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Account Service Codes and Rules

Field Codes

Rules and Error Codes

Account Type

Account Type Code Category
Individual I Individual
Joint – Rights of Survivorship J Joint
Joint – Tenants in Common K Joint
Joint – Community Property L Joint
Joint – Tenants by Entirety M Joint
Custodial (UGMA/UTMA) U Custodial
SIMPLE IRA 9 Retirement
SEP IRA P Retirement
IRA Rollover Q Retirement
Traditional IRA R Retirement
Roth IRA S Retirement
Revocable Trust X Individual
Business Trust (Irrevocable Trust) D Corporate
Corporation A Corporate
LLC F Corporate
Limited Partnership E Corporate
General Partnership B Corporate
Unincorporated Organization V Corporate
Investment Club C Corporate
Sole Proprietorship H Corporate

Tax Lot Relief Method Code

Tax Classification Code
First In – First Out FIFO
Maximize Losses / Minimize Gains LGHL
Maximize Long-Term Losses LLTG
Maximize Short-Term Losses LSTG
Maximize Gains / Minimize Losses HGLL
Last In – First Out LIFO
Maximize Long-Term Gain HLTG
Maximize Short-Term Gain HSTG
Average Cost AVGC
Maximize Losses / Minimize Gains, Tax Weighted WLFS
Maximize Gains / Minimize Losses, Tax Weighted WGFS

Tax Classification

Tax Classification Code Applicable Entity Type
Type ‘S’ S Corporation or LLC
Type ‘C’ C Corporation or LLC
Partnership P LLC

Account Business Rule and Associated Error Code

Code Description
account.invalid.primary.owner The client or the corporate firm set in primaryAccountOwner field
  1. should be an existing entity,
  2. the client should not be an administrator of a Corporate Account,
  3. the corporate firm should not be Institutional firm,
  4. should be managed by the right Institutional firm.
account.invalid.joint.owner The joint owners
  1. must be an existing client,
  2. cannot be the primary owner,
  3. cannot be an administrator of a Corporate Account,
  4. must be a managed client (not a managed trustee),
  5. must be in the same Institutional firm.
account.invalid.group.trustee The trustees
  1. must be an existing member,
  2. cannot be an administrator of a Corporate Account,
  3. must be a managed trustee (not a managed client),
  4. must be in the same Institutional firm.
account.unique.name.rule The account name must be unique for client or corporate firm.
account.invalid.tax.lot.selection.choice If specified, for taxable accounts, it cannot be ‘AVGC’; for non-taxable account, it has to be ‘AVGC’. If it is ‘WGFS’ or ‘WLFS’, both longTermTaxRate and shortTermTaxRate must be specified, otherwise, neither should be specified.
account.billing.oid.rule The billing plan picked is invalid.
account.beneficiary.share.percentage.rule The sum of the share percentages of all the beneficiaries in the same beneficiary category should be equal to 100.
account.beneficiary.polygamy.rule There can be only one beneficiary as spouse in the same beneficiary category.
account.minor.age.rule The minor is not qualified due to the age.
account.joint.account.state.limit.rule The joint account type is restricted in certain states.
account.invalid.advisor.rule The advisor is not associated with the Institutional firm.
account.advisory.firm.registered.state.rule No owner, including joint owners, lives in the states where Institutional firm can practice the business.
account.group.firm.unqiue.account.rule Same corporate entity cannot have more than one account.
account.group.firm.invalid.tax.classification.rule Tax classification value is invalid for specified type of corporate account.
account.poly.watch.account.rule Retail member can only have one watch account.
restriction.removal.allowed.rule
account.invalid.security.exclusion.rule Invalid ticker of security to be excluded
account.invalid.issue.exclusion.rule Invalid id of issue to be excluded
account.invalid.sector.exclusion.rule Invalid id of sector to be excluded
account.security.exclusion.end.date.rule Invalid end date of exclusion

Change Log

10/11/2018

  1. Added Error Code for Security Exclusion

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