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THE ABOVE UNCOMPARED ITEM WAS SUBMITTED TO NCC HY "SELLER" INDICATING YOU AS PURCHASER.
TO ADD THE ABOVE ITEM

INSTRUCTIONS TO NCC
1. IMPRINT YOUR NAME & NUMBER STAMP
ON COPIES 1 & 2

ADD THE ABOVE ITEM EXACTLY AS

PRINTED TO OUR PURCHASE CONTRACT LIST. 2. RETURN COPIES 1 & 2 IN ACCORDANCE

WITH NCC RULES
3. KEEP COPY 3 AS YOUR RECORD OF ADD
DO NOT ERASE OR CHANGE PRINTED DATA

PURCHASER'S NAME ¿ NUMBER STAMP
NCC 25 REV 10-71

1

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THE ABOVE UNCOMPARED ITEM WAS SUBMITTED 1037°C. BY "PURCHASER" INDICATINC. YOU1', FLLLI.
TO ADD THE ABOVE ITEM

INSTRUCTION, TO NCC
1. IMPRINT YOUR NAME & NUMOER STAMP
ON COPICS 1 & 2

ADD IALV! 11! MEXACTLY AS

PRINTI(10OUR SALE CONTRACI LIST. 2. RO TURN COPIES I IN ACCORDANCI

WITH NCC RULES
3. KEEP CORY 3 AS YOUR RCCORD OF ADD
DO NOT ERASE OR CHANGE PRINTED DATA

SELLIN'S NAME UNUR. R STAND
NCC 26 REV 10-71

1

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Please answer all questions and return by August 15, 1972.

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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.

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

5.

Indicate the location with which you wish to Settle your trades (Check only one) :

New York

Philadelphia

Boston

Complete and Return to:

Mr. John Carrera
Assistant Vice President-Member Services
Two Broadway
New York, New York 10004

Authorized Signature

Telephone Number

STANDARDIZATION OF FUNDS SETTLEMENT

FOR SECURITIES TRANSACTIONS

Report of
Funds And Settlement Subcommittee

JUNE 4, 1973

NATIONAL COORDINATING GROUP

for
COMPREHENSIVE SECURITIES DEPOSITORIES

20-3060 - 74 - 7 -- pt. 5

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GORDON S. MACKLIN

President
National Association of Securities Dealers

Washington, D. C.

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:

JOHN M. MEYER, JR.

Chairman
Banking and Securities Industry Com.

New York, New York

THOMAS P. PHELAN

President
Pacific Coast Stock Exchange

Los Angeles and San Francisco, Cal.

Mr. Joseph P. Coriaci, Vice President
Continental Illinois National Bank
and Trust Company of Chicago
231 South LaSalle treet
Chicago, Illinois 60693

WILLIAM L. SOMERVILLE

Chairman, Executive Committee Canadian Depository for Securities, Lid.

Toronto, Ontario, Canada

or to the Chairman of our Ad Hoc Funds Settlement Committee:

SAMUEL B. STEWART

Senior Vice Chairman Bank of America

San Francisco, California

Mr. John P. Griffiths
Vice President
Wells Fargo Bank
464 California Street
San Francisco, California

94120

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.

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