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97-45 Corrected List of SOES Tier Size Levels

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Effective Date: July 1, 1997

SUGGESTED ROUTING

Legal & Compliance
Operations
Systems
Trading



Executive Summary

The following is a corrected list of the Small Order Execution SystemSM (SOESSM) tier size changes that became effective on July 1, 1997. The list of SOES tier size changes included in Notice to Members 97-38 was incorrect due to data errors. Despite the errors, the correct list of SOES tier size changes was programmed into SOES, effective July 1, 1997, according to the Nasdaq® SOES tier size re-ranking rules and procedures. Shortly after the publication of Notice to Members 97-38, Nasdaq's Market Operations Department informed the membership of the errors. Accordingly, this Notice to Members merely reflects the correct list of SOES tier size changes which went into effect on July 1, 1997.

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

Description

Under Rule 4710, the maximum 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 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 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 March 31, 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 March 31, 1997, were not subjected to the SOES tier-size review.

Nasdaq National Market SOES Tier-Size Changes
All Issues In Alphabetical Order By Security Name
(Effective July 1, 1997)

Symbol Company Name Old Tier Level New Tier Level
TDDDF 3DLABS INC LTD 200 500
TDXT 3DX TECHNOLOGIES INC 200 500
A
AANB ABIGAIL ADAMS NATL 1000 500
AASI ADVANCED AERO CL A 200 500
AASIW ADVANCED AERO WT A 200 500
AASIZ ADVANCED AERO WT B 200 500
ABDR ABACUS DIRECT CP 500 1000
ABFI AMERICAN BUS FIN SVC 200 500
ABND AUTOBOND ACCEPT CP 500 1000
ABRI ABRAMS INDS INC 200 500
ACCB ACCESS BEYOND INC 200 500
ACLR ACCENT COLOR SCIENCE 200 500
ACLY ACCELER8 TECH CORP 200 500
ADCC ANDEAN DEV CORP 500 1000
ADCCW ANDEAN DEV CORP WTS 500 1000
ADECY ADECCO SA ADR 500 200
ADIC ADVANCED DIG INFO CP 500 1000
ADVH ADVANCED HEALTH CORP 500 1000
ADVP ADVANCE PARADIGM INC 500 1000
AFCI ADVANCED FIBRE 500 1000
AFCX A F C CABLE SYS INC 1000 500
AFED AFSALA BANCORP INC 500 1000
AICX APPLIED IMAGING CORP 500 1000
AIII AUTOLOGIC INFO INTL 1000 500
ALET ALOETTE COSMETICS 1000 500
ALFC ALLIED LIFE FINL CP 500 1000
ALGO ALGOS PHARMACEUTICAL 500 1000
ALLE ALLEGIANT BNCP INC 500 200
ALLN ALLIN COMMUNICATIONS 500 1000
ALYN ALYN CORP 500 1000
ALZAW A L Z A CP WTS 500 1000
AMBC AMER BNCP OHIO 200 500
AMCE AMER CLAIMS EVALUAT 1000 500
AMCI AMERICAN MEDSERV CP 500 1000
AMCN AMERICAN COIN MERCH 500 1000
AMED AMEDISYS INC 500 1000
AMRS AMERUS LIFE HLDGS 200 500
AMSN AMSCAN HLDGS INC 200 500
ANCO ANACOMP INC 500 1000
ANDR ANDERSEN GROUP INC 500 200
AQLA AQUILA BIOPHARMACEUT 500 1000
ARMXF ARAMEX INTL LTD 200 500
ARONA AARON RENTS INC CL-A 500 1000
ARQL ARQULE INC 500 1000
ARSD ARABIAN SHIELD DEV 1000 500
ARTT ADVANCED RADIO TELE 500 1000
ARTW ART S WAY MFG CO INC 500 200
ASFN ALLSTATE FINL CP 500 1000
ASIGF ANSALDO SIGNAL NV 200 500
ASTM AASTROM BIOSCIENCES 200 500
ASVI A S V INC 500 1000
ATAC AFTERMARKET TECH CP 200 500
ATRC ATRIA COMMUNITIES 500 1000
ATRI ATRION CP 500 1000
AUGIW AMER UN GLOBAL WT 500 200
AURM AURUM SOFTWARE INC 500 1000
AVIR AVIRON 500 1000
AWRD AWARD SOFTWARE INTL 500 1000
AXYS AXSYS TECHS INC 200 500
B
BANF BANCFIRST CP 500 1000
BBHF BARBERS HAIRSTYLING 200 500
BBII BOSTON BIOMEDICA INC 500 1000
BBIOY BRITISH BIO-TECH ADR 1000 500
BCIS BANCINSURANCE CP 500 1000
BCOM BANK OF COMMERCE(CA) 500 1000
BCORY BIACORE INTL AB ADR 200 500
BEERF BIG ROCK BREWERY LTD 1000 500
BEVB BEVERLY BANCORP INC 500 1000
BFEN B F ENTERPRISES INC 200 500
BFFC BIG FOOT FIN CORP 200 500
BGAS BERKSHIRE GAS CO 500 1000
BGLVW BALLY'S GRAND INC WT 500 200
BHIKF B H I CORP 1000 500
BIORY BIORA AB ADR 200 500
BITS BITSTREAM INC 500 1000
BKCT BANCORP CONN INC 1000 500
BKLA BANK OF LOS ANGELES 200 500
BLGMY BUFFELSFONTEIN ADR 500 1000
BLSC BIO LOGIC SYS CP 1000 500
BMAN BIRMAN MANAGED CARE 200 500
BMCCP BANDO MCGLOC PFD A 200 500
BNHNA BENIHANA INC A 1000 500
BNTT BARNETT INC 500 1000
BOOT LACROSSE FOOTWEAR 500 1000
BOSA BOSTON ACOUSTICS INC 500 1000
BOXXA BOX ENERGY CP CL A 500 200
BOYD BOYD BROS TRANS INC 200 500
BPAO BALDWIN PIANO ORGAN 1000 500
BRID BRIDGFORD FOODS CP 500 1000
BSTE BIOSITE DIAGNOSTIC 200 500
BTEK BALTEK CP 500 200
BTIC BRUNSWICK TECHS INC 200 500
BTRN BIOTRANSPLANT INC 1000 500
BWINB BALDWIN LYONS CL B 1000 500
BWLN BOWLIN OUTDOOR ADVER 200 500
C
CAFI CAMCO FINANCIAL CP 500 1000
CAII CAPITAL ASSOC 1000 500
CALGL CAL FED SEC LIT INT 500 1000
CALM CAL-MAINE FOODS INC 200 500
CBCG C B COMM REAL ESTATE 200 500
CBMD COLUMBIA BANCORP MD 500 1000
CBNJW CARNEGIE BANCORP WTS 1000 500
CBST CUBIST PHARMACEUTCLS 500 1000
CCBG CAPITAL CITY BANK GR 200 500
CCOW CAPITAL CP OF WEST 200 500
CDEN COAST DENTAL SVCS 200 500
CERB C E R B C O INC 500 1000
CERS CERUS CORP 200 500
CFBXL CFB CAPITAL I CUM 200 500
CFCI C F C INTL INC 500 1000
CFIN CONSUMERS FIN CP 500 200
CFNC CAROLINA FINCORP INC 200 500
CFWY CONS FREIGHTWAYS CP 500 1000
CHCO CITY HOLDING CO 500 1000
CHFC CHEMICAL FIN CP 500 1000
CHNL CHANNELL COML CORP 500 1000
CICS CITIZENS BKSH INC 500 1000
CINS CIRCLE INCOME SHARES 500 1000
CLBK COMMERCIAL BANKSHRS 500 1000
CLSR CLOSURE MEDICAL CORP 500 1000
CLTR COULTER PHARM INC 200 500
CMSS CREDIT MGMT SOLU 200 500
CNBA CHESTER BANCORP INC 500 1000
CNBF CNB FINANCIAL CP 200 500
CNDL CANDLEWOOD HOTEL CO 500 1000
CNDS CELLNET DATA SYSTEMS 500 1000
CNIT C E N I T BNCP INC 500 1000
CNRMF CINRAM LIMITED 500 200
COLTY C O L T TELECOM ADR 200 500
COVB COVEST BANCSHARES 500 1000
CRBO CARBO CERAMICS INC 1000 500
CRRC COURIER CP 1000 500
CRYSF CRYSTAL SYSTEMS SOL 200 500
CSBI CENTURY SOUTH BKS 1000 500
CSCQW CORRECTIONAL SVCS WT 500 200
CTLG SPECIALTY CATALOG CP 500 1000
CTWS CONN WATER SVCS INC 500 1000
CUNO C U N O INC 500 1000
CVTX C V THERAPEUTICS INC 200 500
CWTR COLDWATER CREEK INC 200 500
CYBR CYBERMEDIA INC 500 1000
CYMI CYMER INC 500 1000
D
DAOU D A O U SYSTEMS INC 200 500
DATX DATA TRANSLATION 200 500
DBTO D B T ONLINE INC 500 1000
DCBI DELPHOS CITIZENS BCP 200 500
DCBK DESERT COMMUNITY BK 200 500
DCRNW DIACRIN INC WT 500 1000
DDRX DIEDRICH COFFEE 500 1000
DEZI DONNELLY ENT SOLUTIO 500 1000
DHMS DIAMOND HOME SVCS 500 1000
DIGL DIGITAL LIGHTWAVE 200 500
DIGX DIGEX INC 500 1000
DITI DIATIDE INC 1000 500
DLIA DELIA*S INC 200 500
DNAP D N A P HLDG CP 500 1000
DOCP DELAWARE OTSEGO CP 500 1000
DOCX DOCUMENT SCI CP 500 1000
DPNR DIGNITY PARTNERS INC 1000 500
DROOY DURBAN ROODEPOOR ADR 500 1000
DTAM DATAMARK HOLDING INC 200 500
DXCPN DYNEX CAPITAL PFD C 500 1000
E
EASY STORM TECH INC 500 1000
ECSGY ECSOFT GROUP PLC ADR 200 500
EDMC EDUCATION MGMT CORP 500 1000
EDSE ESELCO INC 200 500
EFBC EMPIRE FED BANCORP 200 500
EGLB EAGLE BANCGROUP INC 500 1000
EIDSY EIDOS PLC ADR 200 500
EIRE EMERALD ISLE BANCORP 500 1000
ELET ELLETT BROTHERS INC 1000 500
ELGT ELECTRIC & GAS TECH 200 500
ELNK EARTHLINK NETWORK 200 500
ELRWF ELRON ELEC INDS WTS 500 200
ELSE ELECTRO SENSORS INC 500 200
ELTKF ELTEK LTD 200 500
ELXS ELXSI CP 1000 500
EMCI EMC INSURANCE GP 500 1000
EMER EMERGENT GROUP INC 500 1000
EMITF ELBIT MED IMAGING 200 500
ENML ENAMELON INC 500 1000
EONE ENVIRONMENT ONE CP 500 1000
EPIX EPIX MEDICAL INC 200 500
EPTO EPITOPE INC 200 500
ERGB ERGOBILT INC 200 500
ESCA ESCALADE INC 500 1000
ESCP ELECTROSCOPE INC 1000 500
ESLTF ELBIT SYSTEMS LTD 200 500
EUSA EAGLE USA AIRFREIGHT 500 1000
F
FAHC FIRST AMER HEALTH 1000 500
FAME FLAMEMASTER CP THE 200 500
FATS FIREARMS TRAINING 200 500
FAXX FAXSAV INC 500 1000
FBAN FNB CP (PA) 500 1000
FBHC FORT BEND HLDG CORP 500 200
FBNKO FIRST PFD CAP TR PFD 200 500
FBNKP FIRST BKS CUM PFD C 200 500
FBSI FIRST BANCSHARES INC 200 500
FCNB FCNB CP 500 1000
FCPY FACTORY CARD OUTLET 200 500
FDPC FDP CP 500 1000
FFSW FIRSTFEDERAL FINL 500 1000
FKFS FIRST KEYSTONE FIN 500 1000
FLAG FLAG FINANCIAL CP 500 1000
FLCHF FLETCHER'S FINE FOOD 200 500
FLWR CELEBRITY INC 1000 500
FLYT INTERACTIVE FLGT A 500 1000
FMAR FIRST MARINER BNCP 200 500
FMCO FMS FINANCIAL CP 500 200
FMST FINISHMASTER INC 1000 500
FNBF FNB FINANCIAL SVC CP 200 500
FNGB FIRST NORTHERN CAP 500 1000
FORR FORRESTER RESEARCH 200 500
FOUR FOUR MEDIA COMPANY 200 500
FPBN FP BANCORP INC 500 1000
FPWR FOUNTAIN PWRB IND 500 1000
FRME FIRST MERCHANTS CP 500 1000
FRTG FORTRESS GROUP INC 500 1000
FSNJ FIRST SAV BK OF NJ 500 1000
FSPG FIRST HOME BNCP INC 200 500
FSTH FIRST SO BCSHS INC 1000 500
FTFN FIRST FIN CP (RI) 500 1000
FTNB FULTON BANCORP INC 500 1000
FVHI FIRST VIRTUAL HLDGS 200 500
FVNB FIRST VICTORIA NATL 200 500
G
GBBK GREATER BAY BANCORP 500 1000
GENBB GENESEE CP B 500 200
GEOC GEOTEL COMMUN CP 200 500
GFCO GLENWAY FIN CP 200 500
GFNL GRANITE FINANCIAL 500 1000
GGEN GALAGEN INC 1000 500
GIGA GIGA TRONICS INC 1000 500
GLDB GOLD BANC CORP INC 200 500
GLTB GOLETA NATL BANK 200 500
GMCR GREEN MT COFFEE INC 500 1000
GNCNF GORAN CAPITAL INC 500 1000
GOAL ASCENT ENTER GROUP 500 1000
GOYL GARGOYLES INC 500 1000
GPFI GRAND PREMIER FIN 500 1000
GRDL GRADALL INDS INC 500 1000
GRLL ROADHOUSE GRILL INC 200 500
GSLC GUARANTY FIN CP 500 1000
GTRN GREAT TRAIN STORE CO 500 1000
GWALY GREAT WALL ADR 500 200
H
HAHIW HELP AT HOME INC WTS 500 1000
HAYS HAYES WHEELS INTL 500 1000
HBEI HOME BANCP ELGIN 500 1000
HBNK HIGHLAND FEDERAL BK 1000 500
HCFP HEALTHCARE FIN PTRS 200 500
HECHB HECHINGER CO CL B 1000 500
HERS HERITAGE FINL SVC IL 500 1000
HFFC HF FINANCIAL CP 1000 500
HFGI HARRINGTON FIN GRP 1000 500
HGMCY HARMONY GOLD MNG ADR 500 1000
HIBB HIBBETT SPORTING 500 1000
HIFS HINGHAM INSTI SAVING 500 200
HIHOF HIGHWAY HLDGS LTD 200 500
HIHWF HIGHWAY HLDGS WTS 200 500
HILI HILITE INDS INC 1000 500
HLGRF HOLLINGER INC 1000 500
HMGT HOMEGATE HOSPITALITY 500 1000
HNBC HARLEYSVILLE NATL CP 1000 500
HOMF HOME FEDERAL BANCORP 500 1000
HOTT HOT TOPIC INC 500 1000
HPFC HIGH POINT FINL CORP 200 500
HPSC HPSC INC 500 1000
HPWR HEALTH POWER INC 1000 500
HVFD HAVERFIELD CP 500 1000
HYDEB HYDE ATHLETIC INDS B 1000 500
I
IACP IA CORPORATION I 500 1000
IBCP INDEP BK CP MI 500 1000
IBCPP INDEP BK CP CUM PFD 200 500
IFSC INTERFERON SCIENCES 500 1000
IGRP INDUS GROUP INC THE 500 1000
IGYN IMAGYN MEDICAL INC 500 1000
IHCC INTENSIVA HLTHCR CP 500 1000
IHIIL INDUSTRIAL HLDG WT C 200 500
ILABY INSTRUMENTATION ADR 500 1000
ILCC INTEGRATED LIVING 500 1000
ILDCY ISRAEL DEVEL LTD ADR 200 500
ILOGY ILOG ADR 200 500
IMIC INDUSTIR-MATEMATIK 500 1000
IMRI INTEGRATED MED RES 500 1000
IMRS INFO MGMT RESOURCES 500 1000
INDQB INTL DAIRY QUEEN B 200 500
INLD INLAND CASINO CP 500 200
INSS INTL NETWORK SVCS 500 1000
INTD INTELIDATA TECHS >#/td> 500 1000
INVN INVISION TECH INC 500 1000
IPSW IPSWICH SAV BK 500 1000
IRWNP IRWIN FIN CUM TR PFD 200 500
ISCA INTL SPEEDWAY CL A 500 1000
ISER INNOSERV TECH INC 1000 500
ITCC INDUSTRIAL TRAINING 1000 500
ITDS INTL TELECOM DATA 500 1000
ITIG INTELLIGROUP INC 500 1000
IUBC INDIANA UNITED BNCP 200 500
J
JAKK JAKKS PACIFIC INC 500 1000
JCORZ JACOR COMM INC WTS 500 1000
JPEI JPE INC 1000 500
JTAX JACKSON HEWITT INC 500 1000
JUDG JUDGE GROUP INC 200 500
K
KARR KARRINGTON HEALTH 1000 500
KAYE KAYE GROUP INC 500 200
KOGCP KELLEY OIL & GAS PFD 1000 500
KPSQ KAPSON SNR QUARTERS 500 1000
KTTY KITTY HAWK INC 500 1000
KVCO KEVCO INC 500 1000
KWIC KENNEDY-WILSON INTL 500 200
L
LABL MULTI COLOR CP 500 1000
LANV LANVISION SYS INC 1000 500
LARK LANDMARK BSCHS INC 200 500
LARS LARSCOM INC CL A 200 500
LEAP LEAP GROUP (THE) 500 1000
LEIX LOWRANCE ELECTRONICS 1000 500
LEPI LEADING EDGE PACKAGI 200 500
LFUSW LITTELFUSE INC WTS 500 200
LIVE LIVE ENTERTAIN INC 1000 500
LMAR LAMAUR CORP 500 1000
LMTR LITHIA MOTORS INC 200 500
LOFSY LONDON & OVERSEA ADR 200 500
LSON LASON INC 500 1000
LTBG LIGHTBRIDGE INC 500 1000
M
MACC MACC PRIVATE EQU INC 500 200
MACD MACDERMID INC 500 1000
MAII MEDICAL ALLIANCE INC 500 1000
MAME MOBILE AMER CP NEW 500 1000
MANC MANCHESTER EQUIP CO 200 500
MAST MASTECH CORPORATION 200 500
MAXF MAXCOR FINL GROUP 500 1000
MAZL MAZEL STORES INC 200 500
MBLF MBLA FINL CORP 500 200
MBRK MEADOWBROOK REHAB A 500 200
MBRS MEMBERWORKS INC 500 1000
MCRI MONARCH CASINO 1000 500
MDLK MEDIALINK WORLDWIDE 200 500
MDMD MEDIRISK INC 200 500
MDSIF MDSI MOBILE DATA 200 500
MEDJ MEDI-JECT CORP 500 1000
MEMCF MEMCO SOFTWARE LTD 500 1000
METZ METZLER GROUP INC 500 1000
MFAC M ARKET FACTS INC 500 1000
MFBC MFB CORP 1000 500
MGRC MCGRATH RENT CP 1000 500
MIGI MERIDIAN INS GP INC 500 1000
MINT MICRO-INTEGRATION CP 1000 500
MISI METRO INFO SVCS INC 200 500
MMGC MEGO MORTGAGE CP 200 500
MMGR MEDICAL MGR CORP 200 500
MOKA COFFEE PEOPLE INC 500 1000
MONEP MONEY STORE PFD 500 1000
MORP MOORE PRODUCTS CO 200 500
MRET MERIT HOLDING CP 500 1000
MSDX MASON-DIXON BCSHS 1000 500
MSFTP MICROSOFT CV PFD 200 500
MTNT METRO NETWORKS INC 500 1000
MTON METRO ONE TELECOMM 500 1000
MTRS METRIS COMPANIES INC 500 1000
MTXC MATRIX CAP CORP 500 1000
MVIS MICROVISION INC 500 1000
MVISW MICROVISION WTS 500 1000
MVSI MVSI INC 500 1000
MVSIW MVSI INC WTS A 200 500
MWHX MARKWEST HYDROCARBON 500 1000
N
NAFI NATIONAL AUTO FIN CP 200 500
NAIG NATL INSURANCE GP 500 1000
NAII NATURAL ALTERNATIVES 200 500
NATI NATL INSTRUMENTS CP 500 1000
NCBE NATL CITY BANCSHARES 500 1000
NCOG NCO GROUP INC 500 1000
NECB NEW ENGLAND COMM A 500 1000
NECSY NETCOM SYSTEMS ADR 200 500
NEIB NORTHEAST IND BNCP 1000 500
NEOT NEOTHERAPEUTICS INC 500 1000
NEOTW NEOTHERAPEUTICS WTS 500 1000
NFLIW NUTRITION FOR LFE WT 1000 500
NFOR NFO RESEARCH INC 500 1000
NGPSF NOVATEL INC 200 500
NMTI NITINOL MED TECHS 500 1000
NMTXW NOVAMETRIX MED WTS A 500 200
NOLD NOLAND CO 200 500
NPBC NATL PENN BSCHS INC 500 1000
NPSI NORTH PITTSBURGH SYS 200 500
NSAI NSA INTL INC 500 1000
NSCF NORTHSTAR COMPUTER 200 500
NSSX NATL SANITARY SUPPLY 200 500
NUCM NUCLEAR METALS INC 200 500
NWTL NORTHWEST TELEPROD 1000 500
NYBS NEW YORK BAGEL ENT 500 1000
O
OAKF OAK HILL FIN INC 500 200
OATS WILD OATS MARKETS 500 1000
OCENY OCE VAN GRINTEN ADR 200 500
OCWN OCWEN FINANCIAL CP 500 1000
OEDC OFFSHORE ENERGY DEV 500 1000
OGAR O'GARA COMPANY (THE) 500 1000
OGLE OGLEBAY NORTON CO 200 500
OGNB ORANGE NATL BNCP 200 500
OHSC OAK HILL SPORTSWEAR 1000 500
OKSB SOUTHWEST BNCP INC 500 1000
OLGR OILGEAR CO 500 200
OMEF OMEGA FINL CP 500 1000
OMGR OMNI INSURANCE GP 500 1000
ONCO ON COMMAND CORP 500 1000
ONDI ONTRACK DATA INTL 500 1000
OSBC OLD SECOND BNCP INC 200 500
OTRX OTR EXPRESS INC 1000 500
P
PAASF PAN AMER SILVER CP 500 1000
PABN PACIFIC CAPITAL BNCP 200 500
PATI PATIENT INFOSYSTEMS 200 500
PBFI PARIS CORP 500 200
PBSF PACIFIC BANK NATL CA 500 1000
PECX PHOTOELECTRON CORP 200 500
PENG PRIMA ENERGY CP 500 1000
PGTV PEGASUS COMMUNICATIO 500 1000
PHXX PHOENIX INTL LTD 500 1000
PICM PROFESSIONALS INS CO 500 1000
PJAM PJ AMERICA INC 500 1000
PLIT PETROLITE CP 500 1000
PMFI PERPETUAL MIDWEST 1000 500
PNBC PRINCETON NATL BNCP 200 500
PNTGF PETROMET RES LTD 200 500
POST INTL POST LIMITED 1000 500
PPLS PEOPLES BK CP OF IND 200 500
PRCM PROCOM TECH INC 200 500
PRLS PEERLESS SYSTEMS CP 500 1000
PRLX PARLEX CP 200 500
PRMX PRIMEX TECHS INC 200 500
PRTL PRIMUS TELECOM GROUP 500 1000
PRTW PRINTWARE INC 500 1000
PRWW PREMIER RESEARCH 200 500
PSAB PRIME BNCP INC 500 1000
PSDS PROSOURCE INC 500 1000
PSFI PS FINANCIAL INC 200 500
PUCK FLORIDA PANTHERS HLD 500 1000
PULS PULSE BANCORP INC 200 500
PUMA PUMA TECHNOLOGY INC 200 500
PWAV POWERWAVE TECHS INC 200 500
Q
QEPC QEP CO INC 500 1000
QLIX QUALIX GROUP INC 200 500
R
RADS RADIANT SYSTEMS INC 200 500
RAIL RAILAMERICA INC 500 1000
RARB RARITAN BANCORP INC 500 200
RAVE RANKIN AUTO GP 200 500
RBPAA ROYAL BSCHS OF PA A 500 1000
RCMT RCM TECH INC 500 1000
RELV RELIV INTL INC 500 1000
RGFC R&G FINANCIAL CORP 500 1000
RGLD ROYAL GOLD INC 500 1000
RIDG RIDGEVIEW INC 500 1000
RIMG RIMAGE CP 500 1000
RLLYW RALLY'S HAMBURGER WT 500 1000
RMHT RMH TELESERVICE 500 1000
ROMN FILM ROMAN INC 500 1000
ROYL ROYALE ENERGY INC 500 1000
RSHX ROCKSHOX INC 500 1000
RSLN ROSLYN BANCORP INC 200 500
RSTI ROFIN-SINAR TECHS 500 1000
RWAV ROGUE WAVE SOFTWARE 200 500
S
SABB SANTA BARBARA BNCP 500 1000
SAVB SAVANNAH BNCP INC 500 200
SAVO SCHULTZ SAV O STORES 500 1000
SBCN SUBURBAN BNCP 500 1000
SBHC SECURITY BK HLDG CO 500 1000
SCAI SANCHEZ COMPUTER ASS 500 1000
SCNI SPECIALTY CARE NETWK 200 500
SCOT SCOTT AND STRINGFELL 200 500
SEAC SEA CHANGE INTL INC 500 1000
SEAM SEAMAN FURNITURE CO 500 200
SEEC SEEC INC 500 1000
SELAY SELECT APPT PLC ADR 200 500
SEMD SEA MED CORP 200 500
SENEB SENECA FOODS CP B 200 500
SEWY SEAWAY FOOD TOWN INC 500 1000
SFNCA SIMMONS FIRST NATL A 1000 500
SFSW STATE FINL SVCS CL A 200 500
SFXBW SFX BROADCASTING WTS 1000 500
SGNS SIGNATURE INNS INC 200 500
SGNSP SIGNATURE INNS PFD A 200 500
SIGC SYMONS INTL GROUP 500 1000
SIGN PLASTI LINE INC 1000 500
SIND SYNTHETIC INDS INC 500 1000
SKYM SKYMALL INC 200 500
SLAB SAGE LABS INC 500 200
SLCTY SELECT SOFTWARE ADR 500 1000
SLGN SILGAN HOLDINGS INC 200 500
SMBC SOUTHERN MO BNCP INC 500 1000
SMCI SIMULATION SCIENCES 500 1000
SMIT SCHMITT INDS (OR) 500 1000
SMMT SUMMIT DESIGN INC 500 1000
SMTK SMARTALK TELESVCS 500 1000
SNFCA SECURITY NATL FINL A 200 500
SNHY SUN HYDRAULICS CORP 200 500
SNSR CONTROL DEVICES INC 500 1000
SOLLY DR SOLOMON'S GRP ADR 200 500
SOMR SOMERSET GP INC THE 200 500
SOSC SUBURBAN OSTOMY SUPP 500 1000
SPLH SPLASH TECH HLDGS 500 1000
SPPR SUPERTEL HOSPITALITY 1000 500
SRCL STERICYCLE INC 500 1000
SSFC SOUTH STREET FIN CP 500 1000
STAF STAFFMARK INC 500 1000
STGE STAGE STORES INC 500 1000
STIZ SCIENTIFIC TECH INC 1000 500
STLD STEEL DYNAMICS INC 200 500
STNRF STEINER LEISURE LTD 500 1000
STYL STYLING TECH CORP 200 500
SUBK SUFFOLK BNCP 500 1000
SUPC SUPERIOR CONSULTANT 500 1000
SWBC STERLING WEST BNCP 200 500
SWBI SOUTHWEST BANCSHARES 200 500
SWBT SOUTHWEST BANCP TX 200 500
SWLDY SMALLWORLDWIDE ADR 500 1000
T
TACT TRANSACT TECH INC 500 1000
TALX TALX CORP 500 1000
TBCOA TRIATHLON BRDCSTG A 500 1000
TBCOL RIATHALON BD DEP SH 500 200
TCAM TRANS CP OF AMER INC 500 1000
TCIX TOTAL CONTAINMENT 500 200
TCOMP TELE COMMUN PFD B 500 200
TESOF TESCO CORP 200 500
TEXP TITAN EXPLORATION 200 500
THNK T H I N K NEW IDEAS 200 500
THQI T HQ INC 500 1000
TISX TRUSTED INFO SYS >#/td> 500 1000
TKIOY TOKIO MARINE ADR 500 1000
TKTM TICKETMASTER GROUP 500 1000
TKTX TRANSKARYOTIC THERAP 500 1000
TMAI TECHNOLOGY MODELING 500 1000
TMAM T E A M AMERICA CORP 200 500
TMPL TEMPLATE SOFTWARE 200 500
TMPW T M P WORLDWIDE INC 200 500
TMRK TRIMARK HLDGS INC 500 1000
TRGI TRIDENT ROWAN GROUP 500 200
TRII TRANSCRYPT INTL INC 200 500
TRNI TRANS INDS INC 1000 500
TSATA T C I SAT ENT SER A 200 500
TTILF T T I TEAM TELECOM 200 500
TTRRW TRACOR INC WTS A 1000 500
TWLB TWINLAB CORP 500 1000
U
UBMT UNITED FINANCIAL CP 200 500
UNBCZ UNIONBANCAL CP DEP 1000 500
UNBJM UNITED NATL BNCP 500 1000
UNDG UNIDIGITAL INC 1000 500
UNFI UNITED NAT FOODS INC 500 1000
UOLP U O L PUBLISHING INC 200 500
UPCPO UNION PLANTERS PFD E 500 1000
UPEN UPPER PENINSULA ERGY 1000 500
UROH UROHEALTH SYSTEMS 200 500
UROQ UROQUEST MEDICAL CP 500 1000
USAK U S A TRUCK INC 500 1000
USFS U S FRANCHISE SYS A 500 1000
USLM U S LIME & MINERALS 1000 500
USPH U S PHYSICAL THERAPY 500 1000
USTR UNITED STATIONERS 500 1000
V
VDRY VACU DRY CO 500 200
VERS VERSATILITY INC 200 500
VGCO VIRGINIA GAS CO 500 1000
VIRS TRIANGLE PHARMACEUTS 500 1000
VISG VIISAGE TECH INC 500 1000
VLCCF KNIGHTSBRIDGE TANKER 200 500
VMSI VENTANA MED SYSTEMS 500 1000
VONE V-ONE CORP 500 1000
VOXW VOXWARE INC 500 1000
VPHM VIROPHARMA INC 200 500
VRSA VERSA TECH INC 1000 500
VSAT VIASAT INC 200 500
VTCH VITECH AMERICA INC 500 1000
VTEK VODAVI TECHNOLOGY 1000 500
VUTKW VIEW TECH INC WTS 500 1000
VVID VIVID TECHS INC 200 500
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W
WALBP WALBRO CAP TR CV PFD 200 500
WAMUO WASHINGTON MUT PFD C 500 1000
WCBI WESTCO BANCORP 500 1000
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WEHO WESTWOOD HOMESTEAD 500 1000
WEYS DWEYCO GP INC 200 500
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WGOV WOODWARD GOVERNOR CO 200 500
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WLFC WILLIS LEASE FIN CP 500 1000
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WTRS WATERS INSTRUMENTS 500 200
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X
XION XIONICS DOC TECHS 500 1000
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Y
YURI YURIE SYSTEMS INC 200 500
Z
ZAGIF Z A G INDS LTD 500 1000
ZHOM ZARING HOMES INC 500 1000
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ZSEV Z SEVEN FUND INC THE 200 500

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