A# |
5657 |
P&S #: |
5227 |
DATE: |
August 1, 2003 |
| TO: |
ALL PARTICIPANTS |
ATTENTION: |
MANAGER, PURCHASES AND SALES DEPARTMENT |
FROM: |
Pablo Cubi, Associate Director, Membership Administration |
| SUBJECT: | CHANGES IN THE LIST OF PARTICIPANTS |
· The following firms will retire from all services, as detailed below:
Last Trade Date, July 31, 2003:
InCap Securities, Inc./Conestoga Small Cap Fund No. 5623
Last Trade Date, August 1, 2003:
Signature Broker Dealer Services, Inc./The Humane Equity Fund No. 6681
Last Trade Date, August 4, 2003:
First Fund Distributors, Inc./Glenmede Portfolio Funds No. 4955
First Fund Distributors, Inc./TT International Funds No. 5533
· The following firm will begin participation in the Fund/Serv service, as detailed below:
First Trade Date, August 4, 2003:
OGSC Distributors, Inc. No. 4826
· An additional number has been assigned to Delaware Distributors, L.P. (#5510) for the purpose of utilizing the Fund/Serv, Networking, Commission Settlement and ACATS Fund/Serv services, as detailed below:
First Trade Date, July 31, 2003:
Delaware Distributors, L.P./Optimum Funds No. 6672
Networking Code: 9C
Contact: Thomas Flanagan
Phone: (215) 255-2846
· An additional number has been assigned to Unified Financial Services, Inc. (#4965) for the purpose of utilizing the Fund/Serv and Networking services, as detailed below:
First Trade Date, August 1, 2003:
Unified Financial Services, Inc./UFSI-CCMI Funds No. 5696
Networking Code: 8Y
Contact: Sharon Stone
Phone: (317) 917-7025
· 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, August 5, 2003:
Quasar Distributors, LLC/Glenmede Fund, Inc. No. 4955
Networking Code: D5
Contact: James Schoenike
Phone: (414) 297-3994
· An additional number has 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, August 5, 2003:
Quasar Distributors, LLC/TT International Funds No. 5533
Networking Code: RK
Contact: James Schoenike
Phone: (414) 297-3994
· The following firms will begin participation in the ACATS Fund/Serv service, as detailed below:
First Trade Date, August 1, 2003:
TCW Investment Management Company/Sogulex Fund No. 5756
First Trade Date, August 4, 2003:
Madison Mosaic L.L.C. No. 6577
UMB Distribution Services, LLC No. 5774
· Kindly update the NSCC Directory dated July 11, 2003 (for OTC Executed-By-List and Municipal Bond Comparison System) as detailed below:
| Clearing Broker Identifiers |
Executing Broker Identifiers |
|||
| Alpha |
Numeric |
Alpha |
Numeric |
|
| Delete Last Trade Date, July 31, 2003: |
||||
| Asquith & Co., Inc. |
MSRO |
0727 |
AQTH |
|
| Amstock & Co., Inc. |
0235 |
ASTK |
||
| Bondbook, LLC |
MLCO |
0161 |
BDBK |
|
| Berney Perry & Company |
0235 |
BERY |
||
| B&R Investment Services Inc. |
0235 |
BRIS |
||
| Barington Trading Company |
BSSC |
0352 |
BTCO |
|
| Carlson National Brokers, Ltd. |
0235 |
CARL |
||
| Capital Investment Exchange Inc. |
0235 |
CIEI |
||
| Commonwealth Investment Services |
0235 |
CISS |
||
| DG European Securities Corporation |
MLCO |
0161 |
DGES |
|
| DKH Capital Management, Inc. |
MSRO |
0727 |
DKHC |
|
| Daly Investment |
0235 |
DLYI |
||
| Spectrum Securities |
0235 |
FAXS |
||
| Financial Planning Services International |
0235 |
FPSI |
||
| Bertram Samuel Securities, LLC |
0235 |
FRCA |
||
| Gold Securities |
0235 |
GOLS |
||
| Granite Capital Management |
MSRO |
0727 |
GRAN |
|
| Higley Hall Securities, Inc. |
0235 |
HIGL |
||
| Hudson Knight Securities, Inc. |
MSRO |
0727 |
HKSI |
|
| Holt Brokerage Services, LLC |
MLCO |
0161 |
HOLT |
|
| International Strategy & Investment Group Inc. |
BSSC |
0352 |
ISGR |
|
| Add First Trade Date, July 30, 2003: |
||||
| Briggs-Ficks Securities, LLC |
0235 |
BFSL |
||
| LJ Hart & Company |
PERS |
0443 |
LJHT |
|
| Add First Trade Date, July 31, 2003: |
||||
| BI Investments LLC |
BHCS |
0632 |
BIIN |
|
· Kindly update the NSCC Directory dated July 11, 2003 (for OTC Executed-By List) as detailed below:
| Clearing Broker Identifiers |
Executing Broker Identifiers |
|||
| Alpha |
Numeric |
Alpha |
Numeric |
|
| Delete Last Trade Date, July28, 2003: |
||||
| Amerivet Securities, Inc. |
LARK |
0371 |
AVSI |
|
| Hanson McClain Retirement Network, LLC |
LARK |
0371 |
HMRN |
|
| Delete Last Trade Date, July 29, 2003: |
||||
| Assent LLC |
SILK |
0501 |
ANDV |
|
| Delete Last Trade Date, July 31, 2003 |
||||
| Apex Securities |
SWST |
0279 |
AXEP |
|
| Broadcort Capital Corp. |
MLCO |
0161 |
BCTC |
|
| Continental Borders Trading Corp. |
MSRO |
0727 |
CBTB |
|
| Point Direx Securities, LLC |
SWST |
0279 |
DIRC |
|
| Education Securities, Inc. |
MLCO |
0161 |
EDUC |
|
| Concord Services, LLC |
SWST |
0279 |
FEMG |
|
| Geis Investments |
SWST |
0279 |
GEIS |
|
| Hancock (D.R.) & Company |
MSRO |
0727 |
HANC |
|
| ING Financial Markets, LLC |
BHFS |
0384 |
INGB |
|
| Jobarr Securities Corporation |
MLCO |
0161 |
JOBR |
|
| Nathan & Lewis Securities Inc. |
PERS |
0443 |
NLSI |
|
| Add First Trade Date, July 30, 2003: |
||||
| Traderight Corp. |
SWST |
0279 |
TRRT |
|
| Add First Trade Date, August 1, 2003: |
||||
| STG Secure Trading Group, Inc. |
ICLS |
0004 |
STGI |
|
| Sungard Institutional Brokerage, Inc. |
ANDZ |
0442 |
SUNB |
|
| Taglich Brothers, Inc. |
PERS |
0443 |
TAGS |
|
| Clearing Broker Change, Effective First Trade Date, July 31, 2003: |
||||
| From: Empire Financial Group, Inc. |
ACLR |
0297 |
EFGI |
|
| To: Empire Financial Group, Inc. |
PFSI |
0234 |
EFGI |
|
| Clearing Broker Change, Effective First Trade Date, August 4, 2003: |
||||
| From: Benchmark Securities Group, Inc. |
BHCS |
0632 |
BENZ |
|
| To: Benchmark Securities Group, Inc. |
WSPD |
0030 |
BENZ |
|
· Kindly update the NSCC Directory dated July 11, 2003 (for Municipal Bond Comparison List) as detailed below:
| Clearing Broker Identifiers |
Executing Broker Identifiers |
|||
| Alpha |
Numeric |
Alpha |
Numeric |
|
| Delete Last Trade Date, July 31, 2003: |
||||
| Argent Classic Convertible Arbitrage Fund |
BSSC |
0352 |
ACCA |
|
| Smith (Adam) & Co. |
BSSC |
0352 |
ADSM |
|
| Allied Capital, Inc. |
MLCO |
0161 |
ALID |
|
| Advantage Securities |
SWST |
0279 |
AVGS |
|
| Barwell Securities Corp. |
MSRO |
0727 |
BRWL |
|
| Constellation Convertibles Ltd. |
BSSC |
0352 |
CCOF |
|
| Chicago Capital Inc. |
BSSC |
0352 |
CGOC |
|
| Conarb Partners L.P. |
BSSC |
0352 |
CNRB |
|
| Corkery Investments, Inc. |
SWST |
0279 |
CORK |
|
| Crest Capital LLC |
BSSC |
0352 |
CRST |
|
| Carey, Thomas & Associates |
SWST |
0279 |
CTHB |
|
| Debt Traders, Inc. |
BSSC |
0352 |
DTRD |
|
| Duggan Securities Inc. |
0235 |
DUGG |
||
| Financial Asset Management |
BSSC |
0352 |
FAMM |
|
| L. Flomenhaft & Co., Inc. |
BSSC |
0352 |
FLOM |
|
| Equityline Securities Inc. |
0235 |
FMLY |
||
| Hotovec Pomeranz & Co., Inc. |
BSSC |
0352 |
HPCI |
|
| Horizon Capital Inc. |
SWST |
0279 |
HRZN |
|
| Investors International Securities, Inc. |
MLCO |
0161 |
ICOL |
|
| Independent Investors Services, Inc. |
MSRO |
0727 |
IDMT |
|
| Investment Planning Associates, Inc. |
SWST |
0279 |
IPGA |
|
| International Trading Group Inc. |
SWST |
0279 |
ITAL |
|
| Add First Trade Date, August 4, 2003: |
||||
| Benchmark Securities Group, Inc. |
WSPD |
0030 |
BENZ |
|
(Correction to NSCC Important Notice Dated July 25, 2003, A: #5653, P&S #5223. The Notice incorrectly reported that the new name for “SPSR” would be J.E. Investments, Inc. The name for MPID “SPSR” will remain as Stark Salter & Smith.)
The following firm has remitted an executed Networking Agreement during the week of August 1, 2003:
One Group Dealer Services, Inc. No. 5599
If you have any questions regarding this notice, please contact Frank DeRiso at (212) 855-4941 or Miriam Santiago at (212) 855-4947.