SEC NEWS DIGEST Issue 2004-162 August 23, 2004 RULES AND RELATED MATTERS DISCLOSURE REGARDING PORTFOLIO MANAGERS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES On August 23, the Commission issued a release adopting amendments to Forms N-1A, N-2, N-3, and N-CSR that are designed to improve the disclosure provided by mutual funds and closed-end funds about their portfolio managers. The amendments extend the existing requirement that a fund provide basic information in its prospectus regarding its portfolio manager to members of management teams. The amendments also require a fund to disclose additional information about its portfolio managers in its Statement of Additional Information (and, for closed-end funds, in reports on Form N-CSR), including other accounts they manage, compensation structure, and ownership of securities in the fund. (Rels. 33-8458; 34-50227; IC-26533) ENFORCEMENT PROCEEDINGS STEVEN AND SUSAN BOLLA AGREE TO SEC BARS On August 20, the Commission instituted settled administrative proceedings against Steven and Susan Bolla based on the entries of injunctions against them. Steven Bolla consented to the SEC’s imposition of an order barring him from associating with any broker, dealer or investment adviser. Susan Bolla consented to the SEC’s imposition of an order barring her from associating with any investment adviser. In the Order Instituting Administrative Proceedings, Steven and Susan Bolla admit that a U.S. District Court entered injunctions against them in SEC v. Steven M. Bolla, Washington Investment Network, Susan Bolla and Robert Radano, Case No. 1:02CV1506 (D.D.C.) (CKK). The injunctions were based on the Commission’s District Court complaint alleging that Steven Bolla violated a June 2000 SEC order barring him from associating with any investment adviser. The Commission’s complaint alleges that Steven Bolla managed the finances of Washington Investment Network, Inc. (WIN), an investment adviser, and dealt with WIN clients for ten months after he was barred. The SEC charged Susan Bolla with aiding and abetting WIN’s violations of the SEC’s bar order. The complaint alleges that Susan Bolla, who had no previous investment advisory or other securities experience, was set up as the nominal co-owner of WIN to conceal her husband’s association with the firm. The complaint charges that Steven and Susan Bolla aided and abetted WIN’s investment adviser fraud by failing to disclose Steven Bolla’s bar, or any other aspect of his disciplinary history, to WIN clients while Steven Bolla was associating with the firm subsequent to his bar. In addition, the complaint alleges that Steven Bolla committed fraud by making material misrepresentations to one of his advisory clients regarding a private placement investment he was soliciting as an unregistered broker-dealer. The final District Court judgment as to Steven Bolla enjoins him from violating Section 15(a) of the Securities Exchange Act of 1934 (Exchange Act) and Section 203(f) of the Investment Advisers Act of 1940 (Advisers Act), and orders him to pay $117,500 in disgorgement and prejudgment interest and a $57,500 penalty. In a prior SEC action, Steven Bolla was enjoined in June 2000 from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Exchange Act and Sections 206(1) and (2) of the Advisers Act in. The final District Court judgment as to Susan Bolla enjoins her from violating Sections 203(f), 206(1) and 206(2) of the Advisers Act. (Rel. 34-50222; IA-2279; File No. 3-11591) COMMISSION INSTITUTES SETTLED ADMINISTRATIVE PROCEEDING AGAINST STEVEN MUTH On August 20, the Commission instituted a public administrative proceeding against Steven E. Muth (Muth) pursuant to Section 15(b) of the Securities Exchange Act of 1934. Muth, age 43, is a resident of Aurora, Colorado, and a former registered representative of Kirkpatrick, Pettis, Smith, Polian Inc., a registered broker-dealer. Simultaneous with the institution of the proceeding, Muth submitted an Offer of Settlement in which, while neither admitting nor denying the Commission’s findings, Muth consented to the entry of an Order barring him from association with any broker or dealer. The Order was based on the entry of a permanent injunction in a civil action filed against Muth in San Diego, California. The Commission’s complaint alleged that Muth violated the antifraud provisions by, among other things, manipulating the stock of Creative Host Services, Inc. (Rel. 34-50223; File No. 3- 11592) IN THE MATTER OF KENNETH LIVESAY, CPA On August 20, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings and Imposing Remedial Sanctions (Order) against Kenneth K. Livesay. The Order finds that Livesay, a certified public accountant licensed to practice in the State of Alabama, served as assistant controller of HealthSouth Corporation (HealthSouth) from 1989 until November 1999. The Order finds that on April 3, 2003, the Commission filed a complaint against Livesay in SEC v. Kenneth K. Livesay et al., (Civil Action No. CV-03-S-0758-S), and that on August 19, 2004, the court entered an order permanently enjoining Livesay, by consent, from future violations of Section 17(a) of the Securities Act of 1933 and Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 and Rules 10b-5 and 13b2-1 thereunder, and from aiding and abetting violations of Section 17(a) of the Securities Act and Sections 10(b), 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 10b-5, 12b-20, 13a-1 and 13a-13 thereunder. The Commission’s complaint alleged, among other things, that Livesay directed other HealthSouth employees to record fictitious assets on the company’s books which matched generally fraudulent overstatements of income. The complaint alleged that the fraudulent entries were designed to avoid detection by HealthSouth’s independent auditors. The Order also finds that on June 3, 2004, a judgment of conviction was entered against Livesay in United States v. Livesay, CR-03-C-0182-S, in the U.S. District Court for the Northern District of Alabama, finding him guilty of one count of conspiracy to commit wire fraud, one count of securities fraud and one count of willfully and knowingly falsifying books and records of HealthSouth. As a result of this conviction, Livesay was sentenced to 60 months probation, with the first six months home detention, to pay a $10,000 fine, to forfeit $750,000 and to pay a $200 assessment. Based on the above, the Order forthwith suspends Livesay from appearing or practicing before the Commission as an accountant. Livesay consented to the issuance of the Order without admitting or denying any of the allegations in the civil injunctive action. (Rel. 34-50225; AAE Rel. 2082; File No. 3-11593) THE COMMISSION INSTITUTES ADMINISTRATIVE PROCEEDINGS AGAINST BROKER DEALER AND TWO BROKERS CHARGED WITH FRAUD On August 23, the Commission instituted administrative proceedings pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) against respondents Platinum Investment Corporation (Platinum), Andrew Antonucci (Antonucci) and Mathew Beaulieu (Beaulieu). According to the Order Instituting the Proceedings (OIP), the Commission's Division of Enforcement alleges that Platinum is a registered broker-dealer with which Antonucci and Beaulieu were associated. The Division also alleges in the OIP that the respondents were named as defendants in a civil injunctive action filed by the Commission in the U.S. District Court for the Southern District of New York on July 31, 2002. In that action, according to the Division’s allegations in the OIP, the Commission’s Complaint alleged that the respondents and other defendants raised over $1.5 million through fraudulent unregistered stock offerings conducted through Platinum and that they defrauded investors by making material misrepresentations with respect to the securities involved in the offerings. The Division also alleges in the OIP that in the civil injunctive action the respondents, upon their consent, were permanently enjoined from further violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the OIP are true, and to provide them with an opportunity to respond to the allegations, 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 300 days from the date of service of this Order, pursuant to the Commission’s Rules of Practice. (Rel. 34-50228; File No. 3-11594) COURT ENTERS FINAL JUDGMENT AND ORDERS $1,608,102 IN DISGORGEMENT AND CIVIL PENALTIES AGAINST RICHARD PARNELL AND ONE TOUCH MARKETING, INC. IN WIRELESS CABLE FRAUD On August 17, the Honorable Royce C. Lamberth, U.S. District Court Judge for the District of Columbia, entered an Order and Amended Judgment as to Defendants Richard B. Parnell and One Touch Marketing, Inc. (OTM). Previously, on June 9, 2004, the court had entered a Final Judgment of Permanent Injunction and Other Relief against Defendants Parnell and OTM. The Final Judgment and Order (collectively, the “Judgment”) were both entered following the Commission’s motion for summary judgment, to which the defendants failed to respond. The Judgment orders the defendants Parnell and OTM, jointly and severally, to pay $663,000 in disgorgement, $141,051 in prejudgment interest and a $804,051 penalty. The Judgment enjoins Parnell and OTM from violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. According to the complaint, Parnell and OTM violated various registration and antifraud provisions of the federal securities laws in connection with the unregistered nationwide sales of securities designated as partnership units in Internet Broadcast Group, a purported general partnership formed to engage in the wireless and hardwired cable business in Muskegon, Michigan and Mesa, Arizona. The Commission’s complaint alleged that Parnell and OTM, his wholly controlled company, functioned as brokers by selling the securities without first having registered as such as required by applicable securities laws. Further, the Commission’s complaint alleged that Parnell and OTM used a variety of false and misleading sales literature, correspondence and telephone statements to sell the securities. [SEC v. Internet Broadcast Group, et al., Civil Action No. 96CV02226 (RCL) (D.D.C.)] (LR-18441) HOLDING COMPANY ACT RELEASES NISOURCE INC., ET AL. A notice has been issued giving interested persons until Sept. 10, 2004, to request a hearing on a proposal by NiSource Inc., a registered public- utility holding company under the Act, and its direct and indirect public-utility and nonutility subsidiaries to add two more nonutility subsidiaries to the NiSource money pool. (Rel. 35-27884) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-BSE-2004-37) submitted by the Boston Stock Exchange to extend its clean cross rule to the trading of exchange-listed securities. Publication of the proposal is expected in the Federal Register during the week of August 23. (Rel. 34-50220) WITHDRAWAL GRANTED An order has been issued granting the application of The Ohio Art Company to withdraw its common stock, $1.00 par value, from listing and registration on the American Stock Exchange, effective at the opening of business on August 23. (Rel. 34-50224) 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 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 YSEEK INC, 412 E MADISON STREET, SUITE 1000, TAMPA, FL, 33602, 8132218927 - 35,100 ($359,775.00) Equity, (File 333-118375 - Aug. 20) (BR. 05) S-3 TOREADOR RESOURCES CORP, 4809 COLE AVENUE SUITE 108, DALLAS, TX, 75205, 2145593933 - 914,634 ($6,859,755.00) Equity, (File 333-118376 - Aug. 20) (BR. 04) S-3 TOREADOR RESOURCES CORP, 4809 COLE AVENUE SUITE 108, DALLAS, TX, 75205, 2145593933 - 2,924,033 ($21,930,247.00) Equity, (File 333-118377 - Aug. 20) (BR. 04) S-4 CHESAPEAKE ENERGY CORP, 6100 N WESTERN AVE, OKLAHOMA CITY, OK, 73118, 4058488000 - 0 ($300,000,000.00) Other, (File 333-118378 - Aug. 20) (BR. 04) S-4 APPLETON PAPERS INC/WI, 825 EAST WISCONSIN AVENUE, APPLETON, WI, 54912-0359, 9207349841 - 0 ($335,000,000.00) Non-Convertible Debt, (File 333-118379 - Aug. 20) (BR. 04) S-4 WINTRUST FINANCIAL CORP, 727 N BANK LANE, LAKE FOREST, IL, 60045, 8476154096 - 583,000 ($1,044,755.00) Equity, (File 333-118380 - Aug. 20) (BR. 07) S-8 EPIC FINANCIAL CORP, 3300 IRVINE AVENUE, SUITE 220, NEWPORT BEACH, CA, 92660, (949) 622-1130 - 6,500,000 ($325,000.00) Equity, (File 333-118381 - Aug. 20) (BR. 09) S-3 SUNTRUST BANKS INC, 919 E MAIN ST, RICHMOND, VA, 23219, 8047827107 - 1,500,000,000 ($1,500,000,000.00) Unallocated (Universal) Shelf, (File 333-118382 - Aug. 20) (BR. 07) N-2 BlackRock Rising Rate Trust, 100 BELLEVUE PARKWAY, WILMINGTON, DE, 19809, 888-825-2267 - 100,000 ($1,500,000.00) Equity, (File 333-118383 - Aug. 20) (BR. 22) S-8 LAMSON & SESSIONS CO, 25701 SCIENCE PARK DR, CLEVELAND, OH, 44122-7313, 2164643400 - 620,000 ($4,377,200.00) Equity, (File 333-118384 - Aug. 20) (BR. 36) S-8 ORASURE TECHNOLOGIES INC, 150 WEBSTER ST, BETHLEHEM, PA, 18015, 5036416115 - 3,000,000 ($17,580,000.00) Equity, (File 333-118385 - Aug. 20) (BR. 36) S-8 INDEPENDENCE HOLDING CO, 96 CUMMINGS POINT RD, STAMFORD, CT, 06902, 2033588000 - 280,000 ($5,462,800.00) Equity, (File 333-118388 - Aug. 20) (BR. 01) S-8 COMMONWEALTH TELEPHONE ENTERPRISES INC /NEW/, 100 CTE DRIVE, PO BOX 800, DALLAS, PA, 18612-9799, 7176742700 - 250,000 ($10,897,500.00) Equity, (File 333-118389 - Aug. 20) (BR. 37) S-4 PINNACLE FOODS GROUP INC, 0 ($394,000,000.00) Non-Convertible Debt, (File 333-118390 - Aug. 20) (BR. 04) S-8 ACE CASH EXPRESS INC/TX, 1231 GREENWAY DR STE 800, IRVING, TX, 75038, 2145505000 - 0 ($9,680,000.00) Equity, (File 333-118391 - Aug. 20) (BR. 07) S-8 PEPSIAMERICAS INC/IL/, 4000 DAIN RAUSCHER PLAZA, 60 SOUTH SIXTH STREET, MINNEAPOLIS, MN, 55402, 612-661-4000 - 0 ($113,610,000.00) Equity, (File 333-118392 - Aug. 20) (BR. 02) N-2 Nuveen Premium Income Strategy Fund, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 312-917-8146 - 1,000 ($20,000.00) Equity, (File 333-118393 - Aug. 20) (BR. 18) S-8 LSB BANCSHARES INC /NC/, P O BOX 867, ONE LSB PLZ, LEXINGTON, NC, 27293-0867, 9102486500 - 0 ($12,150,000.00) Equity, (File 333-118394 - Aug. 20) (BR. 07) S-8 PIER 1 IMPORTS INC/DE, 301 COMMERCE ST STE 600, FORT WORTH, TX, 76102, 8178788000 - 0 ($55,545,000.00) Equity, (File 333-118395 - Aug. 20) (BR. 02) F-1 GRUPO TMM SA, AVENIDA DE LA CUSPIDE NO 4755, COLONIA PARQUES DEL PEDREGAL, MEXICO CITY, O5, 14010, 011525556298866 - 0 ($392,646,832.00) Other, (File 333-118396 - Aug. 20) (BR. 05) S-3 INTERNET COMMERCE CORP, 805 THIRD AVE, STE 622, NEW YORK, NY, 10022, 2122717640 - 1,941,409 ($2,116,135.81) Equity, (File 333-118397 - Aug. 20) (BR. 03) SB-2 Sound Revolution Inc., 3955 GRAVELEY STREET, SUITE 507, VANCOUVER, A1, V6C 3T4, 604-780-3914 - 269,814 ($53,962.80) Equity, (File 333-118398 - Aug. 20) (BR. 09) S-8 VECTREN CORP, 20 NW FOURTH ST, EVANSVILLE, IN, 47708, 8124914000 - 800,000 ($19,624,000.00) Equity, (File 333-118399 - Aug. 20) (BR. 02) S-8 PACIFICARE HEALTH SYSTEMS INC /DE/, 3120 LAKE CENTER DRIVE, SANTA ANA, CA, 92704, 7148255200 - 3,208,353 ($100,966,869.00) Equity, (File 333-118400 - Aug. 20) (BR. 01) S-8 COCA COLA ENTERPRISES INC, 2500 WINDY RIDGE PKWY, ATLANTA, GA, 30339, 7709893000 - 0 ($627,270,000.00) Equity, (File 333-118401 - Aug. 20) (BR. 02) S-8 COCA COLA ENTERPRISES INC, 2500 WINDY RIDGE PKWY, ATLANTA, GA, 30339, 7709893000 - 0 ($5,075,000.00) Equity, (File 333-118402 - Aug. 20) (BR. 02) S-8 COCA COLA ENTERPRISES INC, 2500 WINDY RIDGE PKWY, ATLANTA, GA, 30339, 7709893000 - 0 ($8,120,000.00) Equity, (File 333-118403 - Aug. 20) (BR. 02) S-8 COCA COLA ENTERPRISES INC, 2500 WINDY RIDGE PKWY, ATLANTA, GA, 30339, 7709893000 - 0 ($40,600,000.00) Equity, (File 333-118404 - Aug. 20) (BR. 02) S-8 COCA COLA ENTERPRISES INC, 2500 WINDY RIDGE PKWY, ATLANTA, GA, 30339, 7709893000 - 0 ($20,300,000.00) Equity, (File 333-118405 - Aug. 20) (BR. 02) S-3 WILD OATS MARKETS INC, 3375 MITCHELL LANE, BOULDER, CO, 80301, 3034405220 - 0 ($115,000,000.00) Other, (File 333-118406 - Aug. 20) (BR. 02) S-8 LIMITED BRANDS INC, THREE LIMITED PKWY, P O BOX 16000, COLUMBUS, OH, 43216, 6144157000 - 20,000,000 ($376,300,000.00) Equity, (File 333-118407 - Aug. 20) (BR. 02) S-8 WIZZARD SOFTWARE CORP /CO, 424 GOLD WAY, PITTSBURGH, PA, 15213, 8014241624 - 200,000 ($336,000.00) Equity, (File 333-118409 - Aug. 20) (BR. 03) S-3 RANGE RESOURCES CORP, 777 MAIN STREET, FT WORTH, TX, 76102, 817-870-2601 - 0 ($500,000,000.00) Other, (File 333-118417 - Aug. 20) (BR. 04) S-4 COOPER COMPANIES INC, 6140 STONERIDGE MALL RD, STE 590, PLEASANTON, CA, 94588, 9254603600 - 0 ($645,749,994.00) Equity, (File 333-118422 - Aug. 20) (BR. 36) S-3 CHASE MANHATTAN BANK USA, 802 DELAWARE AVE, 13TH FLOOR, WILMINGTON, DE, 19801, 3025755033 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-118423 - Aug. 20) (BR. 05) SB-2 EMAIL REAL ESTATE COM INC, 210 WILCOX ST., SUITE 201, CASTLE ROCK, CO, 80104, 3032577800 - 94,849,033 ($71,136,774.75) Equity, (File 333-118426 - Aug. 20) (BR. 08) S-1 Foundation Coal Holdings, Inc., 999 CORPORATE BOULEVARD, SUITE 300, LINTHICUM, MD, 21090-2227, 410-689-7600 - 0 ($250,000,000.00) Equity, (File 333-118427 - Aug. 20) (BR. ) S-8 UCBH HOLDINGS INC, 555 MONTGOMERY STREET, 14TH FLOOR, SAN FRANCISCO, CA, 94111, 415-315-2800 - 0 ($41,812,197.00) Equity, (File 333-118428 - Aug. 20) (BR. 07) S-8 QUANTA SERVICES INC, 1360 POST OAK BLVD, SUITE 2100, HOUSTON, TX, 77056, 7133506000 - 1,000,000 ($6,230,000.00) Equity, (File 333-118429 - Aug. 20) (BR. 06) S-1 Integris Metals CORP, 455 85TH AVENUE, N.W., MINNEAPOLIS, MN, 55433, (763) 717-9000 - 0 ($100,000,000.00) Equity, (File 333-118430 - Aug. 20) (BR. ) S-8 BEA SYSTEMS INC, 2315 NORTH FIRST STREET, -, SAN JOSE, CA, 95131, 4085708000 - 24,000,000 ($147,240,000.00) Equity, (File 333-118432 - Aug. 20) (BR. 03) S-8 DIGITAL RECORDERS INC, 4018 PATRIOT DRIVE, SUITE 100, DURHAM, NC, 27703, 9193612155 - 0 ($353,000.00) Equity, (File 333-118433 - Aug. 20) (BR. 37) S-3 MAXIM PHARMACEUTICALS INC, 8899 UNIVERSITY CTR LANE, STE 400, SAN DIEGO, CA, 92122, 8584534040 - 0 ($1,389,682.11) Equity, (File 333-118434 - Aug. 20) (BR. 01) S-4 STATER BROS HOLDINGS INC, 21700 BARTON RD, COLTON, CA, 92324, 9097835000 - 0 ($700,000,000.00) Non-Convertible Debt, (File 333-118436 - Aug. 20) (BR. 02) S-8 RAVEN MOON ENTERTAINMENT INC, 120 INTERNATIONAL PARKWAY, SUITE 220, HEATHROW, FL, 32746, 20,000,000 ($2,000,000.00) Equity, (File 333-118437 - Aug. 20) (BR. 05) S-3 DIVERSIFIED SECURITY SOLUTIONS INC, 280 MIDLAND AVE, SADDLE BROOK, NJ, 07662, 2017946500 - 746,999 ($4,003,915.00) Equity, (File 333-118438 - Aug. 20) (BR. 37) SB-2 SOLUTION TECHNOLOGY INTERNATIONAL INC, 5210 CHAIRMANS COURT, SUITE 3, FREDERICK, MD, 21703, 866-668-9600 - 0 ($60,966.95) Equity, (File 333-118439 - Aug. 20) (BR. ) S-1 ArcSoft, Inc., 46601 FREMONT BOULEVARD, FREMONT, CA, 94538, (510)-440-9901 - 0 ($46,000,000.00) Equity, (File 333-118440 - Aug. 20) (BR. ) SB-2 EFOODSAFETY COM INC, 350 W CALDWELL AVENUE, VISALIA, CA, 93277, 5597412060 - 11,057,762 ($7,023,105.00) Equity, (File 333-118446 - Aug. 20) (BR. 04) N-2 IQ Dow 10 Strategy Fund, Inc., 800 SCUDDERS MILL RD, PLAINSBORO, NJ, 08536, 609-282-5904 - 1,000,000 ($20,000,000.00) Equity, (File 333-118453 - Aug. 20) (BR. ) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. Item 10. Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics. Item 11. Temporary Suspension of Trading Under Registrant's Employee Benefit Plans. Item 12. Results of Operations and Financial Condition. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 10 11 12 13 DATE COMMENT ------------------------------------------------------------------------------------------------ 24/7 REAL MEDIA INC DE X X 08/19/04 ABBOTT LABORATORIES IL X 08/20/04 ABERDENE MINES LTD X X 08/20/04 ABFC ASSET-BACKED CERTIFICATES SERIES DE X X 06/03/04 ADVANCED ENERGY INDUSTRIES INC DE X 08/16/04 ADVANCED NEUROMODULATION SYSTEMS INC TX X X 08/12/04 ADVANTA BUSINESS RECEIVABLES CORP X 08/20/04 AKI INC DE X X 08/20/04 ALASKA AIR GROUP INC DE X 08/19/04 ALLEGHANY CORP /DE DE X X 08/19/04 ALTUS EXPLORATIONS INC NV X X 08/20/04 AMARILLO BIOSCIENCES INC TX X X 08/19/04 AMBAC FINANCIAL GROUP INC DE X 08/20/04 AMERICAN BIO MEDICA CORP NY X X 08/03/04 AMEND ANADARKO PETROLEUM CORP DE X X 08/20/04 ANALYTICAL SURVEYS INC CO X X 08/20/04 APACHE CORP DE X 08/20/04 AQUILA INC DE X 08/20/04 ARCH CAPITAL GROUP LTD DE X X 08/20/04 ARDENT HEALTH SERVICES LLC DE X X 08/12/04 ASHLAND INC KY X X 08/20/04 Asset Backed Funding Corp. ABFC Asset DE X X 06/03/04 ASSET BACKED SECURITIES CORP DE X 08/20/04 AVID TECHNOLOGY INC DE X X 08/20/04 AXESSTEL INC NV X X 08/20/04 BALCHEM CORP MD X X 08/18/04 Banc of America Commercial Mort. Pass DE X X 08/20/04 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 07/29/04 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 08/20/04 Banc of America Mortgage Securities M DE X X 06/28/04 BANC ONE HELOC 1999-1 OH X X 08/20/04 BANC ONE HELOC TRUST 1998-1 OH X X 08/20/04 Bank of Commerce Holdings CA X X 08/19/04 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 08/05/04 BANK ONE AUTO SECURITIZATION TRUST 20 DE X X 08/20/04 BANKRATE INC FL X 08/10/04 Baymark Technologies, Inc. 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