A 5336 - October 12, 2001

A 5336
P&S 4906
October 12, 2001
TO: ALL PARTICIPANTS

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

SUBJECT: CHANGES TO LIST OF PARTICIPANTS

The following firm will begin participation in Commission Settlement service, as detailed below:

First Trade Date, October 15, 2001:
IFS Fund Distributors, Inc./Firsthand Value No. 4901

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

Last Trade Date, October 10, 2001:
Barclays Global Investors, NA/Investors Bank & Trust Co. No. 2767

Last Trade Date, October 12, 2001:
John Hancock, Inc. No. 0460

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
Delete Last Trade Date, October 12, 2001:
Stuart Frankel & Co., Inc.	NEUB	0155	STAL

Add First Trade Date, October 11, 2001:
Gramercy Financial Services, LLC	BSSC	0352	GMCY

Add First Trade Date, October 12, 2001:
U-Trade Brokerage, LLC	FSWC	0309	UTSD

Executing Broker Name Change, Effective First Trade Date, October 15, 2001:
From: Reich & Tang Distributors, LP	NEUB	0155	RETA
To: Reich & Tang, LP	NEUB	0155	RETA

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
Delete Last Trade Date, October 10, 2001:
Brownstone Investment Group	NFSC	0226	BIGG

Delete Last Trade Date, October 11, 2001:
Buy Side Direct, LLC	WPGC	0022	BSDE
The Bottom Line Financial Group, LLC	WPGC	0022	BTTM
Erste Bank Artesia Securities, LLC	WPGC	0022	EBAS
Simon Securities, Inc.	WPGC	0022	SIMO
Swedbank Securities, Inc.	WPGC	0022	SWED

Delete Last Trade Date, October 12, 2001:
Cohen (Albert B.) Partners, LTD	NEUB	0155	CPAR
Gray, Seifert & Co., Inc.	NEUB	0155	GSSI

Add First Trade Date, October 11, 2001:
Capital Financial Services, Inc.		0235	CAPF

Add First Trade Date, October 12, 2001:
First Capital Investment, Inc.	FOCC	0690	FCIL

Executing Broker Name Change, Effective First Trade Date, October 12, 2001:
From: First Bermuda Securities, LTD	WPGC	0022	BRMF
To: First Bermuda Securities (BVI), LTD	WPGC	0022	BRMF

Executing Broker Symbol Change, Effective First Trade Date, October 15, 2001:
From: Falcon Research, Inc.	BSSC	0352	FESH
To: Falcon Research, Inc.	BSSC	0352	FLCN

Clearing Broker Change, Effective First Trade Date, November 7, 2001:
From: Global Resource Investments, LTD	SWST	0279	GRIL
To: Global Resource Investments, LTD		0235	GRIL

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, October 11, 2001:
Kenny (T.) & Co., Inc.	WPGC	0022	TKEN
Vercoe & Company, Inc.	ADVS	0107	VERC

Add First Trade Date, October 11, 2001:
Mark Boyar & Co., Inc.	WPGC	0022	BOYR
CMI Capital Investments, LLC	WPGC	0022	CMIC
A. Gary Schilling & Company	WPGC	0022	GARY
Kimelman & Baird, LLC	WPGC	0022	KIML

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