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 and Networking services, as detailed below:

First Trade Date, December 6, 2001:
Weston Securities Corporation No. 5737
Networking Code: UZ
Contact: Ellen Bruno
Phone: (781) 235-7055

• The following firm will begin participation in the Networking service, as detailed below:

First Trade Date, December 6, 2001:
Bisys Fund Services, LP/IRT Mutual Funds No. 6614
Networking Code: 7C
Contact: Scott Roseberry
Phone: (614) 470-8862

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

First Trade Date, December 5, 2001:
Jones & Babson, Inc. No. 4945

• The following firm will begin participation in the Envelope Settlement service, as detailed below:

First Trade Date, December 7, 2001:
GVR Company No. 0157
Envelope Location Y = New York

• The following firm will no longer participate in the ACATS Fund/Serv service, as detailed below:

Last Trade Date, December 5, 2001:
Wall Street Equities, Inc. No. 0612

• The following firm will no longer participate in the ACATS service, as detailed below:

Last Trade Date, December 7, 2001:
BBVA Securities, Inc. No. 0525

• The following firm will no longer participate in the NYSE and AMEX Listed Comparison Services, as detailed below:

Last Trade Date, December 7, 2001:
Morgan (J.P.) Securities, Inc./Account #2 No. 0228
Listed Alpha Identifier HQ

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

Last Trade Date, December 7, 2001:
Lewco Securities Corp. No. 0277
Listed Alpha Identifier L
OTC Alpha Identifier LWCO

• The following firms will no longer participate in the Trade Comparison and Trade Recording services, as detailed below:

Last Trade Date, December 4, 2001:
National Securities Corp. No. 0488

Last Trade Date, December 5, 2001:
Coastal Securities L.P. No. 8000
OTC Alpha Identifier COST

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

Last Trade Date, December 5, 2001:
Alps Distributors, Inc./Magnet Funds No. 4971
Alps Distributors, Inc./Interstate No. 6694

Last Trade Date, December 7, 2001:
Access Securities Inc. No. 0373
OTC Alpha Identifier AXCS

 

*For more information regarding Access Securities Inc. "AXCS" please see page 3 of this notice.

 

• 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:

• Kindly update the NSCC Directory dated July 6, 2001 (for the Municipal Bond Comparison System) as detailed below:

RBC Dain Rauscher/Heartland Advisors No. 5571
Manning & Napier Investor Services No. 5753

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