The Docs Search Page can be accessed by going to Docs>Documents>Search. The 'GUA' tab should be selected when searching for give-up agreement information in Docs. Search Criteria can be selected in the drop down menu on the left under 'Add Search Criteria' and is broken down into the following sections.
- Agreement Details
- Party Details
- Rate Schedules
- Limits & Conditions
Agreement Details can be broken down into the following categories and selected in the drop down:
- Agreement IDs (which can be typed in, but must be comma separated if entering multiple IDs)
- Agreement State (which shows the status of the agreement with check boxes to select)
- Agreement Type (which shows the type of agreement with check boxes to select)
- Agreement Initiating Party (which must be typed into the empty field)
- Last Modified by Party (which must be typed into the empty field)
Party details can be selected from the drop down to include Any Party Role - to capture all agreements with a party in all roles they operate in. If a specific role, such as Customer, Trader, Executing Broker, Clearing Broker, etc. is selected, the party name can be typed into the blank field and the 'Add' button will appear and can be selected.
Dates can be selected in the drop down according to the type of date (Effective Date, Execution Date, Termination Date, etc.) Once the type of date is selected, a calendar will pop up and the 'From' and 'To' dates must be populated and the green 'Apply' button selected.
Accounts can be filtered by the following types: Executing Account ID, Executing Account Description, Clearing Account ID, or Clearing Account Description. When searching for an account ID, it can be filtered further, as shown below. When entering a description, it can be typed into a blank field.
Rate schedules can be filtered by Name and Type (electronic or PDF), as well as further by specific Exchange, Product or Product Group. If searching for products on a specific Exchange, or by Product or Product Group, this can be typed into the blank field.
Transitions can be filtered by Party From, Party To, Transition Number, which can all be typed into the blank field and added, or by Agreement Version, in which Original or New can be selected.
Limits & Conditions
Limits and Conditions searches require a further selection to drill down into the the details.
Running a Docs Agreement Report with Search Criteria
Once all of the search criteria has been selected for the information needed, the Search Criteria column will appear as shown below and can be edited at any time. If all defined criteria is set, select 'Search' to display the results.
Results will show in the main section of the search page. The 'items per page' drop down defaults to a value of 30, however may be manually updated to show as many as 50 per page.
From the Search Results, individual agreements may be accessed by selecting the hyperlinked 'Agreement ID' field. Additionally, the Search Results maybe downloaded by selecting the 'Download Search Results (CSV)' button in the upper right corner of the page. The downloaded file includes a full list of agreements with the selected criteria and may be further filtered in Excel.
Running a Full Docs Agreement Report Without Specific Criteria
A user may run a Docs Agreement Report containing all agreements for which they have permissions for by selecting no search criteria and simply selecting the 'Search' button at the bottom left or top right of the page. This will generate a full listing of all agreements the user has permission to view in Docs and can be downloaded and filtered, as described above.
Filter Search Results Within Excel
Once the downloaded CSV file is opened, a filter may be applied to the results via the 'A-Z Sort & Filter' button in the upper right ribbon in Excel. This will put a filter drop down on the header row of each column, allowing the file to be filtered as desired by various criteria, including: State, Type, Party Name, Dates, etc.