A 5693 - October 10, 2003

A#	5693
P&S #:	5263

DATE:	October 10, 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 begin participation in the Commission Settlement service, as detailed below:

First Trade Date, October 13, 2003:

Folio (FN) Investments Inc. No. 0728

· The following participant of the Depository Trust Company will begin participation in the ACATS service, as detailed below:

First Trade Date, October 7, 2003:

Bank One Trust Co., N.A. – DTC #2255 No. 2255

Contact: Anthony Cooper

Phone: (614) 217-8812

· An additional number has been assigned to JPMorgan Chase Bank (# 0902) for the purpose of utilizing the Fund/Serv and Networking services, as detailed below:

First Trade Date, October 8, 2003:

JPMorgan Chase Bank/JPM RPS LLC No. 5978

Networking Code: BC

Contact: Ralph Heist

Phone: (816) 340-9231

· An additional number has been assigned to State Street Bank & Trust Co. (# 2950) for the purpose of utilizing the Fund/Serv and Networking services, as detailed below:

First Trade Date, October 10, 2003:

State Street Bank & Trust Co./Mercantile-Safe Deposit & Trust Company No. 5974

Networking Code: BT

Contact: Nancy Norton

Phone: (617) 483-2083

· The following firms will change their name only, as detailed below:

Effective First Trade Date, October 7, 2003:

From: PFPC Distributors, Inc./IBJ Schroeder No. 5427

To: PFPC Distributors, Inc./Atlantic Whitehall Funds No. 5427

Effective First Trade Date, October 9, 2003:

From: Standish Fund Distributors, L.P. No. 6558

To: Mellon Funds Distributors, L.P. No. 6558

· The following firm will retire from all services, as detailed below:

Effective First Trade Date, October 15, 2003:

InCap Securities, Inc./Avalon Capital Appreciation Fund No. 6623

· 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 10, 2003:
Harmonic Reasearch, Inc.	WSPD	0030	HMNC

Clearing Broker Change, Effective First Trade Date, October 8, 2003:
From: Centennial Securities Company, Inc.	BNYC	0262	CTNL
To: Centennial Securities Company, Inc.	FCCP	0141	CTNL

Clearing Broker Change, Effective First Trade Date, October 14, 2003:
From: Links Securities LLC	ABNA	0425	LNKS
To: Links Securities LLC	BOFA	0773	LNKS

Clearing Broker Change, Effective First Trade Date, October 15, 2003:
From: Brittingham, Inc.	PWJC	0221	BRIT
To: Brittingham, Inc.	NFSC	0226	BRIT

From: Carty & Company, Inc.	PWJC	0221	CART
To: Carty & Company, Inc.	NFSC	0226	CART
	Clearing Broker Identifiers		Executing Broker Identifiers
	Alpha	Numeric	Alpha	Numeric
From: Gunnallen Financial, Inc.	PWJC	0221	GNLC
To: Gunnallen Financial, Inc.	NFSC	0226	GNLC

From: J. Alden Associates, Inc.	PWJC	0221	JADN
To: J. Alden Associates, Inc.	NFSC	0226	JADN

Executing Broker Symbol Change, Effective First Trade Date, October 13, 2003:
From: Ramius Securities LLC	BSSC	0352	RAMS
To: Ramius Securities LLC	BSSC	0352	RSCO

Executing Broker Name Change, Effective First Trade Date, October 8, 2003:
From: Saratoga Capital, LLC	WSPD	0030	SART
To: RCM Saratoga	WSPD	0030	SART

Correction to NSCC Important Notice Dated October 3, 2003, A: #5691, P&S: #5261. Please be advised that information regarding Carl P. Sherr & Company’s “SHRR” name change to Carl P. Sherr & Co., LLC & clearing change from BNY Clearing #0262 to Pershing #0443, was previously stated on the NSCC Important Notice dated September 5, 2003 A: #5674, P&S: #5244.

· 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 6, 2003:
Marketaxess Corporation	BNYC	0262	TRDI

Delete Last Trade Date, October 7, 2003:
Siegenthaler, Thomas Reid	LARK	0371	SIEG

Add First Trade Date, October 7, 2003:
Sterne Agee Capital Markets, Inc.	SALI	0750	SACM

Add First Trade Date, October 9, 2003:
Lime Brokerage LLC	SILK	0501	LIMB

Add First Trade Date, October 10, 2003:
Corp-Fin.Com, Inc.	BHCS	0632	CPFN

	Clearing Broker Identifiers		Executing Broker Identifiers
	Alpha	Numeric	Alpha	Numeric
Add First Trade Date, October 13, 2003:
Parker Financial Corp.	PFSI	0234	PFCO

Clearing Broker Change, Effective First Trade Date, October 10, 2003:
From: Green Street Advisors, Inc.	BHCS	0632	GNAV
To: Green Street Advisors, Inc.	PERS	0443	GNAV

Executing Broker Name Change, Effective First Trade Date, October 8, 2003:
From: E. Barnes & Company	LARK	0371	PISC
To: Pacific Investment Securities Corp.	LARK	0371	PISC

Executing Broker Name Change, Effective First Trade Date, October 9, 2003:
From: Morton H. Sachs & Co.	LEGG	0740	SACH
To: Sachs Company (The)	LEGG	0740	SACH

Correction to NSCC Important Notice Dated October 3, 2003, A: #5691, P&S: #5261. Please be advised that information regarding Prestige Status, Inc.’s “PSTG” name change to Prestige Financial Center, Inc. & clearing change from BNY Clearing #0262 to Pershing #0443, was previously stated on the NSCC Important Notice dated September 5, 2003 A: #5674, P&S: #5244.

· 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 20, 2003:
The Strategic Financial Alliance, Inc.	PERS	0443	TSFA

Clearing Broker Change, Effective First Trade Date, October 15, 2003:
From: Robert Brandt & Co.	PWJC	0221	BRND
To: Robert Brandt & Co.	NFSC	0226	BRND

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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