Epstein File EFTA01321736: Bear Stearns (DS10)

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Epstein File EFTA01321736: Bear Stearns (DS10)

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This document is a broker/dealer quarterly report dated November 29, 2002, from Bear Stearns Securities Corp. regarding SEC Rule 11Ac1-6 compliance. It introduces a new Multi-Transaction Confirmation process and references an investment firm's relationship with Bear Stearns for routing orders in equity and option securities.

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Bear Stearns

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Excerpt 1

K91 TAXPAYER NUMBER On File LAST STATEMENT November 29, 2002 SEC Rule 11Ac1-6 (Quarterly report) requires broker/dealers that Your Investment Firm and **Bear**

Excerpt 2

**Stearns** are pleased to introduce a route orders in equity and option securities to disclose the identities new Multi-Transaction Confirmation to be rolled

Excerpt 3

End of Statement 027 01/01/03;13:47 001 V639 EFTA_00224926 EFTA01321739 CLEARANCE AGENT **Bear**, **Stearns** Securities Corp.