A 5364 - December 14, 2001

A 5364
P&S 4934
December 14, 2001
TO: ALL PARTICIPANTS

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

SUBJECT: CHANGES IN THE LIST OF PARTICIPANTS

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

Last Trade Date, December 11, 2001:
PFPC Distributors, Inc./Popular Total Return Fund No. 5687

Last Trade Date, December 12, 2001:
ND Capital, Inc. - Bremer No. 5818

Last Trade Date, December 13, 2001:
First Fund Distributors, Inc./Portfolio 21 Funds No. 6659

Last Trade Date, December 14, 2001:
Fifth Third Maxus Securities, Inc./The Fairholme Fund No. 4870

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

First Trade Date, December 12, 2001:
Popular Securities, Inc. No. 5687
Networking Code: O2
Contact: Beatrice Castellvi
Phone: (787) 766-4200

First Trade Date, December 14, 2001:
AXA Advisors, LLC No. 6656
Networking Code: MO
Contact: Karen Booth
Phone: (212) 314-2394

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

First Trade Date, December 17, 2001:
Fairholme Funds, Inc. No. 4870
Networking Code: D4
Contact: Michael Senior
Phone: (973) 379-6577

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

First Trade Date, December 14, 2001:
Prime Capital Services, Inc. No. 0665

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

First Trade Date, December 14, 2001:
Gateway Trust (The) No. 5891

First Trade Date, December 17, 2001:
401(K) Investment Services, Inc. No. 0335

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, December 10, 2001:
Heartland Advisors Inc.		0235	HTLD

Add First Trade Date, December 13, 2001:
Kalos Capital Incorporated	SALI	0750	KALO

Add First Trade Date, December 17, 2001:
Capital Growth Resources, Inc.	PFSI	0234	WALT

Add First Trade Date, December 27, 2001:
Score Securities, Inc.	MLCO	0161	SCOR

Clearing Broker Change, Effective First Trade Date, December 13, 2001:
From: Van Eck Capital, Inc.	ERNS	0233	VECK
To: Van Eck Capital, Inc.	AANA	0792	VECK

Clearing Broker Change, Effective First Trade Date, December 17, 2001:
From: Westfalia Investment, Inc.	QRCC	0158	WSTI
To: Global Partners Securities, Inc.	QRCC	0158	WSTI

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
Add First Trade Date, December 13, 2001:
Fetterman Investments, Inc.	SWCC	0266	FICO

Clearing Broker Change, Effective First Trade Date, December 20, 2001:
From: Melvin Securities, LLC	PWJC	0221	MLVN
To: Melvin Securities, LLC	GLDS	0325	MLVN

If you have any questions regarding this notice, please call Tara Cannon at (212) 855-1149 or Miriam Santiago at (212) 855-4947 or Frank DeRiso at (212) 855-4941.

Pablo Cubi
Associate Director, Membership Administration