Helping firms create a centralized rate schedule repository

PDF Rate Schedule Digitization Initiative

In 2016, FIA Tech began communicating with all firms using the EGUS (now Docs) system regarding a mandatory Digitization project aimed at converting PDF rate schedules into an electronic rate format (eRate). The purpose of digitization is to help firms create a centralized rate schedule repository in Docs in order to improve and strengthen downstream brokerage settlement systems. Firms were encouraged to start the digitization process internally, and FIA Tech provided a series of live webinars to help firms adopt and learn to use electronic rate schedules. FIA Tech also partnered with eClerx to offer a cost effective and efficient way for firms to convert their PDF rate schedules into eRates.

For those firms opting to digitize in-house, an original goal was set to have pdf rate schedule digitization completed by Q1 2017. After that, FIA Tech communicated that an assessment fee of $40 USD per executed standard give-up agreements with only a PDF rate schedule and no waiver would be assessed to the Executing Broker party on the agreement. The digitization completion date was subsequently extended to the end of Q2 2017 to give firms more time to convert their rate schedules.

At the end of Q2 2017, FIA Tech implemented the PDF Rate Schedule Digitization Assessment to all Executing Broker parties who have not already digitized their rates and who are not working with eClerx. This assessment will be used towards the digitization process provided by eClerx on behalf of all parties on an agreement without eRates.

Please review our FAQs for answers to commonly asked questions about the digitization process and the assessment. Firms can also email FIA Tech with further questions

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