
A 4865 -
December 4, 1998
P&S 4429
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 change its Listed and OTC symbols as detailed below:
First Trade Date, December 14, 1998:
BNY Clearing Services LLC No. 0262
Listed Identifier:
From: EVR
To: BNC
OTC Symbol:
From: ECCC
To: BNYC
An additional clearing number has been assigned to the Canadian Depository for Securities Limited for the purpose of effecting the clearance and settlement of transactions on behalf of its member Sprott Securities Limited/CDS as detailed below:
First Trade Date, December 1, 1998:
Sprott Securities Limited/CDS No. 5055
Envelope Receive Location - Toronto (Env. - A)
An additional clearing number has been assigned to the Canadian Depository for Securities Limited for the purpose of effecting the clearance and settlement of transactions on behalf of its member Laurential Banc of Canada/CDS as detailed below:
First Trade Date, December 1, 1998:
Laurential Banc of Canada No. 5001
Envelope Receive Location - Toronto (Env. - A)
The following firms will retire from all services as detailed below:
Effective Immediately:
Deposit Guaranty National Bank, Jackson, MS No. 6993
Barnett Bank of Jacksonville, N.A. No. 6868
Last Trade Date, November 30, 1998:
Sunstone Financial Group, Inc./Grand Prix Funds No. 5895
The following firms will retire from all services as detailed below:
Last Trade Date, December 2, 1998:
*Brink Hudson & LeFever No. 0305
OTC Alpha Identifier BINF
See page 5 for further information
Last Trade Date, December 3, 1998:
Friedman, Billings, Ramsey & Co. No. 5526
Last Trade Date, December 7, 1998:
Ameriprime Financial Securities, Inc./Icon Funds No. 5549
Last Trade Date, December 11, 1998:
Gordon Capital Corporation No. 5009
An additional number has been assigned to Ameriprime Financial Securities, Inc. (#4917) for the purpose of using the Fund/Serv and Networking systems as detailed below:
First Trade Date, December 1, 1998:
Ameriprime Financial Securities, Inc./Grand Prix No. 5895
Networking Code: P4
Contact: Ken Trumpfheller
Phone: (817) 431-2197
The following firm will begin participation in the Fund/Serv, Networking, ACAT Fund/Serv and Commission Settlement systems as detailed below:
First Trade Date, December 4, 1998:
FBR Investment Services, Inc. No. 5526
Networking Code: ZO
Contact: Soth Chin
Phone: (703) 469-1313
The following firm will begin participation in the Fund/Serv and Networking systems as detailed below:
First Trade Date, December 8, 1998:
Meridian Clearing No. 5549
Networking Code: I5
Contact: Erik L. Jonson
Phone: (303) 790-1600
The following firm will begin participation in ACATS Fund/Serv as detailed below:
First Trade Date, December 1, 1998:
Janus Distributors, Inc./Janus Offshore No. 5467
The following firm will retire from the Networking system as detailed below:
Effective Immediately:
Roulston Research Corporation No. 5473
The following firms will begin participation in the Fund/Serv Commission Settlement system as detailed below:
Effective Immediately:
Bisys Fund Services LP/Willamette Value Fund No. 5429
FSC Securities Corporation No. 0169
First Trade Date, December 7, 1998:
American Growth Fund Sponsors, Inc. No. 5676
The following firm will begin participation in the Fund/Serv system as detailed below:
First Trade Date, December 7, 1998:
Benefits Corp. Equities Inc. No. 0257
Contact: Dave McLeod
Phone: (303) 689-6170
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: |
||||
Dina (Philip A.) Securities |
FSRV |
0331 |
DINA |
|
Fortress Financial Group, Ltd. |
JBOC |
8273 |
FFGL |
|
Harvest Capital Management |
PWJC |
0221 |
HRVT |
|
Kennedy, Cabot & Co. |
NISC |
0044 |
KNCB |
|
Russell Investments |
JBOC |
8273 |
RUSL |
|
Delete, Last Trade Date December 4, 1998: |
||||
Capital Bay Securities |
BSSC |
0352 |
CBAY |
|
Add Immediately: |
||||
Burlington Securities Corporation |
PRUS |
0030 |
BURL |
|
Federated Securities Inc. |
0235 |
FEDR |
||
Add, Last Trade Date December 7, 1998: |
||||
Capital Bay Securities |
0235 |
CBAY |
||
Kindly update the OTC Executed-By List as detailed below:
|
Clearing Broker Identifiers |
Executing Broker Identifiers |
||
Alpha |
Numeric |
Alpha |
Numeric |
|
Delete, Immediately: |
||||
Ash & Co., Inc. |
FSRV |
0331 |
ASHY |
|
Brauer & Associates, Inc. |
FSRV |
0331 |
BRAU |
|
Central Credit Union Fund Brokerage Services, Inc |
NFSC |
0226 |
CCBS |
|
Citizens Bank, Inc. |
NFSC |
0226 |
CTZN |
|
Corby North Bridge Securities, Inc. |
NFSC |
0226 |
CRBY |
|
Crestar Securities |
NFSC |
0226 |
CSTR |
|
Duke & Company, Inc. |
FSRV |
0331 |
DUKE |
|
FBN Brokerage |
NFSC |
0226 |
STIS |
|
Grace (R.K.) & Co. |
NFSC |
0226 |
RKGR |
|
Lido Securities |
QRCC |
0158 |
LIDO |
|
MFI Investments Corp. |
NFSC |
0226 |
MFIC |
|
Meyers, Pollock, Robbins, Inc. |
FSRV |
0331 |
MPRI |
|
PIM Global Equities |
FSRV |
0331 |
NTRD |
|
Quantum Group Ltd. |
FSRV |
0331 |
QTMG |
|
UBOC Investment Services Inc |
NFSC |
0226 |
MKTI |
|
Weiner Abrams and Company, Inc. |
NFSC |
0226 |
WGLD |
|
Winthrop Investment Group, Inc. |
FSRV |
0331 |
DAIG |
|
Delete, Last Trade Date December 4, 1998: |
||||
VTR Capital, Inc. |
FSRV |
0331 |
VENT |
|
Add Immediately: |
||||
Delta Equity Servies Corp. |
QRCC |
0158 |
RAYG |
|
Moos, E. A. & Co. L.P. |
MSCO |
0050 |
MOOS |
|
Nextrade |
FSRV |
0331 |
NTRD |
|
Add, First Trade Date, December 2, 1998: |
||||
*Brink Henderson & LeFever |
CICF |
0609 |
BINF |
|
Add, First Trade Date Dec. 7, 1998: |
||||
Axis Securities and Exchange, L.L.C. |
ECCC |
0262 |
ASAE |
|
Fairchild Financial Group, Inc. |
FSRV |
0331 |
FAIR |
|
Kindly update the Municipal Bond Comparison Directory dated July 3, 1998 as detailed below:
|
Clearing Broker Identifiers |
Executing Broker Identifiers |
||
Alpha |
Numeric |
Alpha |
Numeric |
|
Add Immediately: |
||||
BAC Corp Securities & Investment Services |
PERS |
0443 |
BCCS |
|
The following firms have remitted Executed Networking Agreements during the week of December 4, 1998:
Security Capital Markets Group, Inc. - #5451
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