Enumerations

Everything enum related.

DriveWealth uses enums in different places to represent specific meanings. Below is a list of
available enums.

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Users

User Status

ENUMDefinition
PENDINGA user is pending approval.
APPROVEDA user has been approved.
REVOKEDA user has been rejected.
CLOSEDA user has been closed.

Identification Types

ENUMDefinition
SSNSocial Security Number
US_TINTax ID Number
FTINForeign Tax ID Number
EINEmployer Identification Number
GIINGlobal Intermediary Identification Number
FTNLOForeign TIN Not Legally Required

Accounts

Account Management Types

ENUMDefinition
SELFA user directs without any advice trades their own account.
ADVISORYA user's account is accessible to an Investment Advisor or Investment Advisor Representative, but trades are place only by the user's authorization.
RIA_MANAGEDAn Investment Advisor has discretion to exercise trades in the user's account.
CUSTODIALAn account for the benefit of a minor.
CUSTODIAL_MANAGEDAn account for the benefit of a minor that is managed by an Investment Advisor.
RESERVEDA cash management account, only for deposit and not for purchasing securities.

Account Status

ENUMNUMDefinition
PENDING1The account is in a pending state, most likely due to KYC.
OPEN2The account is open and trades allowed to be placed into the account.
OPEN_NO_NEW_TRADES3The account is open and no new trades can be placed.
FROZEN4The account is frozen and no new trades can be placed.
CLOSED9The account is closed.

Account Type

ENUMDefinition
SELFA self directed account where the customer only has the ability to execute trades into this account.
ADVISORYAn account where the customer is advised on their particular account, the customer only has the ability to execute trades into this account.
MANAGEDAn account that is managed by registered investment advisor (RIA).
RIA_MANAGEDAn account that is managed by registered investment advisor (RIA) via Autopilot.
CUSTODIALAn account that is managed by an parent/gurdian that the beneficiary is a child. Commonly known as UTMA/UGMA accounts.
CUSTODIAL_MANAGEDAn account that is managed by registered investment advisor (RIA).
HSA_SELFAn account that is for HSA funds to be invested, where the customer only has the ability to execute trades into this account.
HSA_ADVISORYAn account where HSA funds to be invested, where the customer is advised on their particular account, the customer only has the ability to execute trades into this account.
HSA_RIA_MANAGEDAn account where HSA funds to be invested, where the account is managed by registered investment advisor (RIA) via Autopilot.

Account Status Change Reason

ENUMCodeDefinition
OTHER0Other
ACAT1ACATS is processing
ACCOUNT_TRANSFERRED2Account has been transferred
COMPLIANCE_RESTRICTED3Partner has restricted the account
DECEASED4The person is deceased
DUPLICATE_ACCOUNT5Duplicate Account
FINRA_RESTRICTIONS6FINRA restriction applied on the account
LEGAL_AML7Legal Restriction (Fraud/AML)
MARGIN_CALLS8Margin call occurred on the account
PARTNER_RESTRICTED9Partner has restricted the account
PAYMENT_FAILURE10Payment failed on the account
PDT_RESTRICTIONS11PDT restriction applied on the account

Deposits

Deposit Status

ENUMNUMDefinition
STARTED0A new deposit request was received.
PENDING1The deposit details was accepted.
SUCCESSFUL2The deposit was successful.
FAILED3The deposit was not successful, thus failed.
OTHER4The deposit is in a suspended state.
RETURNED5The deposit was returned to the originating bank.
APPROVED14The deposit was approved.
REJECTED15The deposit was rejected.
ON_HOLD16The deposit details was accepted, but is not ready to be processed.
--1An error occurred during the deposit.

Withdrawals

Withdrawals Status

ENUMVARDefinition
STARTED0A new withdrawal was received.
PENDING1The withdrawal details was accepted.
SUCCESSFUL2The withdrawal was successful.
FAILED3The withdrawal was not successful, thus failed.
OTHER4The withdrawal is in a suspended state.
RIA_PENDING11The withdrawal is being handled by the RIA (AutoPilot) and the withdrawal details was accepted.
RIA_APPROVED12The withdrawal is approved when cash has settled against the managed account via AutoPilot.
RIA_REJECTED13The withdrawal is rejected when there is not enough has in the account after the selling of securities to cover the withdrawal request.
APPROVED14The withdrawal was approved.
REJECTED15The withdrawal was rejected.
ON_HOLD16The withdrawal details was accepted, but is not ready to be processed.
--1An error occurred during the withdrawal.

Orders

Order Status

ENUMNUMDefinition
NEW0A newly created order received by the system.
PARTIAL_FILL1An order was partially filled.
FILL2An order was fully filled.
CANCELED4An order was canceled.
PENDING_CANCEL6An order was submitted to be canceled.
REJECTED8An order was rejected.
SUSPENDED9
PENDING_NEWA
CALCULATEDB
EXPIREDC

Order Type

ENUMVARDefinition
MARKET1A market order.
LIMIT2A limit order.
STOP3A stop order.
STOP_LIMIT4A stop limit order.
MARKET_IF_TOUCHED6A market if touched order.
UNKNOWNmAn unknown order.

TimeInForce type

ENUMVARDefinition
DAY0Order expires at next close.
GTC1Order expires at specified date.
MOO2Market On Open.
GTX5Order placed in extended hours.
MOC7Market On Close.
IOC3Immediate Or Cancel.
FOK4Fill Or Kill.

Exercise Status

ENUMDefinition
SUBMITTEDExercise Request submitted by Ops.
REJECTEDExercise Request Rejected for some reason by Ops.
ACCEPTEDExercise Request Accepted. Need to lock up position / cash.
COMPLETEDExercise Request Completed and entered into ABN - terminal.
ERRORError while submit Exercise Request.

Exercise Type

ENUMDefinition
EARLYEarly Exercise.
EXCEPTIONExercise by Exception.
DNEDo Not Exercise.

Instruments

Instrument Type

ENUMCodeDefinition
EQUITY_INDICES1Represents indices that track the performance of equity markets.
METALS2Represents commodities like gold, silver, and other precious metals.
ENERGY3Represents energy-related commodities like oil and natural gas.
INTEREST_RATES4Represents instruments tied to interest rate movements.
FX5Represents foreign exchange or currency trading.
EQUITIES6Represents individual stocks or shares of companies.
ETFS7Represents Exchange-Traded Funds, which are investment funds traded on stock exchanges.
MUTUAL_FUNDS8Represents pooled investment funds managed by professionals.
CYBER_SECURITY9Represents securities related to cybersecurity companies or technologies.
ETN10Represents Exchange-Traded Notes, which are debt securities.
ADR11Represents American Depositary Receipts, which are stocks of foreign companies traded in the U.S.
ALTERNATIVE_ASSET12Represents non-traditional assets like private equity or hedge funds.
IPO13Represents Initial Public Offerings, where companies go public.
CRYPTO14Represents cryptocurrencies like Bitcoin, Ethereum, etc.
OPTIONS15Represents financial derivatives that give the right to buy or sell an asset.
DEBT16Represents fixed-income securities like bonds or loans.

Instrument Status

ENUMDefinition
INACTIVEInactive
ACTIVEActive
CLOSE_ONLYClosed
EXPIREDExpired

Asset Transfers

Asset Transfer Status

ENUMDefinition
STARTEDAsset transfer request has been initiated.
PENDINGAsset transfer request is pending.
SUCCESSFULAsset transfer request has been successfully completed.
ON_HOLDAsset transfer request is on hold.
FAILEDAsset transfer is failed.

ACAT

ACAT Source Account Type

ENUMDefinition
INDIVIDUALIndividual Account
JOINTJoint Account
CORPORATECorporate or Trust Account
CUSTODIALCustodial/Minor/Teen Account
IRAIndividual Retirement Account
RIA_MANAGEDRobo Advisor Managed Account

ACAT Transfer type

ENUMDefinition
FULLFull Acats Transfer
PARTIALPartial Acats Transfer

ACAT Transit Type

ENUMDefinition
ACAT_INIncoming ACAT Transfer
ACAT_OUTOutgoing ACAT Transfer

ACAT Settlement Codes

ENUMCode
ACAT_RECEIVED000
ACAT_READY1ED
ACAT_READY_AFTER_CUTOFF1EL
ACAT_SENTTXX
ACAT_SENTTIF
ACAT_SENTTIL
ACAT_ACK100
ACAT_ADJUST110
ACAT_ADJUST120
ACAT_IN_PROGRESS130
ACAT_UNDER_REVIEW200
ACAT_REVIEW_ACK2ED
ACAT_REVIEW_ACK2EL
ACAT_REVIEW_SENT2XX
ACAT_REVIEW_ADJUST210
ACAT_REVIEW_ERROR220
ACAT_REVIEW_ACK22D
ACAT_REVIEW_ACK22L
ACAT_REVIEW_ACK22X
ACAT_REVIEW_ACCEPTED230
ACAT_PTR_IN_PROGRESS500
ACAT_SETTLEMENT_IN_PROGRESS300
ACAT_SETTLED310
ACAT_REJECTED140
ACAT_PURGE400
ACAT_REJECTED600
ACAT_PTR_REJECTED510

ACAT Rejection Codes

ENUMCodeDescription
UNKNOWNUnknownUnknown
SSN_NOT_MATCH01SSN/Tax ID Mismatch
ACCOUNT_NOT_MATCH02Account Title Mismatch
DOC_REQUIRED03Documentation Needed
ACCOUNT_FLAT04Account Flat
BROKER_NOT_MATCH05Invalid Broker Account Number
DUPLICATE_REQUEST06Duplicate
ACCOUNT_IN_TRANSIT07Account in Distribution or Transfer
BROKER_REJECTED08Client Rescinded
MISSING_AUTH_SIGN09Missing Authorized Signature
MISSING_FUND21Insufficient portfolio value to support debit
SYMBOL_NOT_SUPPORTED22Instrument not supported
QUANTITY_MISMATCH23Instrument quantity mismatch