企业的行动 Liability Notification Service

SMART/Track为参与者之间传输各种类型的消息提供了一个集中的通信枢纽. 存 currently offers four SMART/Track services:

• Agency Lending Disclosure: transmits open loan data between lenders and borrowers.
• 买入:跟踪参与者之间的买入通知和市政证券规则制定委员会(MSRB)收盘状态.
• 企业的行动: tracks liability notifications between participants on voluntary action events.
• Stock Loan Recall Messaging: transmits stock loan recall messages between counterparties.

• vns6060威尼斯城官网

  公司诉讼责任通知服务SMART/Track是一个基于网络的系统，为正在进行自愿公司诉讼事件的证券提供公司诉讼责任通知的自动通信和跟踪. Participants can easily create, 发送, 通过该服务处理和跟踪经纪人对经纪人/银行和CNS责任通知. Email notifications are generated automatically when activity occurs.

• Who Can Use the Service

  Any existing NSCC clearing firm or 直接转矩 settling member can use the service.

• 好处

  服务:

  • 减少了 the costs and risk associated with manual, paper-based fax and phone notifications.
  • 提供了 an audit trail with a complete record of actions taken regarding a notice, 包括时间, date and the person taking the action.
  • 减少了 message delivery risk through tracking and acknowledgment functionality.

• How the Service Works

  SMART/Track for 企业的行动 Liability Notifications allows users to:

  • Create and transmit a notice.
  • Accept or reject a notice.
  • View notices they have received or sent.
  • Cancel a notice within specified time parameters.
  • 搜索 for active or archived notices using specific field criteria
  • 更新通知.

  参与者必须通过指定访问协调员注册SMART/Track for Buy-ins的访问权限, using the forms available through this link: Access Coordinator Forms. 寻求帮助, 参加者可与存服务激活组的客户关系经理联络. The Access Coordinator then will register and approve the firm’s users.

  Creating a Liability Notice

  参与者可以为正在进行自愿公司行为事件的证券创建经纪人对经纪人/银行责任通知. 参与者还使用SMART/Track通知CNS他们有意参加CNS正在处理的证券的自愿公司活动.

  The user's contact information, gat在这里d during the online registration process, automatically populates the input screen. Users can then fill in the remaining fields detailing their liability information.

  SMART/Track连结至直接转矩的参与者重组查询系统(RIPS). 一旦参与者输入经纪人对经纪人/银行责任通知的安全ID, 所有有关该证券的最新报价信息将从RIPS数据库中提供. 用户可以在数据库中选择一个报价，也可以选择“其他”，手动填写每个字段. 如果用户从RIPS数据库中选择报价，则会自动填充一些字段.

  参与者还可以在创建屏幕上的自由格式字段中添加vns6060威尼斯城官网经纪人到经纪人/银行通知的注释或说明.

  参与者可以创建经纪人对经纪人/银行通知，并向单个或多个对手方发送最多20个通知. When multiple copies of the notice will be sent out, the information does not have to be recreated for each message.

  公司行动责任通知SMART/Track审查经纪人对经纪人/银行和CNS通知的责任数据，以确保其完整，然后将其提供给指定的交易对手方或CNS.

  Responding to a Notice

  收到经纪人对经纪人/银行责任通知的参与者可以接受或拒绝该通知. 如果拒绝, 与会者必须在下拉框中选择拒绝的原因，或者在评论框中输入拒绝的原因.

  更新通知

  发起经纪人对经纪人公司行为责任通知的参与者可以减少其持有的对交易对手负责的股票数量.

  For CNS liability notices, a participant can change any of the fields on the liability notice, except the security ID field, until the notice is sent to CNS on the day the notice is created. 参加者可于下一个营业日至中午十二时前减少责任金额.

  取消通知

  发起经纪人对经纪人公司行为责任通知的参与者也可以取消该通知. The status of the notice changes to indicate that it has been cancelled.

  参与者可以取消CNS责任通知，直到通知在创建当天发送到CNS. The notice can be cancelled the following business day until 12:00 noon.

  与会者可以使用自由格式字段为取消通知添加评论或注释.

  查看通知

  与会者可以查看所有通知的状态，并按照指定的字段条件对所有通知进行搜索或排序. 与会者可以查看他们发送或收到的通知列表，以及特定通知的详细信息, including history with details of when the action was taken, the date and time that action was taken and the person who took the action.

  搜索ing for an Active or Archived Notice

  与会者可以搜索指定日期范围内的活动通知或存档通知, including for all notices within that range or by notice type. Participants can further search within notice type by specific data fields. Notices are automatically archived based on certain date parameters.

  E-Mail Notifications

  对于在SMART/Track中创建和传输的每一项公司行动责任通知，以及就责任通知采取的每一项行动，SMART/Track都会向参与者发送电子邮件通知. 公司诉讼责任通知的发送方和接收方收到当天(返回日期)仍未处理和待处理的所有通知的每日开始电子邮件, 直接转矩到期日, or 直接转矩 protect date). Intraday e-mails are sent when the notice is created and transmitted; the liability quantity is reduced; and the notice is accepted, rejected or cancelled. An e-mail notice is also sent when the expiration date, 直接转矩到期日, 保护到期日或直接转矩保护到期日与rip提供变更相关的责任通知.

• For More Information

  To request additional information, please click 在这里.