Generating a Securities Audit Report

Intro

The “Securities Audit Report” page allows you to search the system to identify changes that have occurred with regard to holdings data within a specific time frame.

Search results indicate when securities were added to the database and if security’s balance or categorization was added or updated. You can see the dates and times of any such edits, the name of the editing user for each, before and after values (as applicable) and the names of the libraries and funds with which the securities and security balances are associated.

The “Securities Audit Report” page allows you to search the system to identify changes that have occurred with regard to holdings data within a specific time frame.

Search results indicate when securities were added to the database, if security’s balance or categorization was added or updated and when footnote attachments were added or removed from a given security. You can see the dates and times of any such edits, the name of the editing user for each, before and after values (as applicable) and the names of the libraries and funds with which the securities and security balances are associated.

You can export the report to any of a number of file formats (CSV, DOC, TXT, HTM, etc.) for review and distribution.

Tasks

• Viewing changes to holdings data

  1. Expand the ArcFiling “Reports” menu.

     1. Click the “Home” button at the top of the application window to return to the landing page.

     2. Select “ArcFiling” from the components list.

        

     3. Click the “Filings Workspace” tab at lower-left of the screen.

        

     4. Click the “Reports” menu to view available items.

        If the “Account Period”, “Complex” and “Fund” relevant to the data you wish to view are not currently selected, choose them using the either selection button at upper-left of the screen or the selection bar across the top of the window.

        • Using the selection bar

          1. Click the “[Select Date]” text or “»” symbol.

             All open account periods associated with a project, and to which you have access, are displayed.

             

          2. Click the “[Select Complex]” text or “»” symbol.

             Complexes with projects associated with the specified date are displayed.

             

             If only one complex is available based on the specified date, the complex is automatically chosen.

          3. Click the “[Select Group]” text or “»” symbol.

             Groups associated with the specified complex with active projects for the specified date are displayed.

             

             Alternatively, you can specify “All Fund Groups”, which automatically fills in “All Funds” in the step below. Some pages in Arc Suite (e.g., “Fund Holdings”), allow you to view information for more than one fund simultaneously. If a page does not support multiple fund display, then no information displays when “All Fund Groups » All Funds” is specified.

             

             If only one fund group is available based on the specified complex, the group is automatically chosen.

          4. Click the “[Select Fund]” text or “»” symbol.

             Funds associated with the specified group with active projects for the specified date are displayed.

             

             Alternatively, you can specify “All Funds”.

             

             If only one fund is available based on the specified group, the fund is automatically chosen.

          When all elements of the fund selection bar are specified, you have several options available in terms of viewing different sets of data for open pages.

          

          • Change the specified date. The list of dates is filtered for active projects for the specified fund. Changing the date refreshes the data for all open pages.
          • Change the complex. Changing the complex resets the group, and you’ll need to return to Step 3 above.
          • Change the group. Changing the group resets the fund, and you’ll need to return to Step 4 above.
          • Change the fund. Changing the fund refreshes the data for all open pages.
          • Reset the fund selection bar. Click the “Reset” button at any time to return to Step 1 above.

        • Using the selection button

          1. Click the selection button at upper-left of the window.

             All open account periods associated with a project, and to which you have access, are displayed.

             

             If an account period has already been specified via the fund selection bar (see above), the list under the fund selection button automatically expands that date.

             

          2. Click the arrow at left of the desired account period to display the available complex(es) and associated fund group(s) and fund(s).
          3. Specify the “Complex”, “Fund Group” and “Fund” relevant to the project you wish to view.

  2. Expand the ArcReporting “Reports” menu.

     1. Click the “Home” button at the top of the application window to return to the landing page.

     2. Select “ArcReporting” from the components list.

        

     3. Click the “Reporting Workspace” tab at lower-left of the screen.

        

     4. Click the “Reports” menu to view available items.

        If the “Account Period”, “Complex” and “Fund” relevant to the data you wish to view are not currently selected, choose them using the either selection button at upper-left of the screen or the selection bar across the top of the window.

        • Using the selection bar

          1. Click the “[Select Date]” text or “»” symbol.

             All open account periods associated with a project, and to which you have access, are displayed.

             

          2. Click the “[Select Complex]” text or “»” symbol.

             Complexes with projects associated with the specified date are displayed.

             

             If only one complex is available based on the specified date, the complex is automatically chosen.

          3. Click the “[Select Group]” text or “»” symbol.

             Groups associated with the specified complex with active projects for the specified date are displayed.

             

             Alternatively, you can specify “All Fund Groups”, which automatically fills in “All Funds” in the step below. Some pages in Arc Suite (e.g., “Fund Holdings”), allow you to view information for more than one fund simultaneously. If a page does not support multiple fund display, then no information displays when “All Fund Groups » All Funds” is specified.

             

             If only one fund group is available based on the specified complex, the group is automatically chosen.

          4. Click the “[Select Fund]” text or “»” symbol.

             Funds associated with the specified group with active projects for the specified date are displayed.

             

             Alternatively, you can specify “All Funds”.

             

             If only one fund is available based on the specified group, the fund is automatically chosen.

          When all elements of the fund selection bar are specified, you have several options available in terms of viewing different sets of data for open pages.

          

          • Change the specified date. The list of dates is filtered for active projects for the specified fund. Changing the date refreshes the data for all open pages.
          • Change the complex. Changing the complex resets the group, and you’ll need to return to Step 3 above.
          • Change the group. Changing the group resets the fund, and you’ll need to return to Step 4 above.
          • Change the fund. Changing the fund refreshes the data for all open pages.
          • Reset the fund selection bar. Click the “Reset” button at any time to return to Step 1 above.

        • Using the selection button

          1. Click the selection button at upper-left of the window.

             All open account periods associated with a project, and to which you have access, are displayed.

             

             If an account period has already been specified via the fund selection bar (see above), the list under the fund selection button automatically expands that date.

             

          2. Click the arrow at left of the desired account period to display the available complex(es) and associated fund group(s) and fund(s).
          3. Specify the “Complex”, “Fund Group” and “Fund” relevant to the project you wish to view.

  3. Click the “Securities Audit Report” item.

     The “Securities Audit Report” page displays.

     

  4. Select the appropriate search criteria (account period, editing user, etc.) and the desired date range using the controls in the top portion of the page.

  5. Click the “Search” button at right of the “Search Criteria” section.

     Results display in the pane in the lower portion of the page.

  Exporting report results

  A listing of records, with certain associated information, can be exported from the application database to any of several different file formats (DOC, HTM, XML, etc.). Follow the steps below to perform a data export.

  1. Click the “Export data” button at lower-right of the pane where existing items are listed to export data from the grid.

     The “Export Format” dialogue displays.

     1. Select the option button next to the file format to which you’d like the data saved.

        •  .XML

          Places data in XML format, which can be opened in a web browser or in Microsoft Excel.

        •  .DOC

          Places data in a table within a Word document.

        •  .CSV

          Places data in a comma-delimited format, which is typically opened in Microsoft Excel.

        •  .HTM

          Places data in an HTML table within a web page, which can be opened in a web browser or in Microsoft Word or Excel.

        •  .TXT

          Places data in a tab-delimited text file, which can be opened in a text editor (e.g., Notepad) or in Microsoft Excel.

     2. Click the “Accept” button at lower-right of the dialogue.

        The “Save As” dialogue displays.

        1. Specify a local or network directory in which to store the file, and provide a “File name”.
        2. Click the “Save” button.