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

REMINDER:
*REVISED DATE:

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:

Effective following the close of business on October *10, 2001:

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 firms will retire from all services, as detailed below:

Last Trade Date, October 1, 2001:

PIM Financial Services Inc. No. 0358

 

Last Trade Date, October 2, 2001

Fifth Third/Maxus Securities, Inc./Apex Mid Cap Fund No. 6625

 

Last Trade Date, October 4, 2001:

PFPC Distributors, Inc./ABN AMRO No. 5878

 

Last Trade Date, October 5, 2001:

Syndicated Capital, Inc./Wall Street Fund No. 6626

IFS Fund Distributors, Inc./Atlanta Sosnoff Funds No. 5432

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

Effective with the opening of business on October 5, 2001:

Native Nations Securities Inc. No. 0607

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

First Trade Date, October 8, 2001:

M Holdings Securities, Inc. No. 0757
Networking Code: R9
Contact: James Hilliker
Phone: (800) 565-6960

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

First Trade Date, October 8, 2001:

Wall Street Management Corporation No. 6626
Networking Code: 7M
Contact: Michael Linburn
Phone: (212) 856-8250
 

First Trade Date, October 8, 2001:

M Fund, Inc. No. 5425
Networking Code: RV
Contact: Kimberly Martindell
Phone: (503) 736-2924

• An additional number has been assigned to First Fund Distributors, Inc. (#5693) for the purpose of utilizing the Fund/Serv and Networking Services, as detailed below:

First Trade Date, October 8, 2001:

First Fund Distributors, Inc./Atlanta Sosnoff Investment Trust No. 5432
Networking Code: T3
Contact: Linda Candiloro
Phone: (602) 952-1100

• An additional number has been assigned to Unified Financial Securities, Inc. (#4965) for the purpose of utilizing the Fund/Serv, ACATS Fund/Serv and Networking Services, as detailed below:

First Trade Date, October 3, 2001:

Unified Financial Securities, Inc./UFSI-Unified Funds No. 5464
Networking Code: R2
Contact: Stacy Stone
Phone: (317) 917-7025
 

• An additional number has been assigned to First Dominion Capital Corp. (#5823) for the purpose of utilizing the Fund/Serv, ACATS Fund/Serv and Networking Services, as detailed below:

First Trade Date, October 8, 2001:

First Dominion Capital Corp./Questar Funds No. 4855
Networking Code: SJ
Contact: Bill Carmichael
Phone: (804) 285-1761I
 

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

First Trade Date, October 3, 2001:

SEI Investments Distribution Company/CNI Charter Funds II No. 5559
 

First Trade Date, October 4, 2001:

Woodbury Financial Services, Inc. No. 5531

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

First Trade Date, October 8, 2001:

Forum Fund Services, LLC/Henderson Global Funds No. 5528

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

First Trade Date, October 10, 2001:

Davenport & Company LLC No. 0715

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

Last Trade Date, October 5, 2001:

Matrix Capital Bank No. 5952

• The following firm will no longer participate in the ACATS Service, as detailed below:

Last Trade Date, October 5, 2001:

First National Bank of Omaha No. 2254

• The following firm will change its name only, as detailed below:

First Trade Date, October 8, 2001:

From: PFPC Distributors, Inc./CT&T Funds No. 5699

To: PFPC Distributors, Inc./ABN AMRO No. 5699

 

• 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