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                           APPENDIX  C

                 LISTING OF ITEMS - FINAL ACTIONS

Form U-5 Disclosure

Question
Number  

13A  Disclosure of disciplinary action by domestic or foreign
     government or SRO.

Form U-4 Disclosure

Question
Number  

     Disclosure of domestic or foreign court:

22C1 Enjoined RR in connection with any investment-related
     activity.
22C2 Found RR involved in a violation of investment-related
     statutes or regulations.


     Disclosure of U.S. Securities and Exchange Commission (SEC)
     or Commodity Futures Trading Commission (CFTC):

22D1 Found RR to have made a false statement or omission.
22D2 Found RR to have been involved in a violation of investment-
     related regulations or statutes.
22D3 Found RR to have been a cause of an investment-related
     business having its authorization to do business denied,
     suspended, revoked, or restricted.
22D4 Entered an order denying, suspending or revoking RR's
     registration or disciplined RR by restricting RR's
     activities.
22D5 Imposed a civil money penalty on RR, or ordered RR to cease
     and desist from any activity.


     Disclosure of Federal or State Regulatory Agency or Foreign
     Financial Regulatory Authority:

22E1 Found RR to have made a false statement or omission or been
     dishonest, unfair or unethical.
22E2 Found RR to have been involved in a violation of investment
     regulations or statutes.
22E3 Found RR to have been a cause of an investment-related
     business having its authorization to do business denied,
     suspended, revoked, or restricted.

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22E4 Entered an order against RR in connection with investment-
     related activity.
22E5 Denied, suspended, or revoked RR's registration or license
     or otherwise prevented RR from associating with an
     investment-related business, or disciplined RR by
     restricting RR's activities.
22E6 Revoked or suspended RR's license as an attorney, accountant
     or federal contractor.


     Disclosure of any self-regulatory organization or
     commodities exchange:

22F1 Found RR to have made a false statement or omission.
22F2 Found RR to have been involved in a violation of rules.
22F3 Found RR to have been the cause of an investment-related
     business having its authorization to do business denied,
     suspended, revoked or restricted.
22F4 Disciplined RR by expelling or suspending RR from
     membership, barring or suspending RR's association with its
     members, or restricting RR's activities.


22G  Disclosure of any foreign government order related to
     investments or fraud.


22H2 Disclosure of investment-related, consumer-initiated
     complaint or proceeding that was settled or decided for
     $5,000 or more, or found fraud or the wrongful taking of
     property.


CRD Action Code

ARB  Arbitration Decision (Final)
BAR  Barred (prohibited) from registration
CAF  Censured and Fined
CDO  Cease and Desist Order issued
CEN  Censured
DOR  Order of Denial or Registration issued
EXP  Expelled from Membership
FIN  Fine
OOP  Order of Prohibition
OPI  Order of Permanent Injunction
OTI  Order of Temporary Injunction
RES  Restricted Registration Capacity (Statutory Disqualification)
REV  Revoked
RNP  Revoked for Non-Payment of Fines
RRO  Order of Restitution, Rescission, Damages, Penalties or
     Disgorgement
SUS  Suspended from Registration (Capacity specified)