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