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SEC NEWS DIGEST
Issue 2007-209 October 30, 2007
COMMISSION ANNOUNCEMENTS
SEC, FINRA LAUNCH NEW INITIATIVE TO ASSIST CHIEF COMPLIANCE OFFICERS
AT BROKER-DEALER FIRMS
The Securities and Exchange Commission and the Financial Industry
Regulatory Authority (FINRA) today announced a new initiative to
further promote strong compliance practices at broker-dealer firms for
the protection of investors.
Similar to the SEC's ongoing CCOutreach Program for investment
advisers and investment company chief compliance officers, the
CCOutreach BD program will help broker-dealer chief compliance
officers (CCOs) ensure effective communication about compliance risks,
maintain effective compliance controls, and foster strong compliance
programs within their firms.
"This is an opportunity for broker-dealers and their regulators to
learn from one another about how best to ensure compliance with the
securities laws," said SEC Chairman Christopher Cox.
FINRA CEO Mary L. Schapiro said, "Through its education and training
programs, FINRA devotes considerable resources to compliance education
- not just for compliance officers, but for broker-dealers' frontline
staff as well. This new CCOutreach program will provide a unique
opportunity for compliance chiefs across the country to discuss
priority topics directly with regulators - and they can participate in
shaping the agenda for those discussions themselves."
The SEC's Office of Compliance Inspections and Examinations, in
coordination with the Division of Market Regulation, will sponsor the
CCOutreach BD program together with FINRA. The program will feature a
National Seminar at SEC headquarters in Washington, D.C., tentatively
scheduled for March 2008, as well as regional compliance seminars
across the country. These meetings will provide the opportunity for
open discussions on effective compliance practices and timely
compliance issues in ever-changing markets.
To ensure that the National Seminar includes the compliance topics of
most interest to broker-dealer CCOs, the SEC and FINRA are soliciting
input from CCOs on topics of interest. A list of potential agenda
items for the National Seminar may be found on the SEC Web site at
http://www.sec.gov/info/bdccoutreach.htm and on the FINRA Web site at
www.finra.org/bdccoutreach. Detailed information about the National
Seminar and regional seminars also will be posted on those Web pages
as it becomes available.
Please note: Registration for the CCOutreach National Seminar for
broker-dealer CCOs, tentatively scheduled for March 2008, has not yet
commenced. Information concerning the CCOutreach National Seminar for
investment adviser/investment company CCOs on Nov. 14, 2007, is on the
SEC's Web site at http://www.sec.gov/info/ccoutreach.htm. (Press Rel.
2007-223)
COMMISSION MEETINGS
CLOSED MEETING - THURSDAY, NOVEMBER 8, 2007 - 2:00 P.M.
The subject matter of the closed meeting scheduled for Thursday, Nov.
8, 2007, will be: Formal orders of investigation; Institution and
settlement of injunctive actions; Institution and settlement of
administrative proceedings of an enforcement nature; Adjudicatory
matters; Resolution of litigation claims; Collection matter;
Regulatory matter regarding a financial institution; and Other matters
related to enforcement actions.
At times, changes in Commission priorities require alterations in the
scheduling of meeting items. For further information and to ascertain
what, if any, matters have been added, deleted or postponed, please
contact: The Office of the Secretary at (202) 551-5400.
ENFORCEMENT PROCEEDINGS
COMMISSION REVOKES REGISTRATION OF SECURITIES OF FN ESTATE, INC. FOR
FAILURE TO MAKE REQUIRED PERIODIC FILINGS
On October 30, the Commission revoked the registration of each
class of registered securities of FN Estate, Inc. (FN Estate) for
failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the order, except as to
jurisdiction, which it admitted, FN Estate consented to the entry
of an Order Making Findings and Revoking Registration of Securities
Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as
to FN Estate, Inc. finding that it had failed to comply with Section
13(a) of the Securities Exchange Act of 1934 (Exchange Act) and
Rules 13a-1 and 13a-13 thereunder and revoking the registration of
each class of FN Estate's securities pursuant to Section 12(j) of
the Exchange Act. This order settled the charges brought against FN
Estate in In the Matter of Austrian Trading Services, Inc., et al.,
Administrative Proceeding File No. 3-12800.
Brokers and dealers should be alert to the fact that Exchange Act
Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer
shall make use of the mails or any means or instrumentality of
interstate commerce to effect any transaction in, or to induce
the purchase or sale of, any security the registration of which
has been and is suspended or revoked . . . .
For further information see Order Instituting Administrative
Proceedings and Notice of Hearing Pursuant to Section 12(j) of the
Securities Exchange Act of 1934, In the Matter of Austrian Trading
Services, Inc., et al., Administrative Proceeding File No. 3-12800,
Exchange Act Release No. 56441 (Sept. 14, 2007). (Rel. 34-56720; File
No. 3-12800)
SEC FILES INSIDER TRADING ACTION AGAINST FORMER VPs OF COUNTRYWIDE
FINANCIAL CORP.
On October 29, the Commission filed insider trading charges in federal
district court in Los Angeles, Calif. against a former vice
president of Countrywide Financial Corp. The Commission's complaint
alleges that Quan Zhu, age 43, of Santa Monica, Calif., traded in
Countrywide stock while aware of confidential negative earnings
information and in breach of his fiduciary duty to Countrywide. Zhu
agreed to settle the charges, without admitting or denying the
allegations, by repaying his ill-gotten trading profits and paying
a monetary penalty twice the amount, for a total of approximately
$108,840.
On Oct. 20, 2004, Countrywide issued a press release announcing that
its third quarter earnings per share were $0.94, compared to $1.93 the
year before. That day, Countrywide's stock price fell 11.5% and
trading volume increased 307%. The Commission's complaint alleges that
by mid-October 2004, Alan Cao, a vice president of financial planning,
tipped Zhu with material, nonpublic information that Countrywide would
fall short of the Wall Street analysts' consensus estimate for the
third quarter earnings.
After receiving that insider information and beginning on Oct. 15,
2004, Zhu sold shares of Countrywide stock already owned, purchased
Countrywide put options, and sold short Countrywide stock in his
wife's brokerage account. A few hours after the October 20 earnings
announcement, after Countrywide's stock price had declined, Zhu
purchased Countrywide stock to cover the shares he sold short and sold
the put options which he had purchased. Zhu's insider trading resulted
in total profit and losses avoided of $35,547.93
To settle the Commission's charges, Zhu consented to the entry of a
final judgment permanently enjoining him from future violations of the
antifraud provisions of Section 17(a) of the Securities Act of 1933
and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-
5 thereunder. Zhu agreed to pay $35,547.93 in disgorgement of his
illegal trading profits, prejudgment interest of $2,196.33, and a
civil money penalty of $71,095.86. [SEC v. Quan Zhu, Civil Action No.
CV 07-07033 ODW (JTLx) (C.D. Cal.)] (LR-20348)
SEC OBTAINS TRO AND ASSET FREEZE AGAINST FOREIGN DEFENDANT FOR
UNLAWFUL TRADING
On October 29, the Commission filed a complaint and obtained a
temporary restraining order, asset freeze, and other emergency
relief against Oleksandr Dorozhko, a Ukrainian citizen. The
Commission's complaint alleges that Dorozhko engaged in unlawful
trading in the securities of IMS Health Incorporated. The Court's
Order, among other things, temporarily bars Dorozhko from violating
the antifraud provisions of the federal securities laws and freezes
Dorozhko's assets held in the United States.
The Commission's complaint seeks a permanent injunction, civil
money penalties, an accounting, and disgorgement of all ill-
gotten gains realized by Dorozhko plus prejudgment interest. [SEC v.
Oleksandr Dorozhko, Civil Action No. 07-CV-9606, NRB, SDNY] (LR-
20349)
COURT ORDERS CIVIL PENALTY, INJUNCTIONS AGAINST CORPORATE ATTORNEY
WHO SUBMITTED FALSE FILINGS TO COMMISSION
The Commission announced that on October 25, the U.S. District Court
for the Southern District of New York issued a Decision and Order
finding Defendant Moneesh K. Bakshi, former corporate counsel
to Ramoil Management Ltd., liable for securities fraud for having
submitted false and misleading documents to the Commission. The
Court found Bakshi violated the federal securities laws, and aided
and abetted Ramoil's violation of the securities laws, by (1)
submitting a false and misleading Form10-KSB for the year ended Dec.
31, 1999, which included a phony audit opinion; and (2) filing four
false and misleading Forms S-8, which fraudulently purported to issue
shares of Ramoil stock to four offshore consulting firms in
exchange for non-existent "consulting services," and included false
attorney opinion letters by Bakshi. These filings were available to
public investors on the Commission's EDGAR database. Based on the
above, the Court enjoined Bakshi him from future violations of the
securities laws, and ordered him to pay a $100,000 civil penalty. In
addition, the Court enjoined Bakshi from representing clients before
the Commission and filing any documents with the Commission. [SEC v.
RAMOIL MANAGEMENT LTD. ET AL., Case No. 01 CIV 9057 (SC) S.D.N.Y.]
(LR-20350; AAE Rel. 2748)
INVESTMENT COMPANY ACT RELEASES
JNF ADVISORS, INC. AND NORTHERN LIGHTS VARIABLE TRUST
An order has been issued on an application filed by JNF Advisors, Inc.
and Northern Lights Variable Trust exempting applicants from Section
15(a) of the Investment Company Act and Rule 18f-2 under the Act. The
order permits the applicants to enter into and materially
amend subadvisory agreements without shareholder approval and grants
relief from certain disclosure requirements. (Rel. IC-28038 - October
29)
SELF-REGULATORY ORGANIZATIONS
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission granted accelerated approval to a proposed rule
change filed by the Chicago Board Options Exchange (SR-CBOE-2007-119)
relating to the criteria for securities that underlie options traded
on the Exchange. Publication is expected in the Federal Register
during the week of October 29. (Rel. 34-56715)
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.
SB-2 Aurum Explorations, Inc., 10431 CAITHCART ROAD, RICHMOND, A1, V6X 1N3,
(603) 247-0372 - 3,360,000 ($168,000.00) Equity, (File 333-146976 -
Oct. 29) (BR. 04)
S-3 RADISYS CORP, 5445 NE DAWSON CREEK DR, HILLSBORO, OR, 97124,
5036461800 - 0 ($150,000,000.00) Other, (File 333-146977 - Oct. 29)
(BR. 03C)
S-1 ENERNOC INC, 75 FEDERAL STREET, SUITE 300, BOSTON, MA, 02110,
(617) 224-9900 - 0 ($204,999,000.00) Equity, (File 333-146978 -
Oct. 29) (BR. 03)
S-3ASR AbitibiBowater Inc., 1155 METCALF STREET, SUITE 800, MONTREAL, A8,
H3B 5H2, 514-875-2160 - 0 ($22,475,247.00) Equity, (File 333-146979 -
Oct. 29) (BR. 09)
S-3ASR CHAMPION ENTERPRISES INC, 2701 CAMBRIDGE COURT, STE 300, AUBURN HILLS,
MI, 48326, 2483409090 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-146980 - Oct. 29) (BR. 06C)
S-3ASR MCGRAW-HILL COMPANIES INC, 1221 AVENUE OF THE AMERICAS, NEW YORK, NY,
10020, 2125122000 - 0 ($0.00) Non-Convertible Debt, (File 333-146981 -
Oct. 29) (BR. 05A)
S-8 AbitibiBowater Inc., 1155 METCALF STREET, SUITE 800, MONTREAL, A8,
H3B 5H2, 514-875-2160 - 0 ($233,427,541.00) Equity, (File 333-146982 -
Oct. 29) (BR. 09)
S-3ASR COCA COLA CO, ONE COCA COLA PLAZA, ATLANTA, GA, 30313, 404-676-2121 -
0 ($0.00) Equity, (File 333-146983 - Oct. 29) (BR. 09A)
S-8 SARATOGA RESOURCES INC /TX, 301 CONGRESS AVENUE, SUITE 1550, AUSTIN,
TX, 78701, 5124785717 - 1,325,000 ($927,500.00) Equity,
(File 333-146985 - Oct. 29) (BR. 04A)
SB-2 Sound Worldwide Holdings, Inc., THE GALLERIA, 2 BRIDGE AVENUE,
RED BANK, NJ, 07701, (732) 530-9007 - 2,331,950 ($1,165,975.00) Equity,
(File 333-146986 - Oct. 29) (BR. 09)
S-3 GULFPORT ENERGY CORP, 14313 NORTH MAY AVENUE, SUITE 100, OKLAHOMA CITY,
OK, 73134, 4058488807 -
0 ($379,155,593.20) Unallocated (Universal) Shelf, (File 333-146988 -
Oct. 29) (BR. 04C)
S-8 OPPENHEIMER HOLDINGS INC, SUITE 1110, P.O. BOX 2015,
20 EGLINTON AVE. WEST, TORONTO, A6, M4R 1K8, (416)322-1515 -
800,000 ($33,200,000.00) Equity, (File 333-146989 - Oct. 29) (BR. 08A)
S-8 OPPENHEIMER HOLDINGS INC, SUITE 1110, P.O. BOX 2015,
20 EGLINTON AVE. WEST, TORONTO, A6, M4R 1K8, (416)322-1515 -
10,000 ($415,000.00) Equity, (File 333-146990 - Oct. 29) (BR. 08A)
S-8 WESTSIDE ENERGY CORP, 3131 TURTLE CREEK BLVD., SUITE 1300, DALLAS, TX,
75219, 2145228990 - 2,000,000 ($5,460,000.00) Equity,
(File 333-146992 - Oct. 29) (BR. 04B)
S-3 BEAR STEARNS COMMERCIAL MORTGAGE SECURITIES INC, 245 PARK AVE,
NEW YORK, NY, 10167, 2122722000 -
0 ($20,868,920,195.43) Mortgage Backed Securities, (File 333-146993 -
Oct. 29) (BR. 05D)
S-8 Amiworld, Inc., 60 E. 42ND STREET, SUITE 1225, NEW YORK, NY, 10165,
212-557-0223 - 1,500,000 ($1,500,000.00) Equity, (File 333-146994 -
Oct. 29) (BR. 06A)
S-3 MMC ENERGY, INC., 26 BROADWAY,, SUITE 907, NEW YORK, NY, 10004,
(212) 977-0900 - 409,708 ($1,575,328.00) Equity, (File 333-146995 -
Oct. 29) (BR. 02B)
S-8 Metavante Holding CO, 4900 WEST BROWN DEER ROAD, MILWAUKEE, WI, 53223,
(414) 357-2290 - 0 ($247,676,000.00) Equity, (File 333-146996 -
Oct. 29) (BR. 07)
SB-2 Tiger Ethanol International Inc., 6600, TRANS-CANADA, SUITE 519,
POINTE-CLAIRE, A8, H9R 4S2, (514) 771-3795 -
9,500,000 ($23,310,000.00) Equity, (File 333-146997 - Oct. 29) (BR. 06B)
S-8 TIVO INC, 2160 GOLD STREET, PO BOX 2160, ALVISO, CA, 95002,
408-519-9100 - 13,100,000 ($93,534,000.00) Equity, (File 333-146998 -
Oct. 29) (BR. 11C)
S-4 RURAL CELLULAR CORP, 3905 DAKOTA ST SW, P O BOX 2000, ALEXANDRIA, MN,
56308, 3207622000 - 0 ($425,000,000.00) Other, (File 333-146999 -
Oct. 29) (BR. 11C)
S-3 Ascent Solar Technologies, Inc., 8120 SHAFFER PARKWAY, LITTLETON, CO,
80127, 303 420 1141 - 0 ($135,200.00) Equity, (File 333-147000 -
Oct. 29) (BR. 10A)
F-3 Double Hull Tankers, Inc., 26 NEW STREET,
ST. HELIER, JERSEY, CHANNEL IS, X0, JE23RA, 00 44 1534 639759 -
0 ($200,000,000.00) Unallocated (Universal) Shelf, (File 333-147001 -
Oct. 29) (BR. 05A)
S-8 ADC TELECOMMUNICATIONS INC, 13625 TECHNOLOGY DRIVE, EDEN PRAIRIE, MN,
55344, 9529388080 - 0 ($88,379,132.00) Equity, (File 333-147002 -
Oct. 29) (BR. 11B)
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
------------------------------------------------------------------------------------------------------
21ST CENTURY HOLDING CO FL 5.02 10/23/07
ACCURIDE CORP DE 1.01,5.02,9.01 10/25/07
ACME COMMUNICATIONS INC DE 2.02,9.01 10/25/07
ACTIVANT SOLUTIONS INC /DE/ DE 9.01 08/17/07 AMEND
ACTUATE CORP DE 2.02,9.01 10/29/07
ACXIOM CORP DE 8.01,9.01 10/29/07
ADAM INC GA 5.02 10/29/07
ADC TELECOMMUNICATIONS INC MN 5.02 10/23/07
ADVANCED ANALOGIC TECHNOLOGIES INC DE 2.02,9.01 10/29/07
ADVANCED ENERGY INDUSTRIES INC DE 5.02 10/24/07
AEROCENTURY CORP DE 5.02 10/26/07
AGCO CORP /DE DE 5.03,9.01 10/29/07
Agfeed Industries, Inc NV 2.02 10/29/07
AHERN RENTALS INC 1.01,9.01 10/24/07
AKORN INC LA 1.01,2.03,9.01 10/23/07
Alberto-Culver CO DE 2.02,2.05,2.06,9.01 10/25/07
Alliance Holdings GP, L.P. DE 2.02,9.01 10/29/07
ALLIANCE RESOURCE PARTNERS LP DE 2.02,9.01 10/29/07
ALLTEL CORP DE 8.01,9.01 10/29/07
Alon USA Energy, Inc. DE 2.02 10/29/07
Altus Pharmaceuticals Inc. DE 1.01,1.02,5.02 10/26/07
AMEDISYS INC DE 1.01,9.01 10/24/07
AMERICAN BANK NOTE HOLOGRAPHICS INC DE 2.01,8.01,9.01 10/23/07
AMERICAN ITALIAN PASTA CO DE 1.01,8.01,9.01 10/26/07
AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 1.01,2.02,9.01 10/29/07
American Railcar Industries, Inc./DE DE 5.02 10/23/07
AMERICAN SUPERCONDUCTOR CORP /DE/ DE 5.03,9.01 10/26/07
ANNALY CAPITAL MANAGEMENT INC MD 2.02,9.01 10/29/07
ARI NETWORK SERVICES INC /WI WI 2.02,9.01 10/29/07
ASHLAND INC. KY 2.02,9.01 10/29/07
ASHLAND INC. KY 7.01,9.01 10/29/07
Asia Automotive Acquisition Corp. DE 5.01 10/29/07
Aslahan Enterprises Ltd. NV 1.01,3.03,5.02,8.01,9.01 10/22/07
ASV INC /MN/ MN 5.03,9.01 10/23/07
ATHEROS COMMUNICATIONS INC DE 2.02,9.01 10/29/07
ATS CORP DE 1.01,9.01 10/25/07
Aurora Oil & Gas CORP UT 5.02,9.01 10/24/07
AUTHENTEC INC DE 2.02,9.01 10/29/07
AVIATION UPGRADE TECHNOLOGIES INC 1.01,7.01,9.01 10/26/07
BALDOR ELECTRIC CO MO 2.02,9.01 10/25/07
BANCTRUST FINANCIAL GROUP INC AL 2.02,9.01 10/25/07
BANK HOLDINGS NV 2.02 10/23/07
BENCHMARK ELECTRONICS INC TX 2.02,9.01 10/25/07
Benjamin Franklin Bancorp, Inc. MA 2.02,8.01,9.01 10/25/07
BERKSHIRE HILLS BANCORP INC 5.03,9.01 10/25/07
BIMINI CAPITAL MANAGEMENT, INC. MD 3.01,7.01,9.01 10/29/07
Boardwalk Pipeline Partners, LP DE 2.02,9.01 10/29/07
BODYTEL SCIENTIFIC INC. NV 8.01,9.01 10/29/07
BOOKHAM, INC. DE 5.02 10/23/07
BOSTON BEER CO INC MA 1.01 10/23/07
BRUKER BIOSCIENCES CORP DE 2.02,9.01 10/29/07
C-COR INC PA 8.01,9.01 10/29/07
CASELLA WASTE SYSTEMS INC DE 8.01,9.01 10/29/07
CENTER BANCORP INC NJ 1.02,2.02,9.01 10/26/07
CENTRAL JERSEY BANCORP NJ 2.02,9.01 10/26/07
CERUS CORP DE 5.02,9.01 10/25/07
CF Industries Holdings, Inc. DE 2.02,9.01 10/29/07
CH ENERGY GROUP INC NY 2.02,7.01 10/29/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 10/26/07
CHEMOKINE THERAPEUTICS CORP DE 8.01,9.01 10/26/07
China VoIP & Digital Telecom Inc. NV 8.01,9.01 10/29/07
CINCINNATI FINANCIAL CORP OH 1.01 10/23/07
CITY CAPITAL CORP NV 4.01 10/24/07
Claymont Steel Holdings, Inc. DE 5.02,9.01 10/23/07
CLEARONE COMMUNICATIONS INC UT 2.02,9.01 10/29/07
CMALT (CitiMortgage Alternative Loan DE 9.01 10/29/07
CNA FINANCIAL CORP DE 2.02,5.03,9.01 10/24/07
COACH INC MD 2.02,9.01 10/23/07
COACHMEN INDUSTRIES INC IN 2.02,7.01,9.01 10/29/07
COAST FINANCIAL HOLDINGS INC 2.02,7.01,9.01 10/26/07
COCA COLA CO DE 8.01,9.01 10/29/07
COEUR D ALENE MINES CORP ID 1.01,9.01 10/23/07
COMMERCE BANCSHARES INC /MO/ MO 5.03,9.01 10/26/07
COMMUNITY CENTRAL BANK CORP MI 5.02,9.01 10/26/07
COMMUNITY FIRST INC TN 2.01,7.01,9.01 10/26/07
COMPASS MINERALS INTERNATIONAL INC DE 2.02,9.01 10/29/07
COMPUWARE CORP MI 2.02,9.01 10/24/07
COOPERATIVE BANKSHARES INC NC 8.01,9.01 10/26/07
COVAD COMMUNICATIONS GROUP INC DE 1.01,9.01 10/28/07
COWLITZ BANCORPORATION WA 5.03,9.01 10/29/07
CRDENTIA CORP DE 1.01,3.02,9.01 10/26/07
CSS INDUSTRIES INC DE 5.02 10/25/07
CTC Media, Inc. 2.02,9.01 10/29/07
CURAGEN CORP DE 8.01 10/24/07
CYBERSOURCE CORP DE 5.02,9.01 10/23/07
Cyberspace Vita, Inc. NV 5.02 10/29/07
DENIM APPAREL GROUP INC NV 3.03,5.02,8.01 10/26/07
DJO INC DE 2.02,8.01,9.01 10/29/07
DOMINION RESOURCES INC /VA/ VA 5.02,8.01 10/26/07
Driftwood Ventures, Inc. NV 4.01,9.01 10/29/07
DUCOMMUN INC /DE/ DE 2.02,9.01 10/29/07
DUSA PHARMACEUTICALS INC NJ 1.01,9.01 10/28/07
DUSKA THERAPEUTICS, INC. NV 5.02,9.01 10/23/07
EATON CORP OH 5.02 10/23/07 AMEND
EATON VANCE CORP MD 5.02,9.01 10/24/07
ENBRIDGE ENERGY PARTNERS LP DE 5.02,9.01 10/29/07
ENBRIDGE ENERGY PARTNERS LP DE 2.02,9.01 09/30/07
ENCISION INC CO 2.02,9.01 10/29/07
ENER1 INC FL 7.01,9.01 10/29/07
ENERGEN CORP AL 5.02,8.01,9.01 10/25/07
ENOVA SYSTEMS INC CA 5.02 10/23/07
ENTEGRIS INC MN 2.02,9.01 10/29/07
EOG RESOURCES INC DE 2.02,9.01 10/29/07
EOG RESOURCES INC DE 7.01 10/29/07
EUROBANCSHARES INC PR 2.02,9.01 10/26/07
EVERGREEN ENERGY INC DE 8.01,9.01 10/29/07
EVERGREEN SOLAR INC DE 1.01,9.01 10/23/07
EXACTECH INC FL 2.02,7.01,9.01 10/29/07
EXTREME NETWORKS INC DE 2.02,9.01 10/24/07
EXXON MOBIL CORP NJ 8.01 10/29/07
FACT CORP CO 5.02 10/29/07
FEDDERS CORP /DE DE 8.01,9.01 10/24/07
FEDERAL AGRICULTURAL MORTGAGE CORP 7.01,9.01 10/29/07
Federal Home Loan Bank of Cincinnati X1 8.01,9.01 10/18/07
Feldman Mall Properties, Inc. MD 2.02,5.02,9.01 10/26/07
FIFTH THIRD BANCORP OH 8.01,9.01 10/23/07
FIRST CHESTER COUNTY CORP PA 2.02 09/30/07
FIRST COMMONWEALTH FINANCIAL CORP /PA PA 5.02,9.01 10/29/07
FIRST FEDERAL BANKSHARES INC DE 2.02,9.01 10/25/07
FIRST INTERSTATE BANCSYSTEM INC MT 2.02,7.01,9.01 10/29/07
FIRST MARINER BANCORP MD 2.02,9.01 10/23/07
FIRST MERCHANTS CORP IN 8.01,9.01 10/29/07
FIRST MERCHANTS CORP IN 1.01,5.02,5.03,9.01 10/29/07
FIRST MID ILLINOIS BANCSHARES INC DE 2.02,9.01 09/30/07
FIRST REGIONAL BANCORP CA 2.02,9.01 10/23/07
FLORIDA COMMUNITY BANKS INC FL 2.02 10/29/07
FNB BANCORP/CA/ 8.01,9.01 10/29/07
FOREST OIL CORP NY 9.01 06/06/07 AMEND
FOUNDRY NETWORKS INC DE 2.02,9.01 10/25/07
FRANKLIN ELECTRIC CO INC IN 2.02,9.01 09/29/07
GEHL CO WI 2.02,9.01 10/29/07
GeoMet, Inc. DE 1.01,9.01 10/29/07
GORMAN RUPP CO OH 2.02,9.01 10/26/07
GREENE COUNTY BANCORP INC DE 5.02 10/24/07
GREENHILL & CO INC 2.02,5.02,5.03,9.01 10/25/07
GREY WOLF INC TX 2.02,9.01 10/29/07
GREYSTONE LOGISTICS, INC. 4.01,9.01 10/03/07 AMEND
GS FINANCIAL CORP LA 9.01 09/30/07
GSR 2007-OA2 DE 8.01,9.01 10/29/07
GULF ISLAND FABRICATION INC LA 2.02,9.01 10/25/07
HEALTH CARE REIT INC /DE/ DE 5.03,9.01 10/23/07
HEARTLAND FINANCIAL USA INC DE 2.02,9.01 10/29/07
HERTZ CORP DE 2.02,7.01,9.01 10/29/07
HERTZ GLOBAL HOLDINGS INC 2.02,7.01,9.01 10/29/07
HICKORY TECH CORP MN 2.02,7.01,9.01 10/29/07
HOST HOTELS & RESORTS L.P. DE 5.02,9.01 10/29/07
HOST HOTELS & RESORTS, INC. MD 5.02,9.01 10/29/07
HQ SUSTAINABLE MARITIME INDUSTRIES, I DE 8.01 10/29/07
HS3 TECHNOLOGIES INC. 1.01 08/13/07
HS3 TECHNOLOGIES INC. 1.01 05/19/07 AMEND
HUMANA INC DE 2.02,7.01,9.01 09/30/07
ICO Global Communications (Holdings) DE 5.03,9.01 10/24/07
IDT CORP DE 5.02,9.01 10/24/07
IMERGENT INC DE 8.01,9.01 10/26/07
INDEPENDENT BANK CORP /MI/ MI 1.01,2.03 09/06/07
Inland American Real Estate Trust, In MD 1.01,8.01,9.01 10/16/07 AMEND
INNOFONE COM INC NV 1.01,3.02,9.01 09/21/07
INNOVEX INC MN 5.02 10/23/07
Inrob Tech Ltd. NV 1.01,2.03,9.01 10/23/07
INTERACTIVE INTELLIGENCE INC IN 2.02,9.01 10/29/07
INTERFACE INC GA 5.03,9.01 10/25/07
INTERNATIONAL IMAGING SYSTEMS INC 1.01,2.01,3.02,5.01,5.02,5.03, 10/23/07
5.06,8.01,9.01
IRWIN FINANCIAL CORP IN 8.01,9.01 10/29/07
ITONIS INC. NV 2.01,3.02,5.02,9.01 10/23/07
ITRONICS INC TX 1.01,2.03,3.02,9.01 10/23/07
IXI Mobile, Inc. DE 1.01,3.02,9.01 10/25/07
IXIA CA 5.02 10/29/07
J P MORGAN CHASE & CO DE 9.01 10/25/07
JAMBA, INC. DE 2.02,9.01 10/25/07
KAMAN CORP CT 1.01,9.01 10/27/07
KANA SOFTWARE INC DE 5.02,9.01 10/23/07
KAYDON CORP DE 2.02,5.02,8.01,9.01 10/25/07
KAYDON CORP DE 5.02 07/26/07 AMEND
KAYNE ANDERSON ENERGY DEVELOPMENT CO MD 8.01,9.01 10/26/07
KBS Real Estate Investment Trust, Inc MD 1.01,2.03 10/23/07
KBW, INC. 5.02,9.01 10/29/07
KELLOGG CO DE 2.02 10/29/07
KEMET CORP DE 5.02 10/23/07
KeyOn Communications Holdings Inc. DE 3.03,5.03,9.01 10/23/07
KIMCO REALTY CORP MD 1.01,2.03,9.01 10/25/07
KIWA BIO-TECH PRODUCTS GROUP CORP DE 1.01,3.02,9.01 10/24/03
Kohlberg Capital CORP DE 2.02 10/29/07
LAMSON & SESSIONS CO OH 8.01,9.01 10/24/07
LANCASTER COLONY CORP OH 2.02,9.01 10/29/07
LANGUAGE ACCESS NETWORK, INC. NV 1.01,2.03,9.01 10/11/07
LAS VEGAS GAMING INC NV 7.01 10/29/07
LEGACY RESERVES LP DE 1.01,2.03,9.01 10/29/07
LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01,9.01 10/15/07
LEHMAN ABS CORP REPACK AMER GEN FLOAT DE 8.01,9.01 10/15/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 10/25/07
LEXICON UNITED INC DE 8.01,9.01 10/29/07
LHC Group, Inc 8.01,9.01 10/29/07
Limelight Networks, Inc. DE 8.01,9.01 10/29/07
LL&E ROYALTY TRUST TX 2.02,9.01 10/29/07
LOEWS CORP DE 2.02,9.01 10/29/07
LOUISIANA-PACIFIC CORP DE 2.02,9.01 10/29/07
Manhattan Bancorp CA 2.02,9.01 10/26/07
MANPOWER INC /WI/ WI 5.02,9.01 10/23/07
MARKWEST ENERGY PARTNERS L P 8.01,9.01 10/25/07
MARVELL TECHNOLOGY GROUP LTD D0 5.02,9.01 10/26/07
MASTR Asset Securitization Trust 2007 DE 8.01,9.01 10/29/07
MATERIAL TECHNOLOGIES INC /CA/ DE 1.01,3.02,9.01 10/25/07
MB FINANCIAL INC /MD MD 5.02,9.01 10/23/07
MCG CAPITAL CORP DE 1.01,2.03,9.01 10/23/07
MEDIA GENERAL INC VA 8.01,9.01 10/29/07
MEDICINOVA INC DE 5.02,9.01 10/23/07
MERCER INSURANCE GROUP INC PA 2.02,9.01 10/29/07
Metavante Holding CO 8.01,9.01 10/25/07
MGP INGREDIENTS INC KS 7.01,9.01 10/29/07
MID PENN BANCORP INC PA 5.03,9.01 10/24/07
MID PENN BANCORP INC PA 2.02,9.01 10/24/07
MIDDLEBURG FINANCIAL CORP VA 2.02,9.01 10/23/07
MINDSPEED TECHNOLOGIES, INC DE 2.02,9.01 10/29/07
Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 07/29/07
Mortgage Assistance Center Corp FL 1.01,2.02,3.02,5.01,9.01 08/10/07
MortgageIT Securities Corp. Mortgage DE 2.01,9.01 08/30/07
MORTONS RESTAURANT GROUP INC DE 2.02,9.01 10/29/07
MOTHERS WORK INC DE 5.02,9.01 10/29/07
MPC CORP CO 8.01,9.01 10/25/07
MRS FIELDS FAMOUS BRANDS LLC DE 5.02 10/29/07
MULTI COLOR CORP OH 2.02,9.01 10/26/07
MYMETICS CORP DE 8.01 10/23/07
NASTECH PHARMACEUTICAL CO INC DE 2.02,9.01 10/29/07
NATIONAL PENN BANCSHARES INC PA 5.02,5.03,8.01,9.01 10/24/07
NATIONAL SECURITY GROUP INC DE 8.01,9.01 10/27/07
NAVISTAR INTERNATIONAL CORP DE 2.02,7.01,9.01 10/29/07
NAVISTAR INTERNATIONAL CORP DE 5.02 10/29/07
NDS GROUP PLC X0 2.02 10/29/07
Neenah Paper Inc DE 5.02,9.01 10/29/07
NETLOGIC MICROSYSTEMS INC 1.01,2.01,9.01 10/23/07
NEW WORLD BRANDS INC DE 8.01,9.01 10/23/07
NII HOLDINGS INC DE 5.03,9.01 10/24/07
NOBLE ENERGY INC DE 5.02,9.01 10/23/07
NORTH CENTRAL BANCSHARES INC IA 2.02,9.01 10/29/07
NORTHWEST AIRLINES CORP DE 2.02,9.01 10/29/07
NOVEN PHARMACEUTICALS INC DE 9.01 08/14/07 AMEND
NRDC Acquisition Corp. DE 8.01,9.01 10/23/07
NU HORIZONS ELECTRONICS CORP DE 1.01,9.01 10/25/07
NUANCE RESOURCES CORP. NV 5.02 10/24/07
NURX PHARMACEUTICALS, INC. NV 5.03,8.01,9.01 10/23/07
NuStar Energy L.P. DE 5.02,9.01 10/24/07
NuStar GP Holdings, LLC DE 5.02,9.01 10/24/07
NYFIX INC DE 5.02,8.01,9.01 10/23/07
OCEAN SHORE HOLDING CO X1 5.03,9.01 10/24/07
ODYSSEY HEALTHCARE INC DE 2.02,9.01 10/29/07
OFFICE DEPOT INC DE 8.01,9.01 10/29/07
OLD NATIONAL BANCORP /IN/ IN 2.02,9.01 10/29/07
OMEGA COMMERCIAL FINANCE CORP WY 1.01,2.01,4.01,5.06 09/14/07 AMEND
ONLINE RESOURCES CORP DE 2.02,7.01,8.01,9.01 10/25/07
OPTIMER PHARMACEUTICALS INC 1.01,3.02,9.01 10/23/07
OSI PHARMACEUTICALS INC DE 2.02,8.01,9.01 10/22/07
Ottawa Savings Bancorp, Inc. X1 8.01,9.01 10/29/07
PAB BANKSHARES INC GA 2.02 10/29/07
PACIFIC CAPITAL BANCORP /CA/ CA 2.02,9.01 10/29/07
PALM INC DE 1.02 10/23/07
PAMRAPO BANCORP INC DE 5.02,9.01 10/23/07
Panglobal Brands Inc. DE 3.02 10/23/07
PANHANDLE EASTERN PIPE LINE CO LP DE 1.01,9.01 10/23/07
PATAPSCO BANCORP INC MD 5.03,9.01 10/25/07
PATRICK INDUSTRIES INC IN 2.02,9.01 10/29/07
PCMT CORP DE 1.01,3.02,5.02,9.01 10/18/07
PENN VIRGINIA CORP VA 5.02,9.01 10/24/07
Penn Virginia GP Holdings, L.P. 5.02,9.01 10/23/07
PENN VIRGINIA RESOURCE PARTNERS L P DE 5.02,9.01 10/25/07
PetroSouth Energy Corp. 1.01,9.01 10/29/07
PHILADELPHIA CONSOLIDATED HOLDING COR PA 5.02 10/25/07
PINNACLE BANKSHARES CORP VA 2.02,9.01 10/26/07
PITNEY BOWES INC /DE/ DE 2.02,9.01 10/29/07
PLANETOUT INC DE 5.02 10/24/07
PLUSH MALL, INC. NV 8.01 10/25/07
PNM RESOURCES INC NM 5.02 10/29/07
POPE & TALBOT INC /DE/ DE 1.03,2.04 10/29/07
Porter Bancorp, Inc. KY 8.01,9.01 10/23/07
PORTFOLIO RECOVERY ASSOCIATES INC DE 2.02,9.01 10/29/07
PORTFOLIO RECOVERY ASSOCIATES INC DE 1.01,9.01 10/26/07
POWERWAVE TECHNOLOGIES INC DE 2.02,9.01 10/29/07
Puda Coal, Inc. 8.01,9.01 10/25/07
PUGET ENERGY INC /WA WA 1.01,3.03,9.01 10/29/07
PUGET ENERGY INC /WA WA 1.01,9.01 10/29/07
Puppy Zone Enterprises, Inc NV 7.01,9.01 10/10/07
R H DONNELLEY CORP DE 5.02,9.01 10/23/07
Rackable Systems, Inc. DE 8.01 10/24/07
RADIOSHACK CORP DE 2.02,9.01 10/26/07
RED ROCK PICTURES HOLDINGS, INC 8.01 10/24/07
REGENERON PHARMACEUTICALS INC NY 1.01 10/24/07
REMEC INC CA 7.01 10/29/07
REPUBLIC AIRWAYS HOLDINGS INC DE 1.01,9.01 10/26/07
REUNION INDUSTRIES INC DE 1.01 10/25/07
RF MICRO DEVICES INC NC 8.01 10/29/07
Rosetta Resources Inc. DE 7.01,9.01 10/29/07
RUB A DUB SOAP INC CO 1.01,9.01 10/18/07
SCHIFF NUTRITION INTERNATIONAL, INC. DE 5.02,9.01 10/25/07
SCHNITZER STEEL INDUSTRIES INC OR 2.02,9.01 10/29/07
SCIENTIFIC LEARNING CORP DE 2.02 10/23/07
SCM MICROSYSTEMS INC DE 5.02 10/23/07
SEACOAST BANKING CORP OF FLORIDA FL 2.02,7.01,9.01 10/23/07
SECURED DIVERSIFIED INVESTMENT LTD 1.01,2.01,9.01 10/23/07
SED INTERNATIONAL HOLDINGS INC DE 3.02,5.02,9.01 10/23/07
SEMOTUS SOLUTIONS INC NV 1.01,3.02,9.01 10/23/07
SENTRA CONSULTING CORP 1.01,2.03,3.02,5.03,9.01 08/27/07
SEQUIAM CORP CA 1.01,5.02,8.01,9.01 10/23/07
ShoreTel Inc CA 2.02,9.01 10/29/07
SIERRA PACIFIC RESOURCES /NV/ NV 2.02,9.01 10/29/07
SIMON PROPERTY GROUP INC /DE/ DE 2.02,7.01,9.01 10/29/07
SKYE INTERNATIONAL, INC NV 8.01,9.01 10/25/07
Smooth Global (China) Holdings, Inc. NV 1.01,2.01,3.02,5.02,9.01 10/24/07
SONICWALL INC CA 2.02,9.01 09/30/07
SONOSITE INC 2.02,8.01,9.01 10/29/07
Sound Worldwide Holdings, Inc. DE 1.01,2.01,3.02,4.01,5.02,5.03, 10/25/07
5.06,9.01
SOUTHERN UNION CO DE 8.01,9.01 10/23/07
Star Resorts Development Inc. NV 3.02,9.01 10/05/07
STERLING FINANCIAL CORP /WA/ WA 7.01,9.01 10/29/07
Summit Global Logistics, Inc. DE 8.01,9.01 10/29/07
SUPERGEN INC DE 2.02,9.01 10/29/07
SUPERIOR BANCORP DE 2.02,7.01,9.01 10/29/07
Susser Holdings CORP DE 7.01,8.01,9.01 10/29/07
Susser Holdings CORP DE 2.02,7.01,8.01,9.01 10/29/07 AMEND
SYMANTEC CORP DE 5.02,9.01 10/23/07
Symmetry Holdings Inc DE 8.01,9.01 10/29/07
Symmetry Holdings Inc DE 7.01 10/29/07
TANDY BRANDS ACCESSORIES INC DE 1.01,5.02,9.01 10/29/07
TAPESTRY PHARMACEUTICALS, INC DE 5.02 10/26/07
TEAMSTAFF INC NJ 5.02,9.01 10/23/07
TECHWELL INC 2.02,9.01 10/29/07
TEKOIL & GAS CORP DE 1.01,9.01 10/24/07
TIDELANDS BANCSHARES INC 2.02,9.01 10/25/07
TIMBERLAND BANCORP INC WA 5.02 10/23/07
TITAN INTERNATIONAL INC IL 2.02,9.01 10/29/07
TM Entertainment & Media, Inc. DE 8.01,9.01 10/23/07
TOUSA INC DE 1.01,9.01 10/25/07
Trans-Science Corp CA 2.01,3.02,5.01 08/20/07
Triplecrown Acquisition Corp. DE 8.01,9.01 10/25/07
TRIUMPH GROUP INC / DE 2.02,9.01 10/24/07
TRIZETTO GROUP INC DE 5.05,8.01,9.01 10/23/07
U S CANADIAN MINERALS INC CA 4.01,8.01,9.01 10/23/07
UNIVERSAL TECHNICAL INSTITUTE INC DE 1.01,2.03,9.01 10/26/07
V F CORP PA 1.01,1.02,2.03,9.01 10/26/07
Vanda Pharmaceuticals Inc. DE 5.02,9.01 10/23/07
VERIZON COMMUNICATIONS INC DE 2.02 10/29/07
VERTEX PHARMACEUTICALS INC / MA MA 2.02,9.01 10/29/07
ViewPoint Financial Group X1 8.01,9.01 10/26/07
Village Bank & Trust Financial Corp. 2.02,9.01 10/26/07
VIRAGE LOGIC CORP CA 2.01,9.01 08/15/07 AMEND
VIROPRO INC NV 1.01,2.03,9.01 10/24/07
VISUAL SCIENCES, INC. CA 2.02,9.01 10/25/07
VISUAL SCIENCES, INC. CA 5.02,9.01 10/24/07
VNUS MEDICAL TECHNOLOGIES INC 2.02,9.01 10/29/07
Volcom Inc 2.02,7.01,9.01 10/29/07
W R GRACE & CO DE 2.02,9.01 10/24/07
WACHOVIA ASSET SECURITIZATION INC 200 8.01,9.01 10/25/07
WACHOVIA ASSET SECURITIZATION INC AST 8.01,9.01 10/25/07
WASHINGTON GROUP INTERNATIONAL INC DE 2.02,9.01 10/29/07
WELLENTECH SERVICES INC NV 8.01 10/24/07
Wells Fargo Alternative Loan 2007-PA5 DE 9.01 10/29/07
Wells Fargo Mortgage Backed Securitie DE 9.01 10/29/07
WEST PHARMACEUTICAL SERVICES INC PA 5.02,9.01 10/16/07 AMEND
WESTFIELD FINANCIAL INC MA 1.01,9.01 10/23/07
WESTSIDE ENERGY CORP NV 8.01,9.01 10/29/07
WHITING PETROLEUM CORP DE 5.02,9.01 10/23/07
Wilber CORP 2.02,9.01 10/29/07
WILLIAMS SCOTSMAN INTERNATIONAL INC DE 8.01,9.01 10/29/07
WILLOW FINANCIAL BANCORP, INC. PA 5.02,8.01,9.01 10/23/07
WINN DIXIE STORES INC FL 2.02,9.01 10/29/07
WOLVERINE WORLD WIDE INC /DE/ MI 8.01 10/23/07
Wright Express CORP 1.01,8.01,9.01 10/23/07
WSFS FINANCIAL CORP DE 2.02,9.01 10/25/07
WSI INDUSTRIES, INC. MN 2.02,5.02,9.01 10/23/07
XSUNX INC CO 1.01,9.01 10/23/07
XSUNX INC CO 1.01,9.01 10/23/07
Yankee Holding Corp. DE 5.02,9.01 10/23/07
ZAP CA 5.02 10/22/07 AMEND
ZILA INC DE 5.02 10/25/07 AMEND
ZOOM TECHNOLOGIES INC DE 2.02,9.01 10/29/07
http://www.sec.gov/news/digest/2007/dig103007.htm
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