| A# |
5886 |
| P&S #: |
5456 |
| DATE: |
August 20, 2004 |
| TO: |
ALL PARTICIPANTS |
| ATTENTION: |
MANAGER, PURCHASES AND SALES DEPARTMENT; CASHIER; FUND/SERV PARTICIPANTS; ACATS PARTICIPANTS; MUNICIPAL BOND COMPARISON PARTICIPANTS |
| FROM: | Pablo Cubi, Membership Administration |
| SUBJECT: | CHANGES IN THE LIST OF PARTICIPANTS |
· The following firms will retire from all services, as detailed below:
Last Trade Date, August 19, 2004:
Griffin Kubik Stephens & Thompson, Inc./BONY No. 6001
Shattuck Hammond Partners, Inc./BONY No. 6019
Newman and Associates, Inc./BONY No. 6020
Vining Sparks IBG, L.P./BONY No. 6043
Baker (James) Company /BONY No. 6069
DBTC Americas/Bankers Bank No. 6409
DBTC Americas/Texas Independent Bank No. 6412
DBTC Americas/Whitney National Bank No. 6414
Bank of New York (The) /First Miami Securities, Inc. No. 6440
DBTC Americas/United Bankers Bank No. 6732
Last Trade Date, August 20, 2004:
Russell Fund Distributors, Inc./Frank Russell Company Limited-Dublin Funds No. 4531
ING Financial Advisors, LLC/Aetna Master Fund No. 4958
Last Trade Date, August 23, 2004:
The Bank of New York/Banc One Capital Markets, Inc. No. 2794
J.P. Morgan Securities, Inc. – Fixed Income (#0187), an additional number to J.P. Morgan Securities, Inc. (#0060), will assume all open contracts for The Bank of New York/Banc One Capital Markets, Inc. (#2794), an additional number to The Bank of New York (#0901) which are to be cleared or settled through or by National Securities Clearing Corporation.
Note: Please direct all inquiries regarding the above to:
The Bank of New York (#0901)
Contact Name: Justin Kayse
Phone: (312) 732-5880
J.P. Morgan Securities, Inc. (#0060)
Contact Name: Dolly Caraballo
Phone: (201) 524-8456
· The following firms will begin participation in the Municipal Bond Comparison service, as detailed below:
First Trade Date, August 20, 2004:
Griffin, Kubik, Stephens & Thompson, Inc. No. 6001
Muni Alpha Identifier: GKST
Shattuck Hammond Partners LLC No. 6019
Muni Alpha Identifier: SHPL
GMAC Commercial Holding Capital Markets Corp. DBA Newman and Associates, Inc. No. 6020
Muni Alpha Identifier: NEWM
Vining-Sparks IBG, L.P. No. 6043
Muni Alpha Identifier: VSLP
James Baker & Associates, LP No. 6069
Muni Alpha Identifier: BAKR
Bankers Bank No. 6409
Muni Alpha Identifier: BBID
TIB The Independent Bankers Bank No. 6412
Muni Alpha Identifier: TIBD
Whitney National Bank No. 6414
Muni Alpha Identifier: WTNY
FMSBonds, Inc. No. 6440
Muni Alpha Identifier: MIAM
United Bankers Bank No. 6732
Muni Alpha Identifier: UBKR
· The following firm will begin participation in the Networking service, as detailed below:
First Trade Date, August 18, 2004:
ING Financial Partners, Inc. No. 0492
Networking Code: I4
Contact: Michelle Klegseth
Phone: (800) 356-2906 x86473
· The following firm will begin participation in the Commission Settlement service, as detailed below:
First Trade Date, August 20, 2004:
Waterstone Financial Group, Inc. No. 0469
· The following firm will no longer participate in the Networking service, as detailed below:
Last Trade Date, August 17, 2004:
ING Financial Partners, Inc./LSSI No. 0465
· The following firm will change its name only, as detailed below:
Effective First Trade Date, August 20, 2004:
From: NBC Capital Markets Group, Inc. /BONY No. 6066
To: NBC Capital Markets Group, Inc. No. 6066
· Kindly update the NSCC Directory dated July 9, 2004 (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 24, 2004: |
|
|||
|
CIG Corp. |
LGNT |
0052 |
CIGC |
|
|
|
||||
|
Clearing Broker Change, Effective First Trade Date, August 25, 2004: |
|
|||
|
From: Peacock, Hislop, Staley & Given, Inc. |
LEGG |
0740 |
PHSG |
|
|
To: Peacock, Hislop, Staley, & Given, Inc. |
LGNT |
0052 |
PHSG |
|
· Kindly update the NSCC Directory dated July 9, 2004 (for OTC Executed-By List) as detailed below:
|
Clearing Broker Identifiers |
Executing Broker Identifiers |
|||
|
Alpha |
Numeric |
Alpha |
Numeric |
|
|
Delete Last Trade Date, August 20, 2004: |
|
|||
|
Coughlin & Co., Inc. |
ABNA |
0425 |
CGLN |
|
|
|
||||
|
Clearing Broker Change, Effective First Trade Date, August 23, 2004: |
|
|||
|
From: Thor Capital LLC |
RAGN |
0733 |
THRC |
|
|
To: Thor Capital LLC |
PFSI |
0234 |
THRC |
|
|
|
||||
|
Clearing Broker Change, Effective First Trade Date, September 1, 2004: |
|
|||
|
From: STG Secure Trading Group, Inc. |
ICLS |
0004 |
STGI |
|
|
To: STG Secure Trading Group, Inc. |
PFSI |
0234 |
STGI |
|
|
|
||||
|
|
||||
|
Clearing Broker Identifiers |
Executing Broker Identifiers |
|||
|
Alpha |
Numeric |
Alpha |
Numeric |
|
|
Executing Broker Name Change, Effective First Trade Date, August 25, 2004: |
|
|||
|
From: Corp-Fin.Com, Inc. |
BHCS |
0632 |
CPFN |
|
|
To: JPC Capital Partners, Inc. |
BHCS |
0632 |
CPFN |
|
|
|
||||
|
From: First Heritage Corporation |
LARK |
0371 |
FHCF |
|
|
To: The Truman Group Inc. |
LARK |
0371 |
FHCF |
|
|
|
||||
|
From: Kona Financial Incorporated |
REFC |
0116 |
KONR |
|
|
To: Advanz Securities, Inc. |
REFC |
0116 |
KONR |
|
If you have any questions regarding this notice, please contact Frank DeRiso at (212) 855-4941 or Miriam Santiago at (212) 855-4947.