ง THE ABOVE UNCOMPARED ITEM WAS SUBMITTED TO NCC BY "SELLER" INDICATING YOU AS PURCHASER. 1. IMPRINT YOUR NAME & NUMBER STAMP 2. RETURN COPIES 1 & 2 IN ACCORDANCE 3. KEEP COPY 3 AS YOUR RECORD OF ADD DO NOT ERASE OR CHANGE PRINTED DATA NCC 25 REV 10-71 1 INSTRUCTIONS TO NCC ADD THE ABOVE ITEM EXACTLY AS PRINTED TO OUR PURCHASE CONTRACT LIST. PURCHASER'S NAME & NUMBER STAMP THE ABOVE UNCOMPARED ITEM WAS SUBMITTED TO NCC BY PURCHASER" INDICATING YOU 7.5 SELLEK 1. IMPRINT YOUR NAME & NUMBER STAMP ON COPIES 1 & 2 2. RETURN COPIES 1 & 2 IN ACCORDANCI 3. KEEP COPY 3 AS YOUR RECORD OF ADD DO NOT ERASE OR CHANGE PRINTED DATA NCC 26 REV 10-71 1 INSTRUCTIONS TO NCC ADD THE ABOV! 111 MEXACTLY AS PRINTEO TO OUR SALE CONTRACT LIST. SELLER'S NAME & NUMER STAMP EXHIBIT G Date NCC MEMBERSHIP SURVEY Please answer all questions and return by August 15, 1972. If you do not have a NASDAQ Market Maker Symbol, request one (must be four alpha characters) and NCC will confer with NASD/NASDAQ and confirm this assignment to you. Selection: 4. 5. Indicate the location(s) at which you wish to submit trade data (check as many as desired). This determines where your contract lists will be made available. New York Philadelphia Boston Indicate the location with which you wish to Settle your trades (Check only one): STANDARDIZATION OF FUNDS SETTLEMENT FOR SECURITIES TRANSACTIONS Report of Funds And Settlement Subcommittee JUNE 4, 1973 NATIONAL COORDINATING GROUP for COMPREHENSIVE SECURITIES DEPOSITORIES 20-306 O 747 pt. 5 WILLIAM T. DENTZER, JR. The Depository Trust Company GORDON S. MACKLIN President National Association of Securities Dealers JOHN M. MEYER, JR. Chairman Banking and Securities Industry Com. THOMAS P. PHELAN President Pacific Coast Stock Exchange Los Angeles and San Francisco, Cal. WILLIAM L. SOMERVILLE Chairman, Executive Committee Canadian Depository for Securities, Ltd. SAMUEL B. STEWART Senior Vice Chairman Bank of America San Francisco, California The attached study summarizes our findings and conclusions relative to standardizing funds settlement, on a national basis, for transactions in Depository eligible securities. I am confident that after you have had an opportunity to review the details included in our study, you will concur that a "Funds Valued Tomorrow" approach is the only feasible one at this time. It is our objective that the recommendations made in our study be implemented as soon as possible and no later than March 31, 1974. Our Working Committee, on this issue, stands ready to furnish any additional information you may require to accelerate your implementation effort. Since ours is a National Coordinating function, time is a critical element; therefore, any thoughts you might have should be directed, by September 30, 1973, to the Chairman of the National Coordinating Group Working Committee: Mr. Joseph P. Coriaci, Vice President 231 South LaSalle Street Chicago, Illinois 60693 or to the Chairman of our Ad Hoc Funds Settlement Committee: It is our continuing objective to achieve true securities immobilization through an interfacing comprehensive securities depository system. We cannot achieve this goal without your full cooperation and support. |