A 5488
P&S 5058
October 4, 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, October 1, 2002:
Funds Distributors, Inc./Lee Munder Funds No. 4891
Rafferty Capital Markets, LLC/Legacy Minnesota Municipal Bond Fund No. 6600

Last Trade Date, October 2, 2002:
Quasar Distributors, LLC/RNC Mutual Fund Group No. 4895

Last Trade Date, October 4, 2002:
PFPC Distributors, Inc./Warburg Pincus Offshore Funds No. 5695
Rafferty Capital Markets, LLC/Homestate Fund No. 5858

 

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

First Trade Date, October 2, 2002:
Morgan Keegan & Co., Inc. No. 4910
Networking Code: XP
Contact: Thomas Weller
Phone: (901) 529-5478

 

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

First Trade Date, October 3, 2002:
Adhia Funds, Inc. No. 5875
Networking Code: OZ
Contact: John Adhia
Phone: (813) 289-8440

 

• 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, October 2, 2002:
PFPC Distributors, Inc./Principal Financial Group No. 0680
Networking Code: J1
Contact: Lauren Hutter
Phone: (610) 312-5224

• An additional number has been assigned to SEI Investments Distribution Company (#5820) for the purpose of utilizing the Fund/Serv, Networking and Commission Settlement services as detailed below:

First Trade Date, October 4, 2002:
SEI Investments Distribution Company/The Japan Fund, Inc. No. 5426
Networking Code: ND
Contact: Erald Kilkenny
Phone: (207) 822-6188

 

• An additional has been assigned to Citco-Quaker Funds Distributors, Inc. (#4885) for the purpose of utilizing the Fund/Serv, Networking, Commission Settlement and ACATS Fund/Serv services, as detailed below:

First Trade Date, October 7, 2002:
Citco-Quaker Funds Distributors, Inc./Emerald Funds No. 5858
Networking Code: FJ
Contact: Joseph Carlin
Phone: (610) 935-5742

 

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

First Trade Date, October 2, 2002:
Westchester Capital Management, Inc. No. 6601

First Trade Date, October 4, 2002:
Meridian Clearing No. 5549

 

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

First Trade Date, October 2, 2002:
HCA Securities No. 5471

 

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

First Trade Date, October 7, 2002:
From: BNY ESI & Co., Inc. No. 0100
To: BNY Brokerage Inc. No. 0100

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:

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

• Kindly update the NSCC Directory dated July 5, 2002 (for Municipal Bond Comparison) as detailed below:

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