NAIC schedules are organized by the security types and transactions they report. Supplemental schedules are non-NAIC filing schedules used by clients.
The following table lists the schedule assignment for securities based on the processing security type, SVO category, and maturity date.
Schedule | Processing Security Type | SVO Category | Message Type | Security Qualification |
|---|---|---|---|---|
D – Part 1 | DB any | 10, 15, 20, 30, 40, 60, 75, 80, 81, 82 | Maturity Date (tag 38) LESS Original Acquisition Date (tag 216) > 1 year | |
EQ any | 60, 81, 82 | Fund Category (tag 1463) = Class 1 Bond Mutual Fund (*) or Exchange Traded Fund (#) | ||
DA – Part 1 | DB any | 10, 15, 20, 30, 40, 60, 75, 80, 95 | Security Type (tag 82) not = CD/and/ Maturity Date (tag 38) LESS Original Acquisition Date (tag 216) > 3 months and <= 1 year | |
EQ any | 95 | |||
D – Part 2 | EQCSPF | 60, 80 | ||
D – Part 2 | EQ all except: | 60, 80, 91, 92 | ||
E – Part 1 | DB any | Security Type (tag 82) = CD | ||
E – Part 2 | DB any | 10, 15, 20, 30, 40, 60, 75, 80, 85, 90, 96, 97 | Security Type (tag 82) not = CD | |
DB – Part A | OP any | Positions | Derivative Election (tag 56) = H, E, R, I, O. | |
DB – Part A | OP any | Closes | Derivative Election (tag 56) = H, E, R, I, O. | |
DB – Part B | FT any | Positions | Derivative Election (tag 56) = H, E, R, I, O. | |
DB – Part B | FT any | Closes | Derivative Election (tag 56) = H, E, R, I, O. |
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