Important Notice

A 4856 - November 13, 1998
P&S 4420

TO: ALL PARTICIPANTS

ATTENTION:  MANAGER, PURCHASES AND SALES DEPARTMENT; CASHIER; FUND/SERV PARTICIPANTS; ACATS PARTICIPANTS

SUBJECT: CHANGES IN THE LIST OF PARTICIPANTS


Reminder:

Last Trade Date, November 6, 1998:

Bridge Trading Company No. 0293

 

First Trade Date, November 9, 1998:

Bridge Trading Company No. 0293
Listed Alpha Identifier: BGT

 

First Trade Date, November 11, 1998:

First Dominion Capital Corp./Monument Funds Group No. 5449
Networking Code: W5
Contact: David Kugler
Phone: (301) 604-1626

 

Last Trade Date, November 10, 1998:

Nationsbank, N.A./Barnett No. 2334

 

Last Trade Date, November 10, 1998:

Capital Analysts, Inc. No. 0348

 

Effective Immediately:

Northern Trust Company/DTC No. 2669
Networking Code: 1R
Contact: Thomas J. Sutter
Phone: (312) 630-6765

First Trade Date, November 10, 1998:

SLK/Kellogg Brokerage Services No. 0511
Contact: Paul Carroll
Phone: (212) 433-7544

 

Last Trade Date, November 11, 1998:

First Dominion Capital Corp./Monument Funds No. 5449

 

First Trade Date, November 11, 1998:

Penson Financial Services, Inc., A Division of   Service Asset Managment Company No. 5460
Networking Code: Y7
Contact: Don Watkins
Phone: (800) 469-7220

First Trade Date, November 13, 1998:

Locust Street Securities, Inc. No. 0465
Networking Code: Y8
Contact: Kevin Stych
Phone: (515) 698-7554

 

First Trade Date, November 12, 1998:

PaineWebber Incorporated No. 0221

 

Effective Immediately:

From: Einhorn & Co. No. 0364
To:Einhorn & Co. LLC No. 0364

Effective First Trade Date, November 16, 1998:

From: McDonald & Company Securities Inc. No. 0799
To: McDonald Investments Inc. No. 0799

 

First Trade Date, November 12, 1998:

Norwest EB Fundserv Recordkeeping Account No. 2195
Networking Code: 1M
Contact: Patricia Hamel
Phone: (612) 667-0503


UPDATE
OTC EXECUTED-BY LIST
MUNICIPAL BOND COMPARISON DIRECTORY

 

 

Clearing Broker

Identifiers

Executing Broker

Identifiers

  Alpha Numeric Alpha Numeric
Delete, Immediately:        
Austin Securities NFSC 0226 ASTN  
Axis Trading Corp. SWST 0279 AXIS  
Bennett Mullancy & Co. NFSC 0226 BMCO  
Berthel Fisher & Company Financial Services Inc. NFSC 0226 BFFI  
Best Vest Investments Brokerage Services NFSC 0226 BSTV  
Big J Securities, Inc.   0235 BIGJ  
Dominion Capital Corp. SWST 0279 DOMC  
Equity Securities Trading Co., Inc. SWST 0279 EQIT  
Glenfed Brokerage Services NFSC 0226 GFBS  
Kingland Capital Corporation SWST 0279 KLND  
Masters Financial Group Inc. SWST 0279 MAST  
Smith (T.L.) Securities SWST 0279 TLSS  
         
Delete, Last Trade Date November 17, 1998:        
Ramirez & Co., Inc. PERS 0443 RREZ  
Add Immediately:        
APEX Capital LLC   0235 XEPA  
Berthel Fisher & Company Financial Services Inc. WFSC 0141 BFFI  
Best Vest Investments Brokerage Services   0235 BSTV  
 

 

Clearing Broker

Identifiers

Executing Broker

Identifiers

  Alpha Numeric Alpha Numeric
Grattan Financial Securities Inc.   0235 GRAT  
Weil (Christopher) & Inc. BSSC 0352 WEIL  
         
Add, First Trade Date November 18, 1998:        
Ramirez & Co., Inc. PRUS 0030 RREZ  
         
Executing Broker Name and Symbol Change, First Trade Date, November 16, 1998:        
From: E.C. Capital, Ltd. FSRV 0331 ECAP  
To: Morgan Taylor & Associates, Inc. FSRV 0331 MTAA  
         
Clearing Broker Name Change, First Trade Date, November 16, 1998:        
From: McDonald & Company Securities Inc. MDLD 0799 MDLD 0799
To: McDonald Investments Inc. MDLD 0799 MDLD 0799

 

 

 

Clearing Broker

Identifiers

Executing Broker

Identifiers

  Alpha Numeric Alpha Numeric
Delete, Immediately:        
Grattan Financial Strategies, Inc. WEAT 0141 GRAT  
Add Immediately:        
SBS Financial Group, Inc. ERNS 0233 WIPE  

 

 

 

Clearing Broker

Identifiers

Executing Broker

Identifiers

  Alpha Numeric Alpha Numeric
Delete Immediately:        
Granite Capital Management SWST 0279 GRAN  
Investors Street SWST 0279 HLND  
Lomas Capital Markets SWST 0279 LOMA  
Thorn, Alvis, Welch, Inc. SWST 0279 TAWI  
 

 

Clearing Broker

Identifiers

Executing Broker

Identifiers

  Alpha Numeric Alpha Numeric
Weil (Christopher) & Inc. PERS 0443 WEIL  
Add Immediately:        
Cohmad Securities Corp. BSSC 0352 COMA  
Northstar Securities Inc SWST 0279 NOSR  
Wilmington Brokerage Services Company NFSC 0226 WBSC  

If you have any questions, please call William Reilly at (212) 412-8620 or Lisa Siebold at (212) 412-8591.

Janis Meola
Vice President, Membership