Fund Status Indicator
       missing/invalid
0206   Purchase Closed Indicator
       invalid
0207   Redemption Closed Indicator
       invalid
0208   Exchange Closed Indicator
       invalid
0209   Dividend Calculation Type
       invalid
0210   Dividend Payable Type invalid
0211   Closed Fund Disposition
       Indicator invalid
0212   Merged Fund Security Indicator
       missing/invalid
0213   Breakpoint Eligible invalid
0214   LOI Eligible missing/invalid
0215   ROA Eligible missing/invalid
0216   Commission Payment
       Frequency invalid
0217   Retroactive LOIs invalid
0218   Retroactive LOI Period invalid
0219   Link by Spouse invalid
0220   Link by Civil Union invalid
0221   Link by Domestic Partnership
       invalid
0222   Link by Common Law Marriage
       invalid
0223   Link by Parent invalid
0224   Link by Step Parent invalid
0225   Link by Legal Guardian invalid
0226   Link by Child invalid
0227   Child Maturation Age invalid
0228   Link by Stepchild invalid
0229   Link by Sibling invalid
0230   Link by Grandchildren invalid
0231   Link by Grandparents invalid
0232   Link by Father-in-law invalid
0233   Link by Mother-in-law invalid
0234   Link by Brother-in-law invalid
0235   Link by Sister-in-law invalid
0236   Duplicate Control Number
0237   Duplicate Correction Indicator
0238   Original Transaction not found
0239   Original Transaction completed
       its life cycle
0240   Original Transaction already
       settled
0241   Original Transaction already
       registered
0242   Submitted Record Type not
       allowed against original Record
       Type
0243   Submitted Record Type not
       allowed against current
       transaction status
0244   Company Name length invalid
0245   Account Representative Name
       length invalid
0246   Branch Address 1 length invalid

0247   Branch Address 2 length invalid

0248   Branch Address 3 length invalid

0249   Branch Address 4 length invalid

0250   Branch Address 5 length invalid

0251   Branch Address 6 length invalid

0252   Address of Record Line 2 length
       invalid
0253   Address of Record Line 3 length
       invalid
0254   Address of Record Line 4 length
       invalid
0255   Address of Record Line 5 length
       invalid
0256   Address of Record Line 6 length
       invalid
0257   Phone Number length invalid
0257   Phone Number length invalid
0258   Email Address length invalid
0259   Secondary Address Line 1
       length invalid
0260   Secondary Address Line 2
       length invalid
0261   Secondary Address Line 3
       length invalid
0262   Secondary Address Line 4
       length invalid
0263   Secondary Address Line 5
       length invalid
0264   Secondary Address Line 6
       length invalid
0265   Secondary Address Zip length
       invalid
0266   Secondary Address Country
       length invalid
0267   Secondary Address Phone
       Number length invalid
0268   Secondary Email Address length
       invalid
0269   W8 Override Country Code
       length invalid
0270   ROA Number length invalid
0271   LOI Number length invalid
0272   Dividend Payable Address Line
       2 length invalid
0273   Dividend Payable Address Line
       3 length invalid
0274   Dividend Payable Address Line
       4 length invalid
0275   Dividend Payable Address Line
       5 length invalid
0276   Dividend Payable Address Line
       6 length invalid
0277   Dividend Zip length invalid
0278   Dividend Country length invalid
0279   C/G Payable Address Line 2
       length invalid
0280   C/G Payable Address Line 3
       length invalid
0281   C/G Payable Address Line
       4length invalid
0282   C/G Payable Address Line 5
       length invalid
0283   C/G Payable Address Line 6
       length invalid
0284   Beneficiary SSN length invalid
0285   Name 1 length invalid
0286   Name 2 length invalid
0287   Contact Address Line 1 length
       invalid
0288   Contact Address Line 2 length
       invalid
0289   Contact Address Line 3 length
       invalid
0290   Contact Address Line 4 length
       invalid
0291   Contact Address Line 5 length
       invalid
0292   Contact Address Line 6 length
       invalid
0293   Contact Telephone Number
       length invalid
0294   Contact Fax Number length
       invalid
0295   NSCC Id not found in Security
       General Profile / Security
       Announcement
0296   Original order not found
0297   Registration missing
0298   C/G Zip length invalid
0299   C/G Country length invalid
0300   Breakpoint Upper Limit smaller
       than Lower Limit
0301   Breakpoint Lower Limit not
       larger than preceding Breakpoint
       Upper Limit
0302   Documentation Description
       missing/invalid
0303   Submitting Service Bureau not
       Authorized for this Firm
0304   Submitting Service Bureau not
       Authorized for this Fund
0305   Invalid Settlement Indicator for
       this Currency Code
0306   Original Transaction already
       acknowledged
0307   Series missing/invalid
0308   Series Roll Up Date
       missing/invalid
0309   Custodian Account Number
       missing/invalid
0310   Performance Fee Payout Date
       missing/invalid
0311   Documentation Date
       missing/invalid
0312   Contact Email Address
0313   Security Class invalid
0314   Ownership Structure
       missing/invalid
0315   Strategy invalid
0316   NAV Eligible Indicator invalid
0317   No Lien Acknowledgment
       missing/invalid
0318   Subject to Lock-Up invalid
0319   Lock-up Time Period in # of
       Days invalid
0320   Series Eligible invalid
0321   Performance Fee missing/invalid

0322   Redemption Fee missing/invalid

0323   Highwater Mark missing/invalid
0324   Hurdle Rate missing/invalid
0325   Carve Out missing/invalid
0326   Clawback Provision
       missing/invalid
0327   Sidepocket Minimum
       missing/invalid
0328   Sidepocket Maximum
       missing/invalid
0329   Gate Provision missing/invalid
0330   Management Fee
       missing/invalid
0331   Administration Fee
       missing/invalid
0332   Investor Servicing Fee
       missing/invalid
0333   Eligible Account Type
       missing/invalid
0334   Countries Where Fund is
       Registered missing/invalid
0335   CRD Number missing/invalid
0336   Series From missing/invalid
0337   Series To missing/invalid
0338   Lock Up Start Date
       missing/invalid
0339   Lock Up End Date
       missing/invalid
0340   Base Currency Gross Net Asset
       Value (GNAV) missing/invalid

0341   Reporting Currency Gross Net
       Asset Value (GNAV)
       missing/invalid
0342   Payment Status Indicator
       missing/invalid
0343   Sidepocket ID invalid
0344   NAV invalid
0345   YTD Performance invalid
0346   Share Class invalid
0347   Invested Value invalid
0348   Interest Rate Compounding
       Period invalid
0349   Dividend Payment Indicator
       invalid
0350   Segregated Portfolio Company
       invalid
0351   Hurdle Rate Indicator invalid
0352   Domiciled invalid
0353   Exchange Listing invalid
0354   Exchange Name invalid
0355   Inception Date invalid
0356   YTD Return invalid
0357   YTD Return Positive/Negative
       Indicator invalid
0358   VAR(95%) invalid
0359   VAR Positive/Negative Indicator
       invalid
0360   Sharpe Ratio invalid
0361   Sharpe Ratio Positive/Negative
       Indicator invalid
0362   Sortino Ratio invalid
0363   Sortino Ratio Positive/Negative
       Indicator invalid
0364   YTD Performance
       Positive/Negative Indicator
       invalid
0365   YTD Performance
       Positive/Negative Indicator
       invalid
0366   Related Control Number
       missing/invalid
0367   Redemption Percentage
       missing/invalid
0368   Exchange from Price
       missing/invalid
0369   Exchange to Price
       missing/invalid
0370   GAV invalid
0371   Transfer To/From Account
       Number missing/invalid
0372   Payment not Found
0373   Request Type missing/invalid
0374   Submitting Participant different
       from Originating Participant
0375   Membership Identifier invalid
0376   Share Debit/Credit Indicator
       missing/invalid
0377   Upfront Commission Percentage
       missing/invalid
0378   Total Commitment Amount
       invalid
0379   Month to Date Return invalid
0380   Month to Date Return Indicator
       invalid
0381   Quarter to Date Return invalid
0382   Quarter to Date Return Indicator
       invalid
0383   Return since Inception invalid
0384   Return since Inception Indicator
       invalid
0385   Share Lot Identifier 1 invalid
0386   Share Lot Identifier 2 invalid
0387   Share Lot Identifier 3 invalid
0388   Share Lot Identifier 4 invalid
0389   Share Lot Identifier 5 invalid
0390   Position File Schedule
       missing/invalid
0391   Position File Day of Week
       missing/invalid
0392   Position File Numeric Date
       missing/invalid
0393   Position File Schedule Date
       missing/invalid
0394   Equalization Amount
       missing/invalid
0395   Equalization Percentage
       missing/invalid
0396   Equalization Debit/Credit
       Indicator
0397   Erisa Eligible Indicator
       missing/invalid
0398
       Erisa Percentage missing/invalid
0399   Erisa Pre-certified
       missing/invalid
0400   Share Lot Identifier 1 To invalid
0401
       Share Lot Identifier 2 To invalid
0402
       Share Lot Identifier 3 To invalid
0403   Share Lot Identifier 4 To invalid
0404
       Share Lot Identifier 5 To invalid
0405   Share Lot Identifier 4 To invalid
0406   Submitter has not authorized for
       this record
0407   Recipient has not authorized for
       this record
0408   Fulfilled Commitment Amount
       invalid
0409   Remaining Commitment
       Amount invalid
0410   Fund Number invalid for
       submitted NSCC Security Issue
       Number
0411   Submitting Participant has not
       been setup in AIP
0413    Number of Shares in Lock Up
       invalid
0414   Value of Lock Up Assets invalid

0415   Number of Unaged Shares for
       Redemption Fee invalid
0416   Holdback Position # of Shares
       invalid
0417   Value of Holdback Position
       invalid
0418   Unitized Indicator missing/invalid
0419   Redemption Fee Percentage
       invalid
0420   Redemption Fee Period invalid
0421   Incentive Fee Indicator missing
0422   Gate Provision Percent
       missing/invalid
0423   Benchmark Dollars invalid
0424   Benchmark Shares invalid
0429   Interest Rate Compounding
       Period invalid
       Security General Profile Last
0430   Updated missing/invalid
       Date of Last Offering
0431   Memorandum invalid
0432   Exchange Frequency invalid
0433   Transfer Frequency invalid
0434   Purchase Frequency invalid
       Redemption/Tender Frequency
0435   invalid
0436   Blue Sky State invalid
0437   Rescission Date invalid
       Security Announcement Last
0438   Updated missing/invalid
       Total Amount of Tender Offer
0439   Dollars invalid
       Recurring
       Subscription/Redemption
0441   Frequency missing/invalid
       Recurring
       Subscription/Redemption
0442   Dealing Day missing/invalid
       Recurring
       Subscription/Redemption
0443   Dealing Date missing/invalid
       Recurring
       Subscription/Redemption
       Dealing Months
       (Quarterly/Annually)
0444   missing/invalid
       Recurring
       Subscription/Redemption
       Settlement Day (Weekly)
0445   missing/invalid
       Recurring
       Subscription/Redemption
       Settlement Months
       (Quarterly/Annually)
0446   missing/invalid
       Recurring
       Subscription/Redemption
0447   Settlement Date missing/invalid
0448   Request Type missing/invalid
0449   Updated Columns List missing
0450   Interest Included Invalid
       Account Registration Name -
0451   Extended Invalid
       Custodian Name - Extended
0452   Invalid
0901   Closed for Purchases
0902   Closed for Initial Purchases
       Closed for Subsequent
0903   Purchases
0904   Redemption Closed
       Exchanges into this security for
0905   Existing accounts Closed

       Exchanges out of this security
0906   for Existing accounts Closed
       Exchange to New Account
0907   Closed
0908   Exchange Closed
0909   Fund Closed
0910   Trade Date Incorrect
       Minimum Investment for a New
0911   Account Incorrect
       Minimum Investment for an
0912   Existing Account Incorrect
       Trade Date for Security Tender
0913   Offer Incorrect
0914   Settlement Date Incorrect
       Derived Recurring
       Subscription/Redemption
0453   Dealing Date invalid
       Derived Recurring
       Subscription/Redemption
0454   Settlement Date invalid
0455   Duplicate Control Number

				
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views:5
posted:4/7/2012
language:English
pages:116