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

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

First Trade Date, August 7, 2001:
Sydan, LP No. 3760
OTC Alpha Identifier SOTC

 

• The following firm will begin participation in the Insurance Processing Service, as detailed below:

First Trade Date, August 3, 2001:
New York Life Insurance and Annuity Corporation/Fixed Transactions No. 4571

 

• The following firm will begin participation in the Municipal Bond Comparison Only System, as detailed below:

First Trade Date, August 7, 2001:
Fortis Investment Services, LLC No. 7253
Municipal Executing Symbol FTIS

 

• The following firms will change their names only, as detailed below:

Effective First Trade Date, August 8, 2001:
From: Southwest Securities Incorporated No. 0279
To: SWS Securities, Inc. No. 0279

 

Effective First Trade Date, August 9, 2001:
From: Triad Financial, Inc. No. 0555
To: American Portfolios Financial Services, Inc. No. 0555

 

Effective First Trade Date, August 9, 2001:
From: Firstar Bank Milwaukee No. 6772
To: U.S. Bank, N.A. No. 6772

 

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

Last Trade Date, August 10, 2001:
FIS Securities, Inc. No. 0142

 

• The following firms will no longer participate in the Corporate Bond System, as detailed below:

Last Trade Date, August 3, 2001:
Van Der Moolen Specialists, USA LLC No. 0055
Hill. Thompson, Magid and Co., Inc. No. 0633
Olsen Payne & Company No. 0143

 

*NOTE: Correction to NSCC Important Notice dated August 3, 2001 (A # 5299, P&S # 4869) the notice incorrectly reported that New York Life Insurance and Annuity Corp.(#4548) will retire from all services, please be advised that this firm has not retired from NSCC.

 

**NOTE: Correction to NSCC Important Notice dated August 3, 2001 (A # 5299, P&S # 4869) the notice incorrectly reported that the participant number for BISYS Fund Services, LP/Enterprise Global Funds PLC was (#4582), please be advised that the correct participant number is (#4852).

 

• 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