To enable you to read and interpret SAC
ARBchek reports, SAC has prepared this list of definitions,
codes, and abbreviations that are unique to SAC's encoding
procedures. Commonly used or self-evident abbreviations are not
included. We have attempted to provide an exhaustive list. If
we have overlooked a definition or abbreviation, or if you still
need clarification of a term, please call us at 973-761-5880 or
e-mail us at help@sacarbitration.com.
*NOTE: All damage amounts with a decimal point need
to be multiplied by 1000.
Example: 10.0 = $10,000.00
Forum Codes |
| A |
AMEX |
American Stock Exchange |
| C |
CBOE |
Chicago Board Options Exchange |
| F |
NFA |
National Futures
Association |
| J |
JAMS |
Judges in Arbitration and
Mediation Services |
| M |
MSRB |
Municipal
Securities Rulemaking Board |
| N |
FINRA |
Financial Industry Regulatory
Authority |
| N |
NASD |
National
Association of Securities Dealers |
| P |
PCX |
Pacific Exchange (n/k/a NYSE Arca) |
| S |
|
Court Annexed |
| T |
CBOT |
Chicago Board of Trade |
| W |
MSE |
Midwest Stock
Exchange |
| X |
PHLX |
Philadelphia Stock Exchange |
| Y |
NYSE |
New York Stock
Exchange |
| Z |
AAA |
American Arbitration Association |
Broker Dealer Firms |
|
DLJ Secs |
Donaldson Lufkin & Jenrette Securities Corp. |
| DWR |
Dean Witter Reynolds, Inc., Morgan
Stanley DW, Inc. |
|
Everen |
Everen
Securities, Inc., First Union Securities, Inc.,
Wachovia Securities, Inc. |
| MLPFS |
Merrill Lynch Pierce Fenner Smith |
| PruBache (PSI) |
Prudential Securities, Inc.
(Prudential-Bache Securities), Wachovia Securities,
Inc. |
|
PWI |
PaineWebber,
Inc., UBS Financial Services, Inc. |
| SLH |
Smith Barney, Inc.
(Shearson/American Express, Shearson Lehman Bros.,
Smith Barney Shearson, and Salomon Smith Barney),
Citigroup Global Markets, Inc. |
|
TMcK |
Thomson McKinnon
Securities |
Abbreviations |
|
* |
used where the Award should have provided but did
not provide required information |
| 0 in
Amount Claimed Fields, including Counterclaim, Third
Party Claim, and Cross-claim Fields |
used where the amount
could not have been known or was a discretionary
number to be provided by the arbitrators at the end
of the hearing |
|
1 in Amount Claimed and Amount Awarded Fields |
amount not quantifiable, or resolution is other
than monetary award; i.e., declaratory judgment,
rescission (a 1 here signifies a
damage theory and prevents duplication of claimed
damage numbers), judgment of non-liability,
reformation of Form U-5, etc. |
|
|
