A 5356 - November 16, 2001

A 5356
P&S 4926
November 16, 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 Member of the Canadian Depository for Securities Limited will begin participation in the OTC Comparison service, as detailed below:

First Trade Date, November 14, 2001:

Desjardins Securities Inc./CDS No. 5028
OTC Alpha Identifier DESJ

An additional number has been assigned to PFPC Distributors, Inc. (#0440) for the purpose of utilizing the Fund/Serv and Networking services, as detailed below:

First Trade Date, November 19, 2001:

PFPC Distributors, Inc./TPA No. 7118
Networking Code: UQ
Contact: Elizabeth Holtsbery
Phone: (508) 871-3215

The following firm will no longer participate in the NYSE Listed Comparison service, as detailed below:

Last Trade Date, November 15, 2001:

George K. Baum & Co., Inc. No. 0129
Listed Alpha Identifier GKB

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

Last Trade Date, November 13, 2001:

BBVA Securities, Inc. No. 0525
OTC Alpha Identifier LTIN
*For more information regarding "LTIN" please see page 2 of this Notice.

The following firms will retire from the Trade Comparison, Trade Recording, Fund/Serv and ACATS Fund/Serv services, as detailed below:

Last Trade Date, November 13, 2001:

Banc of America Investment Services, Inc. No. 0424

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

Effective First Trade Date, November 19, 2001:

From: The BRUT ECN, LLC No. 0568
To: BRUT, LLC No. 0568

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

Last Trade Date, November 13, 2001:

Bisys Fund Services, LP/Old Kent Funds No. 4868
Eastcliff Funds, Inc. No. 4900
Gemini Funds, Inc. No. 5788
First Fund Distributors, Inc./Portfolio 21 No. 6659

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 13, 2001:
Emerson Bennett & Associates, Inc.	FSWC	0309	EBET
Capital Markets Corporation of Puerto Rico (The)	PERS	0443	TCMC

Delete Last Trade Date, November 14, 2001:
Blair (C.M.), Foster (W.O.) & Co.	PWJC	0221	BLAR
Owen-Joseph Securities, Inc.	PWJC	0221	BLFI
DJS Securities, LTD.	PWJC	0221	DJSS
First Level Capital, Inc.	PWJC	0221	FLVL
I/B/E/S Inc.	PWJC	0221	IBES
Independence Institutional Securities Incorporated	PWJC	0221	IISI
Investment Research & Management Co. LTD.	PWJC	0221	IRMF
McLaughlin Capital Management, Inc.	PWJC	0221	MLIN
Newbrook Securities, LLC	PWJC	0221	NBRK
North Coast Securities Corp.	PWJC	0221	NRTH
San Francisco Securities	PWJC	0221	SFSE
United California Securities, Inc.	PWJC	0221	UCAL

Delete Last Trade Date, November 15, 2001:
John Hancock Clearing Corporation	PRUS	0030	JHCC

Add First Trade Date, November 14, 2001:
ISI Capital, L.L.C.	AANA	0792	ISIL
*BBVA Securities, Inc.	BSSC	0352	LTIN

Add First Trade Date, November 15, 2001:
Evertrade Direct Brokerage Inc.	QRCC	0158	EVER
Sinex Securities, LLC	PWJC	0221	SNEX

Add First Trade Date, November 19, 2001:
Utendahl Capital Partners, LP	ERNS	0233	UCPL

	Clearing Broker Identifiers		Executing Broker Identifiers
	Alpha	Numeric	Alpha	Numeric
Executing Broker Symbol Change and Clearing Broker Change, Effective First Trade Date, November 19, 2001:
From: American Portfolios Financial Services, Inc.	ERNS	0233	TRIA
To: American Portfolios Financial Services, Inc.	BSSC	0352	APFS

Clearing Broker Change, Effective First Trade Date, November 20, 2001:
From: Josephthal & Co.	BSSC	0352	JOSE
To: Josephthal & Co.	FAHN	0571	JOSE

Executing Broker Name Change and Clearing Broker Change, Effective First Trade Date, November 20, 2001:
From: National Discount Brokers	PERS	0443	NTDB
To: Nebraska Hudson Company, Inc.	FOMA	0188	NTDB

Executing Broker Name Change Effective First Trade Date, November 15, 2001:
From: Baldwin Anthony & McIntyre Securities, Inc.	PWJC	0221	BAMC
To: Baldwin Anthony Securities, Inc.	PWJC	0221	BAMC

From: Beanpot Financial Svcs.	PWJC	0221	BEAN
To: Beanpot Financial Services, Inc.	PWJC	0221	BEAN

From: Unterberg Harris	PWJC	0221	CEUT
To: C.E. Unterberg, Towbin	PWJC	0221	CEUT

From: C.P. Baker & Company	PWJC	0221	CPBC
To: C.P. Baker & Company, LTD	PWJC	0221	CPBC

From: Interpacific Investors Services	PWJC	0221	IPAC
To: Interpacific Investors Services, Inc.	PWJC	0221	IPAC

From: Investment Performance Services, Inc.	PWJC	0221	IPSV
To: 1^st Insitutional Securities Trading	PWJC	0221	IPSV

From: Ladenburg Thalmann & Co.	PWJC	0221	LTCO
To: Ladenburg, Thalmann & Co., Inc.	PWJC	0221	LTCO

From: Marquette Debarry, Inc.	PWJC	0221	MDEB
To: Marquette De Bary Co., Inc.	PWJC	0221	MDEB

From: Melhado Flynn & Associates	PWJC	0221	MEFA
To: Melhado Flynn & Associates, Inc.	PWJC	0221	MEFA

From: Monitoring & Evaluation Services	PWJC	0221	MESI
To: Surety Financial Services	PWJC	0221	MESI


	Clearing Broker Identifiers		Executing Broker Identifiers
	Alpha	Numeric	Alpha	Numeric
From: Punk, Ziegel & Knoell	PWJC	0221	PUNK
To: Punk, Ziegel & Company	PWJC	0221	PUNK

From: Seidler Amdec Securities, Inc.	PWJC	0221	SASI
To: The Seidler Companies, Inc.	PWJC	0221	SASI

From: Shemano Group (The)	PWJC	0221	SHEM
To: The Shemano Group, Inc.	PWJC	0221	SHEM

From: US Options	PWJC	0221	USOP
To: U.S. Securities International Corp.	PWJC	0221	USOP

From: Volume Investor (The), Inc.	PWJC	0221	VOLM
To: Neovest Trading	PWJC	0221	VOLM

From: West America Investment Co.	PWJC	0221	WAIC
To: West America Investment Group	PWJC	0221	WAIC

From: Warfield & Associates, Inc.	PWJC	0221	WARD
To: Warfield Associates, Inc.	PWJC	0221	WARD

From: Windsor Capital Advisors, Inc.	PWJC	0221	WCAI
To: Windsor Capital Advisors, LLC	PWJC	0221	WCAI

From: Williams, Buchanan & Co., Inc.	PWJC	0221	WMBU
To: The (Wilson) Willliams Financial Group	PWJC	0221	WMBU

From: Westminster Research Associates	PWJC	0221	WSTM
To: Westminster Research Associates, Inc.	PWJC	0221	WSTM

Executing Broker Name Change Effective First Trade Date, November 16, 2001:
From: Golden Harris Capital Group	PRUS	0030	GHCG
To: Golden Harris Capital Group, Inc.	PRUS	0030	GHCG

From: Intercal Securities Corp.	PRUS	0030	IALS
To: Intercal Securities Co.	PRUS	0030	IALS

From: Intercontinental Asset Management Corp.	PRUS	0030	ICON
To: Intercontinental Asset Management Group, Ltd	PRUS	0030	ICON

From: LISS (J.E.) & Co.	PRUS	0030	JELS
To: LISS Financial Services	PRUS	0030	JELS

From: Long Associates, Inc.	PRUS	0030	LASI
To: Lieblong & Associates	PRUS	0030	LASI

From: Livada, Inc.	PRUS	0030	LAVA
To: Livada Securities, Inc.	PRUS	0030	LAVA

	Clearing Broker Identifiers		Executing Broker Identifiers
	Alpha	Numeric	Alpha	Numeric
From: Ramirez & Co., Inc.	PRUS	0030	RREZ
To: Samuel A. Ramirez & Co., Inc.	PRUS	0030	RREZ

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 13, 2001:
Executrade, Inc.	CCLS	0265	EXEC
Global Finance Group	SWST	0279	GLBB
Sochet & Company Inc.	BSSC	0352	SOCK

Delete Last Trade Date, November 14, 2001:
Croix Securities, Inc.	PWJC	0221	CROI

Add First Trade Date, November 13, 2001:
Longplay Securities Inc.	CCLS	0265	PLAY

Add First Trade Date, November 14, 2001:
Action II, Inc.	FOMA	0188	ACTN

Add First Trade Date, November 19, 2001:
Aristatrade Securities, LLC	PFSI	0234	ARIS
Revelstone Securities, LLC	ICLR	0544	RLVS

Clearing Broker Change, Effective First Trade Date, November 13, 2001:
From: LH Ross and Company	FSWC	0309	HABS
To: LH Ross and Company	SALI	0750	HABS

Executing Broker Name Change, Effective First Trade Date, November 15, 2001:
From: Market XT	PWJC	0221	MKXT
To: Market XT, Inc.	PWJC	0221	MKXT

From: Paine Webber/TFI Group	PWJC	0221	PTFI
To: UBS Paine Webber Incorporated/TFI Group	PWJC	0221	PTFI

Executing Broker Name Change Effective First Trade Date, November 16, 2001:
From: American Investment Bankers	PRUS	0030	AMIB
To: American Investment Bankers, Inc.	PRUS	0030	AMIB

From: Roth Capital Partners, Inc., Venture Banking	PRUS	0030	SCFS
To: Roth Capital Partners, LLC	PRUS	0030	SCFS

From: Weckstein (Donald) & Co., Inc.	PRUS	0030	WECK
To: D. Weckstein & Co., Inc.	PRUS	0030	WECK

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 14, 2001:
Berwyn Financial Services	PWJC	0221	BFSA
Emmet Larkin & Company, Inc.	PWJC	0221	EMMT
Marvest Securities, Inc.	PWJC	0221	MVST
Spectrum Securities	PWJC	0221	SPUM
West America Securities, Inc.	PWJC	0221	WUSA

Delete Last Trade Date, November 15, 2001:
Baird, Patrick Capital Group, Inc.	PRUS	0030	BAPC
Meadowbrook Securities Inc.	PRUS	0030	CRAN
Texas Capital Securities	PRUS	0030	TEXC

Add First Trade Date, November 16, 2001:
American Investment Bankers Inc.	PRUS	0030	AMIB
Burlington Capital Markets, Inc.	PRUS	0030	BURL
Cantone Research Inc.	PRUS	0030	CANR
Commonwealth Associates	PRUS	0030	COMW
Delta Trust Investments, Inc.	PRUS	0030	DTII
Harrison Securities, Inc.	PRUS	0030	HARR
Herzfeld (Thomas J) & Co., Inc.	PRUS	0030	HERF
Midwood Securities, Inc.	PRUS	0030	MDWD
PMK Securities & Research Inc.	PRUS	0030	PMKS
Pond Equities Incorporated	PRUS	0030	POND
Roth Capital Partners, LLC	PRUS	0030	SCFS
D. Weckstein & Co., Inc.	PRUS	0030	WECK
Wexford Clearing Services Corp.	PRUS	0030	WEXS

Executing Broker Name Change, Effective First Trade Date, November 15, 2001:
From: Boston Institutional Services	PWJC	0221	BISI
To: Boston Institutional Services Incorporated	PWJC	0221	BISI

From: Harvest Capital Management	PWJC	0221	HRVT
To: Harvest Capital Investments, LLC	PWJC	0221	HRVT

From: Quantitative Analysis Service, Corp.	PWJC	0221	QANL
To: Quantitative Analysis Services, Inc.	PWJC	0221	QANL

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