A 5174 - November 3, 2000

A 5174 - November 3, 2000
P&S 4734

TO: ALL PARTICIPANTS

ATTENTION: MANAGER, PURCHASE AND SALES DEPARTMENT; CASHIER; FUND/SERV PARTICIPANTS; ACATS PARTICIPANTS; MUNICIPAL BOND COMPARISON PARTICIPANTS

SUBJECT: CHANGES IN THE LIST OF PARTICIPANTS

The following firm will retire from all services, as detailed below:

Last Trade Date, October 31, 2000:

Morgan Stanley Dean Witter Online Inc. No. 5147

An additional number has been assigned to Dean Witter Reynolds, Incorporated (# 0015) for the purpose of utilizing the OTC Comparison System, CNS Regular Way and When-Issued Corporate and Municipal Bond Comparison system, Envelope Settlement Service, ACATS, RECAPS, Fund/Serv, Networking, ACATS Fund/Serv and Commission Settlement services, as detailed below:

First Trade Date, November 1, 2000:

Morgan Stanley Dean Witter Online Inc. No. 5147
OTC Alpha Identifier DBDM
Networking Code: Y1
Envelope Settlement Location Y (New York)
Contact: Tom Clancy
Phone: (415) 537-8707

An additional number has been assigned to Neuberger & Berman Management, Inc. (# 5810) for the purpose of utilizing the Fund/Serv system, as detailed below:

First Trade Date, November 7, 2000:

Neuberger & Berman Management, Inc./AMT Funds No. 5665

The following firm will begin participation in the Fund/Serv and Networking systems, as detailed below:

First Trade Date, November 3, 2000:

Waddell & Reed, Inc. No. 4879
Networking Code: F7
Contact: Michael Strohm
Phone: (913) 236-1950

The following firm will begin participation in the OTC Comparison system, as detailed below:

First Trade Date, November 1, 2000:

*Fimat USA, Inc. No. 0718
Alpha Identifier FMAT
*Note: See page 3 of this notice for additional information.

The following firm will change its name only, as detailed below:

Effective Immediately:

From: FN Investment Center No. 0172
To: Cal Fed Investments No. 0172

The following Third Party Administrator will change its name only, as detailed below:

**Effective Immediately:

From: McGladrey & Pullen No. 7113
To: RSM McGladrey, Inc. No. 7113

**Note: Correction to NSCC Important Notice dated October 13, 2000 (A # 5162, P&S # 4722) The new name for participant #7113 was incorrectly stated. Please see above for the correct corporate name.

The following firms will begin participation in the Commission Settlement Service, as detailed below:

First Trade Date November 6, 2000:

Friess Associates, Inc. No. 4978

First Trade Date November 8, 2000:

National Securities Corp. No. 0488
DSIL Investment Services, LLC No. 6631

UPDATE
OTC EXECUTED-BY LIST
MUNICIPAL BOND COMPARISON DIRECTORY

Kindly update the NSCC Directory dated July 7, 2000 (for OTC Executed-By List and the Municipal Bond Comparison System) as detailed below:

	Clearing Broker Identifiers		Executing Broker Identifiers
	Alpha	Numeric	Alpha	Numeric
Delete Immediately:
Barron Chase Securities, Inc.	FSRV	0331	BACH
Charles (Joseph) & Associates Inc.	BSSC	0352	PALM

Add Immediately:
Elephant Express, LLC	BSSC	0352	ELPX
Capital Investment Services, Inc.	LWCO	0277	CISE

Add First Trade Date, November 1, 2000:
Brill Securities, Inc.	BSSC	0352	BRIL

Add First Trade Date, November 3, 2000:
Samco Trading, Inc.	PFSI	0234	SMCO

Executing Broker Symbol & Clearing Broker Change, First Trade Date November 3, 2000:
From: Garrett (Andrew), Inc.	SILK	0501	AGII
To: Garrett (Andrew), Inc.		0235	AGAG

Add First Trade Date November 3, 2000
To: Garrett (Andrew) Trading, Inc.	SILK	0501	AGII
	Clearing Broker Identifiers		Executing Broker Identifiers
	Alpha	Numeric	Alpha	Numeric
Executing Broker Name Change, Effective Immediately::
From: Ashtin Kelly & Co.	HRZG	0327	KELY
To: E-Invest, Inc.	HRZG	0327	KELY

Clearing Broker Change Effective First Trade Date, November 3, 2000:
From: First Guarantor Securities, Inc.	FSWC	0309	FGUA
To: First Guarantor Securities, Inc.	FSRV	0331	FGUA

From: Tradeway Securities Inc.	WEDB	0103	TSGI
To: Tradeway Securities Inc.	PFSI	0234	TSGI

Kindly update the NSCC Directory dated July 7, 2000 (for OTC Executed-By List) as detailed below:

	Clearing Broker Identifiers		Executing Broker Identifiers
	Alpha	Numeric	Alpha	Numeric
Delete Immediately:
Providential Securities, Inc.	PFSI	0234	PSIC

Delete Last Trade Date, October 31, 2000:
*Fimat USA, Inc.	COWN	0286	FMAT

Add Immediately:
Wahoo Institutional Trading, LLC	MONT	0773	WHOO
Track Data Securities Corporation	PFSI	0234	TDSC

Add First Trade Date, November 6, 2000:
Spear Leeds & Kellogg/XTF Market Making	SILK	0501	SLXM

Clearing Broker Change, Effective First Trade Date November 3, 2000:
From: Global American Investments	EDFM	0650	GAME
To: Global American Investments	CCLS	0265	GAME

Kindly update the NSCC Directory dated July 7, 2000 (for The Municipal Bond Comparison System) as detailed below:

	Clearing Broker Identifiers		Executing Broker Identifiers
	Alpha	Numeric	Alpha	Numeric
Delete Immediately:
Providential Securities, Inc.	SWST	0279	PSIC

If you have any questions regarding this notice, please call Tara Cannon at (212) 412-8742.

Janis Meola
Vice President, Membership