ATTENTION: MANAGER, PURCHASES AND SALES DEPARTMENT CASHIER; FUND/SERV PARTICIPANTS; ACATS PARTICIPANTS
SUBJECT:
CHANGES IN THE LIST OF PARTICIPANTSThe following firms will retire from all services as detailed below:
Last Settlement Date January 6, 1997:
Commerce Bank of St. Louis, N.A. No. 6753
Effective Immediately:
Redwood Trading, Inc. No. 3890
Last Trade Date, December 31, 1997:
Broker Transaction Services/ American Advantage Funds-Institutional No. 4870
The following firm will retire from Trade Comparison as detailed below:
Last Trade Date December 26, 1997:
Connor, Clark & Company Ltd./CDS No. 5019
Effective Immediately:
Private Brokers Clearing Corporation No. 8022
An additional number has been assigned to Legg Mason Wood Walker, Inc. (#5749) for the purpose of using the Fund/Serv and Networking systems as detailed below:
First Trade Date, January 2, 1998:
Legg Mason Wood Walker, Inc./Western Asset Trust, Inc. No. 5652
Networking Code: L5
Contact: D. Stuart Bowers
Phone: (410) 454-2017
The following participant will begin participation in the Municipal Bond When Issued and Regular Way CNS System as detailed below:
Effective Immediately:
Siberell (John A.) & Company No. 7014
An additional number has been assigned to Sunstone Financial Group Inc. (#5774) for the purpose of using the Fund/Serv and Networking systems as detailed below:
First Trade Date December 31, 1997:
Sunstone Financial Group, Inc./Marsico Investment Funds No. 5728
Networking Code: L6
Contact: Barbara Bergman
Phone: (414) 271-5885
UPDATE
OTC EXECUTED-BY LIST
MUNICIPAL BOND COMPARISON DIRECTORY
|
|
Clearing Broker Identifiers |
Executing Broker Identifiers |
||
Alpha |
Numeric |
Alpha |
Numeric |
|
Delete Immediately: |
||||
Daehan Securities Inc. |
BSSC |
0352 |
DHAN |
|
Doviak Securities |
PBCC |
8022 |
DOVK |
|
Global Strategies Group, Inc. |
FSWC |
0309 |
GSGI |
|
Pinewood Securities Corporation |
PBCC |
8022 |
PINE |
|
U.S. Discount Brokerage, Inc. |
KYCC |
0288 |
USDB |
|
Delete, Last Trade Date Dec. 31, 1997: |
||||
Dirks & Company, Inc. |
0235 |
DIRK |
||
Add Immediately: |
||||
Graham (B.B.) & Company |
0235 |
BBGC |
||
Kohn (L.M.) & Company |
0235 |
LMKO |
||
Myerberg & Co., L.P. |
0235 |
MYBG |
||
Savoy Capital Management, Inc. |
0235 |
SAVY |
||
Schoff & Baxter, Inc. |
0235 |
SCHO |
||
S.K. Management, Inc. |
0235 |
SKIT |
||
Sunbelt Securities |
PRUS |
0030 |
SBLT |
|
U.S. Discount Brokerage, Inc. |
HRZG |
0327 |
USDB |
|
Add, First Trade Date January 2, 1998: |
||||
Dirks & Company, Inc. |
QRCC |
0158 |
DIRK |
|
Intrust Financial Services, Inc. |
BANK |
0701 |
IFSX |
|
|
Clearing Broker Identifiers |
Executing Broker Identifiers |
||
Alpha |
Numeric |
Alpha |
Numeric |
|
Executing Broker Name and Symbol Change, Effective January 2, 1998: |
||||
From: Dabney/Resnick, Inc. |
0277 |
DBNY |
||
To: Imperial Capital, L.L.C. |
0277 |
IMPC |
||
Kindly update the OTC Executed-By List as detailed below:
|
|
Clearing Broker Identifiers |
Executing Broker Identifiers |
||
Alpha |
Numeric |
Alpha |
Numeric |
|
Delete Immediately: |
||||
Midkiff Capital Group, Inc. |
BSSC |
0352 |
MIDK |
|
TDI, Inc. |
PBCC |
8022 |
TDII |
|
WS Securities, Inc. |
BSSC |
0352 |
WSOC |
|
First United Equities Corp. |
PRUS |
0030 |
FUND |
|
Kindly update the Municipal Bond Comparison Directory dated July 3, 1997 as detailed below:
|
|
Clearing Broker Identifiers |
Executing Broker Identifiers |
||
Alpha |
Numeric |
Alpha |
Numeric |
|
Add Immediately: |
||||
AFS Brokerage, Inc. |
FOMA |
0188 |
AFSB |
|
Alcan Securities Corp. |
FOMA |
0188 |
ALCA |
|
American Heartland Investment |
FOMA |
0188 |
AHII |
|
American Investor =s Group |
FOMA |
0188 |
AIGI |
|
Ameritrade, Inc. |
FOMA |
0188 |
AMTD |
|
Anchor Management |
FOMA |
0188 |
ANMG |
|
Assist Investment Management |
FOMA |
0188 |
ASST |
|
Brown (K.W.) Investments |
FOMA |
0188 |
BRWN |
|
Burnside (William C.) & Co., Inc. |
FOMA |
0188 |
BURN |
|
Essex National Securities |
FOMA |
0188 |
ENSC |
|
First Nevada Securities Corp. |
FOMA |
0188 |
FNEV |
|
Clearing Broker Identifiers |
Executing Broker Identifiers |
|||
Alpha |
Numeric |
Alpha |
Numeric |
|
Global Brokerage Services |
FOMA |
0188 |
GSBI |
|
Harbay, Kessef & Company |
FOMA |
0188 |
HARK |
|
Home Discount |
FOMA |
0188 |
HOME |
|
IMMG |
FOMA |
0188 |
IMMG |
|
JMJ Investment Services, Inc. |
FOMA |
0188 |
JMJM |
|
K. Michael and Co. |
FOMA |
0188 |
KMIC |
|
LFK, Inc. |
FOMA |
0188 |
LFKI |
|
Liberty Capital Investment Corp. |
FOMA |
0188 |
PURP |
|
Martino & Co. |
FOMA |
0188 |
MACI |
|
MBU, Inc. |
FOMA |
0188 |
MBUI |
|
Medallion Equities |
FOMA |
0188 |
MEQI |
|
MSB Inc. |
FOMA |
0188 |
MSBI |
|
New Times Securities Services, Inc. |
FOMA |
0188 |
NEWT |
|
ND Capital Inc. |
FOMA |
0188 |
NDCP |
|
Ohio Savings Securities, Inc. |
FOMA |
0188 |
OSSI |
|
Palm State Equities |
FOMA |
0188 |
PSEI |
|
PFIC Securities Corp. |
FOMA |
0188 |
PFIC |
|
Pittsford Capital Markets |
FOMA |
0188 |
PTCM |
|
Prime Securities Corp. |
FOMA |
0188 |
FREN |
|
Saratoga 21st, Ltd. |
FOMA |
0188 |
SARG |
|
Securities Corporation of America |
FOMA |
0188 |
SCAA |
|
Southern Capital Securities |
FOMA |
0188 |
SCSA |
|
Spectrum Capital, Inc. |
FOMA |
0188 |
SPCA |
|
Spectrum Investment Services, Inc. |
FOMA |
0188 |
CODA |
|
21st Century |
FOMA |
0188 |
TWFS |
|
USA Capital |
FOMA |
0188 |
KFSG |
|
WFP Securities |
FOMA |
0188 |
WFPS |
|
If you have any questions, please call William Reilly at (212) 412-8620 or Jan Meola at (212) 412-8623.
David F. Hoyt
Vice President