Overview
File Format
File Specifications

- Import Trade Restrictions

Overview

Import trade restrictions that you created in another system. Once imported, these restrictions display on the Trade Restrictions window. (View Trade Restrictions)

Import Trade Restrictions

Trade restriction information is imported using text files. The data contained in the text file must be separated by commas (comma separated value). The text file must comply with the platform import file specifications. (File Specifications)

Create import files using Notepad or Microsoft Excel. If you use Excel to create the file, select Save As, and save the file as a CSV. When Excel prompts you to save again, reply No. Then, change that saved file's file type to TXT.

1. Select Tools > Imports > Trade Restrictions.

   - Import Type is set to Trade Restriction.
   - File Type is set to Comma Separated Value.

2. (Optional) Enter the Import Name.

   Note
   Although entering an import name is optional, to help locate and identify the import when reviewing its status, we recommend that you enter a name.

3. Select Browse to locate the import file, which populates the File Path field.

   Note
   The file path cannot be entered manually.

4. To overwrite already existing trade restriction information in the platform, select the Overwrite check box.

5. Select Run Import.

   The system performs a validation check on the import file. If errors exist, they may be due to a general issue, such as:

   • File path does not exist.
   • File name does not exist.
   • File size is too large.
   • File fails virus scan.
   • File format cannot be read (extra columns included or file type does not match user input).

   On the confirmation window, as a best practice, select Import/Export Status to view the import status. Use the Import Name you specified to locate and identify your import.

   Go to: View Import Status

File Specifications

Field	Definition
Restriction Type	The numerical value associated with the type of restriction: 0 Don't Buy 1 Don't Sell 3 Don't Trade 5 Custom Shares 6 Custom Weights 7 Custom Dollars 8 Minimum Trade Size Dollars 10 Exclude Security or Security Type 13 Minimum Core Cash Dollars 14 Minimum Core Cash Percent
Restriction Name	The unique, user-defined name for the restriction, up to 80 characters.
Minimum Target Value	If Restriction Type is 5, 6, or 7, this is the minimum value (either a dollar amount, a percent, or a number of shares) for this security. The field can be blank or can be a value up to 999,999,999.99.
Maximum Target Value	If Restriction Type is 5, 6, or 7, this is the maximum value (either a dollar amount, a percent, or a number of shares) for this security. The field can be blank or can be a value up to 999,999,999.99.
Account Scope	Indicates whether the restriction is applied at the client, group, or account level: C Client G Group A Account
Account Scope ID	Indicates further information that defines the client, group, or account, up to 32 characters.
Account Source Indicator	The type of account associated with the restriction: B Fidelity Brokerage Account F Fidelity 403(b)/401(k) Account I Fidelity Annuity/Life Insurance Account P CGF Donor Advised Fund Account O Other A Advent
Security Scope	The subcategory of the Restriction Type: S Security T Security Type R Security Attribute
Security ID Type	If Security Scope is S, this indicates the type of security ID: S Symbol C CUSIP
Security ID	If Security Scope is S, this indicates the security identifier on which to place the restriction, up to 22 characters.
Security Type	If Security Scope is T, this indicates the security type on which to place the restriction: EQ Equity OP Option MF Mutual Fund FI Fixed Income IN Insurance OA Other Assets PF Pool Fund TR Trust
Security Attribute ID	If Security Scope is R, this indicates the sector involved in the restriction: Business Services Consumer Goods Consumer Services Energy Financial Services Hardware Health Services Industrial Materials Media, Software Telecommunications Utilities
Allow Override	Indicates whether to allow orders that fail a restriction to be saved to the Orders Unsent window: Y Yes N No
Active Indicator	Indicates whether the restriction is active, inactive, or to be active during a specific date range. A Active I Inactive S Specific Dates
Start Date	If Active Indicator is S, this is the date the restriction goes into effect (beginning of restriction period), in MM/DD/YYYY format. Blank YYYYMMDD
End Date	If Active Indicator is S, this is the date the restriction ends (end of restriction period), in MM/DD/YYYY format. Blank YYYYMMDD

File Format

Important: These examples are for informational purposes only. All examples and samples provided must be updated to the appropriate information for your trade.

Information for each restriction must be contained on a single line. <Line Feed> indicates where each line ends.

"Restriction Type","Restriction Name","Min Target Value","Max Target Value","Account Scope","Account Scope ID","Account Source Indicator","Security Scope","Security ID Type","Security ID","Security Type","Security Attribute ID","Allow Override","Active Indicator","Start Date","End Date"<Line Feed>

For example:

"0","Don't Buy ZVZZT","","","A","AAB000019","B","S","S","ZVZZT","","","Y","A","",""<Line Feed>
"1", "Don't Buy Fixed Income","","","A","AAB043010","B","T","","","FI","","Y","A","",""<Line Feed>
"0","Don't Buy Media less than 55% Attribute","55","","G","All Brokerage Accounts","R","","","","Media","Y","A","",""<Line Feed>
"3","Don't Trade Account","","","A","179000043","B","","","","","","Y","A","",""<Line Feed>
"5","Cust Shares ZVZZT","75","150","A","179000043","B","S","S","ZVZZT","","","N","A","",""<Line Feed>
"10","Exclude Q w/date range","","","A","179223581","B","S","Q","","","Y","S","20080415","20130415"<Line Feed>
"13","Min Core Cash","4321.12","","A","179000566","B","","","","","","N","A","",""<Line Feed>

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