A 4852 -
November 6, 1998
P&S 4416
TO: ALL PARTICIPANTS
ATTENTION: MANAGER, PURCHASES AND SALES DEPARTMENT; CASHIER; FUND/SERV PARTICIPANTS; ACATS PARTICIPANTS
SUBJECT: CHANGES IN THE LIST OF PARTICIPANTS
The following firm will begin participation in the Fund/Serv Commission Settlement service as detailed below:
First Trade Date, November 5, 1998:
BISYS Fund Services, L.P./World Horizon Funds No. 5439
The following firm will change its name as detailed below:
Effective Immediately:
From: BISYS Fund Services, L.P./Fountain Square Funds No. 5874
To: BISYS Fund Services, L.P./Fifth Third Funds No. 5874
The following firm will retire from all services as detailed below:
Last Trade Date, November 13, 1998:
Provident Distributors, Inc./BEA Funds No. 4906
The following firm will retire from the NSCC/DTC Fund/Serv Interface as detailed below:
Last Trade Date, November 9, 1998:
Compass Bank - Starburst Money Market No. 2981
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 Identifiers |
Executing Broker Identifiers |
||
Alpha |
Numeric |
Alpha |
Numeric |
|
Delete, Immediately: |
||||
Trans Financial Investment Services Inc. |
NFSC |
0226 |
TFIS |
|
Effective Immediately, Executing |
||||
Broker Symbol Change & Clearing Broker Change: |
||||
From: Spectrum Securities, Inc. |
PWJC |
0221 |
SPUM |
|
To: Spectrum Securities, Inc. |
LARK |
0371 |
SPGM |
|
Effective Immediately, Executing |
||||
Broker Symbol Change: |
||||
From: Stanford Group Co., Inc. (The) |
BSSC |
0352 |
STNG |
|
To: Stanford Group Co., Inc. (The) |
BSSC |
0352 |
STFG |
|
Add Immediately: |
||||
Investment Advisors & Consultants Inc. |
0235 |
IACI |
||
RP & C International Inc. |
0235 |
RPCI |
||
Kindly update the OTC Executed-By List as detailed below:
|
Clearing Broker Identifiers |
Executing Broker Identifiers |
||
Alpha |
Numeric |
Alpha |
Numeric |
|
Delete Immediately: |
||||
Aurex Financial Corp. |
QRCC |
0158 |
AURX |
|
Add Immediately: |
||||
A & M Securities LLC |
0235 |
AMGA |
||
Catalyst Financial Corp. |
SILK |
0501 |
CATF |
|
GVR Company |
GVRN |
3644 |
GVRN |
3644 |
Quartz Euromarkets, LLC |
QRCC |
0158 |
QRTZ |
|
Samsung Securities (America), Inc. |
ERNS |
0233 |
SSNY |
|
Spear Leeds & Kellogg/Arcadia Securities LLC |
SILK |
0501 |
SLAD |
|
Spear Leeds & Kellogg/ P |
SILK |
0501 |
SLKP |
|
Stires, O =Donnell & Co. |
QRCC |
0158 |
STIR |
|
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