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1、Reaffirmed May 15, 1998 Financial Services Technical Publication Developed By Accredited Standards Committee X9 - Financial Services (CUSIP) Developed by Accredited Standards Committee X9 - Financial Services PUBLISHED BY X9 - SECRETARIAT AMERICAN BANKERS ASSOCIATION Copyright American National Stan
2、dards Institute Provided by IHS under license with ANSI Licensee=USN Ship Repair Facility Yokosuka/9961031100 Not for Resale, 05/09/2007 00:27:25 MDTNo reproduction or networking permitted without license from IHS -,-,- Copyright American National Standards Institute Provided by IHS under license wi
3、th ANSI Licensee=USN Ship Repair Facility Yokosuka/9961031100 Not for Resale, 05/09/2007 00:27:25 MDTNo reproduction or networking permitted without license from IHS -,-,- ANSI/ABA X9.6-1991 Revision of ANSI X9.6-1988 American National Standard for Financial Services Securities Identification (CUSP)
4、 Secretariat/Publisher American Bankers Association Approved June 4,199l American National Standards Institute Copyright American National Standards Institute Provided by IHS under license with ANSI Licensee=USN Ship Repair Facility Yokosuka/9961031100 Not for Resale, 05/09/2007 00:27:25 MDTNo repro
5、duction or networking permitted without license from IHS -,-,- American National Standard Approval of an American National Standard requires verification by ANSI that the require- ments for due process, consensus, and other criteria for approval have been met by the standards developer. Consensus is
6、 established when, in the judgment of the ANSI Board of Standards Review, substantial agreement has been reached by directly and materially affected interests. Sub- stantial agreement means much more than a simple majority, but not necessarily unanimity. Consensus requires that all views and objecti
7、ons be considered, and that a concerted effort be made toward their resolution. The use of American National Standards is completely voluntary; their existence does not in any respect preclude anyone, whether he has approved the standards or not, from manufac- turing, marketing, purchasing, or using
8、 products, processes, or procedures not conforming to the standards. The American National Standards Institute does not develop standards and will in no circumstances give an interpretation of any American National Standard. Moreover, no person shall have the right or authority to issue an interpret
9、ation of an American National Standard in the name of the American National Standards Institute. Requests for interpreta- tions should be addressed to the secretariat or sponsor whose name appears on the title page of this standard CAUTION NOTICE: This American National Standard may be revised or wi
10、thdrawn at any time. The procedures of the American National Standards Institute require that action be taken to reaffii, revise, or withdraw this standard no later than five years from the date of approval. 0 1991 by the American Bankers Association All rights reserved No part of this publication m
11、ay be reproduced in any form, in any electronic retrieval system or otherwise, without the prior written per- mission of the publisher. Printed in the United States of America Copyright American National Standards Institute Provided by IHS under license with ANSI Licensee=USN Ship Repair Facility Yo
12、kosuka/9961031100 Not for Resale, 05/09/2007 00:27:25 MDTNo reproduction or networking permitted without license from IHS -,-,- Contents Page Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Introduction . Scope and field of applicati
13、on . References Definitions Configuration of the CUSIP number Configuration of the International Standard Identification Number(ISIN) Issuance of numbers Maintenanceagency . . . . III 1 1 1 1 1 2 2 3 Appendices Appendix A - Maintenance agency procedures . . . . . _ . . . . . . . . . . . . . . 4 Appe
14、ndix B - Modulus 10 double-add-double technique . . . . . . . . . . . . . 7 Appendix C - National securities identification numbering agency 8 Copyright American National Standards Institute Provided by IHS under license with ANSI Licensee=USN Ship Repair Facility Yokosuka/9961031100 Not for Resale,
15、 05/09/2007 00:27:25 MDTNo reproduction or networking permitted without license from IHS -,-,- Foreword (This Foreword is not part of American National Standard, X9.6-l 991.) in 1962, after many informal discussions with members of the financial community, the New York Clearing House Association est
16、ablished a Securities Procedures Committee to study the question of developing a standard method of identifying securities. This Committee concluded that a uniform securities identification system was feasible and timely and - because of the magnitude of the problems to be solved and their far-reach
17、ing implications -the development of the system should involve the cooperation and support of the entire financial community. The Clearing House approached The American Bankers Association (ABA) to develop the system. In July 1964, the ABA s Committee on Uniform Security Identification Procedures (C
18、USIP) was created under the chairmanship of John L. Gibbons, Chairman of the Trust Committee of Chemical Bank New York Trust Company. The main goals of the CUSIP Committee were to develop specifications for a uniform security identification system, for devising a format of imprinting the identificat
19、ion system, for devising a format of imprinting the identification number on the certificate in man/machine readable type font, and to establish an agency to administer the identification system according to specifications. The CUSIP Committee appointed three subcommittees: The Technical Subcom- mit
20、tee to develop specifications, and Legal and Agency Subcommittees to imple- ment the system. Development of CUSIP Number In developing specifications for the numbering system, the CUSIP Technical Sub- committee found two needs: 1) that the number should contain as few characters as possible, and 2)
21、that it should be linked to an alphabetic sequence of issuer names, when possible. Also, the number should be capable of meeting future as well as present operating requirements; that it must be adaptable to the internal systems of all users, to communications systems, to automated document reading,
22、 etc.; and that the structure of the system should allow each user to assign numbers to securities or other assets carried by him but not covered by the CUSIP System. In January, 1967, the ABA announced the development of a CUSIP numbering system which met as closely as possible these criteria. This
23、 system is explained in detail in the Introduction. Basically, the CUSIP number consists of nine digits, the first six of which uniquely identify the issuer, and the two other characters (alphabetic or numeric) which identify the issue. The ninth digit is the check digit. This update to the CUSIP st
24、andard was necessitated by the June 18,199O CUSIP Agency Board of Trustees meeting and the resolutions passed therein. In sum, the resolutions describe: Expansion of eligibility rules and guidelines for the issuance of CUSIP numbers, That effetive January 1,1991, domestic CUSlPs will no longer be is
25、sued for non-North American securities, rather, the CUSIP International Numbering System (CINS) will be used, That effective January 1, 1992, positions 2 through 5 of the CUSIP issuers number will be alphanumeric, to cover the need for increased issuer/issue assignment, (Position 1 is already in use
26、 as an alpha-character for CINS.), Copyright American National Standards Institute Provided by IHS under license with ANSI Licensee=USN Ship Repair Facility Yokosuka/9961031100 Not for Resale, 05/09/2007 00:27:25 MDTNo reproduction or networking permitted without license from IHS -,-,- That also eff
27、ective January 1,1992, an alpha in the fifth position will be used and it is anticipated that CUSIP will phase in positions 4,3, and 2 beginning no earlier than 1993, That industry education on this change will be promoted and, That ANSI will be notified to modify the standard reflecting the above.
28、Suggestions for the improvement or revision of this standard will be welcomed. They should be sent to the X9 Committee Secretariat, American Bankers Associa- tion, 1120 Connecticut Avenue, N. W., Washington, D.C. 20036. This standard was processed and approved for submittal to American National Stan
29、dards Institute by the Accredited Standards Committee on Financial Services, X9. Committee approval of the standard does not necessarily imply that all committee members voted for its approval. At the time it approved the standard, the X9 committee had the following voting members: Harold G. Deal, C
30、hairman Alice Droogan, Vice Chairman, Administration John K. Easton, Jr., Vice Chairman, Marketing Organization Represented Representative American Bankers Association Katherine Needham American Express Eileen Bell Applied Communications, Inc. . Mary L. Levitt Bank of America. . John Coombs Canadian
31、 Bankers Association Tom Anderson Chase Manhattan Bank John McKessy Chemical Bank . Francis J. Keenan Citibank SeymourRose n Continental Bank . Joseph P. 07oole Deluxe Data Systems . Honora A. Norton Discover Card . James Higgins EDS, Inc. . Todd Franklin Federal Reserve Bank . Janet Absher IBM Corp
32、oration Daniel Sundberg Independent Bankers Association Owen 0. Freeman, Jr. Manufacturers Hanover Trust . Paul F. Mayland Mastercard International . Alice Droogan Mellon Bank . David P. Taddeo Moore Research Center. . Delmer H. Oddy National Computer Print Neal Keenum NCNB Harold G. Deal NCR Corpor
33、ation . A. R. Daniels National Security Agency. Gerard A. Rainville New York Clearing House Assn. . Vincent DeSantis PNC Financial Carp . John K. Easton, Jr. Unisys . Karl Sammons VISA . Patricia Greenhalgh Wells Fargo Bank . Jack Kilhefner XEROX Corporation . Glenn K. Mulligan . . . Ill Copyright A
34、merican National Standards Institute Provided by IHS under license with ANSI Licensee=USN Ship Repair Facility Yokosuka/9961031100 Not for Resale, 05/09/2007 00:27:25 MDTNo reproduction or networking permitted without license from IHS -,-,- Members of X9D - Securities included: Bea Schutz, Chairman
35、Organization Represented Representative American Bankers Association Nancy B. Wolcott Bank of America. . Lee Harbert Brown Brothers Harriman Irving B. Jacobs Chase Manhattan Bank Joh n P.Hughes Chemical Bank . William J. Kesselring Chicago Mercantile Exchange . Margie Najberg Melnick Citibank Ann Fo
36、ndanova Continental Bank . Robert J. Ptacek CSC Partners James McCauley cytrol Richard A. Fox Deluxe Corporation . James W. Gallup Depository Trust Company . Frank Petrillo Federal Reserve Bank of Chicago Dara Hunt First Interstate Bank . Amrua Khan Manufacturers Hanover Trust Company . Timothy C. C
37、rane MellonBank . PaulKrau s Midwest Clearing Corporation . Bea Schutz Morgan Stanley John Wozencroft National Securities Clearing Corp. Michael Kelleher Northern Bank Note . William D. Warner PNC Trust Thomas Joyce Quotron Norm Rille Shearson Lehman Hutton Robert Dick U.S. Banknote Corporation . Fr
38、ed R. Esty Wells Fargo Bank . Dora Chinn l Past X9D Chairman iv Copyright American National Standards Institute Provided by IHS under license with ANSI Licensee=USN Ship Repair Facility Yokosuka/9961031100 Not for Resale, 05/09/2007 00:27:25 MDTNo reproduction or networking permitted without license
39、 from IHS -,-,- AMERICAN NATIONAL STANDARD ANSI/ABA X9.6-1991 0 Introduction This American National Standard for securities and investment media identification recognizes the need for a common alphanumeric designation for issues of securities and other investment media. The ap- proach outlined herei
40、n is intended to permit the greatest degree of flexibility within the financial com- munity in facilitating interchange of securities, other investments and related communications. 1 Scope and field of application This standard provides specifications for uniquely identifying an eligible issue. It w
41、ill serve as the common denominator in communications among users for completion of transactions and exchange of information. It specifies both the configuration of the number and the meaning attached to each por- tion. 2 Normative references The following standards contain provisions which, through
42、 reference in this text, constitute provisions of this American National Standard. At the time of publication, the editions indicated were valid. All Standards are subject to revision, and parties to agreements based on this American National Standard are encouraged to investigate the pos- sibility
43、of applying the most recent editions of the Standards indicated below. IS0 3166-l 988 Codes for the representation of names and countries IS0 4217-l 990 Codes for the representation of currencies and funds IS0 6166-l 987 lntemational securities identifica- tion numbering system (/S/N) 3 Definitions
44、For the purpose of this American National Standard the following definitions apply: 3.1 check digit: A Modulus 10 Double-Add- Double technique is used as a means of verifying the CUSIP number. (See Appendix A for example.) 3.2 CUSIP number: The term that refers to the whole alphanumeric name of the
45、assigned issue. 3.3 issue number: A number used to identify each individual issue of an issuer. Each separate rate or maturity is considered a separate issue. 3.4 issuer number: A number assigned to each eligible issuer of securities or other investment media. 4 Configuration of the CUSIP number The
46、 CUSIP number will be 9 characters in length, consisting of a base number of six characters (either numeric or alphabetic, or a combination thereof) to be known as the issuer number, followed by two characters (either numeric or alphabetic, or a com- bination thereof) to be known as the issue number
47、, and a ninth digit to be known as the check digit (numeric only). 4.1 Issuer number To facilitate the assignment of issuer numbers cor- porate and governmental issuers are commingled to form a single alphabetic issuer file. An issuer number of six digits is assigned based on the al- phabetic sequen
48、ce of each eligible issuer of securities. One number is assigned to each issuer, except where two character issue numbers are not sufficient to accommodate all outstanding issues with their various rates and maturities. In such instances, the next sequential issuer number is assigned unless it is unavailable, in which case an overflow issuer number will be assigned. Issuer numbers 900 to 989 in each group of 1,000 available numbers are reserved for overflow. Num- bers in the overflow area are assigned in ascending sequence to any issuer which cannot