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X. Reference Database
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A. General
B. Reporting Requirements
C. Definitions
D. Order Receipt
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F. Representative Orders
G. Manual Orders
H. ATS
I. Foreign Securities
J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
P. Feedback and Error Correction
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W. Fee Dispute Resolution
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06/02/2026
Event
Reference Database Industry Webinar (June 2, 2026)
Topics
X. Reference Database
05/05/2026
FAQ
X6.
Following the closure of an account and the associated FDID being ended in the Reference Database, is an Industry Member required to re-activate the FDID in the Reference Database for non-CAT reportable entries, such as delayed dividend payments?
Topics
X. Reference Database
05/05/2026
FAQ
X17.
How must a CAT Customer’s tidValue (“TID value”) be generated when the CAT Customer does not have a US-assigned Input Identifier but has more than one foreign Input Identifier of a specific type– such as multiple Tax Identifiers or multiple Legal Entity Identifiers (LEI)?
Topics
X. Reference Database
05/05/2026
FAQ
X10.
What date should Industry Members use to populate the “end date” fields (e.g., fdidEndDate, roleEndDate) when an event has triggered the closure of an account? For example, when a minor reaches the age of majority for a custodial account (e.g., UGMA/UTMA) or upon the death of an account holder for a beneficiary account, how should Industry Members populate these fields?
Topics
X. Reference Database
05/05/2026
FAQ
X5.
When reporting a piggyback clearing scenario to the Reference Database, which Industry Member’s CRD number must the clearing firm populate in the correspondentCRD field when Firm A is piggybacking off of Firm B’s relationship with the clearing firm?
Topics
X. Reference Database
05/05/2026
FAQ
X16.
How must an FDID Record be reported to the Reference Database when the account holder is a foreign trust or foreign estate where an allowable Input Identifier value does not exist because the foreign country or foreign municipality does not require or issue any kind of identifier for the foreign trust or foreign estate, and no such other allowable Input Identifier exists? For example, the foreign trust or foreign estate has no associated Legal Entity Identifier (LEI), and is also not assigned any National Registration or Tax Identifier, or any other governmental-issued identifier by a non-national level government body or agency, such as a corporate registry.
Topics
X. Reference Database
05/05/2026
FAQ
X9.
Are regulators expecting complete accuracy with respect to the roleEndReason field?
Topics
X. Reference Database
05/05/2026
FAQ
X4.
An Industry Member chooses to optionally report a DVP/RVP account that does not have a clearing number or DTC number. In this scenario, how should the DVPCustodianID field be populated when a DVP/RVP account is temporarily not assigned a clearing number or DTC number because the account is new, or the current clearing number or DTC number has been removed from DTCC's ALERT service and no new clearing number or DTC number is available?
Topics
X. Reference Database
05/05/2026
FAQ
X15.
Is a Global Intermediary Identification Number (“GIIN”) an accepted identifier to generate a foreignTIDType for a foreign legal entity?
Topics
X. Reference Database
05/05/2026
FAQ
X8.
In a Mass Transfer of FDIDs across Industry Members, what constitutes an “Active Account” required to be reported to the Reference Database by the acquiring firm and when is it required to be reported to the Reference Database?
Topics
X. Reference Database
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