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99-104 Maximum SOES Order Sizes Set To Change January 10, 2000

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SOES Order Sizes

SUGGESTED ROUTING

KEY TOPICS

Legal & Compliance
Operations
Systems
Trading
SOES Maximum Order Sizes

The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.

Executive Summary

Effective January 10, 2000, the maximum Small Order Execution SystemSM (SOESSM) order sizes for 534 Nasdaq National Market® (NNM) securities will be revised in accordance with National Association of Securities Dealers, Inc. (NASD®) Rule 4710(g).

In previous quarters, Nasdaq® has implemented the reclassification on the first trading day of the quarter; because Nasdaq Market Operations is planning to suspend the processing of data changes from December 27, 1999, through January 3, 2000—as part of the transition to the Year 2000 (Y2K)—Nasdaq is implementing the instant reclassification on January 10, 2000, instead of January 3, 2000.

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

Description

Under Rule 4710, the maximum SOES order size for an NNM security is 1,000, 500, or 200 shares, depending on the trading characteristics of the security. The Nasdaq Workstation II® (NWII) indicates the maximum SOES order size for each NNM security. The indicator "NM10," "NM5," or "NM2" displayed in NWII corresponds to a maximum SOES order size of 1,000, 500, or 200 shares, respectively.

The criteria for establishing maximum SOES order sizes are as follows:

(1) a 1,000-share maximum order size shall apply to NNM securities on SOES with an average daily non-block volume of 3,000 shares or more a day, a bid price of less than or equal to $100, and three or more Market Makers;
(2) a 500-share maximum order size shall apply to NNM securities on SOES with an average daily non-block volume of 1,000 hares or more a day, a bid price of less than or equal to $150, and two or more Market Makers; and
(3) a 200-share maximum order size shall apply to NNM securities with an average daily non-block volume of less than 1,000 shares a day, a bid price of less than or equal to $250, and two or more Market Makers.

In accordance with Rule 4710, Nasdaq periodically reviews the maximum SOES order size applicable to each NNM security to determine if the trading characteristics of the issue have changed so as to warrant an adjustment. Such a review was conducted using data as of October 31, 1999, pursuant to the aforementioned standards. The maximum SOES order-size changes called for by this review are being implemented with three exceptions.

  • First, issues were not permitted to move more than one size level. For example, if an issue was previously categorized in the 1,000-share level, it would not be permitted to move to the 200-share level, even if the formula calculated that such a move was warranted. The issue could move only one level to the 500-share level as a result of any single review.


  • Second, for securities priced below $1 where the reranking called for a reduction in the level, the maximum SOES order size was not reduced.


  • Third, for the top 50 Nasdaq securities based on market capitalization, the maximum SOES order sizes were not reduced, regardless of whether the reranking called for a reduction.

In addition, with respect to initial public offerings (IPOs), the SOES order-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 October 31, 1999, were not subject to SOES order-size reranking procedures.

Following is a listing of the 534 NNM issues that will have the maximum SOES order size changed on January 10, 2000.

Maximum SOES Order Size Changes in NNM Securities
All Issues In Alphabetical Order By Security Name
(Effective January 10, 2000)
Symbol Security Name Old Level New Level
A
ABANP ABI CAP TRUST PFD 500 200
ABBKP ABINGTON TR PFD 500 200
ABDR ABACUS DIRECT CP 1000 500
ABFSP ARKANSAS BEST 1000 500
ABTL AUTOBYTEL.COM INC 500 1000
ACDO ACCREDO HEALTH INC 500 1000
ACRU ACCRUE SOFTWARE INC 200 500
ADBL AUDIBLE INC 200 500
ADECY ADECCO SA ADR 500 1000
ADFC ADFORCE INC 500 1000
AFCO APPLIED FILMS CORP 1000 500
AIII AUTOLOGIC INFO INT 500 200
AIRO AIRONET WIRELESS 200 500
ALNC ALLIANCE FINL CP 500 1000
ALOT ASTRO MED INC 1000 500
ALOY ALLOY ONLINE INC 500 1000
AMBCP AMER BNCP CAP TR 500 200
AMNB AMER NATL BANKSHS 500 1000
AMTD AMERITRADE HLDG A 500 1000
ANBC A N B CP 500 1000
ANDR ANDERSEN GROUP INC 1000 500
ANTV ANTENNA TV SA ADR 500 1000
APGRW ARCH COMMUN GRP WTS 200 500
APLN ATPLAN INC 200 500
APNT APPNET SYSTEMS 200 500
ARBA ARIBA INC 200 500
ARDNA ARDEN GROUP CL A 500 200
AREM AREMISSOFT CORP 500 1000
ARGY ARGOSY ED GRP CL A 500 1000
ARTG ART TECH GROUP 200 500
ASKJ ASK JEEVES INC 200 500
ASWX ACTIVE SOFTWARE INC 200 500
ATHY APPLIEDTHEORY CP SR 500 1000
ATLPP ATLANTIC PFD CAP CP 1000 500
AUDC AUDIOCODES LTD 200 500
AVIIZ AVI BIOPHARMA WTS 200 500
AWEB AUTOWEB.COM INC 500 1000
B
BANF BANCFIRST CP 1000 500
BBDC BRANTLEY CAP CORP 500 1000
BBSI BARRETT BUSINESS 1000 500
BCIS BANCINSURANCE CP 500 1000
BEOS BE INCORPORATED 200 500
BESI B E SEMICON ORD 500 200
BGST BIGSTAR ENTERTNMENT 200 500
BIDS BID.COM INTL INC 500 1000
BIGE BIG ENTERTAIN INC 500 1000
BIGT PINNACLE HLDGS INC 500 1000
BIORY BIORA AB ADR 500 1000
BIZZ BIZNESSONLINE.COM 500 1000
BKCT BANCORP CONN INC 1000 500
BKUNZ BANKUNITED CAP II 1000 500
BLCA BOREL BK & TR (CA) 200 500
BMCCP BANDO MCGLOC PFD A 200 500
BMRN BIOMARIN PHARMACEUT 200 500
BNBN BARNESANDNOBLE.COM 200 500
BNCC BNCCORP INC 1000 500
BNHNA BENIHANA INC A 500 1000
BOUT ABOUT.COM INC 500 1000
BPAO BALDWIN PIANO ORGA 500 1000
BPUR BIOPURE CORP CL A 200 500
BRID BRIDGFORD FOODS CP 1000 500
BRNC BRAUN CONSULTING SE 200 500
BSRR BANK OF THE SIERRA 200 500
BTEK BALTEK CP 1000 500
BUCA BUCA INC 500 1000
BUCK BUCKHEAD AMERICA 500 200
BVSN BROADVISION INC 1000 500
BWEB BACKWEB TECH LTD 200 500
BWFC BANK WEST FIN CORP 1000 500
BWINA BALDWIN LYONS CL A 200 500
C
CAII CAPITAL ASSOC 500 1000
CAIS CAIS INTERNET INC 200 500
CAND CANDIES INC 1000 500
CARI CAREINSITE INC 200 500
CAVB CAVALRY BANCORP 1000 500
CBDR CAREERBUILDER INC 500 1000
CBLT COBALT GROUP INC 200 500
CBSAO COASTAL BCP PFD A 500 200
CCBG CAPITAL CITY BANK 500 1000
CCBP COMM BANCORP INC 500 200
CCHE CLINICHEM A 500 1000
CCRT COMPUCREDIT CORP 500 1000
CDCY COMPUDYNE CORP 200 500
CDOT COMPS.COM INC 500 1000
CEBK CENTRAL CO OP BANK 500 1000
CEDC CENTRAL EURO DIS 500 1000
CENI CONESTOGA ENTRPR I 500 1000
CERI CAPITAL ENVIR RES 200 500
CFBC COMMUNITY FIRST BN 1000 500
CFBI CAROLINA FIRST BNCSH 500 1000
CFCI C F C INTL INC 500 1000
CFFI C&F FINANCIAL CP 200 500
CFFN CAPITOL FEDERAL FINL 500 1000
CFNC CAROLINA FINCORP 1000 500
CHINA CHINA.COM CORP CL A 200 500
CHLN CHALONE WINE GP LT 1000 500
CIBN CALIFORNIA IND BNC 200 500
CINS CIRCLE INCOME SHAR 1000 500
CLBK COMMERCIAL BANKSHR 500 200
CLGYW CELLEGY PHARM INC WT 500 1000
CLRN CLARENT CORP 200 500
CMBC COMMUNITY BANKCORP 500 1000
CMDX CHEMDEX CORP 200 500
CMETS CONTL MORTGAGE EQUIT 500 1000
CMRC COMMERCE ONE INC 200 500
CMTN COPPER MOUNTN NTWKS 500 1000
CNBKP CENTURY BCP CAP TR 1000 500
CNRM CINRAM INTL INC 500 200
CNSW CONTINUUS SOFTWR 200 500
CONV CONVERGENT COMMS INC 200 500
COVB COVEST BANCSHARES 1000 500
CPIH CHINA PROSP ADR 1000 500
CPTH CRITICAL PATH INC 500 1000
CREO CREO PRODUCTS 200 500
CRGO MOTOR CARGO INDS 1000 500
CRNS CRONOS GROUP THE 500 1000
CRRC COURIER CP 1000 500
CRSB CRUSADER HLDG CORP 500 1000
CSYI CIRCUIT SYSTEMS IN 1000 500
CTCH COMMTOUCH SOFTWR LTD 200 500
CTIX CHEAP TICKETS INC 500 1000
CYBA CYBEAR INC 200 500
CYBS CYBERSOURCE CORP 200 500
D
DABR DAVID'S BRIDAL INC 200 500
DCLK DOUBLECLICK INC 1000 500
DECC D & E COMMUNICATIO 1000 500
DELT DELTA GALIL INDS ADS 500 1000
DEST DESTIA COMMUNICATNS 500 1000
DEVC DEVCON INTL CP 1000 500
DFXI DIRECT FOCUS INC 500 1000
DGAS DELTA NATURAL GAS 500 1000
DIGX DIGEX, INC CL A 200 500
DITC DITECH COMM CORP 200 500
DOCD DOCDATA NV 1000 500
DOMZ DOMINGUEZ SVCS CP 1000 500
DRRAP DURA AUTO CAP TR 1000 500
DSCM DRUGSTORE.COM INC 200 500
DTLK DATALINK CORP 200 500
DXCPP DYNEX CAPITAL PFD A 500 1000
E
ECCO EARTHCARE CO 200 500
EDCO EDISON CONTROL CP 200 500
EDGR EDGAR ONLINE INC 200 500
EELN E-LOAN INC 200 500
EFNT EFFICIENT NETWORKS 200 500
EGLO EGLOBE INC 200 500
EGOV NATL INFO CONSORTIUM 200 500
EGPT EAGLE POINT SFTWR 1000 500
ELBI ELDORADO BANCSHARES 500 1000
EMCC EUROPEAN MICRO HLD 500 1000
EMCO ENGINEERING MEASUR 1000 500
EMLX EMULEX CP 500 1000
EMUS EMUSIC.COM INC 200 500
ENGA ENGAGE TECH INC 200 500
EQSB EQUITABLE FED SAV 1000 500
ESBF ESB FINANCIAL 500 1000
ESBFP PENNFIRST PFD 500 200
ESPS ESPS INC 200 500
ETHCY ETHICAL HLDGS 1000 500
ETYS ETOYS INC 200 500
EXBD CORP EXEC BOARD CO 500 1000
EXDS EXODUS COMMUN 500 1000
EXNT IXNET INC 200 500
EXTR EXTREME NETWORKS 500 1000
F
FASH FASHIONMALL.COM 200 500
FBEI FIRST BNCP OF IND 500 1000
FBNW FIRSTBANK CORP 1000 500
FCFCO FIRSTCITY SPCL PFD 500 1000
FCFN FIRST COMM FIN CP 200 500
FCOM FOCAL COMMUNICATIONS 200 500
FCST FLYCAST COMMUN CP 500 1000
FFBK FLORIDAFIRST BNCP 500 1000
FFES FIRST FED S L E.HT 500 1000
FFFLP FIDELITY CAP TR I 1000 500
FFIV F5 NETWORKS INC 200 500
FFLC FFLC BNCP INC 1000 500
FFSX FIRST FED BKSHS 500 1000
FISI FINANCIAL INSTITUTNS 200 500
FKAN FIRST KANSAS FIN 1000 500
FLAS FLASHNET COMMUNICATN 500 1000
FLCHF FLETCHER'S FINE FOOD 200 500
FLGSP FLAGSTAR CAP PFD A 1000 500
FLWS 1-800-FLOWERS.COM 200 500
FMARP MARINER CAP TR PFD 500 200
FMCO F M S FINANCIAL CP 1000 500
FMFC FIRST M & F CORP 200 500
FNBP FNB CORP 500 200
FNLC FIRST NAT LINCOLN CP 200 500
FREE FREESERVE ADS 200 500
FRPP F R P PROPERTIES I 1000 500
FSBC 1ST STATE BNCP INC 500 1000
FSTH FIRST SO BCSHS INC 200 500
FTFN FIRST FIN CP (RI) 500 200
FTNB FULTON BANCORP INC 1000 500
G
GAFC GREATER ATL FINCL CP 200 500
GBCOB GREIF BROS CP CL B 200 500
GBNK GASTON FED BANCP 1000 500
GENBB GENESEE CP B 500 1000
GENI GENESISINTERMEDIA.CO 200 500
GFLS GREATER COMMUNITY 500 1000
GLDBP GBCI CAP TR PFD 500 200
GMAI GREG MANNING AUCTI 500 1000
GNCNF GORAN CAPITAL INC 500 1000
GOSB GSB FINANCIAL CORP 1000 500
GOTO GOTO.COM INC 200 500
GSPN GLOBESPAN INC 200 500
GZEA G Z A GEOENVIRON 500 1000
GZSP GENZYME SURGICAL 200 500
H
HARL HARLEYSVILLE SAV B 500 200
HAVA HARVARD IND NEW 500 1000
HAVNP HAVEN CAP TR II 200 500
HBFW HOME BANCORP 1000 500
HCBK HUDSON CITY BNCP INC 200 500
HDVS H. D. VEST INC 1000 500
HEAR MPATH INTERACTIVE 200 500
HECO HALLWOOD ENERGY CP 200 500
HECOP HALLWOOD EN PFD A 200 500
HIBNY HIBERNIA FDS PLC ADR 500 1000
HIBWF HIBERNIA F00DS WTS C 500 200
HIBZF HIBERNIA FOODS WTS D 500 200
HIFN HI/FN INC 1000 500
HITS MUSICMAKER.COM INC 200 500
HLFC HOME LOAN FINL CP 1000 500
HLIT HARMONIC LIGHTWAV 1000 500
HMLK HEMLOCK FED FIN CO 1000 500
HOLT HOLT'S CIGAR HLDGS 1000 500
HOMS HOMESTORE.COM INC 200 500
HOOV HOOVER'S INC 200 500
HOTJ HOTJOBS.COM LTD SE 200 500
HSAC HIGH SPEED ACCESS 200 500
HSII HEIDRICK & STRUGGLES 500 1000
HTBK HERITAGE COMMERCE 500 1000
I
IBHVF INTL BRIQUETTES 200 500
ICCI INSIGHT COMM CO CL A 200 500
ICGE INTERNET CAP GRP 200 500
ICTS I C T S INTL NV 1000 500
IGLD INTERNET GOLD-GOLDEN 200 500
IIJI INTERNET INIT JAP AD 200 500
IIXL IXL ENTERPRISES INC 200 500
ILIF INTELLIGENT LIFE 500 1000
INDBP INDEP CAP TR I PFD 500 200
INFA INFORMATICA CORP SR 500 1000
INIT INTERLIANT INC 200 500
INSW INSWEB CORP 200 500
INTI INET TECHNOLOGIES 200 500
INTM INTERNET.COM CORP 200 500
INTW INTERWORLD CORP 200 500
IPIX INTERACTIVE PICTURES 200 500
IPSW IPSWICH BANC 1000 500
ISKO ISCO INC 1000 500
ISLD DIGITAL ISLAND INC 200 500
ITRA INTRAWARE INC 500 1000
IUBC INDIANA UNITED BNC 500 1000
IVGN INVITROGEN CORP 500 1000
IVIL IVILLAGE INC 500 1000
J
JAMSO JAMESON PFD S 500 1000
JFAX JFAX.COM INC 200 500
JPSP JPS PACKAGING CO 1000 500
JWEB JUNO ONLINE SVCS 200 500
JXVL JACKSONVILLE BANCO 500 1000
K
KAYE KAYE GROUP INC 1000 500
KELYB KELLY SERVICES CL 200 500
KOOP DRKOOP.COM INC 200 500
KOSS KOSS CP 1000 500
KRSC KAISER VENTURES 1000 500
KTCO KENAN TRANSPORT CO 500 200
L
LABN LAKE ARIEL BNCP IN 500 1000
LATD LATITUDE COMMUNICTNS 500 1000
LAUN LAUNCH MEDIA INC 500 1000
LBRT LIBERATE TECHNOLOGS 200 500
LDIG TCI MUSIC CL A 500 1000
LFED LEEDS FED SAV BANK 500 1000
LFIN LOCAL FINL CORP 200 500
LIBB LIBERTY BANCORP 1000 500
LIBHB LIBERTY HOMES INC B 500 200
LIHRY LIHIR GOLD LTD ADR 200 500
LOAX LOG ON AMERICA INC 500 1000
LPNT LIFEPOINT HOSP 500 1000
LQID LIQUID AUDIO INC 200 500
LTCHP LITCHFIELD CAP TR I 200 500
LTNX LITRONIC INC 200 500
LUND LUND INTL HLDGS 1000 500
M
MAIL MAIL.COM INC CL A 200 500
MAKR MAKER COMMUNICATIONS 500 1000
MARSA MARSH SUPERMARKETS A 500 1000
MASB MASSBANK CP 1000 500
MAXC MAXCO INC 500 1000
MAXE MAX ERMAS RESTR IN 1000 500
MBWM MERCANTILE BANK CORP 200 500
MCMC MCM CAPITAL GRP INC 200 500
MCNS MEDICONSULT.COM INC 500 1000
MCSW MISSION CRIT SFTWR 200 500
MDCM MORTGAGE.COM INC 200 500
MDRX ALLSCRIPTS INC 200 500
MEMH MEEMIC HOLDINGS INC 200 500
MFCB MICHIGAN FINL CP 1000 500
MFLR MAYFLOWER CO OP BK 200 500
MIGI MERIDIAN INS GP IN 1000 500
MIHL MIH LIMITED CL A 500 1000
MKSI MKS INSTRUMENTS INC 500 1000
MKTY MICRO THERAPEUTICS 500 1000
MLAN MIDLAND CO 200 500
MLTX MULTEX.COM INC 500 1000
MMXI MEDIA METRIX INC 500 1000
MNES MINE SAFETY APPLS 1000 500
MOIL MAYNARD OIL CO 500 1000
MORP MOORE PRODUCTS CO 1000 500
MPPP MP3.COM IN 200 500
MQST MAPQUEST.COM INC 500 1000
MRBA MARIMBA INC SR 500 1000
MSFTP MICROSOFT CV PFD 1000 500
MTEX MANNATECH INC 500 1000
MTXCP MATRIX BNCP CAP TR 200 500
MUEL MUELLER PAUL CO 500 200
MVBIP MVBI CAPITAL TR PFD 200 500
N
NASC NETWORK ACCESS SL 200 500
NBSI NORTH BSCHS INC 500 200
NCNX NUCENTRIX BROADBAND 200 500
NECS NETCOM AB ADR 500 200
NERAY NERA AS ADR 1000 500
NESY NEON SYSTEMS INC 500 1000
NETE NETEGRITY INC 500 1000
NETO NETOBJECTS INC 500 1000
NETP NET PERCEPTIONS INC 500 1000
NFNT NFRONT INC 200 500
NHHC NATL HOME HLTH CAR 1000 500
NHTBP NHTB CAPITAL TRUST I 200 500
NMHC NATL MED HEALTH CARD 200 500
NMTXZ NOVAMETRIX WTS B 200 500
NOBL NOBLE INTL LTD 200 500
NPBCP NPB CAPITAL TR PFD 200 500
NPLS NETWORK PLUS CORP 200 500
NPNT NORTHPOINT COMM GRP 500 1000
NSEC NATL SECURITY GP I 500 200
NTCT NETSCOUT SYSTEMS INC 200 500
NTIA NETIA HOLDINGS SA 200 500
NTIQ NETIQ CORP 200 500
NTOP NET2PHONE INC 200 500
NTVN NETIVATION.COM INC 200 500
NTWO N2H2 INC 200 500
NVDC NAVIDEC INC 200 500
NWGN NEWGEN RESULTS CORP 200 500
NWLIA NATL WESTERN LIFE 1000 500
NXCD NEXTCARD INC 500 1000
NXRA NEXTERA ENTERPRIS A 200 500
O
OBAS OPTIBASE LTD 500 1000
OBIE OBIE MEDIA CORP 500 1000
ODFL OLD DOMINION FREIG 1000 500
OHSL O H S L FINL CORP 500 1000
OKSBO SBI CAP TR PFD 500 200
ONCOZ ON COMMAND WTS B 200 500
ONEM ONEMAIN.COM INC SE 500 1000
ONES ONESOURCE INFO SVCS 200 500
ONHN ONHEALTH NTWK 500 1000
OPTLW OPTISYSTEMS SOL WTS 1000 500
ORCC ONLINE RES & COMM 200 500
OSBC OLD SECOND BNCP IN 500 1000
OWOS OWOSSO CP 1000 500
OYOG OYO GEOPSPACE CP 1000 500
OZRKP OZARK CAP TR PFD 200 500
P
PASA QUEPASA.COM INC 200 500
PBCI PAMRAPO BNCP INC 1000 500
PBIZ PRIVATE BUSINESS INC 200 500
PBKBP PEOPLES CAP TR PFD 500 200
PCAG PRIMACOM AG ADS 500 1000
PCHM PHARMCHEM LABS INC 1000 500
PCLN PRICELINE.COM INC 500 1000
PCOR PCORDER.COM INC 500 1000
PDYN PARADYNE NETWORKS 200 500
PEBK PEOPLES BANCORP 200 500
PEEK PEEKSKILL FIN CP 500 1000
PFACP PRO-FAC COOP PFD A 1000 500
PFSBP PENNFED CAP TR I 500 200
PHXI PHOENIX INTL LIFE 500 1000
PKSI PRIMUS KNOWLEDGE 200 500
PKTR PACKETEER INC 200 500
PLAN OPEN PLAN SYS INC 500 1000
PLFC PULASKI FURNITURE 500 1000
PLXT PLX TECHNOLOGY INC 500 1000
PNNW PENNICHUCK CP 500 1000
PNTE POINTE FINCL CORP 1000 500
PPLS PEOPLES BK CP 500 1000
PRFN PRISM FINCL CORP 200 500
PRSF PORTAL SOFTWARE INC 500 1000
PRSW PERSISTENCE SOFTWARE 200 500
PSBI PSB BANCORP INC 1000 500
PSFC PEOPLES-SIDNEY FIN 1000 500
PSIXP PSINET CV PFD C 500 1000
PTRY PANTRY INC (THE) 200 500
PVCC P V C CONTAINER CP 1000 500
PVTB PRIVATEBANCORP INC 200 500
PVTL PIVOTAL CORP 200 500
PXCM PROXICOM INC 500 1000
Q
QDELW QUIDEL CP WTS 2000 1000 500
QKKA QUOKKA SPORTS INC 200 500
QLGC QLOGIC CP 500 1000
QSFT QUEST SOFTWARE INC 200 500
QUOT QUOTESMITH .COM INC 200 500
R
RAMP RAMP NETWORKS INC 200 500
RAZF RAZORFISH INC 500 1000
RBAK REDBACK NETWORKS INC 200 500
RBOW RAINBOW RENTALS 1000 500
RBPAA ROYAL BSCHS OF PA A 1000 500
REPBP RBI CAP TR I PFD 1000 500
RGCO RGC RESOURCES 500 200
RGFCP R&G FIN CP PFD A 200 500
RHAT RED HAT INC 200 500
RIDG RIDGEVIEW INC 1000 500
RMIX US CONCRETE INC 200 500
ROIA RADIO ONE INC 500 1000
ROWE ROWECOM INC 500 1000
RPCLF REVENUE PROP LTD 200 500
RSII RECKSON SERVICE INDS 200 500
RTHM RHYTHMS NETCONNECT 500 1000
RUBO RUBIO'S RESTAURANTS 200 500
RUSM RUSSEL METALS INC 500 200
RVST RAVISENT TECHNOLOG 200 500
RVWD RAVENSWOOD WINERY 500 1000
S
SALM SALEM COMMUN CORP 200 500
SALN SALON.COM 200 500
SAVO SCHULTZ SAV O STOR 1000 500
SBAC SBA COMM CP CL A 200 500
SBHC SECURITY BK HLDG C 1000 500
SBSI SOUTHSIDE BANCSHS 500 1000
SCBL SUN CMMNTY BNCP LTD 200 500
SCIL SCIENTIFIC LRNG CP 200 500
SCNT SCIENT CORP 500 1000
SECBY SOCIETE EUR ADS B 500 1000
SENEA SENECA FOODS CP A 1000 500
SENEB SENECA FOODS CP B 1000 500
SFFB SOUTHERN FIN BNCP 500 200
SFNCA SIMMONS FIRST NATL A 1000 500
SGNT SAGENT TECHNOLOGY 500 1000
SHBK SHORE BANK 500 200
SHWC SHOWCASE CORP 200 500
SIEB SIEBERT FIN CP 500 1000
SIGYY SIGNET PLC ADR NEW 1000 500
SILK SILKNET SOFTWARE INC 500 1000
SIXR SIX RIVERS NAT BK 1000 500
SJNB S J N B FINANCIAL 500 1000
SKFB S K FAMOUS BRANDS 500 1000
SLFI STERLING FINL CP 500 1000
SLGX SALESLOGIX CORP 200 500
SLNE STREAMLINE.COM INC 200 500
SMNS SEMINIS INC CL A 200 500
SNBCO SUN CAPITL TR II 1000 500
SNBJ SNB BANCSHARES INC 500 200
SPCH SPORT CHALET INC 1000 500
SPLT SPLITROCK SERVICES 200 500
SRCH US SEARCH.COM INC 200 500
STAD STUDENT ADVANTAGE 200 500
STCL SHARED TECH CELLULAR 500 1000
STMP STAMPS.COM INC 200 500
STNV STATIA TERMINALS GRP 500 1000
STRM STARMEDIA NETWORK 200 500
SUBI SUN BANCORP INC 1000 500
SVBF SVB FIN SVCS INC 500 200
SWCM SOFTWARE.COM INC 200 500
T
TANN TANNING TECH CORP 200 500
TBFCP TELEBANC CAP TR 1000 500
TCHC 21ST CENTURY HLDG 1000 500
TCLPZ TC PIPELINES LP 200 500
TCTY TALK CITY INC 200 500
TENF TENFOLD CORP 200 500
TFCO TUFCO TECHS INC 1000 500
TFIN TEAM FINCL INC 200 500
THRD T F FINANCIAL CP 1000 500
TIBB TIB FINANCIAL CORP 500 200
TIBX TIBCO SOFTWARE INC 200 500
TJOB TOPJOBS.NET PLC SE 500 1000
TKCI KEITH COS INC (THE) 200 500
TMIC TREND MICRO ADR 200 500
TMWD TUMBLEWEED COMMUN CP 200 500
TONS NOVAMERICAN STEEL 1000 500
TRGNY TRANSGENE SA ADR 1000 500
TRIH TRIAD HOSPITALS 500 1000
TRNI TRANS INDS INC 500 1000
TROY TROY GROUP INC 200 500
TRYF TROY FINCL CORP 500 1000
TSCM THESTREET.COM 500 1000
TSCN TELESCAN INC 500 1000
TUES TUESDAY MORNING 500 1000
TURF ITURF INC 500 1000
TWDE DECS TRUST V 200 500
TWTC TIME WARNER TELECOM 500 1000
U
UBCD UNIONBANCORP INC 500 1000
UBET YOUBET.COM INC 200 500
UBMT UNITED FINANCIAL C 200 500
UBSC UNION BKSHS LTD 500 1000
UFPT U F P TECH INC 1000 500
UNEWY UNITED NEWS & MEDIA 500 200
USAB USABANCSHARES INC 200 500
USIT US INTERACTIVE SE 200 500
USIX USINTERNETWORKING 500 1000
USLM U S LIME & MINERAL 1000 500
USPL US PLASTIC LUMBER 500 1000
UTHR UNITED THERAPEUTICS 200 500
V
VARI VARIAN INC 500 1000
VDRY VACU DRY CO 1000 500
VENT VENTURIAN CP 500 1000
VERT VERTICALNET INC 500 1000
VFLX VARIFLEX INC 500 1000
VIAN VIANT CORP 200 500
VIGN VIGNETTE CORP 500 1000
VION VION PHARM INC 200 500
VMIX VALLEY MEDIA INC 500 1000
VOYN VOYAGER.NET INC 200 500
VRSA VERSATEL TELECOM ADS 200 500
VRSN VERISIGN INC 1000 500
VSEA VARIAN SEMICOND 500 1000
VSTR VOICESTREAM WIRELESS 500 1000
VTRAO VBC CAPITAL I CAP 200 500
VUSA VALUE AMERICA INC 500 1000
VXGN VAXGEN INC 200 500
W
WATFZ WATERFORD PLC ADR UT 500 200
WAVX WAVE SYSTEMS D9 500 1000
WBPRO WESTERNBANK PFD B 200 500
WBSTP WEBSTER PFD CAP B 200 500
WCSTF WESCAST INDS INC A 200 500
WEBT WEBTRENDS CORP 500 1000
WFHC WOMEN FIRST HLTHCR 200 500
WGAT WORLDGATE COMMUNICAT 500 1000
WGRD WATCHGUARD TECH INC 200 500
WITC WIT CAPITAL GROUP 200 500
WOFC WESTERN OHIO FIN 1000 500
WSBA WESTERN SIERRA BNCP 200 500
WSBK WILSHIRE STATE BK 500 1000
WSII WASTE SYSTEMS 500 1000
WVCM WAVECOM S A ADR 200 500
X
XING QIAO XING UNIV TEL 500 1000
Y
YAVY YADKIN VALLEY BK&TR 500 1000
Z
ZANY ZANY BRAINY INC 200 500
ZHOM ZARING NATIONAL CO 1000 500
ZIPL ZIPLINK INC 200 500
ZOOX GADZOOX NETWORKS INC 200 500

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