Operations Conference and Exhibit

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Customer Complaints- Bank Transfers Issue: Banks are requesting paperwork for simple transfers: Rely on Rule 50 Section 17 Letter to OCC Request help from SEC / FINRA 14
Customer Complaint Non-NSCC Transfers Issue: Non-Acat transfers take to long Resolution: Make more firms ACAT eligible Automate Liquidation process on Mutual Funds Request help from SEC Educate Customers 15
Page 1 and 2: Operations Conference and Exhibit T
Page 3 and 4: Reengineering Account Transfers 350
Page 5 and 6: Reengineering Account Transfers Les
Page 7 and 8: Lessons Learned from Failing Firms
Page 9 and 10: Customer Complaints Quarterly meeti
Page 11 and 12: Customer Complaints- DRS Issue: DRS
Page 13: Customer Complaints - Insurance Com
Page 17 and 18: Cost Basis Brokers will be required
Page 19 and 20: Who needs to start passing basis Br
Page 21 and 22: Reengineering Account Transfers A R
Page 23 and 24: ACATS Mutual Fund Transfer Service
Page 25 and 26: Participants (target implementation
Page 27 and 28: Future phases •Fund-initiated in-
Page 29 and 30: Possible option 29
Page 31 and 32: ACATS Liquidations •Client wants
Page 33: Next steps •Regulatory approval v

Operations Conference and Exhibit

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