NSCC Important Notice - DTCC.com [PDF]

17 Mar 2017 - No. 3167. Last Trade Date, March 15, 2017: Realty Capital Securities, LLC. No. 3833. Realty Capital Securi

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Idea Transcript


Important Notice National Securities Clearing Corporation

A#:

8352

P&S #:

7927

Date:

03/17/2017

To:

From:

ALL PARTICIPANTS OPERATIONS PARTNER/OFFICER; MANAGER P&S DEPARTMENT; CASHIER; ACATS PARTICIPANTS; FUND/SERV PARTICIPANTS; MUNICIPAL BOND COMPARISON PARTICIPANTS ACCOUNT ADMINISTRATION

Subject:

CHANGES IN THE LIST OF PARTICIPANTS

Attention:

Effective with the opening of business on March 21, 2017, Schroder Fund Advisors, LLC will change its primary account number from 4956 to 4853. As a result, the following account changes will occur: 





The following firm will retire from all services, as detailed below: Last Trade Date, March 20, 2017: Schroder Fund Advisors, LLC

No.

4956

The following firm will change its name, as detailed below: First Trade Date, March 21, 2017: From: Schroder Fund ADVISORS LLC/Schroder Fund Advisors International Division To: Schroder Fund Advisors, LLC

No. No.

4853 4853

The following firms will retire from all services, as detailed below: Last Trade Date, March 14, 2017: Northern Lights Distributors LLC/Adaptive Allocation Fund Northern Lights Distributors, LLC/Breithorn Long/Short Fund

No. No.

6694 3167

Last Trade Date, March 15, 2017: Realty Capital Securities, LLC Realty Capital Securities, LLC Realty Capital Securities, LLC Realty Capital Securities, LLC State Street Bank & Trust Company/Xerox/Boeing Voluntary Investment Plan

No. No. No. No. No.

3833 1053 1046 1042 8046

DTCC offers enhanced access to all important notices via a Web-based subscription service. The notification system leverages RSS Newsfeeds, providing significant benefits including real-time updates and customizable delivery. To learn more and to set up your own DTCC RSS alerts, visit http://www.dtcc.com/rss-feeds.aspx.

Non-Confidential



Last Trade Date, March 16, 2017: The Bank of New York Mellon/RRZ Public Markets, Inc. MUNI Alpha Identifier: The Bank of New York Mellon/South Trust Bank of Alabama MUNI Alpha Identifier:

No. 6033 RRZP No. 6523 SALA

Last Trade Date, March 17, 2017: Northern Lights Distributors, LLC/Global Opportunities Capital Appreciation Fund

No.

The following firms will no longer participate in the MF – Profile service, as detailed below: Last Trade Date, March 16, 2017: GWFS Equities, Inc./Orchard Trust Company LLC No. 3702

Last Trade Date, March 20, 2017: Unified Financial Securities, LLC/Hirtle Callaghan Trust







No.

6574

No.

0681

No.

0681

The following firm will begin participation in the MF – Profile service, as detailed below: First Trade Date, March 16, 2017: ALPS Distributors Inc./Goehring & Rozencwajg No.

8378

The following firm will change their name only, as detailed below: First Trade Date, March 15, 2017: From: Valic Financial Advisors, Inc./Account 2 To: Valic Financial Advisors, Inc/Valic Retirement Services Co. – VRSCO For 0681

The following firms will begin participation in the Alternative Investment Products service, as detailed below: First Trade Date, March 17, 2017: Wells Fargo Clearing Services, LLC No. 9467 Steadfast Capital Markets Group, LLC No. 7292

First Trade Date, March 21, 2017: Hamilton Point Investments LLC Sealy & Company, LLC SS&C Technologies, Inc

2

3164

No. No. No.

1039 1242 4657



The following Data Services Only member will begin participation in the Insurance Processing service, as detailed below: First Trade Date, March 17, 2016: United Of Omaha Life Insurance Company/Retirement Division No. 1980



The following additional number has been assigned to GWFS Equities, Inc. (#5330) for the purpose of utilizing DTCC Payment aXis service, as detailed below: First Trade Date, March 17, 2017: GWFS Equities, Inc./Great-West Life & Annuity Ins Co - Mutual Fund Payment File No. 1230 Contact: Robin Gugel Phone: (303) 737-4456



The following additional number has been assigned to GWFS Equities, Inc. (#5330) for the purpose of utilizing DTCC Payment aXis service, as detailed below: First Trade Date, March 20, 2017: GWFS Equities, Inc./Great-West Life & Annuity Ins Co of NY Third Party Payments No. 1233 Contact: Robin Gugel Phone: (303) 737-4456



Please update the NSCC Directory dated March 2017 (for OTC Executed-By List and for Municipal Bond Comparison System) as detailed below:

Clearing Broker Identifiers

Executing Broker Identifiers

Alpha

Numeric Alpha

Clearing Broker Change, Effective First Trade Date, March 20, 2017 From: First Ballantyne, LLC To: First Ballantyne, LLC

SALI WSGD

0750 8199

FBLT FBLT

Add First Trade Date, March 16, 2017 Bids Trading LP

MLCO

0161

BTDG

3

Numeric



Please update the NSCC Directory dated March 2017 (for OTC Executed-By List) as detailed below:

Clearing Broker Identifiers

Executing Broker Identifiers

Alpha

Numeric

Alpha

Delete Last Trade Date, March 14, 2017 Electronic Transaction Clearing, Inc.

ETDP

3361

ETCJ

Add First Trade Date, March 16, 2017 Electronic Transaction Clearing, Inc.

ETDP

3361

ETEH

Add First Trade Date, March 20, 2017 Sumridge Partners, LLC

SMRD

0443

PERS



Please update the NSCC Directory dated March 2017 (for Municipal Bond Comparison System) as detailed below:

Clearing Broker Identifiers Alpha Numeric Delete Last Trade Date, March 17, 2017 Newoak Capital Markets LLC Communityamerica Financial Solutions, LLC

NEWO CAFS

0443 0443

If you have any questions regarding this notice, please E-mail [email protected].

4

Numeric

Executing Broker Identifiers Alpha Numeric PERS PERS

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