Overview
File Specifications
CSV Examples
Template and Sample Files

- Import Block Orders and Allocations

Overview

Import block orders and allocations into Wealthscape using a file format that meets the application's import file specifications. The imported orders display on the Orders Unsent window where you can perform additional work before sending the orders for execution.

Use this tool to import these block and allocation types:

- Prime Brokerage
- Step-In
- Advent Moxy®

Import Block Orders and Allocations

The allowable file types to import blocks and allocations are comma separated value (CSV), which is the default, and tab delimited (TXT).

• The file formats may or may not have quotes around the data.
• All records must have the same number of fields.
• If a field is not appropriate for a record type, leave it blank.
• Do not add a comma at the end of a row; doing so causes an error to occur.
• Do not remove columns from the layout unless the column is the last value in the row.

To import block orders and allocations

1. For Advent Moxy:
   Select Tools > Imports > Advent Moxy.

   For all others:
   Select Tools > Imports > Block Orders & Allocations.

2. (Optional) Enter the Import Name.

   Note
   Although entering an import name is optional, to help locate and identify the import when reviewing its status, we recommend that you enter a name.

3. Choose the File Type:

   Comma Separated Value (Default)
   Values in the CSV file are separated by commas.
   Tab-Delimited
   Values in the TXT file are separated by tab characters.

4. Select Choose File to locate the import file.

   - The file path cannot be entered manually.
   - The name of the selected file populates the File Path field

5. Select Run Import.

   A validation check is performed on the import file. If errors exist, they may be due to a general issue, such as:

   • File path does not exist.
   • File name does not exist.
   • File size is too large.
   • File fails virus scan.
   • File format cannot be read (extra columns included, or file type does not match selection).

   Once the import is confirmed, as a best practice, select Import/Export Status to view the import's status. Use the Import Name you specified to locate and identify your import.

   Go to: View Import Status

File Specifications

• To find Field Descriptions, open the Template File.

Field	Char.	Col.	Single Order	Block Order	Block Alloc.	Prime Brok. Trade	Prime Brok. Alloc.	Step In Trade	Step In Alloc.
Account Number	20	A
Account Type	1	B	x		x		x
Order Action	3	C	x	x	x	x	x	x	x
Quantity	10	D	x	x	x	x	x	x	x
Symbol/CUSIP	14	E	x	x	x	x	x	x	x
Price Type	2	F	x	x
Time In Force	1	G	x	x
Stop Price/Limit Price	10	H	x	x		x
Quantity Type	1	I	x	x	x	x	x	x	x
Exchange to Symbol	14	J	x
Block Indicator	1	K		Y	N	T	A	S	I
Block ID	6	L				x		x
NAV	N/A	M
Misc. Fee	10	N	x
Sol/Unsol	1	O	x
NAV Reason	N/A	P
Rep of Entry	3	Q	x	x	x
Trade Away ID	10	R				x	x	x	x
Price/Share	11	S				x		x
Commission Amount	10	T				x
Trade Date	8	U				x		x
Settlement Date	8	V				x		x
Vs. Purchase Date	8	W	x		x		x
Client Confirm Note	1	X	x		x		x
Order Routing	2	Y	x	x
Trailing Value Indicator	1	Z	x	x
Trail Amount	10	AA	x	x
Conditions	2	AB	x	x
CDSC Fee Waiver	N/A	AC
Redemption Fee Waiver	N/A	AD
Transaction Fee Waiver	1	AE	x
TPA Order ID	8	AF	x
Transaction Disposal Method (Override)	1	AG		x		x
Foreign Equity and FX Indicator	1	AH	x	x	x
To/From Currency Indicator	1	AI	x	x	x
Alternative Settlement Currency	3	AJ
From Quantity	10	AK	x	x	x
From Currency	3	AL	x	x	x
To Quantity	10	AM	x	x	x
To Currency	3	AN	x	x	x
Special Instructions	80	AO	x	x
<Blank>	N/A	AP
Stop Price	10	AQ	x	x
Based On	1	AR	x	x
Unused Fields	N/A	AS-BC
Override Interest Amount	10	BD				x

CSV Examples

Important: These examples are for informational purposes only. All examples and samples provided must be updated to the appropriate information for your trade.

Single Order

ZZZ123456,1,B,200.000,ZVZZT,M,G,,S,,N,,Y<Line Feed>

Trailing Stop Order

ZZZ123456,2,B,1000,ZVZZT,TS,G,,S,,,N,,,,,,,,,,,,,,D,2<Line Feed>

Block Order

,1,B,800.000,ZVZZT,M,D,,S,,Y,,<Line Feed>

Block Allocation

ZZZ123456,1,B,250.000,ZVZZT,M,D,,S,,N,,<Line Feed>

Prime Brokerage Block and Allocation

,1,B,1000,ZVZZT,M,G,,S,,T,164,,,,,,1623,90.00000,6.00,05032004,05062004<Line Feed>
AAA111111,1,B,100,ZVZZT,,,,S,,A,,,,,,,1623<Line Feed>
AAA222222,1,B,200,ZVZZT,,,,S,,A,,,,,,,1623<Line Feed>

Template and Sample Files

The template file can assist you in creating your block and allocation imports:

• Blocks and Allocations Import Template

These sample files contain equity and option orders so you can see how the fields differ:

• Blocks and Allocations Import (CSV)
• Blocks and Allocations Import (TXT)

To create an import using the template

1. Open the template file and save it to your computer.

2. Beginning with row 4, enter block and allocation import information, as needed.

   - Refer to the descriptions in rows 2-3 to complete your input.

3. When your import file is complete, delete rows 1-3 from the file.

4. Save the file as a CSV or TXT.

878844.6.0