Download IPO Tracking Information

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CUSIP: enter the issue's CUSIP number
Date: enter a date range (From and To) in YYMMDD format. The default is the current
date.
3 Press the ENTER key.
Result- A list of pending transactions is displayed.
4 Enter "S" to the left of the selected transaction to view details.
5 Enter "C" (cancel) to the left of the selected transaction.
Result- The message "PRESS PF1/13 TO CONFIRM CANCEL" appears.
6 Press the PF1/13 key.
Result- The transaction is canceled.
7 Refer to Appendix D for additional information.
Secondary Market Deliveries
Secondary Market deliveries are performed using the same procedures currently used for deliveries
of non-tracked issues.
Note- The ID Agent number is required for Secondary Market DO deliveries to Prime Brokers and
Agent Banks. For deliveries to Banks, the ID Agent number will default to the receiving Bank's
Participant number.
Resolve Internal Account Number Discrepancies in ID Deliveries on Sell
Transactions
When the Internal Account number on a sale transaction does not match the Internal Account
number in the IPO Tracking database, the system generates a warning message, Error 91.
Error 91 flags an unmatched Internal Account number three times:
• ID Confirmation
• ID Affirmation
• Authorization and Exception (ANE)
Error 91 also appears on machine-readable output.
If the Internal Account number is still unmatched when validation occurs at Authorization and
Exception (ANE) time, ANE will not reject the transaction, because the system assumes the delivery
will use Secondary Market shares. However, an automated release will not be generated and the
delivery will pend.
Unmatched Internal Account numbers can be corrected in the IPO database prior to the settlement
date cutoffs of 10:00 a.m. EST for Global processing and 2:30 p.m. for Trade-for-Trade processing.
This allows the ID trade to be authorized and settle that day through the automated settlement
feature of the ID system.
Note- The ANE inquiry function and T+ 3 hard-copy report will display a code of "F" in the status
field to indicate an Initial Distribution trade that has been rejected from settlement, and an "I" to
indicate a Secondary Market trade that has been rejected from settlement. The "F" code indicates
that the Internal Account number on an IPO trade is missing, and the "I" code indicates that the