| A# |
5892 |
| P&S #: |
5462 |
| DATE: |
September 3, 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 |
ˇ The following Data Services Only member will begin participation in the Fund/SERV service (external settlement only), as detailed below:
First Trade Date, September 2, 2004:
WRP Investments, Inc. No. 4312
ˇ An additional number has been assigned to UMB Distribution Services, LLC (#5774) for the purpose of utilizing the Fund/SERV, Networking, ACATS Fund/SERV and Commission Settlement services, as detailed below:
First Trade Date, September 2, 2004:
UMB Distribution Services, LLC/Marshall Funds No. 6561
Networking Code: D7
Contact: Valerie Michalski
Phone: (414) 221-6191
ˇ An additional number has been assigned to PFPC Distributors, Inc. (#6658) for the purpose of utilizing the Fund/SERV & Networking service, as detailed below:
First Trade Date, September 15, 2004:
PFPC Distributors, Inc./Blackrock Bond Allocation Target Shares No. 4868
Networking Code: N1
Contact: Eileen Gilfedder
Phone: (508) 871-3725
ˇ The following firm will begin participation in the Commission Settlement service, as detailed below:
First Trade Date, September 1, 2004:
Bisys Fund Services, LP/New Covenant Funds No. 6536
ˇ The following firms will begin participation in the ACATS Fund/SERV service, as detailed below:
First Trade Date, September 3, 2004:
Citco Mutual Fund Distributors, Inc. No. 4885
Citco Mutual Fund Distributors, Inc./Henssler Equity Fund No. 6550
ˇ The following firms will begin participation in the Commission Settlement and ACATS Fund/SERV services, as detailed below:
First Trade Date, September 3, 2004:
Citco Mutual Fund Distributors, Inc./CRA Fund No. 5748
Citco Mutual Fund Distributors, Inc./Penn Street Fund No. 6568
Citco Mutual Fund Distributors, Inc./Memorial Funds No. 6697
ˇ The following firm will begin participation in the AMEX Listed Comparison service, as detailed below:
First Trade Date, September 7, 2004:
Albert Fried & Company, LLC No. 0284
Listed Alpha Identifier AF
ˇ The following firms will change their names only, as detailed below:
First Trade Date, September 1, 2004:
From: Safeco Life Insurance Company No. 4609
To: Symetra Life Insurance Company No. 4609
First Trade Date, September 3, 2004:
From: Pimco Advisors Distributors LLC/Global Investors Series PLC No. 4836
To: PA Distributors LLC/Global Investors Series PLC No. 4836
From: Pimco Advisors Distributors LLC/Pimco Institutional Funds No. 4991
To: PA Distributors LLC/Pimco Institutional Funds No. 4991
From: Pimco Advisors Distributors LLC/Pimco Premier No. 5482
To: PA Distributors LLC/Pimco Premier No. 5482
From: Pimco Advisors Distributors LLC No. 5554
To: PA Distributors LLC No. 5554
From: Pimco Advisors Distributors LLC/College Access Plan No. 5579
To: PA Distributors LLC/College Access Plan No. 5579
From: Pimco Advisors Distributors LLC/Pimco Advisory Services No. 5784
To: PA Distributors LLC/Pimco Advisory Services No. 5784
ˇ The following firms will retire from all services, as detailed below:
Last Trade Date, September 1, 2004:
Security Capital Markets Group Inc. No. 5451
Last Trade Date, September 13, 2004:
Bisys Fund Services, L.P./Eureka Funds No. 5730
ˇ 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 |
|
| Add First Trade Date, August 31, 2004: |
|
|||
| Iron Capital Markets, Inc. |
SALI |
0750 |
IRON |
|
| |
||||
| Add First Trade Date, September 1, 2004: |
|
|||
| CHK Global Securities |
NACI |
0297 |
CHKG |
|
| Greenwich Financial Services, LLC |
MLCO |
0161 |
GFSL |
|
| Greenwood Securities, Inc. |
NACI |
0297 |
GWSI |
|
| Investprivate, Inc. |
NACI |
0297 |
IPRV |
|
| Murphy Van Securities, Inc. |
NACI |
0297 |
MVSI |
|
| Pickering Energy Partners, Inc. |
BSSC |
0352 |
PICK |
|
| US Euro Securities, Inc. |
NACI |
0297 |
POOL |
|
| Wescom Financial Services |
PERS |
0443 |
WCOM |
|
| West Park Capital, Inc. |
NACI |
0297 |
WWPC |
|
| |
||||
| Clearing Broker Change, Effective First Trade Date, September 1, 2004: |
|
|||
| From: Benson York Group, Inc. |
JBOC |
8273 |
BENY |
|
| To: Benson York Group, Inc. |
NACI |
0297 |
BENY |
|
| |
||||
| From: Citadel Securities Corp. |
JBOC |
8273 |
CDEL |
|
| To: Citadel Securities Corp. |
NACI |
0297 |
CDEL |
|
| |
||||
| From: International Business Securities, Inc. |
JBOC |
8273 |
IBSI |
|
| To: International Business Securities, Inc. |
NACI |
0297 |
IBSI |
|
| |
||||
| From: Integrity Securities, Inc. |
JBOC |
8273 |
INTE |
|
| To: Integrity Securities, Inc. |
NACI |
0297 |
INTE |
|
| |
||||
| From: Itradedirect.com Corp. |
JBOC |
8273 |
ITDC |
|
| To: Itradedirect.com Corp. |
NACI |
0297 |
ITDC |
|
| |
||||
| From: Milestone Group Management LLC |
JBOC |
8273 |
MGML |
|
| To: Milestone Group Management LLC |
NACI |
0297 |
MGML |
|
| |
||||
| From: Marino Capital Partners |
JBOC |
8273 |
NTCP |
|
| To: Marino Capital Partners |
NACI |
0297 |
NTCP |
|
| |
||||
| Executing Broker Name Change, Effective First Trade Date, September 1, 2004: |
|
|||
| From: Attkisson, Carter & Company, Inc. |
0235 |
ATCA |
||
| To: Carter, Terry & Company, Inc. |
0235 |
ATCA |
||
ˇ 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, September 2, 2004: |
|
|||||
| Instinet Clearing/OCTEG, L.L.C. |
ICLS |
0004 |
ICOC |
|||
| Index Securities LLC |
ICLS |
0004 |
INDX |
|||
| Smart Execution Securities, LLC |
ICLS |
0004 |
SMEX |
|||
| |
||||||
| Add First Trade Date, September 1, 2004: |
|
|||||
| Golden Beneficial Securities |
NACI |
0297 |
GBSX |
|||
| |
||||||
| Clearing Broker Change, Effective First Trade Date, September 1, 2004: |
|
|||||
| From: World Trade Financial Corporation |
JBOC |
8273 |
WORL |
|||
| To: World Trade Financial Corporation |
NACI |
0297 |
WORL |
|||
ˇ Kindly update the NSCC Directory dated July 9, 2004 (for Municipal Bond Comparison) as detailed below:
| Clearing Broker Identifiers |
Executing Broker Identifiers |
|||
| Alpha |
Numeric |
Alpha |
Numeric |
|
| Add First Trade Date, September 1, 2004: |
|
|||
| World Trade Financial Corporation |
NACI |
0297 |
WORL |
|
The following firm has remitted an executed Retirement Account Transfer Agreement during the week of September 3, 2004:
Quasar Distributors, LLC/Hollencrest Equity Fund No. 4828
Quasar Distributors, LLC/Oster Weis Fund No. 4840
Quasar Distributors, LLC/Hennessy Mutual Funds Inc. No. 4869
Prudent Bear Funds Inc. No. 4907
Quasar Distributors, LLC/Matrix Advisors Value Fund Inc. No. 4908
Quasar Distributors, LLC/IAA Trust No. 4922
Quasar Distributors, LLC/Portfolio 21 No. 4929
Quasar Distributors, LLC/Buffalo Funds No. 4931
Friess Associates Inc. No. 4978
Quasar Distributors, LLC/Muhlenkamp Fund No. 4986
Quasar Distributors, LLC/Al Frank Fund No. 4993
Quasar Distributors, LLC/Segal Bryant & Hamill Mid Cap Fund No. 4994
Quasar Distributors, LLC/Perkins Funds No. 5440
IFS Fund Distributors, Inc./James Advantage Funds No. 5613
Quasar Distributors, LLC/Fund*X Upgrader Fund No. 5666
Quasar Distributors, LLC/Capital Advisor Growth Fund No. 5691
Quasar Distributors, LLC/Edgar Lomas Fund No. 5727
Quasar Distributors, LLC/The Jacobs Fund No. 5765
Quasar Distributors, LLC/Hodges Fund No. 5792
Quasar Distributors, LLC/Mutuals.Com No. 5847
Quasar Distributors, LLC/The Dessauer Global Equity Trust No. 6557
Quasar Distributors, LLC/Duncan Hurst Aggressive Growth Fund No. 6567
Quasar Distributors, LLC/Kinetics Mutual Funds No. 6608
Quasar Distributors, LLC/American Trust Allegiance Fund No. 6638
If you have any questions regarding this notice, please contact Frank DeRiso at (212) 855-4941 or Miriam Santiago at (212) 855-4947.