As the result of an acquisition between E*Trade Securities, Inc. #0385 and Web Street Securities, Inc. #0190, 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 E*Trade Securities, Inc. and will change its name, as detailed below:

From: Web Street Securities, Inc. No. 0190
To: E*Trade Securities, Inc./Web Street Securities No. 0190

All open contracts which are to be cleared or settled through or by National Securities Clearing Corporation will be assumed by E*Trade Securities, Inc. (#0385).

Note: Please direct all inquiries regarding the above to:

Ms. Janice Barrilleaux
E*Trade Securities, Inc. (#0385)
(916) 858-8863

 

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

First Trade Date, October 1, 2001:
Rock Island Specialists, Inc./HROCSG No. 3719
OTC Alpha Identifier: HROC

 

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

First Trade Date, October 1, 2001:
SEI Investments Distribution Company/CNI Charter Funds II No. 5559
Networking Code: RX
Contact: Eric Reed
Phone: (207) 822-6158

 

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

First Trade Date, October 2, 2001:
Vertical Management Systems, Inc./TPA No. 7122
Networking Code: R1
Contact: Paul Borelli
Phone: (626) 744-2500

 

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

First Trade Date, September 26, 2001:
Aetna Insurance Company of America/Fund Serv/Trading No. 4574
Networking Code: DS
Contact: Gordon Elrod
Phone: (860) 273-2312

 

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

First Trade Date, September 27, 2001:
SEI Investments Distribution Company/Armada No. 5879

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

First Trade Date, September 28, 2001:
Financial Network Investment Corp. No. 0343

 

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

Last Trade Date, September 27, 2001:
Old Kent Bank No. 2161

Last Trade Date, September 28, 2001:
Michigan National Bank of Omaha No. 6743

Last Trade Date, October 5, 2001:
Michigan National Bank No. 0986

 

*NOTE: Correction to NSCC Important Notice dated September 21, 2001 (A# 5323, P&S # 4893) the notice incorrectly reported that Frontegra Asset Management, Inc. (# 5507), would begin participation in the Fund/Serv and Networking Services. Please be advised that this participant will not participate in any NSCC service at this time.

 

• 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:

• Kindly update the NSCC Directory dated July 6, 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