Schwab RT Recordkeeping
Charles Schwab Trust Link
Same Day Exchange File Layouts
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Schwab RT SQL Recordkeeping
Charles Schwab Trust Link
July, 2007
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only. The information is not intended to provide tax, legal or investment advice. Schwab
does not guarantee the suitability or potential value of any particular information
source. Certain information presented herein may be subject to change. The information
or material contained in this document may not be copied, assigned, transferred,
disclosed or utilized without the express written approval of Schwab.
The Charles Schwab Corporation (Charles Schwab) provides services to retirement plans
and participants through its subsidiaries, Charles Schwab & Co., Inc. (Member SIPC),
The Charles Schwab Trust Company (CSTC), Schwab Retirement Plan Services, Inc. and
Schwab Retirement Technologies, Inc. (Schwab RT). Charles Schwab also provides
equity compensation plan services and other financial and retirement services to
corporations and executives through Charles Schwab & Co., Inc.
For further information, contact Schwab Retirement Technologies, Inc. at 13925
Ballantyne Corporate Place, Suite 300, Charlotte, NC 28277, USA, Tel: (800)-628-2416,
Web site: schwabRT.com.
©2007. Schwab Retirement Technologies, Inc. All rights reserved.
SQL Recordkeeping Charles Schwab Trust Link
Table of Contents
Table of Contents .......................................................................................................... 3
Unverified Price (SDE) .................................................................................................... 4
Export Buy/Sell (SDE)..................................................................................................... 7
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Schwab RT SQL Recordkeeping CSTC File Layouts
Unverified Price (SDE)
File-Naming Conventions
The files are named:
AmmddyyA.tpa
Where mmddyy represents the date on which the file was created and tpa represents the TPA identifier assigned by Schwab.
For example:
A062499A.999 - unverified price file for 06/24/1999 for TPA 999.
A081099A.123 – unverified price file for 08/10/1999 for TPA 123.
Field Delimiter Rules
Fields are comma delimited.
Character and String fields are surrounded by double quotes. Commas are allowed between quotes.
Record Delimiter Rules
All records are terminated by the carriage return/line feed character combination, including the last record.
Notations Used
The tables use the following notations:
Char: A single character. Can be any alphanumeric character except the double quote character.
String: More than one character. Can be any combination of alphanumeric characters except the double quote character.
Whole number: Numbers may contain leading zeros.
Number with decimal point: Numbers may contain leading zeros.
Field Identifier Data Type
Header Record
Record Type
String
“HD”
File Date String
mmddyy
Sender String
“CSTC”
TPA Code String
Char
June, 2007
Length
Description
2
Fixed value identifies record as header record.
6
Month/day/year file was generated.
4
Fixed value.
3
TPA Code assigned by CSTC.
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Schwab RT SQL Recordkeeping CSTC File Layouts
Field Identifier Data Type
Time
Length
Description
String
hhmm
4
Time file generated in hour/minute format. Format is 24-hour clock.
String
“PU”
String
Char
String
Char
String
mmddyy
Number with
decimal point
12.4
999999999.9999
2
Fixed value identifies record as unverified price record.
14
CUSIP asset identifier
10
Symbol asset identifier
6
Price date.
17
Unverified price. No leading spaces.
Price Record
Record Type
CUSIP
Symbol
Price Date
Unverified Price
Trailer Record
Record Type
String
2
“TL”
Price Check Sum Number with
17
decimal point
11.5
99999999999.9999
9
Record Count Whole number
17
Example File: A081099A.999
"HD","081099","CSTC","999","1651"
"PU","00141310
","CHTRX ","081099",15.6100
"PU","001413103 ","CHT1Z ","081099",15.6100
"PU","TIP1Z
","TIP1Z ","081099",16.4500
"PU","TRSTABLE
","TRSTABLE ","081099",1.0000
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Fixed value identifies record as a trailer record.
Sum of all prices. No leading spaces.
Count of all price records. No leading spaces.
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Schwab RT SQL Recordkeeping CSTC File Layouts
"PU","USSSTKFD
"TL",48.67,5
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","USSSTKFD ","081099",0.0000
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Schwab RT SQL Recordkeeping CSTC File Layouts
Export Buy/Sell (SDE)
File-Naming Conventions
The files are named:
Tmmddyy#.tpa
Where mmddyy represents the date on which the file was created
# represents the generation number 1-9
tpa represents the TPA identifier assigned by Schwab.
For example:
T0601993.999 – trade file #3 from 06/01/1999 for TPA 999.
T0317991.222 – trade file #1 from 03/17/1999 for TPA 222.
If multiple files are sent on the same day, the generation numbers on the files do not have to be in any specific order but they cannot
be duplicated.
Since the generation number must be from 1 and 9, only nine trade files can be generated on the same day.
Field Delimiter Rules
Fields are comma delimited.
Character and String fields are surrounded by double quotes. Commas are allowed between quotes.
Numeric fields should not be surrounded by double quotes.
Field Length Rules
If string fields are longer than the specified maximum width, they will be right-trimmed to match the correct field length.
If character or string fields are shorter than the specified maximum width, they will be right-padded with blanks to match the correct
field length.
If numeric fields are longer than the specified maximum width column and the extra digits are to the left of the decimal point, the
most significant digits are trimmed to match the correct field length.
If the extra digits are to the right of the decimal point, the least significant digits are trimmed to match the correct field length.
Arithmetic rounding is used when there are too many digits to the right of the decimal point.
Record Delimiter Rules
All records are terminated by the carriage return/line feed character combination, including the last record.
June, 2007
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Schwab RT SQL Recordkeeping CSTC File Layouts
Notations Used
The tables use the following notations:
Char: A single character. Can be any alphanumeric character except the double quote character.
String: More than one character. Can be any combination of alphanumeric characters except the double quote character.
Whole number: Numbers may contain leading zeros.
Number with decimal point: Numbers may contain leading zeros.
Field Identifier Data Type
Header Record
Record Type
File Date
TPA Code
Generation #
Time
Length
Description
String
“HD”
String
mmddyy
String
Whole number
Char
Whole number
String
hhmm
2
Fixed value identifies record as header record.
6
Month/day/year file was generated.
3
TPA Code number.
1
Generation #. Should match generation # on file name.
4
Time file was generated in hour/minute format. Format is 24-hour clock.
String
“TR”
String
Char
String
Char
String
Char
String
Char
Char
Char
2
Fixed value identifies record as trade record.
10
TPA Code assigned by Charles Schwab Trust Company.
25
TPA trade identifier. A unique identifier generated by the TPA’s software
14
CUSIP or symbol asset identifier.
10
Plan identifier.
1
1
Buy/sell identifier. B = Buy, S = Sell
Certainty identifier. D = Dollar, U = Units
Price Record
Record Type
TPA Code
Trade ID
CUSIP/SYMBOL
Plan ID
Transaction Type
Certainty
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Schwab RT SQL Recordkeeping CSTC File Layouts
Field Identifier Data Type
Length
Description
String
Char
Number with
decimal point
6.5
999999.99999
Number with
decimal point
9.2
999999.99999
Number with
decimal point
11.3
999999.99999
Number with
decimal point
7.4
999999.99999
Char
String
mmddyy
String
mmddyy
Char
3
Transaction source.
12
Informational only.
12
Dollar amount of transaction.
15
Share (units) amount of transaction.
12
Commission or load.
1
6
Dividend character. R = Reinvest, C = Cash.
Date trade was executed.
6
Transaction settlement date.
1
Pool Number
Designation
Whole number
Char
“T”
4
1
Type of settlement date.
T = Trade date, S = Settlement date, B = Both
Numeric identifier used for grouping transfer-related buys and sells.
Fixed value.
Record Type
String
“TL”
2
Fixed value identifies record as a trailer record.
Transaction Source
Price
Dollar Amount
Units
Commission/Load
Dividend
Trade Date
Settlement Date
Settlement Date Type
Trailer Record
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Schwab RT SQL Recordkeeping CSTC File Layouts
Field Identifier Data Type
Length
Description
Trade Record Count
SA Record Count
Trade Unit Total
Whole number
5
Count of all “TR” records.
Whole number
5
Count of all “SA” records. Should always be zero for inbound trade files.
15
Sum of all “TR” record units.
Number with
decimal point
11.3
99999999999.999
Trade Dollar Total Number with
15
Sum of all “TR” record dollar amounts.
decimal point
12.2
99999999999.999
SA Unit Total Number with
15
Sum of all “SA” record units. Should always be zero for inbound trade
decimal point
files.
12.3
99999999999.999
SA Dollar Total Number with
15
Sum of all “SA” record dollar amounts. Should always be zero for inbound
trade files.
decimal point
12.2
99999999999.999
Example File: T0607992.999
"HD","060799","999","2","1217"
"TR","999","01876292","9208080","AME","S","U","224",0.00,0.00,0.065,0.00,"R","060799","060799","T",,"T"
"TR","999","01876293","364590109","AME","S","U","224",0.00,0.00,0.437,0.00,"R","060799","060799","T",,"T"
"TR","999","01876295","364590109","AME","S","U","230",0.00,0.00,0.219,0.00,"R","060799","060799","T",,"T"
"TR","999","01876290","GIC1Z","ACO","S","U","230",0.00,0.00,192.949,0.00,"R","060799","060799","T",,"T"
"TR","999","01876631","949045108","ACO","S","D","211",0.00,592.16,0.000,0.00,"R","060699","060799","T",,"T"
"TR","999","01876632","808509855","ACO","S","D","211",0.00,590.84,0.000,0.00,"R","060799","060799","T",,"T"
"TL",00483,0,60555.798,876334.44,0.000,0.0
June, 2007
Schwab Retirement Technologies™
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