| A# |
5899 |
| P&S #: |
5469 |
| DATE: |
September 17, 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 firm will begin participation in the Fund/SERV service, as detailed below:
First Trade Date, September 14, 2004:
Queens Road Securities, LLC No. 4884
ˇ An additional number has been assigned to Ultimus Fund Distributors, LLC (#5837) for the purpose of utilizing the Fund/SERV, ACATS Fund/SERV and Networking services, as detailed below:
First Trade Date, September 14, 2004:
Ultimus Fund Distributors, LLC/TFS Capital Investment Trust No. 5430
Networking Code: FW
Contact: Wade Bridge
Phone: (513) 587-3406
ˇ The following firms will retire from all services, as detailed below:
Last Trade Date, September 15, 2004:
DBTC Americas-Clearance #2 No. 0927
First Citizens Bank & Trust Company No. 6809
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 |
||
| Delete Last Trade Date, September 14, 2004: |
|
||||
| Green (Thomas) Securities, Inc. |
FCCP |
0141 |
GREN |
||
| |
|||||
| Delete Last Trade Date, September 17, 2004: |
|
||||
| Northland Securities, Inc. |
PERS |
0443 |
NORT |
||
| |
|||||
| Add First Trade Date, September 16, 2004: |
|
||||
| Iron Street Securities, Inc. |
FOMA |
0188 |
ISSI |
||
| |
|||||
| Clearing Broker Change, Effective First Trade Date, September 17, 2004: |
|
||||
| From: Van Eck Capital, Inc. |
ABNA |
0425 |
VECK |
||
| To: Van Eck Capital, Inc. |
MLCO |
0161 |
VECK |
||
| |
|||||
| Clearing Broker Change, Effective First Trade Date, September 20, 2004: |
|
||||
| From: Waxman Securities Inc. |
QRCC |
0158 |
WAXM |
||
| To: Waxman Securities Inc. |
NFSC |
0226 |
WAXM |
||
| |
|||||
| Clearing Broker Change, Effective First Trade Date, September 22, 2004: |
|
||||
| From: Brokersxpress LLC |
LGNT |
0052 |
BRXP |
||
| To: Brokersxpress LLC |
SILK |
0501 |
BRXP |
||
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 15, 2004: |
|
|||
| Instinet Clearing Services, Inc/Northtown Trading |
ICLS |
0004 |
ICNT |
|
| Millennium Brokerage L.L.C. |
ICLS |
0004 |
MLMB |
|
| |
||||
| Add First Trade Date, September 22, 2004: |
|
|||
| Next Generation Equity Research LLC |
JEFF |
0019 |
NGEN |
|
| |
||||
| Clearing Broker Change, Effective First Trade Date, September 22, 2004: |
|
|||
| From: Optionsxpress, Inc. |
LGNT |
0052 |
OXPS |
|
| To: Optionsxpress, Inc. |
SILK |
0501 |
OXPS |
|
| |
||||
| Executing Broker Name Change, Effective First Trade Date, September 15, 2004: |
|
|||
| From: Wien Securities Corp. |
SILK |
0501 |
WIEN |
|
| To: Hudson Securities, Inc. |
SILK |
0501 |
WIEN |
|
| |
||||
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 22, 2004: |
|
|||
| Optionsxpress, Inc. |
SILK |
0501 |
OXPS |
|
| PMB Securities Corp. |
NFSC |
0226 |
PMBS |
|
| |
||||
| Clearing Broker Change, Effective First Trade Date, September 15, 2004: |
|
|||
| From: Stone & Youngberg LLC |
WSPD |
0030 |
STYO |
|
| To: Stone & Youngberg LLC |
PERS |
0443 |
STYO |
|
If you have any questions regarding this notice, please contact Frank DeRiso at (212) 855-4941 or Miriam Santiago at (212) 855-4947.