Overview
Restriction Types
Field Definitions
- View Trade Restrictions
- Create a Trade Restriction
- Copy a Trade Restriction
- Edit a Trade Restriction
- Delete a Trade Restriction
- Customize the Restrictions Grid
Establish trade-oriented security restrictions and enable exception handling of a security, security type, account, client, or group. You can add simple restrictions (such as do not buy a particular security), or more complex restrictions. An account can have multiple restrictions.
When rebalancing accounts or a single security, you can turn restrictions on or off. For example, when an end-customer requests that a portfolio not maintain holdings of a particular security, add a restriction to the end-customer's account that prevents the current model from generating buy orders for that security.
You may import Trade Restrictions from another system. (Import Trade Restrictions)
The Trade Restrictions grid contains the restrictions created within your firm. Highlight a restriction to view its details below the grid; collapse and expand the details using the toggle icons above this area. (Field Definitions)
Above the details, the restriction name is followed by a green "Active" or red "Inactive" indicator.
Note that you can right-click a row to display a shortcut menu of options to Copy Selected Cell or Copy Selected Rows. After you copy the cell, row, or rows, paste the information into another application, such as a spreadsheet. (When you copy a row or rows, column headers are included with the row information.)
Add/Remove Columns
Filter/Sort
Any columns designated as "required" cannot be removed.
To add a column, in the Available Columns box:
- Choose the column name.
- Select Add.
To remove a column, in the Selected Columns box:
- Choose the column name.
- Select Remove.
Note
Removing a column only removes it from the display. It does not delete the column contents.
To change the column order, in the Selected Columns box:
- Choose a column name.
- Select Move Up or Move Down.
If you choose to use a filtering criteria, a Clear Filters button displays above the grid to indicate the list is filtered. Select this button to remove the filtering.
Choose any of the following:
Column Filter
Filter the grid based on a column you select from the drop-down list.
Active Only
Select the check box to display only active restrictions in the grid.
Sort By
Sort the grid based on a column you select from the drop-down list, and then select Ascending or Descending.
Account
Security
Security Type
| Restriction | Description |
|---|---|
| Don't Trade | Prevent trades from being generated for the security. |
| Don't Sell Short Term (Fidelity Funds Only) | Prevent short-term sell orders from being generated for all Fidelity Funds for an account, client, or group. |
| Minimum Core Cash Dollars | Establish a minimum cash amount for an account, client, or group to prevent the account from falling below this minimum. |
| Minimum Core Cash Dollars (Orders) | Establish a minimum cash amount for an order placed by an account, client, or group to prevent the order from being created if the cash amount falls below this minimum. |
| Minimum Core Cash Percent | Establish a minimum cash percentage for an account, client, or group to prevent the account from falling below this minimum. rebalance. |
| Minimum Core Cash Percent (Orders) | Establish a minimum cash percentage for an order placed by an account, client, or group to prevent the order from being created if the cash amount falls below this minimum. |
| Minimum Trade Size Dollars | Restrict trades from being generated below a certain dollar amount. |
| Minimum Trade Size Shares | Restrict trades from being generated below a certain share amount. |
| Restriction | Description |
|---|---|
| Custom Dollars | Specify a dollar range that the selected account, client, or group can trade for the security. |
| Custom Shares | Specify a range of share quantities that the selected account, client, or group can trade for the security. |
| Custom Weights | Specify a percentage range that the selected account, client, or group can trade for the security. |
| Don't Buy | Prevent buy orders from being generated for the security. |
| Don't Sell | Prevent sell orders from being generated for the security. |
| Don't Sell Short Term (Fidelity Funds Only) | Prevent short-term sell orders from being generated for the security. |
| Don't Trade | Prevent trades from being generated for the security. |
| Exclude Security | Exclude the security from the account's market value during a rebalance. |
| Minimum Trade Size Dollars | Restrict trades from being generated below a certain dollar amount. |
| Minimum Trade Size Shares | Restrict trades from being generated below a certain share amount. |
| Restriction | Description |
|---|---|
| Don't Buy | Prevent buy orders from being generated for the security type. |
| Don't Sell | Prevent sell orders from being generated for the security type. |
| Don't Trade | Prevent trades from being generated for the security type. |
| Exclude Security Type | Exclude the securities in the security type from the account's market value during a rebalance. |
| Minimum Trade Size Dollars | Restrict trades from being generated below a certain dollar amount. |
| Minimum Trade Size Shares | Restrict trades from being generated below a certain share amount. |
Restrictions Grid
Restrictions Detail
| Field | Definition |
|---|---|
| Active | Indicates whether the restriction currently is in effect. |
| Allow Override | Indicates whether you can override the restriction. Note
|
| Client Name | The name of the client (unique within the firm) on whom the restriction is placed (if applicable). |
| Created By | The user ID of the individual who created the restriction. |
| Creation Date | The date the restriction was created, in MM/DD/YYYY format. |
| CUSIP | The number issued by CUSIP for the restricted security. |
| Custom Short Name | The user-defined short name used as an abbreviation for the full registration name. |
| End Date |
The date when the restriction ends (end of the restriction period), if applicable. Note
|
| FBSI Short Name | The FBSI-defined short name of the primary account holder. |
| Group Name | The name of the group on whom the restriction is placed (if applicable). |
| Maximum | The maximum value (either a dollar amount, a percent, or a number of shares) for this security, if restriction is Custom Dollars, Custom Shares, or Custom Weights. |
| Minimum | The minimum value (either a dollar amount, a percent, or a number of shares) for this security, if the restriction is Custom Dollars, Custom Shares, or Custom Weights. |
| Modification Date | The date of the last modification, in MM/DD/YYYY format. |
| Modified By | The user ID of the last individual who modified the restriction. |
| Order Entry | Indicates whether the restriction is applied when creating orders. |
| Rebalance | Indicates whether the restriction is applied when rebalancing. |
| Restriction Name | The user-defined name given to the restriction. |
| Restriction Type | The restriction type. |
| Scope |
Indicates whether the restriction is applied at the Account, Client, or Group level. Note
|
| Scope Value | The specific Account, Client, or Group associated with the restriction. |
| Security Cross Reference | Indicates whether the restriction is applied when creating orders using Security Cross Reference. |
| Security Description | The description of the restricted security. |
| Security Swap | Indicates whether the restriction is applied to orders generated using Security Swap. |
| Security Type | For Security Type restrictions; the type of the restricted security: Foreign Currencies
|
| SEDOL | The Stock Exchange Daily Official List (SEDOL) identifier of the restricted international security. |
| Start Date |
The date when the restriction goes into effect (beginning of the restriction period), if applicable. Note
|
| Symbol | The symbol of the restricted security. |
Scope and Type
Tracking
Active Dates & Override
Target Values
| Field | Definition |
|---|---|
| Restriction Type | The restriction type. |
| Account Scope | Indicates whether the restriction is applied at the Account, Client, or Group level, followed in parentheses by the Scope Value. |
| Apply to Rebalance | Indicates whether the restriction is applied when creating orders from rebalancing. |
| Apply to Order Entry | Indicates whether the restriction is applied when creating using orders tickets. |
| Apply to Security Cross Ref. | Indicates whether the restriction is applied when creating orders using Security Cross Reference. |
| Apply to Security Swap | Indicates whether the restriction is applied when creating orders using Security Swap. |
| Symbol/CUSIP | For Security restrictions; the security identifier. |
| Field | Definition |
|---|---|
| Created By | The name of the individual who created the restriction. |
| Created By ID | The user ID of the individual who created the restriction. |
| Creation Date | The date the restriction was created, in MM/DD/YYYY HH:MM:SS AM/PM format. |
| Last Modified By | The name of the last individual who modified the restriction. |
| Last Modified By ID | The user ID of the last individual who modified the restriction. |
| Last Modification Date | The date of the last modification, in MM/DD/YYYY HH:MM:SS AM/PM format. |
| Field | Definition |
|---|---|
| Active From | The date when the restriction goes into effect (beginning of the restriction period), which is the same as the Start Date. |
| Active Till | The date when the restriction ends (end of the restriction period), which is the same as the End Date. |
| Allow Override | Indicates whether you can override the restriction. |
| Field | Definition |
|---|---|
| Minimum |
The minimum value (either a dollar amount, a percent, or a number of shares) for this security, if restriction type is Custom Dollars, Custom Shares, or Custom Weights. Note
|
| Maximum |
The maximum value (either a dollar amount, a percent, or a number of shares) for this security, if restriction type is Custom Dollars, Custom Shares, or Custom Weights. Note
|
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