Configuring Alerts in the Alert Monitor
Click on Images to Expand Them
Introduction: This guide describes how to configure 45 different alerts in jCore. It also includes recommended field values to get started.
Change Log:
Date | Changes |
|---|---|
May 2022 | Initial Version |
Audience: Trade Surveillance, Compliance, and Anti-Money Laundering Teams
Functionality: The Alert Monitor allows you to set alerts/notifications in the jCore system.
Overview
Alerts in jCore are notifications that the system sends when accounts meet certain criteria. The way you configure these alerts will determine what accounts are evaluated for Alert criteria. Alerts work by looking at two types of values: Key Values and Return Values.
Key Values: The trade or account must meet these parameters to be evaluated.
Return Values:Â The trade must meet one of these to produce an alert flag.
Account
3241 Exception
Flags customer accounts when a Rep adds themselves as an Administrator, Power of Attorney, or Trustee, etc. It helps you remain compliant with FINRA rule 3241.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Type | Key |
| 3 | Account Sub Type | Key |
| 4 | Managed Money Y/N | Key |
| 5 | Reporting Company | Key |
| 6 | Rep ID | Key |
| 7 | Alert Value | Key |
| 8 | Registered Rep Owner Role | Return |
| 9 | Ignore Rep Household | Return |
| 10 | Group ID | Return |
Â
Account Concentration
Identifies possible account concentration risk relative to product types, investment objective, risk tolerance, etc.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Type | Key |
| 3 | Account Sub Type | Key |
| 4 | Reporting Company | Key |
| 5 | Managed Money Y/N | Key |
| 6 | Investment Objective | Key |
| 7 | Alert Value | Key |
| 8 | Concentration | Return |
| 9 | Concentration Operator | Return |
| 10 | Minimum Balance | Return |
| 11 | Cusip | Return |
| 12 | Exclude Cusip | Return |
| 13 | Product Type | Return |
| 14 | Product Category | Return |
| 15 | Product Status Flag Name | Return |
| 16 | Product Status Flag value | Return |
| 17 | Check Product Type Concentration | Return |
| 18 | Check Product Category Concentration | Return |
| 19 | Minimum Position Count | Return |
| 20 | Product Price | Return |
| 21 | Product Price Operator | Return |
| 22 | Industry Concentration | Return |
| 23 | Industry Concentration Operator | Return |
| 24 | Aggregate by Provider | Return |
| 25 | Open Days Operator | Return |
| 26 | Minimum Days Open | Return |
| 27 | Minimum Position Value | Return |
| 28 | Account Aggregation | Return |
| 29 | Product Aggregation | Return |
| 30 | Group ID | Return |
Â
Account Turnover
Identifies excessive account turnover percentages. The system calculates the total face amount of buys divided by the average account balance for a specified time period.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Type | Key |
| 3 | Account Sub Type | Key |
| 4 | Reporting Company | Key |
| 5 | Managed Money Y/N | Key |
| 6 | Investment Objective | Key |
| 7 | Minimum Days Open | Key |
| 8 | Alert Value | Key |
| 9 | Turnover | Return |
| 10 | Turnover Operator | Return |
| 11 | Minimum Balance | Return |
| 12 | Lookback Days | Return |
| 13 | Trade Operation | Return |
| 14 | Group ID | Return |
Â
Account Value Change
Identifies when account values move by large amounts. The system compares the balance at the time of alert generation to the account’s previous average balance.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Type | Key |
| 3 | Account Sub Type | Key |
| 4 | Reporting Company | Key |
| 5 | Managed Money Y/N | Key |
| 6 | Account Investment Objective | Key |
| 7 | Account Risk Tolerance | Key |
| 8 | Account Time Horizon | Key |
| 9 | Alert Value | Key |
| 10 | Value Change % | Return |
| 11 | Change Direction (Increase/ Decrease/ Both) | Return |
| 12 | Lookback Days | Return |
| 13 | Minimum Balance | Return |
| 14 | Group ID | Return |
Active account
Identifies excessive trading by the number of trades or commissions in brokerage accounts. It also identifies inactivity in managed accounts.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Type | Key |
| 3 | Account Sub Type | Key |
| 4 | Reporting Company | Key |
| 5 | Managed Money Y/N | Key |
| 6 | Account Investment Objective | Key |
| 7 | Account Risk Tolerance | Key |
| 8 | Alert value | Key |
| 9 | Commission Amount | Return |
| 10 | Commission Amount Operator | Return |
| 11 | Trade Count | Return |
| 12 | Trade Count Operator | Return |
| 13 | Loss % (use - %) | Return |
| 14 | Lookback Days | Return |
| 15 | Trade Operation | Return |
| 16 | Account Balance | Return |
| 17 | Balance Operator | Return |
| 18 | Group ID | Return |
Â
Cost to Equity
Identifies the total cost incurred by the investor relative to the account balance.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Type | Key |
| 3 | Account Sub Type | Key |
| 4 | Reporting Company | Key |
| 5 | Investment Objective | Key |
| 6 | Managed Money Y/N | Key |
| 7 | Alert value | Key |
| 8 | Cost Hurdle rate | Return |
| 9 | Include Fees Y/N | Return |
| 10 | include Ticket Charges Y/N | Return |
| 11 | Include recurring Revenue Y/N | Return |
| 12 | Number of Months to review | Return |
| 13 | Current Balance Y/N | Return |
| 14 | Average Balance Y/N | Return |
| 15 | Include Margin Balances Y/N | Return |
| 16 | Minimum Account Balance | Return |
| 17 | Include Cash Balance Y/N | Return |
| 18 | Exclude Operations | Return |
| 19 | Account Duration Operator | Return |
| 20 | Account Duration in Months | Return |
| 21 | Group ID | Return |
Â
Address
Address Alert
Looks for patterns within address records. Identifies the number of address changes that can be compared to what would be considered a normal amount.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Alert Value | Key |
| 3 | Check Customers Y/N | Return |
| 4 | Customer Address Type | Return |
| 5 | Check Companies Y/N | Return |
| 6 | Company Address Type | Return |
| 7 | Check Employees Y/N | Return |
| 8 | Employee Address Type | Return |
| 9 | Check Locations Y/N | Return |
| 10 | Location Address Type | Return |
| 11 | Check Accounts | Return |
| 12 | Account Address Type | Return |
| 13 | Min Account Count | Return |
| 14 | Group ID | Return |
Appointment
Appointment Reminder
Notifies users of an impending Insurance or annuity carrier appointment expiration. It helps ensure all submitted business is properly authorized by the carrier.
Field | Value Type | |
|---|---|---|
| 1 | Security Role | Key |
| 2 | Company | Key |
| 3 | State | Key |
| 4 | Alert Value | Key |
| 5 | Date Type | Return |
| 6 | Days Offset | Return |
| 7 | Group ID | Return |
Audit
Audit
Looks for patterns in data changes. The type of changes it looks for can vary widely depending on your configuration. Some examples include:
Changes made to suitability and financial profile information
Patterns of repeated address changes
Changes to specific fields (DOB, SSN, etc.)
Field | Value Type | |
|---|---|---|
| 1 | Employee | Key |
| 2 | Object Type | Key |
| 3 | Object Property | Key |
| 4 | Operation | Key |
| 5 | Address owner Type | Key |
| 6 | Alert Value | Key |
| 7 | Lookback Days | Return |
| 8 | Number of Occurrences | Return |
| 9 | New Value | Return |
| 10 | Old Value | Return |
| 11 | Group ID | Return |
Â
Employee
Employee Activity
Identifies Rep activities that may be outside of normal behavior.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Business Role | Key |
| 3 | Security Role | Key |
| 4 | Alert value | Key |
| 5 | Object Type | Return |
| 6 | Object Property | Return |
| 7 | Operation | Return |
| 8 | Number of Occurrences | Return |
| 9 | New Value | Return |
| 10 | Old Value | Return |
| 11 | Lookback Days | Return |
| 12 | Include Teams | Return |
| 13 | Group ID | Return |
Employee Position Concentration
Identifies the percent concentration of positions by Product Type, Carrier, or Share Class.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Business Role | Key |
| 3 | Security Role | Key |
| 4 | Alert value | Key |
| 5 | Product Category | Return |
| 6 | Product Type | Return |
| 7 | Provider | Return |
| 8 | Share Class | Return |
| 9 | Product Attribute Name | Return |
| 10 | Operator | Return |
| 11 | Trade Attribute Value | Return |
| 12 | Product Status Flag Name | Return |
| 13 | Product Status flag Value | Return |
| 14 | Cusip | Return |
| 15 | Include Teams | Return |
| 16 | Hurdle Concentration % | Return |
| 17 | Group ID | Return |
Employee Position Risk
Identifies aggregate risk as it relates to an employee’s book of business.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Business Role | Key |
| 3 | Security Role | Key |
| 4 | Alert Value | Key |
| 5 | Product Category | Return |
| 6 | Product Type | Return |
| 7 | Include teams | Return |
| 8 | Risk Hurdle % | Return |
| 9 | Minimum Position Value | Return |
| 10 | Group ID | Return |
Â
Employee Trade Risk
Identifies employees that may be at higher risk. Trade risk values are weighted by the face value of the trade. The system adds up the risk scores of all trade alerts for a particular rep weighted by face value. Then the system divides this number by the total number of trades.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Business Role | Key |
| 3 | Security Role | Key |
| 4 | Alert Value | Key |
| 5 | Product Category | Return |
| 6 | Product Type | Return |
| 7 | Lookback Days | Return |
| 8 | Trade Operation Operator | Return |
| 9 | Trade Operation | Return |
| 10 | Include Teams | Return |
| 11 | Trade Risk Hurdle % | Return |
| 12 | Minimum Face Amount | Return |
| 13 | Group ID | Return |
Employee Trading Product Mix Change
Identifies short-term employee trading patterns related to their longer-term trading patterns.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Business Role | Key |
| 3 | Security Role | Key |
| 4 | Alert Value | Key |
| 5 | Product Category | Return |
| 6 | Product Mix Change % | Return |
| 7 | Trade Operation Operator | Return |
| 8 | Trade Operation | Return |
| 9 | Lookback Days Current Value | Return |
| 10 | Lookback Days Historical Value | Return |
| 11 | Include teams | Return |
| 12 | Minimum Face Amount | Return |
| 13 | Group ID | Return |
Employee Trading Volume Change
Identifies the number of trades over a defined period.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Business Role | Key |
| 3 | Security Role | Key |
| 4 | Alert Value | Key |
| 5 | Trading Volume % | Return |
| 6 | Trade operation Operator | Return |
| 7 | Trade Operation | Return |
| 8 | Field Type | Return |
| 9 | Lookback Days - Current Value | Return |
| 10 | Lookback Days - Historical Value | Return |
| 11 | Include teams | Return |
| 12 | Minimum Face Amount | Return |
| 13 | Group ID | Return |
Employee Transaction Concentration
Identifies the percent concentration of transactions by Product Type, Carrier, or Share Class.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Business Role | Key |
| 3 | Security Role | Key |
| 4 | Alert value | Key |
| 5 | Product category | Return |
| 6 | Product Type | Return |
| 7 | Provider | Return |
| 8 | Share Class | Return |
| 9 | Product Attribute Name | Return |
| 10 | Operator | Return |
| 11 | Trade Attribute Value | Return |
| 12 | Product Status Flag Name | Return |
| 13 | Product Status Flag Value | Return |
| 14 | Cusip | Return |
| 15 | Single Security | Return |
| 16 | Solicited Y/N | Return |
| 17 | Lookback Days | Return |
| 18 | Trade Operation Operator | Return |
| 19 | Trade Operation | Return |
| 20 | Include teams | Return |
| 21 | Hurdle Concentration % | Return |
| 22 | Minimum Face Amount | Return |
| 23 | Group ID | Return |
Â
Trade
Account Dates
Identifies trades that are unusual or problematic due to timing such as a UIT sold prior to Maturity.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Type | Key |
| 3 | Account Sub Type | Key |
| 4 | Product Type | Key |
| 5 | Product Category | Key |
| 6 | Provider | Key |
| 7 | Product Share Class | Key |
| 8 | Managed Money | Key |
| 9 | Trade Operation | Key |
| 10 | Solicited | Key |
| 11 | Reporting Company | Key |
| 12 | Trade Status Flag | Key |
| 13 | Trade Attribute 1 | Key |
| 14 | Trade Attribute 2 | Key |
| 15 | Alert Value | Key |
| 16 | Account Date Type | Return |
| 17 | Account Date Attribute | Return |
| 18 | Product Date Attribute | Return |
| 19 | Compare Date | Return |
| 20 | Relation 1 | Return |
| 21 | Date Offset 1 | Return |
| 22 | Relation 2 | Return |
| 23 | Date Offset 2 | Return |
| 24 | Minimum Transaction Amount | Return |
| 25 | Group ID | Return |
Â
Account Exception
Identifies trades that might involve risk relative to account characteristics.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Type | Key |
| 3 | Account Sub Type | Key |
| 4 | Managed Money | Key |
| 5 | Trade Operation | Key |
| 6 | Trade Status Flag | Key |
| 7 | Trade Attribute | Key |
| 8 | Product Type | Key |
| 9 | Product category | Key |
| 10 | Account Properties 1 | Key |
| 11 | Reporting Company | Key |
| 12 | Product Share Class | Key |
| 13 | Solicited | Key |
| 14 | Alert Value | Key |
| 15 | Account Attribute | Return |
| 16 | Account Attribute Value | Return |
| 17 | Account Address Type | Return |
| 18 | Account Address State | Return |
| 19 | Country Operator | Return |
| 20 | Account Address Country | Return |
| 21 | Account Property Name | Return |
| 22 | Account Property Value | Return |
| 23 | Account Closed Date | Return |
| 24 | Minimum Face Amount | Return |
| 25 | Automatic On | Return |
| 26 | Group ID | Return |
Â
Age Exception
Identifies transactions for customers that might be vulnerable to senior abuse. This alert is often used to show if a risky product, or product with a long-time horizon, is appropriate for a customer of advanced age. The system also identifies if certain share classes may not be suitable for young 529 beneficiaries.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Transaction Value | Key |
| 3 | Product Type | Key |
| 4 | Product Category | Key |
| 5 | Product Provider | Key |
| 6 | Reporting company | Key |
| 7 | Product GID | Key |
| 8 | Account Type | Key |
| 9 | Account Sub Type | Key |
| 10 | Trade Operation | Key |
| 11 | Account Managed Money Y/N | Key |
| 12 | Account Investment Objective | Key |
| 13 | Owner Net Worth | Key |
| 14 | Owner Annual Income | Key |
| 15 | Owner Role | Key |
| 16 | Product Share Class | Key |
| 17 | Solicited | Key |
| 18 | Trade Status Flag | Key |
| 19 | Trade Attribute1 | Key |
| 20 | Trade Attribute 2 | Key |
| 21 | Product Status Flag 1 | Key |
| 22 | Product Status Flag 2 | Key |
| 23 | Product Attribute 1 | Key |
| 24 | Product Attribute 2 | Key |
| 25 | Low Price | Key |
| 26 | Alert value | Key |
| 27 | Account Attribute | Return |
| 28 | Account Attribute Value | Return |
| 29 | Owner Type | Return |
| 30 | Age Operator | Return |
| 31 | Owner Age | Return |
| 32 | Suitability Type | Return |
| 33 | Suitability Operator | Return |
| 34 | Suitability % | Return |
| 35 | Compare Static or | Return |
| 36 | Group ID | Return |
Â
Cancel Rebill
Identifies Canceled transactions as well as corrected Rebill trades.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Type | Key |
| 3 | Account Sub Type | Key |
| 4 | Reporting Company | Key |
| 5 | Trade Operation | Key |
| 6 | Product Category | Key |
| 7 | Product Type | Key |
| 8 | Product Share class | Key |
| 9 | Managed Money Y/N | Key |
| 10 | Solicited | Key |
| 11 | Trade Status Flag | Key |
| 12 | Trade Attribute 1 | Key |
| 13 | Trade Attribute 2 | Key |
| 14 | Alert Value | Key |
| 15 | Days Offset | Return |
| 16 | Cancel Flag Y/N | Return |
| 17 | Rebill Flag Y/N | Return |
| 18 | Group ID | Return |
Â
CDSC Charges
Identifies if a Contingent Deferred Sales Charge occurred.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Type | Key |
| 3 | Account Sub Type | Key |
| 4 | Product Type | Key |
| 5 | Product Category | Key |
| 6 | Managed Money Y/N | Key |
| 7 | Trade Operation | Key |
| 8 | Reporting Company | Key |
| 9 | Product Share Class | Key |
| 10 | Solicited Y/N | Key |
| 11 | Trade Status Flag | Key |
| 12 | Trade Attribute 1 | Key |
| 13 | Trade Attribute 2 | Key |
| 14 | Alert Value | Key |
| 15 | Maximum CDSC Amount | Return |
| 16 | Maximum CDSC % | Return |
| 17 | CDSC Amount Operator | Return |
| 18 | CDSC Amount Operator | Return |
| 19 | Group ID | Return |
Â
Commission Exception
Identifies when a commission comes through for a trade that should not have a commission.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Type | Key |
| 3 | Account Sub Type | Key |
| 4 | Reporting Company | Key |
| 5 | Managed Money Y/N | Key |
| 6 | Attribute 1 | Key |
| 7 | Attribute 2 | Key |
| 8 | Trade Operation | Key |
| 9 | Product Share Class | Key |
| 10 | Solicited Y/N | Key |
| 11 | Trade Status Flag | Key |
| 12 | Alert Value | Key |
| 13 | Gross Commission Operator | Return |
| 14 | Gross Commission | Return |
| 15 | Standard Commission Operator | Return |
| 16 | Standard Commission | Return |
| 17 | Actual Commission Operator | Return |
| 18 | Actual Commission | Return |
| 19 | SEC Fees Operator | Return |
| 20 | SEC Fees | Return |
| 21 | Misc. Operator | Return |
| 22 | Misc. Service Fees | Return |
| 23 | Transaction Fee Operator | Return |
| 24 | Transaction Fee | Return |
| 25 | Execution Fees Operator | Return |
| 26 | Execution Fees | Return |
| 27 | Ticket charge Operator | Return |
| 28 | Ticket charge | Return |
| 29 | Client Postage Operator | Return |
| 30 | Client Paid Postage | Return |
| 31 | Group ID | Return |
Â
Contact Exception
Identifies high-risk issues for contacts such as Politically Exposed Persons (PEP), control persons, or broker-dealer employees.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Type | Key |
| 3 | Account Sub Type | Key |
| 4 | Account Properties | Key |
| 5 | Product Type | Key |
| 6 | Product Category | Key |
| 7 | Trade Operation | Key |
| 8 | Reporting Company | Key |
| 9 | Product Share Class | Key |
| 10 | Managed Money Y/N | Key |
| 11 | Solicited Y/N | Key |
| 12 | Trade Status Flag | Key |
| 13 | Trade Attribute 1 | Key |
| 14 | Trade Attribute 2 | Key |
| 15 | Alert Value | Key |
| 16 | Customer/Company | Return |
| 17 | Date of Death | Return |
| 18 | Closed Date | Return |
| 19 | Address Type | Return |
| 20 | Address State | Return |
| 21 | Address Country | Return |
| 22 | Address Country Operator | Return |
| 23 | Contact Status Flag name | Return |
| 24 | Contact Status Flag Value | Return |
| 25 | Contact Attribute Name | Return |
| 26 | Contact Attribute Value | Return |
| 27 | Annual Income Operator | Return |
| 28 | Annual Income Value | Return |
| 29 | Bank Employee Y/N | Return |
| 30 | Broker Dealer Employee Y/N | Return |
| 31 | Control Person Y/N | Return |
| 32 | Bank Y/N | Return |
| 33 | Trust Y/N | Return |
| 34 | Insurance Company Y/N | Return |
| 35 | Money Services Business Y/N | Return |
| 36 | Senior Foreign Political Figure Y/N | Return |
| 37 | Personal Account Support Business Y/N | Return |
| 38 | Princ. Or Bene. Reside Foreign Juris Y/N | Return |
| 39 | Family Member of a Senior Foreign Political Figure Y/N | Return |
| 40 | Close Associate of a Senior Foreign Political Figure Y/N | Return |
| 41 | Foreign Corp/Offshore Company Y/N | Return |
| 42 | Institutional Account Y/N | Return |
| 43 | Cusip | Return |
| 44 | Citizenship | Return |
| 45 | Citizenship Operator | Return |
| 46 | Contact Type | Return |
| 47 | Group ID | Return |
Cross Trade
Identifies if security is bought and sold by a customer, household, or account within the firm.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Type | Key |
| 3 | Account Sub Type | Key |
| 4 | Product Type | Key |
| 5 | Product Category | Key |
| 6 | Managed Money Y/N | Key |
| 7 | Trade Operation | Key |
| 8 | Gross Commission | Key |
| 9 | Reporting Company | Key |
| 10 | Product Share class | Key |
| 11 | Solicited Y/N | Key |
| 12 | Trade Status flag | Key |
| 13 | Trade Attribute 1 | Key |
| 14 | Trade Attribute 2 | Key |
| 15 | Alert Value | Key |
| 16 | Account Number Operator | Return |
| 17 | Account Number Operator | Return |
| 18 | Associated Account Number Operator | Return |
| 19 | Associated Account Number | Return |
| 20 | Associated trade Operation | Return |
| 21 | Lookback Days | Return |
| 22 | Group ID | Return |
Document Requirements
Flags if someone completes a trade but the required documents are missing or not on file.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Product Category | Key |
| 3 | Product Type | Key |
| 4 | Provider | Key |
| 5 | Product Status Flag1 | Key |
| 6 | Product Status Flag 2 | Key |
| 7 | Product Attribute 1 | Key |
| 8 | Product Attribute 2 | Key |
| 9 | Product Share Class | Key |
| 10 | Trade Operation | Key |
| 11 | Account Type | Key |
| 12 | Account Sub Type | Key |
| 13 | Managed Money Y/N | Key |
| 14 | Solicited Y/N | Key |
| 15 | Product GID | Key |
| 16 | Reporting Company | Key |
| 17 | Trade Status Flag | Key |
| 18 | Trade Attribute 2 | Key |
| 19 | Trade Attribute 2 | Key |
| 20 | Alert Value | Key |
| 21 | Forms | Return |
| 22 | Scope | Return |
| 23 | Comparison | Return |
| 24 | Group ID | Return |
Â
Employee Exception
Identifies high-risk employee trades and trades relative to employee characteristics.
Field | Value Type | |
|---|---|---|
| 1 | Account Type | Key |
| 2 | Account Sub Type | Key |
| 3 | Location | Key |
| 4 | Trade Operation | Key |
| 5 | Employee Status Flag 1 | Key |
| 6 | Employee Status Flag 2 | Key |
| 7 | Employee Status Flag 3 | Key |
| 8 | Reporting Company | Key |
| 9 | Product Category | Key |
| 10 | Product Type | Key |
| 11 | Product Share Class | Key |
| 12 | Managed Money Y/N | Key |
| 13 | Solicited Y/N | Key |
| 14 | Trade Status Flag | Key |
| 15 | Trade Attribute 1 | Key |
| 16 | Trade Attribute 2 | Key |
| 17 | Alert Value | Key |
| 18 | Group ID | Return |
Â
Employee Trade
Identifies when an employee creates frontrunning or opposite side trades.
Field | Value Type | |
|---|---|---|
| 1 | Account Type | Key |
| 2 | Account Sub Type | Key |
| 3 | Location | Key |
| 4 | Reporting Company | Key |
| 5 | Product Category | Key |
| 6 | Trade Operation | Key |
| 7 | Product Type | Key |
| 8 | Product Share Class | Key |
| 9 | Managed Money Y/N | Key |
| 10 | Solicited Y/N | Key |
| 11 | Trade Status Flag | Key |
| 12 | Trade Attribute 1 | Key |
| 13 | Trade Attribute 2 | Key |
| 14 | Alert value | Key |
| 15 | Trade Status Flag | Return |
| 16 | Trade Status Flag Value | Return |
| 17 | Days Offset from Trade Date | Return |
| 18 | Ignore Same Price Trades Y/N | Return |
| 19 | Client Trade Scope | Return |
| 20 | Client Trade Operation | Return |
| 21 | Group ID | Return |
Excessive Commissions
Flags trades when the total fees and commission charged to the investor exceeds a specific threshold.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Type | Key |
| 3 | Account Sub Type | Key |
| 4 | Reporting Company | Key |
| 5 | Product Type | Key |
| 6 | Product Category | Key |
| 7 | Face Amount | Key |
| 8 | Owner Age | Key |
| 9 | Quantity | Key |
| 10 | Gross Commission | Key |
| 11 | Product Share Class | Key |
| 12 | Trade Operation | Key |
| 13 | Managed Money Y/N | Key |
| 14 | Solicited Y/N | Key |
| 15 | Trade Status Flag | Key |
| 16 | Trade Attribute 1 | Key |
| 17 | Trade Attribute 2 | Key |
| 18 | Alert value | Key |
| 19 | Calculation Type (% or $) | Return |
| 20 | Gross Commission Operator | Return |
| 21 | Gross Commission (% or $) | Return |
| 22 | Expected Commission Operator | Return |
| 23 | Expected Commission(% or $) | Return |
| 24 | Actual Commission Operator | Return |
| 25 | Actual Commission (% or $) | Return |
| 26 | SEC Fees Operator | Return |
| 27 | SEC Fees (% or $) | Return |
| 28 | Misc. Service Fees Operator | Return |
| 29 | Misc. Service Fees (% or $) | Return |
| 30 | Transaction Fee Operator | Return |
| 31 | Transaction Fees (% or $) | Return |
| 32 | Execution Fees Operator | Return |
| 33 | Execution Fees (% or $) | Return |
| 34 | Ticket Charge Operator | Return |
| 35 | Ticket charge (% or $) | Return |
| 36 | Commission $ | Return |
| 37 | Commission % | Return |
| 38 | Commission % Operator | Return |
| 39 | Minimum Face Amount | Return |
| 40 | Compare Gross Commission to Expected Commission Y/N | Return |
| 41 | Subtract Commission from Face Amount Y/N | Return |
| 42 | Include Postage and Handling (client paid) Y/N | Return |
| 43 | Include Misc. service Fees Y/N | Return |
| 44 | Use Principal Amount Y/N | Return |
| 45 | Group ID | Return |
Excessive Mark Up/DN
Flags transactions when the Mark UP/ DN charged to the investor exceeds a specific threshold.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Type | Key |
| 3 | Account Sub Type | Key |
| 4 | Product Type | Key |
| 5 | Product Category | Key |
| 6 | Provider | Key |
| 7 | Product Share Class | Key |
| 8 | Managed Money Y/N | Key |
| 9 | Trade Operation | Key |
| 10 | Reporting Company | Key |
| 11 | Solicited | Key |
| 12 | Trade Status Flag | Key |
| 13 | Trade Attribute 1 | Key |
| 14 | Trade Attribute 2 | Key |
| 15 | Alert Value | Key |
| 16 | Calculation Type | Key |
| 17 | Amount Type | Key |
| 18 | Mark Up/Dn operator | Return |
| 19 | Mark Up/Dn value (% or $) | Return |
| 20 | Include Misc. Service fees | Return |
| 21 | Include Transaction Fees | Return |
| 22 | Include Execution Fees | Return |
| 23 | Include SEC Fees | Return |
| 24 | Include Ticket Charges | Return |
| 25 | Include Client Paid Postage | Return |
| 26 | Minimum Face Amount | Return |
| 27 | Group Id | Return |
Large Trade
Identifies large trades. The system can flag all large trades or trades of specific product types.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Type | Key |
| 3 | Account Sub Type | Key |
| 4 | Reporting Company | Key |
| 5 | Product Type | Key |
| 6 | Product Category | Key |
| 7 | Trade Operation | Key |
| 8 | Product Share Class | Key |
| 9 | Trade Status Flag | Key |
| 10 | Managed Money Y/N | Key |
| 11 | Solicited Y/N | Key |
| 12 | Trade Attribute 1 | Key |
| 13 | Trade Attribute 2 | Key |
| 14 | Account % | Key |
| 15 | Owner Age | Key |
| 16 | Alert Value | Key |
| 17 | Face Amount | Return |
| 18 | Face Amount Operator | Return |
| 19 | Face Amount 2 | Return |
| 20 | Face Amount 2 Operator | Return |
| 21 | Quantity | Return |
| 22 | Account Percent | Return |
| 23 | Group ID | Return |
License Expire
Creates a flag when an employee does not have the proper licenses to sell a particular product type. This alert relies on a license requirements table.
Field | Value Type | |
|---|---|---|
| 1 | Security role | Key |
| 2 | License Type | Key |
| 3 | Jurisdiction | Key |
| 4 | Alert Value | Key |
| 5 | Date Type | Return |
| 6 | Days Offset | Return |
| 7 | Group ID | Return |
Low Price
Identifies Low-Priced Security transactions that may be inappropriate for some investors.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Number | Key |
| 3 | Account Type | Key |
| 4 | Account Sub Type | Key |
| 5 | Account Properties | Key |
| 6 | Reporting Company | Key |
| 7 | Product Type | Key |
| 8 | Product Category | Key |
| 9 | Product Attribute1 | Key |
| 10 | Product Attribute 2 | Key |
| 11 | Exchange | Key |
| 12 | Trade Operation | Key |
| 13 | Solicited Y/N | Key |
| 14 | Trade Status Flag 1 | Key |
| 15 | Trade Status Flag 2 | Key |
| 16 | Trade Attribute | Key |
| 17 | Trade Attribute 2 | Key |
| 18 | Number of Characters in Symbol | Key |
| 19 | Product Share class | Key |
| 20 | Managed Money Y/N | Key |
| 21 | Alert value | Key |
| 22 | Low Price | Return |
| 23 | Account Risk Tolerance | Return |
| 24 | Account Investment Objective | Return |
| 25 | Account Time Horizon | Return |
| 26 | Prior Transaction Required | Return |
| 27 | Trade Operation of Prior Trade | Return |
| 28 | Account Concentration Operator | Return |
| 29 | Account Concentration % | Return |
| 30 | Minimum Face Amount | Return |
| 31 | Minimum Account Days Open Operator | Return |
| 32 | Minimum Account Days Open | Return |
| 33 | Group ID | Return |
Margin Trade
Identifies margin trades usually with lower risk tolerances.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Type | Key |
| 3 | Account Sub Type | Key |
| 4 | Reporting company | Key |
| 5 | Trade Operation | Key |
| 6 | Product Category | Key |
| 7 | Product Type | Key |
| 8 | Product Share Class | Key |
| 9 | Managed Money Y/N | Key |
| 10 | Solicited Y/N | Key |
| 11 | Trade Status Flag | Key |
| 12 | Trade Attribute 1 | Key |
| 13 | Trade Attribute 2 | Key |
| 14 | Alert Value | Key |
| 15 | Risk Tolerance Account | Return |
| 16 | Risk Tolerance Contact | Return |
| 17 | Group ID | Return |
Max Invested
Aggregates positions to determine breakpoints or large concentrations. Most users choose to aggregate by share class.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Type | Key |
| 3 | Account Sub Type | Key |
| 4 | Account Number | Key |
| 5 | Product Category | Key |
| 6 | Product Type | Key |
| 7 | Cusip | Key |
| 8 | Provider | Key |
| 9 | Product Share Class | Key |
| 10 | Product Status Flag 1 | Key |
| 11 | Managed Money Y/N | Key |
| 12 | Trade Operation | Key |
| 13 | Business Role | Key |
| 14 | Reporting Company | Key |
| 15 | Trade Attribute 1 | Key |
| 16 | Trade Attribute 2 | Key |
| 17 | Account Investment Objective | Key |
| 18 | Account Risk Tolerance | Key |
| 19 | Account Time Horizon | Key |
| 20 | Solicited Y/N | Key |
| 21 | Trade Status Flag | Key |
| 22 | Alert Value | Key |
| 23 | Aggregate Face From | Return |
| 24 | Aggregate Face To | Return |
| 25 | Trade Count Operator | Return |
| 26 | Trade Count | Return |
| 27 | Household Operator | Return |
| 28 | Household Balance | Return |
| 29 | Lookback Days | Return |
| 30 | Trade Operation | Return |
| 31 | Product Category | Return |
| 32 | Product Share Class | Return |
| 33 | Aggregate by Provider Y/N | Return |
| 34 | Aggregate by Household Y/N | Return |
| 35 | Gross commission Operator | Return |
| 36 | Gross commission | Return |
| 37 | Minimum Transaction Amount | Return |
| 38 | Position Concentration Operator | Return |
| 39 | Position concentration % | Return |
| 40 | Aggregate position form | Return |
| 41 | Aggregate Position To | Return |
| 42 | Account Aggregation | Return |
| 43 | Product Aggregation | Return |
| 44 | Group ID | Return |
Missing Suitability
Identifies when information required for suitability assessment is missing at either the contact or account level.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Type | Key |
| 3 | Account Sub Type | Key |
| 4 | Revenue Type | Key |
| 5 | Discretionary Y/N | Key |
| 6 | Reporting Company | Key |
| 7 | Managed Money Y/N | Key |
| 8 | Trade Status Flag | Key |
| 9 | Solicited Y/N | Key |
| 10 | Trade Operation | Key |
| 11 | Product Category | Key |
| 12 | Product Type | Key |
| 13 | Product Share Class | Key |
| 14 | Trade Attribute 1 | Key |
| 15 | Trade Attribute 2 | Key |
| 16 | Alert Value | Key |
| 17 | Investment Objective - Owner Y/N | Return |
| 18 | Risk Tolerance -Â Owner Y/N | Return |
| 19 | Time Horizon - Owner | Return |
| 20 | Investment Objective - Account Y/N | Return |
| 21 | Risk Tolerance - Account Y/N | Return |
| 22 | Time Horizon - Account Y/N | Return |
| 23 | Account Liquidity Needs Y/N | Return |
| 24 | 36 Month Mailing Date Months | Return |
| 25 | Form Name | Return |
| 26 | Document Date Months | Return |
| 27 | Birth Date Y/N | Return |
| 28 | Annual Income Y/N | Return |
| 29 | Net Worth Y/N | Return |
| 30 | Liquid Assets Y/N | Return |
| 31 | Tax Bracket Y/N | Return |
| 32 | Liquidity Needs - Owner Y/N | Return |
| 33 | Investment Experience - Owner | Return |
| 34 | Minimum Account Days Open | Return |
| 35 | Account Date Type | Return |
| 36 | Account Date Operator | Return |
| 37 | Account date | Return |
| 38 | Face Amount Operator | Return |
| 39 | Face Amount | Return |
| 40 | Group ID | Return |
Multi Provider
Identifies when an account, contact, or household is invested in multiple fund families. It specifically identifies where the invested amount may entitle them to a breakpoint if they were in the same fund family.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Type | Key |
| 3 | Account Sub Type | Key |
| 4 | Product Type | Key |
| 5 | Product category | Key |
| 6 | Provider | Key |
| 7 | Product Share Class | Key |
| 8 | Managed Money Y/N | Key |
| 9 | Trade Operation | Key |
| 10 | Reporting Company | Key |
| 11 | Solicited Y/N | Key |
| 12 | Trade Status Flag | Key |
| 13 | Trade Attribute 1 | Key |
| 14 | Trade Attribute 2 | Key |
| 15 | Alert value | Key |
| 16 | Scope | Return |
| 17 | Product Type | Return |
| 18 | Product category | Return |
| 19 | Product Share Class | Return |
| 20 | Provider Count Operator | Return |
| 21 | Provider Count | Return |
| 22 | Group ID | Return |
Â
Net Worth Exception
Identifies transaction amounts that are a significant portion of the investor's overall net worth, liquid net worth, or annual income.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Type | Key |
| 3 | Account Sub Type | Key |
| 4 | Trade operation | Key |
| 5 | Product Type | Key |
| 6 | Product Category | Key |
| 7 | Product Provider | Key |
| 8 | Reporting Company | Key |
| 9 | Product Share Class | Key |
| 10 | Managed Money Y/N | Key |
| 11 | Solicited Y/N | Key |
| 12 | Trade Status Flag | Key |
| 13 | Trade Attribute 1 | Key |
| 14 | Trade Attribute 2 | Key |
| 15 | Alert Value | Key |
| 16 | Net Worth Type | Return |
| 17 | Compare Static or | Return |
| 18 | Percent from | Return |
| 19 | Percent to | Return |
| 20 | Combine Owners | Return |
| 21 | Group ID | Return |
Product Exception
Identifies high-risk products purchased that are potentially unsuitable for an investor. The alert also identifies if a municipal bond is purchased outside the investor's home state.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Office Code | Key |
| 3 | Account Type | Key |
| 4 | Account Sub Type | Key |
| 5 | Business Role | Key |
| 6 | Employee | Key |
| 7 | Trade Operation | Key |
| 8 | Product Category | Key |
| 9 | Product Type | Key |
| 10 | Cusip | Key |
| 11 | Provider | Key |
| 12 | Product Share Class | Key |
| 13 | Product Status Flag 1 | Key |
| 14 | Solicited Y/N | Key |
| 15 | Owner Home State | Key |
| 16 | Employee Status Flag | Key |
| 17 | Managed Money Y/N | Key |
| 18 | Reporting Company | Key |
| 19 | Trade Attribute 1 | Key |
| 20 | Trade Attribute 2 | Key |
| 21 | Trade Status Flag | Key |
| 22 | Alert Value | Key |
| 23 | Trade Attribute name | Return |
| 24 | Operator 1 | Return |
| 25 | Trade Attribute Value | Return |
| 26 | Product Attribute Name | Return |
| 27 | Operator 2 | Return |
| 28 | Product Attribute Value | Return |
| 29 | Account Risk Tolerance | Return |
| 30 | Account Investment Objective | Return |
| 31 | Missed Product Attribute Name | Return |
| 32 | Address Type | Return |
| 33 | Operator | Return |
| 34 | Automatic On | Return |
| 35 | Minimum Face Amount | Return |
| 36 | Position Duration Operator | Return |
| 37 | Position Open Duration (Months) | Return |
| 38 | Prior Position Y/N | Return |
| 39 | Group ID | Return |
Product Suitability
Identifies product suitability prior to placing an order. This alert requires suitability data to be loaded from an outside vendor or manual source.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Product Category | Key |
| 3 | Product Type | Key |
| 4 | Cusip | Key |
| 5 | Product Status Flag 1 | Key |
| 6 | Product Status Flag 2 | Key |
| 7 | Product Attribute 1 | Key |
| 8 | Product Attribute 2 | Key |
| 9 | Product Share Class | Key |
| 10 | Operation | Key |
| 11 | Account Type | Key |
| 12 | Account Sub Type | Key |
| 13 | Managed Money Y/N | Key |
| 14 | Solicited Y/N | Key |
| 15 | Alert Value | Key |
| 16 | Contact Risk Tolerance | Return |
| 17 | Contact Investment Objective | Return |
| 18 | Contact Time Horizon | Return |
| 19 | Contact Annual Income | Return |
| 20 | Contact Net Worth | Return |
| 21 | Contact tax Bracket | Return |
| 22 | Contact Liquid Assets | Return |
| 23 | Account Risk Tolerance | Return |
| 24 | Account Investment Objective | Return |
| 25 | Account Time Horizon | Return |
| 26 | Prior Transaction Required Y/N | Return |
| 27 | Minimum Transaction Amount | Return |
| 28 | Group ID | Return |
Repurchase
Identifies the sale and repurchase of a security for a contact within a given time frame.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Number | Key |
| 3 | Account Type | Key |
| 4 | Account Sub Type | Key |
| 5 | Product Category | Key |
| 6 | Product Type | Key |
| 7 | Managed Money Y/N | Key |
| 8 | Trade Operation | Key |
| 9 | Reporting Company | Key |
| 10 | Product Share Class | Key |
| 11 | Solicited Y/N | Key |
| 12 | Trade Status Flag | Key |
| 13 | Trade Attribute 1 | Key |
| 14 | Trade Attribute 2 | Key |
| 15 | Alert Value | Key |
| 16 | Minimum Transaction Amount | Return |
| 17 | Associated Trade Operation | Return |
| 18 | Maximum Commission % | Return |
| 19 | Lookback Days | Return |
| 20 | Account Aggregation | Return |
| 21 | Group ID | Return |
Switch Exception
Identifies buys and sells in specific products that may occur too frequently.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account type | Key |
| 3 | Account Sub Type | Key |
| 4 | Product Type | Key |
| 5 | Product Category | Key |
| 6 | Product Status Flag1 | Key |
| 7 | Product Share Class | Key |
| 8 | Provider | Key |
| 9 | Managed Money Y/N | Key |
| 10 | Trade operation | Key |
| 11 | Reporting Company | Key |
| 12 | Trade Attribute 1 | Key |
| 13 | Trade Attribute 2 | Key |
| 14 | Solicited Y/N | Key |
| 15 | Trade Status Flag | Key |
| 16 | Alert value | Key |
| 17 | Associated Trade Operation | Return |
| 18 | Associated Product Category | Return |
| 19 | Associated Product Type | Return |
| 20 | Associated Product Share Class | Return |
| 21 | Associated Trade Status Flag | Return |
| 22 | Associated Trade Status Flag Value | Return |
| 23 | Associated Account Sub Type | Return |
| 24 | Associated Minimum Face Amount | Return |
| 25 | Minimum Face Amount | Return |
| 26 | Lookback Days | Return |
| 27 | Same Provider Y/N | Return |
| 28 | Ignore Exchanges Y/N | Return |
| 29 | Ignore Zero commissions | Return |
| 30 | Associated reporting Company | Return |
| 31 | Account Aggregation | Return |
| 32 | Group ID | Return |
Â
Trade Proceeds
Identifies trades where the combined commission of the sale of a product plus the buy of a new product exceeds a specific threshold.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Type | Key |
| 3 | Account Sub Type | Key |
| 4 | Product Type | Key |
| 5 | Product Category | Key |
| 6 | Managed Money Y/N | Key |
| 7 | Trade Operation | Key |
| 8 | Reporting Company | Key |
| 9 | Product Share Class | Key |
| 10 | Solicited Y/N | Key |
| 11 | Trade Status Flag | Key |
| 12 | Trade Attribute 1 | Key |
| 13 | Trade Attribute 2 | Key |
| 14 | Alert Value | Key |
| 15 | Lookback Days | Return |
| 16 | Minimum Face Amount | Return |
| 17 | Maximum Commission % | Return |
| 18 | Linked Trade Operation | Return |
| 19 | Calculation Method | Return |
| 20 | Face Amount>or =Prior Trade | Return |
| 21 | Group ID | Return |
Â
Trade Product Suitability
Identifies Product suitability post-execution. Compares product types to a customer’s risk tolerance or investment objective.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Product Category | Key |
| 3 | Product Type | Key |
| 4 | Provider | Key |
| 5 | Product Status Flag 1 | Key |
| 6 | Product Status flag 2 | Key |
| 7 | Product Attribute 1 | Key |
| 8 | Product Attribute 2 | Key |
| 9 | Product Share Class | Key |
| 10 | Trade Operation | Key |
| 11 | Account Type | Key |
| 12 | Account Sub Type | Key |
| 13 | Managed Money Y/N | Key |
| 14 | Solicited Y/N | Key |
| 15 | Product GID | Key |
| 16 | Reporting Company | Key |
| 17 | Trade Status flag | Key |
| 18 | Trade Attribute 1 | Key |
| 19 | Trade Attribute 2 | Key |
| 20 | Alert Value | Key |
| 21 | Contact Risk Tolerance | Return |
| 22 | Contact Investment Objective | Return |
| 23 | Contact Time Horizon | Return |
| 24 | Contact Annual Income | Return |
| 25 | Contact Net Worth | Return |
| 26 | Contact Tax Bracket | Return |
| 27 | Contact Liquid Assets | Return |
| 28 | Contact Annual Expenses | Return |
| 29 | Contact Liquidity Needs | Return |
| 30 | Account Risk Tolerance | Return |
| 31 | Account Investment Objective | Return |
| 32 | Account Time Horizon | Return |
| 33 | Prior Transaction Required | Return |
| 34 | Trade Operation Prior Trade | Return |
| 35 | Product Type Prior Trade | Return |
| 36 | Product Category Prior Trade | Return |
| 37 | Product Share Class of Prior Trade | Return |
| 38 | Minimum Transaction Amount | Return |
| 39 | Lookback Days | Return |
| 40 | Group ID | Return |
Â
Transaction Exception
Identifies transaction-related exceptions such as employee trades, license exceptions, and as/of trades.
Field | Value Type | |
|---|---|---|
| 1 | Location | Return |
| 2 | Office Code | Key |
| 3 | Account Type | Key |
| 4 | Account Sub Type | Key |
| 5 | Trade Operation | Key |
| 6 | Product Category | Key |
| 7 | Product Type | Key |
| 8 | Provider | Key |
| 9 | Product Share Class | Key |
| 10 | Solicited Y/N | Key |
| 11 | Trade Status Flag | Key |
| 12 | Reporting Company | Key |
| 13 | Employee | Key |
| 14 | Trade Attribute 1 | Key |
| 15 | Trade Attribute 2 | Key |
| 16 | Managed Money Y/N | Key |
| 17 | Alert Value | Key |
| 18 | Trade Attribute Name | Return |
| 19 | Trade Status Flag | Return |
| 20 | Commission From | Return |
| 21 | Commission to | Return |
| 22 | Face Amount From | Return |
| 23 | Face Amount 2 | Return |
| 24 | Ticket Charge from Ticket Charge to | Return |
| 25 | Minimum Face Amount | Return |
| 26 | Group ID | Return |
Unmatched Trade
Identifies packaged product transactions (such as annuities) that do not have an accompanying matching order within a designated lookback time frame.
Field | Value Type | |
|---|---|---|
| 1 | Location | Key |
| 2 | Account Type | Key |
| 3 | Account Sub Type | Key |
| 4 | Trade Operation | Key |
| 5 | Product Category | Key |
| 6 | Product Type | Key |
| 7 | Cusip | Key |
| 8 | Provider | Key |
| 9 | Product Share Class | Key |
| 10 | Solicited Y/N | Key |
| 11 | Trade Managed Money Y/N | Key |
| 12 | Reporting Company | Key |
| 13 | Trade Attribute 1 | Key |
| 14 | Trade Attribute 2 | Key |
| 15 | Trade Status Flag | Key |
| 16 | Alert Value | Key |
| 17 | Require Matching Order Y/N | Return |
| 18 | Minimum Trade Quantity | Return |
| 19 | Face Amount Difference % | Return |
| 20 | Group ID | Return |
Â
© Docupace Technologies 2020 | Documentation Dashboard