Marginable OTC and Foreign Margin Stocks
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LIST OF FOREIGN MARGIN STOCKS AS OF November 9, 1998 LIST OF MARGINABLE OTC STOCKS FOR THE TIME PERIOD November 9, 1998 – January 1, 1999 The List of Marginable OTC Stocks and the List of Foreign Margin Stocks have been published quarterly by the Board of Governors of the Federal Reserve System (the Board). This is the last edition of the List of Marginable OTC Stocks. The List of Foreign Margin Stocks will continue to be published quarterly by the Board. The List of Marginable OTC Stocks is composed of stocks traded in the United States over-the-counter (OTC) that have been determined by the Board to be OTC margin stocks as of November 9, 1998, pursuant to Section 220.11 of Regulation T, Credit by Brokers and Dealers. It also includes all OTC stocks designated as National Market System (NMS) securities. Additional NMS securities may be added before the expiration date of January 1, 1999; these securities are immediately marginable upon designation as NMS securities. The names of these securities are available at the National Association of Securities Dealers, Inc. and at the Securities and Exchange Commission. This List supersedes the previous List of Marginable OTC Stocks published effective August 10, 1998, and will remain in effect until January 1, 1999. After January 1, 1999, any security listed on the Nasdaq Stock Market will be a margin security subject to the same treatment at brokers and dealers as securities listed on a national security exchange. The Board will cease publication of the OTC List at that time. The List of Foreign Margin Stocks is composed of foreign equity securities that have met the Board’s eligibility criteria, pursuant to Regulation T, Section 220.11. These foreign equity securities are eligible for margin treatment at broker–dealers on the same basis as domestic margin securities, as are foreign equity securities that are deemed to have a ‘‘ready market’’ under SEC Rule 15c3-1 (17 CFR 240.15c3-1) or a ‘‘no action’’ position issued thereunder. This list supersedes the previous List of Foreign Margin Stocks published effective August 10, 1998. CAUTION: It is unlawful for any person to cause any representation to be made that inclusion of a security on the List of Marginable OTC Stocks or the List of Foreign Margin Stocks indicates that the Board or the Securities and Exchange Commission has in any way approved such security or transaction therein. Also, any reference to the Board in connection with these Lists or any securities thereon in an advertisement or similar communication is unlawful. Any inquiry relating to these Lists or to Regulations T or X should be addressed to the nearest Federal Reserve Bank. BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM WASHINGTON, D.C. List of Marginable OTC Stocks ENTERTAINMENT, INC. ABACAN RESOURCE CORPORATION ACMAT CORPORATION $.01 par common No par common Class A, no par common 1ST BANCORP (Indiana) ABACUS DIRECT CORPORATION ACORN PRODUCTS, INC. $1.00 par common $.001 par common $.001 par common 1ST BERGEN BANCORP ABAXIS, INC. ACRES GAMING INCORPORATED No par common No par common $.01 par common 1ST SOURCE CORPORATION ABC BANCORP (Georgia) ACRODYNE COMMUNICATIONS, INC. $1.00 par common $1.00 par common $.01 par common Fixed rate cumulative trust preferred securities of 1st Source Capital ABC RAIL PRODUCTS CORPORATION ACSYS, INC. Floating rate cumulative trust preferred $.01 par common No par common securities of 1st Source ABER RESOURCES, LTD. ACT MANUFACTURING, INC. †24/7 MEDIA, INC. No par common $.01 par common $.01 par common ABGENIX, INC. ACT NETWORKS, INC. 3-D SYSTEMS CORPORATION $.0001 par common $.01 par common $.001 par common ABIGAIL ADAMS NATIONAL BANCORP, INC. ACT TELECONFERENCING, INC. 3COM CORPORATION $.01 par common No par common No par common ABINGTON BANCORP, INC. (Massachusetts) ACTEL CORPORATION 3D LABS, INC., LIMITED $.10 par common $.001 par common $.01 par common ABINGTON BANCORP, INC. (Massachusetts) ACTION PERFORMANCE COMPANIES, INC. 3DFX INTERACTIVE, INC. Trust Preferred Securities of Abington Bancorp $.01 par common No par common Capital Trust ACTIVE APPAREL GROUP, INC. 3DO COMPANY, THE ABIOMED, INC. $.002 par common $.01 par common $.01 par common ACTIVE VOICE CORPORATION 3DX TECHNOLOGIES, INC. ABLE TELCOM HOLDING CORPORATION No par common $.01 par common $.001 par common ACTIVISION, INC. 4 KIDS ENTERTAINMENT, INC. ABR INFORMATION SERVICES, INC. $.0001 par common $.01 par common $.01 par common 4FRONT TECHNOLOGIES, INC. ACTRADE INTERNATIONAL, LTD. ABRAMS INDUSTRIES, INC. $.001 par common No par common $1.00 par common 7TH LEVEL, INC. †ACTUATE SOFTWARE CORPORATION ABRAXAS PETROLEUM CORPORATION $.01 par common $.001 par common $.01 par common 800-JR CIGAR, INC. ACXIOM CORPORATION ABT BUILDING PRODUCTS CORPORATION $.01 par common $.10 par common $.01 par common 8X8, INC. ADAC LABORATORIES $.001 par common ACACIA RESEARCH CORPORATION No par common No par common A B ELECTROLUX ADAMS GOLF, INC. Class B, American Depositary Receipts ACCEL INTERNATIONAL CORPORATION $.001 par common $.10 par common A.C. MOORE ARTS & CRAFTS, INC. ADAPTEC, INC. ACCELR8 TECHNOLOGY CORPORATION No par common $.001 par common No par common A.C.L.N. LIMITED ADAPTIVE SOLUTIONS, INC. ACCENT COLOR SCIENCES, INC. $.01 par ordinary shares No par common No par common A.D.A.M. SOFTWARE, INC. ADC TELECOMMUNICATIONS, INC. $.01 par common ACCENT SOFTWARE INTERNATIONAL, LTD. Ordinary shares (par NIS .01) $.20 par common A.S.V., INC. $.01 par common ACCESS ANYTIME BANCORP, INC. ADE CORPORATION $.01 par common $.01 par common AAON, INC. $.001 par common ACCESS HEALTH, INC. ADECCO S.A. $.001 par common American Depositary Receipts AASCHE TRANSPORTATION SERVICES, INC. $.0001 par common ACCLAIM ENTERTAINMENT, INC. ADELPHIA COMMUNICATIONS CORPORATION Warrants (expire 02-09-2000) $.02 par common Class A, $.01 par common AASTROM BIOSCIENCES, INC. ACE CASH EXPRESS, INC. ADEPT TECHNOLOGY, INC. No par common $.01 par common No par common AAVID THERMAL TECHNOLOGIES, INC. ACE*COMM CORPORATION ADFLEX SOLUTIONS, INC. $.01 par common $.01 par common $.01 par common AB SKF ACETO CORPORATION †ADMIRALTY BANCORP, INC. American Depositary Receipts $.01 par common Class B, no par common *Addition to List under Board criteria —1— †Addition to List under NMS designation ADOBE SYSTEMS INCORPORATED AER ENERGY RESOURCES, INC. ALBANK FINANCIAL CORPORATION No par common No par common $.01 par common ADTRAN, INC. AERIAL COMMUNICATIONS, INC. ALBION BANC CORPORATION (New York) $.01 par common $1.00 par common $.01 par common ADVANCE FINANCIAL BANCORP. AEROVOX INCORPORATED ALCIDE CORPORATION $.10 par common $1.00 par common $.01 par common ADVANCE PARADIGM, INC. AES CORPORATION, THE ALDILA, INC. $.01 par common Warrants expire 2001 $.01 par common ADVANCED AERODYNAMICS & STRUCTURES, AETRIUM INCORPORATED ALEXANDER & BALDWIN, INC. INC. $.001 par common No par common $.0001 par common Class A, warrants (expire 12-03-2001) AFC CABLE SYSTEMS, INC. ALEXION PHARMACEUTICALS, INC. Class B, warrants (expire 12-03-2001) $.01 par common $.0001 par common * Units AFFINITY TECHNOLOGY GROUP, INC. ALFA CORPORATION ADVANCED COMMUNICATION SYSTEMS, INC. $.0001 par common $1.00 par common $.01 par common ALFACELL CORPORATION AFFINITY TELEPRODUCTIONS, INC. $.001 par common ADVANCED DEPOSITION TECHNOLOGIES, INC. $.01 par common $.01 par common ALGOMA STEEL, INC. AFFYMETRIX, INC. No par common ADVANCED DIGITAL INFORMATION No par common CORPORATION ALGOS PHARMACEUTICAL CORPORATION AFSALA BANCORP, INC. (New York) No par common $.01 par common $.01 par common ADVANCED ELECTRONIC SUPPORT ALIANT COMMUNICATIONS, INC. PRODUCTS, INC. AFTERMARKET TECHNOLOGY CORPORATION $.25 par common $.001 par common $.01 par common ALICO, INC. ADVANCED ENERGY INDUSTRIES, INC. AG ASSOCIATES, INC. $1.00 par common $.001 par common No par common ALIGN-RITE INTERNATIONAL, INC. ADVANCED FIBRE COMMUNICATIONS AG-CHEM EQUIPMENT CO., INC. $.01 par common $.01 par common $.01 par common ALKERMES, INC. ADVANCED HEALTH CORPORATION AGOURON PHARMACEUTICALS, INC. $.01 par common $.01 par common No par common ALL AMERICAN SEMICONDUCTOR, INC. ADVANCED LIGHTING TECHNOLOGIES, INC. AGRI-NUTRITION GROUP LIMITED $.01 par common $.001 par common $.01 par common ALLCITY INSURANCE COMPANY ADVANCED MARKETING SERVICES, INC. AGRIBIOTECH, INC. $1.00 par common $.001 par common $.001 par common ALLEGIANCE TELECOM, INC. ADVANCED NEUROMODULATION SYSTEMS, AHL SERVICES, INC. $.01 par common INC. $.01 par common ALLEGIANT BANCORP, INC. $.05 par common AIR CANADA CORPORATION $.01 par common ADVANCED POLYMER SYSTEMS, INC. Class A non-voting, par common ALLEN ORGAN COMPANY $.01 par common AIR EXPRESS INTERNATIONAL CORPORATION Class B, $1.00 par common $.01 par common ADVANCED RADIO TELECOM CORPORATION ALLERGAN SPECIALTY THERAPEUTICS, INC. $.001 par common AIR METHODS CORPORATION Class A, $.01 par common $.06 par common †ADVANCED TECHNICAL PRODUCTS, INC. ALLIANCE ATLANTIS COMMUNICATIONS INC. $.25 par common AIRPORT SYSTEMS INTERNATIONAL, INC. Class B non-voting, no par common $.01 par common ADVANCED TISSUE SCIENCES, INC. ALLIANCE BANCORP, INC. $.01 par common AIRTRAN HOLDINGS, INC. $.01 par common $.01 par common ADVANTA CORP. ALLIANCE GAMING CORPORATION Class A, $.01 par common $.10 par common Class B non-voting, $.01 par common AJAY SPORTS, INC. Depositary Shares Series C, 10% par cumulative convertible ALLIANCE PHARMACEUTICAL CORP. preferred $.01 par common ADVANTAGE LEARNING SYSTEMS, INC. $.01 par common AKORN, INC. ALLIANCE SEMICONDUCTOR CORPORATION No par common $.01 par common