Notice to Members 96-88
SOES Tier Levels Set To Change January 2, 1997
Published Date:
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SUGGESTED ROUTING |
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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 |