A 5314 - August 24, 2001

A 5314
P&S 4884
August 24, 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 Fiserv Securities, Inc. #0632 and Fiserv Correspondent Services, Inc. #0331, the following changes will occur:

The following firm will no longer participate in the Trade Comparison or Trade Recording Services and will become an additional number of Fiserv Securities, Inc. #0632 and will change its name, as detailed below:

Effective following the close of business on August 31, 2001:
From: Fiserv Correspondent Services, Inc. No. 0331
To: Fiserv Securities, Inc./FCS No. 0331

All open contracts which are to be cleared or settled through or by National Securities Clearing Corporation will be assumed by Fiserv Securities, Inc. (#0632).

Note: Please direct all inquiries regarding the above to:
Mr. Richard Waldman
Fiserv Securities, Inc. (#0632)
(215) 636-3008

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

First Trade Date, August 21, 2001:
The Investment Center, Inc. No. 0318
Networking Code: QW
Contact: Ralph Devito
Phone: (908) 707-4422

First Trade Date, August 23, 2001:
Union Planter, N.A. Trust No. 2642
Networking Code: RD
Contact: Mary Forgy
Phone: (618) 239-4453

First Trade Date, August 24, 2001:
Viking Mutual Funds No. 6698
Networking Code: RC
Contact: Doug Miller
Phone: (701) 858-1593

The following firm will begin participation in the Corporate Bond Comparison Service, as detailed below:

First Trade Date, August 23, 2001:
Van Der Moolen Specialists, USA LLC No. 0055

The following firm will no longer participate in the Insurance Processing Service, as detailed below:

Last Trade Date, August 22, 2001:
First Albany Corporation No. 0312

*NOTE: Correction to NSCC Important Notice dated August 17, 2001 (A # 5308, P&S # 4878) the notice incorrectly reported that the Networking Code for Participant #5848 SEI Investments Distribution Co. was QR, the Networking Code for Participant #5848 SEI Investments Distribution Co. is Q4.

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:

	Clearing Broker Identifiers		Executing Broker Identifiers
	Alpha	Numeric	Alpha	Numeric
Add First Trade Date, August 22, 2001:
Daylight Online Brokerage, LLC	PFSI	0234	DLIT

Add First Trade Date, August 23, 2001:
Kovack Securities		0235	KOVS

Add First Trade Date, August 24, 2001:
Netcap Ventures, Inc.	JBOC	8273	NTCP

Executing Broker Name Change, Effective First Trade Date, August 21, 2001:
From: NYPPE Networks, LLC	BNYC	0262	ALCM
To: NYPPE, LLC	BNYC	0262	ALCM

Executing Broker Name Change, Effective First Trade Date, August 22, 2001:
From: Credit Research & Trading, LLC	PERS	0443	CRTC
To: CRT Capital Group, LLC	PERS	0443	CRTC

Clearing Broker Change, Effective First Trade Date, August 29, 2001:
From: Credit Agricole Indosuez Securities, Inc.	ERNS	0233	CRAG
To: Credit Agricole Indosuez Securities, Inc.	JEFF	0019	CRAG

From: Archer Alexander Securities Corp.	FSRV	0331	AASC
To: Archer Alexander Securities Corp.	BHCS	0632	AASC

From: Rogan, Rosenberg & Associates, Inc.	FSRV	0331	ADSD
To: Rogan, Rosenberg & Associates, Inc.	BHCS	0632	ADSD

From: Alanar, Inc.	FSRV	0331	ALIN
To: Alanar, Inc.	BHCS	0632	ALIN

From: Clayton Securities Services, Inc.	FSRV	0331	CLYS
To: Clayton Securities Services, Inc.	BHCS	0632	CLYS

From: DMG Securities, Inc.	FSRV	0331	DSGG
To: DMG Securities, Inc.	BHCS	0632	DSGG

From: Fas Wealth Management, Inc.	FSRV	0331	FASW
To: Fas Wealth Management, Inc.	BHCS	0632	FASW

From: First Financial United Investments, LLP	FSRV	0331	FFUI
To: First Financial United Investments, LLP	BHCS	0632	FFUI

From: Florida Discount Securities, Inc.	FSRV	0331	FLDS
To: Florida Discount Securities, Inc.	BHCS	0632	FLDS

From: Ewealth Securities, Inc.	FSRV	0331	FLPG
To: Ewealth Securities, Inc.	BHCS	0632	FLPG

From: FPC Services	FSRV	0331	FPSS
To: FPC Services	BHCS	0632	FPSS

From: Cabrera Capital Markets, Inc.	FSRV	0331	FRSC
To: Cabrera Capital Markets, Inc.	BHCS	0632	FRSC

From: Global Capital Securities Corporation	FSRV	0331	GCAP
To: Global Capital Securities Corporation	BHCS	0632	GCAP

From: Gardnyer Michael Capital, Inc.	FSRV	0331	GMCI
To: Gardnyer Michael Capital, Inc.	BHCS	0632	GMCI

From: Harvestons Securities, Inc.	FSRV	0331	HARS
To: Harvestons Securities, Inc.	BHCS	0632	HARS

From: Eitel & Co. Real Estate, Stocks, Bonds & Mutual Fund	FSRV	0331	HILA
To: Eitel & Co. Real Estate, Stocks, Bonds & Mutual Fund	BHCS	0632	HILA

From: J.P. Turner and Company, LLC	FSRV	0331	JPTC
To: J.P. Turner and Company, LLC	BHCS	0632	JPTC

From: Legacy Investor Services	FSRV	0331	LEGS
To: Legacy Investor Services	BHCS	0632	LEGS

From: MP Linn, Inc.	FSRV	0331	LINN
To: MP Linn, Inc.	BHCS	0632	LINN

From: MacArthur Strategies, Inc.	FSRV	0331	MCAR
To: MacArthur Strategies, Inc.	BHCS	0632	MCAR

From: Metro Trading, Inc.	FSRV	0331	METT
To: Metro Trading, Inc.	BHCS	0632	METT

From: Maine Securities Corporation	FSRV	0331	MSCB
To: Maine Securities Corporation	BHCS	0632	MSCB

From: Pennaluna & Company	FSRV	0331	PENA
To: Pennaluna & Company	BHCS	0632	PENA

From: Pittsford Capital Markets	FSRV	0331	PTCM
To: Pittsford Capital Markets	BHCS	0632	PTCM

From: Retirement Securities, Inc.	FSRV	0331	RTIR
To: Retirement Securities, Inc.	BHCS	0632	RTIR

From: Stock Depot, Inc.	FSRV	0331	SDPT
To: Stock Depot, Inc.	BHCS	0632	SDPT

From: Southeast Investments N.A., Inc.	FSRV	0331	SEIN
To: Southeast Investments N.A., Inc.	BHCS	0632	SEIN

From: The Camelot Group, Inc.	FSRV	0331	SHLD
To: The Camelot Group, Inc.	BHCS	0632	SHLD

From: Stuart Stone & Company, Inc.	FSRV	0331	SSCL
To: Stuart Stone & Company, Inc.	BHCS	0632	SSCL

From: Summit Capital Trading, Inc.	FSRV	0331	SUMC
To: Summit Capital Trading, Inc.	BHCS	0632	SUMC

From: Thrasher & Company, Inc.	FSRV	0331	TRSH
To: Thrasher & Company, Inc.	BHCS	0632	TRSH

From: UFS Securities, LLC	FSRV	0331	UFSM
To: UFS Securities, LLC	BHCS	0632	UFSM

From: Waterford Investor Services	FSRV	0331	WTRI
To: Waterford Investor Services	BHCS	0632	WTRI

Kindly update the NSCC Directory dated July 6, 2001 (for OTC Executed-By List) as detailed below:

	Clearing Broker Identifiers		Executing Broker Identifiers
	Alpha	Numeric	Alpha	Numeric
Add First Trade Date, August 21, 2001:
Chicago Investment Group, Inc.		0235	CHIG

Executing Broker Name Change, Effective First Trade Date, August 22, 2001:
From: Riordan, Johnston & Javadizadeh	PERS	0443	RJJZ
To: RJJ Pasadena Securities, Inc.	PERS	0443	RJJZ


Clearing Broker Change, Effective First Trade Date, August 29, 2001:
From: First Liberty Investment Group	FSRV	0331	BELL
To: First Liberty Investment Group	BHCS	0632	BELL

From: Basic Investors, Inc.	FSRV	0331	BSIC
To: Basic Investors, Inc.	BHCS	0632	BSIC

From: D.C. Capital, LLC	FSRV	0331	CAPT
To: D.C. Capital, LLC	BHCS	0632	CAPT

From: Cutler Securities, Inc.	FSRV	0331	CUSR
To: Cutler Securities, Inc.	BHCS	0632	CUSR

From: D.L. Cromwell Investments, Inc.	FSRV	0331	DLCR
To: D. L. Cromwell Investments, Inc.	BHCS	0632	DLCR

From: First Guarantor Securities, Inc.	FSRV	0331	FGUA
To: First Guarantor Securities, Inc.	BHCS	0632	FGUA

From: California Fina Group, Inc.	FSRV	0331	FINS
To: California Fina Group, Inc.	BHCS	0632	FINS

From: Forge Financial Group, Inc.	FSRV	0331	FRGP
To: Forge Financial Group, Inc.	BHCS	0632	FRGP

From: Federal Street Investments, Inc.	FSRV	0331	FSIB
To: Federal Street Investments, Inc.	BHCS	0632	FSIB

From: IAR Securities Corp.	FSRV	0331	IAHI
To: IAR Securities Corp.	BHCS	0632	IAHI

From: Independence Capital Company, Inc.	FSRV	0331	ICCI
To: Independence Capital Company, Inc.	BHCS	0632	ICCI

From: Idaytrade, Inc.	FSRV	0331	IDAY
To: Idaytrade, Inc.	BHCS	0632	IDAY

From: J.H. Darbie & Co., Inc.	FSRV	0331	JDRB
To: J.H. Darbie & Co., Inc.	BHCS	0632	JDRB

From: Maxi International Broker/Dealer Corp.	FSRV	0331	MAXI
To: Maxi International Broker/Dealer Corp.	BHCS	0632	MAXI

From: MKG Financial Group, Inc.	FSRV	0331	MKGF
To: MKG Financial Group, Inc.	BHCS	0632	MKGF

From: Midwestern Securities Trading Company	FSRV	0331	MSTC
To: Midwestern Securities Trading Company	BHCS	0632	MSTC

From: North Woodward Financial Corporation	FSRV	0331	NWFC
To: North Woodward Financial Corporation	BHCS	0632	NWFC

From: New World Securities, Inc.	FSRV	0331	NWSI
To: New World Securities, Inc.	BHCS	0632	NWSI

From: Olde Economie Financial Consultants, LTD	FSRV	0331	OEFC
To: Olde Economie Financial Consultants, LTD	BHCS	0632	OEFC

From: Parker Financial Corp.	FSRV	0331	PFCO
To: Parker Financial Corp.	BHCS	0632	PFCO

From: Primex	FSRV	0331	PRMX
To: Primex	BHCS	0632	PRMX

From: RBR Securities, Inc.	FSRV	0331	RBRS
To: RBR Securities, Inc.	BHCS	0632	RBRS

From: Resource Horizons Group, LLC	FSRV	0331	RHGL
To: Resource Horizons Group, LLC	BHCS	0632	RHGL

From: Stephen A. Kohl & Associates, LTD	FSRV	0331	SAKL
To: Stephen A. Kohl & Associates, LTD	BHCS	0632	SAKL

From: Seaside Securities, Inc.	FSRV	0331	SEAS
To: Seaside Securities, Inc.	BHCS	0632	SEAS

From: Sterling Enterprise Group, Inc.	FSRV	0331	SEGI
To: Sterling Enterprise Group, Inc.	BHCS	0632	SEGI

From: Spencer Edwards, Inc.	FSRV	0331	SPIN
To: Spencer Edwards, Inc.	BHCS	0632	SPIN

From: Trade Wall Street, Inc.	FSRV	0331	TWST
To: Trade Wall Street, Inc.	BHCS	0632	TWST

From: Viewtrade Securities, Inc.	FSRV	0331	VIEW
To: Viewtrade Securities, Inc.	BHCS	0632	VIEW

From: Willow Cove Investment Group, Inc.	FSRV	0331	WCIG
To: Willow Cove Investment Group, Inc.	BHCS	0632	WCIG

Kindly update the NSCC Directory dated July 6, 2001 (for the Municipal Bond Comparison System) as detailed below:

	Clearing Broker Identifiers		Executing Broker Identifiers
	Alpha	Numeric	Alpha	Numeric
Delete Last Trade Date, August 24, 2001:
Visible Markets, Inc.	NFSC	0226	VMKT

Executing Broker Name Change, Effective First Trade Date, August 21, 2001:
From: Betzold Berg, Nussbaum and Heitman, Inc.	PERS	0443	BBNI
To: Betzold Research and Trading, Inc.	PERS	0443	BBNI

Clearing Broker Change, Effective First Trade Date, August 29, 2001:
From: Isaak Bond Investments, Inc.	FSRV	0331	IAAK
To: Isaak Bond Investments, Inc.	BHCS	0632	IAAK

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