National Financial Alert Descriptions

The following tables provide descriptions of the available alert subscriptions according to Class.

Account Alerts

Account Set Up

Accts Missing PW - Restricted Description Delivery Schedule
Accts Missing PW - Restricted Missing paperwork refers to the Brokerage Account Application and
the Margin Account Application. Margin (restriction codes B2, C2) denied by National Financial Services LLC (NFS) and missing or rejected paperwork for options trading are not included in this alert.
  • Daily notification when a new account setup is greater than 15 calendar days, but less than 30 calendar days:
    • Account or margin application paperwork is missing
    • Additional application paperwork is missing
  • One-time notification when a new account setup is less than 60 calendar days:
    • Account or margin application paperwork has been rejected
    • Additional application paperwork has been rejected
  • One-time notification when a new account setup is greater than 30 calendar days, but less than 60 calendar days: Account is restricted because of missing application or paperwork.
 Monday - Friday 8:00 AM Eastern time

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New Account Description Delivery Schedule
New Account Number Assigned Notification that one or more new account numbers have been assigned and the representative (rep) has access to the accounts. Alert detail includes account number, account name, short name, date established, RR1, RR2, and agency. Every ten (10) minutes

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Asset & Money Movement Alerts

Money Movement

Local Approval Description Delivery Schedule
Check Disbursement(s) Notification that a check disbursement request requires approval. Alerts represent transactions created in either CACTUS or Integrated Cashiering Platform (ICP) in the platform, for retirement and non-retirement accounts. Alert detail includes account information (account owner, account number, short name, and FBSI short name), check amount, payee, ID of the user who originated the request, CACTUS reference number, RR1, RR2, and agency. Monday - Friday 10:30 AM, 1:30 PM, 3:00 PM, 3:45 PM,
and 7:00 PM Eastern time
EFT Notification that an Electronic Funds Transfer (EFT) disbursement requires approval. Alerts represent transactions created in either CACTUS or ICP in the platform, for retirement and non-retirement accounts. Alert detail includes account information (account owner, account number, short name, and FBSI short name), disbursement amount, ABA #, bank account #, ID of user who originated the request, CACTUS reference number, RR1, RR2, and agency. Monday - Friday 10:30 AM, 1:30 PM, 3:00 PM, 3:45 PM, and 7:00 PM Eastern time
IBP Disbursement(s) Notification that an Intra Bank Payment (IBP) disbursement requires approval. Alerts represent transactions created in either CACTUS or ICP in the platform, for retirement and non-retirement accounts. Alert detail includes account information (account owner, account number, short name, and FBSI short name), disbursement amount, bank account number to which funds will be moved, ID of the user who originated the request, CACTUS reference number, RR1, RR2, and agency. Monday - Friday 10:30 AM, 1:30 PM, 3:00 PM, 3:45 PM, and 7:00 PM Eastern time
Journal(s) Notification that a journal entry requires approval. Alert detail includes account information (account owner, from account number, short name, and FBSI short name), market value, to account number, total number of positions moved, request ID, RR1, RR2, and agency. Monday - Friday 10:30 AM, 1:30 PM, 3:00 PM, 3:45 PM, and 7:00 PM Eastern time
Wire Disbursement(s) Notification that a Fed wire disbursement requires approval. Alerts represent transactions created in either CACTUS or ICP in the platform, for retirement and non-retirement accounts. Alert detail includes account information (account owner, account number, short name, and FBSI short name), disbursement amount, ABA #, bank account #, ID of user who originated the request, the CACTUS reference number, RR1, RR2, and agency. Monday - Friday 10:30 AM, 1:30 PM, 3:00 PM, 3:45 PM, and 7:00 PM Eastern time

NOTE: Local Approval Alerts are used by firms that implement the Review and Release feature of the Integrated Cashiering Platform (ICP).

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Periodic Investment Plan Description Delivery Schedule
No Position Notification that a Periodic Investment Plan (PIP) instruction may fail within the next five business days because the position does not exist as defined in the PIP. Alert detail includes rep code, customer name, account number, PIP plan ID, PIP amount allocated to the specified fund, and symbol. Tuesday - Saturday 7:00 AM Eastern time
PIP Failure Notification that a PIP instruction failed a system edit performed before the trade was sent for execution, or an EFT request. Alert detail includes rep code, customer name, account number, PIP plan ID, next PIP date, symbol, and PIP amount allocated to the specified fund. NOTE: Generally, if the next PIP date is 12/31/9999, the PIP is disabled, expired, converted, or has a stop request. Tuesday - Saturday 7:00 AM Eastern time
Plan Expiration One-time notification that a PIP is scheduled to expire within 30 calendar days. Alert detail includes rep code, customer name, account number, overall PIP amount, PIP plan ID, and PIP expiration date. Tuesday - Saturday 7:00 AM Eastern time
Plan Fund Notification that a PIP was established or modified. Alert detail includes rep code, customer name, account number, PIP plan ID, symbol, and PIP amount allocated to the specified fund. Tuesday - Saturday 7:00 AM Eastern time
Rejected Trade Fund Notification that a trade defined in a PIP was rejected by the mutual fund company when execution was attempted. Alert detail includes rep code, customer name, account number, mutual fund, and PIP amount allocated to the specified fund. Tuesday - Saturday 7:00 AM Eastern time
Rejected Trade General Notification that a trade defined in a PIP was rejected for a reason (such as the fund no longer accepts PIP investments) when execution was attempted. Alert detail includes rep code, customer name, account number, mutual fund, and PIP amount allocated to the specified fund. Tuesday - Saturday 7:00 AM Eastern time

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Pre Bounced and Bounced Checks Description Delivery Schedule
Bounced Check(s) Notification that a check was returned as a result of insufficient funds in the account. Alert detail includes check number, check date, check amount, and exception reason:
  • CLOS: Account is closed.
  • NOF: Insufficient funds.
  • NSF: Running collected cash balance is less than check amount.
  • REST: Account is restricted.
  • STOP: Stop payment placed on check number for the specified account.
  • UCF: Uncollected funds.
  • UNCL: Cash balance is more than running collected cash balance.
  • UNK: Account is not on file.
Monday - Friday 12:00 AM Eastern time
Pre-Bounced Check(s) Notification that a check presented for payment at Bank of New York Mellon was drawn on insufficient funds in a Brokerage Access or Brokerage Portfolio® account (considered day 1 for exception pay/no pay decision). Alert detail includes the Bank of New York Mellon checking account number, check number, check date, check amount, and description of the exception. NOTE: This alert provides the same information as operational report 171A. Monday - Friday between 4:00 and 5:00 PM Eastern time

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Receipts Description Delivery Schedule
IBP Receipt(s) Notification that an Intra Bank Payment (IBP) receipt occurred in a retirement or non-retirement account. Alerts represent transactions created in ICP only. Alert detail includes account number or short name, dollar amount of incoming receipt, bank account number, ID of user who originated the request, and CACTUS reference number. Monday - Friday 10:30 AM, 1:30 PM, 3:00 PM, 3:45 PM,
and 7:00 PM Eastern time
Moneyline Receipt(s) Notification that a Money Line (EFT) receipt occurred in a retirement or non-retirement account. Alerts represent transactions created in ICP only. Alert detail includes account number or short name, dollar amount of incoming receipt, bank account number, ID of user who originated the request, and CACTUS reference number. Monday - Friday 10:30 AM, 1:30 PM, 3:00 PM, 3:45 PM,
and 7:00 PM Eastern time
Wire Receipt(s) Notification that a wire receipt occurred in a retirement or non-retirement account. Alerts represent transactions created in ICP only. Alert detail includes account number or short name, dollar amount of incoming receipt, CACTUS reference number, and the bank from which the funds were received. Monday - Friday 10:30 AM, 1:30 PM, 3:00 PM, 3:45 PM,
and 7:00 PM Eastern time

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Rejects Description Delivery Schedule
Moneyline Disbursement(s) Notification that a Money Line (EFT) disbursement was rejected by the receiving bank, for a retirement or non-retirement account. Alert detail includes account number or short name, disbursement amount, CACTUS reference number, and the reject reason code. Monday - Friday 10:30 AM Eastern time
NOTE: Please refer to the National Automated Clearing House Association (NACHA) Web site for a list of NACHA return reason codes.
Moneyline Receipt(s) Notification that a Money Line (EFT) receipt was rejected by the receiving bank, for a retirement or non-retirement account. Alert detail includes account number or short name, expected amount, bank account number, CACTUS reference number, and the reject reason code. Monday - Friday 10:30 AM Eastern time
NOTE: Please refer to the National Automated Clearing House Association (NACHA) Web site for a list of NACHA return reason codes.
Money Line Stand Instruct Rej Notification that a Money Line (EFT) standing instruction was rejected by the sending or receiving bank. Alert detail includes account number or short name, instruction ID, ABA #, bank account number, and the reject reason code. Monday - Friday 10:30 AM Eastern time
NOTE: Please refer to the National Automated Clearing House Association (NACHA) Web site for a list of NACHA return reason codes.

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Remote Check Deposit (RCD) Description Delivery Schedule
Approver Notification to the subscribed Approver ID about the following statuses:
  • Open Balanced: Notification sent to the subscribed Approver ID in the deposit transaction audit trail who has access to the deposit's location to indicate that the check is now ready for approval and transmission.
  • Received Failed: Notification sent to the subscribed Approver ID in the deposit transaction audit trail who has access to the deposit's location to indicate that the deposit transmitted to NFS was unsuccessful.
 Alerts are delivered in real time (as they occur) based on the status change of the deposit.
Scanner Notification to the subscribed Scanner ID about the following statuses:
  • Received: Notification sent to the subscribed Scanner ID in the deposit transaction audit trail to indicate that the deposit was completed.
  • Open Disapproved: Notification sent to the subscribed Scanner ID in the deposit transaction audit trail to indicate that the deposit requires attention in order to proceed. The alert may include a note from the Approver with action steps.
 Alerts are delivered in real time (as they occur) based on the status change of the deposit.
Scanner Plus This alert is for the broker-dealer who uses the RCD Scan and Forward workflow and provides notification to the subscribed Scanner ID about the following status changes:
  • Received: Notification sent to the subscribed Scanner ID in the deposit transaction audit trail to indicate that the deposit was completed.
  • Open Disapproved: Notification sent to the subscribed Scanner ID in the deposit transaction audit trail to indicate that the deposit requires attention in order to proceed. The alert may include a note from the Approver with action steps.
  • Open Incomplete: Notification sent to the subscribed Scanner ID that has access to the deposit’s location (generally in the Cashiering department) performing data entry, that a user (for example, a mail room associate) scanning the checks created a deposit batch that is available.
 Alerts are delivered in real time (as they occur) based on the status change of the deposit.

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Transfer of Assets

Incoming TOA Description Delivery Schedule
Funded/Complete Notification that an incoming TOA is complete.
  • For non-ACATs, the expected assets have been received. The expected post date is the date the transfer is closed or completed by NFS. If assets received differ significantly from assets expected, the transfer is not closed until reviewed by NFS, which will be on the next scheduled follow-up date for the transfer.
  • For ACATs, the full amount of the expected assets has been received (full ACATs with non-deliverable mutual funds display as Funded/Complete). The expected post date may be a shadow post date. Under these circumstances, new account assets are not available in the platform until the following day.
For all transfers, alert detail includes rep code, customer name, receiving account number, delivering firm, and expected post date. 		Monday - Friday 6:30 AM, 1:15 PM, 3:15 PM, and 6:15 PM Eastern time
Initiate Notification that an incoming TOA has been initiated by NFS. Alert detail includes rep code, customer name, receiving account, delivering firm, and delivering account. Monday - Friday 6:30 AM, 1:15 PM, 3:15 PM, and 6:15 PM Eastern time
NIGO Notification that NFS has determined an incoming TOA is not in good order (NIGO). Alert detail includes rep code, customer name, NIGO reason, receiving account number, and delivering firm. Monday - Friday 6:30 AM, 1:15 PM, 3:15 PM, and 6:15 PM Eastern time
NIGO to IGO Notification that NFS has determined an incoming TOA with a previous status of NIGO is now in good order (IGO). Alert detail includes rep code, customer name, receiving account number, and delivering firm. Monday - Friday 6:30 AM, 1:15 PM, 3:15 PM, and 6:15 PM Eastern time

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Outgoing TOA Description Delivery Schedule
Outgoing TOA(s) Notification that a TOA ACAT or non-ACAT delivery request has been received. Alerts are delivered for full and partial transfers. Alert detail includes rep, account number, customer name, receiving firm, and dollar amount. The alert also outlines the process and specifies the date and time deadline for rescinding the transfer. Monday - Friday 8:30 AM, 10:30 AM, and 12:30 PM Eastern time

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BPM Alerts

BPM Account Opening

BPM NASU Updates Description Delivery Schedule
BPM NASU Approved Notification that a new account application has been approved. The account application was submitted using New Account Set Up (NASU) in the Business Process Manager (BPM) tool. Alert detail includes work item type, work item subtype, work item number, transaction ID, proposal ID, BPM memo, status, status reason, account number, short name, RR1, RR2, and agency. Alerts are delivered in real time and are generated when a change in status occurs.
BPM NASU Declined Notification that a new account application has been declined. The account application was submitted using NASU in the BPM tool. Alert detail includes work item type, work item subtype, work item number, transaction ID, proposal ID, BPM memo, status, and status reason. Alerts are delivered in real time and are generated when a change in status occurs.

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BPM General Updates

BPM General Updates Description Delivery Schedule
BPM Work Item Updates Notification that a work item in the BPM tool has been changed or modified. Alert detail includes work item number, transaction ID, proposal ID, portal ID, account number, short name, RR1, RR2, agency, alert status, alert reason, and alert memo. Alerts are delivered in real time and are generated when a change in a work item occurs.

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Compliance Alerts

Risk Management

Protegent Surveillance Description Delivery Schedule
Account Daily Notification that an account has unusual activity; trading or concentration exceeds a threshold; there is a change in suitability or fee structure; there are uncovered options; or other conditions. Alert detail includes account number, account short name, rep code, alert ID, alert name, trade date, RR1, RR2, and agency. Daily by 11:00 AM Eastern time
Account Risk Rank Notification that activity in an account has exceeded a recommended threshold; the account profile or basic account information requires review; or other conditions. Alert detail includes account number, account short name, rep code, alert ID, alert name, trade date, RR1, RR2, and agency. First Sunday after the fifth day of the month
Anti Money Laundering Notification that an account has activity that could indicate money laundering or other conditions. Alert detail includes account number, account short name, rep code, alert ID, alert name, trade date, RR1, RR2, and agency. Daily by 11:00 AM Eastern time
Trade Notification that an account has a trade that exceeds a threshold; a trade is not allowed or appropriate for the account; a trade restriction is encountered; or other conditions. Alert detail includes account number, account short name, rep code, rep code TTO, alert ID, alert name, trade date, execution time, RR1, RR2, and agency. Daily by 11:00 AM Eastern time

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Corporate Action Alerts

Corporate Action Events

Fixed Income Redemptions Description Delivery Schedule
Adjustment(s) Notification that some adjustment has been made to a previously announced redemption event. Monday - Friday 8:00 PM Eastern time
Full Call(s) Notification that a bond issue is expected to be fully redeemed prior to the originally stated maturity date. Monday - Friday 8:00 PM Eastern time
Mandatory Put(s) Notification that the bondholder is required to put the bonds back to the bond issuer. Monday - Friday 8:00 PM Eastern time
Maturities Notification that a bond issue will soon reach maturity. This category also includes pre-refunded municipal bonds. Monday - Friday 8:00 PM Eastern time
Partial Call(s) Notification that a bond issue is expected to be partially redeemed prior to its originally stated maturity date. Monday - Friday 8:00 PM Eastern time
Redeemed Notification that a redemption has taken place. Monday - Friday 8:00 PM Eastern time

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Voluntary Corporate Action Description Delivery Schedule
Non-Tendered Offer(s) Notification that a voluntary reorg is available to a position held in a customer account, and the customer has yet to respond to the non-tendered offer, which will expire in four business days or less. Alert detail includes CUSIP, description, cutoff date (for response), expiration date (of offer), instruction expiration time, account number, and quantity (shares offered). Tuesday - Saturday 6:30 AM Eastern time

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Material Events

Fixed Income Event Description Delivery Schedule
Fixed Income Event(s) Notification of news or details that may reasonably be expected to affect a price. Examples of events include rating changes or defaults.
(If entitled) For a list of all accounts that hold the impacted fixed income security, in the Alert, select the link (CUSIP) that is provided.
NOTE: Redemption events are not included in this alert. Instead, refer to the Corporate Actions Events: Fixed Income Redemption alerts. 		For municipal bond material events: Hourly, Monday - Friday between 8:00 AM and 6:00 PM Eastern time
For corporate and government bond material events: Hourly, Monday - Friday between 6:30 AM and 5:30 PM Eastern time and at 11:45 PM Eastern time

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Reporting Alerts

NOTE: Reporting Alerts are sent when a report has information that meets the report criteria. These alerts are delivered daily, on or before 8:00 AM Eastern time. For information about reports and reporting alerts, please refer to the Reports (New) Help in the platform.

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Service Messages Alerts

NOTE: Please see Service Message Descriptions in the platform for information on the list of available Service Message alerts.

Service Messages alerts are generated when there is a change in the status of the associated service message.

There are three links within a Service Message alert:

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Service Requests Alerts

NOTE: Please see Service Request Descriptions in the platform for information on the list of available Service Request alerts.

Service Requests alerts are generated when there is a change in the status of the associated service request.

There are three links within a Service Request alert:

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Trade Alerts

Trade Support

Allocation Management Description Delivery Schedule
Not Allocated Notification shows the unallocated block trades for a block account. Alert detail includes the send date and time of alert, account number, account short name, RR1/RR2 codes, agency, action (Buy or Sell), symbol, CUSIP, quantity, and average price. Monday - Friday 4:30 PM, 5:00 PM, 6:00 PM, and 7:00 PM Eastern time
Over Allocated Notification shows the over allocated block trades for a block account. Alert detail includes the send date/time of alert, account number, account short name, RR1/RR2 codes, agency, action (Buy or Sell), symbol, CUSIP, quantity, and average price. Monday - Friday 4:30 PM, 5:00 PM, 6:00 PM, and 7:00 PM Eastern time
Under Allocated Notification shows the under allocated block trades for a block account. Alert detail includes the send date/time of alert, digits of account number, account short name, RR1/RR2 codes, agency, action (Buy or Sell), symbol, CUSIP, quantity, and average price. Monday - Friday 4:30 PM, 5:00 PM, 6:00 PM, and 7:00 PM Eastern time

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Annuity Transactions Description Delivery Schedule
Approved Notification that review of the annuity transaction for the workflow stop named in the alert was approved. Alert detail includes the date and time of the approval that generated the alert, App ID, status, workstop name, transaction amount, product name, account number, account short name, RR1/RR2 codes, and agency. Alerts are delivered in real time and are generated when a change in status occurs.
Closed Notification that review of the annuity transaction for the workflow stop named in the alert was closed. Alert detail includes the date and time the transaction was closed, App ID, status, workstop name, transaction amount, product name, account number, account short name, RR1/RR2 codes, and agency. Alerts are delivered in real time and are generated when a change in status occurs.
Declined Notification that review of the annuity transaction for the workflow stop named in the alert was declined. Alert detail includes the date and time the transaction was declined, App ID, status, workstop name, transaction amount, product name, account number, account short name, RR1/RR2 codes, and agency. Alerts are delivered in real time and are generated when a change in status occurs.
Under Review Notification that the annuity transaction was routed for review to the workflow stop named in the alert. Alert detail includes the date and time the transaction was routed for review, App ID, status, workstop name, transaction amount, product name, account number, account short name, RR1/RR2 codes, and agency. Alerts are delivered in real time and are generated when a change in status occurs.

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Conditional Orders Description Delivery Schedule
Contingent GTC Order Execution Notification that the Good till Canceled (GTC) order has been filled, partially filled, or canceled; excludes trailing stop loss price type because the order changes time in force from GTC to Day when triggered. Alert detail includes action (Buy or Sell), quantity, symbol, price, time in force, order entry date/time, conditional type, account number, short name, RR1, RR2, and agency.
(If entitled) For more information or to take action on the order, select the link that is provided in the Alert.		 Alerts are delivered in real time and are generated when a change in status occurs.
Contingent Order Strategy Trigger Notification that the condition of the contingent order has been triggered and notification of the order status. Alert detail includes trigger criteria, action (Buy or Sell), quantity, symbol, price, time in force, order status, order trigger date/time, order entry date/time, order number, conditional order type, account number, short name, RR1, RR2, and agency.
(If entitled) For more information or to take action on the order, select the link that is provided in the Alert.		 Alerts are delivered in real time and are generated when a change in status occurs.
Multi-Contingent GTC Order Execution Notification that the GTC order has been filled, partially filled, or canceled; excludes trailing stop loss price type because the order changes time in force from GTC to Day when triggered. Alert detail includes action (Buy or Sell), quantity, symbol, price, time in force, order entry date/time, order number, conditional type, account number, short name, RR1, RR2, and agency.
(If entitled) For more information or to take action on the order, select the link that is provided in the Alert.		 Alerts are delivered in real time and are generated when a change in status occurs.
Multi-Contingent Order Strategy Trigger Notification that the conditions of the multi-contingent order have both been triggered and notification of the order status. Alert detail includes both sets of trigger criteria, action (Buy or Sell), quantity, symbol, price, time in force, order status, order trigger date/time, order entry date/time, order number, conditional order type, account number, short name, RR1, RR2, and agency.
(If entitled) For more information or to take action on the order, select the link that is provided in the Alert.		 Alerts are delivered in real time and are generated when a change in status occurs.
One Cancels the Other Strategy Trigger and Execution Notification that one leg of an OCO order has been partially or fully executed and a change in status occurred on the other order leg. Alert detail includes action (Buy or Sell), quantity, symbol, price, time in force, order status, order entry date/time, order number, conditional order type, order number for other legs, account number, short name, RR1, RR2, and agency.
(If entitled) For more information or to take action on the order, select the link that is provided in the Alert.		 Alerts are delivered in real time and are generated when a change in status occurs.
One Triggers the Other Secondary Execution Notification that the secondary leg of an OTO order has been fully filled, partially filled, or canceled. Alert detail includes action (Buy or Sell), quantity, symbol, price, time in force, order entry date/time, order number, conditional type, order leg type, order number for other legs, account number, short name, RR1, RR2, and agency.
(If entitled) For more information or to take action on the order, select the link that is provided in the Alert.		 Alerts are delivered in real time and are generated when a change in status occurs.
One Triggers the Other Strategy Trigger and Primary Execution Notification that the primary leg of an OTO order has been triggered and notification of the status of the order. Alert detail includes action (Buy or Sell), quantity, symbol, price, time in force, order status, order entry date/time, order number, conditional order type, order number for other legs, account number, short name, RR1, RR2, and agency.
(If entitled) For more information or to take action on the order, select the link that is provided in the Alert.		 Alerts are delivered in real time and are generated when a change in status occurs.

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Equity and Option Orders Description Delivery Schedule
Limit Order Execution Notification that a GTC or day (limit, stop limit, stop) order has been executed. Alerts are triggered for the first, last of the day, and final executions for equity and option orders only. Alert detail includes order number, action, order quantity, symbol, price type and order price, time in force, order entry date/time, order execution date/time; leaves quantity, execution quantity, execution price, average execution price, account number, short name, RR1, RR2, and agency.
An alert can be delivered for:
  • All executions, only the first execution, or only the final execution.
  • All times in force, only day orders (domestic and international), or only GTC orders (domestic).
(If entitled) For more information or to take action on the order, select the link that is provided in the Alert.		 Alerts for limit order
executions are delivered in real time and are generated when an order is executed.
Trailing Stop Limit Trigger Notification that a trailing stop limit order has been triggered. Alert detail includes order number, action (Buy or Sell), quantity, symbol, order type (limit or loss), time in force, trail amount, trail type ($ or %), based on (Ask, Bid, or Last), trigger price, order entry date/time, order trigger date/time, short name, RR1, RR2, and agency. (If entitled) For more information or to take action on the order, select the link that is provided in the Alert. Alerts for trailing stops are delivered in real time and are generated when an order is triggered.
Trailing Stop Loss Trigger Notification that a trailing stop loss order has been triggered. Alert detail includes order number, action (Buy or Sell), quantity, symbol, order type (limit or loss), time in force, trail amount, trail type ($ or %), based on (Ask, Bid, or Last), trigger price, order entry date/time, order trigger date/time, account number, short name, RR1, RR2, and agency.
(If entitled) For more information or to take action on the order, select the link that is provided in the Alert. 		Alerts for trailing stops are delivered in real time and are generated when an order is triggered.

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Held Away Order Requests Description Delivery Schedule
MF Subsequent Order Request Created Notification that a mutual fund subsequent order request has been received by the Home Office. The alert is sent to the user who entered the request. Alert detail includes accepting rep, action, symbol/CUSIP (on buy or sell order), from and to symbol/CUSIPs (on exchange order), quantity, quantity type, order condition, load waiver, redemption fee waiver request, note, submission date/time, client name, and account number. Delivered in real time and generated when a request is received by the Home Office.
MF Subsequent Order Request Processed Notification that a mutual fund subsequent order request has been approved or rejected by the Home Office. The alert is sent to the user who entered the request. Alert detail includes accepting rep, action, symbol/CUSIP (on buy or sell order), from and to symbol/CUSIPs (on exchange order), quantity, quantity type, order condition, load waiver, redemption fee waiver request, note, submission date/time, status, status comment, client name, and account number. Delivered in real time and generated when a request is approved or rejected by the Home Office.

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Options Description Delivery Schedule
Assignment(s) and Exercise(s) Notification that an option contract in an account has either been exercised (bought) or assigned. Alert detail includes the RR1/RR2 codes, account number, quantity of contracts, CUSIP, option description, and action (assignment or exercise). Monday - Friday 8:00 AM Eastern time

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