Participants must register for access to SMART/Track for Buy-ins by designating an Access Coordinator, using the forms available through this link: Access Coordinator Forms. 寻求帮助, participants can contact their Relationship Manager of the Service Activation Group at 存. The Access Coordinator then will register and approve the firm’s users.
SMART/Track for Buy-ins允许用户:
- Create and transmit a notice or retransmit a notice to another counterparty.
- Accept or reject a non-CNS buy-in intent or retransmittal or MSRB closeout.
- Update a buy-in or extend the delivery date for certain buy-ins.
- 在指定的时间参数内取消通知. •查看他们收到或发送的通知.
- 搜索 for active or archived notices using specific field criteria.
创建/重传通知
Users can create and transmit/retransmit the following buy-in notices:
- CNS收购意向
- CNS购进订单
- CNS买入转播
- CNS买入执行
- 非中枢神经系统收购意向
- 非中枢神经系统买入转播
- MSRB原始关闭
- MSRB重新发送关闭通知
- 执行原始的清仓通知
- 执行重新传送的关闭通知
用户的联系方式, 通过访问协调表收集, 自动填充输入屏幕. Users can then fill in the remaining fields detailing their buy-in information and submit the notice to the system.
SMART/Track has links to 直接转矩’s dividend and reorganization systems and indicates on the screen if the security is pending a dividend or reorganization. SMART/Track also indicates on the input screen if the security has been chilled for delivery. Most of the input screens have a free-form field for adding comments or notes to the notice.
SMART/Track for Buy-ins reviews the data to ensure it is complete then makes it available to the counterparty indicated.
回应通知
Participants receiving a non-CNS buy-in notice or MSRB closeout can either accept or reject the notice. 如果拒绝, the participant must enter a reason for the reject by selecting a reason from the drop-down box or entering text in the comment box.
更新通知或延长交付日期
The participant initiating a buy-in notice can update a notice. For CNS notices, a participant can change any of the fields up until the notice is sent to CNS.
非cns和MSRB关闭通知, 参与者可以更改数量, price or amount up to and including the delivery date using the update function. They can also extend the delivery date or delivery using the extend delivery date option.
取消通知
Participants initiating a buy-in notice can also cancel the notice. For CNS notices, a participant can cancel the notice up until the notice is sent to CNS. 非cns和MSRB关闭通知, participants can cancel a notice in any status — pending, accepted or rejected — and the status changes to “canceled.”
查看通知
Participants can view the status of all notices and search or sort all notices using specific field criteria. Participants can view a list of notices that they sent or received as well as the details of specific notices, including the history with details of when the action was taken, the date and time that action was taken and the person who took the action.
搜索活动通知或存档通知
Participants can search for active or archived notices within a specific date range, including for all notices within that range or by notice type. Participants can further search within notice type by specific data fields, 包括执行日期, 结算日期, CUSIP或符号或交易对手. Notices are automatically archived based on certain date parameters.