Notice To Members 92-12

SIPC Trustees Appointed for Two Securities Firms

Published Date:

SUGGESTED ROUTING:*

Senior Management
Legal & Compliance
Municipal
Operations
Systems
*These are suggested departments only. Others may be appropriate for your firm.

On January 30, 1992, the United States District Court for the District of Utah appointed a Securities Investor Protection Corporation (SIPC) trustee for:

San Marino Securities, Inc.
1245 E. Brickyard Road, Suite 140
Salt Lake City, UT 84106.

Questions regarding the firm should be directed to SIPC trustee:

Herschel Saperstein
Watkiss & Compliance Saperstein
310 S. Main Street, Suite 1200
Salt Lake City, UT 84101
(801)363-3300.

On February 3, 1992, the United States District Court for the Eastern District of Tennessee appointed the SIPC trustee for:

The Riverview Corporation
1700 Plaza Tower
Knoxville, TN 37929.

Questions regarding the firm should be directed to SIPC trustee:

Securities Investor Protection Corporation
805 15th Street, NW, Suite 800
Washington, DC 20005-2207
(202)371-8300.

Members may use the "immediate close-out" procedures as provided in Section 59(i) of the NASD's Uniform Practice Code to close out open over-the-counter contracts. Also, Municipal Securities Rulemaking Board Rule G-12(h) provides that members may use the above procedures to close out transactions in municipal securities.