A 5341 - October 19, 2001

A 5341
P&S 4911
October 19, 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 change its Listed Alpha Identifier (NYSE & AMEX), as detailed below:

Effective First Trade Date, November 2, 2001:
From: Wells Fargo Investments, LLC No. 0733
Listed Alpha Identifier RGN

To: Wells Fargo Investments, LLC No. 0733
Listed Alpha Identifier WF

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

First Trade Date, October 22, 2001:
BSE Specialist Account/BSECC Rep Account No. 0688
OTC Alpha Identifier: BOSX

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

First Trade Date, October 19, 2001:
Veritrust Financial, LLC No. 0739
Networking Code: QE
Contact: Joel Cote
Phone: (572) 448-0647

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

First Trade Date, October 19, 2001:
Huntington National Bank No. 2305

An additional number has been assigned to Metlife Securities, Inc. (#0484) for the purpose of utilizing the Fund/Serv and Networking Services, as detailed below:

First Trade Date, October 18, 2001:
Metlife Securities, Inc./Metlife Defined Contribution Group No. 0597
Networking Code: OI
Contact: Dorothy Thomas
Phone: (201) 395-7602

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 22, 2001:
Unified Financial Securities, Inc./UFSI-iMillenium Fund No. 5434
Networking Code: R7
Contact: Stacy Stone
Phone: (317) 917-7025

An additional number has been assigned to SEI Investments Distribution Company (#5820) for the purpose of utilizing the Fund/Serv, ACATS Fund/Serv and Networking Services, as detailed below:

First Trade Date, October 22, 2001:
SEI Investments Distribution Company/Causeway Capital Management Trust No. 4913
Networking Code: S9
Contact: Tim Norris
Phone: (816) 843-4051

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

Last Trade Date, October 17, 2001:
Bank of America Investment Services, Inc. No. 0424
May Financial Corporation No. 0431

The following firms will change their names only, as detailed below:

First Trade Date, November 1, 2001:
From: Dain Rauscher, Inc. No. 0235
To: RBC Dain Rauscher, Inc. No. 0235

From: Dain Rauscher, Inc./Heartland Advisors No. 5571
To: RBC Dain Rauscher,Inc./Heartland Advisors No. 5571

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

Last Trade Date, October 16, 2001:
Security Traders, LLC/RGERSG No. 3748

Last Trade Date, October 17, 2001:
Fiserv Securities, Inc./FCS No. 0331

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 16, 2001:
Bersec International Corp.	LEHM	0074	BERS
Lehwald, Orosey & Pepe Capital Markets	LEHM	0074	LOPS
Morgan Stanley Prime Correspondent Services	MSCO	0050	MSCS

Add First Trade Date, October 19, 2001:
TAG Securities, Inc.	PFSI	0234	RBSC

Add First Trade Date, October 23, 2001:
Thomas Securities, LLC	BSSC	0352	TSEC

Add First Trade Date, October 24, 2001:
Holt Brokerage Services, LLC	MLCO	0161	HOLT

Add First Trade Date, October 31, 2001:
Brazos Securities, Inc.	SWST	0279	BRAZ
Burch Capital Management, Inc.	SWST	0279	BRCH
First Graham Securities, Inc.	SWST	0279	HAAD
Omega Securities, Inc.	SWST	0279	HARD
Homestead Financial, Inc.	SWST	0279	HMST
International Research Securities, Inc.	SWST	0279	IRSI
Novus Securities Corp.	SWST	0279	NOVU
First Financial Brokerage Services, Inc.	SWST	0279	RUFF
Youngblood Securities Corp.	SWST	0279	YBSC

Clearing Broker Change, Effective First Trade Date, October 22, 2001:
From: Seidel & Shaw, LLC	PRUS	0030	SEID
To: Seidel & Shaw, LLC	PFSI	0234	SEID

Clearing Broker Change, Effective First Trade Date, October 24, 2001:
From: Rothschild Investment Corporation	MONT	0773	RTHS
To: Rothschild Investment Corporation	PERS	0443	RTHS

Executing Broker Name Change, Effective First Trade Date, October 16, 2001:
From: Countrywide Investments, Inc.	NISC	0044	CWII
To: FT. Washington Brokerage Service, Inc.	NISC	0044	CWII

From: Patagon.com Securities Corp.	NISC	0044	PTGN
To: Patagon.com International S.A.	NISC	0044	PTGN

From: Reich & Tang, LP	NEUB	0155	RETA
To: Reich & Tang Distributors, Inc.	NEUB	0155	RETA

From: Toronto Dominion Securities (USA) Inc.	NISC	0044	TDSI
To: TD Securities (USA), Inc.	NISC	0044	TDSI

From: Waterhouse Securities, Inc.	NISC	0044	WATH
To: TD Waterhouse Investor Services, Inc.	NISC	0044	WATH

Executing Broker Name Change, Effective First Trade Date, October 17, 2001:
From: ISG Capital Markets, LLC	WEDB	0103	ISGC
To: Solid ISG Capital Markets, Inc.	WEDB	0103	ISGC

From: Anderson & Company, Inc.	FCCP	0141	ABYL
To: North Star Investment Services, Inc.	FCCP	0141	ABYL

Executing Broker Name Change, Effective First Trade Date, October 18, 2001:
From: Attkisson, Carter & Akers	FCCP	0141	ATCA
To: Attkisson, Carter & Company, Inc.	FCCP	0141	ATCA

From: Berthel Fisher & Company Financial Services, Inc.	FCCP	0141	BFFI
To: Berthel Fisher & Company	FCCP	0141	BFFI

From: Cutter & Co.	FCCP	0141	CUTT
To: Cutter & Company Brokerage, Inc.	FCCP	0141	CUTT

From: Dolphin Bradbury, Inc.	FCCP	0141	DBDB
To: Dolphin & Bradbury Incorporated	FCCP	0141	DBDB

From: Dirigo Investments	FCCP	0141	DRGO
To: Dirigo Investments, Inc.	FCCP	0141	DRGO

From: Gorian Thornes, Inc.	FCCP	0141	GTRN
To: Gorian Investment Group	FCCP	0141	GTRN

From: Penn Center Investments	FCCP	0141	PCII
To: Penn Center Investments, Inc.	FCCP	0141	PCII

From: Ridgewood Associates, Inc.	FCCP	0141	RGWD
To: Ridgewood Associates, Inc. NJ	FCCP	0141	RGWD

From: Rutherford, Brown & Catherwood	FCCP	0141	RBCW
To: Rutherford, Brown & Catherwood, LLC	FCCP	0141	RBCW

From: Sage, Rutty & Co.	FCCP	0141	SAGE
To: Sage, Rutty & Co., Inc.	FCCP	0141	SAGE

From: Thornes & Associates, Inc.	FCCP	0141	TATA
To: Thornes & Associates, Inc. Investment Securities	FCCP	0141	TATA

From: Trubee Collins & Co.	FCCP	0141	TRUB
To: Trubee Collins & Co., Inc.	FCCP	0141	TRUB

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 16, 2001:
Decker, Fagin & McDonough, Inc.	LEHM	0074	DFMP
Long Island Network Securities, Inc.	LEHM	0074	LNES
Cripple Creek Securities, Inc.	LEHM	0074	PALL

Delete Last Trade Date, October 17, 2001:
Custodian Securities	FCCP	0141	CSTD
On Site Trading, Inc.	SILK	0501	OSTI
Pomphrey Securities	FCCP	0141	POMP

Add First Trade Date, October 16, 2001:
Delta Asset Management Company, LLC	PFSI	0234	DLTA

Add First Trade Date, October 18, 2001:
Legacy Trading Company, LLC	SALI	0750	LGTD

Add First Trade Date, October 22, 2001:
IPO.com Securities, Inc.	BNYC	0262	IPOS
Great Pacific Fixed Income Securities, Inc.	SILK	0501	GPAC

Executing Broker Symbol Change, Effective First Trade Date, October 22, 2001:
From: Icapital Markets, LLC	ICLR	0544	DATK
To: Icapital Markets, LLC	ICLR	0544	EYES

Executing Broker Name Change, Effective First Trade Date, October 17, 2001:
From: GBS Financial, Inc.	WEDB	0103	GBSL
To: GBS Financial Corporation	WEDB	0103	GBSL

From: Intercap Securities	LEHM	0074	ICSI
To: ICAP Financial, Inc.	LEHM	0074	ICSI

From: Taft Securities, L.P.	LEHM	0074	TAFT
To: Citadel Trading Group, LLC	LEHM	0074	TAFT

Executing Broker Name Change, Effective First Trade Date, October 18, 2001:
From: Benjamin Securities	FCCP	0141	BENJ
To: Benjamin Securities, Inc.	FCCP	0141	BENJ

From: Carthage Group	FCCP	0141	CARG
To: Carthage Group, Inc.	FCCP	0141	CARG

From: Continental Capital	FCCP	0141	CCAP
To: Continental Capital Securities	FCCP	0141	CCAP

From: Equity Financial Corp.	FCCP	0141	EQTY
To: Equity Trade Online, LLC	FCCP	0141	EQTY

From: Register Investments	FCCP	0141	REGR
To: Register & Akers Investments	FCCP	0141	REGR

From: Rittenhouse Financial	FCCP	0141	RITT
To: Rittenhouse Trust Securities, Inc.	FCCP	0141	RITT

From: Yanni & Bikley	FCCP	0141	YABI
To: Yanni, Bikley Investment Consulting Company	FCCP	0141	YABI

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 16, 2001:
Kennedy, Cabot & Co.	NISC	0044	KNCB

Delete Last Trade Date, October 17, 2001:
Aros Securities, Inc.	MSCO	0050	AROS

Delete Last Trade Date, October 18, 2001:
Alliance Asset Group, Inc.	FCCP	0141	AAGI
Cape Securities, Inc.	FCCP	0141	CAPE

The following firm has remitted an executed revised Retirement Account Transfer Agreement during the week of October 19, 2001:

First Fund Distributors, Inc./Master Select Equity Funds No. 4892
Guardian Investor Services Corporation No. 5573

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