Security Restriction Report

A consolidated view of security restrictions across all or selected rules and investor accounts. Select an as-of date to monitor current status or trace historical restriction and release activity.

Choose Type

Select Register Report > Security Restriction Report

Define Criteria

  1. Select As of Date: The "As of Date" determines the reference point for your report. It can be set to today or any historical date, but cannot be a future date. All security restrictions reflected in the report represent the restriction quantity and release status as at the selected date.

  2. Include Fully Released: Include securities where all restrictions have been fully released.

  3. Include Zero Balance: Include investors whose holdings for this security exist on record but have a current balance of zero.

  4. Rule: Multi select existing published rules

  5. Security Class: Multi select security classes linked from selected rules

Generate Report

Your report is now ready to generate. Depending on the volume of data, generation may take a few seconds or longer. You can monitor the progress directly on the report generation screen, and once complete, simply click the Download button to access and view your report.