The Fidelity Global Pre-Clearance system can be accessed by using the following URLs:
Internal: https://preclear.fmr.com/
External: https://preclear.fidelity.com/
Fidelity employees who access the application via the Fidelity intranet are authenticated directly via their LAN username and password.
The login screen is used for authenticating people for access to the application from outside of the Fidelity network. It is applicable to:
The Contact Us hyperlink on all screens provides a list of contact numbers and email addresses for the Ethics/Compliance offices of each Fidelity organization.
1. Go to https://preclear.fidelity.com 2. Click 'Sign Up' 3. Use your Fidelity email address 4. An email containing your access code will be sent to your email address 5. Enter the security code from the email into the screen to continue 6. Once you have been verified click 'Continue' to create a new password 7. Follow the required criteria to create a new password and click 'Submit' 8. For any future log in go to https://preclear.fidelity.com/ and click 'Sign In'. Use your email and new credentials
1. Have your Fidelity Associate complete the steps under: How do I register a covered person with the external preclearance site? 2. Go to https://preclear.fidelity.com 3. Click 'Sign Up' 4. Enter the personal email address that your Fidelity associate used to enroll you 5. An email containing your access code will be sent to the email address provided 6. Enter the security code from the email onto the following screen and click 'Submit' 7. Once you have been verified click 'Continue' to create a new password 8. Follow the required criteria to create a new password and click 'Submit' 9. For any future log in go to https://preclear.fidelity.com/ and click 'Sign In'. Use your email and new credentials
1. Go to 'Person Management' 2. Click 'Add Non-Fidelity Person'. Enter your covered persons First Name, Last Name, and Email Address
1. Go to https://preclear.fidelity.com 2. Click 'Sign In' 3. Click 'Forgot password?' 4. Enter the email address you signed up with and click 'Continue' 5. An email will be sent that contains a security code. Enter that code and click 'Submit' 6. Microsoft will verify your identity, then click 'Continue' to create a new password 7. Follow the required criteria to create a new password and click 'Submit'
The Fidelity Global Pre-Clearance system screens are divided into two separate sections. The left section (navigation bar) contains navigation links to the standard functions of the application, while the right section displays contents specific to screen functionality. A user may at any time select one of the links on the left section to access a different program option.
The standard functions of the application are:
The Contact Us hyperlink on all screens provides a list of contact numbers and email addresses for the Ethics/Compliance offices of each Fidelity organization.
The Pre-Clear a Security functionality on the navigation bar allows the user to place a request for pre-clearance on a single transaction at a time. Based on the type of security there are four screens:
Selecting the Stocks link on the navigation bar displays this screen. This screen is divided into two sections. The top section is the Security Information section and is used to enter the information of the stock that the user wishes to pre-clear. The bottom section is the Security Search section.
Selecting the Options link on the navigation bar displays this screen. This screen is divided into two sections. The top section is the Security Information section and is used to enter the information of the option that the user wishes to pre-clear. The bottom section is the Security Search area.
Selecting the Bonds link on the navigation bar displays this screen. This screen is divided into two sections. The top section is the Security Information section that is used to enter the information of the bond that the user wishes to pre-clear. The bottom section is the Security Search area.
Selecting the Other link on the navigation bar displays this screen. This screen is divided into two sections. The top section is the Security Information section that is used to enter the information of the bond that the user wishes to pre-clear. The bottom section is the Security Search area.
The bottom section of each pre-clearance request screen provides the capability for the user to search for additional information associated with a specific security. This option is useful if the user cannot remember a specific detail about a security that is required for pre-clearance such as its symbol, SEDOL or CUSIP values.
This area displays results of a search based on the filter values. The following information is displayed: "Symbol," "CUSIP," "ISIN," "SEDOL," "Security Name," "Security Type," "Market" and "Pre-clearance Window." If more than one security matches the search criteria, then the first one hundred results will be displayed alphabetically by security name. The user can change the sort of the results by clicking on the appropriate heading at the top of the individual columns.
Every record that is returned as a result of a search has a Select hyperlink associated with it. Clicking on this link populates the top section of the screen with the values from the row to which the link is associated (double-clicking produces the same result).
Please note that the search functionality may return securities that are incompatible with the Security Type in context (set via the navigation bar). For example: If "Stocks" is selected from the navigation bar and a search is performed with the following parameters: Security Type = ALL, Search By = Security Name and Search For = NASDAQ the results set would be:
Symbol | CUSIP | ISIN | SEDOL | Security Name | Security Type | Market | Pre-clearance Window | |
---|---|---|---|---|---|---|---|---|
Select | @CFIN | 63399U290 | NASDAQ OTHER FINANCIAL INDEX | Index | Open | |||
Select | QQQX | 63110R105 | US63110R1059 | B1PF8N5 | NASDAQ PREMIUM IN & GR FD INC | Stock | OTC-OVER THE COUNTER | Open |
Select | %NASTRMC | 6311039C4 | NASDAQ STK MK TRM C DD 4/18/12 | Bond | OTC-OVER THE COUNTER | Open | ||
Select | NDAQ | 631103108 | US6311031081 | 2965107 | NASDAQ OMX GROUP | Stock | OTC-OVER THE COUNTER | Open |
Select | 6311039D2 | NASDAQ STK MKT TERM B 11/20/13 | Bond | OTC-OVER THE COUNTER | Open |
The user in this case is allowed to select only those results that are compatible with the security type in context. In order to be able to select other records the user must first navigate to the screen of that security type. Thus in the example above, the user is allowed to select the second and fourth rows because the security type listed matches the security type selected - that is stock. In order to be able to select the third and fifth rows, the user must first navigate to the Pre-clear a Security - Bond screen.
This screen displays the pre-clearance request entered and allows the user to review the data before submitting the request. The following fields are populated on this screen from the relevant Pre-clear a Security screen:
Once the user submits the pre-clearance request, the system makes a determination regarding whether additional input is needed from the user and presents this questionnaire screen to the user.
This screen is divided into two sections. The left section displays the result of the pre-clearance request, whereas the right section displays information from the Pre-clear a Security - Confirm screen. The Pre-clearance ID displayed in the right section is the unique identifier for this pre-clearance request. Possible values for a result could be:
The pre-clearance request date and time, along with the market name are displayed below the result status.
This functionality on the navigation bar allows the user to view current and historical pre-clearances.
A current pre-clearance is a request that - if approved - may be acted upon by the user because it was entered during the current market window of the pre-cleared security and that market is still open. Market hours are based on the local time of the market, not the time where the user is located. Pre-clearance results are valid for that day's market session only.
This area displays results of a search based on the filter values. The following columns appear in the results grid:
Users may use the following two options to export data from this screen outside the Pre-Clearance system for their review:
The user may use to this screen to search any current or past pre-clearances by using a combination of filters available on this screen.
This area displays the results of a search based on the filter values. The maximum number of records that can be returned is one thousand. The results returned may be a combination of current and non-current pre-clearance records. Non-current pre-clearances appear in grey text. The following are the columns that appear in the Results grid:
Users may use the following two options to export data from this screen outside the Pre-Clearance system for their review:
The User Administration functionality on the navigation bar allows the user to perform certain administrative functions within the Pre-Clearance system. The following are the screens available in this section:
A user may use this screen to manage the access of additional people associated to him/her within the Pre-Clearance system. The user may choose the following actions:
Persons added by the user will appear in a grid at the bottom of the screen. The user may choose the Activate and Deactivate links to change the status of any associated persons.
This screen is used to add a non-Fidelity person to the Pre-Clearance application.
This screen is used to add a non-access (Core or Investment Advisor) Fidelity employee to the Pre-Clearance application.