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                           SEC NEWS DIGEST


Issue 2007-186                                      September 26, 2007



COMMISSION ANNOUNCEMENTS


SEC ANNOUNCES NEW INITIATIVE  TO  WARN  INVESTORS  ABOUT  QUESTIONABLE
SECURITIES SOLICITATIONS

Commission Seeking  Public  Comment  on  Web-Based  Program  Aimed  At
Unregistered Soliciting Entities

The Securities and Exchange Commission today announced a new Internet-
based initiative to alert  investors  worldwide  about  problems  with
certain unregistered entities engaged in solicitations  of  securities
transactions. By more  immediately  sharing  information  received  in
complaints about particular unregistered soliciting entities, the  SEC
is aiming to give retail investors, before they invest, a new tool  to
help  them  avoid  questionable  investment  solicitations,  including
solicitations  from  online  boiler  room  and  advance   fee   scheme
operations.

Through its "Public Alert: Unregistered Soliciting  Entities"  (PAUSE)
program, the Commission will publish on its Web site  certain  factual
information about unregistered soliciting entities that have been  the
subject of complaints forwarded by investors  and  others  around  the
globe, including foreign  securities  regulators.  The  Commission  is
seeking public comments on the PAUSE program before it begins.

"Ferreting out operators of boiler rooms  and  secondary  advance  fee
schemes that  prey  on  innocent  investors  is  a  priority  of  this
Commission," said SEC Chairman Christopher Cox. "The PAUSE program  is
designed to proactively attack this problem,  using  the  Internet  to
fight back by arming investors with information in real time  to  help
them ask tough questions before  giving  their  hard-earned  money  to
strangers. This  encourages  all  investors  to  PAUSE  and  determine
whether an entity is properly registered with the SEC  or  located  in
the United States as claimed. We look forward to hearing the  public's
views about this important initiative."

To implement the PAUSE initiative, the Commission  will  post  on  its
public Web site specific  information  about  unregistered  soliciting
entities that have been the subject of complaints. For each  of  these
entities, the Commission's staff will have determined either (1)  that
there is no U.S. registered securities firm with  that  name,  or  (2)
that there is a U.S. registered  securities  firm  with  the  same  or
similar name, but that solicitations  appear  to  have  been  made  by
people not affiliated with the  U.S.  registered  securities  firm.  A
second  PAUSE  list  will  name  fictitious  government  agencies  and
international organizations referred to by entities that are  subjects
of complaints.

Generally, entities that solicit purchases or sales of securities  for
the accounts of other people in the  United  States  are  required  to
register with the SEC. It is important for  prospective  investors  to
consider whether a soliciting entity is, in fact, registered with  the
SEC. A large number of investor complaints received by the  Commission
concern solicitations  of  investors  by  unregistered  entities  that
appear to be  involved  in  boiler  room  and  secondary  advance  fee
schemes, which, in most instances, claim a nexus to the United States,
but, in truth, are located outside of the  United  States  and  target
non-U.S. investors.

Perpetrators of boiler room and advance fee schemes  increasingly  use
new  devices  to  persuade  investors  that  their  solicitations  are
legitimate, including:

     * Impersonating U.S. registered securities firms by, for example,
     using the same or a similar name or  providing  an  address  that
     closely resembles that of a U.S. registered securities firm.

     * Making false references  or  false  claims  of  endorsement  by
     government agencies and  international  organizations  (sometimes
     even impersonating them).

     * Claiming endorsements or making other references to  government
     agencies and international organizations that sound official, but
     do not exist.

Kurt Pribil, Chairman  of  CESR-Pol,  a  permanent  operational  group
within  the  Committee  of  European  Securities   Regulators   (CESR)
responsible for the enforcement of Europe's  Market  Abuse  Directive,
said, "I believe that the project PAUSE will be an effective  tool  to
warn potential investors in the United States and worldwide of  offers
of financial services by entities  that  are  not  authorized  in  the
United States to offer specific services. This pragmatic  approach  is
key to minimizing the risk of investors being defrauded and  has  been
an approach also adopted by the  regulators  in  the  European  Union.
Through CESR, EU regulators alert their colleagues of any unauthorized
entities working in the EU, and by so doing, enable fellow authorities
to inform their national investors by publishing these warning notices
on their respective websites. We have long seen this as  an  important
tool to reduce the risk of cross-border  frauds.  To  that  end,  CESR
regards PAUSE as a very useful initiative which can contribute to  the
safety of EU investors seeking to invest in the United States."

The comment period extends for 30 days after the Release is  published
in the Federal Register. (Press Rel. 2007-202)


RULES AND RELATED MATTERS


UNREGISTERED SOLICITING ENTITIES (PAUSE)  PROGRAM

The Commission is proposing for comment a new program that  will  post
on  its  Web  site  certain  factual  information  about  unregistered
entities  that  are  engaged  in  the   solicitation   of   securities
transactions. Through this new program,  "Public  Alert:  Unregistered
Soliciting Entities" (PAUSE), the Commission will publish on  its  Web
site  certain  factual  information  about   unregistered   soliciting
entities that  have  been  the  subject  of  complaints  forwarded  by
investors and  others,  including  fellow  securities  regulators.  By
making this information  readily  available,  the  Commission  expects
investors to be better able to evaluate solicitations to buy and  sell
securities. (Rels. 34-56534; IA-2658; File No. S7-24-07)

ORDER CANCELLING REGISTRATIONS

The Commission issued an order pursuant to Section 17A(c)(4)(B) of the
Exchange Act cancelling the transfer agent registration of  Gerdine  &
Associates. Publication in the Federal Register is expected during the
week of Oct. 1, 2007. (Rel. Rel. 34-56521)


ENFORCEMENT PROCEEDINGS


COMMISSION SANCTIONS CONRAD P. SEGHERS

The Commission has  sanctioned  Conrad  P.  Seghers,  an  unregistered
investment adviser.  Seghers  was  enjoined  from  violations  of  the
antifraud provisions of the federal  securities  laws  by  the  United
States District Court for the Northern District of Texas. The district
court found that Seghers violated the antifraud  provisions  when,  in
the course of acting as an investment adviser to three hedge funds, he
knowingly or recklessly caused those funds to overstate the  value  of
their assets. On the basis of this injunction, the  Commission  barred
Seghers from association with any investment adviser.  The  Commission
found that Seghers's conduct was egregious and betrayed his  fiduciary
duties as an investment adviser. The Commission concluded that barring
Seghers from association with any investment adviser was necessary  to
protect the interests of the investing public and as  a  deterrent  to
others in the industry. ((Rel. IA-2656; File No. 3-12433)

IN THE MATTER OF GEORGE BEROS

On  September  25,  the  Commission  issued   an   Order   Instituting
Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange Act of 1934, Making Findings and Imposing Remedial  Sanctions
(Order) against George Beros. Beros, of Shaker Heights, Ohio, was  the
CFO and a director of Monarch Capital Holdings LLC.  The  Order  finds
that  on  Aug.  22,  2007,  a  judgment  was  entered  against   Beros
permanently enjoining him from future  violations  of  Sections  5(a),
5(c) and 17(a) of the Securities Act  of  1933  (Securities  Act)  [15
U.S.C.  77e(a),  77e(c)  and  77q(a)],  and  Section  10(b)  of  the
Securities Exchange Act of 1934 (Exchange Act) [15  U.S.C.    78j(b)]
and Rule 10b-5 promulgated thereunder [17 C.F.R.  240.10b-5], in  the
civil action captioned Securities and Exchange Commission  v.  Capital
Holdings, L.L.C., et al., Civil Action No. 03-RB-0923, in  the  United
States District Court for the District of Colorado.

The Commission's complaint  alleged  that  Capital  Holdings,  L.L.C.,
Smitty's Investments, LLC,  Capital  Holdings  Int,  LLC  and  Monarch
Capital Holdings LLC, and  their  principals  defrauded  investors  by
falsely promising that: (1) investor funds would be used as collateral
to facilitate leveraged trading of  financial  instruments  issued  by
major banks and governments and that  investors  would  share  in  the
trading profits; (2) investors  would  earn  a  fixed  monthly  return
ranging from 2% to 15%; (3) the safety of invested principal would  be
guaranteed; and (4) investors'  funds  would  be  fully  insured.  The
complaint also alleged that there is no trading program and  that  the
defendants  regularly  paid  undisclosed  sales   commissions,   Ponzi
payments and personal expenses with investor funds.

On March 16, 2007, in a related criminal matter, Beros pleaded  guilty
to one count of securities fraud  in  violation  of  Title  15  United
States Code,  Sections  77q(a)  and  77x,  before  the  United  States
District Court for the District  of  Colorado,  in  United  States  v.
Norman Schmidt, et al., Crim. Indictment No. 1:04cr103. On  August  3,
2007, a judgment in the criminal case was entered  against  Beros.  He
was sentenced to a prison term of 12 months and one day followed by  3
years of supervised release and ordered to pay a special victim's fund
assessment  of  $100  and  to  make  restitution  in  the  amount   of
$286,739.00.

Based on the above, the Order bars Beros  from  association  with  any
broker or dealer. George Beros consented to the issuance of the  Order
without admitting or denying any of the findings in the  Order.  (Rel.
34-56520; File No. 3-12826)

THE SECURITIES AND EXCHANGE COMMISSION ORDERS  THAT  MARIO  CASIAS  BE
BARRED FROM ASSOCIATION WITH ANY BROKER OR DEALER

On  September  25,  the  Commission  issued   an   Order   Instituting
Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
(Order) against Mario Casias. The Order finds that  in  or  about  and
between January 2001 and February 2003 (Relevant Period),  Casias  was
associated with a branch office of Delta Asset Management, LLC  (Delta
Asset), a broker-dealer registered  with  the  Commission.  The  Order
further finds that, on June 29, 2007, Casias pled guilty to charges of
conspiracy to commit securities fraud in violation of Title 15, United
States Code,  Sections  78j(b)  and  78ff  before  the  United  States
District Court for the Eastern District of New York, in United  States
v. Pirgousis, et al., Cr. No. 04-159 (NGG). The counts of the criminal
indictment to which Casias  pled  guilty  alleged,  inter  alia,  that
Casias, while associated with the Delta Asset branch office, knowingly
and willfully employed devices, schemes, and artifices to defraud  and
engaged in acts, practices, and courses of business  which  would  and
did operate as a fraud  and  deceit  upon  members  of  the  investing
public, in connection with the purchases and sales of securities,  and
by use of the means and instrumentalities of interstate  commerce  and
the mails.

Based on the above, the Order bars Casias from  association  with  any
broker or dealer. Casias  consented  to  the  issuance  of  the  Order
without admitting or denying any of the findings in the  Order.  (Rel.
34-56529; File No. 3-12831)

IN THE MATTER OF JUSTIN F. FICKEN

On  September  26,  the  Commission  issued   an   Order   Instituting
Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act
of 1940 and Notice of Hearing (Order) against Justin  F.  Ficken.  The
Division of Enforcement (Division) alleges  in  the  Order  that  from
approximately October 1999  until  at  least  June  2003,  Ficken  was
employed by Prudential Securities, Inc.,  then  a  registered  broker-
dealer and investment adviser. The  Division  also  alleges  that,  on
Sept. 13, 2007, a final judgment was entered  against  Ficken  in  the
civil action entitled Securities and Exchange Commission v. Martin  J.
Druffner, et al., Civil Action  Number  03-12154-NMG,  in  the  United
States District Court for the District of  Massachusetts,  permanently
enjoining  him  from  future  violations  of  Section  17(a)  of   the
Securities Act of 1933 and Section 10(b) of the Exchange Act and  Rule
10b-5 thereunder. The Commission's  amended  complaint  alleges  that,
from at least January 2001 through September 2003,  Ficken  and  other
former PSI registered representatives defrauded more than fifty mutual
fund companies and the funds' shareholders  by  placing  thousands  of
market timing trades worth more than one billion dollars. According to
the amended complaint, the defendant registered  representatives  knew
that the mutual fund companies monitored  and  attempted  to  restrict
excessive trading in their mutual funds. To evade  those  restrictions
when placing market timing trades with the mutual funds, the defendant
registered  representatives  disguised   their   own   identities   by
establishing numerous  broker  identification  numbers  and  disguised
their customers' identities by opening  nearly  two  hundred  customer
accounts  under  various  names  for  seven  of  their  market  timing
customers.

A hearing will be scheduled before  an  administrative  law  judge  to
determine whether the allegations contained in the Order are true,  to
provide Ficken an opportunity  to  dispute  the  allegations,  and  to
determine what, if any, remedial action  is  appropriate  and  in  the
public interest pursuant to Section 15(b)  of  the  Exchange  Act  and
Section  203(f)  of  the  Advisers  Act.  The   Order   requires   the
Administrative Law Judge to issue an initial decision  no  later  than
210 days from the date of service  of  the  Order,  pursuant  to  Rule
360(a)(2) of the Commission's Rules of Practice. (Rel.  34-56531;  IA-
2657; File No. 3-12832)

SEC INSTITUTES SETTLED ANTIBRIBERY, BOOKS  AND  RECORDS  AND  INTERNAL
CONTROLS ACTION AGAINST BRISTOW GROUP INC. FOR  IMPROPER  PAYMENTS  TO
NIGERIAN GOVERNMENT OFFICIALS

On September 26, the Commission issued an Order Instituting Cease-and-
Desist Proceedings, Making Findings, and Imposing  a  Cease-and-Desist
Order Pursuant to Section 21C of the Securities Exchange Act  of  1934
(Order) against Bristow Group Inc., a  Houston,  Texas-based  and  New
York Stock Exchange listed helicopter transportation services and  oil
and gas production facilities operation company. The Order finds  that
Bristow Group violated Section 30A of the Securities Exchange  Act  of
1934 (Exchange Act), which  prohibits  any  issuer  with  a  class  of
securities registered pursuant to Section 12 of the Exchange  Act,  in
order to obtain or retain business, from giving,  or  authorizing  the
giving of, anything of value to any foreign official for  purposes  of
influencing the official or inducing the official to act in  violation
of his or her lawful duties, or to secure any improper  advantage;  or
to induce a foreign official to  use  his  influence  with  a  foreign
government or foreign governmental instrumentality  to  influence  any
act or decision of such government or instrumentality. The Order finds
that a Bristow Group Nigerian  affiliate  made  improper  payments  to
Nigerian state government  officials  in  return  for  the  officials'
reduction of the affiliate's expatriate employment taxes owed  to  the
Nigerian state  governments.  The  Order  also  finds  that  the  same
affiliate  and  another  Bristow   Group   Nigerian   affiliate   also
underreported their expatriate payroll expenses in Nigeria.

Based on the above, the Order requires  Bristow  Group  to  cease  and
desist from committing  or  causing  any  violations  and  any  future
violations of Sections 30A, 13(a), 13(b)(2)(A) and 13(b)(2)(B) of  the
Exchange Act and Rules 12b-20, 13a-1 and  13a-13  thereunder.  Bristow
Group consented to the issuance of  the  Order  without  admitting  or
denying any of the Commission's findings.  (Rel.  34-56533;  AAE  Rel.
2727; File No. 3-12833)

IN THE MATTER OF C.R. WILLIAMS, INC. AND CHARLES RUSSELL WILLIAMS II

On September 26, the Commission instituted public  administrative  and
cease-and-desist proceedings against C.R.  Williams,  Inc.  (CRW),  an
investment adviser registered with the Commission, and its  president,
chief executive officer and majority owner, Charles  Russell  Williams
II (Williams), alleging that  CRW  willfully  violated,  and  Williams
caused and willfully aided and abetted CRW's violations of  the  books
and records and reporting provisions of the  Investment  Advisers  Act
(Advisers Act).

In  the  Order   Instituting   Administrative   and   Cease-and-Desist
Proceedings Pursuant to Sections 203(e),  203(f)  and  203(k)  of  the
Investment Advisers Act of 1940 (Order), the Division  of  Enforcement
(Division) alleges that from at least June 2003 through February 2006,
CRW, aided and abetted by Williams, violated  the  books  and  records
provisions by  failing  to  make  and  keep:  cash  receipt  journals;
disbursement records; general and auxiliary ledgers reflecting  asset,
liability,  reserve,  capital,  income  and  expense   accounts;   and
financial statements relating to its investment adviser business.  The
Division also  alleges  that  CRW,  aided  and  abetted  by  Williams,
violated the reporting provisions by: (1) failing to file  its  annual
reports on amended Form ADV for the fiscal years ended Dec.  31,  2005
and Dec. 31, 2006; and (2) failing to timely file a Form  ADV-W  after
it became ineligible for registration with the Commission. As a result
of their conduct, the Division alleges that  CRW  willfully  violated,
and Williams caused and willfully aided and abetted  CRW's  violations
of Sections 203A and 204 of the Advisers Act and  Rules  203A-1(b)(2),
204-1(a)(1),  204-2(a)(1),  204-2(a)(2)  and  204-2(a)(6)  promulgated
thereunder.

The Division also alleges that Williams has a history of  disregarding
the books and records and reporting requirements of the Advisers  Act.
As alleged in the Order, on Feb. 14, 1996,  the  Commission  initiated
settled administrative proceedings against  Williams  and  entered  an
order that found that: (1) Williams had failed to make  and  keep  the
same books and records that CRW allegedly has failed to make and  keep
currently; and (2) Williams had failed to file an annual amended  Form
ADV-S for fiscal years ended Dec. 31, 1989 through 1994. The Feb.  14,
1996 order imposed a censure on Williams, directed Williams  to  cease
and desist from violating Section 204 of the Advisers Act and  certain
Rules thereunder, including Rules 204-1, 204-2(a)(1), 204-2(a)(2), and
204-2(a)(6) and imposed a  $5,000  civil  penalty.  It  also  required
Williams to adopt, implement and maintain  new  written  policies  and
procedures to prevent and detect books  and  records  violations,  and
expressly applied those undertakings to CRW.

The Order seeks: remedial sanctions against CRW  pursuant  to  Section
203(e) of the Advisers Act and against Williams  pursuant  to  Section
203(f) of the Advisers Act; a cease-and-desist order against  CRW  and
Williams; and civil money penalties against CRW and Williams  pursuant
to Section 203(i) of the Advisers Act.  (Rel.  IA-2660;  File  No.  3-
12834)

ADMINISTRATIVE PROCEEDING INSTITUTED AGAINST KANGSAN KIM

On  September  26,  the  Commission  issued   an   Order   Instituting
Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act
of 1940 and Notice of Hearing (Order) against  Kangsan  Kim  (Kim)  to
determine what remedial sanctions, if any, are appropriate and in  the
public interest. The Division of Enforcement alleges in the Order that
Kim was the president of Unus  Capital  Management,  Inc.  (Unus),  an
investment adviser, from November 2002 to November 2004, and was  also
the  chief  financial  officer  of  PeopleN  Investment,  Inc.,  which
purported to be a brokerage house through which Unus clients could buy
and sell securities. The Division of Enforcement alleges in the  Order
that on March 6, 2007, Kim pleaded guilty to one count of  wire  fraud
in the United States  District  Court  for  the  Central  District  of
California, United States of America v. Kangsan Kim, aka  Kang  Blaine
Kim, aka Blaine Kim, Case No. 06-CR-00625-ER-2. On Sept. 17,  2007,  a
judgment in  the  criminal  case  was  entered  against  Kim.  He  was
sentenced to a prison term of 52 months followed  by  three  years  of
supervised release, and ordered to make restitution in the  amount  of
approximately $3.8 million. The wire fraud count to which Kim  pleaded
guilty alleged that from approximately  July  2001  through  at  least
September 2005, Kim knowingly and with the intent to defraud, devised,
participated in, and executed a scheme to defraud investors  as  to  a
material matter, and to obtain money and property  from  investors  by
means of material false and fraudulent representations and concealment
of material facts. The Order alleges that  Kim  claimed  Unus  was  an
investment adviser that provided advice  regarding  the  purchase  and
sale of stocks and bonds, and that all  funds  provided  by  investors
would be used to purchase securities. The Order further alleges  that,
contrary to representations  made  to  investors,  Kim  used  investor
monies  for  business  purposes,  payments  on  his   residence,   and
entertainment, and used some investor  monies  to  operate  a  "Ponzi"
scheme.

A hearing will be scheduled before  an  Administrative  Law  Judge  to
determine whether the allegations contained in the Order are true,  to
afford Kim an opportunity to respond, and to determine what,  if  any,
remedial sanctions are appropriate and in the public interest.

The Order requires the Administrative Law Judge to  issue  an  initial
decision no later than 210 days from the date of service of the order,
pursuant to Rule 360(a)(2) of  the  Commission's  Rules  of  Practice.
(Rels. 34-56536; IA-2659; File No. 3-12835)

IN THE MATTER OF NOVATEK INTERNATIONAL, INC. A/K/A MEDICAL  DIAGNOSTIC
PRODUCTS, INC.

On  September  26,  the  Commission  issued   an   Order   Instituting
Proceedings and Notice of Hearing Pursuant to  Section  12(j)  of  the
Securities Exchange Act of 1934, against Novatek  International,  Inc.
a/k/a Medical Diagnostic  Products,  Inc.,  to  determine  whether  to
suspend for a period not exceeding twelve  months  or  to  revoke  the
registration of each class of its securities  registered  pursuant  to
Section 12 of the Securities Exchange Act of 1934 (Exchange Act).

In the order instituting administrative proceedings  against  Novatek,
the Division of Enforcement alleges  that  Novatek's  securities  were
registered pursuant to Section 12 of the Exchange  Act.  The  Division
also alleges that Exchange Act Section 13(a) and Rules 13a-1 and  13a-
13 promulgated thereunder, require issuers with classes of  securities
registered pursuant to Exchange  Act  Section  12  to  file  with  the
Commission current and accurate information  in  public  reports.  The
Division further alleges that Novatek is delinquent  in  its  required
periodic filings with the Commission, having  last  filed  a  periodic
report for the period ended June 30, 1996.

A hearing will be scheduled before  an  Administrative  Law  Judge  to
determine whether the allegations contained in the  order  instituting
proceedings are true, to provide Novatek  an  opportunity  to  dispute
these allegations, and  to  determine  whether  it  is  necessary  and
appropriate for the protection of investors to suspend  for  a  period
not exceeding twelve months or to  revoke  the  registration  of  each
class of Novatek's securities registered pursuant to Section 12 of the
Exchange Act.

Pursuant to the Commission's Rules of Practice,  an  initial  decision
will be issued by the administrative law judge within  120  days  from
the service of the Order Instituting Proceedings. (Rel. 34-56537; File
No. 3-12836)

COMMISSION CHARGES FORMER BROKER WITH FRAUD IN CIVIL ACTION

On September 24, the Commission filed and settled a complaint  against
Michael B. Upton (Upton), a former registered  representative  at  MCL
Financial Group, Inc. The Commission's complaint  alleges  that  Upton
violated 17(a) of the Securities Act of 1933 and Section 10(b) of  the
Securities Exchange Act of 1934 and Rule 10b-5 thereunder.

The Commission's complaint alleges  that,  from  August  2003  through
March 2005, Upton made materially false and misleading statements  and
omitted to disclose material information to  investors  in  connection
with 27 securities offerings. The complaint further alleges that Upton
misrepresented to investors the investment risks and also that certain
shares would soon be publicly traded despite his  knowledge  that  his
representations were false. The  complaint  also  alleges  that  Upton
failed to disclose to investors that he earned  override  commissions,
which totaled $287,496 in addition to his disclosed sales commissions.


Without admitting or denying the allegations in the  complaint,  Upton
consented to the entry of a  final  judgment  that  would  permanently
enjoin him from future violations of Section 17(a) of  the  Securities
Act and Section 10(b) of the Exchange Act and Rule  10b-5  thereunder.
Upton also agreed to disgorge  $287,496  related  to  his  undisclosed
compensation and pay prejudgment interest of  $8,090.87  and  a  civil
penalty of $120,000. [SEC v. Michael B. Upton, Civil  Action  No.  07-
06180 CAS (AGRx) (C.D. Cal.)]  (LR-20299)

SEC BRINGS FRAUD CHARGES AGAINST SAN FRANCISCO HEDGE FUND MANAGER

The Commission today charged a San Francisco hedge fund  manager  with
defrauding  investors   by   dramatically   overstating   the   fund's
profitability and misusing fund assets. The  Commission  alleges  that
Alexander James Trabulse sent account statements to investors  in  his
Fahey Fund that inflated the fund's returns by as much as 200%,  while
using investor money to purchase cars and finance shopping sprees  for
his family members.

According to  the  Commission's  complaint,  filed  today  in  federal
district court in San Francisco, Trabulse founded the  Fahey  Fund  in
1997 and raised about $10 million from approximately 100 investors. He
told investors the fund invested in financial instruments like stocks,
derivatives, and foreign currency. The complaint alleges that Trabulse
lured investors by touting the fund's spectacular performance, when in
reality the statements he provided to investors bore  no  relation  to
the fund's actual performance.

The Commission also alleges Trabulse misused fund assets to pay for  a
wide variety of personal expenses, using the fund's  bank  account  to
pay for cars, a  home  theater  system,  and  his  ex-wife's  overseas
shopping allowance. He even gave one relative free reign  to  use  the
fund's bank accounts for personal use, according to the Commission.

The Commission's complaint alleges Trabulse violated  Sections  206(1)
and 206(2) of the Investment Advisers Act of 1940,  Section  10(b)  of
the Securities Exchange Act of 1934 and  Rule  10b-5  thereunder,  and
Sections 5 and  17(a)  of  the  Securities  Act  of  1933,  and  seeks
disgorgement, penalties, and other relief.  The  Commission  also  has
named as relief defendants several entities associated  with  Trabulse
that received assets through Trabulse's fraud: Fahey Fund, L.P., Fahey
Financial Group, Inc., International Trade & Data,  and  ITD  Trading.
[SEC v. Alexander James Trabulse, et al., Case No.  07-4975-JCS,  N.D.
Cal.] (LR-20300)


INVESTMENT COMPANY ACT RELEASES


MMA PRAXIS MUTUAL FUNDS, ET AL.

A notice has been issued giving  interested  persons  until  Oct.  19,
2007, to request a hearing on  an  application  filed  by  MMA  Praxis
Mutual Funds, et  al.,  for  an  order  under  Section  17(b)  of  the
Investment Company Act that would  permit  certain  entities  excluded
from the definition of investment company under  Section  3(c)(10)  or
3(c)(11) of the Act to transfer certain  classes  of  assets  held  in
separate accounts to a series  of  a  registered  open-end  management
investment company in exchange for shares of that  series.  (Rel.  IC-
27977 - September 24)

CITI INVESTOR SERVICES, INC. F/N/A THE BISYS GROUP, INC., ET AL.

The Commission has issued a temporary order to Citi Investor Services,
Inc. f/n/a The BISYS Group, Inc., et al. (BISYS) under Section 9(c) of
the Investment Company Act with respect to an injunction issued by the
U.S. District Court for the Southern District of New York on July  27,
2007  (Injunction).  The  temporary  order  exempts   applicants   and
companies of which BISYS is or becomes an affiliated person  from  the
provisions of Section 9(a) until the Commission takes final action  on
an application for a permanent order. The Commission also has issued a
notice giving interested persons until Oct. 19,  2007,  to  request  a
hearing on the application filed by applicants for a  permanent  order
under Section 9(c) of the Act. (Rel. . IC-27978 - September 24)

MINNESOTA LIFE INSURANCE COMPANY, ET AL.

An order has been issued pursuant to Section 6(c)  of  the  Investment
Company Act to Minnesota  Life  Insurance  Company  (Minnesota  Life),
Variable  Annuity  Account,  and  Securian  Financial  Services,  Inc.
(collectively, Applicants), granting exemptions from the provisions of
Sections  2(a)(32)  and  27(i)(2)(A)  of  the  Act  and   Rule   22c-1
thereunder, to the extent necessary to  permit  recapture  of  certain
credit enhancements applied to purchase payments made in consideration
of certain deferred variable annuity contracts, including data  pages,
riders and endorsements, described in the application  that  Minnesota
Life intends to issue (the Current Contracts).  The  exemptive  relief
extends to: (1) any deferred  variable  annuity  contracts,  including
data pages, riders and  endorsements,  substantially  similar  to  the
Current Contracts that Minnesota Life may issue  in  the  future  (the
Future  Contracts  and  together  with  the  Current  Contracts,   the
Contracts); (2) any other separate  accounts  of  Minnesota  Life  and
their successors in interest that support the Contracts; and  (3)  any
National Association of Securities Dealers, Inc. member broker-dealers
controlling,  controlled  by,  or  under  common  control   with   any
Applicant, whether existing or created in  the  future,  that  in  the
future, may act as principal underwriter for the Contracts. (Rel.  IC-
27979 - September 25)


SELF-REGULATORY ORGANIZATIONS


PROPOSED RULE CHANGE

The American Stock Exchange filed a  proposed  rule  change  (SR-Amex-
2007-97) and Amendment No. 1 thereto relating to changes in  the  name
and investment objective to the PowerShares DB Precious  Metals  Fund,
the PowerShares DB Gold Fund, and  the  PowerShares  DB  Silver  Fund.
Publication is expected in the Federal Register  during  the  week  of
Oct. 1, 2007. (Rel. 34-56503)

APPROVAL OF PROPOSED RULE CHANGE

The Commission approved  a  proposed  rule  change  (SR-NASD-2007-055)
submitted by the National Association  of  Securities  Dealers  (n/k/a
Financial   Industry   Regulatory   Authority,   Inc.)   relating   to
Interpretative Material 9216 (Violations Appropriate  for  Disposition
Under Plan Pursuant to SEC Rule 19d-1(c)(2)). Publication is  expected
in the Federal Register during the week of Oct.  1,  2007.  (Rel.  34-
56504)

IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE

A proposed rule change (SR-Amex-2007-99) filed by the  American  Stock
Exchange to delete certain rules that  the  Amex  has  determined  are
obsolete or unnecessary has become effective under Section 19(b)(3)(A)
of the Securities Exchange Act of 1934. Publication is expected in the
Federal Register during the week of Oct. 1, 2007. (Rel. 34-56506)

ACCELERATED APPROVAL OF PROPOSED RULE CHANGE

The Commission granted accelerated approval to a proposed rule  change
(SR-Amex-2007-101) filed by  the  American  Stock  Exchange  to  trade
Currency Trust Shares of seven Currency Trusts  pursuant  to  unlisted
trading privileges. Publication is expected in  the  Federal  Register
during the week of Oct. 1, 2007. (Rel. 34-56515)


SECURITIES ACT REGISTRATIONS


The following registration statements have been  filed  with  the  SEC
under the Securities Act of 1933. The reported information appears  as
follows: Form, Name, Address and Phone Number (if  available)  of  the
issuer of the security; Title and the number and/or face amount of the
securities  being  offered;  Name  of  the  managing  underwriter   or
depositor (if  applicable);  File  number  and  date  filed;  Assigned
Branch; and a designation if the statement is a New Issue.

Registration statements may be obtained in person or by writing to the
Commission's  Public  Reference  Branch  at  100   F   Street,   N.E.,
Washington, D.C. 20549-1090 or at the following  e-mail  box  address:
publicinfo@sec.gov. In most cases, this information is also  available
on the Commission's website: www.sec.gov.


F-3     IRSA INVESTMENTS & REPRESENTATIONS INC, BOLIVAR 108, 
        BUENOS AIRES ARGENTI, C1, 9999999999, 0 ($564,199,999.00) Equity, 
        (File 333-146277 - Sep. 25) (BR. 08B)

S-4     CHS/Community Health Systems, Inc., 4000 MERIDIAN BLVD, FRANKLIN, TN, 
        37068-9020, 615-465-7084 - 0 ($3,021,331,000.00) Non-Convertible Debt, 
        (File 333-146278 - Sep. 25) (BR. 01)

S-3ASR  KOHLS CORPORATION, 4147835800 - 0 ($0.00) Other, (File 333-146279 - 
        Sep. 25) (BR. 02C)

S-3ASR  EATON VANCE CORP, 255 STATE STREET, BOSTON, MA, 02109, 6174828260 - 
        0 ($0.00) Equity, (File 333-146280 - Sep. 25) (BR. 06C)

S-8     ev3 Inc., 9600 54TH AVENUE NORTH, SUITE 100, PLYMOUTH, MN, 55442-2111, 
        (763) 398-7000 - 2,000,000 ($31,920,000.00) Equity, (File 333-146282 - 
        Sep. 25) (BR. 10B)

F-6     NOAH EDUCATION HOLDINGS LTD., 10TH FLOOR B BUILDING, 
        FUTIAN TIAN'AN HI-TECH VENTURE PARK, FUTIAN DISTRICT, SHENZHEN, F4, 
        518048, (86-755) 8343-2800 - 0 ($5,000,000.00) ADRs/ADSs, 
        (File 333-146283 - Sep. 25) (BR. 11)

SB-2    Keven Investments, 3720 WEST DESERT INN ROAD, LAS VEGAS, NV, 89102, 
        702-966-0600 - 2,000,000 ($200,000.00) Equity, (File 333-146284 - 
        Sep. 25) (BR. 05)

S-8     Mezey Howarth Racing Stables, Inc., 405A ARENOSO, SAN CLEMENETE, CA, 
        92672, 9494294001 - 4,000,000 ($400,000.00) Equity, (File 333-146285 - 
        Sep. 25) (BR. 05C)

S-3ASR  RANGE RESOURCES CORP, 100 THROCKMORTON  STE. 1200, FT WORTH, TX, 76102, 
        817-870-2601 - 0 ($0.00) Debt, (File 333-146287 - Sep. 25) (BR. 04C)

S-3ASR  ICONIX BRAND GROUP, INC., 1450 BROADWAY, 4TH FL, NEW YORK, NY, 10018, 
        212-730-0030 - 0 ($287,500,000.00) Asset-Backed Securities, 
        (File 333-146288 - Sep. 25) (BR. 02C)

S-1     Home Federal Bancorp, Inc., 500 12TH AVENUE SOUTH, NAMPA, ID, 83653, 
        (208) 466-4634 - 15,870,000 ($158,700,000.00) Equity, 
        (File 333-146289 - Sep. 25) (BR. )

SB-2    FLEX RESOURCES CO. LTD, 1284 EAST 9TH AVENUE, VANCOUVER, A1, V5V 1L3, 
        205-419-8664 - 1,356,500 ($135,650.00) Equity, (File 333-146290 - 
        Sep. 25) (BR. )

S-8     FRONTEER DEVELOPMENT GROUP INC, SUITE 1650, 1055 WEST HASTINGS STREET, 
        VANCOUVER, A1, V6E 2E9, 604-632-4677 - 
        8,822,010 ($66,811,725.91) Equity, (File 333-146291 - Sep. 25) (BR. 04A)

S-4     Home Federal Bancorp, Inc., 500 12TH AVENUE SOUTH, NAMPA, ID, 83653, 
        (208) 466-4634 - 11,051,604 ($110,516,040.00) Equity, 
        (File 333-146292 - Sep. 25) (BR. )

S-8     KEY ENERGY SERVICES INC, 1301 MCKINNEY STREET, SUITE 1800, HOUSTON, TX, 
        77010, 713-651-4300 - 0 ($96,144,289.00) Equity, (File 333-146293 - 
        Sep. 25) (BR. 04A)

S-8     KEY ENERGY SERVICES INC, 1301 MCKINNEY STREET, SUITE 1800, HOUSTON, TX, 
        77010, 713-651-4300 - 0 ($3,726,250.00) Equity, (File 333-146294 - 
        Sep. 25) (BR. 04A)

S-8     Redpoint Bio CORP, 7 GRAPHICS DRIVE, EWING, NJ, 08628, 609 637-9700 - 
        0 ($12,153,081.00) Equity, (File 333-146295 - Sep. 25) (BR. 01B)

S-8     LIONS GATE ENTERTAINMENT CORP /CN/, 555 BROOKSBANK AVENUE, 
        NORTH VANCOUVER, A1, V7J3S5, 604-983-5555 - 0 ($65,800,000.00) Equity, 
        (File 333-146296 - Sep. 25) (BR. 05B)

S-3     GENTIVA HEALTH SERVICES INC, 3 HUNTINGTON QUADRANGLE 2S, MELVILLE, NY, 
        11747-8943, 6315017000 - 
        0 ($300,000,000.00) Debt Convertible into Equity, (File 333-146297 - 
        Sep. 25) (BR. 01A)

S-8     Energy Transfer Equity, L.P., 2828 WOODSIDE STREET, DALLAS, TX, 75204, 
        2149810700 - 0 ($106,980,000.00) Equity, (File 333-146298 - Sep. 25) 
        (BR. 02)

SB-2    Passport Restaurants, Inc., 804 PIER VIEW WAY, SUITE 208, OCEANSIDE, 
        CA, 92054, 760-754-2722 - 3,713,824 ($16,175,603.94) Equity, 
        (File 333-146299 - Sep. 25) (BR. )

S-3     Energy Transfer Equity, L.P., 2828 WOODSIDE STREET, DALLAS, TX, 75204, 
        2149810700 - 0 ($4,375,868,896.00) Equity, (File 333-146300 - Sep. 25) 
        (BR. 02)


RECENT 8K FILINGS


Form 8-K is used by companies to file current reports on the following
events:
	
1.01	Entry into a Material Definitive Agreement		
1.02	Termination of a Material Definitive Agreement		
1.03	Bankruptcy or Receivership	
2.01	Completion of Acquisition or Disposition of Assets	
2.02	Results of Operations and Financial Condition	
2.03	Creation of a Direct Financial Obligation or an Obligation under an 
	Off-Balance Sheet Arrangement of a Registrant		
2.04	Triggering Events That Accelerate or Increase a Direct Financial Obligation 
	under an Off-Balance Sheet Arrangement		
2.05	Cost Associated with Exit or Disposal Activities		
2.06	Material Impairments		
3.01	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or 
	Standard; Transfer of Listing		
3.02	Unregistered Sales of Equity Securities		
3.03	Material Modifications to Rights of Security Holders		
4.01	Changes in Registrant's Certifying Accountant	
4.02	Non-Reliance on Previously Issued Financial Statements or a Related Audit
	Report or Completed Interim Review		
5.01	Changes in Control of Registrant	
5.02	Departure of Directors or Principal Officers; Election of Directors; 
	Appointment of Principal Officers	
5.03	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04	Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05	Amendments to the Registrant's Code of Ethics, or Waiver of a 
	Provision of the Code of Ethics	
6.01. 	ABS Informational and Computational Material.
6.02.  	Change of Servicer or Trustee.
6.03.  	Change in Credit Enhancement or Other External Support.
6.04. 	Failure to Make a Required Distribution.
6.05.  	Securities Act Updating Disclosure.
7.01	Regulation FD Disclosure	
8.01	Other Events	
9.01	Financial Statements and Exhibits	

8-K  reports  may  be  obtained  in  person  or  by  writing  to   the
Commission's  Public  Reference  Branch  at  100   F   Street,   N.E.,
Washington, D.C. 20549-1090 or at the following  e-mail  box  address:
publicinfo@sec.gov. In most cases, this information is also  available
on the Commission's website: www.sec.gov.


				        STATE     
NAME OF ISSUER                          CODE   	 8K ITEM NO.		    	DATE       COMMENT
-------------------------------------------------------------------------------------------------------
3D SYSTEMS CORP                         DE       7.01,9.01                      09/25/07

5 G WIRELESS COMMUNICATIONS INC         NV       5.05                           09/21/07

AAA Energy Inc.                         NV       5.02                           09/25/07

AEHR TEST SYSTEMS                       CA       2.02,9.01                      08/31/07

AFFYMETRIX INC                          DE       8.01                           09/19/07

AFS SenSub Corp.                                 1.01,9.01                      09/20/07

AIR PRODUCTS & CHEMICALS INC /DE/       DE       5.02                           09/25/07

ALL AMERICAN PET COMPANY, INC.          MD       4.01,8.01,9.01                 09/11/07    AMEND

ALLERGAN INC                            DE       5.03,9.01                      09/24/07

ALPHA PETROLEUM EXPLORATION CORP        NY       4.01                           06/01/07    AMEND

ALTRUST FINANCIAL SERVICES INC                   1.01,2.03,9.01                 09/20/07

AMERICAN LAND LEASE INC                 DE       7.01,9.01                      09/25/07

AMERICAN TECHNICAL CERAMICS CORP        DE       2.01,3.01,3.03,5.01,9.01       09/25/07

AMERICAN TOWER CORP /MA/                DE       8.01,9.01                      09/24/07

AMPAL-AMERICAN ISRAEL CORP              NY       3.02,8.01,9.01                 09/24/07

AMSURG CORP                             TN       5.02,7.01,9.01                 09/25/07

ARENA PHARMACEUTICALS INC               DE       8.01                           09/25/07

ARRAY BIOPHARMA INC                     DE       8.01,9.01                      09/24/07

ASHLAND INC.                            KY       7.01,9.01                      09/25/07

ASHLAND INC.                            KY       7.01,9.01                      09/25/07

ASPYRA INC                              CA       5.02,9.01                      09/20/07

ATLANTIC COAST FEDERAL CORP             X1       8.01,9.01                      09/25/07

AUTOLIV INC                             DE       2.04,9.01                      09/25/07

AVALON ENERGY CORP.                     NV       5.03,8.01                      09/25/07

Aventura Holdings Inc.                  FL       1.01,2.01                      09/24/07

AVX CORP                                DE       2.01,9.01                      09/25/07

BAKERS FOOTWEAR GROUP INC               MO       2.06,8.01,9.01                 09/24/07

BALTIC INTERNATIONAL USA INC            TX       8.01                           09/20/07

BEA SYSTEMS INC                         DE       5.02                           09/19/07

BEST BUY CO INC                         MN       2.03,9.01                      09/19/07

BIOMET INC                              IN       3.01,5.03,9.01                 09/25/07

BlackRock Inc.                          DE       5.02,9.01                      09/25/07

BLUEGREEN CORP                          MA       5.03,9.01                      09/19/07

BMB MUNAI INC                                    1.01,1.02,2.03,3.02,9.01       09/19/07

BMW Vehicle Owner Trust 2005-A                   9.01                           09/25/07

BRIDGE BANCORP INC                      NY       9.01                           09/24/07

BUFFETS HOLDINGS, INC.                  DE       2.02,9.01                      09/25/07

BUFFETS HOLDINGS, INC.                  DE       7.01,9.01                      09/25/07

C-COR INC                               PA       8.01,9.01                      09/24/07

CACI INTERNATIONAL INC /DE/             DE       5.02                           09/25/07

CAMCO FINANCIAL CORP                    DE       8.01,9.01                      09/25/07

CAMDEN NATIONAL CORP                    ME       8.01,9.01                      09/25/07

CAPITAL AUTO RECEIVABLES LLC            DE       8.01,9.01                      09/25/07

CAPTARIS INC                            WA       5.03,9.01                      09/20/07

CARDINAL HEALTH INC                     OH       5.02,7.01,9.01                 09/20/07

CARROLLTON BANCORP                      MD       5.02,9.01                      09/25/07

CASH AMERICA INTERNATIONAL INC          TX       5.02,9.01                      08/10/07    AMEND

CASTLE A M & CO                         MD       5.02                           09/25/07

CATERPILLAR INC                         DE       1.01,2.03,9.01                 09/20/07

CBD Media Holdings LLC                  DE       1.01,3.03,8.01,9.01            09/24/07

CBD MEDIA LLC                           DE       1.01,3.03,8.01,9.01            09/24/07

CBRL GROUP INC                          TN       5.02                           09/19/07

CELL THERAPEUTICS INC                   WA       5.02,9.01                      09/21/07

CET SERVICES INC                        CA       5.02,9.01                      09/24/07

CHARMING SHOPPES INC                    PA       7.01,9.01                      09/24/07

Chelsea Therapeutics International, L   DE       8.01,9.01                      09/24/07

CHINA AUTOMOTIVE SYSTEMS INC            DE       5.02,9.01                      09/25/07

China Kangtai Cactus Bio-tech, Inc.     NV       5.02                           09/21/07

Citicorp Mortgage Securities Trust, S   DE       9.01                           09/25/07

CITIZENS BANCORP OF VIRGINIA INC        VA       8.01,9.01                      09/24/07

Citizens Community Bancorp Inc.         MD       8.01,9.01                      09/24/07

CLEAR CHANNEL COMMUNICATIONS INC        TX       8.01,9.01                      09/25/07

CMGI INC                                DE       2.02,8.01,9.01                 09/25/07

CNH CAPITAL RECEIVABLES LLC             DE       1.01,9.01                      09/20/07

COASTAL CARIBBEAN OILS & MINERALS LTD   D0       8.01,9.01                      09/25/07

COBIZ FINANCIAL INC                     CO       7.01,9.01                      09/24/07

COCA COLA ENTERPRISES INC               DE       5.02                           09/24/07

COEUR D ALENE MINES CORP                ID       1.01,8.01,9.01                 09/24/07

COLUMBIA BANCORP \OR\                   OR       5.02,9.01                      09/24/07

COMMERCE ENERGY GROUP, INC.             DE       1.01,9.01                      09/20/07

COMMERCIAL NATIONAL FINANCIAL CORP /P   PA       5.03                           09/25/07

COMMUNICATE COM INC                     NV       1.01,3.02,9.01                 09/25/07

COMMUNITY FINANCIAL SHARES INC          DE       8.01,9.01                      09/19/07

COMMUNITY HEALTH SYSTEMS INC            DE       8.01,9.01                      09/24/07

COMPUDYNE CORP                          NV       5.02                           09/21/07    AMEND

CONCUR TECHNOLOGIES INC                 WA       1.01,9.01                      09/24/07

CORCEPT THERAPEUTICS INC                         1.01,3.02,8.01,9.01            09/24/07

CORDIA CORP                             NV       1.01                           09/24/07

COVENANT TRANSPORTATION GROUP INC       NV       7.01,9.01                      09/19/07

CT HOLDINGS ENTERPRISES INC             DE       7.01,9.01                      09/25/07

DEBT RESOLVE INC                        DE       1.02,9.01                      09/24/07

DELTA APPAREL INC                       GA       1.01,2.03,9.01                 09/21/07

Discover Financial Services             DE       2.02,9.01                      09/25/07

DITECH NETWORKS INC                     DE       5.02,9.01                      09/24/07

DJO INC                                 DE       5.02,8.01,9.01                 09/19/07

DOUBLE EAGLE PETROLEUM CO               MD       8.01,9.01                      09/25/07

DPL INC                                 OH       7.01,9.01                      09/25/07

DreamWorks Animation SKG, Inc.                   5.02,9.01                      09/24/07

DYNAMIC LEISURE CORP                    MN       5.02                           09/19/07

EastBridge Investment Group Corp        AZ       1.01                           09/21/07

ECHOSTAR COMMUNICATIONS CORP            NV       8.01,9.01                      09/24/07

ECHOSTAR COMMUNICATIONS CORP            NV       8.01,9.01                      09/25/07

EDISON INTERNATIONAL                    CA       7.01,9.01                      09/25/07

EESTech, Inc.                                    1.01,3.02,9.01                 07/01/07

Emergency Medical Services CORP         DE       7.01,9.01                      09/25/07

EMISPHERE TECHNOLOGIES INC              DE       8.01                           09/25/07

ENDEAVOUR INTERNATIONAL CORP            NV       7.01                           09/25/07

ENDOCARE INC                            DE       5.02                           09/19/07

EQUITY LIFESTYLE PROPERTIES INC         MD       1.01,2.03,9.01                 09/21/07

ESTEE LAUDER COMPANIES INC              DE       5.02,9.01                      09/21/07

eTelecare Global Solutions, Inc.                 5.02                           09/19/07

EXELON CORP                             PA       7.01,9.01                      09/25/07

FACTSET RESEARCH SYSTEMS INC            DE       2.02,9.01                      09/25/07

Federal Home Loan Bank of Atlanta       X1       2.03                           09/19/07

Federal Home Loan Bank of Boston        X1       2.03                           09/20/07

Federal Home Loan Bank of Chicago       X1       2.03                           09/21/07

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01                      09/19/07

Federal Home Loan Bank of Des Moines    X1       2.03,9.01                      09/19/07

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01                      09/19/07

Federal Home Loan Bank of New York      X1       2.03,9.01                      09/20/07

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01                      09/19/07

Federal Home Loan Bank of San Francis   X1       2.03                           09/19/07

Federal Home Loan Bank of Seattle                2.03                           09/24/07

FIDELITY BANCORP INC                    PA       1.01,2.03,3.03,9.01            09/20/07

FINISH LINE INC /IN/                    IN       8.01,9.01                      09/24/07

FIRST SOLAR, INC.                       DE       5.02,9.01                      09/24/07

FORD MOTOR CO                           DE       8.01,9.01                      09/25/07

FORD MOTOR CREDIT CO LLC                DE       8.01,9.01                      09/25/07

FORD MOTOR CREDIT CO LLC                DE       8.01,9.01                      09/25/07

FORME CAPITAL INC                       DE       1.01,5.01,9.01                 09/19/07

FRANKLIN TOWERS ENTERPRISES INC                  1.01,3.02,9.01                 09/20/07

G&K SERVICES INC                        MN       5.02                           09/20/07

GAMCO INVESTORS, INC. ET AL             NY       2.02,4.02,9.01                 08/09/07    AMEND

GENERAL CABLE CORP /DE/                 DE       8.01,9.01                      09/25/07

GLOBAL GREEN SOLUTIONS INC.                      1.01,7.01,9.01                 09/19/07

Global Resource CORP                    CO       5.02                           09/21/07

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01                           09/21/07

GREATBATCH, INC.                        DE       8.01,9.01                      09/25/07

GULFPORT ENERGY CORP                    DE       8.01,9.01                      09/25/07

H&R BLOCK INC                           MO       2.03,4.01,9.01                 09/20/07

HEALTHCARE REALTY TRUST INC             MD       8.01,9.01                      09/25/07

HIGH END VENTURES, INC.                 CO       1.01,1.02,9.01                 09/18/07

HNI CORP                                IA       7.01                           09/24/07

HOOPER HOLMES INC                       NY       5.02,9.01                      09/25/07

HUDSON TECHNOLOGIES INC /NY             NY       1.01,2.01,2.03,5.03,9.01       09/19/07

HuntMountain Resources                  WA       5.02                           09/19/07

IMMUNICON CORP                                   5.02                           09/19/07

IndyMac IMJA Mortgage Loan Trust 2007            9.01                           09/25/07

Information Services Group Inc.         DE       8.01,9.01                      09/25/07

Inova Technology Inc.                   NV       3.01                           08/17/07

INTEGRITY BANCSHARES INC                GA       5.02,8.01                      09/20/07

Intellect Neurosciences, Inc.                    8.01,9.01                      09/19/07

INTERACTIVE DATA CORP/MA/               DE       5.02,8.01,9.01                 09/18/07

INVESCO PLC/LONDON/                              8.01,9.01                      09/25/07

IRONCLAD PERFORMANCE WEAR CORP                   1.01,3.02                      09/20/07

ISCO INTERNATIONAL INC                  DE       7.01,9.01                      09/25/07

IXIA                                    CA       1.01,2.03,9.01                 09/20/07

J P MORGAN CHASE & CO                   DE       9.01                           09/21/07

JANUS CAPITAL GROUP INC                 DE       1.02,5.02,9.01                 09/20/07

KBS Real Estate Investment Trust, Inc   MD       1.01                           09/19/07

KEY ENERGY SERVICES INC                 MD       7.01,9.01                      09/24/07

KITTY HAWK INC                          DE       3.01,9.01                      09/19/07

KLA TENCOR CORP                         DE       5.02                           09/20/07

Kohlberg Capital CORP                   DE       8.01                           09/25/07

Kraton Polymers LLC                     DE       5.02                           09/20/07

Kraton Polymers LLC                     DE       5.02                           09/20/07

KREISLER MANUFACTURING CORP             DE       2.02,9.01                      09/25/07

LANDEC CORP \CA\                        CA       2.02,9.01                      09/25/07

LANDRYS RESTAURANTS INC                          7.01,9.01                      09/24/07

LANNETT CO INC                          DE       4.02                           09/13/07

LB Commercial Mortgage Trust 2007-C3             8.01,9.01                      09/24/07    AMEND

LEHMAN ABS CORP BCKD TR CRTS GDYR TR    DE       8.01,9.01                      09/15/07

LEHMAN BROTHERS HOLDINGS INC            DE       9.01                           09/20/07

LENNAR CORP /NEW/                       DE       2.02,9.01                      09/25/07

LEXICON PHARMACEUTICALS, INC./DE        DE       5.02,9.01                      09/19/07

LIBERATOR MEDICAL HOLDINGS, INC.        NV       4.01,5.03                      08/20/07

Lifevantage Corp                        CO       5.02                           09/18/07

Lightstone Value Plus Real Estate Inv   MD       8.01                           09/24/07

LOWES COMPANIES INC                     NC       7.01,9.01                      09/24/07

LUBYS INC                               DE       1.01                           09/25/07

LYONDELL CHEMICAL CO                    DE       8.01,9.01                      09/25/07

MAGNUS INTERNATIONAL RESOURCES, INC.    NV       1.01,2.01,9.01                 05/01/07    AMEND

MARCUS CORP                             WI       2.02,9.01                      09/25/07

MARINE GROWTH VENTURES INC                       1.01,9.01                      09/19/07

MATERIAL TECHNOLOGIES INC /CA/          DE       4.01,9.01                      09/19/07    AMEND

MAX & ERMAS RESTAURANTS INC             DE       2.02,5.02,9.01                 09/19/07

MEADWESTVACO CORP                       DE       8.01                           09/24/07

MEDCO HEALTH SOLUTIONS INC              DE       5.02                           09/21/07

MEDQUIST INC                            NJ       1.01,5.02                      09/19/07

MERCK & CO INC                          NJ       5.02,9.01                      09/25/07

MINDSPEED TECHNOLOGIES, INC             DE       2.01,9.01                      09/25/07

Monogram Biosciences, Inc.              DE       5.02                           09/19/07

Monogram Biosciences, Inc.              DE       8.01                           09/25/07

MONTANA ACQUISITION CORP                DE       4.01,9.01                      04/08/05    AMEND

MOUNTAINS WEST EXPLORATION INC          NM       5.02,7.01,9.01                 09/19/07

MWI Veterinary Supply, Inc.             DE       7.01,9.01                      09/25/07

NASTECH PHARMACEUTICAL CO INC           DE       5.03,9.01                      09/19/07

NATIONAL ATLANTIC HOLDINGS CORP         NJ       5.02                           09/24/07

NATIONAL HOME HEALTH CARE CORP          DE       1.01,8.01,9.01                 09/24/07

NATURE VISION, INC.                     MN       1.01,2.01,2.03,5.02,9.01       09/19/07

NAVISITE INC                            DE       2.02,9.01                      09/25/07

NCR CORP                                MD       1.01,9.01                      09/21/07

NEPHROS INC                             DE       1.01,2.02,3.02,5.02,5.03,8.01, 09/19/07
					         9.01

NETSCOUT SYSTEMS INC                    DE       1.01,9.01                      09/19/07

Neuro-Hitech, Inc.                      DE       8.01,9.01                      09/25/07

NEW CENTURY FINANCIAL CORP              MD       7.01,9.01                      09/17/07

NewPage CORP                            DE       1.01,9.01                      09/20/07

Newport Bancorp Inc                              8.01,9.01                      09/25/07

NNN 2003 VALUE FUND LLC                          7.01,9.01                      09/25/07

NOBLE CORP                                       5.02,9.01                      09/20/07

NORTH AMERICAN SCIENTIFIC INC                    1.01,2.03                      09/21/07

NORTH AMERICAN SCIENTIFIC INC                    3.01,9.01                      09/21/07

NORTHWEST BANCORP INC                   PA       1.01,9.01                      09/19/07

NPC INTERNATIONAL INC                   KS       9.01                           09/25/07

NTS MORTGAGE INCOME FUND                DE       5.02,9.01                      09/24/07

OIL DRI CORP OF AMERICA                 DE       2.02,8.01,9.01                 09/25/07

OLD NATIONAL BANCORP /IN/               IN       1.01,2.03,9.01                 09/19/07

ONE EARTH ENERGY LLC                             1.01                           09/20/07

ONEOK Partners LP                       DE       8.01,9.01                      09/24/07

OPEN ENERGY CORP                        NV       1.01,2.03,3.02,3.03,9.01       09/25/07

Opko Health, Inc.                       DE       5.02,8.01                      09/19/07

Ottawa Savings Bancorp, Inc.            X1       5.02                           09/19/07

PACIFIC CAPITAL BANCORP /CA/            CA       5.02,9.01                      09/19/07

PAETEC Holding Corp.                             1.01,5.05,9.01                 09/19/07

PANACOS PHARMACEUTICALS, INC.           DE       1.01,5.02,9.01                 09/21/07

Park Place Energy Corp.                 NV       8.01                           09/24/07

PARKER DRILLING CO /DE/                 DE       2.03,9.01                      09/20/07

Pharma-Bio Serv, Inc.                            2.02,7.01,9.01                 09/18/07    AMEND

PHYTOMEDICAL TECHNOLOGIES INC           NV       3.02                           09/25/07

PIXELWORKS, INC                         OR       8.01,9.01                      09/21/07

PLATO LEARNING INC                      DE       5.02                           09/22/07

PLAYTEX PRODUCTS INC                    DE       8.01,9.01                      09/20/07

PLUMAS BANCORP                          CA       8.01,9.01                      09/19/07

PMI GROUP INC                           DE       5.02,9.01                      09/19/07

POPULAR INC                                      5.02                           09/19/07

PREFORMED LINE PRODUCTS CO              OH       3.01,9.01                      09/20/07

PRIME GROUP REALTY TRUST                MD       8.01,9.01                      09/24/07

PROCTER & GAMBLE CO                     OH       8.01                           09/25/07

PROLOGIS                                MD       5.02,9.01                      09/19/07

PROSPECT CAPITAL CORP                   MD       8.01,9.01                      09/25/07

PUBLIC SERVICE CO OF NEW HAMPSHIRE      NH       8.01,9.01                      09/24/07

PUBLICARD INC                           PA       7.01,9.01                      09/24/07

QUANTA CAPITAL HOLDINGS LTD                      1.02,5.02                      09/19/07

QUANTA SERVICES INC                     DE       1.01,2.03,8.01,9.01            09/19/07

QUEST RESOURCE CORP                     NV       5.02,9.01                      09/19/07

RAYMOND JAMES FINANCIAL INC             FL       7.01,9.01                      09/25/07

Real Mex Restaurants, Inc.              DE       4.01,9.01                      09/21/07

RED HAT INC                             DE       2.02,8.01,9.01                 09/25/07

Redpoint Bio CORP                                8.01,9.01                      09/25/07

RENOVO HOLDINGS                                  5.03,9.01                      09/10/07

RESOURCES CONNECTION INC                DE       2.02,9.01                      09/25/07

REX STORES CORP                         DE       8.01                           09/20/07

RF MONOLITHICS INC /DE/                 DE       8.01,9.01                      09/25/07

SCHIFF NUTRITION INTERNATIONAL, INC.    DE       1.01,5.02,9.01                 09/19/07

SCHWAB CHARLES CORP                     DE       8.01,9.01                      09/24/07

SEABRIGHT INSURANCE HOLDINGS INC                 5.02                           09/24/07

Seneca-Cayuga Bancorp, Inc.             X1       5.02,9.01                      09/25/07

SHERWIN WILLIAMS CO                     OH       1.01,9.01                      09/25/07

SHORE FINANCIAL CORP                    VA       8.01                           09/25/07

Siouxland Ethanol, LLC                  NE       1.01                           09/24/07

SKY PETROLEUM, INC.                     NV       7.01,9.01                      09/25/07

SOUTHWEST AIRLINES CO                   TX       5.03,7.01,9.01                 09/20/07

Spansion Inc.                           DE       5.02,8.01                      09/19/07

SPECTRUM CONTROL INC                    PA       2.02,9.01                      08/31/07

STANDARD MICROSYSTEMS CORP              DE       2.02,9.01                      09/25/07

STELLAR PHARMACEUTICALS INC                      7.01,9.01                      09/25/07

STONE ENERGY CORP                       DE       7.01,8.01,9.01                 09/24/07

Storm Cat Energy CORP                            9.01                           09/19/07

STRATS SM TRUST FOR DAIMLERCHRYSLER N            8.01,9.01                      09/17/07

STRATS SM TRUST FOR Goldman Sachs Cap            8.01,9.01                      09/17/07

STRATS SM TRUST FOR GOLDMAN SACHS GRO            8.01,9.01                      09/17/07

STRATS SM TRUST FOR JPMORGAN CHASE &             8.01,9.01                      09/17/07

STRATS SM TRUST FOR WAL-MART STORES,             8.01,9.01                      09/17/07

STRATS(SM) TRUST FOR DOMINION RESOURC            8.01,9.01                      09/17/07

STRATS(SM) TRUST FOR GEN ELEC CAP COR            8.01,9.01                      09/17/07

STRATS(SM) Trust For Goldman Sachs Ca            8.01,9.01                      09/17/07

Surge Global Energy, Inc.                        2.01,9.01                      09/19/07

Sutura, Inc.                                     1.01,2.03,3.02,8.01,9.01       09/21/07

TELKONET INC                                     5.02,9.01                      09/19/07

TERADATA CORP /DE/                               1.01,5.03,9.01                 09/21/07

TERRESTAR CORP                          DE       1.01                           09/25/07

TIDEWATER INC                           DE       8.01,9.01                      09/24/07

TorreyPines Therapeutics, Inc.          DE       8.01,9.01                      09/25/07

Tradeshow Marketing Co. Ltd.            NV       5.02                           09/24/07

True North Energy CORP                           1.01,2.01,3.01,9.01            09/18/07

TURBOCHEF TECHNOLOGIES INC              DE       8.01,9.01                      09/24/07

U.S. Auto Parts Network, Inc.           DE       5.02                           09/20/07

uBid.com Holdings, Inc.                 DE       2.02,9.01                      09/24/07

ULURU INC.                              NV       1.01,5.02,9.01                 09/25/07

UNITED PAN AM FINANCIAL CORP            CA       7.01,9.01                      09/19/07

UNIVERSAL AMERICAN FINANCIAL CORP       NY       1.01,2.01,3.02,3.03,5.02,5.03, 09/21/07
					         9.01

UNIVERSAL TRAVEL GROUP                  NV       1.01,9.01                      09/20/07

USAA ACCEPTANCE LLC                              8.01,9.01                      09/25/07

USEC INC                                DE       1.01,5.03,9.01                 09/21/07

uVuMobile, Inc                          DE       1.01,2.03,3.02,8.01,9.01       09/20/07

VALLEY NATIONAL BANCORP                 NJ       7.01,9.01                      09/25/07

VMWARE, INC.                            DE       5.02                           09/24/07

VOIS Inc.                                        4.01,5.03,9.01                 09/24/07

WCI COMMUNITIES INC                              5.02,9.01                      09/25/07

WILLAMETTE VALLEY VINEYARDS INC         OR       5.02                           09/19/07

WMS INDUSTRIES INC /DE/                 DE       5.02                           09/19/07

XCORPOREAL, INC.                        DE       7.01,9.01                      09/25/07

XPLORE TECHNOLOGIES CORP                         3.02,9.01                      09/21/07

YORK WATER CO                           PA       5.02                           09/25/07

                           

 

http://www.sec.gov/news/digest/2007/dig092607.htm


Modified: 09/26/2007