Fund/SERV® Member Profile Modify Form

Instructions

Fund/SERV® Member Profile Modify Form requires you to complete all fields.

(* = Required).

	Email Address *
	Send Copy of Request (CC for record)
	Today's Date
	Member Number *
	Effective Date *
	Name of Firm * (Maximum 30 characters)

If Money Market Funds (24), please provide the "Required" processing Cut-Off Time in Eastern Time (ET)
	Purchases Cut-off Time
	Redemptions Cut-off Time

	Registration Process Indicator	Pend Till Settlement Send When Received
	Exchange Indicator	Yes (015) No

If Exchange Indicator is "Yes," As Of Exchange Indicator

Yes (AOE)
No

	Firm Exit Indicator	Yes (139) No
	If Firm Exit is "Yes," Firm Exit Against Exchange Indicator	Yes (FEE) No
	Cash Adjustment Indicator	Yes (011) No

	As Of Processing Range *	Business Days
	Security Issue ID Settlement Cycles:
	Order Settlement Cycle: Number of Days from Trade Date *	Business Days
	Cash Adjustments Settlement Cycle: Number of Days from Submission Date *	Business Days
	As Of Orders Settlement Cycle: Number of Days from Confirmation Date *	Business Days
	Exchange/As Of Exchange Settlement Cycle: Number of Days from Confirmation Date *	Business Days

Currency Type		USD (Same Day Settlement) USN (Next Day Settlement)
USD and USN are settlement indicators that will specify when a Settlement Report (Fund/SERV Settling Trade Detail Record 070) is distributed by DTCC. Security Issue IDs set to USD will receive settling detail via Autoroute 02112364 report around 12 Noon ET for Mutual Fund orders settling the same day. Security Issue IDs set to USN will receive settling detail via Autoroute 02112365 report around 9pm ET for Mutual Fund orders settling the next business day. Both USD and USN Security Issue IDs will settle in US Dollars. USD/USN indicator specified on this form will apply to ALL transactions for this Security Issue ID (orders, as of orders, exchanges, etc.).For additional information on USD and USN Indicators please refer to Fund/SERV Technical Manual Chapter 2 (Section A - "Currency Code Considerations").

Offshore Processing (valid for Security Types 62 and 63 only)
	Future Trade Date Indicator	Yes No
	If Future Trade Date is "Yes," Number of Days Allowed from Submission Date. (If left blank, default is 45 Business Days.)	Business Days

*You must select either Fund* or Firm with the appropriate settlements.**
	Fund (Apply to domestic Security Issue IDs only, where the Security Issue IDs types are "Not" 62 or 63)	DTCC Settlement only External Settlement only Both
	Firm	DTCC Settlement only External Settlement only Both

	Output Distribution	Single Multi Interactive
	ToRA Indicator (All Securities IDs belonging to this member without ToRA Indicator on the Security Issue ID Profile will default to this setting.)	Yes No
	Alternate Order Settlement Indicator This is for Regular Orders Only(Record Type 001)	Yes No
	Alternate Order Settlement Currency Type * Required if Alternate Order Settlement Indicator is Yes	USD (Same Day Settlement) USN (Next Day Settlement) USD and USN are currency types that will specify when a Settlement Report (Fund/SERV Settling Trade Detail Record 070) is distributed by DTCC. Security Issue IDs set to USD will be included in Autoroute 02112364 report distributed by12 Noon ET for Mutual Fund orders settling the same day. Security Issue IDs set to USN will be included in Autoroute 02112365 report distributed by 9pm ET for Mutual Fund orders settling the next business day. Both USD and USN Security Issue IDs will settle in US Dollars. USD/USN indicator specified on this form will apply to Regular Orders (001) Only transactions for this Security Issue ID. For additional information on USD and USN indicators please refer to Fund/SERV Technical Manual Chapter 2 (Section A - "USD/USN Currency Type Considerations").

If Alternate Order Settlement Indicator is "Yes," then provide Alternate Settlement Cycle in Business Days.

Number of Days from Trade Date.

Business Days

If Alternate Order Settlement Indicator is "Yes," then list Alternate Settlement Firms. (Please note: Only the first input row is required.)
	Clearing Number	Firm Name
1	* If "Yes"	* If "Yes"
2
3
4
5
6
7
8
9
10

Submitted by *
Contact Phone Number *
Please provide any Special Instructions (1500 characters, maximum)	None

Please Note:
In connection with any application to add a Security Issue ID number to Fund/SERV, it should be noted that under National Securities Clearing Corporation (NSCC) Rule 52, Section 46 the submission of a transaction or instruction through Fund/SERV relating to any security bearing the additional Security Issue ID number (and the settlement, deletion, rejection and exit of any such transaction or instruction from or through Fund/SERV) shall not otherwise relinquish, extinguish or affect any obligations of a Settling Member, TPA Member, Mutual Fund Processor or Fund Member arising out of such transaction or instruction. It should be emphasized in this regard that NSCC has no obligation or responsibility to verify whether any information submitted by a Receiving Fund Member to a Mutual Fund or its registrar, transfer agent or administrator in connection with a transfer request (for the transfer of Mutual Fund shares) under Rule 52, Section 46 is adequate to comply with the legal or other restrictions or requirements that may be applicable to such a transfer.