A 5354 - November 8, 2001

A 5354
P&S 4924
November 9, 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 no longer participate in the AMEX Listed Comparison service, as detailed below:

Last Trade Date, November 7, 2001:

ING Barings Corp. No. 0270
Listed Alpha Identifier SFO

The following firm will begin participation in the NYSE Listed Comparison service and change their Listed Alpha Identifier and their OTC Alpha Identifier, as detailed below:

Effective First Trade Date, November 20, 2001:

From: ING Barings Corp. No. 0270
Listed Alpha Identifier SFO
OTC Alpha Identifier QSIM

To: ING Barings Corp. No. 0270
Listed Alpha Identifier INY
OTC Alpha Identifier INGB

*For more information regarding "INGB" please see page 3 of this Notice.

The following firm will change their OTC Alpha Identifier, as detailed below:

Effective First Trade Date, November 12, 2001:

From: First Union Securities, Inc. No. 0250
OTC Alpha Identifier FCAP

To: First Union Securities, Inc. No. 0250
OTC Alpha Identifier WCHV

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

First Trade Date, November 8, 2001:

Melvin Specialist, LLC No. 3674
OTC Alpha Identifier MSIO

An additional number has been assigned to Bear Stearns & Co., Inc. (#5865) for the purpose of utilizing the Fund/Serv and Networking services, as detailed below.

First Trade Date, November 9, 2001:

Bear Stearns & Co., Inc./Offshore Funds No. 5422
Networking Code UK
Contact Frank Maresca
Phone: (212) 272-2093

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 9, 2001:

Bisys Fund Services, LP/Old Westbury Funds, Inc. No. 5651
Networking Code UB
Contact: Scott Roseberry
Phone: (614) 470-8862

An additional number has been assigned to American Express Financial Advisors/AXP Index Fund (#6616) for the purpose of utilizing the Fund/Serv and Networking services, as detailed below.

First Trade Date, November 9, 2001:

American Express Financial Advisors/APX Index Funds No. 5689
Networking Code UA
Contact: Tim Strensrud
Phone: (612) 671-3131

An additional number has been assigned to JPMorgan Chase Bank (#0902) for the purpose of utilizing the ACATS and ACATS Fund/Serv services, as detailed below.

First Trade Date, November 6, 2001:

JPMorgan Chase Bank/CCSG No. 2123

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

Effective First Trade Date, November 12, 2001:

From: Chase Manhattan Bank (The) No. 0902
To: JPMorgan Chase Bank No. 0902

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

First Trade Date, November 9, 2001:

J.P. Morgan Securities, Inc. No. 0060

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

First Trade Date, November 12, 2001:

Lincoln Investment Planning No. 0145

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

Last Trade Date, November 6, 2001:

Holt & Collins No. 0248

Last Trade Date, November 7, 2001:

Melvin Specialist LLC/MSIO No. 3683

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, November 7, 2001:
Nolan (W.J.) & Company, Inc.	PRUS	0030	WNOL

Add First Trade Date, November 9, 2001:
EHS Securities, LLC	BNYC	0262	EHSS

Add First Trade Date, November 14, 2001:
Wellington Investment Services Corp.	BNYC	0262	WISS

Clearing Broker Change, Effective First Trade Date, November 12, 2001:
From: Avian Securities, Inc.	QRCC	0158	AVIA
To: Avian Securities, Inc.	BNYC	0262	AVIA

From: Jersey Shore Trading Group, Inc.	WEDB	0103	JRZY
To: Jersey Shore Trading Group, Inc.	FSWC	0309	JRZY

Clearing Broker Change, Effective First Trade Date, November 20, 2001:
From: Sands Brothers & Co., LTD.	PERS	0443	SNDS
To: Sands Brothers & Co., LTD.	BHCS	0632	SNDS

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, November 8, 2001:
Brink Hudson & Lefever LTD.	CICF	0609	BINF

Delete Last Trade Date, November 19, 2001:
*ING Barings Corp.	ABNA	0425	INGB

Add First Trade Date, November 8, 2001:
Orbitex Fund Distributors	KPSP	0052	OFDI

Add First Trade Date, November 12, 2001:
Spike Financial Services, LLC	PFSI	0234	SPKE

	Clearing Broker Identifiers		Executing Broker Identifiers
	Alpha	Numeric	Alpha	Numeric
Clearing Broker Change, Effective First Trade Date, November 9, 2001:
From: California Fina Group, Inc.	BHCS	0632	FINS
To: California Fina Group, Inc.	BNYC	0262	FINS

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, November 9, 2001:
Brenton Investments, Inc.	PERS	0443	BBSI

Add First Trade Date, November 7, 2001:
MM&S Financial, Inc.	PWJC	0221	MMSF

Clearing Broker Change, Effective First Trade Date, November 9, 2001:
From: California Fina Group, Inc.	SWST	0279	FINS
To: California Fina Group, Inc.	BNYC	0262	FINS

The following firm has remitted an executed Networking Agreement during the week of November 9, 2001:

Vertical Management Systems, Inc./TPA No. 7122

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