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

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 member of The Depository Trust Company will begin participation in the ACATS Service, as detailed below:

First Trade Date, September 4, 2001:
National City Bank No. 2316

 

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

First Trade Date, September 4, 2001:
Bear Stearns Securities Corp. No. 0352

 

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

First Trade Date, September 4, 2001:
Manning and Napier Investor Services, Inc. No. 5753

 

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

First Trade Date, September 4, 2001:
Wachovia Bank, N.A. No. 0963

 

• The following firm will begin participation in the AMEX Listed Comparison services, as detailed below:

First Trade Date, September 7, 2001:
LaBrance & Co LLC No. 0210
Listed Alpha Identifier LAB

As the result of an acquisition between Van der Moolen Specialists USA, LLC (#0055) and Fagenson and Company Incorporated (#0104), the following changes will occur:

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

Effective following the close of business on September 6, 2001:
Fagenson and Company Incorporated No. 0104

• The following additional account will become an additional number of Van der Moolen Specialists USA, LLC and will change its name and Listed Alpha Identifier , as detailed below:

From: Fagenson & Company, Inc. – Retail No. 0251
To: Van der Moolen Specialists USA LLC / Retail No. 0251
Listed Alpha Identifier From: FFR
To: VMR
Contact: Richard Kepner
Phone: (212) 495-0538

 

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

Citistreet Equities LLC/TPA No. 7121
Networking Code: RE
Contact: Bill Minogue
Phone: (732) 514-2976

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

Last Trade Date, August 30, 2001:
Caja de Valores S.A. No. 5610
Harris Investorline Inc/Mutual Funds No. 0480

Last Trade Date, September 4, 2001:
ICC Distributors Inc./Glenmede Fund No. 4955

 

• Additional numbers have been assigned to First Fund Distributors, Inc. (#5693) for the purpose of utilizing the Fund/Serv, Networking and ACATS Fund/Serv Services, as detailed below:

First Trade Date, September 5, 2001:
First Fund Distributors, Inc./Glenmede Portfolio No. 4955
Networking Code: D5
Contact: Linda Candiloro
Phone: (602) 952-1100

 

First Trade Date, September 4, 2001:
First Fund Distributors, Inc./TT Interntional Funds No. 5533
Networking Code: RK
Contact: Linda Candiloro
Phone: (602)-952-1100

 

• An additional number has been assigned to Forum Fund Services, LLC (#5659) for the purpose of utilizing the Fund/Serv and Networking Services, as detailed below:

First Trade Date, August 31, 2001:

Forum Fund Services, LLC/Henderson Global Funds No. 5528
Networking Code: RB
Contact: Mike Kwapniewski
Phone: (617) 483-7404

 

• The following firms will no longer participate in the ACATS Fund/Serv service only, as detailed below:

Last Trade Date, August 30, 2001:
Oberweis.Net Inc No. 5697
Sunstone Distribution Services/UMB Scout Fds No. 4954

• Kindly update the NSCC Directory dated July 6, 2001 (for OTC Executed-By List and the Municipal Bond Comparison System) as detailed below:

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

Royce Fund Services Inc. No. 5663

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