A 5308
P&S 4878
August 17, 2001
ATTENTION: MANAGER, PURCHASES AND SALES DEPARTMENT, CASHIER, FUND/SERV PARTICIPANTS, ACATS PARTICIPANTS, MUNICIPAL BOND COMPARISON PARTICIPANTS
SUBJECT: CHANGES IN THE LIST OF PARTICIPANTSThe following member of the Canadian Depository for Securities Limited will begin participation in the OTC Comparison Service, as detailed below:
First Trade Date, August 15, 2001:
Refco Futures Canada Ltd/CDS No. 5068
OTC Alpha Identifier RFCD
The following firms will retire from all services, as detailed below:
Last Trade Date, August 14, 2001:
Declaration Distributors, Inc./Capstone Social Ethic No. 6564Last Trade Date, August 16, 2001:
Resources Trust Company No. 0416
Resources Trust Company/Trust Operations No. 0579
Additional numbers have been assigned to First Trust Corporation (#2258) for the purpose of utilizing the Fund/Serv and Networking Services, as detailed below:
First Trust Corporation/IMS No. 0416First Trade Date, August 17, 2001:
First Trust Corporation/Resources No. 0579
Networking Code: DH
Contact: Jeff Flanagin
Phone: (303) 284-5843
An additional number has been assigned to SEI Investments Distribution Co. (#5820) for the purpose of utilizing the Fund/Serv and Networking Services, as detailed below:
First Trade Date, August 17, 2001:
Additional numbers have been assigned to SEI Trust Company (#2039) for the purpose of utilizing the Fund/Serv and Networking Services, as detailed below:
First Trade Date, August 14, 2001:
SEI Trust Company/Networking II No. 5958
Networking Code: QP
Contact: John Fahey
Phone: (610) 676-1207
The following firms will change their names only, as detailed below:
Effective First Trade Date, August 15, 2001:
From: Dresdner Kleinwort Benson North America, LLC No. 0126
To: Dresdner Kleinwort Wasserstein Securities, LLC No. 0126Effective First Trade Date, August 16, 2001:
From: Columbus Circle Trust Company No. 5951
To: Circle Trust Company No. 5951
UPDATE
OTC EXECUTED-BY LIST
MUNICIPAL BOND COMPARISON DIRECTORY
Kindly update the NSCC Directory dated July 6, 2001 (for OTC Executed-By List and the Municipal Bond Comparison System) as detailed below:
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Clearing Broker Identifiers |
Executing Broker Identifiers |
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Alpha |
Numeric |
Alpha |
Numeric |
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Delete Last Trade Date, August 17, 2001: |
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Constellation Convertibles, Ltd. |
BSSC |
0352 |
CCOF |
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Conarb Partners, LP |
BSSC |
0352 |
CNRB |
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Crest Capital, LLC |
BSSC |
0352 |
CRST |
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Debt Traders, Inc. |
BSSC |
0352 |
DTRD |
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OMNI Financial Group, LLC |
AANA |
0792 |
OMFI |
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Bemos Investment Advisors, LLC |
AANA |
0792 |
BEMO |
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Monetta Brokerage, Inc. |
AANA |
0792 |
MOTA |
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Octagon Capital Corporation/CDS |
AANA |
0792 |
OCTA |
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Add First Trade Date, August 14, 2001: |
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Kevin Dann & Partners, LLC |
MONT |
0773 |
DANN |
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Add First Trade Date, August 16, 2001: |
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Roan-Meyers Associates, LLC |
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0235 |
ROME |
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Add First Trade Date, August 17, 2001: |
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Online Stock Market, Inc. |
JBOC |
8273 |
ONLN |
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Executing Broker Name Change, Effective First Trade Date, August 16, 2001: |
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From: Triad Financial, Inc. |
ERNS |
0233 |
TRIA |
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To: American Portfolios Financial Services, Inc. |
ERNS |
0233 |
TRIA |
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Executing Broker Name Change, Effective First Trade Date, August 20, 2001: |
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From: Almarc Trading Corp. |
BSSC |
0352 |
CASH |
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To: Almarc Trading, LLC |
BSSC |
0352 |
CASH |
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From: First New York Securities Co. |
BSSC |
0352 |
FNYS |
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To: First New York Securities, LLC |
BSSC |
0352 |
FNYS |
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From: Gerard Klauer Mattison & Co., Inc. |
BSSC |
0352 |
GKMC |
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To: Gerard Klauer Mattison & Co., LLC |
BSSC |
0352 |
GKMC |
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From: Hamershlag, Kempner, Dodeles & Co., LLC |
BSSC |
0352 |
HASK |
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To: Hamershlag, Kempner & Co. |
BSSC |
0352 |
HASK |
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From: Helix Investment Partners, LP |
BSSC |
0352 |
HLIX |
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To: Helix Trading, LP |
BSSC |
0352 |
HLIX |
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From: Invemed Associates Incorporated |
BSSC |
0352 |
INVM |
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To: Invemed Associates, LLC |
BSSC |
0352 |
INVM |
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From: KA Trading, LP |
BSSC |
0352 |
KLTP |
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To: Deephaven Market Neutral Trading Limited |
BSSC |
0352 |
KLTP |
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From: Weil (Christopher) & Co. |
BSSC |
0352 |
WEIL |
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To: The Weil Company, Inc. |
BSSC |
0352 |
WEIL |
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Executing Broker Name Change and Clearing Broker Change, Effective First Trade Date, August 20, 2001: |
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From: Allen Capital Markets, LLC |
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0235 |
ALCM |
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To: NYPPE Networks, LLC |
BNYC |
0262 |
ALCM |
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Executing Broker Name and Symbol Change, Effective First Trade Date, August 20, 2001: |
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From: Yee, Desmond, Schroeder, and Allen, Inc. |
PFSI |
0234 |
YDSA |
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To: Samco Financial Services, Inc. |
PFSI |
0234 |
SMFN |
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Kindly update the NSCC Directory dated July 6, 2001 (for OTC Executed-By List) as detailed below:
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Clearing Broker Identifiers |
Executing Broker Identifiers |
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Alpha |
Numeric |
Alpha |
Numeric |
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Delete Last Trade Date, August 16, 2001: |
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Atlas Brokerage Company, LP |
NFSC |
0226 |
ABCL |
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Delete Last Trade Date, August 17, 2001: |
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Bear Specialists Hunter Specialists |
BSSC |
0352 |
HUSP |
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KMW Associates |
BSSC |
0352 |
KMWA |
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Empire Capital Group, LLC |
BSSC |
0352 |
MPIR |
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PSE EZ Bear |
BSSC |
0352 |
PSEZ |
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Parallax Fund, LP |
BSSC |
0352 |
RMLP |
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Add First Trade Date, August 20, 2001: |
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Hinet Securities, LLC |
ICLR |
0544 |
HINT |
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Executing Broker Name Change, Effective First Trade Date, August 14, 2001: |
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From: Strome Securities, Inc. |
BSSC |
0352 |
STRO |
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To: Strome Securities, LP |
BSSC |
0352 |
STRO |
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Executing Broker Name Change, Effective First Trade Date, August 20, 2001: |
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From: Edelman Securities Company, LP |
BSSC |
0352 |
ASCO |
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To: Edelman Securities Co./Arbitrage Securities Co. |
BSSC |
0352 |
ASCO |
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From: Axiom Capital Management, Inc. |
BSSC |
0352 |
AXIO |
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To: Axiom Partners, Inc. |
BSSC |
0352 |
AXIO |
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From: Banyan Securities Co. |
BSSC |
0352 |
BNYN |
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To: Banyan Securities, LLC |
BSSC |
0352 |
BNYN |
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From: Braver Stern & Co., Inc. |
BSSC |
0352 |
BRAV |
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To: Braver, Stern Securities Corp. |
BSSC |
0352 |
BRAV |
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From: Bear Stearns American Joint Specialists |
BSSC |
0352 |
BSAJ |
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To: Bear Stearns/American Stock Exchange OTC |
BSSC |
0352 |
BSAJ |
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From: Bear Stearns/AMEX Instinet |
BSSC |
0352 |
BSAM |
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To: Bear Stearns/American Stock Exchange OTC |
BSSC |
0352 |
BSAM |
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From: Bear Stearns/Dolinar Resch |
BSSC |
0352 |
BSBI |
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To: Bear Stearns/BBP, Inc. |
BSSC |
0352 |
BSBI |
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From: Nova Fund, LP |
BSSC |
0352 |
JPMO |
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To: Nova Fund c/o Renaissance Technologies Corp. |
BSSC |
0352 |
JPMO |
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From: KA Management Limited |
BSSC |
0352 |
KAML |
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To: Deephaven Market Neutral Trading Limited |
BSSC |
0352 |
KAML |
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From: Kirkland Messina, LLC |
BSSC |
0352 |
KIRK |
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To: Chanin Capital, LLC |
BSSC |
0352 |
KIRK |
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From: Soundview Technology Corp. |
BSSC |
0352 |
SNDV |
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To: WIT Soundview Corporation |
BSSC |
0352 |
SNDV |
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From: ML Professional CC/Cranmer & Cranmer |
PRST |
0551 |
PRCD |
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To: ML Professional CC/LaBranche & Co., LLC |
PRST |
0551 |
PRCD |
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Clearing Broker Change, Effective First Trade Date, August 20, 2001: |
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From: Palm Beach Capital Services Group, Inc. |
FSRV |
0331 |
PBCS |
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To: Palm Beach Capital Services Group, Inc. |
SALI |
0750 |
PBCS |
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Kindly update the NSCC Directory dated July 6, 2001 (for the Municipal Bond Comparison System) as detailed below:
|
Clearing Broker Identifiers |
Executing Broker Identifiers |
|||
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Alpha |
Numeric |
Alpha |
Numeric |
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Delete Last Trade Date, August 16, 2001: |
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Bear Stearns/Capital Markets America |
BSSC |
0352 |
BSCC |
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Cambridge Group Investments, Ltd |
BSSC |
0352 |
TBTB |
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Furman Selz Financial Services, LLC |
BSSC |
0352 |
TOTL |
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Add First Trade Date, August 20, 2001: |
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Palm Beach Capital Services Group, Inc. |
SALI |
0750 |
PBCS |
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Executing Broker Name Change, Effective First Trade Date, August 20, 2001: |
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From: Korenvaes (H.B.) Investments, LP |
BSSC |
0352 |
HBKI |
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To: HBK Finance, LP |
BSSC |
0352 |
HBKI |
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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