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A#
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5666
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P&S #:
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5236
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DATE:
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August 22, 2003
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TO:
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ALL PARTICIPANTS
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ATTENTION:
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MANAGER, PURCHASES AND SALES DEPARTMENT; CASHIER;
FUND/SERV PARTICIPANTS; ACATS PARTICIPANTS; MUNICIPAL BOND COMPARISON
PARTICIPANTS
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FROM:
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Pablo Cubi,
Associate Director, Membership Administration |
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| SUBJECT: |
CHANGES
IN THE LIST OF PARTICIPANTS |
First Trade Date, August 25, 2003:
CNBS, Inc. No. 6707
Muni Alpha Identifier: CNBS
First Trade Date, August 25, 2003:
Eaton Vance Distributors, Inc./Emerald Funds No.
5438
HSBC Brokerage (USA) Inc. No. 0816
Last Trade Date, August 20, 2003:
Milliman and Robertson Inc. No. 7112
Last Trade Date, August 22, 2003:
Bisys Fund Services, LP/MSB Fund No. 6640
Last Trade Date, August 29, 2003:
Invesco Funds Group, Inc./No Load Funds No. 5650
Effective First Trade Date, September 2, 2003:
From: Fahnestock & Co., Inc. No. 0571
To: Oppenheimer & Co. Inc. No. 0571
From: Invesco Funds Group, Inc./GT Global Distributors Ltd. No. 6592
To: Invesco Funds Group, Inc. No. 6592
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Clearing Broker
Identifiers
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Executing Broker
Identifiers
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Alpha
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Numeric
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Alpha
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Numeric
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Delete Last Trade Date, August 22, 2003:
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Halliburton & Associates, Inc.
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PFSI
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0234
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HIBT
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The Investment Counsel Company of Nevada
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WSPD
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0030
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FIFI
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Add First Trade Date, August 22, 2003:
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Fairway Securities Inc.
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BSSC
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0352
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FRWY
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Add First Trade Date, September 2, 2003:
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Strategic Capital Investments, LLC
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LGNT
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0052
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SCIL
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Clearing Broker Change, Effective First Trade Date, August 25,
2003:
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From: Estrada-Hinojosa & Co., Inc.
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PFSI
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0234
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ESTR
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To: Estrada Hinojosa & Company, Inc.
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FSWC
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0309
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ESTR
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·
Kindly update the NSCC Directory dated July 11, 2003 (for OTC
Executed-By List) as detailed below:
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Clearing Broker
Identifiers
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Executing Broker
Identifiers
|
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Alpha
|
Numeric
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Alpha
|
Numeric
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Delete Last Trade Date, August 19, 2003:
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Jaguar Securities, LLC
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SILK
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0501
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Add First Trade Date, August 22, 2003:
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Kellogg Partners Institutional Services LLC
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SILK
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0501
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KPAR
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|
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Add First Trade Date, August 25, 2003:
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Compass Point Research & Trading, LLC
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SILK
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0501
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CMPT
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Clearing Broker Change and Executing Broker Symbol Change, Effective
First Trade Date, August 25, 2003:
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From: Nextrend Securities, Inc.
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SWST
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0279
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TRND
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To: Nextrend Securities, Inc.
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PFSI
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0234
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NTNT
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|
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Clearing Broker
Identifiers
|
Executing Broker
Identifiers
|
| |
Alpha
|
Numeric
|
Alpha
|
Numeric
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Add First Trade Date, August , 2003:
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Nextrend Securities, Inc.
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PFSI
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0234
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NTNT
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*CORRECTION
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Executing Broker Name Change, Effective First Trade Date, August
19, 2003:
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From: Morgan Stanley DW, Inc./Morgan Stanley Online
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*QRCC
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*0158
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DBDM
|
|
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To: Morgan Stanley Dean Witter Online Inc.
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*QRCC
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*0158
|
DBDM
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If you have any questions regarding this notice, please
contact Frank DeRiso at (212) 855-4941 or Miriam Santiago at (212) 855-4947.