Overview

- Import Trade Restrictions
- File Specifications

Overview

You can import trade restrictions that you created in another system. After the restrictions are imported, you can access them on the Trade Restrictions window.

Trade Restriction information is imported using text files. The data contained in a text file must be separated by commas. The imported information must meet the file specifications.

• You can import .TXT files created using Notepad or Microsoft^® Excel^®.
• The comma-separated value import file format may or may not have quotations around the data.

Import Trade Restrictions

1. Select Imports & Exports > Import > Trade Restrictions. The Import window opens with the Import Type field indicating Trade Restrictions. You cannot edit this field.
2. In the Import Name field, enter the name for the import.
3. From the File Type drop-down list, select Comma Separated Value.
4. In the File Path field, enter the path and name of the import file, or select Browse to locate the file.
5. To overwrite any existing imported group information, select the Overwrite if data already exists check box.
6. Select Run Import to execute the import.

File Specifications

- File Specifications
- Restrictions Import File Format

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File Specifications

Field	Description
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. The name must be unique and limited to 80 characters.
Minimum Target Value	The minimum value (either a dollar amount, a percent, or a number of shares) for this security, if the Restriction Type is 7 (Custom Dollars), 5 (Custom Shares), or 6 (Custom Weights). The field can be blank or can be a value up to 9999999.999.
Maximum Target Value	The maximum value (either a dollar amount, a percent, or a number of shares) for this security, if the Restriction Type is 7 (Custom Dollars), 5 (Custom Shares), or 6 (Custom Weights). The field can be blank or can be a value up to 9999999.999.
Account Scope	Indicates whether the restriction is applied at the account, client, or group level: A: Account G: Group C: Client
Account Scope ID	Indicates further information that defines the account, client, or group. The field is limited to 32 characters.
Account Source Indicator	The type of account associated with the restriction: B: Brokerage
Security Scope	The subcategory of the Restriction Type: S: Security T: Security Type R: Security Attribute
Security ID Type	If you selected the Security Restriction Type, indicate the interpretation of the contents of the Security ID field: S: Symbol C: CUSIP
Security ID	If you selected the Security Restriction Type, indicate the security to place the restriction. The field is limited to 22 characters.
Security Type	If you selected the Security Restriction Type, indicate the security type to place the restriction: EQ: Equity OP: Option MF: Mutual Fund FI: Fixed Income
Security Attribute ID	The sector involved in the restriction. Applicable only to restrictions on Security Attribute: 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 Unsent Orders window: Y: Yes N: No
Active Indicator	Indicates whether the restriction currently is Active or Inactive, or specified to be Active for a given Date Range: A: Active I: Inactive S: Specific Dates
Start Date	The date when the restriction goes into effect (beginning of the restriction period). Applicable only when Active Indicator = S: Blank YYYYMMDD
End Date	The date when the restriction ends (end of the restriction period). Applicable only when Active Indicator = S: Blank YYYYMMDD

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Restrictions Import 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>

Example

"0","Don't Buy ZVZZT","","","A","033000111","B","S","S","ZYZZT","","","Y","A","",""<Line Feed>
"1", "Don't Buy Fixed Income","","","A","033000222","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","033000333","B","","","","","","Y","A","",""<Line Feed>
"5","Cust Shares ZVZZT","75","150","A","033000444","B","S","S","ZVZZT","","","N","A","",""<Line Feed>
"10","Exclude Q w/date range","","","A","033000555","B","S","Q","","","Y","S","20080415","20130415"<Line Feed>
"13","Min Core Cash","4321.12","","A","033000666","B","","","","","","N","A","",""<Line Feed>

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