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96-88 SOES Tier Levels Set To Change January 2, 1997

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SUGGESTED ROUTING

Legal & Compliance
Operations
Systems
Trading

Executive Summary

Effective January 2, 1997, tier sizes for 762 Nasdaq National Market® securities will be revised in accordance with NASD Rule 4710(g).

For more information, please contact Nasdaq Market Operations at (203) 378-0284.

Description

Under Rule 4710, the maximum Small Order Execution System (SOES) order size for a Nasdaq National Market security is 1,000, 500, or 200 shares depending on the trading characteristics of the security. The maximum SOESSM order size for a Nasdaq National Market security also corresponds to the minimum quote size requirement for Nasdaq® market makers in that security [NASD Rule 4613(a)(2)]. The Nasdaq Workstation IIindicates the minimum quote size requirement for each Nasdaq National Market security in its bid/offer quotation display. The indicator "NM10," "NM5," or "NM2" is displayed to the right of the security name, corresponding to a minimum-size display of 1,000, 500, or 200 shares, respectively.

The criteria for establishing SOES tier sizes are as follows:

  • A 1,000-share tier size was applied to those Nasdaq National Market securities that had an average daily non-block volume of 3,000 shares or more a day, a bid price that was less than or equal to $100, and three or more market makers.

  • A 500-share tier size was applied to those Nasdaq National Market securities that had an average daily nonblock volume of 1,000 shares or more a day, a bid price that was less than or equal to $150, and two or more market makers.

  • A 200-share tier size was applied to those Nasdaq National Market securities that had an average daily nonblock volume of less than 1,000 shares a day, a bid price that was less than or equal to $250, and less than two market makers.

In accordance with Rule 4710, Nasdaq periodically reviews the SOES tier size applicable to each Nasdaq National Market security to determine if the trading characteristics of the issue have changed so as to warrant a tier size adjustment. Such a review was conducted using data as of September 30, 1996, pursuant to the aforementioned standards. The SOES tier-size changes called for by this review are being implemented with three exceptions.

  • First, issues were not permitted to move more than one tier-size level. For example, if an issue was previously categorized in the 1,000-share tier, it would not be permitted to move to the 200-share tier, even if the formula calculated that such a move was warranted. The issue could move only one level to the 500-share tier as a result of any single review. In adopting this policy, the NASD was attempting to maintain adequate public investor access to the market for issues in which the tier-size level decreased and to help ensure the ongoing participation of market makers in SOES for issues in which the tier-size level increased.
  • Second, for securities priced below $1 where the reranking called for a reduction in tier size, the tier size was not reduced.
  • Third, for the top 50 Nasdaq securities based on market capitalization, the SOES tier sizes were not reduced regardless of whether the reranking called for a tier-size reduction.

In addition, with respect to initial public offerings (IPOs), the SOES tier-size reranking procedures provide that a security must first be traded on Nasdaq for at least 45 days before it is eligible to be reclassified.

Thus, IPOs listed on Nasdaq within the 45 days prior to September 30, 1996, were not subjected to the SOES tier-size review.

Following is a listing of the 762 Nasdaq National Market issues that will require a SOES tier-level change on January 2, 1997.



Nasdaq National Market SOES Tier-Size Changes

All Issues In Alphabetical Order By Security Name

(Effective January 2, 1997)

Symbol Company Name Old Tier Level New Tier Level
HHHH 4HEALTH INC 200 500
HHHHW 4HEALTH INC WT 200 500
A      
ABCB ABC BANCORP 1,000 500
ACMTA ACMAT CP CL A 500 200
ALZAW ALZA CP WTS 200 500
ANSS AN SYS INC 200 500
ASTSF ASE TEST LTD ORD 200 500
AANB ABIGAIL ADAMS NATL 200 500
ABRI ABRAMS INDS INC 500 200
ACRI ACACIA RESEARCH CORP 200 500
ACCI ACC CONSUMER FIN CP 200 500
ACMI ACCUMED INTL INC 500 1,000
ACMIW ACCUMED INTL INC WTS 500 1,000
ACEC ACE*COMM CORP 200 500
AAGP ACTIVE APPAREL GROUP 500 1,000
ACRT ACTRADE INTL LTD 500 1,000
ADECY ADECCO SA ADR 500 200
ADTK ADEPT TECH INC 500 1,000
AERL AERIAL COMM INC 500 1,000
AFFI AFFINITY TECH GROUP 500 1,000
AFFX AFFYMETRIX INC 200 500
ATSS AIR-CURE TECH INC 500 1,000
ANSY AIRNET SYSTEMS INC 200 500
ASII AIRPORT SYS INTL INC 1,000 500
AKSY AKSYS LTD 200 500
ALXN ALEXION PHARM INC 500 1,000
ALLE ALLEGIANT BNCP INC 500 200
AORGB ALLEN ORGAN CO B 500 200
ALLIF ALLIANCE COMMUN CP B 200 500
ALLYP ALLIANCE GMNG PFD B 200 500
ALFC ALLIED LIFE FINL CP 1,000 500
ASFN ALLSTATE FINL CP 1,000 500
ALPH ALPHANET SOLUTIONS 500 1,000
AMIE AMBASSADORS INTL INC 1,000 500
ABIGP AMER BNKR INS GR PFD 200 500
AHEPZ AMER HEALTH DEP SHRS 1,000 500
AIFC AMER INDEMNITY FIN 500 200
ALGI AMER LOCKER GROUP 500 200
AMGD AMER VANGUARD CP 1,000 500
BETM AMER WAGERING INC 500 1,000
ADSI AMERICAN DISPOSAL 200 500
ANLG ANALOGY INC 500 1,000
ANLY ANALYSTS INTL CP 500 1,000
ANDE ANDERSONS INC (THE) 500 1,000
ADRX ANDRX CP 500 1,000
ANST ANSOFT CP 500 1,000
AMSI APACHE MEDICAL SYS 200 500
ARDM ARADIGM CP 200 500
ARGL ARGYLE TELEVISION A 1,000 500
ARKR ARK RESTAURANTS CP 1,000 500
ARRO ARROW INTL INC 500 1,000
ARTW ART S WAY MFG CO INC 200 500
AVEI ARTERIAL VASCULAR 500 1,000
ARTNA ARTESIAN RES CP A 200 500
ASAM ASAHI/AMERICA INC 500 1,000
ASDV ASPECT DEVELOPMT 200 500
ASBK ASPEN BANCSHARES INC 500 1,000
ATEA ASTEA INTL INC 500 1,000
ATPC ATHEY PRODUCTS CP 1,000 500
ATLB ATLANTIC BK & TR(MA) 500 1,000
AULT AULT INC 500 1,000
ACAM AUTOCAM CP 1,000 500
APCO AUTOMOBILE PROTEC 500 1,000
ATCI AUTONOMOUS TECH CP 500 1,000
AVGN AVIGEN INC 200 500
AWRE AWARE INC 200 500
AXNT AXENT TECH INC 500 1,000
B      
BCBF BCB FIN SVCS CP 500 200
BFSI BFS BANKORP INC 200 500
BHAG BHA GROUP INC S2 1,000 500
PAPA BACK BAY RESTAURANT 1,000 500
BACU BACOU USA INC 500 1,000
BPMI BADGER PAPER MILLS 500 200
BWINB BALDWIN LYONS CL B 1,000 500
BPAO BALDWIN PIANO ORGAN 1,000 500
BGLV BALLY'S GRAND INC 500 200
BGLVW BALLY'S GRAND INC WT 500 200
BTEK BALTEK CP 500 200
BFOH BANCFIRST OHIO CP 500 1,000
BOMS BANCORPSOUTH INC 500 1,000
BMCCP BANDO MCGLOC PFD A 500 200
BCGA BANK CORP OF GEORGIA 200 500
BCOM BANK OF COMMERCE(CA) 1,000 500
BKLA BANK OF LOS ANGELES 200 500
BOYL BANK OF YORBA LINDA 200 500
BPLS BANK PLUS CP 500 1,000
BNKU BANK UNITED CORP 200 500
BANCA BANKATLANTIC BNCP A 500 1,000
BKUNO BANKUNITED FIN PFD 500 200
VSLF BANYAN STRAT FUND II 1,000 500
BBHF BARBERS HAIRSTYLING 500 200
BNTT BARNETT INC 500 1,000
BARR BARRINGER TECH INC 500 1,000
BATSW BATTERIES BATT WTS 500 1,000
BATS BATTERIES BATTERIES 500 1,000
BILL BILLING INFO CONCEPT 200 500
BZET BIOFIELD CP 500 1,000
BTRN BIOTRANSPLANT INC 500 1,000
BLYDY BLYVOOR ADR NEW 200 500
BOLD BOLDER TECH CP 500 1,000
BMTR BONDED MOTORS INC 500 1,000
BCGI BOSTON COMMUN GROUP 200 500
BOXXA BOX ENERGY CP CL A 500 200
BOYD BOYD BROS TRANS INC 500 200
BRBK BRENTON BANKS INC 1,000 500
BRID BRIDGFORD FOODS CP 1,000 500
BVSN BROADVISION INC 200 500
BFPT BROOKS FIBER PPTYS 500 1,000
BMTC BRYN MAWR BK CP 500 200
C      
CBBI CB BANCSHARES INC 500 200
CBHI C BREWER HOMES INC A 1,000 500
CNIT CENIT BNCP INC 500 1,000
CERB CERBCO INC 500 200
CFCI CFC INTL INC 500 1,000
CNBF CNB FINANCIAL CP 500 200
CNWK C NET INC 200 500
CHRI COHR INC 500 1,000
CRAU CR ANTHONY COMPANY 200 500
CSGS CSG SYS INTL INC 500 1,000
CSPI CSP INC 500 200
KDUS CADUS PHARM CORP 200 500
CSTB CALIFORNIA STATE BK 1,000 500
CAMH CAMBRIDGE HEART INC 200 500
CLZRW CANDELA CP WTS 500 200
CANX CANNON EXPRESS INC 500 200
CANNY CANON INC ADR 500 1,000
CNTBY CANTAB PHARM PLC ADR 500 200
CNTL CANTEL INDS INC 1,000 500
CAPF CAPITAL FACTORS HLDG 200 500
CAPS CAPITAL SAV BNCP INC 500 1,000
CPWY CARDIAC PATHWAYS CP 200 500
CGCP CARDIOGENESIS CP 200 500
CTSI CARDIOTHORACIC SYS 500 1,000
CCVD CARDIOVASCULAR DYNMC 200 500
CBNJW CARNEGIE BANCORP WTS 500 1,000
CRSV CARRIAGE SERVICES 200 500
CATB CATSKILL FIN CP 500 1,000
CCCG CCC INFO SVCS GRP 200 500
FLWR CELEBRITY INC 1,000 500
CTBK CENTER BANKS INC 500 200
CFAC CENTRAL FIN ACCEPT 200 500
CNSP CENTRAL SPRINKLER CP 500 1,000
CVBK CENTRAL VA BKSHS INC 500 200
CENX CENTURY ALUMINUM CO 500 1,000
CYFN CENTURY FINANCIAL CP 200 500
CEON CERION TECH INC 200 500
CFMT CFM TECHNOLOGIES INC 200 500
CHLN CHALONE WINE GP LTD 1,000 500
CHANF CHANDLER INS CO LTD 1,000 500
CHNL CHANNELL COML CORP 200 500
CHKPF CHECK POINT SFTWARE 500 1,000
CHERA CHERRY CP CL A 1,000 500
CHERB CHERRY CP CL B 1,000 500
CHRX CHIREX INC 500 1,000
CIMTF CIMATRON ORD SHS 500 1,000
CNMWW CINCINNATI MICRO WTS 1,000 500
CNRMF CINRAM LIMITED 500 200
CICS CITIZENS BKSH INC 1,000 500
CLMT CLAREMONT TECH GP 200 500
TOUR COACH USA INC 500 1,000
CBSAP COASTAL BANC PFD A 500 200
COGNF COGNOS INC 500 1,000
COHR COHERENT INC 500 1,000
WDRY COINMACH LAUNDRY 200 500
CCLR COLLABORATIVE CLIN 200 500
CGPI COLLAGENEX PHARM INC 200 500
CMCO COLUMBUS MCKINNON CP 500 1,000
CFBXZ COMM FIRST DEP SH 500 200
CBNY COMMERCIAL BK OF N Y 500 1,000
CCLWF COMMODORE HLDG WTS 200 500
CCLNF COMMODORE HLDGS LTD 200 500
CFTP COMMUNITY FED BNCP 500 1,000
CSRV COMPUSERV CP 500 1,000
CPLNY CONCORDIA PAPER ADS 500 200
CTWS CONN WATER SVCS INC 500 1,000
CNKT CONNECT INC 200 500
CFIN CONSUMERS FIN CP 500 200
COOP COOPERATIVE BKSHS 1,000 500
DLVRY CORTECS INTL SPO ADR 500 1,000
CRVL CORVEL CP 1,000 500
CPWM COST PLUS INC 500 1,000
CSLI COTTON STATES LIFE 1,000 500
CAFEP COUNTRY STAR PFD A 1,000 500
CREG CRAIG CONSUMER ELECT 200 500
CYCH CYBERCASH INC 500 1,000
CYLK CYLINK CP 500 1,000
CYTC CYTYC CP 500 1,000
D      
SEEDB DEKALB GENET B 500 1,000
DALY DAILEY PETROLEUM 200 500
DASTY DASSAULT SYSTEME ADR 200 500
DDIM DATA DIMENSIONS INC 500 1,000
DMAR DATAMARINE INTL INC 1,000 500
DPSI DAWSON PROD SVCS INC 500 1,000
DOCI DECISIONONE HLDGS CP 500 1,000
DGTC DEL GLOBAL TECH CP 200 500
DLCH DELCHAMPS INC 500 1,000
DGAS DELTA NATURAL GAS 500 1,000
DCBK DESERT COMMUNITY BK 500 200
DTRX DETREX CP 1,000 500
DEVC DEVCON INTL CP 1,000 500
DCRN DIACRIN INC 200 500
DCRNW DIACRIN INC WT 200 500
DHMS DIAMOND HOME SVCS 200 500
DITI DIATIDE INC 200 500
DIGE DIGENE CP 200 500
DVID DIGITAL VIDEO SYSTEM 500 1,000
DVIDW DIGITAL VIDEO WTS A 500 1,000
DVIDZ DIGITAL VIDEO WTS B 500 1,000
DIME DIME COMMUNITY BNCP 200 500
DCTM DOCUMENTUM INC 500 1,000
DRYR DREYERS GRAND ICE 1,000 500
DRLX DRILEX INTL INC 200 500
DPMI DUPONT PHOTOMASKS 200 500
DRRA DURA AUTO SYSTEMS 200 500
DYMX DYNAMEX INC 200 500
DHTI DYNAMIC HEALTHCARE 500 1,000
E      
ELXS ELXSI CP 1,000 500
EMCI EMC INSURANCE GP 1,000 500
EDSE ESELCO INC 500 200
ESSF ESSEF CP 1,000 500
EGRP E*TRADE GROUP INC 200 500
EGLB EAGLE BANCGROUP INC 200 500
ERIV EAGLE RIVER INTERACT 500 1,000
ESTI ECLIPSE SURGICAL TEC 200 500
EDFY EDIFY CP 500 1,000
EMSI EFFECTIVE MGMT SYS 500 1,000
ENBX EINSTEIN/NOAH BAGEL 200 500
ELAMF ELAMEX SA DE CV CL 1 500 1,000
ELSE ELECTRO SENSORS INC 500 200
EHST ELECTRONIC HAIR STYL 200 500
ETCIA ELECTRONIC TELECOM A 500 1,000
ESCP ELECTROSCOPE INC 200 500
ENPT EN POINTE TECH INC 500 1,000
ENEX ENEX RESOURCE CP 1,000 500
ENSY ENSYS ENVIR PROD INC 500 1,000
ENMD ENTREMED INC 200 500
EPMD EP MEDSYSTEMS INC 200 500
EPIC EPIC DESIGN TECH INC 500 1,000
ERGO ERGO SCIENCE CP 500 1,000
ESCA ESCALADE INC 500 1,000
EMED EUROMED INC 500 1,000
EVAN EVANS INC 1,000 500
EXAC EXACTECH INC 200 500
XCIT EXCITE INC 500 1,000
F      
FMBN F & M BANCORP (MD) 1,000 500
FCNB FCNB CP 1,000 500
FDPC FDPCP 1,000 500
FMCO FMS FINANCIAL CP 500 200
FRPP FRP PROPERTIES INC 500 200
FRLN FARALLON COMMUN INC 200 500
FARM FARMER BROTHERS CO 500 200
FOBC FED ONE BANCORP INC 500 1,000
FFFL FIDELITY FED SAV(FL) 500 1,000
FFOH FIDELITY FIN OF OHIO 500 1,000
LION FIDELITY NATL CP 500 200
FINE FINE HOST CP 200 500
FACO FIRST ALLIANCE CP 200 500
FBNC FIRST BANCP TROY NC 200 500
FBCG FIRST BKG CO SE GA 500 200
FCNCA FIRST CITIZENS CL A 1,000 500
FENT FIRST ENTERPRISE FIN 200 500
FFBH FIRST FED BCSHS ARK 500 1,000
FFBG FIRST FED SVGS BK GA 500 200
FGHC FIRST GEORG HLDGS 500 200
FSPG FIRST HOME BNCP INC 500 200
CASH FIRST MIDWST FIN INC 500 200
FMOR FIRST MTGE CP 200 500
FMSB FIRST MUTUAL SAV BK 500 200
FPBK FIRST PATRIOT BKSR 500 1,000
FRBK FIRST REPUBLIC BNCP 500 1,000
FSNJ FIRST SAV BK OF NJ 500 200
FSTH FIRST SO BCSHS INC 1,000 500
UNTD FIRST UNITED BCSHS 500 200
FLML FLAMEL TECH SA ADR 200 500
FAME FLAMEMASTER CP THE 500 200
FLDR FLANDERS CORP 500 1,000
FSOLF FORASOL-FORAMER N V 500 1,000
FTIC FORENSIC TECH INTL 500 1,000
FRTE FORTE SOFTWARE INC 500 1,000
FRTG FORTRESS GROUP INC 200 500
FUSA FOTOBALL USA INC 500 1,000
FUSAW FOTOBALL USA INC WTS 500 1,000
FPIC FPIC INSURANCE GROUP 200 500
FELE FRANKLIN ELEC INC 500 1,000
FSON FUSION MEDICAL TECH 200 500
FXEN FX ENERGY INC 500 1,000
G      
GKNS G K N HOLDING CP 200 500
GSES G S E SYSTEMS INC 1,000 500
GGEN GALAGEN INC 500 1,000
GBOT GARDEN BOTANIKA INC 200 500
GDSC GATEWAY DATA SCI CP 500 1,000
GCABY GEN CABLE PLC ADR 500 1,000
GMCC GEN MAGNAPLATE CP 500 200
GSII GEN SURGICAL INN 500 1,000
GNWR GENESEE & WYOMING A 200 500
GENBB GENESEE CP B 500 200
GENXY GENSET ADR 200 500
GGIT GEOGRAPHICS INC 500 1,000
BOTX GEORGIA BONDED FIBER 500 200
GSCI GEOSCIENCE CP 200 500
GERN GERON CORP 200 500
GETTY GETTY COMMUN ADR 200 500
JACK GOLDEN BEAR GOLF 200 500
GPLB GRAND PRIX ASSOC LB 200 500
GTPS GREAT AMER BNCP INC 500 1,000
GSFC GREEN STREET FIN CP 500 1,000
GASIB GREENWICH AIR SVCS B 500 1,000
GBCOA GREIF BROS CP CL A 500 1,000
GSOF GROUP I SOFTWARE INC 200 500
GUMM GUMTECH INTL INC 500 1,000
H      
HFFC H F FINANCIAL CP 1,000 500
HMII H M I INDUSTRIES INC 500 1,000
HMTT H M T TECHNOLOGY CP 500 1,000
HPSC H P S C INC 1,000 500
HDVS H. D. VEST INC 500 1,000
HAMP HAMPSHIRE GROUP LTD 1,000 500
HWKN HAWKINS CHEMICAL INC 500 1,000
HAYS HAYES WHEELS INTL 200 500
HCOR HEALTHCOR HLDGS INC 200 500
HDIE HEALTHDYNE INFO ENTR 500 1,000
HPRT HEARTPORT INC 500 1,000
HECHB HECHINGER CO CL B 1,000 500
HELI HELISYS INC 500 1,000
HBCI HERITAGE BANCORP INC 500 200
HERS HERITAGE FINL SVC IL 500 1,000
HTCO HICKORY TECH CP 500 200
HBNK HIGHLAND FEDERAL BK 1,000 500
HIFS HINGHAM INSTI SAVING 500 200
HPRKZ HOLLYWOOD PK DEP SHS 1,000 500
HLMS HOLMES PROTECTION GP 500 1,000
HOLO HOLOPAK TECHS INC 500 1,000
HBENB HOME BENEFICIAL CP B 500 1,000
HOMF HOME FEDERAL BANCORP 500 1,000
HPBC HOME PORT BNCP INC 500 1,000
HMCI HOMECORP INC 500 200
HMHM HORIZON MENTAL HLTH 500 1,000
HPIP HOUGHTEN PHARM INC 500 1,000
HFAB HOUSE OF FABRICS 200 500
HSCL HOUSECALL MED RES 500 1,000
HUBG HUB GROUP INC A 500 1,000
HMAR HVIDE MARINE INC 500 1,000
I      
ICOCZ ICO INC DEP SHR 500 200
ICTG ICT GROUP INC 200 500
ICTSF ICTS INTL NV 200 500
IDTC IDT CORP 500 1,000
IPSCF IPSCO INC 500 200
ICOR ISOCOR 500 1,000
ITWO I2 TECHNLOGIES 500 1,000
IGYN IMAGYN MEDICAL INC 200 500
IMCC IMC MORTGAGE CO 200 500
IMPH IMPATH INC 500 1,000
IGPFF IMPERIAL GINSENG PRO 1,000 500
ISTR INCSTAR CP 200 500
IBNJ NDEPENDENCE BNCP NJ 500 1,000
INHO INDEPENDENCE HLDG CO 1,000 500
INDV INDIVIDUAL INC 500 1,000
INFO INFONAUTICS INC A 500 1,000
SEEK INFOSEEK CP 200 500
INLD INLAND CASINO CP 200 500
ISER INNOSERV TECH INC 1,000 500
IIII INNOTECH INC 500 1,000
IDEA INNOVASIVE DEVICES 200 500
INSL INSILCO CP 1,000 500
NTEG INTEG INC 200 500
IPAC INTEGRATED PACKAGING 500 1,000
ISCG INTEGRATED SYS CONSL 500 1,000
IMII INTELLIGENT MED IMAG 500 1,000
ITRC INTERCARDIA INC 500 1,000
INLK INTERLINK COM SCIENC 200 500
IVBK INTERVISUAL BOOKS 1,000 500
INDQB INTL DAIRY QUEEN B 500 200
IPCRF IPC HOLDINGS LTD 500 1,000
IRIX IRIDEX CP 500 1,000
ISKO ISCO INC 1,000 500
IIXC IXC COMMUNICATION 200 500
J      
JPMC JPM CO (THE) 500 1,000
JXVL JACKSONVILLE BANCORP 500 1,000
JANNF JANNOCK LIMITED 200 500
JDAS JDA SOFTWARE GRP INC 500 1,000
JSBA JEFFERSON SAV BNCP 1,000 500
K      
KLLM KLLM TRANSPORT SV 1,000 500
KVHI KVH INDS INC 500 1,000
KTEL K-TEL INTL INC 1,000 500
KARR KARRINGTON HEALTH 200 500
KASH KASH N KARRY FOOD ST 500 1,000
KATC KATZ DIGITAL TECH 500 1,000
KAYE KAYE GROUP INC 500 200
KTCO KENAN TRANSPORT CO 500 200
KWIC KENNEDY-WILSON INTL 500 200
KNTK KENTEK INFO SYS INC 500 1,000
KERA KERAVISION INC 1,000 500
KEQU KEWAUNEE SCIENTIFIC 500 1,000
KEYS KEYSTONE AUTOMTV IND 200 500
KLRT KLEINERTS INC 500 200
KRON KRONOS INC 500 1,000
KRUG KRUG INTL CP 1,000 500
KLIC KULICKE AND SOFFA 500 1,000
KLOCZ KUSHNER-LOCK WT C 200 500
L      
LATS LAT SPORTSWEAR INC 1,000 500
KNICW LL KNICKBKR CO WTS 500 200
LXBK LSB BANCSHARES NC 500 200
LXEI LXE INC 1,000 500
LBOR LABOR READY INC 200 500
LAMR LAMAR ADVERTISING A 200 500
LNDC LANDEC CP 500 1,000
LANV LANVISION SYS INC 500 1,000
LASRF LASER INDUSTRIES LTD 200 500
LVCI LASER VISION CTRS 500 1,000
LASE LASERSIGHT INC 500 1,000
CHAIZ LIFE MED SCI WTS B 500 1,000
LNDL LINDAL CEDAR HOMES 1,000 500
MALT LION BREWERY INC THE 500 1,000
LFUSW LITTELFUSE INC WTS 500 200
LIVE LIVE ENTERTAIN INC 500 1,000
LOEH LOEHMANN'S INC 500 1,000
LOFSY LONDON & OVERSEA ADR 500 200
LONDY LONDON INTL PLC ADR 500 200
LSBI LSB FINANCIAL CP 500 200
LCOS LYCOS INC 500 1,000
M      
MARC MARC INC 1,000 500
MBLF MBLA FINL CORP 500 200
MCICP MCI CAP 1 A QUIPS 200 500
MFSTP MFS COMMUN DEP SHS 1,000 500
MIMS MIM CORPORATION 200 500
FLSHF M-SYS FLASH DISK LTD 500 1,000
MWAV M-WAVE INC 1,000 500
MACD MACDERMID INC 500 200
MXICY MACRONIX INTL CO ADR 500 1,000
MTCC MAGNETIC TECH CP 500 200
MCSX MANAGED CARE SOLU 500 1,000
MAKL MARKEL CP 500 1,000
MRKR MARKER INTERNATIONAL 500 1,000
MFAC MARKET FACTS INC 500 200
MFCX MARSHALLTOWN FIN CP 200 500
MRTN MARTEN TRANSPORT LTD 500 200
MATR MATRIA HEALTHCARE 500 1,000
MTSN MATTSON TECH INC 200 500
SPEH MAY & SPEH INC 500 1,000
MOIL MAYNARD OIL CO 1,000 500
MCLD CLEOD INC CL A 200 500
MBRK MEADOWBROOK REHAB A 500 200
MECH MECHANICS SAV BK 200 500
TAXI MEDALLION FIN CP 200 500
MGCC MEDICAL GRAPHICS CP 1,000 500
MDKI MEDICORE INC 200 500
MECS MEDICUS SYSTEMS CP 500 1,000
MEDQ MEDQUIST INC 200 500
MTEC MERIDIAN MED TECH 1,000 500
MRET MERIT HOLDING CP 500 1,000
MTWKF METROWERKS CORP 200 500
MINT MICRO-INTEGRATION CP 1,000 500
MCDE MICROCIDE PHARM INC 500 1,000
MWAR MICROWARE SYS CP 500 1,000
MIAMP MID AM CUM CNV PFD A 500 200
MCBS MID CONT BCSHS INC 1,000 500
MSADY MID-STATES ADR 500 200
MLNM MILLENNIUM PHARM INC 500 1,000
MFFC MILTON FED FINL CP 1,000 500
MSPG MINDSPRING ENTER INC 500 1,000
MNES MINE SAFETY APPLS CO 1,000 500
MMAN MINUTEMAN INTL INC 500 200
MIZR MIZAR INC 500 1,000
MCRI MONARCH CASINO 500 1,000
MOYC MOYCO TECH INC 1,000 500
MUEL MUELLER PAUL CO 500 200
LABL MULTI COLOR CP 1,000 500
MZON MULTIPLE ZONES INTL 200 500
N      
NSCC N S C CORPORATION 1,000 500
NPRO NAPRO BIOTHERAPEUTIC 500 1,000
NCBE NATL CITY BANCSHARES 500 1,000
NCBM NATL CITY BNCP 1,000 500
NAIG NATL INSURANCE GP 1,000 500
NPBC NATL PENN BSCHS INC 1,000 500
NTEC NEOSE TECH INC 500 1,000
NTAP NETWORK APPLIANCE CP 500 1,000
NBIX NEUROCRINE BIOSCI 200 500
NHTB NEW HAMPSHIRE THRIFT 500 1,000
NFSL NEWNAN HOLDINGS INC 200 500
NEDI NOBEL EDUCA DYN INC 500 1,000
NRTI NOONEY REALTY TRUST 200 500
NRLD NORLAND MED SYS INC 500 1,000
NSYS NORTECH SYSTEMS INC 1,000 500
TNFI NORTH FACE INC (THE) 200 500
NSRU NORTH STAR UNIVERSAL 1,000 500
NEIB NORTHEAST IND BNCP 500 1,000
NMTXW NOVAMETRIX MED WTS A 500 1,000
NOVT NOVOSTE CP 200 500
NUCM NUCLEAR METALS INC 500 200
NUKO NUKO INFO SYS INC 200 500
O      
OSBF O S B FINANCIAL CP 500 200
OCIS OACIS HLTHCR HLDG 200 500
OAKF OAK HILL FIN INC 1,000 500
ODIS OBJECT DESIGN INC 200 500
OCAL OCAL INC 500 1,000
OCFC OCEAN FINANCIAL CORP 200 500
ODETB ODETICS INC CL B 500 200
ODFL OLD DOMINION FREIGHT 1,000 500
ONBKP ONBANCORP SER B PFD 1,000 500
OWAV ONEWAVE INC 200 500
ONYX ONYX ACCEPTANCE CP 500 1,000
ONXX ONYX PHARM INC 500 1,000
OMKT OPEN MARKET INC 200 500
PLAN OPEN PLAN SYS INC 200 500
OPVN OPENVISION TECH INC 500 1,000
OPTT OPTEK TECHNOLOGY INC 500 1,000
OPTK OPTIKA IMAGING SYS 200 500
OCAD ORCAD INC 500 1,000
OROA OROAMERICA INC 1,000 500
OSIA OUTDOOR SYSTEMS INC 500 1,000
OXGN OXIGENE INC 500 1,000
OXGNW OXIGENE INC WTS 500 1,000
OZEMY OZEMAIL LTD ADR 1,000 500
P      
PCDI PCD INC 500 1,000
PCTHW PCT HLDGS WTS 500 1,000
PCTH PCT HOLDINGS 500 1,000
PDSF PDS FINANCIAL CP 500 1,000
PFFB PFF BANCORP INC 500 1,000
PFINA PF INDS INC A 1,000 500
PSNRY P T PASIFIK SATL ADR 500 1,000
PCCI PACIFIC CREST CAP 1,000 500
PGEX PACIFIC GATEWAY EXCH 200 500
PAMM PACIFICAMERICA MONEY 200 500
PMWI PAGEMART WIRELESS A 200 500
PALM PALFED INC 500 1,000
PVAT PARAVANT COMP SYS 200 500
PVATW PARAVANT COMP WTS 200 500
PBFI PARIS CORP 1,000 500
PFED PARK BANCORP INC 200 500
PVSA PARKVALE FINL CP 1,000 500
PCTY PARTY CITY CP 500 1,000
DOCSF PC DOCS GROUP INTL 500 1,000
PMFG PEERLESS MFG CO 500 1,000
PEGA PEGASYSTEMS INC 200 500
PNNW PENNICHUCK CP 500 200
SPWY PENSKE MOTORSPORTS 500 1,000
PPLS PEOPLES BK CP OF IND 1,000 500
PBNB PEOPLES SAV FINL CP 500 1,000
TPMI PERSONNEL MGMT INC 1,000 500
PSALY PETROLEUM SEC ADR 500 1,000
PMORW PHAR-MOR INC WTS 500 200
PPRT PHARMAPRINT INC 200 500
PHXX PHOENIX INTL LTD 200 500
PHOC PHOTO CONTROL CP 500 200
PTRN PHOTRAN CP 200 500
PHSS PHYSICIAN SUPPORT SY 500 1,000
PHYX PHYSIOMETRIX INC 500 1,000
PIAM PIA MERCH SVCS INC 500 1,000
PCTL PICTURETEL CP 500 1,000
PIFI PIEMONTE FOODS INC 500 200
PNFI PINNACLE FINL SVCS 500 1,000
PHFC PITTSBURGH HOME FIN 500 1,000
PHII PLANET HOLLYWOOD A 500 1,000
PLNSY PLANNING SCIENCE ADR 500 1,000
PTET PLATINUM ENTERTAIN 500 1,000
PBYP PLAY BY PLAY TOYS 1,000 500
POBR POE & BROWN INC 1,000 500
PLCM POLYCOM INC 500 1,000
PCRV POWERCERV CP 500 1,000
PGTZ PRAEGITZER INDS INC 500 1,000
PRRC PRECISION RESPONSE 200 500
PFNT PREFERRED NETWORKS 500 1,000
PBKC PREMIER BKSHS 500 200
PFBI PREMIER FIN BNCP INC 200 500
PARK PREMIER PARKS INC 200 500
PRNI PREMIERE RADIO NETWK 500 1,000
PTEK PREMIERE TECH INC 500 1,000
PRST PRESSTEK INC 500 1,000
PRBC PRESTIGE BNCP INC 200 500
PETE PRIMARY BANK 500 1,000
PMSI PRIME MEDICAL INC 500 1,000
PRMEP PRIME RETAIL PFD B 500 1,000
PNBC PRINCETON NATL BNCP 500 200
AFIS PRINTRAK INTL INC 200 500
PRTW PRINTWARE INC 200 500
PRZM PRISM SOLUTIONS 500 1,000
PFACP PRO-FAC COOP PFD A 1,000 500
PSTFY PROFESSIONL STAF ADR 200 500
PRGX PROFIT RECOVERY GRP 500 1,000
PAMC PROVIDENT AMER CP 500 1,000
PROV PROVIDENT FIN HLD 200 500
PILL PROXYMED INC 500 1,000
PCNA PUBLISHING CO OF NA 200 500
PULS PULSE BANCORP INC 1,000 500
PASW PURE ATRIA CP 500 1,000
R      
RHPS R H PHILLIPS INC 500 1,000
RAGS RAG SHOPS INC 1,000 500
RARB RARITAN BANCORP INC 500 200
RGFX RASTER GRAPHICS INC 200 500
RLCO REALCO INC 1,000 500
RECY RECYCLING INDS INC 500 1,000
RWTIP REDWOOD TR PFD B 200 500
REED REEDS JEWELERS INC 500 200
REGI REGISTRY INC (THE) 200 500
REMX REMEDYTEMP INC 200 500
RENN RENAISSANCE CAP GRWT 500 1,000
REPB REPUBLIC BCSHS INC 1,000 500
RENG RESEARCH ENGINEERS 200 500
RESR RESEARCH INC 500 200
RESM RESMED INC 1,000 500
REXI RESOURCE AMER CL A 500 1,000
RBKV RESOURCE BANK 200 500
RTRK RESTRAC INC 200 500
RZYM RIBOZYME PHARM INC 500 1,000
RELL RICHARDSON ELECT LTD 1,000 500
RISC RISCORP INC A 500 1,000
RSGI RIVERSIDE GP INC 200 500
RBDS ROBERDS INC 500 1,000
RUSH RUSH ENTERPRISES INC 200 500
RMOC RUTHERFORD-MORAN OIL 200 500
S      
SDNB SDNB FINANCIAL CP 500 1,000
SITL SITEL CP 500 1,000
SRSL SRS LABS INC 200 500
SSNC SS & C TECH INC 200 500
SBTK SABRATEK CP 200 500
SHCID SALICK HLTH NEW SPL 1,000 500
SAMC SAMSONITE CP 500 1,000
SABB SANTA BARBARA BNCP 500 1,000
SAWS SAWTEK INC 500 1,000
SCHR SCHERER HEALTHCARE 500 200
SEWY SEAWAY FOOD TOWN INC 500 200
SECD SECOND BANCORP INC 500 1,000
SFNB SECURITY FIRST NTWK 200 500
SNFCA SECURITY NATL FINL A 500 200
SEGU SEGUE SOFTWARE INC 500 1,000
SLFX SELFIX INC 1,000 500
SEMX SEMICONDUCTOR PACKG 500 1,000
SENEA SENECA FOODS CP A 500 200
SENEB SENECA FOODS CP B 500 200
SERX SERVICE EXPERTS INC 200 500
SEVN SEVENSON ENVIRONMENT 1,000 500
SMED SHARED MEDICAL SYS 500 1,000
SLFC SHORELINE FIN CP 500 200
SIBI SIBIA NEUROSCIENCES 500 1,000
SEBL SIEBEL SYSTEMS INC 200 500
SIGR SIGNATURE RESORTS 200 500
SGIC SILICON GAMING INC 200 500
SLVR SILVER DINER INC 500 1,000
SIPX SIPEX CP 500 1,000
SMXC SMITHWAY MOTOR XPRES 200 500
SOLR SOLAR-MATES INC 500 1,000
SOLRW SOLAR-MATES INC WTS 500 1,000
SOMR SOMERSET GP INC THE 500 200
SIMAW SONICS & MATERIAL WT 500 1,000
SIMA SONICS & MATERIALS 500 1,000
SRSV SOURCE SERVICES CP 200 500
SFFB SOUTHERN FIN BNCP 500 200
SWPA SOUTHWEST NATL CP 500 200
SIMC SPACETEC IMC CP 500 1,000
SPAN SPAN AMERICA MED SYS 500 1,000
SPEK SPEC S MUSIC INC 1,000 500
SLNK SPECTRALINK CP 500 1,000
SPCH SPORT CHALET INC 1,000 500
SQAI SQUARE INDUSTRIES 500 1,000
STHC STAT HEALTHCARE NEW 500 1,000
STHCW STAT HLTHCR WTS NEW 500 1,000
STEK STECK-VAUGHN PUBLISH 1,000 500
STRC STERILE RECOVERIES 200 500
STMD STORMEDIA INC CL A 500 1,000
SSYS STRATASYS INC 500 1,000
STRA STRAYER EDUCATION 200 500
SLAM SUBURBAN LODGES AMER 200 500
SUBI SUN BANCORP INC 500 200
SUNH SUNDANCE HOMES INC 500 1,000
SUNQ SUNQUEST INFO SYS 200 500
SNRZ SUNRISE ASSISTED LIV 200 500
SUPG SUPERGEN INC 500 1,000
SUPGW SUPERGEN INC WTS 500 1,000
SNTL SUPERIOR NATL INS GP 500 1,000
SUPR SUPERIOR SVCS INC 500 1,000
SPPR SUPERTEL HOSPITALITY 1,000 500
SWMAY SWEDISH MATCH AB ADR 500 1,000
SYKE SYKES ENTERPRISES 500 1,000
NZYM SYNTHETECH INC 500 1,000
T      
TSRI T S R INC 1,000 500
TPNZ TAPPAN ZEE FIN INC 500 1,000
TPACP TCI PAC COM EXCH PFD 200 500
TCDN TECHDYNE INC 500 1,000
TCDNW TECHDYNE INC WTS 500 1,000
TSGIW TECHNOLOGY SVC GP WT 500 1,000
TSGI TECHNOLOGY SVC GRP 500 1,000
TCGX TELCO COMMUN GROUP 200 500
TCOMP TELE COMMUN PFD B 200 500
TCGI TELEPORT COMMUN GR A 200 500
TLSP TELESPECTRUM WRLDWDE 200 500
TTEC TELETECH HLDGS INC 200 500
TDCA THERAPEUTIC DISC A 200 500
TDHC THERMADYNE HLDGS CP 1,000 500
TMXI THERMATRIX INC 200 500
TMSTA THOMASTON MILLS A 500 200
THOR THORATEC LABS CORP 500 1,000
TIMT TITANIUM METALS CP 200 500
TBDI TMBR/SHARP DRILL INC 500 1,000
TKIOY TOKIO MARINE ADR 1,000 500
TCTC TOMPKINS COUNTY TRCO 500 200
TELU TOTAL-TEL USA COMMUN 500 1,000
TRNI TRANS INDS INC 1,000 500
TRCW TRANSCOR WASTE SERV 1,000 500
TSIX TRANSITION SYSTEMS 500 1,000
TRNS TRANSMATION INC 1,000 500
TNZRY TRANZ RAIL HLDGS ADR 200 500
TRVS TRAVIS BOATS & MOTOR 200 500
TMAR TRICO MARINE SVCS 200 500
TRDT TRIDENT INTL INC 500 1,000
TEAL TRITEAL CORPORATION 200 500
THBC TROY HILL BNCP INC 500 1,000
TFCO TUFCO TECHS INC 1,000 500
PYTV TV FILME INC 200 500
U      
UFPT U F P TECH INC 500 1,000
UMBF UMB FIN CP 500 1,000
USNA USA NA INC 500 1,000
USCS USCS INTL INC 200 500
UGLY UGLY DUCKLING CP 200 500
ULTD ULTRADATA CP 500 1,000
UFEM ULTRAFEM INC 500 1,000
UNFY UNIFY CP 200 500
UBSC UNION BKSHS LTD 1,000 500
UPCPO UNION PLANTERS PFD E 500 1,000
UASI UNITED AIR SPEC INC 500 1,000
UBMT UNITED FINANCIAL CP 500 200
UPUP UNITED PAY & UN PROV 200 500
UTVI UNITED TELEVISION 1,000 500
UOUT UNIVERSAL OUTDOOR 200 500
UCOR UROCOR INC 200 500
ULGX UROLOGIX INC 200 500
V      
VDRY VACU DRY CO 500 200
VNTV VANTIVE CP (THE) 500 1,000
VMSI VENTANA MED SYSTEMS 200 500
VRLK VERILINK CP 200 500
VRSA VERSA TECH INC 1,000 500
VSNT VERSANT OBJECT TECH 200 500
VCAM VINCAM GROUP INC THE 500 1,000
VRII VIRUS RESEARCH INST 200 500
VGINF VISIBLE GENETICS 500 1,000
VSGN VISIGENIC SOFTWARE 200 500
W      
WVFC WVS FINANCIAL CP 500 200
WAIN WAINWRIGHT BK TR CO 1,000 500
WSHI WALSH INTL INC 500 1,000
WALS WALSHIRE ASSURANCE 1,000 500
WRNB WARREN BANCP INC 1,000 500
WASH WASHINGTON TRUST 200 500
WATFZ WATERFORD PLC ADR UT 500 200
WYNE WAYNE BANCORP INC 200 500
WCSTF WESCAST INDS INC A 500 1,000
WCBO WEST COAST BNCP ORE 500 1,000
WCEC WEST COAST ENTERTAIN 500 1,000
WOFC WESTERN OHIO FIN 500 1,000
WSTF WESTERN STAFF SVCS 500 1,000
WWCA WESTERN WIRELESS A 200 500
WEYS WEYCO GP INC 500 200
WFRAF WHARF RESOURCES LTD 500 200
WHIT WHITTMAN-HART INC 500 1,000
WKGP WORKGROUP TECH CP 500 1,000
WTLK WORLDTALK COMMUN CP 500 1,000
X      
XVRC XAVIER CORP 200 500
XEIKY XEIKON N V ADR 500 1,000
XYLN XYLAN CP 500 1,000
Y      
YHOO YAHOO INC 500 1,000
YFCB YONKERS FINANCIAL CP 500 1,000
YRKG YORK GRP INC (THE) 500 1,000
YSII YOUTH SVCS INTL INC 500 1,000
Z      
ZSEV Z SEVEN FUND INC THE 500 200
ZHOM ZARING HOMES INC 1,000 500


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