美国证券交易委员会的证券卖空规则(SHO)规定,收到涉及美国证券(“股票”)的卖空定单时,作为执行经纪商的盈透证券有限公司(“IB”)需要确定股票的出处以便及时进行结算。
如果IB客户不通过IB,而是通过其他清算经纪商或监管代理结算交易,那么该名客户必须与其清算经纪商或监管代理一起借用股票以便按时结算卖空交易,客户还需告知IB股票的出处。股票的出处为客户的清算经纪商或监管代理处,他们可能都有金融行业监管委员会(FINRA)分配的有效的MPID,或者客户可以请求IB向其指定一个四位数的出处代码。
下方是FINRA指定的MPID列表,或IB客户(使用IB以外清算经纪商或监管代理的客户)普遍使用的由IB指定的出处代码:
| 清算经纪商 | FINRA指定的有效MPID | IB指定的出处代码 |
| Bank of New York | BONY | |
| Societe General New York | SGNY | |
| Brown Brothers Harriman | BBHC | |
| Swiss American Securities Inc. | SWIS | |
| Interactive Brokers LLC | IBKR | |
| First Clearing, LLC | FCCP | |
| Ameritrade Inc. | FOMA | |
| Penson Financial Services, Inc. | PFSI | |
| Goldman Sachs (formerly, LIT Division of FOC) | GLDS | |
| Bear Stearns Securities Corp. | BSSC | |
| USAA Investment Management Company | USAA | |
| E*Trade Clearing LLC | ETRS | |
| ABN AMRO Inc. | ABNA | |
| CIBC World Markets Corp. | CWMK | |
| Goldman Sachs Execution and Clearing, LP. | GLDS | |
| Merrill Lynch Professional Clearing Corp. | PRST | |
| Deutsche Bank Securities, Inc. | DBPR | |
| Fiserv Securities Inc. | BHCS | |
| PAX Clearing Company Limited Partnership | PXCO | |
| GSECLP/FOC | GLDS | |
| Scott & Stringfellow, Inc. | BBNT | |
| McDonald Investments, Inc. | MDLD | |
| JP Morgan Chase Bank | JPMS | |
| Citibank, N.A. | CGQT | |
| State Street Bank and Trust Company | SSBS | |
| The Bank of New York – James Capel | BONY | |
| RBC Dominion Securities, Inc./CDS | RBCF | |
| NBCN Clearing, Inc./CDS | NBCN | |
| Barclays Capital Inc. | BCAP | |
| ABN AMRO Sage Corporation (California) | SGCL |
除了上述内容,您可以点击此处查看FINRA发布的有效MPID列表。
如果您的清算经纪商或监管代理并不持有FINRA指定的MPID或上述列表内由IB指定的出处代码,请点击此处发送邮件到IB,邮件需标明您清算经纪商或监管代理的名称,并提出您需要4位字符的代码以代指您借用来交易卖空定单的股票其出处。IB将审核您的请求,添加四位字符的代码以取代有效的MPID。