A 4838 - October 9, 1998
P&S 4402
TO: ALL PARTICIPANTS
ATTENTION: MANAGER, PURCHASES AND SALES DEPARTMENT; CASHIER; FUND/SERV PARTICIPANTS; ACATS PARTICIPANTS
SUBJECT: CHANGES IN THE LIST OF PARTICIPANTS
The following member of The Depository Trust Company will begin participation in the NSCC/DTC Fund/Serv and Networking interface as detailed below:
Effective Immediately:
Stoever, Glass & Co., Inc. No. 6759
Networking Code: 1F
Contact: Jean McGuire
Phone: (212) 952-1930
The following firms will begin participation in the Annuity Processing Service as detailed below:
First Trade Date, October 8, 1998:
Janney Montgomery Scott Inc. No. 0374First Trade Date, October 12, 1998:
Sentra Securities Corporation No. 0182
The following firms will retire from all services as detailed below:
Last Trade Date, October 7, 1998:
The Ohio Company No. 0196
Last Trade Date, October 16, 1998:
Crabbe Huson Securities, Inc. No. 5589
The following firm will retire from the OTC Comparison system only as detailed below:
Last Trade Date, October 6, 1998:
Concord Services, L.L.C. No. 7035
*Note: See page 2 for further details.
The following firm will begin participation in the OTC Comparison system as detailed below:
First Trade Date, October 7, 1998:
Empire Financial Group, Inc. No. 0297
OTC Alpha Identifier EFGI
UPDATE
OTC EXECUTED-BY LIST
MUNICIPAL BOND COMPARISON DIRECTORY
Kindly update the OTC Executed-By List and the Municipal Bond Comparison Directory dated July 3, 1998 as detailed below:
Clearing
Broker |
Executing
Broker |
|||
Alpha |
Numeric |
Alpha |
Numeric |
|
Delete, Immediately: |
||||
Dawson (John) Associates, Inc. |
BSSC |
0352 |
JDAI |
|
International Bond & Share Inc. |
0235 |
IBND |
||
Winthrop Financial |
FEMG |
7035 |
WINT |
|
Add Immediately: |
||||
PFIC Securities Corporation |
NFSC |
0226 |
PFIC |
|
Add, First Trade Date, October 12,1998: |
||||
Barton Creek Capital Corp. |
PFSI |
0234 |
BCCA |
|
Kindly update the OTC Executed-By List as detailed below:
Clearing
Broker |
Executing
Broker |
|||
Alpha |
Numeric |
Alpha |
Numeric |
|
Delete, Immediately: |
||||
Concord Services, L.L.C.* |
FEMG |
7035 |
FEMG |
7035 |
Empire Financial Group, Inc. |
PFSI |
0234 |
EFGI |
|
Add Immediately: |
||||
Concord Services, L.L.C.* |
MJKI |
0139 |
FEMG |
|
Empire Financial Group, Inc. |
EFGI |
0297 |
EFGI |
0297 |
RichMark Capital Corporation |
PFSI |
0234 |
RMRK |
|
The following firms have remitted Executed Networking Agreements during the week of October 9, 1998:
#6759 - Stoever, Glass & Co., Inc.
#5421 - Alps Mutual Fund Services Inc./Aristata Funds
*#5653 - Fidelity Fund Distributors Corp./First Funds - Class III
* Correction
If you have any questions, please call William Reilly at (212) 412-8620 or Lisa Siebold at (212) 412-8591.
Jan Meola
Vice President, Membership