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This section describes the Add Restrictions, Change/Transfer Restrictions, and Release Restrictions data fields.

Add Restrictions Data Table

To add a restriction, you must first set up a Pledge Master and a Restriction Reason Code. The message stream process to create a Pledge Master and a Restriction Reason Code is currently not available. You can maintain these values under the Custody menu in STAR.


To add a restriction to a position within an Entity, tag 55/F55 must equal RESTRICT, along with other data elements shown in the data table that follows.

The following table describes the required and optional data fields for Add Restrictions.

Tag # – Tag Name

Required/Optional

Required/Optional

Value/Description of Field

55 – Event Type

Required – must be RESTRICT

CHAR

Used for message stream processing.

1164 – Entity Name

Required

CHAR (30)

Lookup on the Entity Name. Either Entity Name or Entity ID (1163) is required. Additional fields needed for processing are returned by the lookup.

1163 – Entity ID

Required

CHAR (8)

Lookup on the Entity ID. Either Entity ID or Entity Name (1164) is required. Additional fields needed for processing are returned by the lookup.

14 – Security ID

Required

CHAR (100)

Lookup on the Security ID. Additional fields needed for processing are returned by the lookup.

1141 – Pledge ID

Required

VARCHAR2 (255)

Lookup on the Pledge ID. Additional fields needed for processing are returned by the lookup from the Pledge Master.

1624 – Pledge Reason

Required

CHAR

Lookup on the Pledge Reason codes. Additional fields needed for processing are returned by the lookup.

903 – Units Pledged

Required

DEC

Quantity to restrict.

35 – Pledge Date

Required

DATE

Effective date of the pledge.

481 – Market Price

Required

NUMBER (28,12)

Market Price (local) for security. Used to calculate the Inception Value for the pledged position.

1146 – Custody Bank Name

Optional

CHAR

Lookup on the Custody Bank Name. Additional Custody Bank information is returned by the lookup. Lookup is based on the Entity Bank Relationship.

25 – Event ID

Optional

VARCHAR2(55)

If tag 25 is not supplied, message stream generates an event ID.

Change/Transfer Restrictions Data Table

The Change/Transfer Restriction process allows you to change the Pledge ID or Pledge Reason Code. To change the Restricted Quantity or Security Restricted, the original pledge must be released and a new restriction added. To change a restriction, tag 55/F55 must equal CHG_RESTRICT, with the other data elements in the data table that follows.

The following table describes the required and optional data fields for Change/Transfer Restrictions.

Tag # – Tag Name

Required/Optional

Data Type

Value/Description of Field

55 – Event Type

Required – must be CHG_RESTRICT

CHAR

Used for message stream processing.

1164 – Entity Name

Required

CHAR (30)

Lookup on Entity Name. Either Entity Name or Entity ID (1163) is required. Additional fields needed for processing are returned by the lookup.

1163 – Entity ID

Required

CHAR (8)

Lookup on Entity ID. Either Entity ID or Entity Name (1164) is required. Additional fields needed for processing are returned by the lookup.

14 – Security ID

Required

CHAR (100)

Lookup on Security ID. Either Security ID (tag 14), Issue Name (tag 961), or Security Symbol (tag 13) is required. Additional fields needed for processing are returned by the lookup.

1141 – Pledge ID

Required

VARCHAR2 (255)

Lookup on the Pledge ID. Additional fields needed for processing are returned by the lookup from the Pledge Master.

1624 – Pledge Reason

Required

CHAR

Lookup on Pledge Reason Codes. This is the existing Pledge Reason Code from which the transfer is done. Additional fields needed for processing are returned by the lookup.

35 – Transfer Date

Required

DATE

Effective date of the transfer.

903 – Units Transferred

Required

DEC

Quantity to transfer. Must not exceed quantity currently restricted under the Pledge ID and Pledge Reason Code.

1290 – Transfer To Pledge Reason

Required

CHAR

A lookup on Pledge Reason Code. The new Pledge Reason Code to which to transfer the shares. Additional fields needed for processing are returned by the lookup.

481 – Market Price

Required

NUMBER (28,12)

Market Price (local) for the security on Transfer Date Effective Date. Used to calculate market value for the transferred quantity.

1146 – Custody Bank Name

Optional

CHAR

Lookup on Custody Bank Name. Additional Custody Bank information is returned by the lookup. Lookup is based on the Entity Bank Relationship.

25 – Event ID

Optional

VARCHAR2(55)

message stream generates a unique event ID if not supplied.

Release Restrictions Data Table

The following table describes the required and optional data fields for Release Restrictions.

Tag # – Tag Name

Required/Optional

Data Type

Value/Description of Field

55 – Event Type

Required – must be RELEASE_RESTRICT

CHAR

Used for message stream processing.

1164 – Entity Name

Required

CHAR (30)

Lookup on the Entity Name. Either Entity Name or Entity ID (1163) is required. Additional fields needed for processing are returned by the lookup.

1163 – Entity ID

Required

CHAR (8)

Lookup on Entity ID. Either Entity ID or Entity Name (1164) is required. Additional fields needed for processing are returned by the lookup.

14 – Security ID

Required

CHAR (100)

Lookup on Security ID. Either Security ID (tag 14), Issue Name (tag 961), or Security Symbol (tag 13) is required. Additional fields needed for processing are returned by the lookup.

1141 – Pledge ID

Required

VARCHAR2 (255)

Lookup on Pledge ID. Additional fields needed for processing are returned by the lookup from the Pledge Master.

1624 – Pledge Reason

Required

CHAR

Lookup on Pledge Reason Codes. The existing Pledge Reason Code from which the units must be released. Additional fields needed for processing are returned by the lookup.

903 – Units Released

Required

DEC

Quantity to release. Must not exceed the quantity currently restricted under the Pledge ID and Reason Code.

35 – Release Date

Required

DATE

Effective date of the release.

481 – Market Price

Required

NUMBER (28,12)

Market Price (local) for the security on the Release Date. Used to calculate the Market Value for the released quantity.

1146 – Custody Bank Name

Optional

CHAR

Lookup on Custody Bank Name. Additional Custody Bank information is returned by the lookup. Lookup is based on the Entity Bank Relationship.

25 – Event ID

Optional

VARCHAR2(55)

Message stream generates a unique Event ID if not supplied.

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