Operations Conference and Exhibit

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Re-engineering Account Transfers •Moderator: •Panel: Steve Callan Vice President JPMorgan Clearing Corp. Bill Kapogiannis Director, Product Marketing & Development Depository Trust & Clearing Corporation Kevin McCosker Director Pershing LLC President, SIFMA's Customer Account Transfer Division Kristie Thompson Group Leader Edward Jones 2
Reengineering Account Transfers 350,000 300,000 250,000 200,000 150,000 100,000 50,000 0 January February March April May June July August Septemb er October Novembe r Decembe r Accounts 241,550 237,319 238,206 260,961 246,213 246,056 245,250 231,491 251,669 315,176 256,263 323,979 3
Page 1: Operations Conference and Exhibit T
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 and 14: Customer Complaints - Insurance Com
Page 15 and 16: Customer Complaint Non-NSCC Transfe
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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