|
A# |
5670 |
|
P&S #: |
5240 |
|
DATE: |
August 29, 2003 |
|
TO: |
ALL PARTICIPANTS |
|
ATTENTION: |
MANAGER, PURCHASES AND SALES DEPARTMENT; CASHIER; FUND/SERV PARTICIPANTS; ACATS PARTICIPANTS; MUNICIPAL BOND COMPARISON PARTICIPANTS |
|
FROM: |
Pablo Cubi, Associate Director, Membership Administration |
| SUBJECT: | CHANGES IN THE LIST OF PARTICIPANTS |
· 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 2, 2003:
Quasar Distributors, LLC /The Technical Chart Fund No. 6671
Networking Code: 6Z
Contact: Casandra Sauer
Phone: (414) 287-3994
· The following firm will no longer participate in the Fund/Serv, Networking, Commission Settlement and ACATS Fund/Serv services, as detailed below:
Last Trade Date, August 26, 2003:
Nicholas-Applegate/Strategic Opportunities Ltd No. 5704
· The following firm will change its Networking Code only, as detailed below:
Effective First Trade Date, September 2, 2003:
HSBC Brokerage (USA) Inc. No. 0816
From: Networking Code: 9Q
To: Networking Code: 7B
· 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, August 29, 2003: |
||||
| Kenny & Company, LLC |
WSPD |
0030 |
KENC |
|
| Madrid Group Inc. (The) |
JBOC |
8273 |
MDRD |
|
| Neutral Switch, Inc. |
JBOC |
8273 |
NTRL |
|
| Order Execution Services, LLC |
BSSC |
0352 |
OESO |
|
| Pittsburgh Investment Brokers |
0235 |
PGHI |
||
| Phoenix Financial Services Corp |
0235 |
PHIX |
||
| Penn North Discount |
0235 |
PNDB |
||
| Republic Equities of America, Ltd |
0235 |
REAL |
||
| River Oaks Trading, L.P. |
JBOC |
8273 |
ROTP |
|
| Sabel Management Inc. |
0235 |
SMIM |
||
| Stechler & Company, Inc. |
BSSC |
0352 |
STEC |
|
| Sunlogic Securities Inc. |
JBOC |
8273 |
SUNG |
|
| American Pacific Securities, Inc. |
0235 |
SYLE |
||
| Titan Securities |
BSSC |
0352 |
TITN |
|
| Wilcris Trading LLC |
BSSC |
0352 |
WILC |
|
| Whelan Securities Inc. |
0235 |
WSIN |
||
| Clearing Broker Change, Effective First Trade Date, September 3, 2003: |
||||
| From: Cheevers & Co., Inc. |
BNYC |
0262 |
CHVS |
|
| To: Cheevers & Company Inc. |
PWJC |
0221 |
CHVS |
|
| Executing Broker Name Change, Effective First Trade Date, August 27, 2003: |
||||
| From: Electronic Access Direct |
PFSI |
0234 |
GLBA |
|
| To: Electronic Access Direct Inc. |
PFSI |
0234 |
GLBA |
|
| Executing Broker Name Change, Effective First Trade Date, September 2, 2003: |
||||
| From: Knight Securities, L.P. |
MLCO |
0161 |
NITE |
|
| To: Knight Equity Markets, L.P. |
MLCO |
0161 |
NITE |
|
· 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, August 25, 2003: |
||||
| IBS Securities, LLC |
FOCC |
0690 |
IBSL |
|
| Pure Trading, Inc. |
FOCC |
0690 |
PURT |
|
| Delete Last Trade Date, August 26, 2003: |
||||
| Continental Capital Securities |
FCCP |
0141 |
CCAP |
|
| Delete Last Trade Date, August 29, 2003: |
||||
| Chanin Capital, LLC |
BSSC |
0352 |
KIRK |
|
| Kimberly Securities, Inc. |
0235 |
KSIC |
||
| Kingston Securities Corporation |
FCCP |
0141 |
KTON |
|
| Kennilworth Partners L.P. |
BSSC |
0352 |
KWPT |
|
| Maytal Securities LLC |
BSSC |
0352 |
MAYT |
|
| Sterling (M.J.) & Co., Inc. |
JBOC |
8273 |
MJST |
|
| Hamilton Partners L.P. |
BSSC |
0352 |
OTTO |
|
| Michaelangelo, L.P. |
BSSC |
0352 |
PIZA |
|
| Raphael, L.P. |
BSSC |
0352 |
RAPH |
|
| Washburne Capital Management |
BSSC |
0352 |
SETH |
|
| Windsor Bennett Capital Group Corp |
0235 |
WBGC |
||
| Clearing Broker Change Effective First Trade Date, August 27, 2003: |
||||
| From: Greenwich High Yield LLC |
BHFS |
0384 |
GHYL |
|
| To: Greenwich High Yield LLC |
FSWC |
0309 |
GHYL |
|
| Clearing Broker Change Effective First Trade Date, September 2, 2003: |
||||
| From: Rodman & Renshaw Inc. |
BNYC |
0262 |
RODM |
|
| To: Rodman & Renshaw Inc. |
FSWC |
0309 |
RODM |
|
| Clearing Broker Change Effective First Trade Date, September 2, 2003: |
||||
| From: Collins Stewart Inc. |
BHFS |
0384 |
STEW |
|
| To: Collins Stewart Inc. |
SILK |
0501 |
STEW |
|
| Executing Broker Name Change, Effective First Trade Date, August 27, 2003: |
||||
| From: Macquarie Securities Inc. |
NEUB |
0155 |
MEUS |
|
| To: Macquarie Securities (USA) Inc. |
NEUB |
0155 |
MEUS |
|
· 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, August 29, 2003: |
|
|||
| Kensington Securities, Inc. |
JBOC |
8273 |
KENN |
|
| Deephaven Market Neutral Trading Limited |
BSSC |
0352 |
KLTP |
|
| Platinum Equities Inc. |
0235 |
METL |
||
| Pentad Securities, Inc. |
BSSC |
0352 |
PNTD |
|
| Peraza Capital and Investments, LLC |
WSPD |
0030 |
PREZ |
|
| Collins Stewart Inc. |
BHFS |
0384 |
STEW |
|
| Volpe Brown Whelan & Company LLC |
BSSC |
0352 |
VOLP |
|
| |
||||
| Add First Trade Date, August 27, 2003: |
|
|||
| Greenwich High Yield LLC |
FSWC |
0309 |
GHYL |
|
If you have any questions regarding this notice, please contact Frank DeRiso at (212) 855-4941 or Miriam Santiago at (212) 855-4947.