| |
Clearing Broker
Identifiers
|
Executing
Broker
Identifiers
|
| |
Alpha
|
Numeric
|
Alpha
|
Numeric
|
|
Delete Last Trade Date, August 13, 2003:
|
|
|
|
|
|
Michigan Securities, Inc.
|
WSPD
|
0030
|
MSIM
|
|
| |
|
|
|
|
|
Delete Last Trade Date, August 14, 2003:
|
|
|
|
|
|
Fairway Securities Inc.
|
BSSC
|
0352
|
FRWY
|
|
| |
|
|
|
|
|
Clearing Broker Change, Effective First Trade
Date, August 13, 2003:
|
|
|
|
|
|
From: First Midwest Securities, Inc.
|
|
0235
|
FMSI
|
|
|
-To: First Midwest Securities, Inc.
|
RAGN
|
0733
|
FMSI
|
|
| |
|
|
|
|
|
Clearing Broker Change, Effective First Trade
Date, August 20, 2003:
|
|
|
|
|
|
From: Unibanco Securities,
Inc.
|
BHFS
|
0384
|
UNIB
|
|
|
To: Unibanco Securities,
Inc.
|
PERS
|
0443
|
UNIB
|
|
| |
|
|
|
|
|
Executing Broker Symbol Change, Effective First
Trade Date, August 18, 2003:
|
|
|
|
|
|
From: Crown Financial Group Inc.
|
BHCS
|
0632
|
MHMC
|
|
|
To: Crown Financial Group Inc.
|
BHCS
|
0632
|
CRWC
|
|
| |
Clearing Broker
Identifiers
|
Executing
Broker
Identifiers
|
| |
Alpha
|
Numeric
|
Alpha
|
Numeric
|
|
Executing Broker Name Changes, Effective First
Trade Date, August 14, 2003:
|
|
|
|
|
|
From: Akros Securities, Inc. Group
|
BSSC
|
0352
|
AKRO
|
|
|
To: Akros Securities,
Inc.
|
BSSC
|
0352
|
AKRO
|
|
| |
|
|
|
|
|
From: American Re Securities
Corporation
|
BSSC
|
0352
|
ARSC
|
|
|
To: Munich American Securities
Corporation
|
BSSC
|
0352
|
ARSC
|
|
| |
|
|
|
|
|
From: Buttonwood Partners
Corp.
|
NFSC
|
0226
|
BPWP
|
|
|
To: Buttonwood Partners,
Inc.
|
NFSC
|
0226
|
BPWP
|
|
| |
|
|
|
|
|
From: Charles, Akar &
Assoc. Inc.
|
QRCC
|
0158
|
CAAA
|
|
|
To: Akar Capital Management,
Inc.
|
QRCC
|
0158
|
CAAA
|
|
| |
|
|
|
|
|
From: Camarque Corporation
|
BSSC
|
0352
|
CAMM
|
|
|
To: Chela Technology Partners,
LLC
|
BSSC
|
0352
|
CAMM
|
|
| |
|
|
|
|
|
From: Almarc Trading, LLC
|
BSSC
|
0352
|
CASH
|
|
|
To: Almarc Trading, LP
|
BSSC
|
0352
|
CASH
|
|
| |
|
|
|
|
|
From: CDC Securities
|
BSSC
|
0352
|
CDCS
|
|
|
To: Caisse Des Depots
Securities Inc.
|
BSSC
|
0352
|
CDCS
|
|
| |
|
|
|
|
|
From: Constitution Capital
Corp.
|
NFSC
|
0226
|
CNCP
|
|
|
To: Fidelity International
Securities, Inc.
|
NFSC
|
0226
|
CNCP
|
|
| |
|
|
|
|
|
From: Downstate Discount Brokerage
Inc.
|
QRCC
|
0158
|
DDBI
|
|
|
To: Downstate Securities
Group, Inc.
|
QRCC
|
0158
|
DDBI
|
|
| |
|
|
|
|
|
From: W.S. Griffith &
Co., Inc.
|
NFSC
|
0226
|
GFFH
|
|
|
To: WS Griffith Securities,
Inc.
|
NFSC
|
0226
|
GFFH
|
|
| |
|
|
|
|
|
From: Vest (H.D.) Financial
Services, Inc.
|
NFSC
|
0226
|
HDVS
|
|
|
To: H.D. Vest Investment
Securities, Inc.
|
NFSC
|
0226
|
HDVS
|
|
| |
|
|
|
|
|
From: Helix Trading, LP
|
BSSC
|
0352
|
HLIX
|
|
|
To: Helix Trading LLC
|
BSSC
|
0352
|
HLIX
|
|
| |
|
|
|
|
|
From: Investech Capital Corporation
|
SALI
|
0750
|
ITCC
|
|
|
To: Sal Financial Services,
Inc.
|
SALI
|
0750
|
ITCC
|
|
| |
|
|
|
|
|
From: J Giordano Securities
|
BSSC
|
0352
|
JGIO
|
|
|
To: J Giordano Securities
Group
|
BSSC
|
0352
|
JGIO
|
|
| |
Clearing Broker
Identifiers
|
Executing
Broker
Identifiers
|
| |
Alpha
|
Numeric
|
Alpha
|
Numeric
|
|
From: Leonard & Company
|
BSSC
|
0352
|
LEOC
|
|
|
To: Leonard Financial
Corporation
|
BSSC
|
0352
|
LEOC
|
|
| |
|
|
|
|
|
From: MAS Trade.Net Inc.
|
SALI
|
0750
|
MATR
|
|
|
To: Vantage Securities,
Inc.
|
SALI
|
0750
|
MATR
|
|
| |
|
|
|
|
|
From: McConnell, Budd &
Romano, Inc.
|
BSSC
|
0352
|
MCBD
|
|
|
To: McConnell, Budd &
Downes, Inc.
|
BSSC
|
0352
|
MCBD
|
|
| |
|
|
|
|
|
Executing Broker Name Changes, Effective First
Trade Date, August 19, 2003:
|
|
|
|
|
|
From: Abernathy Technology Research Institute,
Inc. (The)
|
BOFA
|
0773
|
ALIR
|
|
|
To: APB Financial Group,
Inc.
|
BOFA
|
0773
|
ALIR
|
|
| |
|
|
|
|
|
From: Martinez-Ayme Securities
|
LARK
|
0371
|
AYME
|
|
|
To: Martinez-Ayme Financial
Group Incorporated
|
LARK
|
0371
|
AYME
|
|
| |
|
|
|
|
|
From: Berthel Fisher &
Company
|
FCCP
|
0141
|
BFFI
|
|
|
To: Berthel, Fisher & Company Financial Services, Inc.
|
FCCP
|
0141
|
BFFI
|
|
| |
|
|
|
|
|
From: BMA Securities
|
BHCS
|
0632
|
BMAS
|
|
|
To: Burt Martin Arnold
Securities, Inc.
|
BHCS
|
0632
|
BMAS
|
|
| |
|
|
|
|
|
From: Berkowitz Pierchalski
Inc.
|
WSPD
|
0030
|
BZPI
|
|
|
To: BPU Investment Group,
Inc.
|
WSPD
|
0030
|
BZPI
|
|
| |
|
|
|
|
|
From: Carroll & Koster,
Ltd.
|
PWJC
|
0221
|
CAKF
|
|
|
To: Carroll & Koster,
Inc.
|
PWJC
|
0221
|
CAKF
|
|
| |
|
|
|
|
|
From: Commbanc Investments
Inc.
|
MSRO
|
0727
|
CBII
|
|
|
To: Wesbanco Securities,
Inc.
|
MSRO
|
0727
|
CBII
|
|
| |
|
|
|
|
|
From: C.P. Baker & Company,
Ltd.
|
PWJC
|
0221
|
CPBC
|
|
|
To: C.P. Baker Securities
Incorporated
|
PWJC
|
0221
|
CPBC
|
|
| |
|
|
|
|
|
From: Credit Agricole Indosuez
Securities, Inc.
|
JEFF
|
0019
|
CRAG
|
|
|
To: Credit Agricole Indosuez Cheuvreux
North America, Inc.
|
JEFF
|
0019
|
CRAG
|
|
| |
|
|
|
|
|
From: Protrader Securities
Corporation
|
ICLS
|
0004
|
CRNR
|
|
|
To: Protrader Securities
L.P.
|
ICLS
|
0004
|
CRNR
|
|
| |
|
|
|
|
|
From: Canterbury Capital Services,
Inc.
|
FCCP
|
0141
|
CTBY
|
|
|
To: Centerbury Consulting
Incorporated
|
FCCP
|
0141
|
CTBY
|
|
| |
Clearing Broker
Identifiers
|
Executing
Broker
Identifiers
|
| |
Alpha
|
Numeric
|
Alpha
|
Numeric
|
|
From: FPC Services
|
BHCS
|
0632
|
FPSS
|
|
|
To: FPC, Inc.
|
BHCS
|
0632
|
FPSS
|
|
| |
|
|
|
|
|
From: Inter-Broker Dealer
LLC
|
BHFS
|
0384
|
GFIG
|
|
|
To: Inter-Dealer Brokers
LLC
|
BHFS
|
0384
|
GFIG
|
|
| |
|
|
|
|
|
From: Eitel & Co Real Estate, Stocks, Bond
& Mutual Fnd
|
BHCS
|
0632
|
HILA
|
|
|
To: Eitel & Co.
|
BHCS
|
0632
|
|
|
| |
|
|
|
|
|
From: Investors National Corp.
|
BHCS
|
0632
|
INCC
|
|
|
To: Saturna Brokerage Services,
Inc.
|
BHCS
|
0632
|
INCC
|
|
| |
|
|
|
|
|
From: I Trade.Com
|
JBOC
|
8273
|
ITDC
|
|
|
To: ITradedirect.com Corp.
|
JBOC
|
8273
|
ITDC
|
|
| |
|
|
|
|
|
From: Mitchum Jones &
Templeton, Inc.
|
BOFA
|
0773
|
JMPS
|
|
|
To: JMP Securities LLC
|
BOFA
|
0773
|
JMPS
|
|
| |
|
|
|
|
|
From: Keystone Investment
Advisors, LLC
|
ABNA
|
0425
|
KEYS
|
|
|
To: Keystone Securities,
LLC
|
ABNA
|
0425
|
KEYS
|
|
| |
|
|
|
|
|
From: Lipco Partners L.P.
|
PRST
|
0551
|
LPCO
|
|
|
To: Lipper Convertibles,
L.P.
|
PRST
|
0551
|
LPCO
|
|
| |
|
|
|
|
|
From: The Municenter.Com
|
MLCO
|
0161
|
MCTR
|
|
|
To: The Municenter, L.L.C.
|
MLCO
|
0161
|
MCTR
|
|
| |
|
|
|
|
|
From: Meeschaert & Co.,
Inc.
|
ABNA
|
0425
|
MINC
|
|
|
To: Wincanton Partners
|
ABNA
|
0425
|
MINC
|
|
| |
Clearing Broker
Identifiers
|
Executing
Broker
Identifiers
|
| |
Alpha
|
Numeric
|
Alpha
|
Numeric
|
|
Delete Last Trade Date, August 13, 2003:
|
|
|
|
|
|
Chesapeake Securities Research
Corp.
|
BSSC
|
0352
|
|
|
| |
|
|
|
|
|
Delete Last Trade Date, August 14, 2003:
|
|
|
|
|
|
Lions Group Trading LLC.
|
SILK
|
0501
|
GRRR
|
|
| |
|
|
|
|
| |
Clearing Broker
Identifiers
|
Executing
Broker
Identifiers
|
| |
Alpha
|
Numeric
|
Alpha
|
Numeric
|
|
Delete Last Trade Date, August 18, 2003:
|
|
|
|
|
|
Online Securities, Inc.
|
LEGG
|
0740
|
OLSI
|
|
| |
|
|
|
|
|
Delete Last Trade Date, August 19, 2003:
|
|
|
|
|
|
RBR Securities, Inc.
|
BHCS
|
0632
|
RBRS
|
|
| |
|
|
|
|
|
Add First Trade Date, August 14, 2003:
|
|
|
|
|
|
Screaming Eagle Trading, Inc.
|
SILK
|
0501
|
SCRM
|
|
| |
|
|
|
|
|
Executing Broker Symbol Change, Effective First
Trade Date, August 18, 2003:
|
|
|
|
|
|
From: Crown Financial Group Inc.
|
SILK
|
0501
|
MHMY
|
|
|
To: Crown Financial Group Inc.
|
SILK
|
0501
|
CRWN
|
|
| |
|
|
|
|
|
Clearing Broker Change, Effective First Trade
Date, August 18, 2003:
|
|
|
|
|
|
From: Millenium Brokerage L.L.C.
|
|
0235
|
MLMB
|
|
|
To: Millenium Brokerage L.L.C.
|
ICLS
|
0004
|
MLMB
|
|
| |
|
|
|
|
|
Clearing Broker Change, Effective First Trade
Date, August 20, 2003:
|
|
|
|
|
|
From: Itau Securities, Inc.
|
BHFS
|
0384
|
ITAU
|
|
|
To: Itau Securities, Inc.
|
PERS
|
0443
|
ITAU
|
|
| |
|
|
|
|
|
From: Robert Van Securities
Inc.
|
BHFS
|
0384
|
RVSS
|
|
|
To: Robert Van Securities
Inc.
|
PERS
|
0443
|
RVSS
|
|
| |
|
|
|
|
|
Clearing Broker Change and Executing Broker Name
Change, Effective First Trade Date, August 20, 2003:
|
|
|
|
|
|
From: Pulse Trading, LLC
|
BHFS
|
0384
|
PULT
|
|
|
To: Pulse Trading, Inc.
|
PERS
|
0443
|
PULT
|
|
| |
|
|
|
|
|
From: Selsia Virgin Islands
Securities, Inc.
|
BHFS
|
0384
|
SESL
|
|
|
To: Seslia Securities,
Inc.
|
PERS
|
0443
|
SESL
|
|
| |
|
|
|
|
|
Executing Broker Name Change, Effective First
Trade Date, August 14, 2003:
|
|
|
|
|
|
From: Anpac Securities Group
Inc.
|
SALI
|
0750
|
ANPC
|
|
|
To: ASG Securities, Inc.
|
SALI
|
0750
|
ANPC
|
|
| |
|
|
|
|
|
From: Anderson & Sullivan
Securities, Inc.
|
SILK
|
0501
|
ANSU
|
|
|
To: LM Anderson Securities,
LLC
|
SILK
|
0501
|
ANSU
|
|
| |
Clearing Broker
Identifiers
|
Executing
Broker
Identifiers
|
| |
Alpha
|
Numeric
|
Alpha
|
Numeric
|
|
From: Spear Leeds & Kellogg/Arcadia Securities LLC
|
SILK
|
0501
|
ARCD
|
|
|
To: Arcadia Securities,
LLC
|
SILK
|
0501
|
ARCD
|
|
| |
|
|
|
|
|
From: Edelman Securities
Co./Arbitrage Securities Co.
|
BSSC
|
0352
|
ASCO
|
|
|
To: Edelman Securities
Company, L.P.
|
BSSC
|
0352
|
ASCO
|
|
| |
|
|
|
|
|
From: Axiom Partners, Inc.
|
BSSC
|
0352
|
AXIO
|
|
|
To: Axiom Capital Management,
Inc.
|
BSSC
|
0352
|
AXIO
|
|
| |
|
|
|
|
|
From: Budner Securities, Inc.
|
SILK
|
0501
|
BUDS
|
|
|
To: STG Secure Trading
Group, Inc.
|
SILK
|
0501
|
BUDS
|
|
| |
|
|
|
|
|
From: Catalyst Financial Corp.
|
SILK
|
0501
|
CATF
|
|
|
To: Catalyst Financial,
LLC
|
SILK
|
0501
|
CATF
|
|
| |
|
|
|
|
|
From: Chicago Option Exchange/Bear
Stearns
|
BSSC
|
0352
|
CBOH
|
|
|
To: Chicago Board of Options Exchange/Bear Stearns
|
BSSC
|
0352
|
CBOH
|
|
| |
|
|
|
|
|
From: F&G Investment Services
|
SALI
|
0750
|
FGIS
|
|
|
To: Sterne Agee Capital
Markets, Inc.
|
SALI
|
0750
|
FGIS
|
|
| |
|
|
|
|
|
From: Frith Brothers Investments
|
NFSC
|
0226
|
FRTH
|
|
|
To: Philadelphia Brokerage
Corporation
|
NFSC
|
0226
|
FRTH
|
|
| |
|
|
|
|
|
From: Gintel & Co. L.P.
|
BSSC
|
0352
|
GINT
|
|
|
To: Gintel & Co.,
LLC
|
BSSC
|
0352
|
GINT
|
|
| |
|
|
|
|
|
From: Nova Fund C/O Renaissance Technologies
Corp.
|
BSSC
|
0352
|
JPMO
|
|
|
To: Nova Fund L.P.
|
BSSC
|
0352
|
JPMO
|
|
| |
|
|
|
|
|
From: K.B.D. Securities Incorporated
|
SILK
|
0501
|
KBDS
|
|
|
To: KBD Securities, LLC
|
SILK
|
0501
|
KBDS
|
|
| |
|
|
|
|
|
From: Spear Leeds & Kellogg/Merrion
Group, LLC
|
SILK
|
0501
|
MERG
|
|
|
To: Merrion Group, LLC
|
SILK
|
0501
|
MERG
|
|
| |
|
|
|
|
|
From: FMS, Inc.
|
QRCC
|
0158
|
MIAM
|
|
|
To: FMSbonds, Inc.
|
QRCC
|
0158
|
MIAM
|
|
| |
|
|
|
|
|
Executing Broker Name Change, Effective First
Trade Date, August 19, 2003:
|
|
|
|
|
|
From: Banc Stock Financial
Services
|
MSRO
|
0727
|
BSFS
|
|
|
To: Diamond Hill Securities,
Inc.
|
MSRO
|
0727
|
BSFS
|
|
| |
Clearing Broker
Identifiers
|
Executing
Broker
Identifiers
|
| |
Alpha
|
Numeric
|
Alpha
|
Numeric
|
|
From: BNY ESI & Co., Inc./Account
#2
|
BHFS
|
0384
|
ESGN
|
|
|
To: BNY Brokerage Inc.
|
BHFS
|
0384
|
ESGN
|
|
| |
|
|
|
|
|
From: Conifer Future Trade,
LLC
|
TCCC
|
0606</ |
