Overview
Orders Dashboard
Errors and Warnings
Field Definitions
- Search for Unsent Orders
- View Order Details
- View Block Details
- Edit Orders
- Delete Orders
- Send Orders or Allocations
- Create Allocations
- Convert Orders to Allocations
- Build Blocks
- Build Exchanges
- Reset Orders
- Lock and Unlock Orders
- Export and Print
- Customize the Window
When you save an order rather than send it immediately to Fidelity, the order is listed on the Orders Unsent window. There, you can manage the order further by editing, deleting, or sending the order to Fidelity when ready.
When an order is not sent to Fidelity and remains on Orders Unsent for 30 days, the system automatically removes it from the window; unsent allocations are removed after 180 days
Shortcut Menu
A shortcut menu enables you to right-click one or more rows on the Orders Unsent window to quickly access some features. In most instances, the shortcuts replicate choices available from the buttons below the list of orders.
A dashboard at the top of the Orders Unsent window provides a visual breakdown of its content by order characteristics, such as imported, locked, or with errors. Buttons indicate the number of orders by characteristic. For example, Locked (5) indicates there are a total of five locked unsent orders. A Sent button indicates the number of orders on the Orders Sent window – use this button to toggle to Orders Sent. (Search for Sent Orders)
Select a button to list the orders represented by the button:
All
View all unsent orders for your firm.
Imported
View unsent orders imported onto the platform by your firm. Records include IGO (in good order), as well as those with validation errors. IGO indicates that data in the order record is valid and Fidelity can process the order if sent to the market in its current state. Note that encountering a trade restriction is not considered an error. (Import Orders)
Locked
View your locked unsent orders. (Lock and Unlock Orders)
With Errors
View unsent orders with errors. Following order entry, errors may result, for example, when your entries don't pass order validation, or when a trade restriction is encountered, or when a potential duplicate is identified. (Field Definitions)
Blocks
View unsent block orders.
Trade Away
View unsent trade away orders (Prime Brokerage, Step-In, and DVP/RVP). Links above this list include:
- Blocks
View Prime Brokerage and Step-In orders.
- Individual
View DVP/RVP orders.
Allocations All
View unsent allocation orders. Links above the list include:
- Domestic
Allocations associated with domestic orders.
- Global
Allocations associated with Global and Currency Block orders.
Allocations Error
View unsent allocation orders that have errors. For example, the entries didn't pass order validation or there is no execution for the associated block order.
Use basic and/or advanced criteria to filter the list of unsent orders. By default, just basic filter options display. When searching for unsent orders, a maximum of 100 results can display per page before pagination occurs.
From the advanced filter options, use Batch Filter to search for orders created in bulk such as imported orders or orders generated using Portfolio Modeling & Rebalancing.
After choosing which criteria to filter the list, you can designate the criteria as the default criteria to filter orders upon opening Orders Unsent.
To search for unsent orders
Enter basic filter criteria. (Filter Descriptions)
- To enter advanced filter criteria, select Show Additional Search Criteria.
Select Search.
To designate the current filter criteria as the default criteria to prefill when you open Orders Unsent, select the Set as Default link.
- The link displays only after you choose filter criteria.
- You can change this choice at any time.
To remove filtering and redisplay all results, select Show Additional Search Criteria (if not already opened) and choose Clear Search.
- This link displays to indicate that the list is filtered.
Order details are grouped by tabs, where available:
Order Details
View order status and other details including order quantity, symbol, rep of entry, account type, order entry channel, and order conditions.
Restrictions
View user-defined trade restriction related to the order. When a round "R" icon displays in the left-most column, the order encountered a user-defined trade restriction. To override the restriction, select Override All Restrictions.
Allocation Details
View allocation status and other details such as allocation quantity, symbol, rep of entry, and account type.
Upon selecting or highlighting a listed order, its order details automatically display. You can disable this behavior and instead double-click the order or choose View Order Details from the shortcut menu. (Choose Display Options)
To view order details
Select a row.
If Order Details does not automatically display based on your preferences, double-click a row or right-click a row and choose View Order Details.
For block orders, trades away, and allocations, in addition to Order Details, you can access Block Details to manage those orders and allocations.
Select a row.
- Alternatively, right-click a row and select Block Details.
Select Block Details.
Go to: Block Details
If entitled, edit an unsent order or allocation. The order is returned to the order entry ticket where you can enter changes. Use this feature, for example, to edit an order with an error or to change a cash order to a margin order (change Account Type from Cash to Margin).
If further entitled, edit multiple orders of the same security type at one time. For example, edit five equity orders together. This feature applies your changes – in bulk – to each selected order.
- Edit One Order
- Edit Multiple Orders
Select a row.
Select Edit.
Enter changes to the order ticket, which is populated with the current order details.
Select Save.
- The revised order is saved to Orders Unsent.
Fractional share and notional dollar-based orders can be edited together, if entitled. These orders, however, cannot be edited together with whole share orders because fractional/notional order requirements differ from whole share order requiements.
Fixed income orders are not eligible for multiple-edit.
To edit multiple orders
Select Edit.
- Check boxes display above editable fields.
- If common values exist, such as Price Type, the field is pre-filled.
- If no common values exist, you must select the values.
Select the check box of a field to edit – and enter or select your change.
- Additional fields may display based on your change.
- Repeat step 3 until your edits are complete.
Delete one or more unsent orders at a time.
To delete orders
Select the row of one or more orders.
Select Delete.
Choose one of the following:
All Selected Orders
Delete one or more unsent orders you selected on the current page.
All Orders I Created
Delete all unsent orders created with your user ID – across all pages.
All Orders
Delete all unsent orders for accounts you are authorized to access, even orders created by other users – across all pages.
- A message prompts you to confirm your action.
Convert equity or option orders into allocations. This feature is helpful when creating block orders and allocations from imported orders. After you convert the orders to allocations, use Build Block to create the block orders. (Build Blocks)
Note
This operation only creates allocations. The original orders will be deleted; this operation cannot be undone.
To convert orders to allocations
Select the row of one or more equity or option orders.
Select Convert To Allocation.
Indicate what to convert:
All Selected Orders
Convert one or more unsent allocations you selected on the current page.
All Orders I Created
Convert all unsent allocations created with your user ID – across all pages.
All Orders
Convert all unsent allocations for accounts you are authorized to access, even orders created by other users – across all pages.
Note
Single orders are bypassed if you choose All Orders I Created or All Orders. To convert single orders, choose All Selected Orders.
Select the block trading account for this conversion if you have more than one block trading account.
Select Convert Orders.
- View the allocations created on the Allocations tabs. (Orders Dashboard)
After you resolve an order you created that displays with an error condition, you can reset the order. This applies to orders, block orders, trade away orders, and allocations. Resetting the order does not resolve the reason for the error, it merely clears the Error icon in the Order Indicator column and the condition. If the order is still in error and you attempt to send it, the error condition will redisplay.
If there is pagination (more than 100 results in the list), you can only reset orders on the current page.
Note
Resetting only applies to orders with errors; it does not apply to orders with warnings, restrictions, or locked orders.
To reset orders
Select the row of one or more orders with an Error icon in the Order Indicator column.
Select Reset.
- A message prompts you to confirm your action.
Select Reset Orders or Reset Allocations.
Lock your unsent orders. When ready to send them to Fidelity, you can unlock them. On the Orders Dashboard, select Locked to display your locked orders. (Orders Dashboard)
You may also automatically lock orders saved from an order ticket to Orders Unsent. This feature may be helpful if your firm has traders whose orders require firm approval before being sent to Fidelity. (Set Trade Preferences)
Select one or more orders.
Select Lock.
- A message prompts you to confirm your action.
Select Lock Orders.
- A Padlock icon in far-left column denotes a locked order.
Select one or more locked orders.
Select Unlock.
- A message prompts you to confirm your action.
Select Unlock Orders.
- Unlocked orders no longer show a Padlock icon in far-left column.
If entitled, send unsent orders, block orders, and allocations to Fidelity for processing. To be eligible, orders must be free of errors. (Reset Orders)
Sent orders are moved from the Orders Unsent window to the Orders Sent window. If your trade is rejected for some reason, an error code displays. Rejected orders remain on Orders Unsent.
To send orders or allocations
Select the row of one or more eligible orders or allocations.
Select Send.
Choose an option:
All Selected Orders/Allocations
Send one or more selected unsent orders on the current page.
All Orders/Allocations I Created
Send all unsent orders created with your user ID – across multiple pages.
All Orders/Allocations
Send all unsent orders for your authorized accounts, even orders created by other users – across multiple pages.
All Buys/Opening Orders/Allocations
Send all unsent buy/opening orders for your authorized accounts, even orders created by other users – across multiple pages.
All Sells/Closing Orders/Allocations
Send all unsent sell/closing orders for your authorized accounts, even orders created by other users – across multiple pages.
View the orders/allocations summarized on the Verification window.
Two tables display, where applicable:
Orders You Are Attempting to Send
Totals the orders being sent and the Estimated Principal Order Value by order type and action.
Orders Not Being Sent
Totals the number of orders not being sent by reason.
Select Attempt to Send Orders.
- If successful, an order's status changes to Submitted.
Use icons above the order list on the right to export or print the contents of Orders Unsent. Both exports include all possible columns whether a column is selected or not as part of your customization.
Export as CSV
Create a CSV file of the current contents of Orders Unsent. Export up to 5,000 entries across multiple pages of Orders Unsent.
Print PDF
Create a PDF file of the current contents of Orders Unsent. Print a maximum of 2,500 entries across multiple pages of Orders Unsent.
Customize how data displays by choosing which columns to include and the order to arrange them. Your column customizations remain persistent from session to session. The drag-and-drop feature of columns, however, is not persistent – meaning those changes are not saved from session to session.
You may choose other preferences for the window, such as whether to display additional sections or open Orders Unsent in a separate window.
- Add/Remove Columns
- Choose Display Options
- Columns identified as "required" cannot be removed from the list.
- Columns identified as "fixed" cannot be reordered in the list.
Select the Customize Orders (gear) icon.
On the Add/Remove Columns tab:
To add a column, from the Available Columns list:
- Select the column name.
- Select Add.
To remove a column, from the Selected Columns list:
- Select the column name.
- Select Remove.
To change the order of a column, from the Selected Columns list:
- Select the column name.
- Select Move Up or Move Down.
Select the Customize Orders (gear) icon.
Select the Display Options tab.
Choose from the following:
Show button bar on Orders
Display buttons of allowable actions below the list of sent and unsent orders. If buttons are hidden, you must right-click a row to access a shortcut menu to perform the equivalent actions.
Disable automatic display of order details on Orders
When you select a listed order, Order Details automatically displays below the list of sent and unsent orders. If you disable this feature, you must right-click a row and select View Order Details. This election is effective after you leave the window and then return. (View Order Details)
Launch Orders in a window (effective after next login)
Open Orders Sent and Orders Unsent in a separate window. This feature allows you to view orders on the separate window while working with other platform functions on the main application window. This election is effective the next time your sign in.
Show Execution Totals
Choose to display execution totals of Filled and Partially Filled trades below the list of sent orders.
Select Save & Apply.
- Basic Filters
- Advanced Filters
| Field | Action |
|---|---|
| Account #,
Group, Client, or Branch |
Enter the full account number, group name, client name, or branch. Partial entries are not allowed. To search for an account, group, or client, select the magnifying glass. Account #
Note
|
| Created By | Enter the ID associated with the user who created the orders. Note
|
| Action | Select the order action. |
| Symbol/Security ID | Enter a security symbol or other security identifier such as a CUSIP. (Symbol Lookup) |
| Block Account # | Choose a block account number or choose All to search all your firm's block accounts. Note
|
| Field | Action |
|---|---|
| Account Type | Select the account type: All
Note
|
| Allocation Type | Select the allocation type: All
|
| Batch Filter | Select the source that represents where the order was created, where entitled. Narrow your selection based on the source and the timestamp that accompanies the listed source, such as Multi-Allocation 2021-08-11. All
|
| Order Indicator | Indicate whether to view only locked orders or only orders with errors, restrictions, or warnings: All
|
| Price Type | Select the price type specified at the time of order entry: All
Note
|
| Security Type | Select the security type, which differs based on your Action choice: All
|
| Sort Data By | Where available, choose the column by which to sort results. Then indicate Ascending or Descending order. Note that not every column is available as a sort option. |
| Time in Force | Select the time requirement specified at order entry: All For domestic orders: Day
For international Equity or Currency Exchange orders: Day Note
|
- These definitions also include fields on the Order Details tab.
- The left-most column on the window is the Order Indicator column.
| Field | Definition |
|---|---|
| Accepting Rep | The three-character code of the rep who accepted the order or allocation, if entitled. |
| Account # | The account for which the order or the allocation was created. |
| Account Source |
The custodian of the account, if entitled: Fidelity Brokerage
|
| Account Type |
The account type involved in the order or allocation: DVP/RVP
|
| Action | The order action. |
| Allocation Type | The type of allocation: Block
|
| Average Execution Price | The average execution price of the security involved in the order, which may have been purchased at different prices. |
| Based On | If Price Type is Trailing Stop Loss or Trailing Stop Limit, this is the price used as the trigger value for a Trailing Stop order. |
| Block Account | Your firm's block account number used for the order or allocation. |
| Clearing Broker # | The broker who settles the trade. For Prime Brokerage, Step-In, DVP/RVP (orders), and Step-Out (allocations) only. |
| Conditional Type | The type of conditional order, if entitled: Contingent
|
| Country | For accounts enabled for International
The country where the security is traded. |
| Created By | The ID of the user who created the order or allocation. |
| Created Date | The date and time (ET) the order was created. |
| CUSIP | The CUSIP of the security involved in the order or allocation. |
| Custom Short Name | The user-defined short name used as an abbreviation for the full registration name. |
| Date Modified | The date and time (ET) the order was last modified. |
| Est. Principal Order Value |
The estimated principal order value, at the time the order was saved to Orders Unsent. - Buy = Ask Price x Share Quantity
Note
|
| Exchange to Fund | For Exchange Fund or Cross Fund Family orders
The fund ID of the second security in an exchange order. |
| Executing Broker # | The four-digit DTC ID of the broker-dealer who executes the order on behalf of the client. For Prime Brokerage (orders and allocations), Step-In (orders and allocations), DVP/RVP (orders), and Step-Out (allocations) only. |
| FBSI Short Name | The Fidelity-defined short name of the primary brokerage account holder. |
| From Currency | For Currency Exchange orders
The ISO currency code of the sell order or allocation. |
| From Quantity | For Currency Exchange orders
The number of shares sold. |
| Last Price | The most recent reported price for the security. |
| Local Currency | For accounts enabled for International
The ISO code of the currency in which the security was traded. |
| Modified By | The ID of the user who last modified the order or allocation. |
| Order Entry Date/Time | The date and time the order was entered on the platform; format is DD-Mmm-YYYY HH:MM:SS AM/PM ET. |
| Order Indicator | If the order is locked or the order encountered an error (such as increase buying power), warning (such as a possible duplicate order), or trade restriction during order validation, an icon displays in the far-left column. Hover over the icon to view a description of the condition or view the description in Order Details. To view all orders with conditions, sort this column to bring orders with icons to the top of the list. Circle with Exclamation Point
Note
|
| Order Receipt Date/Time | The date and time (ET) the order was received from the end-customer, if entitled. |
| Order Type | The order type, such as Equity or Block. |
| Origin | The source of the order: Order Ticket
|
| Payment Currency | For accounts enabled for International
The ISO code of the currency used to pay for the transaction. |
| Price | The limit price for Limit and Stop Limit orders. |
| Price Type | The price type for an equity or option order. Equities: Market
Options: Market
|
| Primary Account Holder | The full name of the primary account holder. |
| Quantity |
The dollar amount or share quantity of the order or allocation: Equities
Options
Mutual Funds
|
| Quantity Type |
For Mutual Fund orders
Dollars (Default)
|
| Redemption Fee Waiver |
For Mutual Fund sell orders
Auto Rebalance 8
|
| Registration | The registration of the account, such as Corporation (CP). |
| Security Description | The description of the security associated with the order or allocation. |
| SEDOL | For accounts enabled for International
The seven-digit SEDOL (Stock Exchange Daily Official List) code for the security in the order. |
| Special Conditions |
Additional conditions placed on the order at the time of order entry: All or None (AON)
|
| Status | The status of the order or allocation: Error
Unsent
|
| Stop Price | The stop price for Stop Loss and Stop Limit orders. |
| Strategy Type |
For Equity orders
VWAP - Volume Weighted Average Price
|
| Symbol | The symbol of the security associated with the order or allocation. |
| Time In Force | How long the order should remain in the marketplace seeking the specified price type: Day
Note
|
| To Currency | For Currency Exchange orders
The ISO currency code of the buy order or allocation. |
| To Quantity | For Currency Exchange orders
The number of shares bought. |
| TPA Order ID | The order ID of the third-party administrator, if applicable. |
| Trail Amount | The trail amount (as a percentage or a dollar amount). Used when Price Type is Trailing Stop Loss or Trailing Stop Limit. |
| Trail Indicator | Whether the Trail Amount is a Percentage or Dollar amount. |
928780.3.0