Fund/SERV® Member Profile Add Form

Instructions

The Fund/SERV® Member Profile Add Form requires you to complete all fields. Upon completion, please click the "Submit" button. * = 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
  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)

 

Offshore Processing (valid for Security Types 62 and 63 only)
  Future Trade Date Indicator Yes
No (Default)
  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 (Default)
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 Yes
No (Default)

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

This is for Regular Orders Only (Record Type 001)		 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

 

Submitted by *
Contact Phone Number *
Please provide any Special Instructions

(1500 characters, maximum)

 

 

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.