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97-17 SOES Tier Levels Set To Change April 1, 1997

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Operations
Systems
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Executive Summary

Effective April 1, 1997, tier sizes for 692 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 (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 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 December 31, 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 December 31, 1996, were not subjected to the SOES tier-size review.

Following is a listing of the 692 Nasdaq National Market issues that will require a SOES tier-level change on April 1, 1997.



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

Symbol Company Name Old Tier Level New Tier Level
SRCE 1ST SOURCE CP 500 1000
HHHH 4HEALTH INC 500 1000
B
ABCB A B C BANCORP 500 1000
ACMTA A C M A T CP CL A 200 500
ANSS A N S Y S INC 500 1000
ASBP A S B FINANCIAL CP 500 1000
ASTSF A S E TEST LTD ORD 500 1000
ARONA AARON RENTS INC CL-A 1000 500
ABDR ABACUS DIRECT CP 200 500
AANB ABIGAIL ADAMS NATL 500 1000
ACRI ACACIA RESEARCH CORP 500 1000
ACCI ACC CONSUMER FIN CP 500 1000
ACEC ACE*COMM CORP 500 1000
ADECY ADECCO SA ADR 200 500
ADVP ADVANCE PARADIGM INC 200 500
ADIC ADVANCED DIG INFO CP 200 500
AFCI ADVANCED FIBRE COMM 200 500
ADVH ADVANCED HEALTH CORP 200 500
ADLT ADVANCED LIGHTING 500 1000
ARTT ADVANCED RADIO TELE 200 500
AADV ADVANTAGE BNCP INC 500 1000
AFFX AFFYMETRIX INC 500 1000
AFED AFSALA BANCORP INC 200 500
ABTX AGRIBIOTECH INC 500 1000
ANSY AIRNET SYSTEMS INC 500 1000
ASII AIRPORT SYS INTL INC 500 1000
AKSY AKSYS LTD 500 1000
ALGO ALGOS PHARMACEUTICAL 200 500
ALLE ALLEGIANT BNCP INC 200 500
ALLIF ALLIANCE COMMUN CP B 500 1000
ALLN ALLIN COMMUNICATIONS 200 500
ALET ALOETTE COSMETICS 500 1000
ALYN ALYN CORP 200 500
AMIE AMBASSADORS INTL INC 500 1000
AMBC AMER BNCP OHIO 500 200
ABIGP AMER BNKR INS GR PFD 500 1000
AHEPZ AMER HEALTH DEP SHRS 500 1000
AIFC AMER INDEMNITY FIN 200 500
ALHCP AMER LIFE HLDG PFD 500 1000
AMCN AMERICAN COIN MERCH 1000 500
ADSI AMERICAN DISPOSAL 500 1000
AMCI AMERICAN MEDSERV CP 200 500
AMPI AMPLICON INC 200 500
ANCO ANACOMP INC 200 500
ANCOW ANACOMP INC WTS 200 500
ADCC ANDEAN DEV CORP 200 500
ADCCW ANDEAN DEV CORP WTS 200 500
AMSI APACHE MEDICAL SYS 500 1000
AAII APPLIED ANALYTICAL 200 500
AICX APPLIED IMAGING CORP 200 500
AQLA AQUILA BIOPHARMACEUT 200 500
ARDM ARADIGM CP 500 1000
ARGT ARGENTBANK 500 200
ARKR ARK RESTAURANTS CP 500 1000
ARQL ARQULE INC 200 500
ASDV ASPECT DEVELOPMT 500 1000
ATRC ATRIA COMMUNITIES 200 500
AURM AURUM SOFTWARE INC 200 500
ABND AUTOBOND ACCEPT CP 200 500
ACAM AUTOCAM CP 500 1000
AIII AUTOLOGIC INFO INTL 500 1000
AVTR AVATAR HLDGS INC 500 1000
AVGN AVIGEN INC 500 1000
AVIR AVIRON 200 500
AWRD AWARD SOFTWARE INTL 200 500
AWRE AWARE INC 500 1000
AXYS AXSYS TECHS INC 500 200
B
BCBF B C B FIN SVCS CP 200 500
BHAG B H A GROUP INC S2 500 1000
BKCS B K C SEMICONDUCTORS 200 500
PAPA BACK BAY RESTAURANT 500 1000
BACU BACOU USA INC 1000 500
BPMI BADGER PAPER MILLS 200 500
BWINB BALDWIN LYONS CL B 500 1000
BPAO BALDWIN PIANO ORGAN 500 1000
BGLV BALLY'S GRAND INC 200 500
BGLVW BALLY'S GRAND INC WT 200 500
BTEK BALTEK CP 200 500
BANF BANCFIRST CP 1000 500
BKLA BANK OF LOS ANGELES 500 200
BOYL BANK OF YORBA LINDA 500 1000
BNKU BANK UNITED CORP 500 1000
VSLF BANYAN STRAT FUND II 500 1000
BNTT BARNETT INC 1000 500
BARRW BARRINGER TECH WTS 500 1000
BNHN BENIHANA INC 1000 500
BNTNW BENTON OIL & GAS WTS 500 1000
BEVB BEVERLY BANCORP INC 200 500
BILL BILLING INFO CONCEPT 500 1000
BIOP BIOPSYS MEDICAL INC 500 1000
BITS BITSTREAM INC 200 500
BLYDY BLYVOOR ADR NEW 500 1000
BOTX BONTEX INC 200 500
BBII BOSTON BIOMEDICA INC 200 500
BCGI BOSTON COMMUN GROUP 500 1000
BOXXA BOX ENERGY CP CL A 200 500
BXMNF BRE-X MINERALS LTD 200 500
BRBK BRENTON BANKS INC 500 1000
BNBC BROAD NATL BNCP 500 1000
BVSN BROADVISION INC 500 1000
BMTC BRYN MAWR BK CP 200 500
BUCK BUCKHEAD AMERICA CP 1000 500
BLGMY BUFFELSFONTEIN ADR 200 500
BPFB BUSINESS & PRO BANK 200 500
C
CBBI C B BANCSHARES INC 200 500
CBHI C BREWER HOMES INC A 500 1000
CNIT C E N I T BNCP INC 1000 500
CERB C E R B C O INC 200 500
CFCI C F C INTL INC 1000 500
CNBI C N BIOSCIENCES INC 200 500
CNWK C NET INC 500 1000
CRAU C R ANTHONY COMPANY 500 1000
CSPI C S P INC 200 500
CUNO C U N O INC 200 500
KDUS CADUS PHARM CORP 500 1000
CALGZ CAL FED BK GDW CERT 500 1000
CSTB CALIFORNIA STATE BK 500 1000
CAMH CAMBRIDGE HEART INC 500 1000
CAFI CAMCO FINANCIAL CP 200 500
WINEB CANANDAIGUA WINE B 500 200
CNDL CANDLEWOOD HOTEL CO 200 500
CANNY CANON INC ADR 1000 500
CNTL CANTEL INDS INC 500 1000
CCBT CAPE COD BK TR CO 500 1000
CCOW CAPITAL CP OF WEST 500 200
CAPF CAPITAL FACTORS HLDG 500 1000
CAPS CAPITAL SAV BNCP INC 1000 500
CRBO CARBO CERAMICS INC 500 1000
CPWY CARDIAC PATHWAYS CP 500 1000
CARD CARDINAL BSCHS INC 1000 500
CGCP CARDIOGENESIS CP 500 1000
CCVD CARDIOVASCULAR DYNMC 500 1000
CRSV CARRIAGE SERVICES 500 1000
CCCG CCC INFO SVCS GRP 500 1000
FLWR CELEBRITY INC 500 1000
CNDS CELLNET DATA SYSTEMS 200 500
CTBK CENTER BANKS INC 200 500
CYFN CENTURY FINANCIAL CP 500 200
CEON CERION TECH INC 500 1000
CFMT CFM TECHNOLOGIES INC 500 1000
CHLN CHALONE WINE GP LTD 500 1000
CHEM CHEMPOWER INC 500 1000
CHERA CHERRY CP CL A 500 1000
CHERB CHERRY CP CL B 500 1000
CNBA CHESTER BANCORP INC 200 500
CNMWW
CINCINNATI MICRO WTS 500 1000
CNRMF CINRAM LIMITED 200 500
CLMT CLAREMONT TECH GP 500 1000
CLFY CLARIFY INC 500 1000
CLSR CLOSURE MEDICAL CORP 200 500
CBSAP COASTAL BANC PFD A 200 500
MOKA COFFEE PEOPLE INC 200 500
WDRY COINMACH LAUNDRY 500
1000
CCLR COLLABORATIVE CLIN 500 1000
CGPI COLLAGENEX PHARM INC 500 1000
CBMD COLUMBIA BANCORP MD
1000 500
CCLWF COMMODORE HLDG WTS 500 1000
CCLNF COMMODORE HLDGS LTD 500 1000
CBNH COMMUNITY BANKSHARES 500 1000
CFIC COMMUNITY FIN CP 1000
500
CLCX COMPUTER LEARNING 500 1000
CMSX COMPUTER MGMT SCI 500 1000
CPTS CONCEPTUS INC 500 1000
CTWS
CONN WATER SVCS INC 1000 500
CNKT CONNECT INC 500 1000
CFWY CONS FREIGHTWAYS CP 200 500
CFIN CONSUMERS FIN CP 200
500
SNSR
CONTROL DEVICES INC 200 500
CRLBF CORE LABORATORIES NV 500 1000
CRVL CORVEL CP 500 1000
COSE COSTILLA ENERGY INC 200 500
CSLI COTTON STATES LIFE 500 1000
CAFEP COUNTRY STAR PFD A 500 1000
CRRC COURIER CP 500 1000
CNSK COVENANT BK FOR SAV 500 1000
CREG CRAIG CONSUMER ELECT 500 1000
CRNSF CRONOS GROUP (THE) 500 1000
CBST CUBIST PHARMACEUTCLS 200 500
CYBR CYBERMEDIA INC 200 500
CYMI CYMER INC 200 500
D
DBTO D B T ONLINE INC 200 500
DNAP D N A P HLDG CP 200 500
DALY DAILEY PETROLEUM 500 1000
DASTY DASSAULT SYSTEME ADR 500 1000
DPRC DATA PROCESSING RES 500 1000
DMAR DATAMARINE INTL INC 500 1000
DGTC DEL GLOBAL TECH CP 500 1000
DGAS DELTA NATURAL GAS 1000 500
DEVC DEVCON INTL CP 500 1000
DEVN DEVON GROUP INC 500 1000
DCRN DIACRIN INC 500 1000
DITI DIATIDE INC 500 1000
DDRX DIEDRICH COFFEE 200 500
DIGE DIGENE CPM 500 1000
DIGX DIGEX INC 200 500
DIME DIME COMMUNITY BNCP 500 1000
DOCX DOCUMENT SCI CP 200 500
DEZI DONNELLY ENT SOLUTIO 200 500
DRYR DREYERS GRAND ICE 500 1000
DRLX DRILEX INTL INC 500 1000
DPMI DUPONT PHOTOMASKS 500 1000
DRRA DURA AUTO SYSTEMS 500 1000
DROOY DURBAN ROODEPOOR ADR 200 500
DYMX DYNAMEX INC 500 1000
BOOM DYNAMIC MATERIALS CP 500 1000
E
ELXS E L X S I CP 500 1000
EZCIA E Z COMMUN CL A INC 1000 500
EGRP E*TRADE GROUP INC 500 1000
ESTI ECLIPSE SURGICAL TEC 500 1000
EDCO EDISON CONTROL CP 500 200
EDMC EDUCATION MGMT CORP 200 500
EDMDM EDUCATIONAL MEDICAL 200 500
ENBX EINSTEIN/NOAH BAGEL 500 1000
ELSE ELECTRO SENSORS INC 200 500
EHST ELECTRONIC HAIR STYL 500 1000
ETCIA ELECTRONIC TELECOM A 1000 500
ESCP ELECTROSCOPE INC 500 1000
EMER EMERGENT GROUP INC 200 500
ENML ENAMELON INC 200 500
ERCC ENERGY RESEARCH CP 1000 500
ENMD ENTREMED INC 500 1000
EQUUS EQUUS GAMING UTS A 1000 500
ESCA ESCALADE INC 1000 500
EXAC EXACTECH INC 500 1000
F
FMBN F & M BANCORP (MD) 500 1000
FMCO F M S FINANCIAL CP 200 500
FRPP F R P PROPERTIES INC 200 500
FRLN FARALLON COMMUN INC 500 1000
FAXX FAXSAV INC 200 500
FAMCK FEDERAL AGRIC MORT C 500 1000
FMRX FEMRX INC 500 1000
FFED FIDELITY FED BNCP 500 1000
FFRV FIDELITY FIN BKSH CP 1000 500
LION FIDELITY NATL CP 200 500
ROMN FILM ROMAN INC 200 500
FSAT FIN SVCS ACQ CORP 200 500
FSATW FIN SVCS ACQ CP WT A 200 500
FSATZ FIN SVCS ACQ CP WT B 200 500
FINE FINE HOST CP 500 1000
FMST FINISHMASTER INC 500 1000
FACO FIRST ALLIANCE CP 500 1000
FAHC FIRST AMER HEALTH 500 1000
FBSI FIRST BANCSHARES INC 500 200
FBNKP FIRST BKS CUM PFD C 500 200
FCNCA FIRST CITIZENS CL A 500 1000
FSTC FIRST CITIZENS CORP 500 200
FENT FIRST ENTERPRISE FIN 500 1000
FFBG FIRST FED SVGS BK GA 200 500
FFHS FIRST FRANKLIN CP 500 200
FGHC FIRST GEORG HLDGS 200 500
FLFC FIRST LIBERTY FIN 500 1000
CASH FIRST MIDWST FIN INC 200 500
FMOR FIRST MTGE CP 500 200
FMSB FIRST MUTUAL SAV BK 200 500
FNGB FIRST NORTHERN CAPs 1000 500
FSNJ FIRST SAV BK OF NJ 200 500
FSTH FIRST SO BCSHS INC 500 1000
UNTD FIRST UNITED BCSHS 200 500
FFDP FIRSTFED BANCSHARES 1000 500
PUCK FLORIDA PANTHERS HLD 200 500
FPWR FOUNTAIN PWRB IND 200 500
FPIC FPIC INSURANCE GROUP 500 1000
FSON FUSION MEDICAL TECH 500 1000
G
GKNS G K N HOLDING CP 500 1000
GSES G S E SYSTEMS INC 500 1000
GBOT GARDEN BOTANIKA INC 500 1000
GOYL GARGOYLES INC 200 500
GMCC GEN MAGNAPLATE CP 200 500
GENBB GENESEE CP B 200 500
GENXY GENSET ADR 500 1000
GNSM GENSYsM CP 500 1000
GSCI GEOSCIENCE CP 500 1000
GERN GERON CORP 500 1000
JACK GOLDEN BEAR GOLF 500 1000
GLDC GOLDEN ENTRPRS INC 500 1000
GNCNF GORAN CAPITAL INC 1000 500
GRDL GRADALL INDS INC 200 500
GPFI GRAND PREMIER FIN 200 500
GPLB GRAND PRIX ASSOC LB 500 1000
GFNL GRANITE FINANCIAL 200 500
GSBC GREAT SOUTHERN BNCP 500 1000
GBBK GREATER BAY BANCORP 200 500
GVPMY GROOTVLEI PROP ADR 200 500
GSOF GROUP I SOFTWARE INC 500 200
H
HFFC H F FINANCIAL CP 500 1000
HDVS H. D. VEST INC 1000 500
HAHN HAHN AUTOMOTIVE 500 200
HALL HALLMARK CAP CP 500 1000
HNBC HARLEYSVILLE NATL CP 500 1000
HGMCY HARMONY GOLD MNG ADR 200 500
HFGI HARRINGTON FIN GRP 500 1000
HSDC HEALTH SYS DESIGN CP 500 1000
HCOR HEALTHCOR HLDGS INC 500 1000
HECHB HECHINGER CO CL B 500 1000
HAHIW HELP AT HOME INC WTS 1000 500
HBCI HERITAGE BANCORP INC 200 500
HERS HERITAGE FINL SVC IL 1000 50
HIBB HIBBETT SPORTING 200 500
HBNK HIGHLAND FEDERAL BK 500 1000
HIFS HINGHAM INSTI SAVING 200 500
HLGRF HOLLINGER INC 500 1000
HBEI HOME BANCP ELGIN 200 500
HOMF HOME FEDERAL BANCORP 1000 500
HPII HOME PRODUCTS INTL 500 1000
HMGT HOMEGATE HOSPITALITY 200 500
HZWV HORIZON BNCP INC 200 500
HOSP HOSPOSABLE PROD INC 500 200
HOTT HOT TOPIC INC 200 500
HFAB HOUSE OF FABRICS 500 1000
HUMP HUMPHREY HOSP TR INC 500 1000
I
IACP I A CORPORATION I 200 500
ICTG I C T GROUP INC 500 1000
ICTSF I C T S INTL NV 500 1000
IMCC IMC MORTGAGE CO 500 1000
ISTR INCSTAR CP 500 1000
INDI INDIVIDUAL INV GRP 500 1000
IMIC INDUSTIR-MATEMATIK 200 500
INFN INFINITY FIN TECH 500 1000
IMRS INFO MGMT RESOURCES 200 500
SEEK INFOSEEK CP 500 1000
ISER INNOSERV TECH INC 500 1000
IDEA INNOVASIVE DEVICES 500 1000
INSL INSILCO CP 500 1000
ILABY INSTRUMENTATION ADR 200 500
ILCC INTEGRATED LIVING 200 500
IMRI INTEGRATED MED RES 200 500
INTD INTELIDATA TECHS CP 200 500
ITIG INTELLIGROUP INC 200 500
IHCC INTENSIVA HLTHCR CP 200 500
INTG INTERGROUP CP THE 500 200
INLK INTERLINK COM SCIENC 500 1000
ISTN INTERSTATE NATL DLR 500 1000
ISTNW INTERSTATE NATL WTS 500 1000
IVBK INTERVISUAL BOOKS 500 1000
IMSI INTL MICROCOMP SFTWR 500 1000
INSS INTL NETWORK SVCS 200 500
POST INTL POST LIMITED 500 1000
ISCA INTL SPEEDWAY CL A 200 500
ITDS INTL TELECOM DATA 200 500
ITIC INVESTORS TITLE CO 500 1000
IPSW IPSWICH SAV BK 1000 500
ISKO ISCO INC 500 1000
ILDCY ISRAEL DEVEL LTD ADR 500 200
IIXC IXC COMMUNICATION 500 1000
J
JTAX JACKSON HEWITT INC 1000 500
JCORZ JACOR COMM INC WTS 200 500
JANNF JANNOCK LIMITED 500 1000
K
KLLM K L L M TRANSPORT SV 500 1000
KTII K TRON INTL INC 500 1000
KTEL K-TEL INTL INC 500 1000
KPSQ KAPSON SNR QUARTERS 200 500
KARR KARRINGTON HEALTH 500 1000
KAYE KAYE GROUP INC 200 500
KTCO KENAN TRANSPORT CO 200 500
KWIC KENNEDY-WILSON INTL 200 500
KVCO KEVCO INC 200 500
KEYS KEYSTONE AUTOMTV IND 500 1000
KTTY KITTY HAWK INC 200 500
KLOCZ KUSHNER-LOCK WT C 500 1000
L
LCCI L C C INTL INC 500 1000
LXBK L S B BANCSHARES NC 200 500
LBOR LABOR READY INC 500 1000
LAMR LAMAR ADVERTISING A 500 1000
LARK LANDMARK BSCHS INC 500 200
LDII LARSON DAVIS INC 500 1000
LASRF LASER INDUSTRIES LTD 500 1000
LSON LASON INC 200 500
LEAP LEAP GROUP (THE) 200 500
LFED LEEDS FED SAV BANK 200 500
CHAIZ LIFE MED SCI WT B 1000 500
LTBG LIGHTBRIDGE INC 200 500
LNDL LINDAL CEDAR HOMES 500 1000
LFUSW LITTELFUSE INC WTS 200 500
LEIX LOWRANCE ELECTRONICS 500 1000
M
MARC M A R C INC 500 1000
MBLF M B L A FINL CORP 200 500
MCICP M C I CAP 1 A QUIPS 500 1000
MIMS M I M CORPORATION 500 1000
MLCHM M L C HOLDINGS INC 200 500
MWAV M-WAVE INC 500 1000
MACC MACC PRIVATE EQU INC 200 500
MACD MACDERMID INC 200 500
MKFCF MACKENZIE FIN CP 500 1000
MANA MANATRON INC 1000 500
MFACM MARKET FACTS INC 200 500
MBJI MARKS BROS. JEWELERS 500 1000
MWHX MARKWEST HYDROCARBON 200 500
MARSA MARSH SUPERMARKETS A 500 1000
MFCX MARSHALLTOWN FIN CP 500 1000
MSDX MASON-DIXON BCSHS 500 1000
MTXC MATRIX CAP CORP 200 500
MTSN MATTSON TECH INC 500 1000
MOIL MAYNARD OIL CO 500 1000
MCLD MCLEOD INC CL A 500 1000
MBRK MEADOWBROOK REHAB A 200 500
MDII MECHANICAL DYNAMICS 500 1000
MECH MECHANICS SAV BK 500 1000
TAX MEDALLION FIN CP 500 1000
MEDJ MEDI-JECT CORP 200 500
MAII MEDICAL ALLIANCE INC 200 500
MGCCM MEDICAL GRAPHICS CP 500 1000
MDKI MEDICORE INC 500 1000
MEDQ MEDQUIST INC 500 1000
MBRS MEMBERWORKS INC 200 500
MEMCF MEMCO SOFTWARE LTD 200 500
MIGI MERIDIAN INS GP INC 1000 500
MTEC MERIDIAN MED TECH 500 1000
MRET MERIT HOLDING CP 1000 500
MTRS METRIS COMPANIES INC 200 500
MTNT METRO NETWORKS INC 200 500
MTON METRO ONE TELECOMM 200 500
METF METROPOLITAN FIN CP 200 500
MTWKF METROWERKS CORP 500 1000
METZ METZLER GROUP INC 200 500
MCSC MIAMI COMPUTER SUPPL 200 500
MINT MICRO-INTEGRATION CP 500 1000
MVIS MICROVISION INC 200 500
MVISW MICROVISION WTS 200 500
MIAMP MID AM CUM CNV PFD A 200 500
MCBS MID CONT BCSHS INC 500 1000
MSEX MIDDLESEX WATER CO 1000 500
MFFC MILTON FED FINL CP 500 1000
MBLE MOBILE GAS SERVICE 1000 500
MONEP MONEY STORE PFD 200 500
MNRTA MONMOUTH REAL INV A 500 1000
MORP MOORE PRODUCTS CO 500 200
MOYC MOYCO TECH INC 500 1000
MZON MULTIPLE ZONES INTL 500 1000
N
NCOG N C O GROUP INC 200 500
NSAI N S A INTL INC 1000 500
NSTK NASTECH PHARM CO 500 1000
NCBE NATL CITY BANCSHARES 1000 500
NCBM NATL CITY BNCP 500 1000
NATI NATL INSTRUMENTS CP 1000 500
NEOT EOTHERAPEUTICS INC 200 500
NEOTW NEOTHERAPEUTICS WTS 200 500
NETVA NETVANTAGE INC CL A 500 1000
IMGXW NETWORK IMAGING WTS 1000 500
NBIX NEUROCRINE BIOSCI 500 1000
NECB NEW ENGLAND COMM A 1000 500
NYBS NEW YORK BAGEL ENT 200 500
NMTI NITINOL MED TECHS 200 500
NCBH NORTH COUNTY BANCORP 200 500
TNFI NORTH FACE INC (THE) 500 1000
NWTL NORTHWEST TELEPROD 500 1000
NMTXW NOVAMETRIX MED WTS A 1000 500
NMTXZ NOVAMETRIX MED WTS B 500 200
NOVT NOVOSTE CP 500 1000
NUKO NUKO INFO SYS INC 500 1000
O
OSBF O S B FINANCIAL CP 200 500
OTRX O T R EXPRESS INC 500 1000
OGAR O'GARA COMPANY (THE) 200 500
OCIS OACIS HLTHCR HLDG 500 1000
OHSC OAK HILL SPORTSWEAR 500 1000
ODIS OBJECT DESIGN INC 500 1000
OCFC OCEAN FINANCIAL CORP 500 1000
OCWN OCWEN FINANCIAL CP 200 500
OEDC OFFSHORE ENERGY DEV 200 500
OGLE OGLEBAY NORTON CO 500 200
OLGR OILGEAR CO 200 500
ODFL OLD DOMINION FREIGHT 500 1000
OMGR OMNI INSURANCE GP 1000 500
ONCO ON COMMAND CORP 200 500
OWAV ONEWAVE INC 500 1000
ONDI ONTRACK DATA INTL 200 500
OMKT OPEN MARKET INC 500 1000
PLAN OPEN PLAN SYS INC 500 1000
OPTK OPTIKA IMAGING SYS 500 1000
OGNB ORANGE NATL BNCP 500 200
OROA OROAMERICA INC 500 1000
OZEMY OZEMAIL LTD ADR 500 1000
P
PFINA P F INDS INC A 500 1000
PJAM P J AMERICA INC 200 500
PCCI PACIFIC CREST CAP 500 1000
PGEX PACIFIC GATEWAY EXCH 500 1000
PMWI PAGEMART WIRELESS A 500 1000
PVAT PARAVANT COMP SYS 500 1000
PVATW PARAVANT COMP WTS 500 1000
PFED PARK BANCORP INC 500 1000
PVSA PARKVALE FINL CP 500 1000
PRLX PARLEX CP 500 200
PLSS PEERLESS GROUP INC 200 500
PRLS PEERLESS SYSTEMS CP 200 500
PGTV PEGASUS COMMUNICATIO 200 500
PEGA PEGASYSTEMS INC 500 1000
PFDC PEOPLES BANCORP 200 500
PPLS PEOPLES BK CP OF IND 500 200
TPMI PERSONNEL MGMT INC 500 1000
PLIT PETROLITE CP 1000 500
PPRT PHARMAPRINT INC 500 1000
PTRN PHOTRAN CP 500 1000
PIFI PIEMONTE FOODS INC 200 500
PINN PINNACLE BANC GP INC 500 1000
SIGN PLASTI LINE INC 500 1000
PBYP PLAY BY PLAY TOYS 500 1000
POBR POE & BROWN INC 500 1000
PRRC PRECISION RESPONSE 500 1000
PBKC PREMIER BKSHS 200 500
PFBI PREMIER FIN BNCP INC 500 1000
PARK PREMIER PARKS INC 500 1000
PMIS PREMIS CORP 500 1000
PRBC PRESTIGE BNCP INC 500 1000
PENG PRIMA ENERGY CP 1000 500
PSAB PRIME BNCP INC 1000 500
PRMEP PRIME RETAIL PFD B 1000 500
PRTL PRIMUS TELECOM GROUP 200 500
AFIS PRINTRAK INTL INC 500 1000
PFACP PRO-FAC COOP PFD A 500 1000
PSTFY PROFESSIONL STAF ADR 500 1000
PSDS PROSOURCE INC 200 500
PROV PROVIDENT FIN HLD 500 1000
PCNA PUBLISHING CO OF NA 500 1000
PULS PULSE BANCORP INC 500 200
Q
QEPC Q E P CO INC 200 500
QMDC QUADRAMED CP 200 500
QDELW QUIDEL CP WTS 2000 500 1000
QUIP QUIPP INC 500 1000
R
RGFC R & G FINANCIAL CORP 200 500
RMHT R M H TELESERVICE 200 500
RAGS RAG SHOPS INC 500 1000
RLLYW RALLY'S HAMBURGER WT 200 500
RARB RARITAN BANCORP INC 200 500
RGFX RASTER GRAPHICS INC 500 1000
RDGE READING ENT INC 500 1000
RLCO REALCO INC 500 1000
RWTIP REDWOOD TR PFD B 500 1000
RFTN REFLECTONE INC 1000 500
REGI REGISTRY INC (THE) 500 1000
RELV RELIV INTL INC 200 500
REMX REMEDYTEMP INC 500 1000
RSVC RENTAL SERVICE CORP 200 500
REPB REPUBLIC BCSHS INC 500 1000
RENG RESEARCH ENGINEERS 500 1000
RESR RESEARCH INC 200 500
RBKV RESOURCE BANK 500 200
RMRPN RESOURCE MTG PFD C 200 500
RTRK RESTRAC INC 500 1000
RHEM RHEOMETRICS SCI INC 500 1000
RELL RICHARDSON ELECT LTD 500 1000
RIDG RIDGEVIEW INC 200 500
RIMG RIMAGE CP 1000 500
RSHX ROCKSHOX INC 200 500
RSTI ROFIN-SINAR TECHS 200 500
RBPAA ROYAL BSCHS OF PA A 1000 500
RUSH RUSH ENTERPRISES INC 500 1000
RMOC RUTHERFORD-MORAN OIL 500 1000
RBCO RYAN BECK CO INC 500 1000
S
SFED S F S BANCORP INC 1000 500
SRSL S R S LABS INC 500 1000
SSNC S S & C TECH INC 500 1000
SBTK SABRATEK CP 500 1000
SHCID SALICK HLTH NEW SPL 500 1000
SCAI SANCHEZ COMPUTER ASS 200 500
SASR SANDY SPRING BNCP 200 500
SABB SANTA BARBARA BNCP 1000 500
SCBI SCB/COMPUTER TECH 500 1000
SCHR SCHERER HEALTHCARE 200 500
SEAC SEA CHANGE INTL INC 200 500
SEWY SEAWAY FOOD TOWN INC 200 500
SECD SECOND BANCORP INC 1000 500
SFBM SECURITY BANCORP 500 1000
SBHC SECURITY BK HLDG CO 200 500
SFNB SECURITY FIRST NTWK 500 1000
SLCTY SELECT SOFTWARE ADR 200 500
SENEA SENECA FOODS CP A 200 500
SLFC SHORELINE FIN CP 200 500
SEBL SIEBEL SYSTEMS INC 500 1000
SIGR SIGNATURE RESORTS 500 1000
SGIC SILICON GAMING INC 500 1000
SFNCA SIMMONS FIRST NATL A 500 1000
SMCI SIMULATION SCIENCES 200 500
SWLDY SMALLWORLDWIDE ADR 200 500
SMTK SMARTALK TELESVCS 200 500
SMXC SMITHWAY MOTOR XPRES 500 1000
SRSV SOURCE SERVICES CP 500 1000
SSFC SOUTH STREET FIN CP 200 500
SWBI SOUTHWEST BANCSHARES 500 200
SWPA SOUTHWEST NATL CP 200 500
SVRNP SOVEREIGN BNCP PFD B 500 1000
SPEK SPEC S MUSIC INC 500 1000
CTLG SPECIALTY CATALOG CP 200 500
DIAGF SPECTRAL DIAGNOSTICS 500 1000
SPLH SPLASH TECH HLDGS 200 500
STAF STAFFMARK INC 200 500
STGE STAGE STORES INC 200 500
SFSW STATE FINL SVCS CL A 500 200
STNRF STEINER LEISURE LTD 200 500
SRCL STERICYCLE INC 200 500
SWBC STERLING WEST BNCP 500 200
SHOO STEVEN MADDENS LTD 500 1000
SHOOZ STEVEN MDNS WTS B 500 1000
EASY STORM TECH INC 200 500
STRA STRAYER EDUCATION 500 1000
SLAM SUBURBAN LODGES AMER 500 1000
SOSC SUBURBAN OSTOMY SUPP 200 500
SBGA SUMMIT BANK CORP 200 500
SMMT SUMMIT DESIGN INC 200 500
SSPW SUN SPORTSWEAR INC 500 1000
SUNQ SUNQUEST INFO SYS 500 1000
SNRZ SUNRISE ASSISTED LIV 500 1000
SILVZ SUNSHINE MINING WTS 200 500
SUPC SUPERIOR CONSULTANT 200 500
SPPR SUPERTEL HOSPITALITY 500 1000
SIGC SYMONS INTL GROUP 200 500
SIND SYNTHETIC INDS INC 200 500
T
TALX T A L X CORP 200 500
TSRI T S R INC 500 1000
TBAC TANDY BRANDS ACCESS 500 1000
TPNZ TAPPAN ZEE FIN INC 1000 500
TPACP TCI PAC COM EXCH PFD 500 1000
TMAI TECHNOLOGY MODELING 200 500
TCGX TELCO COMMUN GROUP 500 1000
LBTYB TELE COMM B LBY MEDA 200 500
TCGI TELEPORT COMMUN GR A 500 1000
TLSP TELESPECTRUM WRLDWDE 500 1000
TTEC TELETECH HLDGS INC 500 1000
TANT TENNANT CO 500 1000
TSMAF TESMA INTL INC A 200 500
TDCA THERAPEUTIC DISC A 500 1000
TMXI THERMATRIX INC 500 1000
TMSTA THOMASTON MILLS A 200 500
THRNY THORN PLC ADR 200 500
TIMT TITANIUM METALS CP 500 1000
TCAM TRANS CP OF AMER INC 1000 500
TRNI TRANS INDS INC 500 1000
TLII TRANS LEASING INTL 500 1000
TACT TRANSACT TECH INC 200 500
TRCW TRANSCOR WASTE SERV 500 1000
TKTX TRANSKARYOTIC THERAP 200 500
TRNS TRANSMATION INC 500 1000
TNZRY TRANZ RAIL HLDGS ADR 500 1000
TRVS TRAVIS BOATS & MOTOR 500 1000
VIRS TRIANGLE PHARMACEUTS 200 500
TMAR TRICO MARINE SVCS 500 1000
TEAL TRITEAL CORPORATION 500 1000
THBC TROY HILL BNCP INC 1000 500
TISX TRUSTED INFO SYSTEMS 200 500
TFCO TUFCO TECHS INC 500 1000
PYTV TV FILME INC 500 1000
TWLB TWINLAB CORP 200 500
U
CHDX U S CHINA IND EXCH 500 1000
USFS U S FRANCHISE SYS A 200 500
UGLY UGLY DUCKLING CP 500 1000
UNFY UNIFY CP 500 1000
UPCPO UNION PLANTERS PFD E 1000 500
UBCD UNIONBANCORP INC 200 500
UHLI UNITED HOME LIFE INS 200 500
UNFI UNITED NAT FOODS INC 200 500
UPUP UNITED PAY & UN PROV 500 1000
USTR UNITED STATIONERS 1000 500
UOUT UNIVERSAL OUTDOOR 500 1000
UPEN UPPER PENINSULA ERGY 500 1000
UCOR UROCOR INC 500 1000
ULGX UROLOGIX INC 500 1000
UROQ UROQUEST MEDICAL CP 200 500
V
VSEC V S E CP 500 200
VONE V-ONE CORP 200 500
VDRY VACU DRY CO 200 500
VALU VALUE LINE INC 500 1000
VRLK VERILINK CP 500 1000
VRSA VERSA TECH INC 500 1000
VSNT VERSANT OBJECT TECH 500 1000
VYTL VIATEL INC 200 500
VUTKW VIEW TECH INC WTS 1000 500
VISG VIISAGE TECH INC 200 500
VMRX VIMRX PHARM INC 500 1000
VRGN VIRAGEN INC 500 1000
VRII VIRUS RESEARCH INST 500 1000
VSGN VISIGENIC SOFTWARE 500 1000
VSIO VISIO CORP 500 1000
VTCH VITECH AMERICA INC 200 500
VOXW VOXWARE INC 200 500
W
WVFC W V S FINANCIAL CP 200 500
WAIN WAINWRIGHT BK TR CO 500 1000
WALS WALSHIRE ASSURANCE 500 1000
WRNB WARREN BANCP INC 500 1000
WAMUM WASHINGTON MUT PFD E 500 1000
WYNE WAYNE BANCORP INC DE 500 1000
WEFC WELLS FINANCIAL CP 1000 500
WBAN WEST COAST BNCP (FL) 500 1000
WWCA WESTERN WIRELESS A 500 1000
WEHO WESTWOOD HOMESTEAD 200 500
WPNE WHITE PINE SOFTWARE 200 500
OATS WILD OATS MARKETS 200 500
WLFC WILLIS LEASE FIN CP 200 500
X
XVRC XAVIER CORP 500 1000
XION XIONICS DOC TECHS 200 500
XLCT XLCONNECT SOLUTIONS 200 500
XOMD XOMED SURG PRODS INC 200 500
Y
YRKG YORK GRP INC (THE) 1000 500
Z
ZAGIF Z A G INDS LTD 200 500
ZION ZIONS BANCORP 1000 500


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