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List of Marginable OTC Stocks

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List of Marginable OTC Stocks 1ST BANCORP (Indiana) AASTROM BIOSCIENCES, INC. ACCESS HEALTH, INC. $1.00 par common No par common $.001 par common 1ST BERGEN BANCORP AAVID THERMAL TECHNOLOGIES, INC. ACCLAIM ENTERTAINMENT, INC. No par common $.01 par common $.02 par common 1ST SOURCE CORPORATION ABACAN RESOURCE CORPORATION ACCOM, INC. $1.00 par common No par common $.001 par common Fixed rate cumulative trust preferred securities of 1st Source Capital Trust ABACUS DIRECT CORPORATION ACCUGRAPH CORPORATION Floating rate cumulative trust preferred $.001 par common Class A, No par common securities of 1st Source Capital Trust ABAXIS, INC. ACCUMED INTERNATIONAL, INC. 1ST UNITED BANCORP (Florida) No par common No par common $.01 par common ABC BANCORP (Georgia) ACE CASH EXPRESS, INC. 3-D GEOPHYSICAL, INC. $1.00 par common $.01 par common $.01 par common ABC DISPENSING TECHNOLOGIES, INC. ACE*COMM CORPORATION 3-D SYSTEMS CORPORATION $.01 par common $.01 par common $.001 par common ABC RAIL PRODUCTS CORPORATION ACETO CORPORATION 3COM CORPORATION $.01 par common $.01 par common No par common ABER RESOURCES LTD. ACMAT CORPORATION 3D LABS INC. LIMITED No par common Class A, no par common $.01 par common ABIGAIL ADAMS NATIONAL BANCORP, INC. ACORN PRODUCTS, INC. 3DFX INTERACTIVE, INC. $.01 par common $.001 par common No par common ABINGTON BANCORP, INC. (Massachusetts) ACRES GAMING INCORPORATED 3DO COMPANY, THE $.10 par common $.01 par common $.01 par common ABIOMED, INC. ACRODYNE COMMUNICATIONS, INC. 3DX TECHNOLOGIES, INC. $.01 par common $.01 par common $.01 par common ABLE TELCOM HOLDING CORPORATION ACT MANUFACTURING, INC. 4 KIDS ENTERTAINMENT, INC. $.001 par common $.01 par common $.01 par common ABR INFORMATION SERVICES INC. ACT NETWORKS, INC. 4FRONT SOFTWARE INTERNATIONAL, INC. $.01 par common $.01 par common No par common ABRAMS INDUSTRIES, INC. ACTEL CORPORATION 4HEALTH, INC. $1.00 par common $.001 par common $.01 par common Warrants (expire 01-15-98) ABRAXAS PETROLEUM CORPORATION ACTION PERFORMANCE COMPANIES, INC. $.01 par common $.01 par common 7TH LEVEL, INC. $.01 par common ABT BUILDING PRODUCTS CORPORATION ACTIVE APPAREL GROUP, INC. $.01 par common $.002 par common 800-JR CIGAR, INC. $.01 par common ACACIA RESEARCH CORPORATION ACTIVE VOICE CORPORATION 8X8, INC. No par common No par common $.001 par common ACC CONSUMER FINANCE CORPORATION ACTIVISION, INC. †@ENTERTAINMENT, INC. $.001 par common $.0001 par common $.01 par common ACC CORPORATION ACTRADE INTERNATIONAL, LTD. A B ELECTROLUX $.015 par common $.001 par common Class B, American Depositary Receipts ACCEL INTERNATIONAL CORPORATION ACXIOM CORPORATION †A.C. MOORE ARTS & CRAFTS, INC. $.10 par common $.10 par common No par common ACCELGRAPHICS, INC. ADAC LABORATORIES A.D.A.M. SOFTWARE, INC. $.001 par common No par common $.01 par common ACCELR8 TECHNOLOGY CORPORATION ADAGE, INC. A.S.V., INC. No par common $.60 par common $.01 par common ACCENT COLOR SCIENCES, INC. ADAPTEC, INC. AAON, INC. No par common $.001 par common $.001 par common ACCENT SOFTWARE INTERNATIONAL ADAPTIVE SOLUTIONS, INC. AARON RENTS, INC. Ordinary Shares par NIS .01 No par common $1.00 par common $.50 par common ACCESS ANYTIME BANCORP, INC. ADC TELECOMMUNICATIONS, INC. $.01 par common $.20 par common AASCHE TRANSPORTATION SERVICES, INC. $.0001 par common ACCESS BEYOND, INC. ADCO TECHNOLOGIES, INC. Warrants (expire 02-09-2000) $.01 par common $.01 par common *Addition to List under Board criteria —1— †Addition to List under NMS designation ADE CORPORATION †AEHR TEST SYSTEMS ALABAMA NATIONAL BANCORPORATION $.01 par common $.01 par common $1.00 par common ADECCO S.A. AEP INDUSTRIES, INC. ALADDIN KNOWLEDGE SYSTEMS LTD. American Depositary Receipts $.01 par common Ordinary Shares, NIS .01 par value ADELPHIA COMMUNICATIONS CORPORATION AER ENERGY RESOURCES, INC. ALARIS MEDICAL, INC. Class A, $.01 par common No par common $.01 par common ADEPT TECHNOLOGY, INC. AERIAL COMMUNICATIONS, INC. ALBANK FINANCIAL CORPORATION No par common $1.00 par common $.01 par common ADFLEX SOLUTIONS, INC. AEROVOX INCORPORATED ALCIDE CORPORATION $.01 par common $1.00 par common $.01 par common ADIA S.A. AES CORPORATION, THE ALDILA, INC. $.25 par common Warrants expire 2001 $.01 par common ADOBE SYSTEMS INCORPORATED AETRIUM INCORPORATED ALEXANDER & BALDWIN, INC. No par common $.001 par common No par common ALEXION PHARMACEUTICALS, INC. ADTRAN, INC. AFC CABLE SYSTEMS, INC. $.0001 par common $.01 par common $.01 par common ALFA CORPORATION ADVANCE PARADIGM, INC. AFFILIATED COMMUNITY BANCORP, INC. $1.00 par common $.01 par common $.01 par common ALFACELL CORPORATION AFFINITY TECHNOLOGY GROUP, INC. ADVANCED AERODYNAMICS & STRUCTURES, $.001 par common INC. $.0001 par common $.0001 par common ALGOMA STEEL, INC. Class A, warrants (expire 12-03-2001) AFFINITY TELEPRODUCTIONS, INC. No par common Class B, warrants (expire 12-03-2001) $.01 par common ALGOS PHARMACEUTICAL CORPORATION ADVANCED COMMUNICATION SYSTEMS, INC. AFFYMETRIX, INC. $.01 par common $.01 par common No par common ALIANT COMMUNICATIONS, INC. ADVANCED DEPOSITION TECHNOLOGIES, INC. AFSALA BANCORP, INC. (New York) $.25 par common $.01 par common $.01 par common ALICO, INC. ADVANCED DIGITAL INFORMATION AFTERMARKET TECHNOLOGY CORPORATION $1.00 par common CORPORATION $.01 par common No par common ALIGN-RITE INTERNATIONAL, INC. AG ASSOCIATES, INC. $.01 par common * ADVANCED ELECTRONIC SUPPORT No par common PRODUCTS, INC. ALKERMES, INC. $.001 par common AG-CHEM EQUIPMENT CO., INC. $.01 par common $.01 par common ADVANCED ENERGY INDUSTRIES, INC. ALL AMERICAN COMMUNICATIONS, INC. $.001 par common AGOURON PHARMACEUTICALS, INC. $.0001 par common No par common Class B, non-voting, $.0001 par common ADVANCED FIBRE COMMUNICATIONS $.01 par common AGRI-NUTRITION GROUP LIMITED ALL AMERICAN SEMICONDUCTOR, INC. $.01 par common $.01 par common ADVANCED HEALTH CORPORATION $.01 par common AGRIBIOTECH, INC. ALL-COMM MEDIA CORPORATION $.001 par common $.01 par common ADVANCED LIGHTING TECHNOLOGIES, INC. $.001 par common AHL SERVICES, INC. ALLCITY INSURANCE COMPANY $.01 par common $1.00 par common ADVANCED MARKETING SERVICES, INC. $.001 par common AIR CANADA CORPORATION ALLEGIANT BANCORP, INC. Class A, non-voting par common $.01 par common ADVANCED POLYMER SYSTEMS, INC. $.01 par common AIR EXPRESS INTERNATIONAL CORPORATION ALLEN ORGAN COMPANY $.01 par common Class B, $1.00 par common ADVANCED RADIO TELECOM CORPORATION $.001 par common AIR METHODS CORPORATION ALLERGAN LIGAND RETINOID THERAPEUTICS, $.06 par common INC. ADVANCED TISSUE SCIENCES, INC. $.001 par common $.01 par common AIRPORT SYSTEMS INTERNATIONAL, INC. $.01 par common ALLIANCE BANCORP, INC. ADVANTA CORP. $.01 par common Class A, $.01 par common AIRWAYS CORPORATION Class B, non-voting, $.01 par common $.01 par common ALLIANCE COMMUNICATIONS CORPORATION Depositary Shares Class B, non-voting, no par common AJAY SPORTS, INC. ADVANTAGE BANCORP, INC. (Wisconsin) Series C, 10% par cumulative convertible ALLIANCE GAMING CORPORATION $.01 par common preferred $.10 par common †ADVANTAGE LEARNING SYSTEMS, INC. AKORN, INC. ALLIANCE IMAGING, INC. $.01 par common No par common $.01 par common ADVENT SOFTWARE, INC. AKSYS, LTD. ALLIANCE PHARMACEUTICAL CORP. $.01 par common $.01 par common $.01 par common AEGIS CONSUMER FUNDING GROUP, THE AKZO NOBEL N.V. ALLIANCE SEMICONDUCTOR CORPORATION $.01 par common American Depositary Receipts $.01 par common *Addition to List under Board criteria —2— †Addition to List under NMS designation ALLIED CAPITAL ADVISERS, INC. AMAZON.COM, INC. AMERICAN CLAIMS EVALUATION, INC. $.001 par common $.01 par common $.01 par common ALLIED CAPITAL COMMERCIAL CORPORATION AMB FINANCIAL CORPORATION AMERICAN CLASSIC VOYAGER CO. $.0001 par common $.01 par common $.01 par common ALLIED CAPITAL CORPORATION AMBANC CORPORATION AMERICAN COIN MERCHANDISING, INC. $1.00 par common $10.00 par common $.01 par common ALLIED CAPITAL CORPORATION II AMBANC HOLDING CO., INC. AMERICAN COMMUNICATIONS SERVICES, INC. $1.00 par common $.01 par common $.01 par common ALLIED CAPITAL LENDING CORPORATION AMBASSADORS INTERNATIONAL, INC. †AMERICAN DENTAL TECHNOLOGIES, INC. $.0001 par common $.01 par common $.001 par common ALLIED HEALTHCARE PRODUCTS, INC. AMBI, INC. AMERICAN DISPOSAL SERVICES, INC. $.01 par common $.005 par common $.01 par common ALLIED HOLDINGS INC. AMCOL INTERNATIONAL CORPORATION AMERICAN EAGLE OUTFITTERS, INC. No par common $1.00 par common No par common ALLIED LIFE FINANCIAL CORPORATION AMCOR LIMITED AMERICAN ECO CORPORATION No par common American Depositary Receipts No par common ALLIED WASTE INDUSTRIES, INC. AMCORE FINANCIAL, INC. AMERICAN ECOLOGY CORPORATION $.01 par common $.50 par common $.01 par common ALLIN COMMUNICATIONS CORPORATION AMEDISYS, INC. $.01 par common AMERICAN FREIGHTWAYS CORPORATION $.001 par common $.01 par common ALLSTAR SYSTEMS, INC. $.01 par common AMERCO AMERICAN GREETINGS CORPORATION $.25 par common Class A, $1.00 par common ALLSTATE FINANCIAL CORPORATION No par common AMERIANA BANCORP (Indiana) AMERICAN HEALTH PROPERTIES, INC. $1.00 par common No par depositary shares ALLTRISTA CORPORATION No par common AMERICA FIRST APARTMENT INVESTORS AMERICAN HEALTHCHOICE, INC. LIMITED PARTNERSHIP $.001 par preferred ALOETTE COSMETICS, INC. Beneficial unit certificates, representing limited No par common partnership interest AMERICAN HEALTHCORP, INC. $.001 par common ALPHA MICROSYSTEMS AMERICA FIRST FINANCIAL FUND 1987 - A No par common LIMITED PARTNERSHIP AMERICAN HOMEPATIENT INC. Beneficial unit certificates, representing limited
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    2019 CORPORATE SUSTAINABILITY REPORT RELEASE DATE: MAY 2020 2019 Corporate Sustainability Report 1 A MESSAGE FROM OUR CEO Opening Letter During 2019, we proudly celebrated KEMET’s centennial as a integration of our supply chain and visionary, worldwide organization dedicated to making the world become one of the first companies a better, safer, more connected place to live. But the scale of to claim a “conflict-free” distinction our achievement didn’t happen overnight. From our humble by the U.S. Securities and Exchange Commission (SEC). origins in the simple workshop of a young, entrepreneurial inventor in Cleveland, Ohio to our rise as a global leader in Controlling our supply chain was as much an ethical choice the electronics industry, KEMET’s technological advances as a business decision. Globally, the major source of tantalum have made possible communication satellites, cellphones, is in the Democratic Republic of Congo (DRC), and media supersonic jets, space stations, personal computers, and reports disturbing conditions in mining operations there, and electric cars — innovations that touch every household, helping often a disregard for human rights. We took an early leadership improve our lives. position in the industry on the issue of obtaining certified conflict-free minerals. In doing so, we established an initiative In very real ways, the story of how we got here is the story of in 2012 that would provide oversight in tantalum operations the creation of the modern world. It is a story about technology and ensure that standards of production would not falter. and dedicated people, whose ingenuity and perseverance KEMET also helped to establish the Kisengo Foundation, which shaped our success.
  • NASD Notice to Members 98-47

    NASD Notice to Members 98-47

    Executive Summary Interpretive Material 2310-3 (IM-2310- NASD On May 29, 1998, the Securities and 3) describes members’ suitability obli- Exchange Commission (SEC) gation in making recommendations to approved amendments to National institutional customers. The primary Notice to Association of Securities Dealers, considerations under IM-2310-3 Inc. (NASD®) Rule 3110 (the Books include the customer’s capability to and Records Rule) that (i) change evaluate risk independently and the Members the definition of “institutional account” extent to which individual judgment is to include the accounts of investment exercised when making investment 98-47 advisers that are now required to decisions. register with the states pursuant to the National Securities Markets Accounts Of Registered Improvement Act of 1996 (NSMIA), Investment Advisers and (ii) exclude certain customer SEC Approves Changes accounts from the requirement to NSMIA and new rules recently To Books And Records obtain certain tax and employment adopted by the SEC under the Requirements information from the customer. Investment Advisers Act of 1940 (Advisers Act) reallocated regulatory Questions concerning this Notice oversight of investment advisers may be directed to Joseph E. Price, between the SEC and the states. Counsel, Advertising/Investment Under the new rules, advisers to reg- Suggested Routing Companies Regulation, NASD Regu- istered investment companies and Senior Management lation, Inc., at (202) 728-8877 or those with assets under manage- Robert J. Smith, Assistant General ment of at least $25 million generally Advertising Counsel, Office of General Counsel, will register exclusively with the SEC. Continuing Education NASD RegulationSM, at (202) 728- Most others will register exclusively 8176.