The following is a summary of 2013 holidays and the changes in operations and schedules for NSCC Mutual Fund Services. Please note that this schedule applies to Mutual Fund Services only. If you have any questions, please contact your relationship manager or Wealth Management Services Marketing at (212) 855-8877.

 

MARTIN LUTHER KING, JR. DAY HOLIDAY SCHEDULE

 

National Securities Clearing Corporation, the New York Alternext, and NASDAQ Stock Exchanges and all New York banks will be closed on Monday, January 21, 2013 in observance of Martin Luther King, Jr. Day. The following changes in NSCC’s operations and schedules will be in effect:

 

ACATS - FUND/SERV INTERFACE:

            No ACATS - Fund/SERV Interface activity will be accepted on Monday, January 21, 2013.

 

DTCC PAYMENT aXis (formerly MUTUAL FUND COMMISSION SETTLEMENT):

            No DTCC Payment aXis activity will be accepted on Monday, January 21, 2013.

 

FUND/SERV AND NETWORKING:

            No Fund/SERV or Networking activity will be accepted on Monday, January 21, 2013.

 

MUTUAL FUND PROFILE SERVICE (MFPSI – PRICE AND RATE AND MFPSII – PARTICIPANT, SECURITY, AND DISTRIBUTION):

            No MFPSI or MFPSII activity will be accepted on Monday, January 21, 2013.

 

PRESIDENTS’ DAY HOLIDAY SCHEDULE

 

National Securities Clearing Corporation, the New York Alternext, and NASDAQ Stock Exchanges and all New York banks will be closed on Monday, February 18, 2013 in observance of Presidents’ Day. The following changes in NSCC’s operations and schedules will be in effect:

 

ACATS - FUND/SERV INTERFACE:

            No ACATS - Fund/SERV Interface activity will be accepted on Monday, February 18, 2013.

 

DTCC PAYMENT aXis (formerly MUTUAL FUND COMMISSION SETTLEMENT):

            No DTCC Payment aXis activity will be accepted on Monday, February 18, 2013.

 

FUND/SERV AND NETWORKING:

            No Fund/SERV or Networking activity will be accepted on Monday, February 18, 2013.

 

MUTUAL FUND PROFILE SERVICE (MFPSI – PRICE AND RATE AND MFPSII – PARTICIPANT, SECURITY, AND DISTRIBUTION):

            No MFPSI or MFPSII activity will be accepted on Monday, February 18, 2013.

 

GOOD FRIDAY HOLIDAY SCHEDULE

 

National Securities Clearing Corporation, the New York Alternext, and NASDAQ Stock Exchanges will be closed on Friday, March 29, 2013 in observance of Good Friday. The following changes in NSCC’s operations and schedules will be in effect:

 

ACATS - FUND/SERV INTERFACE:

            No ACATS - Fund/SERV Interface activity will be accepted on Friday, March 29, 2013.

 

DTCC PAYMENT aXis (formerly MUTUAL FUND COMMISSION SETTLEMENT):

            No DTCC Payment aXis activity will be accepted on Friday, March 29, 2013.

 

FUND/SERV AND NETWORKING:

            No Fund/SERV or Networking activity will be accepted on Friday, March 29, 2013.

            The Networking system WILL be available for processing on Saturday, March 30, 2013.

 

MUTUAL FUND PROFILE SERVICE (MFPSI – PRICE AND RATE AND MFPSII – PARTICIPANT, SECURITY, AND DISTRIBUTION):

            No MFPSI or MFPSII activity will be accepted on Friday, March 29, 2013.

 

MEMORIAL DAY HOLIDAYSCHEDULE

 

National Securities Clearing Corporation, the New York Alternext, and NASDAQ Stock Exchanges and all New York banks will be closed on Monday, May 27, 2013 in observance of Memorial Day. The following changes in NSCC’s operations and schedules will be in effect:

 

ACATS - FUND/SERV INTERFACE:

            No ACATS - Fund/SERV Interface activity will be accepted on Monday, May 27, 2013.

 

DTCC PAYMENT aXis (formerly MUTUAL FUND COMMISSION SETTLEMENT):

            No DTCC Payment aXis activity will be accepted on Monday, May 27, 2013.

 

FUND/SERV AND NETWORKING:

            No Fund/SERV or Networking activity will be accepted on Monday, May 27, 2013.

 

MUTUAL FUND PROFILE SERVICE (MFPSI – PRICE AND RATE AND MFPSII – PARTICIPANT, SECURITY, AND DISTRIBUTION):

            No MFPSI or MFPSII activity will be accepted on Monday, May 27, 2013.

 

INDEPENDENCE DAY HOLIDAY SCHEDULE

 

National Securities Clearing Corporation, the New York Alternext, NASDAQ Stock Exchanges and all New York banks will be closed on Thursday, July 4, 2013 in observance of Independence Day. The following changes in NSCC’s operations and schedules will be in effect:

 

ACATS - FUND/SERV INTERFACE:

            No ACATS - Fund/SERV Interface activity will be accepted on Thursday, July 4, 2013

 

DTCC PAYMENT aXis (formerly MUTUAL FUND COMMISSION SETTLEMENT):

            No DTCC Payment aXis activity will be accepted on Thursday, July 4, 2013.

 

FUND/SERV AND NETWORKING:

            No Fund/SERV or Networking activity will be accepted on Thursday, July 4, 2013.  

 

MUTUAL FUND PROFILE SERVICE (MFPSI – PRICE AND RATE AND MFPSII – PARTICIPANT, SECURITY, AND DISTRIBUTION):

            No MFPSI or MFPSII activity will be accepted on Thursday, July 4, 2013. 

 

LABOR DAY HOLIDAY SCHEDULE

 

National Securities Clearing Corporation, the New York Alternext, and NASDAQ Stock Exchanges and all New York banks will be closed on Monday, September 2, 2013 in observance of Labor Day. The following changes in NSCC’s operations and schedules will be in effect:

 

ACATS - FUND/SERV INTERFACE:

            No ACATS - Fund/SERV Interface activity will be accepted on Monday, September 2, 2013.

 

DTCC PAYMENT aXis (formerly MUTUAL FUND COMMISSION SETTLEMENT):

            No DTCC Payment aXis activity will be accepted on Monday, September 2, 2013.

 

FUND/SERV AND NETWORKING:

            No Fund/SERV or Networking activity will be accepted on Monday, September 2, 2013

 

MUTUAL FUND PROFILE SERVICE (MFPSI – PRICE AND RATE AND MFPSII – PARTICIPANT, SECURITY, AND DISTRIBUTION):

            No MFPSI or MFPSII activity will be accepted on Monday, September 2, 2013.

 

COLUMBUS DAY HOLIDAY SCHEDULE

 

All New York banks will be closed on Monday, October 14, 2013 in observance of Columbus Day. The New York Alternext, and NASDAQ Stock Exchanges will be open for trading on Monday, October 14, 2013. The following changes in NSCC’s operations and schedules will be in effect.

 

ACATS - FUND/SERV INTERFACE:

            ACATS - Fund/SERV Interface activity processed on Monday, October 14, 2013 will settle on          Tuesday, October 15, 2013.  Please note that funds will not receive Record Type 018 records on        Friday, October 11, 2013 but will on Monday, October 14, 2013.

 

 

DTCC PAYMENT aXis (formerly MUTUAL FUND COMMISSION SETTLEMENT):

            No settlement of DTCC Payment aXis will occur on Monday, October 14, 2013. Activity submitted on           Friday, October 11, 2013 through Monday, October 14, 2013 will settle on Tuesday, October 15,     2013.

 

FUND/SERV:

            No settlement of Fund/SERV activity will occur on Monday, October 14, 2013.

            The following changes will be made to Fund/SERV output schedules:

 

T+1 SETTLEMENT	FILE	SETTLEMENT
TRADE DATE (364 File)	AVAILABLE ON	DATE
Fri. -    Oct. 11	Tues. - Oct. 15	Tues. - Oct. 15**
Mon. - Oct. 14*	Tues. - Oct. 15	Tues. - Oct. 15**
Tues. - Oct. 15	Wed. - Oct. 16	Wed. - Oct. 16

 

 

            *No 364 Settlement file on Monday, October 14, 2013.

            **Double Day Settlement

            ***No 365 Settlement file on Friday, October 11, 2013.

 

NETWORKING:

            Networking activity will be accepted on Monday, October 14, 2013.  However, no Networking           Dividend Cash or Activity Settlement will occur on Monday, October 14, 2013

 

MUTUAL FUND PROFILE SERVICE (MFPSI – PRICE AND RATE AND MFPSII – PARTICIPANT, SECURITY, AND DISTRIBUTION):

            MFPSI or MFPSII activity will be accepted on Monday, October 14, 2013.

 

 

 

VETERANS DAY HOLIDAY SCHEDULE

 

All New York Banks will be closed on Monday, November 11, 2013 in observance of Veterans Day.  The New York, Alternext, and NASDAQ Stock Exchanges will be open for trading on Monday, November 11, 2013. The following changes in NSCC’s operations and schedules will be in effect:

 

ACATS - FUND/SERV INTERFACE:

            ACATS - Fund/SERV Interface activity processed on Monday, November 11, 2013 will settle on       Tuesday, November 12, 2013.  Please note that funds will not receive Record Type 018 records on        Friday, November 8, 2013 but will on Monday, November 11, 2013.

 

DTCC PAYMENT aXis (formerly MUTUAL FUND COMMISSION SETTLEMENT):

            No settlement of DTCC Payment aXis will occur on Monday, November 11, 2013. Activity    submitted on Friday, November 8, 2013 and Monday, November           11, 2013 will settle on Tuesday, November 12, 2013.

 

FUND/SERV:

            No settlement of Fund/SERV activity will occur on Monday, November 11, 2013.

            The following changes will be made to Fund/SERV output schedules:

 

T+1 SETTLEMENT	FILE	SETTLEMENT
TRADE DATE (364 File)	AVAILABLE ON	DATE
Nov. 8	Nov. 12	Nov. 12**
Nov. 11*	Nov. 12	Nov. 12**
Nov. 12	Nov. 13	Nov. 13

 

 

*No 364 Settlement file on Monday, November 11, 2013.

**Double Day Settlement

***No 365 Settlement file on Friday, November 8, 2013.

 

NETWORKING:

            Networking activity will be accepted on Monday, November 11, 2013.  However, no Networking         Dividend Cash or Activity Settlement will occur on Monday, November 11, 2013.

 

MUTUAL FUND PROFILE SERVICE (MFPSI – PRICE AND RATE AND MFPSII – PARTICIPANT, SECURITY, AND DISTRIBUTION):

            MFPSI or MFPSII activity will be accepted on Monday, November 11, 2013.

 

THANKSGIVING DAY HOLIDAY SCHEDULE

 

National Securities Clearing Corporation, the New York, Alternext and NASDAQ Stock Exchanges and all New York banks will be closed on Thursday, November 28, 2013 in observance of Thanksgiving Day. The following changes in NSCC’s operations and schedules will be in effect:

 

ACATS - FUND/SERV INTERFACE:

            No ACATS - Fund/SERV Interface activity will be accepted on Thursday, November 28, 2013.

 

DTCC PAYMENT aXis (formerly MUTUAL FUND COMMISSION SETTLEMENT):

            No DTCC Payment aXis activity will be accepted on Thursday, November 28, 2013.

 

FUND/SERV AND NETWORKING:

            No Fund/SERV or Networking activity will be accepted on Thursday, November 28, 2013

 

MUTUAL FUND PROFILE SERVICE (MFPSI – PRICE AND RATE AND MFPSII – PARTICIPANT, SECURITY, AND DISTRIBUTION):

            No MFPSI or MFPSII activity will be accepted on Thursday, November 28, 2013.

 

 

CHRISTMAS DAY HOLIDAY SCHEDULE

 

National Securities Clearing Corporation, the New York Alternext, and NASDAQ Stock Exchanges will be closed on Wednesday, December 25, 2013 in observance of Christmas Day. The following changes in NSCC’s operations and schedules will be in effect:

 

ACATS - FUND/SERV INTERFACE:

            No ACATS - Fund/SERV Interface activity will be accepted on Wednesday, December 25, 2013.

 

DTCC PAYMENT aXis (formerly MUTUAL FUND COMMISSION SETTLEMENT):

            No DTCC Payment aXis activity will be accepted on Wednesday, December 25, 2013.

 

FUND/SERV AND NETWORKING:

            No Fund/SERV or Networking activity will be accepted on Wednesday, December 25, 2013.

 

 

MUTUAL FUND PROFILE SERVICE (MFPSI – PRICE AND RATE AND MFPSII – PARTICIPANT, SECURITY, AND DISTRIBUTION):

            No MFPSI or MFPSII activity will be accepted on Wednesday, December 25, 2013.

 

NEW YEAR’S DAY HOLIDAY SCHEDULE

 

New Year’s Day is Wednesday, January 1, 2014. National Securities Clearing Corporation, the New York Alternext, and NASDAQ Stock Exchanges will be closed on Wednesday, January 1, 2014 in observance of New Year’s Day.

 

ACATS - FUND/SERV INTERFACE:

            No ACATS - Fund/SERV Interface activity will be accepted on Wednesday, January 1, 2014.

 

 

DTCC PAYMENT aXis (formerly MUTUAL FUND COMMISSION SETTLEMENT):

            No DTCC Payment aXis activity will be accepted on Wednesday, January 1, 2014.

 

FUND/SERV AND NETWORKING:

            No Fund/SERV or Networking activity will be accepted on Wednesday, January 1, 2014.

 

MUTUAL FUND PROFILE SERVICE (MFPSI – PRICE AND RATE AND MFPSII – PARTICIPANT, SECURITY, AND DISTRIBUTION):

            No MFPSI or MFPSII activity will be accepted on Wednesday, January 1, 2014.