Mutual Funds Services

Clarifications for Fund/SERV Mutual Fund to ETF Share Class Exchange Automated Solution.

Fri, 27 Mar 2026 00:00:00 -0500

Clarifications for Fund/SERV Mutual Fund to ETF Share Class Exchange Automated Solution.

Notice: a9741

Summary:

This notice supplements Important Notices a9680 and a9692 and provides additional guidance and clarification regarding the automated Mutual Fund to ETF share class exchange solution and Fund/SERV record layouts.

Mutual Fund to ETF Share Class Exchange – Liquidation of Residual Shares Automated Solution, Accelerated Settlement for Networking Activity Files, and Additional Enhancements to Fund/SERV to Support MF to ETF Share Class Exchanges

Wed, 25 Mar 2026 00:00:00 -0500

Mutual Fund to ETF Share Class Exchange – Liquidation of Residual Shares Automated Solution, Accelerated Settlement for Networking Activity Files, and Additional Enhancements to Fund/SERV to Support MF to ETF Share Class Exchanges

Notice: a9733

Summary:

On July 13, 2026, the National Securities Clearing Corporation (NSCC) will introduce an automated solution to support the liquidation of residual shares resulting from a Mutual Fund to ETF Share Class Exchange. This enhancement represents a key milestone in the NSCC’s continued support of ETF dual share classes through its Fund Solutions offerings.

MF Info Xchange Service Enhancements

Thu, 26 Feb 2026 00:00:00 -0600

MF Info Xchange Service Enhancements

Notice: a9722

Summary:

Effective April 10, 2026, National Securities Clearing Corporation (NSCC) will introduce a new “MF to ETF Share Class Exchange Blackout Period” event notification template to MF Info Xchange. This will allow fund clients to communicate when they are implementing blackout periods; exchanges between the Mutual Fund and ETF Share Class will not be permitted.

Trump Accounts

Wed, 18 Feb 2026 00:00:00 -0600

Trump Accounts

Notice: a9721

Summary:

Effective May 18, 2026, the National Securities Clearing Corporation (NSCC) will introduce a new social code, “Trump Account”, to support required transparency for intermediaries and asset managers and provide a standard method to identify accounts as Trump Accounts.

Mutual Fund to ETF Share Class Exchange automated solution – CLARIFICATIONS TO IMPORTANT NOTICE A9680

Tue, 16 Dec 2025 00:00:00 -0600

Mutual Fund to ETF Share Class Exchange automated solution – CLARIFICATIONS TO IMPORTANT NOTICE A9680

Notice: a9692

Summary:

This notice supplements Important Notice a9680 and provides additional guidance and clarifications regarding automated Mutual Fund to ETF share class exchange solution and Fund/SERV record layouts.

Mutual Fund to ETF Share Class Exchange automated solution

Mon, 24 Nov 2025 00:00:00 -0600

Mutual Fund to ETF Share Class Exchange automated solution

Notice: a9680

Summary:

Effective May 18, 2026, National Securities Clearing Corporation (NSCC) will deliver an automated solution for Mutual Fund to ETF Share Class Exchanges via Fund/SERV, subject to regulatory approval.

MF Info Xchange Service Enhancements

Thu, 23 Oct 2025 00:00:00 -0500

MF Info Xchange Service Enhancements

Notice: a9662

Summary:

NSCC’s latest MF Info Xchange release includes a new “Security Issue ID Change” notification and support for attachments in “Issue” and “General Announcement” notifications. The “Unscheduled Market Close (UMC)” notification now offers fields to list applicable NSCC Participant Numbers and indicate whether Record, Ex, or Payable Dates fall on the UMC date, along with best practice language from ICI’s "Mutual Fund Operations Planning Guide for an Unexpected Market Close". Additional updates include optional fields for “State of Sale” in the “Large Trade” notification, “Announcement Type” in the “Prospectus Change” notification, and an indicator for whether new purchases are allowed for wrap accounts in the “Fund Closure – Soft Close” notification.

Mutual Fund Profile Security Enhancements – Interval Funds

Fri, 22 Aug 2025 00:00:00 -0500

Mutual Fund Profile Security Enhancements – Interval Funds

Notice: a9632

Summary:

Effective Monday, November 24, 2025, National Securities Clearing Corporation (NSCC) will implement enhancements to the Mutual Fund Profile Service II – Profile Security Database (Profile Security) to further support Interval Fund products, including New Interval Fund Data Points, Batch File Updates, and New Data Validation Warnings.

CHANGES IN THE LIST OF PARTICIPANTS

Fri, 06 Jun 2025 00:00:00 -0500

CHANGES IN THE LIST OF PARTICIPANTS

Notice: a9605

Summary:

MUTUAL FUND SECURITY ISSUE ID CENTER

Tue, 20 May 2025 00:00:00 -0500

MUTUAL FUND SECURITY ISSUE ID CENTER

Notice: a9596

Summary:

ACATS-Fund/SERV® - Eliminate T+2 Acknowledgement Pend Day

Wed, 09 Apr 2025 00:00:00 -0500

ACATS-Fund/SERV® - Eliminate T+2 Acknowledgement Pend Day

Notice: a9579

Summary:

MF Info Xchange Service Enhancements

Fri, 31 Jan 2025 00:00:00 -0600

MF Info Xchange Service Enhancements

Notice: a9544

Summary:

Modified Mutual Funds Saturday Processing Schedule

Fri, 15 Nov 2024 00:00:00 -0600

Modified Mutual Funds Saturday Processing Schedule

Notice: a9515

Summary:

Retirement Plan Reporting (RPR) - New Plan Type

Thu, 03 Oct 2024 00:00:00 -0500

Retirement Plan Reporting (RPR) - New Plan Type

Notice: a9498

Summary:

MF Info Xchange Service Enhancements

Thu, 29 Aug 2024 00:00:00 -0500

MF Info Xchange Service Enhancements

Notice: a9471

Summary:

Profile Security Enhancements - SECURE 2.0 Act & Money Market Reform

Wed, 26 Jun 2024 00:00:00 -0500

Profile Security Enhancements - SECURE 2.0 Act & Money Market Reform

Notice: a9450

Summary:

MF Info Xchange Service Enhancements

Mon, 17 Jun 2024 00:00:00 -0500

MF Info Xchange Service Enhancements

Notice: a9443

Summary:

MF Info Xchange Service Enhancements

Fri, 14 Jun 2024 00:00:00 -0500

MF Info Xchange Service Enhancements

Notice: a9428

Summary:

NSCC Business Continuity and Disaster Recovery – 2024 Testing Dates and Modified Mutual Funds Processing Schedule

Wed, 12 Jun 2024 00:00:00 -0500

NSCC Business Continuity and Disaster Recovery – 2024 Testing Dates and Modified Mutual Funds Processing Schedule

Notice: a9444

Summary:

SECURE 2.0 & Money Market Reform - Enhancements

Fri, 07 Jun 2024 00:00:00 -0500

SECURE 2.0 & Money Market Reform - Enhancements

Notice: a9441

Summary:

Test #2 of DTCC Back Up Communication Tool

Mon, 20 May 2024 00:00:00 -0500

Test #2 of DTCC Back Up Communication Tool

Notice: a9434

Summary:

Information on DTCC TEST EMAILS

Tue, 14 May 2024 00:00:00 -0500

Information on DTCC TEST EMAILS

Notice: A9430

Summary:

Settlement Cycle Modifications to Facilitate Industry Move to T+1 /
No Securities Identified for Exclusion

Mon, 13 May 2024 00:00:00 -0500

Settlement Cycle Modifications to Facilitate Industry Move to T+1 /
No Securities Identified for Exclusion

Notice: a9427

Summary:

MF Info Xchange Service Enhancements

Tue, 12 Mar 2024 00:00:00 -0500

MF Info Xchange Service Enhancements

Notice: a9392

Summary:

Mutual Fund Profile Service II – Profile Security Web and Batch File Enhancements

Fri, 23 Feb 2024 00:00:00 -0600

Mutual Fund Profile Service II – Profile Security Web and Batch File Enhancements

Notice: a9397

Summary:

Mutual Fund Profile Service II – Profile Security Database Enhancements

Thu, 14 Dec 2023 00:00:00 -0600

Mutual Fund Profile Service II – Profile Security Database Enhancements

Notice: a9368

Summary:

MF Info Xchange Service Enhancements

Wed, 15 Nov 2023 00:00:00 -0600

MF Info Xchange Service Enhancements

Notice: a9349

Summary:

Settlement Cycle Modifications to Facilitate Industry Move to T+1

Wed, 12 Jul 2023 00:00:00 -0500

Settlement Cycle Modifications to Facilitate Industry Move to T+1

Notice: a9321

Summary:

MF Info Xchange Service Enhancements

Wed, 21 Jun 2023 00:00:00 -0500

MF Info Xchange Service Enhancements

Notice: a9308

Summary:

NSCC Business Continuity and Disaster Recovery – 2023 Testing Dates and Modified Mutual Funds Processing Schedule

Tue, 30 May 2023 00:00:00 -0500

NSCC Business Continuity and Disaster Recovery – 2023 Testing Dates and Modified Mutual Funds Processing Schedule

Notice: a9304

Summary:

Mutual Fund Profile Service II – Profile Security: Not In Document (NID) Review and Acknowledgement

Fri, 19 May 2023 00:00:00 -0500

Mutual Fund Profile Service II – Profile Security: Not In Document (NID) Review and Acknowledgement

Notice: a9299

Summary:

Mutual Funds – Documentation Update to Networking Transaction Description Codes for 529 Accounts

Mon, 01 May 2023 00:00:00 -0500

Mutual Funds – Documentation Update to Networking Transaction Description Codes for 529 Accounts

Notice: a9294

Summary:

Mutual Funds – Decommissioning of the MFPS II: Participant Database

Tue, 21 Mar 2023 00:00:00 -0500

Mutual Funds – Decommissioning of the MFPS II: Participant Database

Notice: a9279

Summary:

MF Info Xchange Service Enhancements

Wed, 22 Feb 2023 00:00:00 -0600

MF Info Xchange Service Enhancements

Notice: a9257

Summary:

ACATS-Fund/SERV® Enhancements - 529 Account Transfers

Fri, 10 Feb 2023 00:00:00 -0600

ACATS-Fund/SERV® Enhancements - 529 Account Transfers

Notice: a9267

Summary:

MF Info Xchange Service Enhancements -Updated

Fri, 11 Nov 2022 00:00:00 -0600

MF Info Xchange Service Enhancements -Updated

Notice: a9226

Summary:

Mutual Fund Profile Service II – Profile Security Data Purge and Updated Specification Reporting Process

Tue, 20 Sep 2022 00:00:00 -0500

Mutual Fund Profile Service II – Profile Security Data Purge and Updated Specification Reporting Process

Notice: a9210

Summary:

MUTUAL FUND PROFILE SERVICE II – PROFILE SECURITY SPECIFICATION REPORTING TOOL

Wed, 20 Jul 2022 00:00:00 -0500

MUTUAL FUND PROFILE SERVICE II – PROFILE SECURITY SPECIFICATION REPORTING TOOL

Notice: a9183

Summary:

NSCC Business Continuity and Disaster Recovery – 2022 Testing Dates and Modified Mutual Funds Processing Schedule

Wed, 18 May 2022 00:00:00 -0500

NSCC Business Continuity and Disaster Recovery – 2022 Testing Dates and Modified Mutual Funds Processing Schedule

Notice: a9135

Summary:

MUTUAL FUND PROFILE SERVICE II – PROFILE SECURITY: NOT IN DOCUMENT (NID) REVIEW AND ACKNOWLEDGEMENT

Thu, 07 Apr 2022 00:00:00 -0500

MUTUAL FUND PROFILE SERVICE II – PROFILE SECURITY: NOT IN DOCUMENT (NID) REVIEW AND ACKNOWLEDGEMENT

Notice: a9121

Summary:

Fund/SERV® & Mutual Fund Profile Security Enhancements – Interval Fund Processing -

Fri, 18 Mar 2022 00:00:00 -0500

Fund/SERV® & Mutual Fund Profile Security Enhancements – Interval Fund Processing -

Notice: a9044

Summary:

MF Info Xchange Service Enhancements

Thu, 11 Nov 2021 00:00:00 -0600

MF Info Xchange Service Enhancements

Notice: a9071

Summary:

Fund/SERV® and Networking Enhancements

Thu, 02 Sep 2021 00:00:00 -0500

Fund/SERV® and Networking Enhancements

Notice: a9045

Summary:

MUTUAL FUND PROFILE SERVICE II – PROFILE SECURITY: SPECIFICATION REPORT ENHANCEMENTS

Fri, 06 Aug 2021 00:00:00 -0500

MUTUAL FUND PROFILE SERVICE II – PROFILE SECURITY: SPECIFICATION REPORT ENHANCEMENTS

Notice: A9036

Summary:

Juneteenth Observance

Thu, 17 Jun 2021 00:00:00 -0500

Juneteenth Observance

Notice: a9015

Summary:

NSCC Business Continuity and Disaster Recovery – 2021 Testing Dates and Modified Mutual Funds Processing Schedule

Tue, 01 Jun 2021 00:00:00 -0500

NSCC Business Continuity and Disaster Recovery – 2021 Testing Dates and Modified Mutual Funds Processing Schedule

Notice: a9008

Summary:

MF Info Xchange Service Enhancements

Wed, 28 Apr 2021 00:00:00 -0500

MF Info Xchange Service Enhancements

Notice: a8994

Summary:

Mutual Fund Profile Service II – Profile Security Enhancements

Thu, 25 Mar 2021 00:00:00 -0500

Mutual Fund Profile Service II – Profile Security Enhancements

Notice: a8984

Summary:

Mutual Funds – Decommissioning of the Networking Account Maintenance and Payment aXis - Global Update Services

Fri, 26 Feb 2021 00:00:00 -0600

Mutual Funds – Decommissioning of the Networking Account Maintenance and Payment aXis - Global Update Services

Notice: a8971

Summary:

MF Info Xchange Service Enhancements

Wed, 27 Jan 2021 00:00:00 -0600

MF Info Xchange Service Enhancements

Notice: a8958

Summary:

Mutual Funds Services

Clarifications for Fund/SERV Mutual Fund to ETF Share Class Exchange Automated Solution.

Mutual Fund to ETF Share Class Exchange – Liquidation of Residual Shares Automated Solution, Accelerated Settlement for Networking Activity Files, and Additional Enhancements to Fund/SERV to Support MF to ETF Share Class Exchanges

MF Info Xchange Service Enhancements

Trump Accounts

Mutual Fund to ETF Share Class Exchange automated solution – CLARIFICATIONS TO IMPORTANT NOTICE A9680

Mutual Fund to ETF Share Class Exchange automated solution

MF Info Xchange Service Enhancements

Mutual Fund Profile Security Enhancements – Interval Funds

CHANGES IN THE LIST OF PARTICIPANTS

MUTUAL FUND SECURITY ISSUE ID CENTER

ACATS-Fund/SERV® - Eliminate T+2 Acknowledgement Pend Day

MF Info Xchange Service Enhancements

Modified Mutual Funds Saturday Processing Schedule

Retirement Plan Reporting (RPR) - New Plan Type

MF Info Xchange Service Enhancements

Profile Security Enhancements - SECURE 2.0 Act & Money Market Reform

MF Info Xchange Service Enhancements

MF Info Xchange Service Enhancements

NSCC Business Continuity and Disaster Recovery – 2024 Testing Dates and Modified Mutual Funds Processing Schedule

SECURE 2.0 & Money Market Reform - Enhancements

Test #2 of DTCC Back Up Communication Tool

Information on DTCC TEST EMAILS

Settlement Cycle Modifications to Facilitate Industry Move to T+1 / No Securities Identified for Exclusion

MF Info Xchange Service Enhancements

Mutual Fund Profile Service II – Profile Security Web and Batch File Enhancements

Mutual Fund Profile Service II – Profile Security Database Enhancements

MF Info Xchange Service Enhancements

Settlement Cycle Modifications to Facilitate Industry Move to T+1

MF Info Xchange Service Enhancements

NSCC Business Continuity and Disaster Recovery – 2023 Testing Dates and Modified Mutual Funds Processing Schedule

Mutual Fund Profile Service II – Profile Security: Not In Document (NID) Review and Acknowledgement

Mutual Funds – Documentation Update to Networking Transaction Description Codes for 529 Accounts

Mutual Funds – Decommissioning of the MFPS II: Participant Database

MF Info Xchange Service Enhancements

ACATS-Fund/SERV® Enhancements - 529 Account Transfers

MF Info Xchange Service Enhancements -Updated

Mutual Fund Profile Service II – Profile Security Data Purge and Updated Specification Reporting Process

MUTUAL FUND PROFILE SERVICE II – PROFILE SECURITY SPECIFICATION REPORTING TOOL

NSCC Business Continuity and Disaster Recovery – 2022 Testing Dates and Modified Mutual Funds Processing Schedule

MUTUAL FUND PROFILE SERVICE II – PROFILE SECURITY: NOT IN DOCUMENT (NID) REVIEW AND ACKNOWLEDGEMENT

Fund/SERV® & Mutual Fund Profile Security Enhancements – Interval Fund Processing -

MF Info Xchange Service Enhancements

Fund/SERV® and Networking Enhancements

MUTUAL FUND PROFILE SERVICE II – PROFILE SECURITY: SPECIFICATION REPORT ENHANCEMENTS

Juneteenth Observance

NSCC Business Continuity and Disaster Recovery – 2021 Testing Dates and Modified Mutual Funds Processing Schedule

MF Info Xchange Service Enhancements

Mutual Fund Profile Service II – Profile Security Enhancements

Mutual Funds – Decommissioning of the Networking Account Maintenance and Payment aXis - Global Update Services

MF Info Xchange Service Enhancements

Settlement Cycle Modifications to Facilitate Industry Move to T+1 /
No Securities Identified for Exclusion