The Underlying Firm Symbol (UFS) provides a standard method of identifying intermediaries involved in providing service to a mutual fund account.

Background

NSCC participant numbers are typically used in the mutual fund industry as a standard method of identifying funds, firms, and other intermediaries such as third-party administrators and recordkeepers. Intermediaries that are not NSCC members do not have NSCC participant numbers, and were generally left with no other standard and universally recognized means of being identified in a mutual fund account’s setup or profile. The Underlying Firm Symbol (UFS) was created to be used as an alternate, standard method of identifying intermediaries involved in providing service to a mutual fund account.

UFS Deletions and Modifications List

Modified December 01, 2022

UFS Request and Maintenance Form

October 14, 2020

Underlying Firm Symbol (UFS) Guide

May 03, 2022

Underlying Firm Symbol (UFS) List

Modified December 01, 2022

 

 

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