A 5480 - September 20, 2002

A 5480
P&S 5050
September 20, 2002

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, September 19, 2002:
PFPC Distributors, Inc./LKCM Funds No. 4883

Last Trade Date, September 20, 2002:
Unified Financial Securities, Inc./UFSI-Kenwood Funds No. 5647

An additional number has been assigned to Quasar Distributors, LLC (#5869) for the purpose of utilizing the Fund/Serv and Networking services, as detailed below:

First Trade Date, September 19, 2002:

Quasar Distributors, LLC/InvestBio Opportunity Trust No. 5460
Networking Code: NT
Contact: James Schoenike
Phone: (414) 287-3994

Additional numbers have been assigned to Quasar Distributors, LLC (#5869) for the purpose of utilizing the Fund/Serv, Networking and ACATS Fund/Serv services, as detailed below:

First Trade Date, September 20, 2002:

Quasar Distributors, LLC/AIP Alternative Strategies Funds No. 5449
Networking Code: NJ
Contact: James Schoenike
Phone: (414) 287-3994

Quasar Distributors, LLC/Cullen Funds No. 5466
Networking Code: O3
Contact: James Shoenike
Phone: (414) 287-3994

Quasar Distributors, LLC/LKCM Funds No. 4883
Networking Code: LY
Contact: James Schoenike
Phone: (414) 287-3994

An additional number has been assigned to Quasar Distributors, LLC (#5869) for the purpose of utilizing the Fund/Serv, Networking, Commission Settlement and ACATS Fund/Serv services, as detailed below:

First Trade Date, September 23, 2002:
Quasar Distributors, LLC/The Kenwood Funds No. 5647
Networking Code: UU
Contact: James Schoenike
Phone: (414) 287-3994

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

First Trade Date, September 20, 2002:
Forum Fund Services, LLC/Sound Shore Funds No. 5649

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

First Trade Date, September 30, 2002:
From: Bisys Fund Services, LP/MSD&T Funds No. 4921
To: Bisys Fund Services, LP/Mercantile Funds No. 4921

The following member of The Canadian Depository for Securities Ltd. will retire from all services, as detailed below:

Last Trade Date, September 19, 2002:
CIBC WM #2/CDS No. 0345

UPDATE
OTC EXECUTED-BY LIST
MUNICIPAL BOND COMPARISON DIRECTORY

Kindly update the NSCC Directory dated July 5, 2002 (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, September 17, 2002:
U-Trade Brokerage, LLC	FSWC	0309	UTSD

Delete Last Trade Date, September 20, 2002:
Burke (P.R.) & Co., Inc.	PWJC	0221	PRBK
Interfirst Capital Corporation	PWJC	0221	IFCC
Progressive Asset Management	PWJC	0221	PAMC
Weatherly Securities Corp.	PWJC	0221	WETH


	Clearing Broker Identifiers		Executing Broker Identifiers
	Alpha	Numeric	Alpha	Numeric
Add First Trade Date, September 23, 2002:
SVB Securities, Inc./A Division of Alliant Partners	MONT	0773	SVBS

Clearing Broker Change, Effective First Trade Date, September 18, 2002:
From: Peacock, Hislop, Staley & Given, Inc.	DBAB	0573	PHSG
To: Peacock, Hislop, Staley & Given, Inc.	LEGG	0740	PHSG

From: Roan/Meyers Associates, L.P.		0235	ROME
To: Roan/Meyers Associates, L.P.	SALI	0750	ROME

Clearing Broker Change, Effective First Trade Date, September 19, 2002:
From: Park Financial Group, Inc.	JBCO	8273	QUIN
To: Park Financial Group, Inc.	CCLS	0265	QUIN

Clearing Broker Change, Effective First Trade Date, September 25, 2002:
From: Chaplin Mullaugh Incorporated	DBAB	0573	CHAP
To: Chaplin Mullaugh Incorporated	PERS	0443	CHAP

From: Doft & Co., Inc.	DBAB	0573	DOFT
To: Doft & Co., Inc.	PERS	0443	DOFT

From: Pacific American Securities, LLC	DBAB	0573	PAMS
To: Pacific American Securities, LLC	PERS	0443	PAMS

From: Prager, McCarthy & Sealy, LLC	DBAB	0573	PMLC
To: Prager, McCarthy & Sealy, LLC	PERS	0443	PMLC

From: Wyoming Financial Securities, Inc.	DBAB	0573	WYOM
To: Wyoming Financial Securities, Inc.	PERS	0443	WYOM

Clearing Broker Change, Effective First Trade Date, October 1, 2002:
From: PXP Securities Corp.	DBAB	0573	PXPS
To: PXP Securities Corp.	BSSC	0352	PXPS

Clearing Broker Change and Executing Broker Name Change, Effective First Trade Date, September 17, 2002:
From: TJM Securities Inc.		0235	TMAI
To: Global Crown Capital LLC	CCLS	0265	TMAI

Clearing Broker Change and Executing Broker Name Change, Effective First Trade Date, September 25, 2002:
From: Belle Haven Investments, Inc.	DBAB	0573	BHII
To: Belle Haven Investments L.P.	PERS	0443	BHII


	Clearing Broker Identifiers		Executing Broker Identifiers
	Alpha	Numeric	Alpha	Numeric
From: Carret Securities, Inc.	DBAB	0573	CRRT
To: Carret Securities, LLC	PERS	0443	CRRT

From: Soll, Rowe, Price, Raffell & Browne Securities, Inc.	DBAB	0573	SRPR
To: SRM Securities, Inc.	PERS	0443	SRPR

Kindly update the NSCC Directory dated July 5, 2002 (for OTC Executed-By List) as detailed below:

	Clearing Broker Identifiers		Executing Broker Identifiers
	Alpha	Numeric	Alpha	Numeric
Delete Last Trade Date, September 18, 2002:
Alexander, Wescott & Co., Inc.	CCLS	0265	ALWC
Bear Stearns/BBP, Inc.	BSSC	0352	BSBI

Delete Last Trade Date, September 20, 2002:
Donald & Co. Securities, Inc.	PWJC	0221	DONC
Investors Street	PFSI	0234	HLND
MarketXT, Inc.	PFSI	0234	LSPD
MarketXT, Inc.	PFSI	0234	MKXT
MarketXT, Inc.	PFSI	0234	SORT
Melvin Specialist, LLC	PWJC	0221	MSNT
Samco Trading, Inc.	PFSI	0234	SMCO

Add First Trade Date, October 1, 2002:
Institutional Direct Inc.	BSSC	0352	IDID

Clearing Broker Change and Executing Broker Name Change, Effective First Trade Date, September 23, 2002:
From: Naib Trading Corporation	SILK	0501	NAIB
To: North American Institutional Brokers	JEFF	0019	NAIB

The following firms have remitted an executed Transfer of Retirement Assets Agreement during the week of September 20, 2002:

SEI Investments Distribution Company/First Hawaiian Fund No. 5606
SEI Investments Distribution Company/First Omaha Funds No. 5853
UMB Distribution Services, LLC/Aquinas Funds (The) No. 5459

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

Pablo Cubi
Associate Director
Membership Administration