A 5691 - October 3, 2003

A#	5691
P&S #:	5261

DATE:	October 3, 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

· The following firm will change its name only, as detailed below:

Effective First Trade Date October 3, 2003:

From: ING Pilgrim Securities Inc. No. 5734

To: ING Funds Distributor, LLC No. 5734

· 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, October 1, 2003:
Vandam Securities Corp.	BNYC	0262	VNDX

Delete Last Trade Date, October 2, 2003:
Pershing LLC	PERS	0443	DLJP

	Clearing Broker Identifiers		Executing Broker Identifiers
	Alpha	Numeric	Alpha	Numeric
Delete Last Trade Date, October 3, 2003:
Barclay Investments Inc.	DBAB	0573	BARC
Rothschild, Inc.	DBAB	0573	RINC
Suntrust Equitable Securities Corp.	DBAB	0573	STEQ

Add First Trade Date, October 15, 2003:
Capwest Securities Inc.	LGNT	0052	CPWS

Clearing Broker Change, Effective First Trade Date, October 1, 2003:
From: Vandam Securities Corp.	BNYC	0262	VNDM
To: Vandam Securities Corp.	NFSC	0226	VNDM

Clearing Broker Change, Effective First Trade Date, October 10, 2003:
From: Harris Nesbitt Gerard, Inc.	BSSC	0352	GKMC
To: Harris Nesbitt Gerard, Inc.	NBSI	0045	GKMC

Clearing Broker Change and Executing Broker Name Change, Effective First Trade Date, October 2, 2003:
From: D.L. Baker & Co. Incorporated	BNYC	0262	BCOM
To: Baker & Co., Incorporated	RAGN	0733	BCOM

From: NYPPE, LLC	BNYC	0262	NYPP
To: New York Private Placement Network, LLC	RAGN	0733	NYPP

Executing Broker Name Change, Effective First Trade Date, October 6, 2003:
From: Netcap Ventures, Inc.	JBOC	8273	NTCP
To: Marino Capital Partners	JBOC	8273	NTCP

From: Northern Trust Company	PERS	0443	NTRC
To: Northern Trust Securities, Inc.	PERS	0443	NTRC

From: Ohio Company (The)	BHCS	0632	OHIO
To: Fifth Third Securities, Inc.	BHCS	0632	OHIO

From: PHD Capital	PERS	0443	PHDC
To: Perrin, Holden and Davenport Capital Corp.	PERS	0443	PHDC

From: Marcus (Peter J.) Investment Securities	BHCS	0632	PJMI
To: Peter Jay Marcus	BHCS	0632	PJMI

	Clearing Broker Identifiers		Executing Broker Identifiers
	Alpha	Numeric	Alpha	Numeric
From: Pond Equities Incorporated	WSPD	0030	POND
To: Pond Equities Corp.	WSPD	0030	POND

From: Quest Distributors Inc.	KVXS	0407	QDIS
To: Royce Fund Services, Inc.	KVXS	0407	QDIS

From: Luken Investment Corp.	BSSC	0352	SGCI
To: Luken Investment Group, Inc.	BSSC	0352	SGCI

From: Carl P. Sherr and Company	BNYC	0262	SHRR
To: Carl P. Sherr & Co., LLC	BNYC	0262	SHRR

From: Stocktraders	FOMA	0188	SKTR
To: Joslin, Jeffrey Alex	FOMA	0188	SKTR

From: SLS Securities Company	SGCL	5118	SLSW
To: SLS Securities Limited Partnership	SGCL	5118	SLSW

From: Stanford Group Co., Inc. (The)	BSSC	0352	STFG
To: Stanford Group Company	BSSC	0352	STFG

From: Standard New York, Inc.	BSSC	0352	STNY
To: Standard New York Securities, Inc.	BSSC	0352	STNY

From: The Street Direct, LLC	SILK	0501	STRE
To: TSD Trading, LLC	SILK	0501	STRE

From: Subert Securities, Inc.	SHON	0064	SUBE
To: Schonfeld & Company, LLC	SHON	0064	SUBE

From: Susquehanna Financial Group Inc.	PRST	0551	SUFI
To: Susquehanna Financial Group, LLC	PRST	0551	SUFI

From: Summit Capital Trading, Inc.	BHCS	0632	SUMC
To: Summit Capital Investment Group, Inc.	BHCS	0632	SUMC

From: Uvest Corporation	PERS	0443	UVST
To: Uvest Financial Services Group, Inc.	PERS	0443	UVST

From: Wiley Bros. Incorporated	PERS	0443	WBRO
To: Wiley Bros.-Aintree Capital, LLC	PERS	0443	WBRO

	Clearing Broker Identifiers		Executing Broker Identifiers
	Alpha	Numeric	Alpha	Numeric
From: Wine Investments, Inc.	SWST	0279	WINE
To: D.E. Wine Investments Inc.	SWST	0279	WINE

From: Brennan (William) & Co., Inc.	SALI	0750	WMPB
To: Hahn Securities, Inc.	SALI	0750	WMPB

Correction to NSCC Important Notice Dated September 26, 2003, A: #5681, P&S: #5251:

Please be advised that MPID “BVCM” will change their clearing broker from BHFS (#0384) to PERS (#0443) effective first trade date October 15, 2003 and not on October 1, 2003, as previously reported.

· 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, October 3, 2003:
Frost Securities, Inc.	DBAB	0573	FRSI

Add First Trade Date, October 1, 2003:
AFS Equities, Inc.	SALI	0750	AFSE

Clearing Broker Change, Effective First Trade Date, October 1, 2003:
From: Pension Planners Securities, Inc.	LARK	0371	PPSI
To: Pension Planners Securities, Inc.		0235	PPSI

Executing Broker Name Change, Effective First Trade Date, October 6, 2003:
From: Spear, Leeds & Kellogg/North Hampton Partners	SILK	0501	NHAM
To: North Hampton Partners, L.P.	SILK	0501	NHAM

From: Pali Capital, L.L.C.	BSSC	0352	PALC
To: Pali Capital, Inc.	BSSC	0352	PALC

From: Pacific Investment Securities	LARK	0371	PISC
To: E. Barnes & Company	LARK	0371	PISC

	Clearing Broker Identifiers		Executing Broker Identifiers
	Alpha	Numeric	Alpha	Numeric
From: Prestige Status Inc.	BNYC	0262	PSTG
To: Prestige Financial Centers, Inc.	BNYC	0262	PSTG

From: Rochdale Investment Management Inc.	PERS	0443	ROCM
To: RIM Securities LLC	PERS	0443	ROCM

From: Rise, Inc.	MSRO	0727	RSIC
To: Resource-Realty Investment Securities Enterprises	MSRO	0727	RSIC

From: Sachs Company (The)	LEGG	0740	SACH
To: Morton H. Sachs & Co.	LEGG	0740	SACH

From: Archipelago Securities L.L.C.	SILK	0501	SETS
To: Spear, Leeds & Kellogg, L.P.	SILK	0501	SETS

From: Spear Leeds & Kellogg/Cohen, Cohn, Duffy & McGowan	SILK	0501	SLCC
To: Spear Leeds & Kellogg/Chicago DBM	SILK	0501	SLCC

From: Spear Leeds & Kellogg/NY Funds	SILK	0501	SLFN
To: Spear Leeds & Kellogg/First New York Securities	SILK	0501	SLFN

From: Spear Leeds & Kellogg/Gerber Asset Management	SILK	0501	SLGA
To: Spear Leeds & Kellogg/Glacis Investments LLC	SILK	0501	SLGA

From: Spear Leeds & Kellogg/Taft (Chic) Secs.	SILK	0501	SLTS
To: Spear Leeds & Kellogg/Taft Securities	SILK	0501	SLTS

From: WIT Soundview Corporation	BSSC	0352	SNDV
To: Soundview Technology Corporation	BSSC	0352	SNDV

From: ROM-BO Trading Co.	PRST	0551	STAF
To: TD Professional Execution, Inc.	PRST	0551	STAF

From: National Investor Services Corp.	NISC	0044	TDGR
To: TD Waterhouse Investor Services, Inc.	NISC	0044	TDGR

From: Trading Edge, Inc.	BNYC	0262	TRDI
To: Marketaxess Corporation	BNYC	0262	TRDI

From: Chase Securities of Texas	NFSC	0226	TXCF
To: J.P. Morgan Securities of Texas, Inc.	NFSC	0226	TXCF


	Clearing Broker Identifiers		Executing Broker Identifiers
	Alpha	Numeric	Alpha	Numeric
From: ATG Trading, LLC	MLCO	0161	VIES
To: Vie Securities, LLC	MLCO	0161	VIES

Correction to NSCC Important Notice Dated September 26, 2003, A: #5681, P&S: #5251:

Please be advised that MPID “RAND” will change their clearing broker from BHFS (#0384) to PERS (#0443) effective first trade date October 15, 2003 and not on October 1, 2003, as previously reported.

· 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, October 1, 2003:
Pension Planners Securities, Inc.		0235	PPSI

Clearing Broker Change, Effective First Trade Date, October 2, 2003:
From: First American Municipals, Inc.	BNYC	0262	FAMI
To: First American Municipals, Inc.	RAGN	0733	FAMI

Executing Broker Name Change, Effective First Trade Date, October 6, 2003:
From: Northeast Capital Management Corp.	NFSC	0226	NECM
To: Northeast Capital Management, Inc.	NFSC	0226	NECM

From: PMA Securities	PERS	0443	PMAS
To: English Concepts, Inc.	PERS	0443	PMAS

From: Newport Discount Brokerage, Inc.	QRCC	0158	PWAH
To: Cambridge Discount Brokerage, Inc.	QRCC	0158	PWAH

	Clearing Broker Identifiers		Executing Broker Identifiers
	Alpha	Numeric	Alpha	Numeric
From: Point West Securities, LLC	BSSC	0352	PWSL
To: Kildare Capital	BSSC	0352	PWSL

From: Raney Securities	SWST	0279	RANY
To: T.J. Raney & Sons, Inc.-BD	SWST	0279	RANY

From: Sentinel Brokers Company	SALI	0750	SEBR
To: Lawless, Joseph Matthew	SALI	0750	SEBR

From: WIT Soundview Corporation	DBAB	0573	SNDV
To: Soundview Technology Corporation	DBAB	0573	SNDV

From: Santander Securities Corporation of Puerto Rico	PERS	0443	SSPR
To: Santander Securities Corporation	PERS	0443	SSPR

From: FNB Brokerage	NFSC	0226	STIS
To: FNB Brokerage Services, Inc.	NFSC	0226	STIS

From: Strategic Trading, Inc.	BSSC	0352	STRT
To: Octavus, LLC	BSSC	0352	STRT

From: Thor Capital LLC	ABNA	0425	THOR
To: Thornhill Securities, Inc.	ABNA	0425	THOR

From: Tri-Star Financial	SWST	0279	TRSR
To: Mutual Money Investments, Inc.	SWST	0279	TRSR

From: Vernon, Shall, Morgan & Co.	QRCC	0158	VSMC
To: Champaign Investment Company	QRCC	0158	VSMC

From: Weller Anderson Cheneviere	SWST	0279	WACC
To: Weller, Anderson & Co., Ltd.	SWST	0279	WACC

From: Wedgewood Securities	QRCC	0158	WGWD
To: Wedgewood Partners, Inc.	QRCC	0158	WGWD

If you have any questions regarding this notice, please contact Frank DeRiso at (212) 855-4941 or Miriam Santiago at (212) 855-4947.

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0573

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