NSCC Important Notice

Important Notice National Securities Clearing Corporation

A#: P&S #: Date: To:

Attention:

From: Subject:

8696 8271

04/05/2019

ALL PARTICIPANTS OPERATIONS PARTNER/OFFICER; MANAGER P&S DEPARTMENT; CASHIER; ACATS PARTICIPANTS; FUND/SERV PARTICIPANTS; MUNICIPAL BOND COMPARISON PARTICIPANTS ACCOUNT ADMINISTRATION

CHANGES IN THE LIST OF PARTICIPANTS

? The following firms will retire from all services, as detailed below: Last Trade Date, April 04, 2019: Matrix 360 Distributors, LLC/Eagle Rock Floating Rate Fund Fidelity Investments Institutional Services Company, Inc./Fidelity Destiny Plans

No. 3146 No. 5713

Last Trade Date, April 05, 2019: Quasar Distributors, LLC/Infusive Funds

No. 8223

? The following firm will no longer participate in the MF ? Profile service, as detailed below:

Last Trade Date, April 05, 2019

Metropolitan Life Insurance Company

No. 5777

? The following firm will begin participation in the MF Daily Price and Rate service, as detailed

below:

First Trade Date, April 08, 2019:

Metropolitan Life Insurance Company

No. 5777

? The following firms will begin participation in the Alternative Investment Products service, as

detailed below:

First Trade Date, April 05, 2019

Opus Fund Services (USA) LLC/Prime Meridian Income Fund LP

No. 4156

Opus Fund Services (USA) LLC/Prime Meridian Special Opportunities Fund, LP No. 4157

Opus Fund Services (USA) LLC/Poise Lending Fund LP

No. 4158

First Trade Date, April 11, 2019 Participant Capital Advisors, LLC

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DTCC Public (White)

No. 4097

Non-Confidential

? The following firm will begin participation in the Insurance Processing services, as detailed below:

First Trade Date, April 04, 2019:

Oxford Life Insurance Company

No. 8036

Updates to the NSCC MPID Directory for OTC, Corporates, Municipals, and UITs, as detailed below:

Delete Last Trade Date, April 04, 2019 Neighborly Securities

Delete Last Trade Date, April 05, 2019 Esposito Securities, LLC Southlake Capital LLC

Add First Trade Date, April 02, 2019 Intercoastal Capital Markets, Inc.

Add First Trade Date, April 03, 2019 Rice Securities, LLC

Add First Trade Date, April 05, 2019 Celadon Financial Group LLC

Add First Trade Date, April 08, 2019 ST Invest LLC Epic Capital Securities

Clearing Broker

Executing Broker

Products OTC/CMU

Alpha Numeric Alpha OTC Corp Muni UIT

SWST 0279

BHSE

PERS SWST

0443 0279

ESPP SLAK

SWST 0279

ICMI

LGNT 0052

RICD

RBCD 0235

CLDN

PFCL SALI

0158 0750

TWIT ECBD

If you have any questions regarding this notice, please E-mail NSCCAA@.

DTCC P2ublic (White)

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