General Information



Search Instructions & TipsSEARCH TIPSSearching by Security Code (CUSIP, ISIN, SEDOL, FUNDSERV, LIPPER ID, etc) or Ticker will provide the most accurate results.When searching for: Municipal or Government Bonds – search by security code (cusip or isin)Mutual Funds – It is best to search for mutual funds using the ticker symbol or CUSIP number or security code. If searching by name, type in the name of the entity sponsoring the mutual funds (For example, “AIM”, “Dreyfus”, “Fidelity”, etc.). Scroll through the items or narrow your search by adding more of the name such as, “AIM Equity”. REQUIRED FIELDSSearch Categories: Issuer Name – Search by security name. Use the shortest search string in order to narrow your search and obtain maximum number of hits. For example, if you are searching for “Summit Technologies Inc”, enter “Summit Tech”, “Summit T”, or “Summit”.Abbreviations –Many securities are listed with abbreviations. For example; “Inc” may be used for Incorporated, “Co” for Company, “Int” or “Intl” for International, “Bk” for bank, “Mkt” for market, “Cnty” for county, “U S or US” for United States, etc.Numbers – Search for both “first” and “1st” or “one” and “1”.Punctuation – Do not use punctuation marks or other characters in search (i.e. . , * + ; ! /) “The” – “The” may be part of the legal name of the entity. Use the Contains search to find the security name or perform a search with and without “The”.Security Code – Search by various security codes assigned to financial instruments.CUSIP – A 9 character identification code assigned to stocks and registered bonds of the US & Canada. ISIN – International Securities Identification Number is a 12 character identification code assigned to internationally traded securities.SEDOL – Stock Exchange Daily Official List is a 7 character code assigned to securities on the London Stock Exchange and on small exchanges in the UK.APIR – A 9 character ID code assigned to securities listed on the Asia Pacific Investment moncode – ID code assigned, used jointly by CEDEL & EUROCLEAR.CINS – ID code extension of CUSIP, may be used as bridge to ISIN.FUNDSERV – ID code for funds.SICOVAM – ID code assigned to identify financial instruments of France.VALOR – ID code assigned to identify financial instruments of Switzerland.WKN – ID code assigned to identify financial instruments of Germany.Ticker – Search by security’s Ticker Symbol (if known). If the Ticker Symbol input does not yield the proper result, you cannot conclude that the security you are searching is permitted. Switch the Search Category and continue searching or contact Ask Independence ()Security GIS ID – GIS ID may be obtained from the EY professional and is used in performing internal Independence Monitoring System searches.Search By: Starts With or ContainsSearch using Starts With first. If your search returns no items or does not contain the desired security, then search using Contains. Using Contains will retrieve the string of text from anywhere in the record and is a more thorough means of searching.Security Value: Box in which you enter string of characters to be searched. The engine searches exactly what you type, so be sure spelling is correct. Do not use punctuation marks, be aware of abbreviations, numbers, and the word “the” (see previous instruction under search category).OPTIONAL FIELDS are used for more direct searches. Country: Search by country in which security is listed. To expand results, set filter to “All Countries.”Security Class: Shares, Debt, Open-End Fund, Funds Other than Open-End, Government, Other. The “All” selection yields the most comprehensive results. Restriction Indicator: Refer to legend. Evaluating ResultsIt is important that you understand the results of your search. You may not infer that the security is permitted if it is not included in your result set. Listed below are the restriction indicators. Restriction indicators are determined based on the information in the Global Independence System (GIS) as of the previous day. Restriction Indicators icons that illustrate whether the security is:If no search results are found, submit a request to Ask Independence. ................
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