Common use of Dealer Services Clause in Contracts

Dealer Services. Generate data files for production of daily dealer advices for dealer-coded accounts in accordance with the dealer branch or group mail. · Provide flexibility in flagging the number of copies and frequency of statements for dealer-coded accounts in accordance with the dealer branch or group mail. · Generate data files for daily and monthly reporting on selected institutional firms. · Provide dealer access to shareholder information and the security by dealer. · Provide differentiated levels of access by dealer/institution for inquiry and transaction processing. · Provide system and operational support for manual and rush wire requests from Dreyfus and for manually settled dealer transmissions. · Provide NSCC support, as follows: · Call out to Dealers for all Fundserv and nightly cycle Rejects. · Accept and handle inbound calls from dealers. · Estimate all rejects. · Estimate Firm Exits-No Purchases or No redemptions-before settlement with Letter of Indemnity. · Enter estimates received from dealers. · Run daily delinquent trade open order reports and resolve. · Process Fundserv rejects manually or thru the DST NSCC Desktop. · Inform Dreyfus of Large Trades if notified via phone by a dealer. · Will handle all Fund Exception Processing (i.e., funds closed to new investors or closed to all purchases except wrap accounts etc.). · Process trades that pend due to Certificate Shares. · Process Global Rejects. · Process Cancel Rebills, as of Trades or Current Day manual Trades with Letter of Indemnity. · Settle Paid & Waiting Trades for Fundserv orders placed on networked and non-networked accounts. · Process Position File set up Requests and Refresher File Updates. · Process Ad Hoc Position file requests from dealers. · Coordinate Mass Broker to Broker conversions. · Coordinate of account transfers or maintenances for Mass Broker to Broker conversions. · Process rejected dividend reports and fix accounts that are causing rejected dividend files. · Process Registration Error Report by maintaining accounts. RPMS report #R02362. · Monitors networked Accounts without BIN report (RPMS1774) by making call out to dealers and maintain accounts. · Process rejected dividend sweeps and auto-exchange will also fix accounts · Monitor ACAT rejects. · Set dealers up to Test thru Commission/Serv and obtain signoff from D▇▇▇▇▇▇ before making them live. · Process maintenances, transfers or stripping of BINS. · Monitor and adjust account and order number inventory levels. · Handle 12b-1 and Commission Rejects. · Code accounts when funded to CDSC Exempt. · Provide D▇▇▇▇▇▇ with the ability to maintain dealer information and process. incoming institutional relationship information and provide outgoing confirmations 2. · Provide data files for proxy servicing.