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Viewing holdings, securities, and transactions

Capital market firm employees view holdings, securities, and transactions in NexJ CRM to provide research, sales, and trading services to clients.

Holdings
A holding is a security that a company, institution, or fund owns. For example, the stocks and bonds held by a mutual fund are the fund's holdings. A holding in NexJ CRM includes information about the owner, security, number of shares, and holding value. An individual holding is also known as a position.

You can view all holdings on the Holdings workspace and also view a focused subset of holdings on the Contacts workspace in the Holdings subtab in the Portfolio tab.

Securities
A security is a tradable financial asset, such as debt (bonds or debentures), equities (stocks), or derivatives (futures, options, swaps, or forwards).

You can view securities issued by a company on the Contacts workspace in the Securities subtab in the Portfolio tab.

Transactions
A transaction is a record of financial activity between an institution and a client. Each transaction represents the revenue generated by the services that your organization provides to an institution. For example, a transaction record can represent a commission from a trade, deal, or research service. A transaction can also represent funds deposited by check.

You can view and filter transactions for all institutions or view a summary of revenue generated by a single institution. You can also view trading revenues for tickers that you cover and revenues for companies that you cover. You view transactions and revenues in the following locations:

Transactions workspace
View and filter all available transactions. Contacts workspaceView transactions and revenue for an institution in the Transactions subtab in the Portfolio tab.

Capital Markets tab for the Home workspace
In the Ticker Revenue Summary tab, view trading revenues for tickers and companies that you cover. In the Client Revenue Summary tab, view revenues for companies that you cover.

Viewing all holdings in the system

This topic applies only when Capital Markets functionality is enabled.

Search for and view holdings from all institutions and funds in the system from the Holdings workspace. For example, search to find the funds that hold a specific security, or search on changes in the number of shares held of a security.

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You can also conduct a focused search for an institution or fund's holdings in the Contacts workspace.

Holdings display in a list in the Holdings workspace. In the list, the Holding Created Manually icon indicates that the holding was manually created. Most of the data in your system is provided through data feeds. The Security has Coverage icon indicates that the security is covered by your firm. Information about the selected holding displays in the Details tab at the bottom of the workspace.

The following information indicates the value of individual holdings:

Value Held
The value of the shares or units.

Value Changed
The change in value from the Report Date to the Last Report Date. Negative values display in red surrounded by brackets.

Report Date
The most recent date on which information was updated for a security.

Last Report Date
The previous date on which information was updated for a security.

To search for holdings:

  1. Navigate to the Holdings workspace.
  2. To filter the holdings list, select values from one or more of the following lists at the top of the workspace:
    All Holdings
    All Holdings applies no filter conditions. To filter by institutions that the current user covers, select My Institutions from the list. You can also create a new filter and apply criteria such as security coverage, fund type, last reporting date, and shares changed.

    Info

    Filters that you create on the Holdings workspace are also available in the Holdings tab on the Contacts workspace.


    Any Ticker
    To filter by ticker, click Select in the Any Ticker field. In the Select Ticker dialog, select the ticker to filter on, then click OK.
    Any Institution

    To filter by institution, click Select in the Any Institution field. In the Select Institution dialog, select the institution to filter on, then click OK. Alternatively, select a different filter in the Set Filter field on top of the Select Institution dialog. You can also search for an institution, including using advanced search options.
    Any Fund
    To filter by fund, click Select in the Any Fund field. In the Select Fund dialog, select the fund to filter on, then click OK. Alternatively, select a different filter in the Set Filter field on top of the Select Fund dialog.

  3. [Optional] To filter using advanced search criteria, click Show Filter , then select values from one or more of the following lists:
    Securities Coverage by
    To filter by securities that are covered by a specific user, click Select in the Securities Coverage by field. In the Select User dialog, select the user to filter on, then click OK.
    Any Sector
    To filter by sector, select a sector from the list.
    Any Owner Type
    To filter either by fund or institution, select Fund or Institution from the list.
    Any Position
    To filter by recently added securities, select New Position Only from the list.

    Info

    A new position is a security added to a holding after the last report date for the holding.

    As you enter your search criteria, it displays as read-only text in the Filtered by field.

  4. To run the filter, click Run .

The holdings list refreshes to display results based on your filter and search criteria.

You can click on an institution name in the holdings list to open the record for the institution on the Contacts workspace.

Viewing holdings for an institution or fund

Viewing holdings for an institution or fund

You can view and search holdings for an institution or fund in the Holdings tab on the Contacts workspace.

In the Holdings tab, holdings display for the selected institution and for any funds belonging to the institution. The holdings list at the top of the workspace displays aggregate positions held by the institution and its funds. The details list at the bottom displays individual holdings for the security selected in the top list. The details list does not display when you view holdings for an individual fund.

You can also view and search all holdings in the system from the Holdings workspace.

To view holdings for an institution or fund:

  1. Navigate to the Contacts workspace.
  2. Select an institution or fund to view holdings for.
    The selected institution or fund's profile opens.
  3. In the Portfolio tab, select the Holdings tab.
    Positions held by the institution or fund display in a list.
  4. To filter the aggregate holdings list, select values from one or more of the following fields at the top of the Holdings tab.
    All Holdings Aggregate
    All Holdings Aggregate applies no filter conditions. You can also create a new filter and apply criteria such as value changed and value held.
    Any Ticker
    To filter by ticker, click the Select button . In the Select Ticker dialog, select the ticker to filter on, then click OK.
    Any Sector
    To filter by sector, click the down arrow and select a sector from the list.
    Any Holding Type
    To filter by holding type, click the down arrow and select a holding type from the list. For example, filter by equity or fixed income holdings.

    Info

    The Any Ticker filter does not display when you view holdings for an individual fund.

    The details list at the bottom of the workspace displays the individual holdings for the holding selected in the aggregate holdings list.

  5. To filter the details list at the bottom of the workspace, do one of the following:
    • Apply another filter by clicking the down arrow and selecting a filter. All Holdings applies no filter conditions.
    • Create a new filter and define filter criteria, such as value changed and value held.

The holdings list refreshes to display results based on your filter criteria.

Related links

Viewing all holdings in the system

Viewing securities issued by a company

This topic applies only when Capital Markets functionality is enabled.

View the securities that are issued by a company.

For example, view the common and preferred shares, and debt issued by a company.

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You can only view securities for company contact types. For example, you cannot view securities for corporate or institution contact types.

To view securities issued by a company:

  1. Navigate to the Contacts workspace.
  2. Select a company to view issued securities for the company.
    The selected company's profile opens.
  3. In the Portfolio tab, select the Securities tab.
    Securities issued by the company display in a list.
  4. If necessary, filter and search the list to find a specific security or a set of securities. For example, filter by security class.
  5. Select a security from the list to view details about the security.

Details for the selected security display below the list of issued securities.

Viewing all financial transactions in the system

This topic applies only when Capital Markets functionality is enabled.

Search for and view transactions from all available institutions on the Transactions workspace.

Transactions display in a list in the Transactions workspace. In the list, the Security has Coverage icon  indicates that the security is covered by your firm.

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You can also view transactions for a single institution on the Contact workspace by selecting the Portfolio tab, then selecting the Transactions tab.

To view and filter transactions:

  1. Navigate to the Transactions workspace.
  2. To filter the transactions list, select values from one or more of the following lists at the top of the workspace:
    All Transactions
    All Transactions applies no filter conditions. To filter by companies that the current user covers, select My Institutions from the list. You can also create a new filter and apply criteria such as security coverage, trade commission, quantity of shares traded, and transaction amount.

    Info

    Filters that you create on the Transactions workspace are also available in the Transactions tab on the Contacts workspace.


    Any Institution
    To filter by institution, click Select in the Any Institution field. In the Select Institution dialog, select the institution to filter on, then click OK. Alternatively, select or create a new filter.
    Any Ticker
    To filter by ticker, click Select in the Any Ticker field. In the Select Ticker dialog, select the ticker to filter on, then click OK.

  3. [Optional] To filter using advanced search criteria, click Show Filter   , then select values from one or more of the following lists:
    Securities Covered by
    To filter by securities that are covered by a specific user, click Select in the Securities Covered by field. In the Select User dialog, select the user to filter on, then click OK.
    Any Origination Region
    To filter by trading region, select a region from the list.
    Any Sector
    To filter by sector, select a sector from the list.
    Bought or Sold
    To filter by buy trades or sell trades, select Bought or Sold from the list.
    Any Transaction Type
    To filter by transaction type, select a transaction type from the list. For example, select New Issue.
    Any Date
    To filter by predefined date, select a date from the list. For example, select Last 30 days. To define the date range, select Specify Date Range, then define start and end dates in the Date From and Date To fields.

    Info

    As you enter your search criteria, it displays as read-only text in the Filtered by field.

  4. To run the filter, click Run .

The transactions list refreshes to display results based on your filter and search criteria. Details of the selected transaction display in the Detail tab.

You can click on an institution in the transactions list to open the record for the institution on the Contacts workspace.

Related links

Viewing transactions for an institution

Viewing transactions for an institution

You can view and search transactions for an institution on the Contacts workspace.

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You can also view and search all transactions in the system from the Transactions workspace.

To view transactions for an institution:

  1. Navigate to the Contacts workspace.
  2. Select an institution to view transactions for.
    The selected institution's profile opens.
  3. In the Portfolio tab, select the Transactions tab.
    Transactions for the institution display in a list.
  4. To filter the transactions list for a institution, select values from one or more of the following fields at the top of the Transactions tab:
    All Transactions
    All Transactions applies no filter conditions. You can also create a new filter and apply criteria such as the trade commission, quantity of shares traded, and transaction amount.
    Any Ticker
    To filter by ticker, click the Select button . In the Select Ticker dialog, select the ticker to filter on, then click OK.
    Any Origination Region
    To filter by trading region, select a region from the list.
    Any Trade Side
    To filter by buy trades or sell trades, select Buy or Sell from the list.
    Any Sector
    To filter by sector, select a sector from the list.
    Any Transaction Type
    To filter by transaction type, click the Show Filter button and select a transaction type from the list. For example, select New Issue.
    Any Date
    To filter by predefined date, click the Show Filter button and select a date from the list. For example, select Last 30 days. To define the date range, select Specify Date Range, then define start and end dates in the Date From and Date To fields.
  5. To run the filter, click Run .
    The transactions list refreshes to display results based on your filter criteria.
  6. To also show transactions for funds that belong to the institution, click the Options button  and select Show Transactions from Children . To only show transactions for the institution, click the Options button  again and select Show Transactions from Children to deselect it.

The transactions list refreshes to display results based on your filter criteria. Details of the selected transaction display in the Detail tab at the bottom of the workspace.

Related links

Viewing all financial transactions in the system

Viewing revenue summary

This topic applies only when Capital Markets functionality is enabled.

View a summary of revenue generated from the services that you provide to an institution. Revenue is totaled by transaction type and region.

Transaction types include facilitation, hard dollar checks, new issues, and trade revenue. For each transaction type, revenue displays for this year to date and for the previous year. You can change the displayed date to show revenue by calendar or fiscal year.

To view a revenue summary for an institution:

  1. Navigate to the Contacts workspace.
  2. Select the institution you want to view revenue for.
  3. In the Portfolio tab, select the Revenue Summary tab.
    A summary of revenue displays for the institution.
  4. To change the date, select Calendar Year or Fiscal Year from the list of accounting periods.
  5. To also show revenues from child institutions that belong to a parent institution, click the Options button  and select Show Revenue Summaries from Children . To only show revenues from parent institutions, click the Options button  again and select Show Revenue Summaries from Children to deselect it.

Revenues display for the selected year-end date setting.

Viewing trading revenues for tickers that you cover

This topic applies only when Capital Markets functionality is enabled.

View a summary of trading revenues for the tickers that you cover.

For each ticker, you can view the total value of shares bought and sold, number of shares traded, trade and commission values, and the average trading price for the time period that you define.

You can also open the Transactions workspace from a ticker in the list to display the individual buy and sell trade transactions for the ticker.

To view trading revenues for tickers that you cover:

  1. Navigate to the Home workspace.
  2. Select the Capital Markets tab, then select the Ticker Revenue Summary tab.
    A summary of trading revenues displays for the tickers that you cover.
  3. Use the drop down boxes at the top of the list to filter values in the list:
    1. In the left box, select Daily to display trades for the last trading day or Year to Date to display trades for this year to date.
    2. In the right box, select Bought to display buy trades, Sold to show sell trades, or Bought or Sold to show all trades.
  4. To view the individual trades for a ticker in the Transactions workspace, click the Action button  beside a security, then select View Transactions .
    The Transactions workspace opens. Individual trades for the ticker display in transactions list.

Trades display for the time period and trade type that you specify.

Viewing revenues from transactions for companies that you cover

This topic applies only when Capital Markets functionality is enabled.

View a summary of revenues generated by transactions for the companies that you cover.

You can also open the Transactions workspace from a company in the list to display individual transactions for the company.

To view client revenues for companies that you cover:

  1. Navigate to the Home workspace.
  2. Select the Capital Markets tab, then select the Client Revenue Summary tab.
    A summary of revenues displays for the companies that you cover.
  3. Specify the display range for transactions by selecting Calendar Year or Fiscal Year from the YTD Revenue list.
  4. To view the individual transactions for a company in the Transactions workspace, click the Action button  beside a company, then select View Transactions .
    The Transactions workspace opens. Individual transactions for the company display in transactions list.

Client revenues display for the date that you specify.