Investment Form Code Selection

Overview of IL03

Investment forms consist of anything printed out of DDI-Connect Investments that isn’t a report (statements, receipts, or notices, for example). They are word-processing templates that instruct the system which specific data from the investments system to merge into the templates, as well as exactly how the forms are to be formatted. Investment form codes identify investment forms through a number of criteria that can be used later for reference, printing, etc. To configure Investment Form Codes, you must first have set up the merge form.

• From the DDI Connect main menu, double-click Financial Services
• Double-click Investments
• Double-click Setup
• Double-click Investment Form Code Selection. You will see a screen similar to this one:

To add a new form code, click the Add button on the toolbar. The fields will now activate for editing:

Field	Description
Form #	The form # will in most cases be the report # that you are configuring. Note: Form numbers do not have to be unique. You can set up multiple forms under the same number and prioritize them to determine which form the system selects if more than one meets the criteria of the job. The number should coincide with the report number used to generate a particular form
Form code	Type the form code or click the list icon to select from a list of active merge forms configured in the system
Priority	When more than one investment form is listed with the same form number, this value determines which form is used in a particular job. If more than one form with number 100 is tabbed for a print job, for example, the form with the higher priority level would be selected. The higher the number, the higher the priority ranking. Must be greater than 0, and must be unique from all other priority rankings under this form number
Description	Enter a brief description of the investment form
Categories	If only certain investment categories are applicable for this form, you can type the category or categories, separated by commas, or click the list icon to select from a list of active investment categories in the system
Investment types	If only certain investment types are applicable for this form, you can type the type code or codes, separated by commas, or click the list icon to select from a list of active investment types in the system
States	There are times when the investment form(s) have to be configured differently by state. If the form you are setting up is specific to a state or states, you can enter the state abbreviation code or codes, separated by commas, or click the list icon to select from a list of states
Note types	Usually deals with note types where the effective interest rate is determined by various rules outside of just the rate listed in the type/rate table. You can type the note code or codes, separated by commas, or click the list icon to select from a list of Investment Tiered Rate Instruments in the system
Demand note	Indicates whether or not the investment represented by this form is a demand note. Enter a ? if the form could be used for either. Defaults to ?
Payment methods	First digit of what is normally the interest-payment code, indicating how to pay interest. Valid values are as follows: 0 = Compounding 1 = Check 2 = Alternate payee check 3 = Direct deposit to checking 4 = Direct deposit to alternate payee checking 5 = Direct deposit to savings 6 = Direct deposit to alternate payee savings 7 = Compounding via IRA investment 8 = Multiple alternate payees
High amt	The maximum dollar amount appropriate for this form selection. The source of the dollar amount (i.e., principal, interest) is dependent on the report associated with the form number. Leave at 0 if there is no limit
SEC limited	Whether or not the gross dollar amount of investments in this category is limited by the SEC on a state-by-state basis (yes/no). Defaults to ?
High count	The maximum count appropriate for this form selection. The source of the count is dependent on the report associated with the form number. Leave at 0 if there is no limit
Low amt	The minimum dollar amount appropriate for this form selection. The source of the dollar amount (i.e., principal, interest) is dependent on the report associated with the form number. Leave at 0 if there is no limit
Start date	Beginning date of the date range appropriate for this form selection. The source of the date (i.e., maturity date, amortization date) is dependent on the report associated with the form number. You can enter the date in a mm/dd/yyyy format or click the calendar icon to select the date
Low count	The minimum count appropriate for this form selection. The source of the count is dependent on the report associated with the form number. Leave at 0 if there is no limit
Issuance methods	Indicates the type(s) of document(s) to be produced upon issuance of a new investment note for investments under this form (if applicable). You can type the issuance method code or codes, separated by commas, or click the list icon to select from a list of active issuance method codes in the system
End date	Ending date of the date range appropriate for this form selection. The source of the date (i.e., maturity date, amortization date) is dependent on the report associated with the form number. You can type the date in mm/dd/yyyy format or click the calendar icon to select the date
IRA note	Indicates whether or not the investment represented by this form is an IRA note. Defaults to ?
Tran list	Add optional comma delimited list of tran-id values associated with current form code

When you have finished entering the information, click Save to retain your changes and add the form code to the list.