DIRECT ANSWER
How security records stay verifiable
A security identifier is meaningful only within its namespace, source, and period. Form 13F reports an issuer description, security class, and CUSIP as filed; other identifiers or normalized names may come from separate reference evidence. AUMSearch preserves the reported row and treats ticker, FIGI, issuer, and normalized-security relationships as versioned mappings rather than silently rewriting the filing.
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Move from the definition to the workflow.
Use the same source-linked record model in the interface that fits the research task.
At a glance
- As-filed identifier
- Reported CUSIP
- Reference sources
- SEC filings and official Section 13(f) lists
- Optional enrichment
- Licensed or reviewed identifier mappings
- Time model
- First and last observed plus source period
- Primary relationship
- Security to holding, manager, and filing
One security can have several identifiers
CUSIP, ticker, FIGI, issuer name, security class, and internal record ID answer different questions. A ticker is convenient for people but can change or be reused. A CUSIP may identify a particular issue or class and is reported directly in a Form 13F row. A FIGI can provide an additional reference when its source and mapping result are documented.
The canonical security record should therefore collect supported identifiers without erasing where each one came from or the period in which it was observed.
| Field | Best use | Important limitation |
|---|---|---|
| CUSIP as filed | Verify and group a reported Form 13F position | Preserve the exact filing value; descriptive database rights are separate |
| Ticker | Human lookup and interface labels | Tickers can change, be reused, or be missing |
| FIGI | Cross-system reference when a reviewed mapping exists | Retain the request, match candidates, and selection rationale |
| Issuer and class | Interpret the security described by the filing | As-filed text can vary across managers and periods |
The Section 13(f) list is period-specific
The SEC publishes an Official List of Section 13(f) Securities for each quarter. Validation should use the list associated with the report period, including its option indicator and any additions or deletions, rather than assuming the latest list applies to every historical filing.
A match is evidence about list inclusion for that period. A non-match can also mean the wrong list snapshot, an option mismatch, a filing issue, or an unresolved identifier—not automatically an invalid position.
Identifier history prevents false time-series changes
Issuer names, tickers, security descriptions, and corporate structures can change. Historical analysis needs the identifier observations and relationship dates that were available in each period. Otherwise a rename or mapping correction can look like a new position, an exit, or two different issuers.
AUMSearch keeps source observations immutable and versions normalized relationships so a correction can improve the current view without rewriting the original filing evidence.
Questions the security layer can support
- Which reporting managers disclosed a security for a selected period?
- Which filing rows and CUSIPs support a normalized security relationship?
- How did reported manager participation or aggregate disclosed value change across comparable periods?
- When was an identifier, issuer name, or security class first and last observed?
- Did a calculated change reflect the filing data, an amendment, or a later mapping correction?
Reference data does not make a holding current
A normalized ticker or issuer name does not change the reporting delay or limited coverage of Form 13F. Security records should not imply current ownership, complete exposure, trade direction, portfolio performance, or investment intent.
CUSIP database content and many market-data fields can carry separate licensing restrictions. AUMSearch distinguishes identifiers reported in official filings from external descriptive or pricing data and does not assume that a public filing authorizes redistribution of a commercial reference database.
SRC
Primary sources
Definitions and regulatory claims on this page are grounded in the following official public resources.
- SEC Official List of Section 13(f) SecuritiesOfficial quarterly security lists, additions and deletions, option indicators, and historical downloads.
- SEC Form 13F data setsOfficial structured filing extracts containing as-filed holdings and security fields.
- OpenFIGI API documentationDocumentation for optional identifier mapping; enablement remains subject to field-level rights review.
- CUSIP Global Services terms of useLicensing terms relevant to separate CUSIP database content and redistribution.