Securities Data Model

The Financial Industry Business Data Model (FIB-DM) is the largest reference standard for Investment Funds.

The Securities package covers design patterns common to all asset classes: Securities identification, classification, restrictions, schedules, issuance, baskets and pools, assets, and listings.

Other packages include asset class specific entities like debt, equities as well as Derivatives and indices.

The diagram shows all entities of the Securities package. See the Securities diagram gallery for smaller diagrams of the sub-packages.

The image below is mobile friendly, 25% size. Click on the diagram or here to the full-size, 5703 x 4282-pixel Scalable Vector Graphics (SVG) diagram.

The table lists the entities in the diagram with their name, code, and definition. The complete data model report and data dictionary is on the FIB-DM webpage.

applies Tofibo-fnd-rel-rel:appliesToa relation indicating something that is pertinent or relevant to the concept
Asset Classfibo-sec-sec-cls:AssetClassa financial instrument classifier for a group of securities that exhibit similar characteristics, behave similarly in the marketplace and are subject to the same laws and regulations
Auction Date Rulefibo-sec-sec-sch:AuctionDateRulea business recurrence interval convention that is a published rule for defining the date of some auction event
Basket Of Indicesfibo-sec-sec-bsk:BasketOfIndicesa basket made up of market indices
Basket Of Indices Constituentfibo-sec-sec-bsk:BasketOfIndicesConstituenta single constituent of a basket of indices
Basket Of Securitiesfibo-sec-sec-bsk:BasketOfSecuritiesa basket of traded securities
Best Efforts Offeringfibo-sec-sec-iss:BestEffortsOfferinga securities offering that is sold on a best efforts, rather than firm commitment, basis, whereby investment bankers commit to doing their best to sell the securities offered, but do not assume the full risk of an underwriter
Blue Sky Lawfibo-sec-sec-rst:BlueSkyLawa kind of securities regulation passed by various states, designed to protect investors against securities fraud by requiring sellers of new issues to register their offerings and provide financial details
Calculation Periodfibo-sec-sec-sch:CalculationPerioda date period defined as the number of days from the start of the calculation period to the scheduled end date of the period
Calculation Period Lengthfibo-sec-sec-sch:CalculationPeriodLengthan explicit duration defined as the number of days from the adjusted effective or start date to the adjusted termination or end date calculated in accordance with the applicable day count fraction
characterizesfibo-fnd-rel-rel:characterizesa feature or quality that distinguishes something from something else
classifiesfibo-fnd-rel-rel:classifiesarranges in classes; assigns to a category
comprisesfibo-fnd-rel-rel:comprisesincludes, especially within a particular scope, is made up of
Contractual Restrictionfibo-sec-sec-rst:ContractualRestrictioncontract terms setting out restrictions on either the holder or the issuer of the security, as specified in the terms of the instrument itself
Conversion Termsfibo-sec-sec-iss:ConversionTermscontract terms specifying when and how a security may be converted to another security (usually of the same issuer)
Convertible Securityfibo-sec-sec-iss:ConvertibleSecuritya security that can be converted into another security
Datefibo-fnd-dt-fd:Datea calendar day on some calendar
Date Periodfibo-fnd-dt-fd:DatePerioda time span over one or more calendar days, defined by at least two of three properties: (1) a start date, (2) an end date, and (3) a date period (duration); if more than one of these properties is missing, the DatePeriod is invalid
Date Returned By Settlement Date Rulefibo-sec-sec-sch:DateReturnedBySettlementDateRulea rule-determined date that is a published rule for defining the date returned by settlement date
Date Returned By Trading Date Rulefibo-sec-sec-sch:DateReturnedByTradingDateRulea rule-determined date that is a published rule for defining the date returned by trading date
Debt Poolfibo-sec-sec-pls:DebtPoola pool consisting of debt instruments, such as bonds, loans or mortgages
definesfibo-fnd-rel-rel:definesdetermines or identifies the essential qualities or meaning of, discovers and sets forth the meaning of, fixes or marks the limits of, demarcates
Exchange And Listing Servicefibo-sec-sec-lst:ExchangeAndListingServicea trading and (optionally) listing service for the purposes of securities trading
Exchange Identifierfibo-sec-sec-lst:ExchangeIdentifieran identifier allocated to a securities exchange
Exchange Specific Securities Registryfibo-sec-sec-id:ExchangeSpecificSecuritiesRegistrya registry used by a securities exchange in managing the security identifiers and related information that it registers and manages
Exchange Specific Securities Registry Entryfibo-sec-sec-id:ExchangeSpecificSecuritiesRegistryEntryan entry in an exchange-specific securities repository
Exchange Specific Security Identification Schemefibo-sec-sec-id:ExchangeSpecificSecurityIdentificationSchemean identification scheme used by a securities exchange in issuing security identifiers
Exchange Traded Securityfibo-sec-sec-lst:ExchangeTradedSecuritya listed security that may be traded on a particular exchange
Exempt Offeringfibo-sec-sec-iss:ExemptOfferinga public offering involving securities that are exempt from certain regulatory reporting requirements, either because the issuer is exempt or the transaction specific to the offering is exempt
Financial Instrument Classification Schemefibo-sec-sec-cls:FinancialInstrumentClassificationSchemea classification scheme defining a particular classifier for a security, such as the ISO 10962 CFI classification scheme
Financial Instrument Classifierfibo-sec-sec-cls:FinancialInstrumentClassifiera standardized classifier for a financial instrument based on its type
Financial Instrument Global Identifier Registry Entryfibo-sec-sec-idind:FinancialInstrumentGlobalIdentifierRegistryEntryan entry in a Financial Instrument Global Identifier (FIGI) registry
Financial Instrument Identification Schemefibo-sec-sec-id:FinancialInstrumentIdentificationSchemea formal definition of the structure and application of a particular set of financial instrument identifiers
Firm Commitment Offeringfibo-sec-sec-iss:FirmCommitmentOfferinga securities offering whereby the underwriter purchases the securities outright for their own account
Floating Rate Note Datefibo-sec-sec-sch:FloatingRateNoteDatea calculated date associated with a floating-rate note, also known as a floater or FRN, which is a debt instrument with a variable interest rate
Floating Rate Note Date Rulefibo-sec-sec-sch:FloatingRateNoteDateRulea business day adjustment rule applied to floating-rate note instruments
Fund Familyfibo-sec-sec-pls:FundFamilya collection of managed investments that are all managed by a single investment institution
governsfibo-fnd-rel-rel:governsprevails or has decisive influence over; exercises authority
has Acquisition Pricefibo-sec-sec-ast:hasAcquisitionPricehas a value as of the date of acquisition, expressed as an amount of money or goods
has Business Day Adjustmentfibo-fnd-dt-bd:hasBusinessDayAdjustmentidentifies a convention for adjustment of the business day for handling weekends and holidays
has Business Day Conventionfibo-fnd-dt-bd:hasBusinessDayConventionidentifies a convention regarding how a date should be handled when it falls on a day that is not a business day
has Constituentfibo-fnd-arr-arr:hasConstituentan essential part, component, or element of some collection or set
has Contractual Elementfibo-fnd-agr-ctr:hasContractualElementindicates an element, such as contractual definitions, terms describing commitments and the like, that forms part of a contract
has Coverage Areafibo-fnd-plc-cty:hasCoverageAreaindicates a geographic region in which some service is provided, or to which some policy applies, or in which something is available
has Currencyfibo-fnd-acc-cur:hasCurrencya medium of exchange value in which something, such as a monetary amount is defined
has Date Of Issuancefibo-fnd-arr-doc:hasDateOfIssuancelinks something, typically an agreement, contract, or document, with the date it was issued
has Durationfibo-fnd-dt-fd:hasDurationthe duration of a date period or similar concept, such as the tenor of a contract
has End Datefibo-fnd-dt-fd:hasEndDatethe ending date of some Schedule or DatePeriod
has Expiration Datefibo-fnd-arr-doc:hasExpirationDatelinks something, typically an agreement, contract, document, or perishable item, with an expiration date
has Governing Jurisdictionfibo-fnd-agr-ctr:hasGoverningJurisdictionthe jurisdiction governing the contract, as agreed by all parties
has Holding Periodfibo-sec-sec-rst:hasHoldingPeriodidentifies a holding period applicable to some financial asset
has Identityfibo-fnd-rel-rel:hasIdentityprovides a means for identifying something that fills a particular role
has Inforcefibo-fnd-law-cor:hasInforcerelates a jurisdiction or situation to a rule, regulation or law (collectively “law”) that is currently in force in that situation or jurisdiction
has Listing Datefibo-sec-sec-lst:hasListingDateindicates the date on which a security is listed
has Offering Pricefibo-fbc-pas-fpas:hasOfferingPriceindicates the price associated with an offering, which may be an explicit or calculated price
has Partfibo-fnd-rel-rel:hasPartindicates any portion of a thing, regardless of whether the portion itself is attached to the remainder or detached; cognitively salient or arbitrarily demarcated; self-connected or disconnected; homogeneous or gerrymandered; material or immaterial; extended or unextended; spatial or temporal
has Party In Rolefibo-fnd-pty-pty:hasPartyInRoleidentifies a party acting in a specific role as related to the particular agreement, contract, policy, regulation, or other business relationship
has Recurrence Start Datefibo-fnd-dt-fd:hasRecurrenceStartDatethe starting Date of the first recurrence of a RegularSchedule
has Registry Entryfibo-fbc-fct-ra:hasRegistryEntrylinks a registry to entries that it contains
has Restrictionfibo-sec-sec-rst:hasRestrictionidentifies a restriction applicable to a given financial instrument or listing
has Start Datefibo-fnd-dt-fd:hasStartDatethe starting Date of something
holdsfibo-fnd-rel-rel:holdsis the relationship between a party and something it possesses, or over which it exercises some ownership or control or has at its discretion the ability to dispose of it as it sees fit
Individual Investorfibo-sec-sec-rst:IndividualInvestoran investor that is a person, rather than an organization, who may or may not be considered a qualified investor from a legal perspective
Institutional Investorfibo-sec-sec-rst:InstitutionalInvestoran organization that trades large volumes of securities
Instrument Poolfibo-sec-sec-pls:InstrumentPoola pool consisting of financial instruments that may be included in the same investment vehicle
International Money Market Australian Dollar Trading Date Rulefibo-sec-sec-sch:InternationalMoneyMarketAustralianDollarTradingDateRulea trading date rule defined as the last trading day of an Australian Stock Exchange (ASX) 90-Day Bank Accepted Futures and Options product, one Sydney business day preceding the second Friday of the relevant settlement month
International Money Market Canadian Dollar Trading Date Rulefibo-sec-sec-sch:InternationalMoneyMarketCanadianDollarTradingDateRulea trading date rule defined as the last trading day / expiration day of the Canadian Derivatives Exchange (Bourse do Montreal Inc.), three month Bankers’ Acceptance Futures (Ticker symbol BAX), the second London banking day prior to the third Wednesday of the contract month
International Money Market New Zealand Dollar Trading Date Rulefibo-sec-sec-sch:InternationalMoneyMarketNewZealandDollarTradingDateRulea trading date rule defined as the last trading day of an Australian Stock Exchange (ASX) New Zealand (NZ) 90-Day Bank Accepted Futures and Options product, the first Wednesday after the ninth day of the relevant settlement month
International Money Market Settlement Date Rulefibo-sec-sec-sch:InternationalMoneyMarketSettlementDateRulea settlement date rule as defined in the International Money Market (IMM) settlement dates calendar
International Securities Identification Numberfibo-sec-sec-id:InternationalSecuritiesIdentificationNumbera security identifier that is defined as specified in ISO 6166, Securities and related financial instruments — International securities identification numbering system (ISIN)
International Securities Identification Numbering Schemefibo-sec-sec-id:InternationalSecuritiesIdentificationNumberingSchemea formal definition of the structure and application of a ISINs as defined in ISO 6166
Investors Domicile Restrictionfibo-sec-sec-rst:InvestorsDomicileRestrictiona legal holding restriction that specifies where holders of a security may be domiciled
is Issued Infibo-sec-sec-lst:isIssuedInidentifies the exchange in which a security is issued
is Registered Byfibo-fbc-fct-ra:isRegisteredByindicates the registration authority that registers something
is Traded Onfibo-sec-sec-lst:isTradedOnidentifies the trading facility on which the security is traded
issuesfibo-fnd-rel-rel:issuesis made available by
Legal Holding Restrictionfibo-sec-sec-rst:LegalHoldingRestrictiona security restriction applicable to holding the security
Legal Restrictionfibo-sec-sec-rst:LegalRestrictiona securities restriction that is mandated by law or regulation
Listed Securityfibo-sec-sec-lst:ListedSecuritya registered security listed on a specific exchange
Listed Security Identifierfibo-sec-sec-id:ListedSecurityIdentifiera security identifier issued in the public domain and referred to in listings and other relevant publications
Managed Investmentfibo-sec-sec-pls:ManagedInvestmentan investment pool that is controlled by a professional investment manager who invests the pool in various financial instruments and assets that align with their investment objectives and is overseen by a board of directors
mandatesfibo-fnd-rel-rel:mandatesrelates something to a commitment, contract, law, obligation, requirement, regulation, or similar concept that requires it
Mixed Basketfibo-sec-sec-bsk:MixedBasketa basket that has a mix of constituents, including securities and indices
National Numbering Agencyfibo-sec-sec-id:NationalNumberingAgencya registration authority responsible for issuing and managing National Securities Identifying Numbers for securities in accordance with the ISO 6166 standard in some jurisdiction (typically that of a country)
National Securities Identifying Numberfibo-sec-sec-id:NationalSecuritiesIdentifyingNumbera generic, nine-digit alpha numeric code which identifies a fungible security, assigned by a national numbering agency under the ISO 6166 standard
National Securities Identifying Number Registryfibo-sec-sec-id:NationalSecuritiesIdentifyingNumberRegistrya registry used by a national numbering agency to manage the financial instrument identifiers and related information that it registers
National Securities Identifying Number Registry Entryfibo-sec-sec-id:NationalSecuritiesIdentifyingNumberRegistryEntryan entry in a National Securities Identifying Number registry
National Security Identification Schemefibo-sec-sec-id:NationalSecurityIdentificationSchemea security identification scheme, defining the format and structure of a National Securities Identifying Number (NSIN), published nationally on behalf of a country
Non Rolling Datefibo-sec-sec-sch:NonRollingDatean explicit date that equates to a calendar date with no adjustments and with no reference to any date specification
Notional Financial Marketplacefibo-sec-sec-lst:NotionalFinancialMarketplacea place which is identified as a financial market but which is not a physical place such as a country or region. This may be a conceptual place such as the Eurobond market or the Global market.
Offering Documentfibo-sec-sec-iss:OfferingDocumenta legal document that states the objectives, risks and terms of an investment
Offering Statementfibo-sec-sec-iss:OfferingStatementan offering memorandum that conforms to Regulation A, Offering Statement, of the Securities Act of 1933
Parametric Schedulefibo-sec-sec-sch:ParametricSchedulea regular, parameterized schedule typically used for the calculation of payments for coupons, dividends, and interest
Periodic Scheduled Event Datefibo-sec-sec-sch:PeriodicScheduledEventDatethe date on which a schedule event occurs in some parametric schedule
Poolfibo-sec-sec-pls:Poola combination of resources for a common purpose or benefit
Pool Constituentfibo-sec-sec-pls:PoolConstituentsomething that is a component of a pool
Pool Equityfibo-sec-sec-pls:PoolEquitya share or proportion of the capital gains in some pool investment such as a fund or a debt asset pool
Pooled Fundfibo-sec-sec-pls:PooledFunda pool of funds that a group of investors combines for common benefit
Portfoliofibo-sec-sec-ast:Portfolioa collection of investments (financial assets) such as stocks, bonds and cash equivalents, as well as mutual funds
Portfolio Holdingfibo-sec-sec-ast:PortfolioHoldingthe contents of holding of one or more portfolios of investments held by an individual investor or entity
Pricefibo-fnd-acc-cur:Pricean amount of money, goods, or services requested, expected, required, or given in exchange for something else
Private Offeringfibo-sec-sec-iss:PrivateOfferingan offering of securities made privately to a limited number of qualified potential investors
Private Placement Memorandumfibo-sec-sec-iss:PrivatePlacementMemoranduma legal document stating the objectives, risks and terms of investment involved with a private placement
Proprietary Security Identification Schemefibo-sec-sec-id:ProprietarySecurityIdentificationSchemea security identification scheme published by a data provider or other commercial entity
Proprietary Security Identifierfibo-sec-sec-id:ProprietarySecurityIdentifieran identifier supplied by a commercial data provider or government, such as a RIC code
Prospectusfibo-sec-sec-iss:Prospectusa formal, written offering document to sell securities that provides the facts an investor needs to make an informed investment decision
providesfibo-fnd-rel-rel:providesmakes something available
provisionsfibo-fnd-pas-pas:provisionscustomizes, provides, or outfits something required for use in delivering a service
Public Offeringfibo-sec-sec-iss:PublicOfferingan offering of securities for sale to the investment public, after compliance with registration requirements of the relevant regulatory authorities
Qualified Investor Restrictionfibo-sec-sec-rst:QualifiedInvestorRestrictiona legal holding restriction specifying that only qualified investors may hold the security, optionally for a defined holding period (if this is not defined then the period is indefinite)
Registered Securityfibo-sec-sec-lst:RegisteredSecuritya security that is registered with some registration authority and that may be traded in some trading venue (market)
Regulation Sfibo-sec-sec-rst:RegulationSa securities regulation defining an exemption through which corporations can issue unregistered securities to qualified foreign investors and foreign institutions
Restriction144Afibo-sec-sec-rst:Restriction144Aa Securities & Exchange Commission rule modifying a two-year holding period requirement on privately placed securities to permit qualified institutional buyers to trade these positions among themselves
Rule Determined Datefibo-sec-sec-sch:RuleDeterminedDatea date determined by the application of some rule
Scheduled Calculation Period End Eventfibo-sec-sec-sch:ScheduledCalculationPeriodEndEventthe end date of a specific calculation period
Scheduled Calculation Period Start Eventfibo-sec-sec-sch:ScheduledCalculationPeriodStartEventthe start of a specific calculation period
Securities Basket Constituentfibo-sec-sec-bsk:SecuritiesBasketConstituenta security identified as a component of a basket of securities
Securities Contract Termsfibo-sec-sec-iss:SecuritiesContractTermsone or more contractual commitments that are specific to financial instruments that can be bought or sold and may or may not be negotiable
Securities Exchangefibo-sec-sec-lst:SecuritiesExchangean organized, national exchange where securities, options, and futures contracts may be traded by members for their own accounts and for the accounts of their customers
Securities Offeringfibo-sec-sec-iss:SecuritiesOfferingan offering of a security (or securities) for sale
Securities Poolfibo-sec-sec-pls:SecuritiesPoola pool of securities organized for the purpose of issuing notes against those securities
Securities Pool Constituentfibo-sec-sec-pls:SecuritiesPoolConstituenta security that is included in a securities pool
Securities Regulationfibo-sec-sec-rst:SecuritiesRegulationa regulation codified in law specific to securities and investments
Securities Restrictionfibo-sec-sec-rst:SecuritiesRestrictiona legal restriction that is applicable to a financial instrument or security listing as mandated in a law or by contract
Security Holderfibo-sec-sec-ast:SecurityHoldera party that holds a transferable contract (security), and has the rights defined in that contract
Security Holdingfibo-sec-sec-ast:SecurityHoldinga (tradable) security held in a portfolio
Security Identification Schemefibo-sec-sec-id:SecurityIdentificationSchemea formal definition of the structure and application of a particular set of securities identifiers
Security Identifierfibo-sec-sec-id:SecurityIdentifierany publicly available identifier that is used to identify a security
Security Listingfibo-sec-sec-lst:SecurityListinga capability for listing a security provided by a securities trading facility
Security Underwriterfibo-sec-sec-iss:SecurityUnderwritera party that has purchased from an issuer with a view to, or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking
Security Underwriting Arrangementfibo-sec-sec-iss:SecurityUnderwritingArrangementan underwriting arrangement between an organization (typically an investment bank) and a securities issuer that commits the underwriter to assuming risk involved in buying a new issue of securities from an issuing corporation or government entity and reselling it to the public, either directly or through dealers
Settlement Date Rulefibo-sec-sec-sch:SettlementDateRulea rule for determining dates by reference to some calendar or specification of settlement dates
Trading Date Rulefibo-sec-sec-sch:TradingDateRulea rule for dates defined with reference to some trading date calendar published by some trading facility or authority, such as a stock exchange
Trading Restrictionfibo-sec-sec-rst:TradingRestrictiona restriction that limits trading in some manner, typically summarized on term sheets or in other documentation, including but not limited to restrictions on day trading
US Treasury Bill Auction Date Rulefibo-sec-sec-sch:USTreasuryBillAuctionDateRulea rule for setting auction dates for US Treasury bills
US Treasury Bill Datefibo-sec-sec-sch:USTreasuryBillDatean auction date for US 13 week and 26 week Treasury bills