A 5296 - July 27, 2001

Important Notice

A 5296
P&S 4866
July 27, 2001
TO: ALL PARTICIPANTS

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

SUBJECT: CHANGES IN THE LIST OF PARTICIPANTS

As the result of a merger between Van Der Moolen Specialists, USA LLC #0055 and Stern and Kennedy #0520, the following changes will occur:
The following firm will no longer participate in the NYSE Listed Comparison service and will become an additional number of Van Der Moolen Specialists, USA LLC #0055 and will change its name, as detailed below:

Effective following the close of business on August 3, 2001:

From: Stern and Kennedy No. 0520
To: Van Der Moolen Specialists, USA LLC/Stern and Kennedy No. 0520

As the result of MJK Clearing, Inc. (#0139) assuming all clearing functions for Miller Johnson Steichen Kinnard (#0223), the following changes will occur:

Effective following the close of business on August 3, 2001:

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

Miller Johnson Steichen Kinnard No. 0223
OTC Alpha Identifier: RJSC

All open contracts which are to be cleared or settled through or by National Securities Clearing Corporation will be assumed by MJK Clearing, Inc. (#0139).

Note: Please direct all inquiries regarding the above to:

Mr. Paul Meehl
MJK Clearing, Inc. (#0139)
(763) 542-3672

The following firms will begin participation in the Networking service, as detailed below:

First Trade Date, July 25, 2001:

Triad Financial, Inc. No. 0555
Networking Code: PK
Contact: Frank Baiata
Phone: (631) 439-4600

UVEST Financial Services Group No. 0603
Networking Code: LF
Contact: Michael Vines
Phone: (704) 305-3749

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

First Trade Date, July 26, 2001:

Wilson Davis & Co.   No. 0283
Networking Code:   PQ
Contact: Bill Walker
Phone:    (801) 532-1313

An additional number has been assigned to First Trust Corporation (#2258) for the purpose of utilizing the Fund/Serv and Networking services, as detailed below:

First Trade Date, July 26, 2001:

First Trust Corporation/Lincoln Trust Company No. 5998
Networking Code: PO
Contact: Kendra Hartman
Phone: (303) 220-8420

An additional number has been assigned to Schroder Fund Advisors, Inc. (#4956) for the purpose of utilizing the Fund/Serv, Networking and ACATS Fund/Serv services, as detailed below:

First Trade Date, August 1, 2001:

Schroder Fund Advisors, Inc./Shroder Fund Advisors International Division No. 4853
Networking Code: P3
Contact: Alan Mandel
Phone: (212) 632-2919

The following firms will begin participation in the ACATS Fund/Serv service, as detailed below:

First Trade Date, July 24, 2001:

TCW Funds Management No. 6563

First Trade Date, July 25, 2001:

PFPC Distributors, Inc./Van Wagoner Funds No. 5537
SEI Investments Distribution Company/Expedition Funds No. 5718
Ascend Financial Services, Inc. No. 5884

The following firm will no longer participate in the ACAT service, as detailed below:

Last Trade Date, July 25, 2001:

Holt & Collins No. 0248

The following firm will no longer participate in the Trade Comparison service, as detailed below:

Last Trade Date, July 31, 2001:

Holt & Collins No. 0248
OTC Alpha Identifier HOCO

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

First Trade Date, July 24, 2001:

Bisys Fund Services, LLC/Governor Funds         No.         4866
Bisys Fund Services, LLC/Mercantile Mutual Funds         No.         5585
Bisys Fund Services, LLC/The Brenton Funds         No.         5864

UPDATE
OTC EXECUTED-BY LIST
MUNICIPAL BOND COMPARISON DIRECTORY

Kindly update the NSCC Directory dated January 5, 2001 (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 Last Trade Date, July 25, 2001:
KBC Securities, Inc.		0235	KBCS
Bethany Financial Advisory, Inc.	BSSC	0352	BFAI
Palisade Capital Management, LLC	BSSC	0352	PALS

Delete Last Trade Date, July 26, 2001:
Aspen Investment Alliance, Inc.	FSRV	0331	AIAI
Briarwood Investment Counsel	FSRV	0331	BRIC
Frederick & Company, Inc.	FSRV	0331	FRDK
Hampton-Porter Investments	FSRV	0331	HPIB
Institutional Equity Corp.	FSRV	0331	IEQC
Kovack Securities	FSRV	0331	KOVS
C.B. Hill & Associates, Inc.	FSRV	0331	WAAS

Delete Last Trade Date, July 27, 2001:
Arrowhead Investment Center	FSRV	0331	AICI
American Income Securities	FSRV	0331	AISM

Add First Trade Date, July 26, 2001:
Palisade Capital Securities, LLC	BSSC	0352	PCSA

Add First Trade Date, July 27, 2001:
Atlas Capital Services, Inc.	LARK	0371	ACSI
Millenium Brokerage, LLC		0235	MLMB

Add First Trade Date, July 30, 2001:
Nantucket Securities Company, LLC	BSSC	0352	NSCO
Whitney Securities, LLC	NFSC	0226	WHTS
Investment Management Corporation		0235	KCIM
Bondinvest, LLC	PERS	0443	BINV

Add First Trade Date, August 1, 2001:
Atlas Brokerage Company, LP	NFSC	0226	ABCL

Clearing Broker Change, Effective First Trade Date, August 1, 2001:
From: Grayson Financial, LLC	HRZR	0327	GFLC
To: Grayson Financial, LLC	PFSI	0234	GFLC

Clearing Broker Change, Effective First Trade Date, August 8, 2001:
From: Carl M. Hennig, Inc.	RAGN	0733	HENN
To: Carl M. Hennig, Inc.	LEGG	0740	HENN

From: H.C. Wainright & Co.	MONT	0773	WAIN
To: H.C. Wainright & Co.	PERS	0443	WAIN

Executing Broker Symbol Change, Effective First Trade Date, July 30, 2001:
From: Vfinance Investments	PWJC	0221	FCOL
To: Vfinance Investments	PWJC	0221	VFIN

Executing Broker Name Change, Effective First Trade Date, July 27, 2001:
From: FLP Gilmour & Assoc	FSRV	0331	FLPG
To: ewealth Securities, Inc.	FSRV	0331	FLPG

From: FL Discount Securities	FSRV	0331	FLDS
To: Florida Discount Securities, Inc.	FSRV	0331	FLDS

From: ADS Distributors, Inc.	FSRV	0331	ADSD
To: Rogan, Rosenberg & Associates, Inc.	FSRV	0331	ADSD

Kindly update the NSCC Directory dated January 5, 2001 (for OTC Executed-By List) as detailed below:

	Clearing Broker Identifiers		Executing Broker Identifiers
	Alpha	Numeric	Alpha	Numeric
Delete Last Trade Date, July 26, 2001:
Bigelow & Company	FSRV	0331	BGLO
Burtion J. Roe	FSRV	0331	BURT
F.D. De Leeuw & Associates	FSRV	0331	FDDL

Add First Trade Date, July 27, 2001:
Alexander Wescott & Company, Inc.	FSWC	0309	ALWC

Add First Trade Date, July 30, 2001:
Jaguar Securities, LLC	SILK	0501	JAGR

Add First Trade Date, August 1, 2001:
Service Asset Trading, Inc.	PFSI	0234	SATI

Clearing Broker Change, Effective First Trade Date, July 25, 2001:
From: U.S. Securities & Futures Corp.	CIBC	0438	USFA
To: U.S. Securities & Futures Corp.	WPGC	0022	USFA

Executing Broker Name Change and Clearing Broker Change, Effective First Trade Date, July 30, 2001:			&nbs

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