ISO 10962:2019
Securities and related financial instruments — Classification of financial instruments (CFI) code
This document defines and describes codes for an internationally valid system to classify financial instruments. The classification system applies to financial instruments negotiated internationally as well as to domestic instruments. The term "financial instruments" refers not only to classical securities, but also covers the innovative financial products that have emerged in different markets (a trend that is expected to continue in the future).
This document is intended for use in any application in the trading and administration of securities in the international securities business. In so far as the trading and the administration of securities do not affect other countries, the application of this document remains at the discretion of the responsible national bodies, such as stock exchanges, banks, brokers, regulatory bodies and other institutions active in the securities field.
In principle, the CFI code reflects characteristics that are defined when a financial instrument is issued and that remain unchanged during its entire lifetime. However, a few events that can lead to a new CFI code for the same instrument are anticipated, such as the changing of voting rights or ownership restrictions by a stockholders' meeting.
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Foreword
Introduction
1 Scope
2 Normative references
3 Terms and definitions
4 Conventions and principles
5 CFI allocation
5.1 General
5.2 Existing CFIs and existing securities without a CFI
6 Codes and definitions
6.1 Categories
6.2 Equities - E-*-*-*-*-*-
6.2.1 Description
6.2.2 Common/ordinary shares - E-S-*-*-*-*-
6.2.3 Preferred/preference shares - E-P-*-*-*-*-
6.2.4 Common/ordinary convertible shares - E-C-*-*-*-*-
6.2.5 Preferred/preference convertible shares - E-F-*-*-*-*-
6.2.6 Limited partnership units - E-L-*-*-*-*-
6.2.7 Depositary receipts on equities - E-D-*-*-*-*-
6.2.8 Structured instruments (participation) - E-Y-*-*-*-*-
6.2.9 Others (miscellaneous) - E-M-X-X-X-*-
6.3 CIVs - C-*-*-*-*-*-
6.3.1 Description
6.3.2 Standard (vanilla) investment funds/mutual funds - C-I-*-*-*-*-
6.3.3 Hedge funds - C-H-*-X-X-X-
6.3.4 REITs - C-B-*-*-X-*-
6.3.5 ETFs - C-E-*-*-*-*-
6.3.6 Pension funds - C-S-*-*-*-*-
6.3.7 Funds of funds - C-F-*-*-*-*-
6.3.8 Private equity funds - C-P-*-*-*-*-
6.3.9 Others (miscellaneous) - C-M-X-X-X-*-
6.4 Debt instruments - D-*-*-*-*-*-
6.4.1 Description
6.4.2 Bonds - D-B-*-*-*-*-
6.4.3 Convertible bonds - D-C-*-*-*-*-
6.4.4 Bonds with warrants attached - D-W-*-*-*-*-
6.4.5 Medium term notes - D-T-*-*-*-*-
6.4.6 Money market instruments - D-Y-*-*-X-*-
6.4.7 Structured instruments (capital protection) - D-S-*-*-*-*-
6.4.8 Structured instruments (without capital protection) - D-E-*-*-*-*-
6.4.9 Mortgage-backed securities - D-G-*-*-*-*-
6.4.10 Asset-backed securities - D-A-*-*-*-*-
6.4.11 Municipal bonds - D-N-*-*-*-*-
6.4.12 Depositary receipts on debt instruments - D-D-*-*-*-*-
6.4.13 Others (miscellaneous) - D-M-*-X-X-*-
6.5 Entitlements (rights) - R-*-*-*-*-*-
6.5.1 Description
6.5.2 Allotment (bonus) rights - R-A-X-X-X-*-
6.5.3 Subscription rights - R-S-*-X-X-*-
6.5.4 Purchase rights - R-P-*-X-X-*-
6.5.5 Warrants - R-W-*-*-*-*-
6.5.6 Mini-future certificates/constant leverage certificates - R-F-*-*-*-*-
6.5.7 Depositary receipts on entitlements - R-D-*-X-X-*-
6.5.8 Others (miscellaneous) - R-M-X-X-X-X-
6.6 Listed options - O-*-*-*-*-*-
6.6.1 Description
6.6.2 Call options - O-C-*-*-*-*-
6.6.3 Put options - O-P-*-*-*-*-
6.6.4 Others (miscellaneous) - O-M-X-X-X-X-
6.7 Futures - F-*-*-*-*-X-
6.7.1 Description
6.7.2 Financial futures - F-F-*-*-*-X-
6.7.3 Commodities futures - F-C-*-*-*-X-
6.8 Swaps - S-*-*-*-*-*-
6.8.1 Description
6.8.2 Rates - S-R-*-*-*-*-
6.8.3 Commodities - S-T-*-*-X-*-
6.8.4 Equity - S-E-*-*-X-*-
6.8.5 Credit - S-C-*-*-*-*-
6.8.6 Foreign exchange - S-F-*-X-X-*-
6.8.7 Others (miscellaneous) - S-M-*-X-X-*-
6.9 Non-listed and complex listed options - H-*-*-*-*-*-
6.9.1 Description
6.9.2 Rates - H-R-*-*-*-*-
6.9.3 Commodities - H-T-*-*-*-*-
6.9.4 Equity - H-E-*-*-*-*-
6.9.5 Credit - H-C-*-*-*-*-
6.9.6 Foreign exchange - H-F-*-*-*-*-
6.9.7 Others (miscellaneous) - H-M-*-*-*-*-
6.10 Spot - I-*-*-X-X-*-
6.10.1 Description
6.10.2 Foreign exchange - I-F-X-X-X-P-
6.10.3 Commodities - I-T-*-X-X-X-
6.11 Forwards - J-*-*-X-*-*-
6.11.1 Description
6.11.2 Equity - J-E-*-X-*-*-
6.11.3 Foreign exchange - J-F-*-X-*-*-
6.11.4 Credit - J-C-*-X-*-*-
6.11.5 Rates - J-R-*-X-*-*-
6.11.6 Commodities - J-T-*-X-*-*-
6.12 Strategies - K-*-X-X-X-X-
6.12.1 Description
6.12.2 Rates - K-R-X-X-X-X-
6.12.3 Commodities - K-T-X-X-X-X-
6.12.4 Equity - K-E-X-X-X-X-
6.12.5 Credit - K-C-X-X-X-X-
6.12.6 Foreign exchange - K-F-X-X-X-X-
6.12.7 Mixed assets - K-Y-X-X-X-X-
6.12.8 Others (miscellaneous) - K-M-X-X-X-X-
6.13 Financing - L-*-*-*-X-*-
6.13.1 Description
6.13.2 Loan-lease - L-L-*-X-X-*-
6.13.3 Repurchase agreements - L-R-*-*-X-*-
6.13.4 Securities lending - L-S-*-*-X-*-
6.14 Referential instruments - T-*-*-*-*-X-
6.14.1 Description
6.14.2 Currencies - T-C-*-X-X-X-
6.14.3 Commodities - T-T-*-X-X-X-
6.14.4 Interest rates - T-R-*-*-X-X-
6.14.5 Indices - T-I-*-*-*-X-
6.14.6 Baskets - T-B-*-X-X-X-
6.14.7 Stock dividends - T-D-*-X-X-X-
6.14.8 Others (miscellaneous) - T-M-X-X-X-X-
6.15 Others (miscellaneous) - M-*-*-*-X-*-
6.15.1 Description
6.15.2 Combined instruments - M-C-*-*-X-*-
6.15.3 Other assets - M-M-*-X-X-X-
Annex A (informative) Classification examples
Bibliography
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Foreword
Introduction
1 Scope
2 Normative references
3 Terms and definitions
4 Conventions and principles
5 CFI allocation
5.1 General
5.2 Existing CFIs and existing securities without a CFI
6 Codes and definitions
6.1 Categories
6.2 Equities - E-*-*-*-*-*-
6.2.1 Description
6.2.2 Common/ordinary shares - E-S-*-*-*-*-
6.2.3 Preferred/preference shares - E-P-*-*-*-*-
6.2.4 Common/ordinary convertible shares - E-C-*-*-*-*-
6.2.5 Preferred/preference convertible shares - E-F-*-*-*-*-
6.2.6 Limited partnership units - E-L-*-*-*-*-
6.2.7 Depositary receipts on equities - E-D-*-*-*-*-
6.2.8 Structured instruments (participation) - E-Y-*-*-*-*-
6.2.9 Others (miscellaneous) - E-M-X-X-X-*-
6.3 CIVs - C-*-*-*-*-*-
6.3.1 Description
6.3.2 Standard (vanilla) investment funds/mutual funds - C-I-*-*-*-*-
6.3.3 Hedge funds - C-H-*-X-X-X-
6.3.4 REITs - C-B-*-*-X-*-
6.3.5 ETFs - C-E-*-*-*-*-
6.3.6 Pension funds - C-S-*-*-*-*-
6.3.7 Funds of funds - C-F-*-*-*-*-
6.3.8 Private equity funds - C-P-*-*-*-*-
6.3.9 Others (miscellaneous) - C-M-X-X-X-*-
6.4 Debt instruments - D-*-*-*-*-*-
6.4.1 Description
6.4.2 Bonds - D-B-*-*-*-*-
6.4.3 Convertible bonds - D-C-*-*-*-*-
6.4.4 Bonds with warrants attached - D-W-*-*-*-*-
6.4.5 Medium term notes - D-T-*-*-*-*-
6.4.6 Money market instruments - D-Y-*-*-X-*-
6.4.7 Structured instruments (capital protection) - D-S-*-*-*-*-
6.4.8 Structured instruments (without capital protection) - D-E-*-*-*-*-
6.4.9 Mortgage-backed securities - D-G-*-*-*-*-
6.4.10 Asset-backed securities - D-A-*-*-*-*-
6.4.11 Municipal bonds - D-N-*-*-*-*-
6.4.12 Depositary receipts on debt instruments - D-D-*-*-*-*-
6.4.13 Others (miscellaneous) - D-M-*-X-X-*-
6.5 Entitlements (rights) - R-*-*-*-*-*-
6.5.1 Description
6.5.2 Allotment (bonus) rights - R-A-X-X-X-*-
6.5.3 Subscription rights - R-S-*-X-X-*-
6.5.4 Purchase rights - R-P-*-X-X-*-
6.5.5 Warrants - R-W-*-*-*-*-
6.5.6 Mini-future certificates/constant leverage certificates - R-F-*-*-*-*-
6.5.7 Depositary receipts on entitlements - R-D-*-X-X-*-
6.5.8 Others (miscellaneous) - R-M-X-X-X-X-
6.6 Listed options - O-*-*-*-*-*-
6.6.1 Description
6.6.2 Call options - O-C-*-*-*-*-
6.6.3 Put options - O-P-*-*-*-*-
6.6.4 Others (miscellaneous) - O-M-X-X-X-X-
6.7 Futures - F-*-*-*-*-X-
6.7.1 Description
6.7.2 Financial futures - F-F-*-*-*-X-
6.7.3 Commodities futures - F-C-*-*-*-X-
6.8 Swaps - S-*-*-*-*-*-
6.8.1 Description
6.8.2 Rates - S-R-*-*-*-*-
6.8.3 Commodities - S-T-*-*-X-*-
6.8.4 Equity - S-E-*-*-X-*-
6.8.5 Credit - S-C-*-*-*-*-
6.8.6 Foreign exchange - S-F-*-X-X-*-
6.8.7 Others (miscellaneous) - S-M-*-X-X-*-
6.9 Non-listed and complex listed options - H-*-*-*-*-*-
6.9.1 Description
6.9.2 Rates - H-R-*-*-*-*-
6.9.3 Commodities - H-T-*-*-*-*-
6.9.4 Equity - H-E-*-*-*-*-
6.9.5 Credit - H-C-*-*-*-*-
6.9.6 Foreign exchange - H-F-*-*-*-*-
6.9.7 Others (miscellaneous) - H-M-*-*-*-*-
6.10 Spot - I-*-*-X-X-*-
6.10.1 Description
6.10.2 Foreign exchange - I-F-X-X-X-P-
6.10.3 Commodities - I-T-*-X-X-X-
6.11 Forwards - J-*-*-X-*-*-
6.11.1 Description
6.11.2 Equity - J-E-*-X-*-*-
6.11.3 Foreign exchange - J-F-*-X-*-*-
6.11.4 Credit - J-C-*-X-*-*-
6.11.5 Rates - J-R-*-X-*-*-
6.11.6 Commodities - J-T-*-X-*-*-
6.12 Strategies - K-*-X-X-X-X-
6.12.1 Description
6.12.2 Rates - K-R-X-X-X-X-
6.12.3 Commodities - K-T-X-X-X-X-
6.12.4 Equity - K-E-X-X-X-X-
6.12.5 Credit - K-C-X-X-X-X-
6.12.6 Foreign exchange - K-F-X-X-X-X-
6.12.7 Mixed assets - K-Y-X-X-X-X-
6.12.8 Others (miscellaneous) - K-M-X-X-X-X-
6.13 Financing - L-*-*-*-X-*-
6.13.1 Description
6.13.2 Loan-lease - L-L-*-X-X-*-
6.13.3 Repurchase agreements - L-R-*-*-X-*-
6.13.4 Securities lending - L-S-*-*-X-*-
6.14 Referential instruments - T-*-*-*-*-X-
6.14.1 Description
6.14.2 Currencies - T-C-*-X-X-X-
6.14.3 Commodities - T-T-*-X-X-X-
6.14.4 Interest rates - T-R-*-*-X-X-
6.14.5 Indices - T-I-*-*-*-X-
6.14.6 Baskets - T-B-*-X-X-X-
6.14.7 Stock dividends - T-D-*-X-X-X-
6.14.8 Others (miscellaneous) - T-M-X-X-X-X-
6.15 Others (miscellaneous) - M-*-*-*-X-*-
6.15.1 Description
6.15.2 Combined instruments - M-C-*-*-X-*-
6.15.3 Other assets - M-M-*-X-X-X-
Annex A (informative) Classification examples
Bibliography