Overview

- Create a Trade Restriction

Overview

Create trade-oriented restrictions that modify the handling of a security, security type, or individual account, client, or group.

Restrictions apply based on where an order originated. The determination of how a restriction applies is systematic and cannot be changed.

• Rebalance
  Apply to orders generated as a result of rebalancing.
• Orders
  Apply to orders created using an order ticket.
• Security Cross Reference
  Apply to orders generated using Security Cross Reference.
• Security Swap
  Apply to orders generated using Security Swap.

Create a Trade Restriction

1. Select Trade > Trading Tools > Trade Restrictions.
2. Select New Restriction.
3. Enter the Restriction Name.

4. Select the Restriction Type.

   Icons indicate what orders the restriction applies to (Rebalance, Orders, Security Cross Reference, Security Swap):

   - A green check mark indicates the restriction applies.
   - A red x indicates the restriction does not apply.

5. Select the scope of the restriction:

   Account
   Group
   Client

   - To search, select the magnifying glass icon.

6. If the Restriction Type is Security or Security Type, do the following:

   For a Security restriction:

   - In the Symbol/CUSIP box, enter the security identifier.

   For a Security Type restriction, indicate the security type:

   - Foreign Currencies
   - Domestic Equities
   - Fixed Income
   - Global Equities
   - Mutual Funds
   - Options

7. If required for the Restriction Type, complete the Target Values:

   If you selected Minimum Core Cash Dollars, Minimum Core Cash Dollars (Orders), Minimum Core Cash Percent, or Minimum Core Cash Percent (Orders), enter the minimum dollar amount or minimum percent of core cash to remain in the account.

   If you selected Minimum Trade Size Dollars or Minimum Trade Size Shares, enter the minimum value to trade (in either dollars or shares).

   If you selected Custom Dollars, Custom Weights, or Custom Shares, enter the minimum and maximum values by which you want to restrict:

   - Minimum: Enter the minimum amount for the restriction.
   - Maximum: Enter the maximum amount for the restriction.

8. Indicate the Status of the restriction:

   - Active Restriction is in effect as soon as it is created.
   - Inactive Restriction is created, but it is not in effect.

9. To establish a duration during which the restriction is in effect, enter a Start Date and End Date.

   - Use calendar icons to select the dates.

10. To allow orders that trigger a restriction to be saved to the Orders Unsent window, select Allow Override.

    Note
    Imported orders, orders entered using an order ticket, and orders created using Security Cross Reference are eligible for overrides. Orders created from rebalances and Security Swap are not eligible for overrides.

11. Select Save.

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