Regulatory Data Request
This section provides templates for responding to regulatory examiners' requests for data. Each blotter follows standard field requirements and formatting conventions.
Instructions:
- Provide all trading activities in CSV format with pipe (|) or comma (,) delimiter
- Include all requested fields using formatting conventions specified in each blotter
- Provide at least two security identifiers (Symbol, CUSIP, SEDOL, or ISIN) for each transaction
- Use ISO 8601 date format (yyyy-mm-dd) and highest precision time format available
Account List
List of all accounts with investment profiles, client information, and custodian details
Trade Blotter
Unadjusted transactions for specified dates with full security and transaction details
Initial & Ending Positions
Account positions of all cash and securities at the beginning and end of reporting period
Cash & Equivalents
All cash-related transactions including wires, journals, and fund transfers
Security Movements
All unadjusted security transfers and movements for specified dates
Registered Representative List
List of all registered representatives with branch and regulatory information
Employee Trade Blotter
All employee trades executed through firm accounts with compliance tracking
Restricted List
Securities prohibited from trading by employees and certain accounts
Documentation Requirements
Cancelled Trades: Include cancelled trades with clear indication of how they are represented.
Corrected Trades: If corrections occur, indicate the sequence of corrections.
Options: Document how option exercises and assigns are indicated in the blotter.
Field Legends: Provide legends for interpretation of field values (e.g., B=Buy, S=Sell, SS=Sell Short).