| A# |
5924 |
| P&S #: |
5494 |
| DATE: |
October 29, 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 |
REMINDER
· The following firm will change its OTC Alpha Identifier only, as detailed below:
Effective First Trade Date, November 1, 2004:
From: Archipelago Securities, L.L.C. No. 0436
OTC Alpha Identifier: *ARCA
To: Archipelago Securities, L.L.C. No. 0436
OTC Alpha Identifier: ACRA
· For more details regarding “ARCA”, please see page 3 of this notice.
· The following firm will begin participation in the OTC Comparison, ACATS, RECAPS and the Envelope Settlement services, as detailed below:
First Trade Date, November 1, 2004:
Ontrade, Inc. No. 0641
OTC Alpha Identifier: NTRD
Envelope Location: Y (New York)
· The following firm will begin participation in the Municipal Bond Comparison service, as detailed below:
First Trade Date, November 1, 2004:
AVM, L.P. No. 6704
Muni Alpha Identifier: AVML
· An additional number has been assigned to Quasar Distributors, LLC (#5869) for the purpose of utilizing the Fund/SERV, Networking and ACATS Fund/SERV services, as detailed below:
First Trade Date, November 1, 2004:
Quasar Distributors, LLC/Bridges Investment Fund No. 5531
Networking Code: JV
Contact: Casandra Sauer
Phone: (414) 287-3963
· The following firm will no longer participate in the Networking, Commission Settlement and ACATS Fund/SERV services, as detailed below:
Last Trade Date, October 27, 2004:
Bear Stearns & Co., Inc. No. 5865
· The following firm will retire from all services, as detailed below:
Last Trade Date, October 29, 2004:
Collins & Company, LLC No. 4861
· Kindly update the NSCC Directory dated October 1, 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, October 27, 2004: |
|
|||
| Alerus Securities Corporation |
0235 |
FNBS |
||
| Guzman & Company |
SILK |
0501 |
GMAN |
|
| Greentree Brokerage Services, Inc. |
SWST |
0279 |
GRTR |
|
| Puglisi & Co. |
BSSC |
0352 |
PUGC |
|
| Freimark Blair & Company, Inc. |
REFC |
0116 |
RFBL |
|
| |
||||
| Add First Trade Date, October 29, 2004: |
|
|||
| Coker & Palmer, Inc. |
BOFA |
0773 |
CPPM |
|
| |
||||
| Add First Trade Date, November 1, 2004: |
|
|||
| EarlyBirdCapital, Inc. |
SWST |
0279 |
EBCI |
|
| |
||||
| Clearing Broker Change, Effective First Trade Date, November 3, 2004: |
|
|||
| From: Triad Securities Corp. |
ABNA |
0425 |
TIAD |
|
| To: Triad Securities Corp. |
PERS |
0443 |
TIAD |
|
| |
||||
| Clearing Broker Change, Effective First Trade Date, November 10, 2004: |
|
|||
| From: Fifth Third Securities, Inc. |
BHCS |
0632 |
OHIO |
|
| To: Fifth Third Securities, Inc. |
NFSC |
0226 |
OHIO |
|
· Kindly update the NSCC Directory dated October 1, 2004 (for OTC Executed-By List) as detailed below:
| Clearing Broker Identifiers |
Executing Broker Identifiers |
|||
| Alpha |
Numeric |
Alpha |
Numeric |
|
| Delete Last Trade Date, October 27, 2004: |
|
|||
| Golden Beneficial Securities |
ICLS |
0004 |
GBSC |
|
| Smart Execution Securities, LLC |
ICLS |
0004 |
PTRZ |
|
| |
||||
| Delete Last Trade Date, October 29, 2004: |
|
|||
| Ontrade Inc. |
PFSI |
0234 |
NTRD |
|
| |
||||
| Add First Trade Date, October 27, 2004: |
|
|||
| Evolution Financial Technologies, LLC |
CCLS |
0265 |
EVOF |
|
| |
||||
| Add First Trade Date, October 29, 2004: |
|
|||
| Frost Brokerage Services, Inc. |
NFSC |
0226 |
CUFT |
|
| |
||||
| Add First Trade Date, November 1, 2004: |
|
|||
| *Archipelago Trading Services, Inc. |
ACRA |
0436 |
ARCA |
|
| |
||||
| Add First Trade Date, November 2, 2004: |
|
|||
| CAC Capital Corp |
CCLS |
0265 |
CCIC |
|
| |
||||
| Clearing Broker Change, Effective First Trade Date, October 29, 2004: |
|
|||
| From: Equity Station, Inc. |
ABNA |
0425 |
ESTA |
|
| To: Equity Station, Inc. |
MLCO |
0161 |
ESTA |
|
| |
||||
| From: Firefly Capital, Inc. |
ABNA |
0425 |
FFLY |
|
| To: Firefly Capital, Inc. |
MLCO |
0161 |
FFLY |
|
| |
||||
| Executing Broker Symbol Change, Effective First Trade Date, November 1, 2004: |
|
|||
| From: Deutsche IXE, LLC |
DBAB |
0573 |
NDBC |
|
| To: Deutsche IXE, LLC |
DBAB |
0573 |
DIXE |
|
| |
||||
· Kindly update the NSCC Directory dated October 1, 2004 (for Municipal Bond
Comparison) as detailed below:
| Clearing Broker Identifiers |
Executing Broker Identifiers |
|||
| Alpha |
Numeric |
Alpha |
Numeric |
|
| Add First Trade Date, October 29, 2004: |
|
|||
| Equity Station, Inc. |
MLCO |
0161 |
ESTA |
|
| Firefly Capital, Inc. |
MLCO |
0161 |
FFLY |
|
The following firms have remitted an executed Transfer of Retirement Assets Agreement during the week of October 29, 2004:
Quasar Distributors, LLC/Norcap Funds No. 4899
Quasar Distributors, LLC/Jacob Internet Fund No. 4960
Quasar Distributors, LLC/Rochdale Funds No. 4990
Quasar Distributors, LLC/AIP Alternative Strategies Funds No. 5449
Quasar Distributors, LLC/Cullen Funds No. 5466
Quasar Distributors, LLC/Jensen Portfolio, Inc. No. 5491
Quasar Distributors, LLC/Asset Mark Funds No. 5495
Quasar Distributors, LLC/AHA Investment Funds, Inc. No. 5536
Quasar Distributors, LLC/Dow Jones Islamic Index Fund No. 5566
Quasar Distributors, LLC/Kit Cole Fund No. 5585
Quasar Distributors, LLC/Brazos Mutual Funds No. 5616
Quasar Distributors, LLC/Women’s Equity Mutual Fund No. 5625
Quasar Distributors, LLC/Chase Growth Fund No. 5626
Quasar Distributors, LLC/Guinness Atkinson Funds No. 5754
Quasar Distributors, LLC/PIC Investment Funds No. 5819
Quasar Distributors, LLC/Alpine Equity Funds No. 5896
Quasar Distributors, LLC/Permanent Portfolio No. 6627
Quasar Distributors, LLC/Kensington Funds No. 6639
Quasar Distributors, LLC/Purisma Funds No. 6643
Quasar Distributors, LLC/Julius Baer Funds No. 6675
Quasar Distributors, LLC/Kirr Marbach Partners Fund, Inc. No. 6685
If you have any questions regarding this notice, please contact Frank DeRiso at (212) 855-4941 or Kevin Launer at (212) 855-4132.