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97-90 SOES Tier-Size Levels Set To Change January 1, 1998

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Executive Summary

Effective January 1, 1998, tier sizes for 544 Nasdaq National Market® securities will be revised in accordance with National Association of Securities Dealers, Inc. (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 SystemSM (SOESSM) order size for a Nasdaq National Market security is 1,000, 500, or 200 shares depending on the trading characteristics of the security. The Nasdaq Workstation IITM indicates the maximum SOES order size 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 maximum SOES order size 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 two or more 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, 1997, 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, 1997, were not subjected to the SOES tier-size review.

Following is a listing of the 544 Nasdaq National Market issues that will require an SOES tier-level change on January 1, 1998.

Nasdaq National Market SOES Tier-Size Changes
All Issues In Alphabetical Order By Security Name
(Effective January 1, 1998)
Symbol Security Name Old Tier
Level
New Tier Level
A
AANB ABIGAIL ADAMS NATL 1000 500
AASIZ ADVANCED AERO WT B 500 1000
ABFSP ARKANSAS BEST CV P 1000 500
ABSC AURORA BIOSCIENCE 200 500
ACCL ACCELGRAPHICS INC 500 1000
ACLE ACCEL INTL CP 500 1000
ACRN ACORN PRODUCTS INC 200 500
ACSC ADVANCED COMM SYST 200 500
ADLI AMER DENTAL TECHS 500 1000
ADVNZ ADVANTA CP DEP SH 1000 500
AEHR AEHR TEST SYSTEMS 200 500
AFED AFSALA BANCORP INC 500 1000
AFSC ANCHOR FIN CORP 200 500
AHLS A H L SERVCES INC 500 1000
ALGI AMER LOCKER GROUP 200 500
ALLE ALLEGIANT BCP INC 500 1000
ALLS ALLSTAR SYSTEMS IN 200 500
ALRS ALARIS MEDICAL INC 200 500
AMBC AMER BNCP OHIO 200 500
AMBK A M B A N C CP 500 1000
AMCE AMER CLAIMS EVALUA 500 1000
AMGD AMER VANGUARD CP 500 1000
AMIE AMBASSADORS INTL I 500 1000
AMPI AMPLICON INC 200 500
AMTD AMERITRADE HLDG A 500 1000
AMZN AMAZON.COM INC 500 1000
ANAT AMER NATL INS CO 1000 500
ANCOW ANACOMP INC WTS 500 200
APEX APEX PC SOLUTIONS 500 1000
ARIAW ARIAD PHARM INC WT 1000 500
ARMXF ARAMEX INTL LTD 500 1000
ARSC ARIS CORPORATION 200 500
ARTW ART S WAY MFG CO I 500 1000
ASAM ASAHI/AMERICA INC 1000 500
ASBI AMERIANA BANCORP 500 1000
ASBP A S B FINANCIAL CP 500 1000
ASCT ASCENT PEDIATRCS 200 500
ASIS ASI SOLUTIONS INC 500 1000
ATEN AT ENTERTAINMENT I 200 500
ATHM AT HOME CORPORATIO 200 500
ATLPA ATL PRODUCTS CL A 500 1000
AVII ANTIVIRALS INC 200 500
AVIIW ANTIVIRALS INC WTS 200 500
AVTR AVATAR HLDGS INC 1000 500
B
BACU BACOU USA INC 1000 500
BANCP BBC CAPITAL TR I P 500 1000
BCBF B C B FIN SVCS CP 500 1000
BCORY BIACORE INTL AB AD 1000 500
BEAS B E A SYSTEMS INC 500 1000
BEEF WESTERN BEEF INC 1000 500
BEXP BRIGHAM EXPLORATIO 500 1000
BFOH BANCFIRST OHIO CP 1000 500
BGAS BERKSHIRE GAS CO 500 1000
BGLVW BALLY'S GRAND WTS 200 500
BGSS B G S SYSTEMS INC 1000 500
BIGX EXCELSIOR-HENDERSO 200 500
BINX BIONX IMPLANTS INC 500 1000
BKCT BANCORP CONN INC 1000 500
BKUNZ BANKUNITED CAP II 200 500
BLCI BROOKDALE LIVING 500 1000
BMCCP BANDO MCGLOC PFD A 200 500
BNBCP B N B CAP TR PFD 200 500
BNHNA BENIHANA INC A 500 1000
BORAY BORAL LTD ADS 200 500
BOTX BONTEX INC 200 500
BREL BIORELIANCE CORP 200 500
BRZS BRAZOS SPORTSWEAR 500 200
BTBTY B T SHIP SPONSOR A 500 200
BTRN BIOTRANSPLANT INC 200 500
BUCK BUCKHEAD AMERICA C 500 1000
C
CAII CAPITAL ASSOC 500 1000
CAIR CORSAIR COMMUNICAT 200 500
CANX CANNON EXPRESS INC 500 200
CAPS CAPITAL SAV BNCP I 1000 500
CARY CAREY INTL INC 200 500
CASH FIRST MIDWST FIN I 500 1000
CBIV COMMUNITY BANCSHAR 200 500
CBLI CHESAPEAKE BIOLOGI 200 500
CBMD COLUMBIA BANCORP M 500 1000
CBSAP COASTAL BANC PFD A 500 200
CBSL COMPLETE BUSINESS 500 1000
CCOW CAPITAL CP OF WEST 500 1000
CDIR CONCEPTS DIRECT IN 200 500
CDIS CAL DIVE INTL INC 200 500
CDRD C D RADIO INC 500 1000
CDWN COLONIAL DOWNS CL 500 1000
CENI CONESTOGA ENTRPR I 1000 500
CFAM CORPORATEFAMILY SO 200 500
CFBC COMMUNITY FIRST BN 200 500
CFCI C F C INTL INC 1000 500
CFIC COMMUNITY FIN CP 500 1000
CFINP CONSUMERS FIN CP P 500 200
CHKRW CHECKERS DRIVE-IN 200 500
CHNL CHANNELL COML CORP 1000 500
CINS CIRCLE INCOME SHAR 500 1000
CLBK COMMERCIAL BANKSHR 1000 500
CLTDF COMPUTALOG LTD 200 500
CMDAW CAM DESIGNS INC WT 200 500
CMED COLORADO MEDTECH I 500 1000
CMPX C M P MEDIA CL A 200 500
CMRN CAMERON FINANCIAL 1000 500
CNBA CHESTER BANCORP IN 500 1000
CNBF C N B FINANCIAL CP 200 500
CNCX CONCENTRIC NETWORK 200 500
CNGL CONTL NATURAL GAS 200 500
CNTBY CANTAB PHARM PLC A 200 500
COBI COBANCORP INC 1000 500
COOP COOPERATIVE BKSHS 500 1000
COSC COSMETIC CENTER CL 500 1000
COVB COVEST BANCSHARES 500 1000
CRDM CARDIMA INC 200 500
CRESY CRESUD SACIF ADR 500 1000
CRZO CARRIZO OIL & GAS 200 500
CSBI CENTURY SOUTH BKS 500 1000
CSTR COINSTAR INC 200 500
CTBP COAST BANCORP 200 500
CTEN CENTENNIAL HLTHCR 200 500
CTIC CELL THERAPEUTICS 500 1000
CUIS CUISINE SOLUTIONS 1000 500
CVSN CHROMAVISN MED SYS 200 500
D
DAHX DECRANE AIRCRAFT 500 1000
DENHY DENISON INTL ADR 200 500
DLTK DELTEK SYSTEMS INC 500 1000
DNCC DUNN COMPUTER CORP 500 1000
DNFCP D & N CAP CORP PFD 200 500
DOCDF DOCDATA NV 500 1000
DOMZ DOMINGUEZ SVCS CP 200 500
DRYR DREYERS GRAND ICE 1000 500
DSGIF D S G INTL LTD ORD 1000 500
DSIT D S I TOYS INC 200 500
DTMC D T M CORP 500 1000
DTPI DIAMOND TECH PTNRS 500 1000
E
EACO E A ENGRG SCI TECH 500 1000
ECSI ENDOCARDIAL SOLUTI 500 1000
EDAPY EDAP TMS SA ADR 200 500
EEFT EURONET SVCS INC 500 1000
EFBI ENTERPRISE FED BNC 500 1000
EGEO EAGLE GEOPHYSICAL 200 500
EGHT 8 X 8 INC 200 500
EGLB EAGLE BANCGROUP IN 500 1000
EIRE EMERALD ISLE BANCO 500 1000
ELET ELLETT BROTHERS IN 1000 500
ELRWF ELRON ELEC INDS WT 200 500
ELSE ELECTRO SENSORS IN 200 500
EMKR EMCORE CORP 500 1000
EMSI EFFECTIVE MGMT SYS 500 1000
ENEX ENEX RESOURCE CP 500 1000
ENMC ENCORE MEDICAL COR 500 1000
ENMCW ENCORE MEDICAL CP 500 1000
ENTS PHYSICIANS SPECIAL 500 1000
EPEX EDGE PETROLEUM CP 500 1000
EPMD EP MEDSYSTEMS INC 500 1000
ESCP ELECTROSCOPE INC 500 1000
ESPRY ESPRIT TELECOM ADR 500 1000
ESSF E S S E F CP 500 1000
ETCIA ELECTRONIC TELECOM 500 1000
EVSNF ELBIT VISION SYSTE 500 1000
EXAC EXACTECH INC 500 1000
F
FAIL FAILURE GP INC (TH 1000 500
FAMCK FEDERAL AGRIC MORT 1000 500
FARM FARMER BROTHERS 500 200
FAVS FIRST AVIATION SVC 500 1000
FBCI FIDELITY BANCORP D 500 1000
FBHC FORT BEND HLDG COR 200 500
FBNC FIRST BANCP TROY N 200 500
FBNKP FIRST BKS CUM PFD 500 200
FBNW FIRSTBANK CORP 200 500
FBSI FIRST BANCSHARES I 500 200
FFHH FSF FINANCIAL CP 500 1000
FFSW FIRSTFEDERAL FINL 1000 500
FGII FRIEDE GOLDMAN INT 200 500
FIFS FIRST INV FIN SVC 500 1000
FKFS FIRST KEYSTONE FIN 500 1000
FLAG F L A G FINANCIAL 1000 500
FLGS FLAGSTAR BANCORP 500 1000
FLYAF C H C HELICO CL A 200 500
FMSB FIRST MUTUAL SVGS 500 1000
FMST FINISHMASTER INC 500 200
FOBC FED ONE BANCORP IN 500 1000
FORR FORRESTER RESRCH 1000 500
FPBN F P BANCORP INC 500 1000
FRGB FIRST REGIONAL BNC 500 1000
FRME FIRST MERCHANTS CP 500 1000
FSBI FIDELITY BANCORP I 200 500
FSBIP FB CAPITAL TR PFD 500 200
FSBT FIRST STATE CP 500 200
FSCR FEDERAL SCREW WORK 200 500
FSFH FIRST SIERRA FIN 500 1000
FSNJ BAYONNE BANCSHARES 500 1000
FSPG FIRST HOME BNCP IN 500 200
FSPT FIRSTSPARTAN FIN C 200 500
FSRVF FIRSTSERVICE CP VT 500 1000
FTCG FIRST COLONIAL GP 200 500
FUSC FIRST UNITED BNCP 200 500
FVNB FIRST VICTORIA NAT 500 200
FWRX FIELDWORKS INC 500 1000
G
GALTF GALILEO TECH LTD 200 500
GBBK GREATER BAY BANCOR 500 1000
GBTVP GRANITE BRDCT CP P 500 200
GCABY GEN CABLE PLC ADR 1000 500
GCOM GLOBECOMM SYS INC 200 500
GCTI GENESYS TELECOMM L 200 500
GFLS GREATER COMMUNITY 200 500
GFLSP GCB CAP TRUST PFD 200 500
GFNL GRANITE FINANCIAL 500 1000
GIFI GULF ISLAND FAB 500 1000
GIGA GIGA TRONICS INC 500 1000
GLTB GOLETA NATL BANK 200 500
GMRK GULFMARK OFFSHORE 500 1000
GNCNF GORAN CAPITAL INC 500 1000
GNWR GENESEE & WYOMING 500 1000
GOSB GSB FINANCIAL CORP 200 500
GPSI GREAT PLAINS SFTWA 200 500
GSLA G S FINANCIAL CP 500 1000
GSLC GUARANTY FIN CP 500 1000
GTRC GUITAR CENTER INC 500 1000
GZEA G Z A GEOENVIRON 1000 500
H
HAHN HAHN AUTOMOTIVE 200 500
HAKI HALL KINION ASSOC 200 500
HBCI HERITAGE BANCORP I 500 1000
HBIX HAGLER BAILLY INC 200 500
HCBB HCB BANCSHARES INC 500 1000
HCRC HALLWOOD CONS RES 200 500
HCRI HEALTHCARE RECOV 200 500
HDVS H. D. VEST INC 500 1000
HELIE HELISYS INC 500 1000
HFFB HARRODSBURG FIRST 200 500
HFFC H F FINANCIAL CP 500 1000
HMCI HOMECORP INC 200 500
HMII H M I INDUSTRIES I 500 1000
HMLK HEMLOCK FED FIN CO 500 1000
HPFC HIGH POINT FINL CO 500 1000
HPWR HEALTH POWER INC 500 1000
HRBF HARBOR FED BNCP IN 1000 500
HSKA HESKA CORPORATION 200 500
HTCO HICKORY TECH CP 200 500
HTEI H T E INC 200 500
HUDS HUDSON HOTELS CP 500 1000
HYDEA HYDE ATHLETIC INDS 1000 500
HYSQ HYSEQ INC 200 500
HZWV HORIZON BNCP INC 500 1000
I
IATA IAT MULTIMEDIA 500 1000
IBCPP INDEP BK CP CUM PF 500 200
ICGX ICG COMMUNICATION 500 1000
ICIQ INTL COMPUTEX INC 500 1000
IDEA INNOVASIVE DEVICES 1000 500
IHIIL INDUSTRIAL HLDG WT 500 1000
IITCF I I T C HLDGS LTD 200 500
IKOS I K O S SYSTEMS 1000 500
ILABY INSTRUMENTATION AD 500 1000
ILDCY ISRAEL DEVEL LTD A 500 200
ILXO I L E X ONCOLOGY I 500 1000
IMAA INFORMATION MGMT 200 500
IMGXW NETWORK IMAGING WT 1000 500
INDBP INDEP CAP TR I PFD 200 500
INLD INLAND CASINO CP 500 1000
INTT INTEST CORPORATION 200 500
INVA INNOVA CORP 200 500
IONAY IONA TECHS ADR 500 1000
IPSW IPSWICH SAV BK 500 1000
IQST INTELLIQUEST INFO 1000 500
IRIDF IRIDIUM WORLD COMM 200 500
ISER INNOSERV TECH INC 500 1000
ITIC INVESTORS TITLE CO 500 1000
IWLC IWL COMMUNICATIONS 200 500
J
JEFFP J B I CAPITAL TR P 500 200
JLMI J L M INDS INC 200 500
JLNY JENNA LANE INC 500 1000
JLNYW JENNA LANE INC WT 500 1000
JRJR 800-JR CIGAR INC 200 500
JSBA JEFFERSON SAV BNCP 500 1000
JTFX JETFAX INC 200 500
K
KLLM K L L M TRANSPORT 1000 500
KOSP KOS PHARMACEUTCL 500 1000
KPSQ KAPSON SNR QUARTER 500 1000
KREG KOLL REAL ESTATE G 200 500
KTEL K-TEL INTL INC 500 1000
KTIC KAYNAR TECHS INC 500 1000
KWIC KENNEDY-WILSON INT 500 200
L
LABL MULTI COLOR CP 500 1000
LACI LATIN AMER CASINOS 500 1000
LAIX LAMALIE ASSOCIATES 200 500
LARK LANDMARK BSCHS INC 200 500
LBFC LONG BEACH FIN CP 500 1000
LCLD LACLEDE STEEL CO 500 1000
LEXI LEXINGTON HLTHCARE 200 500
LEXIW LEXINGTON HLTHCR W 200 500
LFCO LIFE FINANCIAL COR 200 500
LFED LEEDS FED SAV BANK 200 500
LGNDW LIGAND PHARMA WTS 200 500
LHSG L H S GROUP INC 500 1000
LIHRY LIHIR GOLD LTD ADR 1000 500
LIND LINDBERG CP 500 1000
LION FIDELITY NATL CP 1000 500
LIQB LIQUI BOX CP 1000 500
LKFNP LAKELAND FINL TR P 200 500
LKST LEUKOSITE INC 200 500
LOFSY LONDON & OVERSEA A 200 500
LOGIY LOGITECH INTL ADR 500 1000
LPWR LASER POWER CORP 200 500
LSBI LSB FINANCIAL CP 200 500
LZRCF TLC THE LASER CTR 200 500
M
MAHI MONARCH AVALON INC 200 500
MARN MARION CAP HLDGS I 500 1000
MARSA MARSH SUPERMARKETS 1000 500
MASB MASSBANK CP 500 1000
MASSY MAS TECH LTD ADR 200 500
MBBC MONTEREY BAY BANCO 500 1000
MBLF M B L A FINL CORP 500 200
MCBS MID CONT BCSHS INC 500 1000
MCSC MIAMI COMPUTER SUP 500 1000
MDDS MONARCH DENTAL CP 200 500
MEAD MEADE INSTRUMENTS 500 1000
MELI MELITA INTL CORP 200 500
MFLR MAYFLOWER CO OP BK 500 200
MHCO MOORE HANDLEY INC 200 500
MINT MICRO-INTEGRATION 500 1000
MIZR MIZAR INC 1000 500
MMAN MINUTEMAN INTL INC 200 500
MMGC MEGO MORTGAGE CP 500 1000
MODA MODACAD INC 500 1000
MPTBS MERIDIAN PT RLTY T 500 1000
MRCF MARTIN COLOR-FI IN 500 1000
MRCM MARCAM SOLUTIONS 200 500
MRET MERIT HOLDING CP 1000 500
MRTN MARTEN TRANSPORT L 200 500
MSDX MASON-DIXON BCSHS 1000 500
MSDXP MASON-DIX CAP TR P 200 500
MTIX MICRO THERAPEUTICS 500 1000
MTLI M T L INC 500 1000
MTSLF M E R TELEMGT SOL 200 500
MUEL MUELLER PAUL CO 500 200
MVBI MISSISSIPPI VALLEY 1000 500
MVII MARK VII INC 500 1000
MVSN MACROVISION CORP 500 1000
MXBIF MFC BANCORP LTD 500 1000
N
NACT NACT TELECOMM INC 500 1000
NBSC NEW BRUNSWICK SCI 500 1000
NBSI NORTH BSCHS INC 200 500
NCEN NEW CENTURY FINANC 200 500
NECSY NETCOM SYSTEMS ADR 1000 500
NEIB NORTHEAST IND BNCP 1000 500
NEON NEW ERA OF NTWKS I 200 500
NERIF NEWSTAR RESOURCES 200 500
NERXW NEORX CP WTS 500 200
NEWH NEW HORIZONS WORLD 1000 500
NEXR NEXAR TECHS INC 500 1000
NHCI NATL HOME CENTERS 500 1000
NHPI N H P INC 1000 500
NMCOF NAMIBIAN MINERALS 500 1000
NMGC NEOMAGIC CORP 500 1000
NMTXW NOVAMETRIX WTS A 500 1000
NMTXZ NOVAMETRIX WTS B 200 500
NORPF NORD PACIFIC LTD 200 500
NPBCP NPB CAPITAL TR PFD 200 500
NRGG NRG GENERATING U.S 500 1000
NRTI NOONEY REALTY TRUS 200 500
NSAI N S A INTL INC 500 1000
NSBC NEWSOUTH BANCORP I 500 1000
NSPK NETSPEAK CORP 200 500
NTWK NETWORK LONG DIST 500 1000
NVLDF NOVEL DENIM HLDGS 200 500
NWSS NETWORK SIX INC 500 1000
O
OAIC OCWEN ASSET INV 500 1000
OCLR OCULAR SCIENCES IN 200 500
OCOM OBJECTIVE COMMUN I 500 1000
OGGI OLD GUARD GROUP IN 500 1000
OGLE OGLEBAY NORTON CO 500 1000
OKSB SOUTHWEST BNCP INC 500 1000
OKSBP SOUTHWEST BNCP PFD 500 200
OLCWF OLICOM A/S WTS 200 500
OLGR OILGEAR CO 200 500
OMQP OMNIQUIP INTL INC 500 1000
OMTL OMTOOL LTD 200 500
ONSL ONSALE INC 500 1000
OPTLF OPTISYSTEMS SOLUTI 200 500
OPTWF OPTISYSTEMS SOL WT 200 500
ORFR ORBIT/FR INC 200 500
OROA OROAMERICA INC 1000 500
OSBC OLD SECOND BNCP IN 200 500
OSKY MAHASKA INV CO 500 1000
OVRL OVERLAND DATA INC 500 1000
OXGNW OXIGENE INC WTS 1000 500
OZRK BANK OF THE OZARKS 200 500
P
PABN PACIFIC CAP BNCP 500 200
PALX PALEX INC 500 1000
PAMX PANCHO S MEXICAN I 500 1000
PBKBP PEOPLES CAP TR PFD 200 500
PEAKF PEAK INTL LTD S3 200 500
PEEK PEEKSKILL FIN CP 500 1000
PEGS PEGASUS SYSTEMS IN 200 500
PERM PERMANENT BNCP INC 1000 500
PFACP PRO-FAC COOP PFD A 1000 500
PFBIP PFBI CAP TR PFD 200 500
PFDC PEOPLES BANCORP 200 500
PGEN PROGENITOR INC 200 500
PGENW PROGENITOR INC WTS 200 500
PHFC PITTSBURGH HOME FI 500 1000
PHSB PEOPLES HOME SVGS 200 500
PHSYP PACIFICARE CV PFD 500 200
PLEN PLENUM PUBLISHING 500 1000
PMCO PROMEDCO MGMT CO 500 1000
PMFG PEERLESS MFG CO 500 1000
PMFI PERPETUAL MIDWEST 500 1000
PPOD PEAPOD INC 200 500
PRGN PEREGRINE SYSTEMS 500 1000
PSNRY P T PASIFIK SATL A 500 1000
PSWT PSW TECHNOLOGIES I 200 500
PTUS PERITUS SOFTWARE S 200 500
PVSA PARKVALE FINL CP 500 1000
PWCC POINT WEST CAP CP 500 200
PXXI PROPHET 21 INC 500 1000
Q
QADI Q A D INC 200 500
QMDC QUADRAMED CP 500 1000
QWST QWEST COMMUN INTL 200 500
R
RACN RACING CHAMPIONS C 200 500
RARB RARITAN BANCORP IN 200 500
RBCO RYAN BECK CO INC 1000 500
RBOT COMPUTER MOTION IN 200 500
RBPAA ROYAL BSCHS OF PA 1000 500
REPBP RBI CAP TR I PFD 200 500
RESR RESEARCH INC 1000 500
REXI RESOURCE AMER CL A 1000 500
RFMD RF MICRO DEVICES 200 500
RGCO ROANOKE GAS CO 200 500
RIMS ROBOCOM SYSTEMS IN 200 500
RITTF RIT TECHNOLOGIES L 200 500
RLCO REALCO INC 500 1000
RLLYW RALLY'S HAMBURGER 500 1000
RMBS RAMBUS INC 500 1000
RPCLF REVENUE PROP LTD 200 500
RTST RIGHT START INC 1000 500
RWDT RWD TECHS INC 200 500
RWTIW REDWOOD TRUST WTS 500 200
RYAAY RYANAIR HLDGS ADR 200 500
S
SAGE SAGEBRUSH INC 500 1000
SBGA SUMMIT BANK CORP 200 500
SBIBP STERLING CAP TR PF 200 500
SBIT SUMMIT BCSHS INC T 500 1000
SCHI SIMIONE CENTRAL HL 200 500
SCHR SCHERER HEALTHCARE 500 1000
SDIX STRATEGIC DIAGNOST 500 1000
SENEA SENECA FOODS CP A 200 500
SFED S F S BANCORP INC 500 1000
SFNCP SIMMONS FIRST CAP 200 500
SFSI SEARCH FIN SVCS 500 1000
SFSIP SEARCH FIN SVCS PF 500 1000
SFXBW SFX BROADCAST WTS 200 500
SGNS SIGNATURE INNS INC 200 500
SGVB S G V BANCORP INC 500 1000
SHSE SUMMIT HOLDING SE 200 500
SHUF SCHUFF STEEL COMPA 200 500
SILVZ SUNSHINE MINING WT 500 1000
SJNB S J N B FINANCIAL 500 1000
SLHO S L H CORPORATION 200 500
SMCX SPECIAL METALS CP 500 1000
SOMR SOMERSET GP INC TH 500 200
SPAN SPAN AMERICA MED S 500 1000
SPCH SPORT CHALET INC 500 1000
SPNI SPINNAKER INDS INC 500 200
SPNIA SPINNAKER IND CL A 500 200
SPPR SUPERTEL HOSPITALI 500 1000
SPRX SPECTRX INC 200 500
STCR STARCRAFT CORP 500 1000
STDM STORAGE DIMENSIONS 500 1000
STER STERIGENICS INTL 200 500
STFF STAFF LEASING INC 200 500
STIZ SCIENTIFIC TECH IN 500 1000
STRC STERILE RECOVERIES 500 1000
STRX STAR TELECOMM INC 200 500
STSAO STERLING CAP TR PF 200 500
SUMI SUMITOMO BANK CA 500 1000
SVECF SCANVEC CO 1990 LT 200 500
SVIN SCHEID VINEYARDS I 200 500
SWSHW SWISHER INTL WTS 1000 500
SXTN SAXTON INCORPORATI 200 500
SYCM SYSCOMM INTL CORP 200 500
SYNT SYNTEL INC 200 500
T
TACX THE A CONSULTING T 200 500
TCCO TECHNICAL COMMUN C 500 1000
TCICP TCI COMMUN PFD A 1000 500
TCII T C I INTL INC 500 1000
TCIX TOTAL CONTAINMENT 200 500
TCPS TOTAL CONTROL PROD 500 1000
TDFX 3DFX INTERACTIVE I 200 500
TDHC THERMADYNE HLDGS C 1000 500
TENT TOTAL ENTMT REST C 200 500
TGRP TELEGROUP INC 200 500
THRNY THORN PLC ADR 200 500
TIBB TIB FINANCIAL CORP 200 500
TMPL TEMPLATE SOFTWARE 500 1000
TMSTA THOMASTON MILLS A 500 200
TPMI PERSONNEL MGMT INC 500 1000
TRBR TRAILER BRIDGE INC 200 500
TRGI TRIDENT ROWAN GROU 500 1000
TRGIW TRIDENT ROWAN GRP 500 1000
TRNI TRANS INDS INC 500 1000
TRVL TRAVEL SVCS INTL I 200 500
TSFW T S I INTL SOFTWAR 200 500
TSND TRANSCEND THERAPEU 200 500
TTRRW TRACOR INC WTS A 500 200
TWRI TRENDWEST RESORTS 200 500
U
UBMT UNITED FINANCIAL C 1000 500
UBSC UNION BKSHS LTD 500 1000
UFCS UNITED FIRE CASUAL 1000 500
UNDG UNIDIGITAL INC 200 500
UNIQ UNIQUE CASUAL REST 200 500
UPCPO UNION PLANTERS PFD 500 200
USPH U S PHYSICAL THERA 500 1000
UTVI UNITED TELEVISION 1000 500
V
VALN VALLEN CP 1000 500
VALU VALUE LINE INC 1000 500
VDIM V D I MEDIA 500 1000
VESC VESTCOM INTL INC 200 500
VGCOW VIRGINIA GAS WTS 200 500
VISNZ SIGHT RESOURCE CP 1000 500
VMRXW VIMRX PHARM WTS IN 200 500
VMTI VISTA MEDICAL TECH 200 500
VNGI VALLEY NATL GASES 500 1000
VSEC V S E CP 500 200
VSTN VISTANA INC 500 1000
W
WAVR WAVERLY INC 1000 500
WBKC WESTBANK CORP 500 1000
WCOMP WORLDCOM DEP SHS 500 200
WCRXY WARNER CHILCOTT AD 200 500
WCSTF WESCAST INDS INC A 1000 500
WEBC WESTERN BANCORP 200 500
WHEL WHEELS SPORTS GROU 500 1000
WHELW WHEELS SPORTS GR W 500 1000
WLSN WILSONS LEATHER 200 500
WLSNW WILSONS LEATHER WT 200 500
WOSI WORLD OF SCIENCE I 200 500
WTFC WINTRUST FIN CORP 500 1000
WWIN WASTE INDUSTRIES I 200 500
WYNT WYANT CORP 200 500
X
XOMD XOMED SURG PRODS I 1000 500
Y
YRKG YORK GRP INC THE 500 1000
Z
ZING ZING TECHS INC 500 1000
ZNDTY ZINDART LTD ADR 500 1000
ZNRG ZYDECO ENERGY INC 500 1000
ZNRGW ZYDECO ENERGY WTS 500 1000
ZOMX ZOMAX OPTICAL MEDI 500 1000
ZONA ZONAGEN INC 500 1000
ZSEV Z SEVEN FUND INC T 200 500

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