|
A# |
5703 |
|
P&S #: |
5273 |
|
DATE: |
October 31, 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 OTC Alpha Symbol only, as detailed below:
Effective First Trade Date, November 10, 2003:
From: J.P. Morgan Securities, Inc. No. 0060
OTC Alpha Identifier: JPHQ
To: J.P. Morgan Securities, Inc. No. 0060
OTC Alpha Identifier: JPMS
· The following firms will retire from all services, as detailed below:
Last Trade Date, October 28, 2003:
Helfant Specialist No. 0587
BNP Paribas No. 0948
Last Trade Date, October 31, 2003:
PPI Employee Benefits Corp. No. 0495
Central Trust Bank (The) No. 2878
Transamerica Financial Life Insurance Company/TONY #1 No. 4556
Transamerica Financial Life Insurance Company/TONY #2 No. 4641
Natexis Bleichroeder Inc. No. 5581
First Virginia Bank No. 5965
· The following firm will begin participation in the Fund/Serv, Networking, Commission Settlement and ACATS Fund/Serv services, as detailed below:
First Trade Date, November 3, 2003:
ASB Securities, LLC No. 5581
Networking Code: SG
Contact: Susan Afif
Phone: (212) 698-3140
· The following firm will begin participation in the Commission Settlement service, as detailed below:
First Trade Date, November 3, 2003:
NY Life Securities, Inc. No. 0368
· An additional number has been assigned to UMB Distribution Services, LLC (#5774) for the purpose of utilizing the Fund/Serv, Networking and ACATS Fund/Serv services, as detailed below:
First Trade Date, November 3, 2003:
UMB Distribution Services, LLC/Lotsoff Capital Management Micro Cap Fund No. 5841
Networking Code: EY
Contact: Valerie Michalski
Phone: (414) 221-6191
· An additional number has been assigned to UMB Distribution Services, LLC (#5774) for the purpose of utilizing the Fund/Serv, Networking, Commission Settlement and ACATS Fund/Serv services, as detailed below:
First Trade Date, November 3, 2003:
UMB Distribution Services, LLC/SPARX Funds Trust No. 5842
Networking Code: E4
Contact: Valerie Michalski
Phone: (414) 221-6191
· An additional number has been assigned to JP Morgan Chase Bank (#0902) for the purpose of utilizing the Fund/Serv and Networking services, as detailed below:
First Trade Date, November 3, 2003:
JP Morgan Chase Bank/ADP Express Account No. 0409
Networking Code: FF
Contact: Violet Smith
Phone: (469) 477-1071
· An additional number has been assigned to Wachovia Bank, N.A. (#0929) for the purpose of utilizing the Fund/Serv and Networking services, as detailed below:
First Trade Date, November 4, 2003:
Wachovia Bank, N.A./WGRS No. 5980
Networking Code: BV
Contact: Susan Lane
Phone: (704) 590-8360
· The following firm will no longer participate in the Insurance Processing service, as detailed below:
Last Trade Date, October 31, 2003:
BNY Clearing Services, LLC No. 0262
· The following firm will change its name only, as detailed below:
Effective First Trade Date, October 28, 2003:
From: Investec Ernst and Company No. 0233
To: Investec (US) Incorporated No. 0233
· 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 27, 2003: |
||||
| Hunter World Markets, Inc. |
0235 |
VMRU |
||
| Delete Last Trade Date, October 28, 2003: |
||||
| Paragon Capital Markets Inc. |
SILK |
0501 |
PGON |
|
| Add First Trade Date, October 28, 2003: |
||||
| Hunter World Markets, Inc. |
0235 |
WRLD |
||
| Add First Trade Date, October 29, 2003: |
||||
| Geronimo Partners, LLC |
BSSC |
0352 |
GRMO |
|
| IVY Securities |
RAGN |
0733 |
IVYS |
|
| Van Clemens & Co., Inc. |
SWST |
0279 |
VCLM |
|
| Add First Trade Date, November 3, 2003: |
||||
| Howard Weil, Incorporated |
LEGG |
0740 |
HWIL |
|
| Add First Trade Date, November 5, 2003: |
||||
| Pershing LLC/Churchill Capital Ltd. |
PERS |
0443 |
CCPL |
|
| Pershing LLC/Leading Investment and Securities Ltd. |
PERS |
0443 |
LIST |
|
| Add First Trade Date, November 7, 2003: |
||||
| Brokersxpress LLC |
LGNT |
0052 |
BRXP |
|
| Clearing Broker Identifiers |
Executing Broker Identifiers |
|||
| Alpha |
Numeric |
Alpha |
Numeric |
|
| Clearing Broker Change, Effective First Trade Date, November 5, 2003: |
||||
| From: Downstate Securities Group, Inc. |
BHFS |
0384 |
DDBI |
|
| To: Downstate Securities Group, Inc. |
MSRO |
0727 |
DDBI |
|
| From: Ehrenkrantz, King & Nussbaum, Inc. |
PWJC |
0221 |
EKNS |
|
| To: Ehrenkrantz, King & Nussbaum, Inc. |
PERS |
0443 |
EKNS |
|
| From: Inter-Dealer Brokers LLC |
BHFS |
0384 |
GFIG |
|
| To: Inter-Dealer Brokers LLC |
PERS |
0443 |
GFIG |
|
· 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 |
|
| Add First Trade Date, October 31, 2003: |
||||
| First Vantage Investments LLC |
PFSI |
0234 |
VNTG |
|
| Clearing Broker Change, Effective First Trade Date, November 5, 2003: |
||||
| From: Boston Institutional Services Inc. |
BHFS |
0384 |
BISI |
|
| To: Boston Institutional Services Inc. |
PERS |
0443 |
BISI |
|
| From: HVB Capital Markets, Inc. |
BHFS |
0384 |
BVCM |
|
| To: HVB Capital Markets, Inc. |
PERS |
0443 |
BVCM |
|
| From: Barnard Jacobs Mellet (USA) LLC |
BHFS |
0384 |
RAND |
|
| To: Barnard Jacobs Mellet (USA) LLC |
PERS |
0443 |
RAND |
|
| From: Williams Capital Group (The), L.P. |
BHFS |
0384 |
WLMS |
|
| To: Williams Capital Group (The), L.P. |
PERS |
0443 |
WLMS |
|
If you have any questions regarding this notice, please contact Frank DeRiso at (212) 855-4941 or Miriam Santiago at (212) 855-4947.