Important Notice
National Securities Clearing Corporation
A#: 7478
P&S #: 7048
Date: 8/31/2012
To: ALL PARTICIPANTS
OPERATIONS PARTNER/OFFICER; MANAGER P&S DEPARTMENT;
Attention
CASHIER; ACATS PARTICIPANTS; FUND/SERV PARTICIPANTS;
:
MUNICIPAL BOND COMPARISON PARTICIPANTS
From: ADREAN HINOJOSA, ACCOUNT ADMINISTRATION
Subject: CHANGES IN THE LIST OF PARTICIPANTS
• The following firms will retire from all services, as detailed below:
Last Trade Date, August 28, 2012:
AIG Life Insurance Company/In-House No. 4617
Last Trade Date, August 30, 2012:
Foreside Fund Services, LLC/Century Funds No. 5597
Last Trade Date, August 31, 2012:
Foreside Distribution Service, LP/Union Bank of California N.A. Stable No. 4695
• The following firm will no longer participate in the Commission Settlement service, as detailed
below:
Last Trade Date, August 29, 2012:
Quasar Distributors, LLC/Collins Capital Funds No. 3306
• The following firm will change its name only, as detailed below:
First Trade Date, August 31, 2012:
From: AIG Life Insurance Company No. 4537
To: American General Life Insurance Company of Delaware No. 4537
• The following firm will begin participation in the Omni/SERV Activity & Position service, as
detailed below:
First Trade Date, September 4, 2012:
AllianceBernstein Inv Research and Management, Inc./ Sanford C Bern No. 5553
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Non-Confidential
• The following additional number has been assigned to ALPS Distributors, Inc. (#5642) for the
purpose of utilizing Fund/SERV, Networking, Commission Settlement, MF Daily Price and Rate and
ACATS Fund/SERV services, as detailed below:
First Trade Date, August 31, 2012:
ALPS Distributors, Inc./Century Capital Management Trust No. 5597
Networking Symbol: LL
Contact: Bob Carbone
Phone: (207) 347-2044
• The following additional number has been assigned to Quasar Distributors, LLC (#5368) for the
purpose of utilizing Fund/SERV, Networking and ACATS Fund/SERV services, as detailed below:
First Trade Date, September 4, 2012:
Quasar Distributors, LLC/Provident Trust No. 3371
Networking Symbol: GG
Contact: Casey Sauer
Phone: (414) 347-5766
• The following additional number has been assigned to Quasar Distributors, LLC (#5368) for the
purpose of utilizing Fund/SERV, Networking, MF Daily Price and Rate and ACATS Fund/SERV
services, as detailed below:
First Trade Date, September 4, 2012:
Quasar Distributors, LLC/ US Bank Institutional Collective Funds No. 4695
Networking Symbol: TI
Contact: Casey Sauer
Phone: (414) 347-5766
• The following additional number has been assigned to Benefit Trust Company (#0761) for the
purpose of utilizing Fund/SERV and Networking services, as detailed below:
First Trade Date, September 5, 2012:
Benefit Trust Company/DST Squirrel No. 3383
Networking Symbol: L2
Contact: Dave Kenward
Phone: (913) 663-0735
• The following additional number has been assigned to Quasar Distributors, LLC (#5368) for the
purpose of utilizing Fund/SERV, Networking, Commission Settlement and ACATS Fund/SERV
services, as detailed below:
First Trade Date, September 7, 2012:
Quasar Distributors, LLC/Pension Partners Fund No. 3367
Networking Symbol: 9K
Contact: Casey Sauer
Phone: (414) 347-5766
2
• Please update the NSCC Directory dated August 2012 (for OTC Executed-By List and for Municipal
Bond Comparison System) as detailed below:
Clearing Broker Executing Broker
Identifiers Identifiers
Alpha Numeric Alpha Numeric
Delete Last Trade Date, September 28, 2012
Bear Creek Securities, LLC LGNT 0052 BCRK
• Please update the NSCC Directory dated August 2012 (for OTC Executed-By List) as detailed
below:
Clearing Broker Executing Broker
Identifiers Identifiers
Alpha Numeric Alpha Numeric
Executing Broker Name Change Effective
First Trade Date, August 30, 2012
From: Fox River Execution Technology, LLC SILK 0501 FRET
To: Sungard Brokerage & Securities Services, LLC SILK 0501 FRET
Clearing Broker and Executing Broker Name Change
3
Add First Trade Date, August 31, 2012
Electronic Transaction Clearing, Inc. ETCC 0873 ETBC
Electronic Transaction Clearing, Inc. ETCC 0873 ETBF
Add First Trade Date, September 10, 2012
BMA Securities NITC 0295 BMAK
Newedge USA, LLC PCAP 0608 NEPH
• Please update the NSCC Directory dated August 2012 (for Municipal Bond Comparison System) as
detailed below:
Clearing Broker Executing Broker
Identifiers Identifiers
Alpha Numeric Alpha Numeric
Add First Trade Date, September 4, 2012
Canaccord Genuity Inc. BSSC 0352 ADAM
If you have any questions regarding this notice, please E-mail NSCCAA@DTCC.com.
