Descriptions of Alert Subscriptions

Generated when a restriction is placed on an account. NOTE: Select the link in the Restriction Code column of the Alert to display a list of Account Restriction Codes along with a brief description of each.

Generated when a restriction is removed from an account. NOTE: Select the link in the Restriction Code column of the Alert to display a list of Account Restriction Codes along with a brief description of each.

Generated when a new client account is set up.

Generated when Fidelity receives notification that an account owner requested a Postal Address update with his local Post Office. You should update the appropriate accounts and records on file with Fidelity to reflect this change. NOTE: This alert is generated on a monthly basis.

Generated when there is a change in status for a standing instruction.

Generated when a check is returned. NOTE: Select the link in the Reason Code column of the Alert to display a list of Pre Bounced and Bounced Check Reason Codes along with a brief description of each.

Generated when there is a deposit into an account.

Generated when there is a deposit or disbursement status update as the result of a Check, TPA ACH Receipt (TPAs only), Directed Payee ACH, MoneyLine, or Wire transaction. NOTE: Select the link in the alert description to display its associated workflow.

The system performs a look-ahead check the day before a PIP is scheduled to occur to ensure the position defined in the PIP plan exists and generates an alert if the position is not located.

Generated when a PIP transaction fails due to insufficient funds in the brokerage/bank account.

The system performs a 30 day look-ahead for a PIP plan that is due for expiration and generates an alert if one is located.

Generated when a PIP is established or a distribution destination is added into a fund that may be of interest to the subscriber.

Generated when a trade is rejected by the fund.

Generated when a trade is rejected for any reason other than by the fund.

Generated in advance of a check's bouncing so corrective action can be taken. NOTE: Select the link in the Reason Code column of the Alert to display a list of Pre Bounced and Bounced Check Reason Codes along with a brief description of each.

Generated as a notification that action may be required in preparation for an upcoming periodic distribution; takes into consideration the running collected balance, contingent instructions, and funds held in the account.

Generated when an account transfer of assets from another firm to Fidelity is complete.

Generated when the transfer of assets processing is initiated and Fidelity is awaiting the receipt of the assets.

Generated when the requested NIGO information required to process transfer of assets is received and Fidelity is awaiting the receipt of the assets.

Generated when there is an account transfer of assets from Fidelity to another firm. NOTE: This alert is issued up to three times a day whenever the necessary account activity occurs. Fees are charged based on the time assets are held by Fidelity. Therefore, you should address this alert in a timely manner since there is an impact on these fees.

Generated when there is a adjustment to any previously communicated call, partial call, put, or maturity date.

Generated when a bond and/or certificate of deposit has an upcoming call.

Generated when a bond and/or certificate of deposit has an upcoming mandatory put.

Generated when a bond and/or certificate of deposit has an upcoming maturity date.

Generated when a bond and/or certificate of deposit has an upcoming partial call.

Generated when a bond and/or certificate of deposit will be redeemed.

Generated when there is an event initiated by the corporation by the board of directors that affects all shareholders, meaning shareholder participation is mandatory. NOTE: The industry term "mandatory"may be confusing with regard to this alert. The shareholder is a passive beneficiary and does not need to take any action for a mandatory corporate actions alert. Select the link in the alert description to display its associated workflow.

Generated when an option in an account either is assigned or exercised.

Provides information about a short sale trade that was executed in an inaccurate position type, either cash (Type 1) or margin (Type 2). These positions must be executed in a short account (Type 3) and are subject to �Buy-In�.

Provides information on the debit balance owed in the listed accounts. It is your responsibility to cover this debit balance by depositing funds (via bank wire, journal, MoneyLine (EFT), or check) or liquidating securities. NOTE: Select the link in the alert description to display its associated workflow.

Provides �Buy-In�/�Sell-Out� information outstanding for a specific due date. You must take immediate action on items equal to or greater than $500. Those items less than $500 must be resolved as soon as possible. NOTE: Select the link in the alert description to display its associated workflow.

Provides notification that your security transfer requires special documentation in order to be processed (e.g., the located security is not negotiable unless accompanied by the appropriate agreement (such as a stock power form)).

Provides information regarding margin calls taking place for the listed accounts. The due date and other critical information are provided. NOTE: Select the link in the alert description to display its associated workflow.

Generated when there is a change made to an offer for which a response has not yet been received from the customer.

Generated when an offer is scheduled to expire and a response has not yet been received from the customer.

Generated for a new voluntary corporate action.

Generated when an offer is withdrawn for whatever reason at the direction of the board of directors of the company making the offer.

Generated when there is a voluntary corporate action for which a response has not yet been received from the customer.

Generated on the trade date of an executed block trade or trade away when there are no allocations associated with the block or trade away.

Generated on the trade date of an executed block trade or trade away when there are more allocations than the trade execution amount for the block or trade away.

Generated on trade date of an executed block trade or trade away when there are only partial allocations (less than the trade execution amount) associated with the block or trade away.

Generated when the established contingent criteria, such as the achievement of a stock price or index level, associated with an equity or option order is met, triggering the sending of the order to the marketplace.

Generated when placing two orders at the same time, which are both "live" in the marketplace. If or when one order executes, the other order is cancelled.

Generated when placing two orders at the same time - one being a primary order and the other being a secondary order. If or when the primary order executes, it triggers the sending of the secondary order to the marketplace.

Generated when a broker makes a change to a prime brokerage trade. NOTE: When you receive this alert, contact the associated broker. If you can do so before the nightly batch cycle runs, the trade can be corrected without the need to complete extra paperwork.

Generated when the trigger price is met and the order is sent to the marketplace.

Generated when the trigger price is met and the order is sent to the marketplace.