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Important Notice National Securities Clearing Corporation Important Notice National Securities Clearing Corporation A#: 8555 P&S #: 8130 Date: 05/11/2018 To: ALL PARTICIPANTS OPERATIONS PARTNER/OFFICER; MANAGER P&S DEPARTMENT; CASHIER; Attention: ACATS PARTICIPANTS; FUND/SERV PARTICIPANTS; MUNICIPAL BOND COMPARISON PARTICIPANTS From: ACCOUNT ADMINISTRATION Subject: CHANGES IN THE LIST OF PARTICIPANTS The following item from Important Notice A#8552 (P&S#8127) dated May 4th, 2018 has been cancelled as shown below: • The following firm will retire from all services, as detailed below: Last Trade Date, May 7, 2018 Quasar Distributors, LLC/Alpine Funds No. 5896 • The following firm will retire from all services, as detailed below: Last Trade Date, May 16, 2018: Scottrade, Inc. No. 0705 OTC Alpha Identifier SSIC UIT Alpha Identifier SSIC Corp Alpha Identifier SSIC As a result, effective May 21, 2018 TD Ameritrade Clearing, Inc. (#0188) will assume all open contracts for Scottrade, Inc. (#0705), which are to be cleared or settled through or by National Securities Clearing Corporation. • The following firms will retire from all services, as detailed below: Last Trade Date, May 11, 2018 State Street/ACS/Conagra Foods No. 5100 DTCC offers enhanced access to all important notices via a Web-based subscription service. The notification system leverages RSS Newsfeeds, providing significant benefits including real-time updates and customizable delivery. To learn more and to set up your own DTCC RSS alerts, visit http://www.dtcc.com/rss-feeds.aspx. Non-Confidential DTCC Public (White) Last Trade Date, May 14, 2018 Infinite Financial Solutions, LLC No. 1539 Last Trade Date, May 15, 2018 Foreside Fund Services, LLC/Wright Investor No. 5872 Northern Lights Distributors, LLC/LJM Funds No. 7016 • The following firm will no longer participate in the MF – Daily Price & Rate service, as detailed below: Last Trade Date, May 11 2018: Woodbury Financial Services, Inc. No. 0510 • The following firm will no longer participate in the Invoicing and Fee Settlement: 12B-1 and CDSC service, as detailed below: Last Trade Date, May 11, 2018: Eaton Vance Distributors Inc./Calvert Funds No. 2686 • The following firms will no longer participate in the Fund/SERV service, as detailed below: Last Trade Date, May 11, 2018: Sagepoint Financial, Inc./FA1 No. 0182 Sagepoint Financial, Inc./FA2 No. 0556 FSC Securities Corporation/Advantage Capital Corporation No. 0191 FSC Securities Corporation No. 0169 • The following firms will change their name only, as detailed below: First Trade Date, May 10, 2018: From: RBS Securities Inc. No. 0425 To: Natwest Markets Securities Inc. No. 0425 First Trade Date, May 15, 2018: From: S2K Servicing LLC No. 8062 To: Colony S2K Servicing LLC No. 8062 DTCC Public (White) From: S2K Servicing LLC/Procaccianti Hotel Reit, Inc. No. 7339 To: Colony S2K Servicing LLC/Procaccianti Hotel Reit, Inc. No. 7339 • The following firms will begin participation in the MF – Daily Price and Rate service, as detailed below: First Trade Date, May 15, 2018: Matrix 360 Distributors, LLC/Powell Funds No. 7562 Quasar Distributors, LLC/Aspect Capital Offshore Funds No. 3519 • The following firms will begin participation in the Alternative Investment Products service, as detailed below: First Trade Date, May 11 2018: Entrust Administration, Inc. No. 3415 First Trade Date, May 14, 2018: Great Lakes Fund Solutions, Inc. No. 3879 Great Lakes Fund Solutions, Inc. No. 3880 SS&C Technologies, Inc. No. 9107 U.S. Bancorp Fund Services, LLC No. 9108 Penn Square Real Estate Group, LLC No. 1408 • Updates to the NSCC MPID Directory for OTC, Corporates, Municipals, and UITs, as detailed below: Clearing Executing Products Broker Broker OTC/CMU Alpha Numeric Alpha OTC Corp Muni UIT Clearing Broker Change, Effective First Trade Date, May 10, 2018 From: Electronic Transaction Clearing, Inc. ETDP 3361 ETEG To: Electronic Transaction Clearing, Inc. ETCC 0873 ETEG Clearing Broker Change, Effective First Trade Date, May 10, 2018 From: Electronic Transaction Clearing, Inc. ETDP 3361 ETDB To: Electronic Transaction Clearing, Inc. ETCC 0873 ETDB Clearing Broker Change, Effective First Trade Date, May 10, 2018 From: Electronic Transaction Clearing, Inc. ETDP 3361 ETEQ To: Electronic Transaction Clearing, Inc. ETCC 0873 ETEQ DTCC Public (White) Clearing Broker Change, Effective First Trade Date, May 11, 2018 From: Electronic Transaction Clearing, Inc. ETDP 3361 ETEP To: Electronic Transaction Clearing, Inc. ETCC 0873 ETEP Clearing Broker Change, Effective First Trade Date, May 11, 2018 From: Glendale Securities, Inc. ETCC 0873 GLED To: Glendale Securities, Inc. WDCO 0283 GLED Clearing Broker Change Effective First Trade Date, May 14, 2018 From: G. Research, Inc. PERS 0443 GABE To: G. Research, LLC IBKR 0017 GABE Executing Broker Name Change, Effective First Trade Date, May 10, 2018 From: RBS Securities Inc. RBSG 0425 RBSG To: Natwest Markets Securities Inc. RBSG 042 RBSG Delete Last Trade Date, May 10, 2018 Arxis Securities LLC PRST 0551 ARXP Lightspeed Trading, LLC PRST 0551 GMOR Permac Securities, Inc. PRST 0551 PEMA Quad Securities LLC PRST 0551 QSEC Glendale Securities, Inc. ETCC 0873 GLEE Delete Last Trade Date, May 11, 2018 Drivewealth, LLC IBFS 0824 DRVW Country Club Financial Services, Inc. PERS 0443 CCFS Delete Last Trade Date, May 14, 2018 G. Research, LLC IBKR 0017 GABP Add First Trade Date, May 8, 2018 Harvestons Securities, Inc. WSGD 8199 HARS Add First Trade Date, May 10, 2018 Greensledge Capital Markets LLC PERS 0443 GLCM Electronic Transaction Clearing, Inc. ETCC 0873 ETFB Add First Trade Date, May 11, 2018 Electronic Transaction Clearing, Inc. ETCC 0873 ETFD Tullett Prebon Financial Services LLC MLCO 0161 COEX Electronic Transaction Clearing, Inc. ETCC 0873 ETEV If you have any questions regarding this notice, please E-mail [email protected]. DTCC Public (White).
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