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

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

First Trade Date, October 31, 2001:

Pacific Select Distributors, Inc. No. 5478
Networking Code: PA
Contact: John Cubbon
Phone: (949) 219-7710

 

• The following firm will begin participation in the Networking and Commission Settlement Services, as detailed below:

First Trade Date, November 1, 2001:

Prime Capital Services, Inc. No. 0665
Networking Code: TS
Contact: Dennis Conroy
Phone: (845) 485-3338

 

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

First Trade Date, November 6, 2001:

ICMA-RC Services, LLC No. 4942
Networking Code: TT
Contact: Jane Henson
Phone: (202) 962-4636

 

• An additional number has been assigned to Quasar Distributors, LLC (#5723) for the purpose of utilizing the Fund/Serv, Networking and Commission Settlement Services, as detailed below:

First Trade Date, November 5, 2001:

Quasar Distributors, LLC, Lindner Asset Management Inc. No. 4874
Networking Code: QT
Contact: James Schoenike
Phone: (414) 287-3994

 

• An additional number has been assigned to Bisys Fund Services, LP (#5816) for the purpose of utilizing the Fund/Serv, ACATS Fund/Serv and Networking Services, as detailed below:

First Trade Date, November 5, 2001:

Bisys Fund Services, LP/RSI Retirement Trust No. 4914
Networking Code: TQ
Contact: Scott Roseberry
Phone: (614) 470-8862

 

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

First Trade Date, November 1, 2001:

Great American Advisors, Inc. No. 0726

First Trade Date, November 5, 2001:

Wachovia Bank, NA/Trustee for 401K No. 5979

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

First Trade Date, November 2, 2001:

M Holdings Securities, Inc. No. 0757

First Trade Date, November 5, 2001:

FSC Securities Corporation No. 0169

 

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

Last Trade Date, November 1, 2001:

Sydan, LP No. 3760

 

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

Last Trade Date, November 2, 2001:

Wachovia Bank, NA No. 0963

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

Last Trade Date, October 29, 2001:

First Fund Distributors, Inc./Investors Research Fund No. 4859

Last Trade Date, November 1, 2001:

First Fund Distributors, Inc./Stock Jungle.Com No. 4898
Sunstone Distribution Services LLC/Eagle Funds No. 6654

Last Trade Date, November 2, 2001:

Lindner Asset Management, Inc. No. 4874

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:

The following firm has remitted an executed Networking Agreement during the week of November 2, 2001:

ICMA-RC Services, LLC No. 4942

Safeco Securities, Inc. No. 5768

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