DTC Numbers
Ops Management or Tennis Player?
Acronymns
Misc.
Scenarios & Systems
100
UBS
0221
100
Ted Pick
CEO
guys, please
100
ACATS
Automated Customer Account Transfer Services
100
How many digits in a CUSIP?
9
100
Client Services Reaches out asking for a transfer to be resubmitted ASAP but the transfer is still has a pending rejection, what do you do?
offer to resubmit after 4pm same day
200
Pershing
0443
200
Dave Galasso
MS
200
RARA
Review Adjust Review Accelerate
200
How many digits in an ISIN?
12
200
A caller asks about resubmiting an ACAT from NFS that was submitted 4 months ago. What next steps do you give them? HINT: Same advice you'd give for a transfer from Schwab.
Manual Residual Request in BTP
300
Schwab
0164
300
Roger Federer
Swiss tennis legend who won 20 Grand Slam singles titles and spent 310 total weeks as World No. 1 during his career
300
CNS
Continuous Net Settlement
300
Mutual Fund Settlement Location
FundServe
300
A case asks for donor Info for 5 shares of SPAXX. Where do I go?
BTP, MF's not in GSP
400
Ameriprise
0756
400
Andy Murray
400
NSCC
National Securities Clearing Corp.
400
Year MS was founded?
- 1935
- 1937
- 1938
- 1940
1935
400
A case request historical data for an ACAT that took place in Nov 15, 2011. Is this possible to find? If so where can I go to find this? (2 possible places)
statement maybe / ON demand definitely
500
Brown Brothers Harriman
0010
500
Michael Pizzi
MS
500
CUSIP
Committee on Uniform Securities Identification Procedures
500
Statute of Limitation on Reclaiming an ACAT
- 2 Years
- 3 Years
- 5 Years
- None
None.
ACATS does not limit how old a closed transfer can be before a reclaim (RCL) is submitted. A firm can initiate a reclaim against a transfer regardless of when it originally settled. [ACATS User Guide.. | PDF]
500
The partial transfer is in Settle Close in Transfer History. The branch is wondering why this MF did not transfer. What are the 3 questions I should ask myself confirm? How would I answer those questions?
Was it actually requested? - Ondemand / Was it marked Undeliverable? - BTP / Was it Receiver Deleted? - Docs in Client account