
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
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
- NOTE: NSCC Important Notice A# 4848 P&S# 4412 dated October 30, 1998 indicated that the following firm would begin participation in the NSCC/DTC Fund/Serv and Networking Interface effective first trade date November 2, 1998. We have been advised that the effective date has been amended as detailed below:
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
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|
Clearing
Broker Identifiers |
Executing
Broker Identifiers |
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| 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 | ||
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Clearing
Broker Identifiers |
Executing
Broker Identifiers |
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| 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 |
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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 | |
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Clearing
Broker Identifiers |
Executing
Broker Identifiers |
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| 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 | |
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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