Overview
Restriction Types
Field Definitions

- View Trade Restrictions
- Create a Trade Restriction
- Copy a Trade Restriction
- Edit a Trade Restriction
- Delete a Trade Restriction
- Customize the Grid

Overview

Establish trade-oriented security restrictions and enable exception handling of a security, security type, currency, account, client, or group. You can add simple restrictions (such as do not buy a particular security) or more complex restrictions. An account can have multiple restrictions.

When rebalancing accounts or a single security, you can turn restrictions on or off. For example, when an end-customer requests that a portfolio not maintain holdings of a particular security, add a restriction to the end-customer's account that prevents the current model from generating buy orders for that security.

• Trade Restrictions are user-defined and should not be confused with the brokerage account restrictions imposed by Fidelity.
• User-defined Trade Restrictions do not apply to Workplace Investing 403(b)/401(k) accounts.

You may import Trade Restrictions from another system. (Import Trade Restrictions)

View Trade Restrictions

The Trade Restrictions grid contains the restrictions created within your firm. Highlight a restriction to view its details below the grid. (Field Definitions)

The restriction name is shown in the heading above the details. The heading is followed by a green "Active" or red "Inactive" indicator.

You can right-click a row to display a shortcut menu containing options to Copy Selected Cell or Copy Selected Rows (either contiguous or non-contiguous). After you copy the cell, row, or rows, paste the information into another application, such as a spreadsheet. (When you copy a row or rows, column headers are included with the row information.)

Customize the Grid

- Add/Remove Columns
- Filter/Sort

Add/Remove Columns

Columns designated as Required cannot be removed from the grid.

1. Above the grid, select Customize.
2. Select the Add/Remove Columns tab.

3. To add a column to the grid:

   - In the Available Columns box, choose the column.
   - Select Add to move the column to the Selected Columns box.

4. To remove a column:

   - In the Selected Columns box, choose the column.
   - Select Remove to move the column back to the Available Columns box.

   Note
   Removing a column only removes it from the display. It does not delete the column contents.

5. To change the column order, in the Selected Columns box, choose a column and select Move Up or Move Down.
6. Select Apply.

Filter/Sort

Choose settings to control what displays in the grid upon opening Trade Restrictions. For example, choose to view restrictions created by a particular user or to view only active restrictions.

1. Above the grid, select Customize.
2. Select the Filter/Sort tab.

3. Choose any of the following:

   Column Filter
   Filter the grid based on a column you select from the drop-down list. When using a Column Filter a Clear Filters button displays above the grid to indicate the grid is filtered. Select this button to remove the filtering.
   Active Only
   Select Only show active restrictions to display only active restrictions in the grid.
   Sort By
   Sort the grid based on a column you select from the drop-down list, and then select Ascending or Descending.

4. Select Apply.

Restriction Types

Account
Security
Security Type
Currency

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Account

Restriction	Description
Don't Trade	Prevent trades from being generated for the security.
Don't Sell Short Term (Fidelity Funds Only)	Prevent short-term sell orders from being generated for all Fidelity Funds for an account, client, or group.
Minimum Core Cash Dollars	Establish a minimum cash amount for an account, client, or group to prevent the account from falling below this minimum.
Minimum Core Cash Dollars (Orders)	Establish a minimum cash amount for an order placed by an account, client, or group to prevent the order from being created if the cash amount falls below this minimum.
Minimum Core Cash Percent	Establish a minimum cash percentage for an account, client, or group to prevent the account from falling below this minimum. rebalance.
Minimum Core Cash Percent (Orders)	Establish a minimum cash percentage for an order placed by an account, client, or group to prevent the order from being created if the cash amount falls below this minimum.
Minimum Trade Size Dollars	Restrict trades from being generated below a certain dollar amount.
Minimum Trade Size Shares	Restrict trades from being generated below a certain share amount.

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Security

Restriction	Description
Custom Dollars	Specify a dollar range that the selected account, client, or group can trade for the security.
Custom Shares	Specify a range of share quantities that the selected account, client, or group can trade for the security.
Custom Weights	Specify a percentage range that the selected account, client, or group can trade for the security.
Don't Buy	Prevent buy orders from being generated for the security.
Don't Sell	Prevent sell orders from being generated for the security.
Don't Sell Short Term (Fidelity Funds Only)	Prevent short-term sell orders from being generated for the security.
Don't Trade	Prevent trades from being generated for the security.
Exclude Security	Exclude the security from the account's market value during a rebalance.
Minimum Trade Size Dollars	Restrict trades from being generated below a certain dollar amount.
Minimum Trade Size Shares	Restrict trades from being generated below a certain share amount.

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Security Type

Restriction	Description
Don't Buy	Prevent buy orders from being generated for the security type.
Don't Sell	Prevent sell orders from being generated for the security type.
Don't Trade	Prevent trades from being generated for the security type.
Exclude Security Type	Exclude the securities in the security type from the account's market value during a rebalance.
Minimum Trade Size Dollars	Restrict trades from being generated below a certain dollar amount.
Minimum Trade Size Shares	Restrict trades from being generated below a certain share amount.

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Currency

Restriction	Description
Don't Buy	Prevent buy orders from being generated for the selected currency.
Don't Sell	Prevent sell orders from being generated for the selected currency.
Don't Trade	Prevent trades from being generated for the selected currency.
Minimum Trade Size Dollars	Restrict trades from being generated below a certain amount for the selected currency.

Field Definitions

Trade Restrictions Grid
Scope and Type
Tracking
Active Dates & Override
Target Values

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Trade Restrictions Grid

Field	Definition
Active	Indicates whether or not the restriction is currently in effect.
Allow Override	Indicates whether or not you can override the restriction. Note Imported orders, orders entered on an order ticket, and orders created by Security Cross Reference are eligible for overrides. Orders created from rebalances and Security Swap are not eligible for overrides.
Client Name	The name of the client (unique within the firm) on whom the restriction is placed (if applicable).
Created By	The user ID of the individual who created the restriction.
Creation Date	The date the restriction was created, in MM/DD/YYYY format.
Currency	The three letter currency code of the restricted currency.
CUSIP	The number issued by CUSIP for the restricted security.
Custom Short Name	The user-defined short name used as an abbreviation for the full registration name.
End Date	The date when the restriction ends (end of the restriction period), if applicable. Note Displays No End Date if one is not established or is not required for the restriction type.
FBSI Short Name	The Fidelity-defined short name of the primary account holder.
Group Name	The name of the group on whom the restriction is placed (if applicable).
Maximum	The maximum value (either a dollar amount, a percent, or a number of shares) for this security, if restriction is Custom Dollars, Custom Shares, or Custom Weights.
Minimum	The minimum value (either a dollar amount, a percent, or a number of shares) for this security, if the restriction is Custom Dollars, Custom Shares, or Custom Weights.
Modification Date	The date of the last modification, in MM/DD/YYYY format.
Modified By	The user ID of the last individual who modified the restriction.
Order Entry	Indicates whether or not the restriction is applied when creating orders.
Rebalance	Indicates whether or not the restriction is applied when rebalancing.
Restriction Name	The user-defined name given to the restriction.
Restriction Type	The restriction type.
Scope	Indicates whether or not the restriction is applied at the Account, Client, or Group level. Note Content is based on the selection made in the Scope drop-down list when creating, editing, or copying a restriction.
Scope Value	The specific Account, Client, or Group associated with the restriction.
Security Cross Reference	Indicates whether or not the restriction is applied when creating orders in Security Cross Reference.
Security Description	The description of the restricted security.
Security Type	For Security Type restrictions; the type of the restricted security: Foreign Currencies Equity Fixed Income Global Equity Mutual Fund Option
Security Swap	Indicates whether or not the restriction is applied to orders generated using Security Swap.
SEDOL	The Stock Exchange Daily Official List (SEDOL) identifier of the restricted international security.
Start Date	The date when the restriction goes into effect (beginning of the restriction period), if applicable. Note Displays No Start Date if one is not established or is not required for the restriction type.
Symbol	The symbol of the restricted security.

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Scope and Type

Field	Definition
Restriction Type	The restriction type.
Account Scope	Indicates whether or not the restriction is applied at the Account, Client, or Group level, followed in parentheses by the Scope Value.
Apply to Rebalance	Indicates whether or not the restriction is applied when creating orders from rebalancing.
Apply to Order Entry	Indicates whether or not the restriction is applied when creating using orders tickets.
Apply to Security Cross Ref.	Indicates whether or not the restriction is applied when creating orders in Security Cross Reference.
Apply to Security Swap	Indicates whether or not the restriction is applied to orders generated using Security Swap.
Symbol/CUSIP	For Security restriction types The security identifier.
Currency	The type of currency.

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Tracking

Field	Definition
Created By	The name of the individual who created the restriction.
Created By ID	The user ID of the individual who created the restriction.
Creation Date	The date the restriction was created, in MM/DD/YYYY HH:MM:SS AM/PM format.
Last Modified By	The name of the last individual who modified the restriction.
Last Modified By ID	The user ID of the last individual who modified the restriction.
Last Modification Date	The date of the last modification, in MM/DD/YYYY HH:MM:SS AM/PM format.

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Active Dates & Override

Field	Definition
Active From	The date when the restriction goes into effect (beginning of the restriction period), which is the same as the Start Date.
Active Till	The date when the restriction ends (end of the restriction period), which is the same as the End Date.
Allow Override	Indicates whether or not you can override the restriction.

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Target Values

Field	Definition
Minimum	The minimum value (either a dollar amount, a percent, or a number of shares) for this security, if restriction type is Custom Dollars, Custom Shares, or Custom Weights. Note The field can be blank or can be a value up to 999,999,999.99.
Maximum	The maximum value (either a dollar amount, a percent, or a number of shares) for this security, if restriction type is Custom Dollars, Custom Shares, or Custom Weights. Note The field can be blank or can be a value up to 999,999,999.99.

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