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

REMINDER

• 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

• An additional number has been assigned to ALPS Distributors, Inc. (#5642) for the purpose of utilizing the Fund/Serv, Networking and ACATS Fund/Serv services, as detailed below:

First Trade Date, August 1, 2001:
ALPS Distributors, Inc./First Horizon No. 5487
Networking Code: PY
Contact: Kristi Button
Phone: (303) 623-2577

• An additional number has been assigned to Sunstone Distribution Services, LLC (#5774) for the purpose of utilizing the Fund/Serv and Networking Services, as detailed below:

First Trade Date, August 1, 2001:
Sunstone Distribution Services, LLC/UMB Scout Funds No. 4854
Networking Code: P1
Contact: Connie Shannon
Phone: (414) 271-5885

• An additional number has been assigned to Bisys Fund Services, LP (#5816) for the purpose of utilizing the Fund/Serv, Networking and ACATS Fund/Serv services, as detailed below:

First Trade Date, August 2, 2001:
Bisys Fund Services, LP/Enterprise Global Funds PLC No. 4582
Networking Code: PU
Contact: Scott Roseberry
Phone: (614) 470-8862

• 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, August 2, 2001:
First Trust/RAI No. 5963
Networking Code: P9
Contact: Jeff Flanagin
Phone: (303) 294-5843

• The following Third Party Adminstrator will begin participation in the Fund/Serv and Networking services, as detailed below:

First Trade Date, August 6, 2001:
ADP Inc./TPA No. 7120
Networking Code: QD
Contact: Kevin O’Connor
Phone: (973) 974-2439

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

First Trade Date, August 1, 2001:
Legend Equities Corporation No. 0340

First Trade Date, August 6, 2001:
People’s Securities Inc. No. 0220

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

First Trade Date, August 1, 2001:
Templeton Sicav Funds/Franklin Temp Dist Inc. No. 5690
The Chapman Company No. 6562

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

Last Trade Date, July 31, 2001:
Fasciano Fund No. 6560

Last Trade Date, August 3, 2001:
New York Life Insurance and Annuity Corp. No. 4548

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

First Trade Date, August 1, 2001:
From: Freeman Securities Company, Inc. No. 0607
To: Native Nations Securities, Inc. No. 0607

 

 

• Kindly update the NSCC Directory dated January 5, 2001 (for OTC Executed-By List and the Municipal Bond Comparison System) as detailed below:

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

• Kindly update the NSCC Directory dated January 5, 2001 (for the Municipal Bond Comparison System) as detailed below:

If you have any questions regarding this notice, please call Tara Cannon at (212) 855-1149 or Miriam Santiago at (212) 855-4947.

Pablo Cubi
Associate Director
Membership Administration