A 5342 - October 26, 2001

A 5342
P&S 4912
October 26, 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

REMINDER

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 Fund/Serv and Networking Services, as detailed below:

First Trade Date, October 26, 2001:
Seix Investment Advisors, Inc. No. 4906
Networking Code: SM
Contact: Peter Bourke
Phone: (201) 391-0300

An additional number has been assigned to Intersecurities, Inc. (#0285) for the purpose of utilizing the Fund/Serv, Networking, and Commission Settlement Services, as detailed below:

First Trade Date, November 1, 2001:
Intersecurities, Inc./World Group Securities No. 0729
Networking Code: TJ
Contact: Kristy Dowd
Phone: (727) 299-1800

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

First Trade Date, October 25, 2001:
May Financial Corporation No. 0431

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

First Trade Date, October 29, 2001:
Alps Distributors Inc./First Funds No. 5653
Forum Fund Services, LLC/Century Funds No .5597

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

First Trade Date, October 24, 2001:
Sweney Cartwright & Company No. 7027
Networking Code: TD
Contact: Kristie Doyle
Phone: (614) 228-5391

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

First Trade Date, October 26, 2001:
Pacific Life Insurance Company/Life Division No. 4616

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

First Trade Date, October 29, 2001:
From: Merchant Capital Corporation No. 6733
To: Merchant Capital, LLC No. 6733

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 22, 2001:
ACG Securities	MLCO	0161	ACGS
Apex Group/M.L. Consumer Markets	MLCO	0161	AGML
Conning & Company	MLCO	0161	CNNG
E Poch Capital Partners	MLCO	0161	EPOC
Forbes (Christopher) & Company, LP	MLCO	0161	FORB
Merrin Capital Corp.	MLCO	0161	MERN
PT Financial	MLCO	0161	PTFL
Portfolio Trading, LLC	MLCO	0161	PTFO
Utendahl Capital Partners, L.P.	MLCO	0161	UCPL
Weis (George) Associates, Inc.	MLCO	0161	WEIS
Wilson Institutional Securities Inc.	JEFF	0019	WLSN

Delete Last Trade Date, October 25, 2001:
Deephaven Market Neutral Trading Limited	BSSC	0352	KLTP
FSG Financial Services Group Inc.	QRCC	0158	FSGS
Solid ISG Capital Markets, Inc.	WEDB	0103	ISGC
Terra Securities Corp		0235	TERA
Ziegler Thrift Trading, Inc.	QRCC	0158	ZEGL

Delete Last Trade Date, October 26, 2001:
BLS Securities, LLC	JBOC	8273	GUYS

Clearing Broker Change, Effective First
Trade Date, November 7, 2001:
From: Hibernia Southcoast Capital, Inc.	BSSC	0352	SOCO
To: Hibernia Southcoast Capital, Inc.	PERS	0443	SOCO

Executing Broker Name Change, Effective First
Trade Date, October 23, 2001:
From: Factset Data Systems, Inc.	MLCO	0161	FAFT
To: Factfet Systems, Inc.	MLCO	0161	FAFT

From: Highland Pension Consultants, Inc.	MLCO	0161	HIPC
To: Highland Information Services, Inc.	MLCO	0161	HIPC

From: Holbien Securities, Inc.	MLCO	0161	HOSI
To: Holbien Associates, Inc.	MLCO	0161	HOSI

From: IPS Brokerage, Inc.	MLCO	0161	IPSB
To: 1^st Institutional Securities Trading	MLCO	0161	IPSB

Executing Broker Name Change, Effective First
Trade Date, October 26, 2001:
From: Avian Securities	QRCC	0158	AVIA
To: Avian Securities, Inc.	QRCC	0158	AVIA

From: May & Camp Inc.	QRCC	0158	MACP
To: May Management, Inc.	QRCC	0158	MACP

From: McLaughlin, Piven, Vogel, Inc.	QRCC	0158	MACS
To: McLaughlin, Piven, Vogel Securities, Inc.	QRCC	0158	MACS

From: Nori, Hennion, Walsh, Inc.	QRCC	0158	NHWI
To: Hennion & Walsh, Inc.	QRCC	0158	NHWI

From: Olmsted Mulhall Inc.	QRCC	0158	OLMM
To: Olmsted & Mulhall, Inc.	QRCC	0158	OLMM

From: Purcell, Graham & Co.	QRCC	0158	PGRM
To: Purcell & Graham Incorporated	QRCC	0158	PGRM

From: Forchheimer (Paul L.) & Co.	QRCC	0158	PLFC
To: Paul L. Forchheimer & Co.	QRCC	0158	PLFC

From: SGI LTD Inc.	QRCC	0158	SGIL
To: SGI, LLC	QRCC	0158	SGIL

From: Suslow Steve	QRCC	0158	SLOW
To: Kern, Suslow Securities, Inc.	QRCC	0158	SLOW

From: Wisconsin Discount Securities	QRCC	0158	WIDS
To: Wisconsin Discount Securities Corporation	QRCC	0158	WIDS

*NOTE: Correction to NSCC Important Notice dated October 19, 2001 (A#5341, P&S #4911) Please be advised that the following 9 symbols will not be clearing through #0279 on October 31, 2001 for OTC and Municipal Bonds:

BRAZ BRCH HAAD HARD HMST

IRSI NOVU RUFF YBSC

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, October 22, 2001:
Amsouth Investment Services, Inc.	NFSC	0226	AMSO
Fiduciary Securities Corp	MLCO	0161	FSEC
Korea Associated Securities Inc.	MLCO	0161	KASI
Manchester Securities Corp.	MLCO	0161	MANC
Niewoehner (W.H.) & Co., Inc.	MLCO	0161	WHNI
Seidler Amdec/Gene Phillips	MLCO	0161	SAAA
Stratford Investment Group Inc. (The)	MLCO	0161	SFDR

Delete Last Trade Date, October 25, 2001:
Deephaven Market Neutral Trading Limited	BSSC	0352	KAML

Add First Trade Date, October 24, 2001:
Vertical Capital Partners, Inc.	FSWC	0309	VCPI

Add First Trade Date, October 26, 2001:
ThinkorSwim, Inc.	PFSI	0234	SWIM


Add First Trade Date, October 29, 2001:
Melvin Specialists, LLC	PWJC	0221	MSNT

Clearing Broker Change, Effective First
Trade Date, October 29, 2001:
From: Third Market Corporation (The)	ECUT	0100	THRD
To: Third Market Corporation (The)	ICLR	0544	THRD

Clearing Broker Change and Executing Broker
Name Change, Effective First Trade Date,
October 26, 2001:
From: SPC Securities	SILK	0501	SPCS
To: Legend Securities Inc.	PFSI	0234	SPCS

Executing Broker Name Change, Effective First
Trade Date, October 23, 2001:
From: Investment Technology Group, Inc.	JEFF	0019	ITGI
To: ITG, Inc.	JEFF	0019	ITGI

From: Marco Consulting Group (The)	MLCO	0161	TMCG
To: Marco Consulting Group, Inc.	MLCO	0161	TMCG

Executing Broker Name Change, Effective First
Trade Date, October 26, 2001:
From: East Shore Partners	QRCC	0158	ESPN
To: East Shore Partners, Inc.	QRCC	0158	ESPN

From: Wheeler (James) & Co.	QRCC	0158	JWII
To: James Wheeler & Co. Investments, Inc.	QRCC	0158	JWII

From: First Miami Securities, Inc.	QRCC	0158	MIAM
To: FMS, Inc.	QRCC	0158	MIAM

From: Quartz Euromarkets, LLC	QRCC	0158	QRTZ
To: Beeson Gregory International, LLC	QRCC	0158	QRTZ

From: Cohen (Robert M.) & Co.	QRCC	0158	RMCC
To: Robert M. Cohen & Co., Inc.	QRCC	0158	RMCC

From: Santander Investment Securities Inc.	QRCC	0158	SANT
To: Santander Central Hispano Investment Securities	QRCC	0158	SANT

From: S.L.S. Securities	QRCC	0158	SLSS
To: SLS Securities Company	QRCC	0158	SLSS

From: Securities Research, Inc.	QRCC	0158	SRFL
To: Security Research Associates, Inc.	QRCC	0158	SRFL



	Clearing Broker Identifiers		Executing Broker Identifiers
	Alpha	Numeric	Alpha	Numeric
From: Stires, O’Donnell & Co.	QRCC	0158	STIR
To: Stires & Co., Inc.	QRCC	0158	STIR

From: Univest Securities	QRCC	0158	UNIV
To: Univest Securities, Inc.	QRCC	0158	UNIV

From: Voss & Company	QRCC	0158	VOSS
To: Voss & Co., Inc.	QRCC	0158	VOSS

Executing Broker Name and Symbol Change,
Effective First Trade Date, October 29, 2001:
From: Investors Trading Corp.	SWST	0279	ITIC
To: Oxford Financial Group	SWST	0279	OXFD

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 22, 2001:
Alpha Management Inc.	MLCO	0161	ALFA
Allied Capital, Inc.	MLCO	0161	ALID
Investors International Securities, Inc.	MLCO	0161	ICOL

Delete Last Trade Date, October 23, 2001:
Bigelow & Company	MSCO	0050	BGLO
Driehaus Securities Corporation	MSCO	0050	DRIE

Delete Last Trade Date, October 25, 2001:
AIG Equity Sales Corp.	QRCC	0158	AIGE
Carmona, Motley & Co.	QRCC	0158	CARM
Delta Equity Services	QRCC	0158	DELS
First Independence Financial Corp.	QRCC	0158	FIGI
Kornfield & Company	QRCC	0158	KABB
Union Planters Financial Services	QRCC	0158	UPFS
U.S.A. Investments Inc.	QRCC	0158	USAI

Executing Broker Name Change, Effective
First Trade Date, October 26, 2001:
From: Fleet Securities, Inc. Municipal Division	QRCC	0158	FLEE
To: Fleet Securities, Inc.	QRCC	0158	FLEE

From: Mechanics Investment Securities Inc.	QRCC	0158	MISH
To: Mechanics Investment Services, Inc.	QRCC	0158	MISH

From: Selsia Virgin Islands Securities Inc.	QRCC	0158	SESL
To: Seslia Securities	QRCC	0158	SESL

From: V B C Securities, LLC	QRCC	0158	VBCS
To: V B C Securities	QRCC	0158	VBCS

From: Vermon Shall Morgan & Company	QRCC	0158	VSMC
To: Vernon, Shall, Morgan & Co.	QRCC	0158	VSMC

From: Wedgewood Partners, Inc.	QRCC	0158	WGWD
To: Wedgewood Securities	QRCC	0158	WGWD

The following firm has remitted an executed Networking Agreement during the week of October 26, 2001:

Southwest Clearing Corporation No. 0266

The following firm has remitted an executed revised Retirement Account Transfer Agreement during the week of October 26, 2001:

Thornburg Securities Corporation No. 5541

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