IL211 Investment Maturity Notices

Overview of IL211

The Investment Maturity Notices report generates notices to send to your investors, notifying them of a maturing investment. The notice provides options that the investor has for either redeeming or reinvesting the investment. This report is typically configured to run as part of your organization's periodic job processing, and is generally set to run 60 days prior to investment maturity, allowing investors time to decide on their course of action. The pdf output displays information such as investment number, investor name, current investment type, purchase date and maturity date. You also have the option of generating a system file to csv, if desired. This report differs from IL212 Investment Maturity Notices in that IL212 allows you to generate notices by state, whereas this report does not. To generate the report:

NOTE: For IRAs, IL211 specifically sends maturity notices to the Pin (Investor) Home Address, regardless of which address is selected on the master account. For non-IRAs, it uses the Master Account address.

• From the DDI Connect main menu, double-click Financial Services
• Double-click Investments
• Double-click Reports
• Double-click 211 Investment Maturity Notices. The parameters screen will launch:

Criteria

Field	Description
Start date	Enter the beginning date of the range you wish to report on. You can type it in a mm/dd/yyyy format or click the calendar icon to select the date
End date	Enter the ending date of the range you wish to report on. You can type it in a mm/dd/yyyy format or click the calendar icon to select the date
Investment	If you wish to generate the maturity notice for just a particular investment, you can type the investment number here or click the list icon to select from a list of investments in the system. Leave the field blank to generate for all eligible investments
Exclude IRAs	Add ability to exclude generating investment maturity notices for IRAs
Create notices	If this box is not checked, the report will run in preview mode and no notices will be created. If the box is checked, it enables the Merge Method field. Click the list icon to select the method desired to create the notices. Your options are: Option Description Online This option creates electronic copies only Paper This option creates paper copies User This option creates merge documents based on user preferences
Transfer mode	You have the option of generating either a report only or selecting system file to create a csv extract of the report results. If you select system file, an additional field will enable, allowing you to save the file to the desired location
Sort mode	Sort results by Maturity Date and Account or Maturity Date and Investment Number
Display taxid in secure format	You have the option of displaying a secure taxid with just the last four digits shown
Mailing label	Option Description C Abbreviate and Capitalize E Expand Address N Expand Name B Expand Name and Address

Merge Form Selection Rules

Form	Org	Conditions
MTZ	All	When cannot determine state of residence of account owner
MTZ	All	When new investment type not found When new investment category not found When new state registration not found with starting date less than or equal to the business date
MTZ	All	When state sales associated with new state of residence, state registration, and current investment category not found
MTZ	All	When state sales associated with new state of residence and state registration not found
MTCA MTKY MTOR	ABEC	When new state of residence is CA, KY, or OR
MT[x] MTIRA	All	Based on like-term investment notice method defined in investment system settings
MTRNW	All	Based on generic renewal notice method defined in investment system settings
MT[A-Z]	All	Based on matrix investment notice method defined in investment system settings and five conditions (IRA, Pre-1986 Sale, Exceeds Sales Limits, Extendable, and Maturity Notification Code) Form IRA Pre-1986 Sale Exceeds Sales Limit Extendable Notification Code MTA X X X N/A 1 MTB X X X N/A 2 MTC X X X N/A 3 MTD X X X N/A 4 MTE X X X 1 MTF X X X 2 MTG X X X 3 MTH X X X 4 MTA X X 1 MTB X X 2 MTC X X 3 MTD X X 4 MTA X X N/A 1 MTB X X N/A 2 MTC X X N/A 3 MTD X X N/A 4 MTI X X 1 MTJ X X 2 MTK X X 3 MTL X X 4 MTA X 1 MTB X 2 MTC X 3 MTD X 4 MTM X X N/A 1 MTN X X N/A 2 MTO X X N/A 3 MTP X X N/A 4 MTQ X X 1 MTR X X 2 MTS X X 3 MTT X X 4 MTM X 1 MTN X 2 MTO X 3 MTP X 4 MTM X N/A 1 MTN X N/A 2 MTO X N/A 3 MTP X N/A 4 MTU X 1 MTV X 2 MTW X 3 MTX X 4 MTM 1 MTN 2 MTO 3 MTP 4 Notification Code Description 1 Continue if no response 2 No interest after maturity 3 Pay at maturity if no response 4 Transfer into demand note if no response
MTM	All	When LSP Overide is TRUE and the current investment category is "0910"

Mailmerge Fields

This report generates mailmerge data (max 50) and has the potential to include the following fields.

Name	Description
ExtractDate
Address1
Address2
Address3
Address4
Address5
Address6
Address7
Investment
MaturityDate
PurchaseDate
Balance
ExtensionCode
Rate
Registration
MatExtCode
TermCat
CompanyDescr
OwnerSSN
OwnerPhone
OwnerDOB
BenefSSN
BenefPhone
BenefDOB
Relationship
CoOwnerAddress
EstEndBalance
NewRate
InvestDescr
OwnerPin

Print Options

After clicking the Print Options button you will see the following options. Choose the desired options and click OK to return to the report parameters screen.

Option	Description
Printer	Click the drop down arrow to select from a list of available printers. DDI Connect uses your default printer unless told otherwise
Format	Click the drop down arrow to select from a list of available formats. Select paper size, number of columns, and number of rows for printing. Each report has built-in format defaults. Select “Use Defaults” to use the built-in report defaults. The number of rows and columns controls the print size and amount of information per page
Memo	If you wish, you can add a memo to the output of the report. NOTE: It is recommended that Word documents be saved with the .docx extension
View Report	This option generates a pdf file that is displayed on the screen when the report is generated
Archive Report	If this option is selected, the system will archive the report in the DDI Connect report archives. For information on working with archived reports, please reference this page: Archived Report Viewer
Print Report	If selected, the system will generate the report output to your default printer. NOTE: You will also receive a pdf version of the report, displayed on your screen
Print via PDF	Prints directly to your printer.
Email	This option allows you to send a .pdf attachment of the report to the indicated users' email addresses. When OK is clicked, a dialog box will open requesting a recipient
Duplex/Top	Prints the report on both sides of the paper in landscape style. The printer must be capable of printing on both sides or an error will occur
Duplex/Side	Prints the report on both sides of the paper in portrait style. The printer must be capable of printing on both sides or an error will occur
Green bar	Adds shaded, horizontal bars to the report, making it easier to read across columns
No dialog	Selecting this option means that no ‘Report Completed’ dialog will display after the report has been generated
Extra copies	If you want extra copies of the report generated, type the number in this field

Click Start. The system will generate the report based on the parameters you selected, and display the results. Click below to view a sample of this report.

Report Output

Report output when sorting results by Maturity Date and Account

Sample Report Output

Report output when sorting results by Maturity Date and Investment Number

Sample Report Output

The actual notices must be merged via the Merge System in order for you to print and send. For information on using the Merge system, please reference this page: Merging Documents Click below to view a sample maturity notice.

Sample Maturity Notice

Security Function

Users must pass the security function listed below in order to run this report.

INVOPER