|
A# |
5678 |
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P&S #: |
5248 |
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DATE: |
September 19, 2003 |
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TO: |
ALL PARTICIPANTS |
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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 |
· The following firm will begin participation in the Networking service, as detailed below:
First Trade Date, September 18, 2003:
Investment Centers of America, Inc. No. 0300
Networking Code: 9U
Contact: Eamon Twomey
Phone: (720) 489-6444
· The following firm will no longer participate in the NYSE Listed Comparison service, as detailed below:
Last Trade Date, September 16, 2003:
Kellner, Dileo & Co. No. 0580
Listed Alpha Identifier: KL
· The following firms will retire from all services, as detailed below:
Last Trade Date, September 18, 2003:
Quasar Distributors, LLC/SYM Select Growth Fund No. 4948
Last Trade Date, September 22, 2003:
Bisys Fund Services, LP/Williamette Value Fund No. 5429
· 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, September 16, 2003: |
||||
| Alexander Gabor, & Co., Inc. |
BNYC |
0262 |
AGCI |
|
| Askar Corp. |
BNYC |
0262 |
ASKR |
|
| Certes Capital Securities, LLC |
BNYC |
0262 |
CERT |
|
| Coyle Securities, L.L.C. |
BNYC |
0262 |
COYL |
|
| E.F. O Reilly, Inc. |
BNYC |
0262 |
EFOR |
|
| Nebraska Hudson Company, Inc. |
FOMA |
0188 |
NTDB |
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| Equities Trading Corp. |
BNYC |
0262 |
SINO |
|
| Sage Securities Corp. |
BNYC |
0262 |
SLES |
|
| UFG (US) Inc. |
BNYC |
0262 |
UFGI |
|
| Mercer, William (M.) Securities Corp. |
PWJC |
0221 |
WMSC |
|
| |
||||
| Delete Last Trade Date, September 19, 2003: |
|
|||
| Program Trading Corp. |
FSWC |
0309 |
PRGM |
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| |
||||
| Delete Last Trade Date, September 23, 2003: |
|
|||
| H.C. Wainwright & Co. |
PERS |
0443 |
WAIN |
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| |
||||
| Add First Trade Date, September 19, 2003: |
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| Sword Securities Corporation |
MLCO |
0161 |
SWRD |
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| Add First Trade Date, September 22, 2003: |
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| QA3 Financial Corp. |
LEGG |
0740 |
IFSL |
|
| J.W. Millegan, Inc. |
LEGG |
0740 |
JWML |
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| Executing Broker Name Change, Effective First Trade Date, September 17, 2003: |
||||
| From: Hencorp Beckstone Securities, LLC |
PERS |
0443 |
HBCO |
|
| To: Global Investor Services, L.L.C. |
PERS |
0443 |
HBCO |
|
| From: VMR Capital Markets U.S. |
0235 |
VMRU |
||
| To: Hunter World Markets, Inc. |
0235 |
VMRU |
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Correction to NSCC Important Notice Dated September 5, 2003, A: #5674, P&S: #5244:
The notice incorrectly reported that MPID “SFSS” would change its clearing broker from #0221 (PWJC) to #0352 (BSSC) on September 17, 2003. Please note that the clearing change will become effective on first trade September 24, 2003.
· 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, September 16, 2003: |
||||
| Gray Capital Partners LLC |
BNYC |
0262 |
GRCP |
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| IPO.Com Securities, Inc. |
BNYC |
0262 |
IPOS |
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| Praxis Capital, Inc. |
BNYC |
0262 |
PRAX |
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| Pulse Trading, Inc. |
BNYC |
0262 |
PULS |
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| Schwartz & Co., II |
BNYC |
0262 |
SCWP |
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| Trading Edge, Inc. |
BNYC |
0262 |
TRDI |
|
| Delete Last Trade Date, September 19, 2003: |
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| Financial Research Company |
BSSC |
0352 |
FINR |
|
| Fairway Securities Inc. |
BSSC |
0352 |
FRWY |
|
| Add First Trade Date, September 18, 2003: |
||||
| Beal (M.R.) & Company |
PERS |
0443 |
BEAL |
|
| Clearing Broker Change and Executing Broker Name Change, Effective First Trade Date, September 17, 2003: |
||||
| From: Stark (R.M.) |
BNYC |
0262 |
RMST |
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| To: R.M. Stark & Co., Inc. |
PERS |
0443 |
RMST |
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· 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 |
|
| Add First Trade Date, September 17, 2003: |
|
|||
| R.M. Stark & Co., Inc. |
PERS |
0443 |
RMST |
|
| |
||||
| Add First Trade Date, September 19, 2003: |
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| Purshe Kaplan Sterling Investments |
NFSC |
0226 |
SARG |
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| United Equities Company, LLC |
SILK |
0501 |
UNEQ |
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| |
||||
| Clearing Broker Change, Effective First Trade Date, September 18, 2003: |
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|||
| From: Beal (M.R.) & Company |
NFSC |
0226 |
BEAL |
|
| To: Beal (M.R.) & Company |
PERS |
0443 |
BEAL |
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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.