Overview
File Specifications
File Formats
CSV Examples
Template and Sample Files
Import a list of orders from other applications, such as a spreadsheet or portfolio management system. Once imported, the orders display on the Unsent Orders window where you can perform additional work before you send them for execution.
The allowable file types when importing orders 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.
(Optional) Enter an 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.
Choose a File Type:
Comma Separated Value (Default)
Values are separated by commas.
Tab Delimited
Values are separated by tab characters.
Select Browse to the locate the import file, which populates the File Path field.
Note
The file path cannot be entered manually.
Select Run Import.
The system performs a validation check on the import file. If errors exist, they may be due to a general issue, such as:
On the confirmation window, as a best practice, select Import/Export Status to view the import status. Use the Import Name you specified to locate and identify your import.
Go to: View Import Status
| Field | Characters | Excel Column | Definition |
|---|---|---|---|
| Account Number | 20 | A | The account number. |
| Account Type | 1 | B | The account type:
Note
|
| Order Action | 3 | C | The order action:
|
| Quantity | 10 | D | The numeric quantity or amount of the order, out to three decimal places.
|
| Symbol | 30 | E | The symbol of the security associated with the order. International equity symbol contains a colon (:) followed by the country code. This field is <blank> for currency exchanges. |
| Price Type | 2 | F | The price type:
|
| Time In Force | 1 | G | How long the order should remain in the marketplace seeking the specified price type:
Note |
| Stop Price/Limit Price | 10 | H | (Required) If Price Type is limit, stop loss, or stop limit, the stop price/limit price out to five decimal places. Use the alternate Stop Price field if the stop and limit prices differ. |
| Quantity Type | 1 | I | The quantity type of the order. Associated with the Quantity field:
|
| Exchange to Symbol | 14 | J | The fund ID of the second security in an exchange order. Used for Exchange Fund or Cross Fund Family orders only. |
| Vs. Purchase Date | 8 | K | The versus purchase date of the order for tax lot accounting purposes, in MMDDYYYY format. |
| Client Confirm Note | 1 | L | Designates the power of discretion for this action:
|
| Order Routing | 2 | M | Enables order routing for global equities. The only selection is TQ-FCMS Global Trading Desk, otherwise routing is Auto. This field only applies to global equities and should be left blank in all other cases. Associated with the Special Instructions field. |
| Trailing Value Indicator | 1 | N | (Required) For trailing stop loss and trailing stop limit, specifies whether this amount should be treated as P-Percentage or D-Dollar. Associated with the Trail Amount field. |
| Trail Amount | 10 | O | (Required) For trailing stop loss and trailing stop limit, specifies the amount that a trailing stop order "trails" the current market; may be either P-Percentage or D-Dollar. Associated with the Trailing Value Indicator field. |
| Conditions | 2 | P | The special order condition:
|
| CDSC Fee Waiver | 1 | Q | The contingent deferred sales charges (CDSC), which is a back-end load tied to a specific time frame. For Third Party Administrator (TPA) mutual fund orders only; valid for the following order actions: CF-Cross Fund Family, EF-Exchange Fund, and SF-Sell Fund.
|
| Redemption Fee Waiver | 1 | R | If entitled; for Sell Fund, Exchange Fund, and Cross Fund Family only; the reason for waiving the redemption fee.
|
| TPA Order ID | 8 | S | The optional TPA Order ID number, which can be used as a reference. |
| Transaction Disposal Method (Override) | 1 | T | (Optional) The designated disposal method for the order. Overrides the established account-level transaction disposal method. (Cost Basis Disposal Methods) |
| Foreign Equity and FX Indicator | 1 | U | (Required) For global equity and currency exchanged orders; indicates if the order is domestic or international:
|
| To/From Currency Indicator | 1 | V | (Required) For currency exchange orders and allocations; the direction of the currency exchange
|
| Alternative Payment Currency | 3 | W | (Optional) The currency used to pay for the trade. If this field is not populated, the order defaults to the local currency. Global block trades and allocations always settle in the local currency. |
| From Quantity | 10 | X | The quantity of the From Currency. If <Null>, To Quantity field must be populated. If populated, To Quantity field must be <Null>. |
| From Currency | 3 | Y | (Required) For currency exchange orders; the currency of the From Quantity. |
| To Quantity | 10 | Z | The quantity of the To Currency. If <Null>, From Quantity field must be populated. If populated, From Quantity field must be <Null>. |
| To Currency | 3 | AA | (Required) For currency exchange orders, the currency of the To Currency. |
| Special Instructions | 80 | AB | Any special instructions associated with the order. This field is required only for routed international orders; it is blank (<Null>) for all other orders. |
| Stop Price | 10 | AC | (Required for stop limit orders) The stop price. If this field is left blank, the Stop Price/Limit Price field will be used for both the stop price and the limit price. |
| <Blank> | 3 | AD | Leave this field blank. |
| Based On | 1 | AE | The price used as the trigger value for a trailing stop order. Displays if Price Type is Trailing Stop Loss (% or $) or Trailing Stop Limit (% or $). If left blank, the default is used.
|
Information for each order must be contained on a single line. <Line Feed> indicates where each line ends.
| File Format | Allowable Fields |
|---|---|
| Comma Separated Value | Account Number, Account Type, Order Action, Quantity, Symbol, Price Type, Time In Force, Stop Price/Limit Price, Quantity Type, Exchange to Symbol, Vs. Purchase Date, Client Confirm Note, <Blank>, Trailing Value Indicator, Trail Amount, Conditions, CDSC Fee Waiver, Redemption Fee Waiver, TPA Order ID, Transaction Disposal Method (Override), Foreign Equity and FX Indicator, To/From Currency Indicator, Alternative Payment Currency, From Quantity, FromCurrency, To Quantity, To Currency, Special Instructions, Stop Price, <Blank>, Based On <Line Feed> |
| File Format | Allowable Fields |
|---|---|
| Tab Delimited | Account Number <tab> Account Type <tab> Order Action <tab> Quantity <tab> Symbol <tab> Price Type <tab> Time In Force <tab> Stop Price/Limit Price <tab> Quantity Type <tab> Exchange to Symbol <tab> Vs. Purchase Date <tab> Client Confirm Note <tab>< Blank ><tab> Trailing Value Indicator <tab> Trail Amount <tab> Conditions <tab> CDSC Fee Waiver <tab> Redemption Fee Waiver <tab> TPA Order ID <tab> Transaction Disposal Method (Override) <tab> Foreign Equity and FX Indicator <tab> To/From Currency Indicator <tab> Alternative Payment Currency <tab>From Quantity <tab> FromCurrency <tab> To Quantity <tab> To Currency <tab> Special Instructions <tab> Stop Price <tab>< Blank ><tab> Based On <Line Feed> |
Important: These examples are for informational purposes only. All examples and samples provided must be updated to the appropriate information for your trade.
Single Orders
111111111,1,ZVZZT,400.000,ZVZZT,M,D,,D,,,,,,,,,,,F,,,,,,,,,,,<Line Feed>
222222222,1,B,20.000,ZVZZT,M,D,,S,,,,,,,,,,,C,,,,,,,,,,,<Line Feed>
333333333,2,B,5.000,ZVZZT,L,G,6.780,S,,,,,,,,,,,K,,,,,,,,,,,<Line Feed>
Trailing Stop Orders
444444444,2,S,100.000,ZVZZT,TL,G,,S,,,,,P,5,,,,,,,,,,,,,T<Line Feed>
A template file helps to assist you in creating your order imports:
The sample files contain equity, mutual fund, and option orders so you can see how their import fields differ.
Beginning with row 4, enter the order import information, as required.
Note
Use the reference information in rows 2-3 as an aid in completing your input.
896227.3.0