SEC NEWS DIGEST Issue 2002-199 October 15, 2002 COMMISSION ANNOUNCEMENTS FEE RATE ADVISORY #5 FOR FISCAL YEAR 2003 The continuing resolution funding the Securities and Exchange Commission for fiscal 2003 since Oct. 1, 2002 has been extended through Oct. 18, 2002. Therefore, the Section 6(b) fee rate applicable to the registration of securities, the Section 13(e) fee rate applicable to the repurchase of securities, and the Section 14(g) fee rates applicable to proxy solicitations and information statements in corporate control transactions will remain at the current rate of $92.00 per million. Five days after enactment of the Commission's regular appropriation, the fee rates for Section 6(b) of the Securities Act of 1933 and Sections 13(e) and 14(g) of the Securities Exchange Act of 1934 will be reduced from $92.00 per million to $80.90 per million as previously announced. In addition, the Section 31 fee rate applicable to securities transactions on the exchanges and NASDAQ also will remain at the current rate of $30.10 per million. Thirty days after enactment of the Commission's regular appropriation, the fee rate for Exchange Act Section 31 transactions will be reduced to $25.20 per million as previously announced. The delayed effective dates for the fee rate reductions are statutory requirements over which the Commission has no discretion. These delays will not provide any additional funding for the Commission. The Commission will issue further notices as appropriate to keep the public informed of developments relating to enactment of the Commission's regular appropriation and the effective dates for the above fee rate changes. These notices will be posted at the SEC's Internet web site at http://www.sec.gov. (Press Rel. 2002-147) COMMISSION SETS DATES FOR MARKET STRUCTURE HEARINGS The Securities and Exchange Commission will hold hearings this fall to discuss key issues relating to the structure of the U.S. equity securities markets. The Commission has initially scheduled two full-day hearings, the first to be held on Tuesday, Oct. 29, 2002, at the Commission's headquarters in Washington, D.C., and the second, on Tuesday, Nov. 12, 2002, at the NYU Stern School of Business in Schimmel Auditorium, Tisch Hall, in New York City. The hearings will address a variety of topics, including: the collection, consolidation and dissemination of market data through intermarket plans; broker-dealers' duty of best execution and corresponding marketplace rules relating to intermarket access, trade- throughs, and price protection; the role of national securities exchanges, electronic communications networks (ECNs), and alternative trading systems; and the self-regulatory system. The Commission has invited a distinguished panel of market experts and professionals to participate in each hearing, representing the views of investors, market centers, investment firms, and the academic community. Each hearing will cover the same topics but with a different set of participants. The Commission and Commission staff will also participate in each hearing. Hearings will be open to the public and will be web- cast. The panelists will include: John Markese, President, American Association of Individual Investors; Tom Gardner, Founder, The Motley Fool; Joel Seligman, Dean, Washington University School of Law; Maureen O'Hara, Professor of Management and Finance, Cornell University; Albert Kyle, Professor of Finance, Duke University; Ruben Lee, Oxford Financial Group, London; Richard Ketchum, President, The Nasdaq Stock Market; senior management of the New York Stock Exchange; Salvatore Sodano, Chairman and CEO, American Stock Exchange; Paul O'Kelly, President and CEO, Chicago Stock Exchange; Gary Gastineau, ETF Advisors, Rosenkranz & Co.; Tom Peterffy, Chairman, TimberHill; David Pottruck, President and Co-CEO, Schwab Capital Markets; Bernard L. Madoff, Principal, Bernard L. Madoff Investment Securities; Robert Steel, Vice Chairman, Goldman Sachs; Robert Murphy, NYSE Specialist, LaBranche & Co.; Matthew DeSalvo, Nasdaq Market Maker, Morgan Stanley; Ian Domowitz, Managing Director, Investment Technology Group; David Whitcomb, President and CEO, Automated Trading Desk; Ed Nicoll, CEO, Instinet Corporation; Gerald Putnam, CEO, Archipelago Holdings; George "Gus" Sauter, Managing Director, The Vanguard Group; Minder Cheng, Global Head of Equity and Currency Trading, Barclays Global Investors; Wayne Wagner, Chairman, Plexus Group; and Matt Gelber, Vice President, Fidelity Investments. Additional information, including a more detailed list of topics for discussion, will be made available prior to the hearings through the SEC's Web site at: www.sec.gov. Copies of materials submitted by the participants will be available by contacting the SEC's Public Reference Room, 450 Fifth Street, N.W., Washington, D.C. 20549 or by accessing the SEC's Web site at: www.sec.gov. (Press Rel. 2002-148) GERALD LAPORTE SELECTED AS CHIEF OF THE OFFICE OF SMALL BUSINESS POLICY, DIVISION OF CORPORATION FINANCE The Securities and Exchange Commission's Division of Corporation Finance today announced the selection of Gerald J. Laporte as Chief of the Division's Office of Small Business Policy. Laporte has practiced securities law in Washington, D.C. for over 20 years, including, most recently, at Hogan & Hartson. He worked at the SEC from 1982 to 1987, serving as special counsel in the Office of the General Counsel, and as counsel to Commissioner Joseph A. Grundfest. In 1997-1998, he served as Chairman of the Corporation, Finance and Securities Law Section of the District of Columbia Bar. Laporte holds a J.D., awarded with honors, from the George Washington University Law School, an M.A. in political science from Georgetown University, and degrees from the University of Ottawa, Canada, and Sacred Heart Seminary College, Detroit. He was managing editor of the George Washington University Law Review, and served as a law clerk to U.S. District Judge John H. Pratt in Washington, D.C. Laporte will assume his position as Chief of the Office of Small Business Policy on Oct. 28. The office's responsibilities include small business advocacy for the SEC and rulemaking in areas that affect small businesses. Office members also advise the SEC staff and the public about the interpretation of forms and rules that govern capital raising and reporting by small businesses. "Small business is an important area of regulatory activity for the SEC and for the Division," said Division of Corporation Finance Director Alan Beller. "Gerry will be invaluable in building on our strong and long-standing relationships with the small business community and in continuing our involvement and interest in this important area. His experience with public and private financing of small companies will be a noteworthy addition to our small business program." (Press Rel. 2002- 149) ENFORCEMENT PROCEEDINGS FEDERAL JUDGE PERMANENTLY ENJOINS JOHN FITZGERALD The Commission announced today that the Honorable Julie E. Carnes, United States District Judge for the Northern District of Georgia, entered a Final Judgment of Permanent Injunction as to Defendant John Patrick Fitzgerald (Fitzgerald), restraining and enjoining him from further violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Fitzgerald consented to the entry of the judgment without admitting or denying any of the allegations of the Commission's complaint. The Court ordered disgorgement against Fitzgerald in the amount of $122,424, including prejudgment interest thereon of $19,653. The Court also imposed a civil penalty of $51,385. The Commission's complaint, filed on February 21, 2002, alleged insider trading by Fitzgerald, CheckFree's vice president of financial planning and analysis. The complaint alleged that on February 2, 2000, an executive officer of CheckFree told Fitzgerald that CheckFree had agreed to merge with TransPoint, a joint venture of Microsoft Corporation, First Data Corporation, and Citibank, N.A. Between February 9, 2000, and February 15, 2000, Fitzgerald purchased a total of 5,857 shares of CheckFree stock on three separate days, including the day of the merger announcement, at an average price of $64.54 per share. On February 18, 2000, Fitzgerald sold 5,000 shares at an average price of $82.085 per share. In less than two weeks, Fitzgerald received a gain of $102,770.87 on an investment of $377,981.69. [SEC v. John Patrick Fitzgerald, USDC, NDGA, Civil Action No. 1:02-CV-489-JEC] (LR-17785) FORMER KEYSTONE BANK EMPLOYEES SETTLE SEC CHARGES OF INSIDER TRADING On October 15, the Commission filed a settled complaint in the United States District Court for the Southern District of West Virginia alleging that Lorene Ellen Turpin, a former Vice-President of First National Bank of Keystone (Keystone Bank), and Lora K. McKinney, a former proof machine operator at Keystone Bank, sold Keystone Bank stock while in possession of material nonpublic information about the adverse financial condition of Keystone Bank and improper activities conducted at the bank. According to the complaint, between June 18, 1999 and July 8, 1999, Turpin and McKinney each sold 1,050 Keystone Bank shares at $220 per share and thus each avoided losses of $231,000. Both defendants also tried to sell additional Keystone Bank stock but were unsuccessful. The Commission's complaint specifically alleges that at the time Turpin and McKinney sold their stock they knew that Keystone Bank had accepted millions of dollars in brokered deposits in violation of a directive from the Office of the Comptroller of the Currency (OCC) that prohibited Keystone Bank from accepting brokered deposits. Brokered deposits are deposits of money obtained by Keystone Bank through a broker for which the bank pays the broker a fee. Turpin and McKinney also believed that a senior Keystone Bank executive was stealing money from the bank and falsifying bank records to hide the transactions. By June 1999, based on the adverse material nonpublic information that Turpin and McKinney had about Keystone Bank, each knew that the bank was at risk of collapsing. On September 1, 1999, the OCC declared Keystone Bank to be insolvent, and appointed the Federal Deposit Insurance Corporation as receiver for the bank. The insolvency determination followed the OCC's discovery that the assets of Keystone Bank had been overstated by as much as $515 million. Simultaneously with the filing of the Commission's complaint, Turpin and McKinney, without admitting or denying the Commission's allegations, each consented to the entry of a final judgment permanently enjoining them from violating 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. Based upon their sworn representations in their Statements of Financial Condition, no penalties or disgorgement will be obtained from either defendant. The Commission would like to thank the United States Attorney's office for the Southern District of West Virginia, the Office of the Comptroller of the Currency, and the Federal Deposit Insurance Corporation for their cooperation in this investigation. [SEC v. Lorene Ellen Turpin and Lora K. McKinney, Civ. Action No. 1:02-1247, SD W.VA] (LR-17786) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission granted accelerated approval to a proposed rule change (SR-Amex-2002-82) filed by the American Stock Exchange to extend for an additional 90 days its pilot program relating to facilitation cross transactions. Publication of the order is expected in the Federal Register during the week of Oct. 14. (Rel. 34-46630) The Commission granted accelerated approval to a proposed rule change submitted by the International Securities Exchange (SR-ISE-2002-20) under Section 19(b)(2) of the Securities Exchange Act of 1934 relating to its Complex Order rule. Publication of the proposal is expected in the Federal Register during the week of Oct. 14. (Rel. 34-46646) The Commission granted accelerated approval to a proposed rule change submitted by the International Securities Exchange (SR-ISE-2002-21) under Rule 19b-4 of the Securities Exchange Act of 1934 relating to listing and maintenance standards. Publication of the proposal is expected in the Federal Register during the week of Oct. 14. (Rel. 34- 46647) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change and Amendment No. 1 thereto filed by the National Association of Securities Dealers (SR-NASD-2002-96) relating to computer- to-computer interface fees has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal in the Federal Register is expected during the week of Oct. 14. (Rel. 34-46632) A proposed rule change (SR-Amex-2002-74) filed by the American Stock Exchange extending the pilot program relating to crossing transactions in Nasdaq securities until March 31, 2003 has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice in the Federal Register is expected during the week of Oct. 14. (Rel. 34-46635) A proposed rule change filed by the Municipal Securities Rulemaking Board regarding the Municipal Fund Securities Limited Principal Qualification Examination (Series 51) and Rule G-3, on Professional Qualifications (SR-MSRB-2002-13) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of Oct. 14. (Rel. 34-46638) A proposed rule change filed by the Municipal Securities Rulemaking Board regarding the application of Rule G-19, on Suitability of Recommendations, to Online Communications (SR-MSRB-2002-11) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of Oct. 14. (Rel. 34-46639) A proposed rule change filed by the National Association of Securities Dealers to establish maximum execution fees and liquidity provider rebates for SuperMontage transactions in low-priced securities (SR-NASD- 2002-135) has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of Oct. 14. (Rel. 34- 46648) PROPOSED RULE CHANGES The Municipal Securities Rulemaking Board filed a proposed rule change (SR-MSRB-2002-10) related to Rule G-14, on Reports of Sales or Purchases. Publication of the proposed rule change is expected in the Federal Register during the week of Oct. 14. (Rel. 34-46636) The National Association of Securities Dealers, through its subsidiary, the Nasdaq Stock Market, Inc., filed a proposed rule change (SR-NASD- 2002-140) and Amendment No. 1 thereto under Rule 19b-4 of the Securities Exchange Act of 1934 relating to shareholder approval of stock option plans and other arrangements. Publication of the proposal is expected in the Federal Register during the week of Oct. 14. (Rel. 34-46649) DELISTING GRANTED An order has been issued granting the application of the American Stock Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting certain underlying securities, effective at the opening of business on Oct. 15, 2002. (Rel. 34-46656) 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-4 NABORS INDUSTRIES INC, 515 W GREEN RD STE 1200, HOUSTON, TX, 77067, 2818740035 - 0 ($275,000,000.00) Non-Convertible Debt, (File 333-100492 - Oct. 11) (BR. 04) S-4 NABORS HOLDINGS 1 ULC, 3000 500-4TH AVE SW, CALGARY, A0, T2P 2V6, 4032636777 - 0 ($225,000,000.00) Non-Convertible Debt, (File 333-100493 - Oct. 11) (BR. ) S-3 TEPPCO PARTNERS LP, 2929 ALLEN PKWY, PO BOX 2521, HOUSTON, TX, 77252-2521, 7137593636 - 0 ($774,397,350.00) Other, (File 333-100494 - Oct. 11) (BR. 04) S-8 US WEST HOMES INC, 410 BROADWAY, 2ND FLOOR, LAGUNA BEACH, CA, 92651, 9493768575 - 15,700,000 ($942,000.00) Equity, (File 333-100495 - Oct. 11) (BR. 08) S-8 PHOTOELECTRON CORP, 5 FORBES ROAD, LEXINGTON, MA, 02421, 6178612069 - 0 ($825,000.00) Equity, (File 333-100504 - Oct. 11) (BR. 36) S-8 SYNERGY TECHNOLOGIES CORP, 335 25TH ST. S.E., C/O SYNERGY TECHNOLOGIES CORP, CALGARY ALBERTA CA, A0, T2A 7H8, 4032692274 - 1,638,952 ($81,947.63) Equity, (File 333-100508 - Oct. 11) (BR. 04) S-4 MAIL WELL INC, 8310 S VALLEY HWY #400, ENGLEWOOD, CO, 80112, 3037908023 - 1 ($1.00) Non-Convertible Debt, (File 333-100509 - Oct. 11) (BR. 04) S-8 AVENTIS, 67917 STRASBOURG, CEDEX 9, STRASBOURG FRANCE, I0, 00000, 3314768123 - 200,000 ($10,716,000.00) Other, (File 333-100510 - Oct. 11) (BR. 02) S-8 SCHNITZER STEEL INDUSTRIES INC, 3200 NW YEON AVE, P O BOX 10047, PORTLAND, OR, 97210-0047, 5032249900 - 1,200,000 ($21,420,000.00) Equity, (File 333-100511 - Oct. 11) (BR. 02) S-3 HOUSEHOLD AUTO RECEIVABLES CORP, 2700 SANDERS ROAD, PROSPECT HEIGHTS, IL, 60070, 8475646141 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-100512 - Oct. 11) (BR. 05) S-1 SEAGATE TECHNOLOGY HOLDINGS, C/O SIMPSON THACHER & BARTLETT, 3330 HILLVIEW AVENUE, PALO ALTO, CA, 94304, 6502515000 - 0 ($1,000,000,000.00) Equity, (File 333-100513 - Oct. 11) (BR. ) S-8 EMULEX CORP /DE/, 3535 HARBOR BLVD, COSTA MESA, CA, 92626, 7146625600 - 0 ($6,390,000.00) Equity, (File 333-100514 - Oct. 11) (BR. 03) S-8 METROCORP BANCSHARES INC, 9600 BELLAIRE BLVD SUITE 152, HOUSTON, TX, 77036, 7137763876 - 0 ($5,875,000.00) Equity, (File 333-100515 - Oct. 11) (BR. 07) S-8 CITIZENS FIRST BANCORP INC, 525 WATER ST, PORT HURON, MI, 48060, 8109878300 - 0 ($449,750.00) Equity, (File 333-100516 - Oct. 11) (BR. 07) S-8 NEVADA GOLD & CASINOS INC, 3040 POST OAK BLVD, STE 675, HOUSTON, TX, 77056, 7136882211 - 0 ($9,958,000.00) Equity, (File 333-100517 - Oct. 11) (BR. 04) S-8 GENE CELL INC, 1010 HERCULES, HOUSTON, TX, 77058, 2814617996 - 425,000 ($66.94) Equity, (File 333-100518 - Oct. 11) (BR. 01) S-1 SL INDUSTRIES INC, 520 FELLOWSHIP ROAD, SUITE A114, MT LAUREL, NJ, 08054, 8567271500 - 0 ($5,000,000.00) Equity, (File 333-100519 - Oct. 11) (BR. 36) S-3 SEQUOIA MORTGAGE FUNDING CORP, 591 REDWOOD HWY, STE 3120, MILL VALLEY, CA, 94941, 4153811765 - 0 ($3,000,000,000.00) Asset-Backed Securities, (File 333-100520 - Oct. 11) (BR. 05) S-4 HMS HOLDINGS CORP, 401 PARK AVENUE SOUTH, NEW YORK, NY, 10016, 2126854545 - 0 ($74,139,750.00) Equity, (File 333-100521 - Oct. 11) (BR. ) S-8 KERZNER INTERNATIONAL LTD, ATLANTIS, CORAL TOWERS, EXECUTIVE OFFICES, PARADISE ISLAND, BAH, C5, NONE, 242-363-6000 - 0 ($10,000,000.00) Equity, (File 333-100522 - Oct. 11) (BR. 05) F-3 CREDIT SUISSE GROUP, 8070 SWITZERLAND, PO BOX A, ZURICH, V8, 00000, 0114772721616 - 0 ($2,000,000,000.00) Non-Convertible Debt, (File 333-100523 - Oct. 11) (BR. 07) S-11 CORPORATE PROPERTY ASSOCIATES 15 INC, 50 ROCKFELLOW PLAZA, SECOND FLOOR, NEW YORK, NY, 10020, 2124921100 - 0 ($600,000,000.00) Equity, (File 333-100525 - Oct. 11) (BR. 08) S-3 PROASSURANCE CORP, 100 BROOKWOOD PLACE, BIRMINGHAM, AL, 35209, 2058774400 - 0 ($51,562,500.00) Equity, (File 333-100526 - Oct. 11) (BR. 01) S-3 GENERAL ELECTRIC CAPITAL CORP, 260 LONG RIDGE RD, STAMFORD, CT, 06927, 2033574000 - 0 ($50,000,000,000.00) Unallocated (Universal) Shelf, (File 333-100527 - Oct. 11) (BR. 07) 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. 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 DATE COMMENT ------------------------------------------------------------------------------------ ACADIANA BANCSHARES INC /LA X X 09/22/02 ACCENTURE LTD X X 10/10/02 ACCENTURE SCA X X 10/10/02 ACTIVISION INC /NY DE X X 10/11/02 ADVANCED TISSUE SCIENCES INC DE X X 10/10/02 AMERICA WEST HOLDINGS CORP DE X X 09/30/02 AMERICAN CRYSTAL SUGAR CO /MN/ MN X X X 10/10/02 AMERICAN SKIING CO /ME DE X 10/11/02 ANGELO & MAXIES INC DE X 07/30/02 AMEND ASSET BACKED SECURITIES CORP DE X X 10/15/02 ATCHISON CASTING CORP KS X X 10/10/02 AVALON CORRECTIONAL SERVICES INC NV X 10/11/02 BANKATLANTIC BANCORP INC FL X 10/11/02 BANYAN STRATEGIC REALTY TRUST MA X X 10/10/02 BB&T CORP NC X 10/11/02 BED BATH & BEYOND INC NY X X 10/11/02 BENCHMARK ELECTRONICS INC TX X 07/29/02 AMEND BIO TECHNOLOGY GENERAL CORP DE X X 10/04/02 BLACKROCK INC /NY DE X X 10/11/02 BOOTH CREEK SKI HOLDINGS INC DE X 10/08/02 CAMPBELL SOUP CO NJ X X 10/11/02 CATERPILLAR INC DE X 10/10/02 CENTERPOINT ENERGY HOUSTON ELECTRIC L TX X X 10/11/02 CENTERPOINT ENERGY INC X X 10/11/02 CENTRAL VERMONT PUBLIC SERVICE CORP VT X 10/07/02 CHASE FUNDING INC NY X X 09/25/02 CHASE MORTGAGE FINANCE CORP DE X X 09/25/02 CHILDTIME LEARNING CENTERS INC MI X X 10/11/02 CISCO SYSTEMS INC CA X X 10/10/02 CLICKACTION INC DE X 10/12/02 COMBINED PROFESSIONAL SERVICES INC NV X X 10/07/02 AMEND COMMERCIAL MORTGAGE PASS THROUGH CERT DE X X 09/26/02 COMMUNITY BANCORP /VT VT X 10/08/02 COMMUNITY BANCSHARES INC /DE/ DE X 10/11/02 CONCUR TECHNOLOGIES INC WA X X 07/31/02 AMEND CONTOUR ENERGY CO DE X X 10/11/02 CORNERSTONE REALTY FUND LLC CA X X 09/27/02 CORPORATE ASSET BACKED CORP DE X 10/01/02 CRIIMI MAE FINANCIAL CORP MD X 10/01/02 CROWN CASTLE INTERNATIONAL CORP DE X 10/11/02 CSB BANCORP INC /OH OH X X 10/11/02 CSFB MORT SEC CORP HOME EQUITY MORT T DE X 09/26/02 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 09/20/02 CWABS INC DE X X 09/27/02 CWABS INC DE X X 10/11/02 DALEEN TECHNOLOGIES INC DE X X 10/07/02 DIGEX INC/DE DE X X 10/10/02 DIOMED HOLDINGS INC NV X X 10/11/02 DORAL FINANCIAL CORP PR X X 10/10/02 DUSA PHARMACEUTICALS INC NJ X X 09/27/02 ELECTRIC FUEL CORP DE X 08/02/02 AMEND ELITE PHARMACEUTICALS INC /DE/ DE X 10/11/02 ENDWAVE CORP DE X X 09/24/02 ENTRADA NETWORKS INC DE X 10/10/02 AMEND EPICEDGE INC TX X X 10/07/02 EQUITY ONE ABS INC DE X X 10/09/02 EXELON CORP PA X 10/10/02 EXPEDIA INC WA X X 10/10/02 FIRST FEDERAL FINANCIAL BANCORP INC DE X X 10/04/02 FIRST INDIANA CORP IN X X 08/08/02 AMEND FIRST STATE BANCORPORATION NM X X 10/01/02 FORD CREDIT AUTO RECEIVABLES TWO LLC DE X X 09/30/02 GAP INC DE X X 10/11/02 GENESEE & WYOMING INC DE X X 10/11/02 GMX RESOURCES INC OK X X 09/26/02 GS MORTGAGE SECURITIES CORP DE X X 10/09/02 GS MORTGAGE SECURITIES CORP DE X X 10/09/02 GS MORTGAGE SECURITIES CORP GSMPS MOR DE X X 09/26/02 GULFMARK OFFSHORE INC DE X 10/11/02 HARTLAND INVESTMENTS INC DE X X X 09/26/02 INDIGINET INC/FL FL X 09/30/02 INTEGRATED TELECOM EXPRESS INC/ CA X X 10/08/02 INTERCEPT GROUP INC GA X X 10/03/02 INTERNATIONAL TRAVEL CD S INC CO X X 10/02/02 INTERSTATE HOTELS & RESORTS INC DE X 07/31/02 AMEND KANSAS CITY SOUTHERN DE X X 10/11/02 KEYCORP STUDENT LOAN TRUST 2002-A OH X 10/11/02 KINDRED HEALTHCARE INC DE X X 10/10/02 KROGER CO OH X 10/11/02 LB UBS COM MOR TR 2001 C2 COM MOR PAS DE X 11/01/01 AMEND LUCENT TECHNOLOGIES INC DE X X 10/11/02 LUMALITE HOLDINGS INC NV X X 05/13/02 AMEND MARVELL TECHNOLOGY GROUP LTD D0 X X 10/11/02 MEDIX RESOURCES INC CO X 10/09/02 MERRILL LYNCH DEPOSITOR INC PREFERRED DE X X 10/02/02 METAWAVE COMMUNICATIONS CORP DE X 10/11/02 METROCALL INC DE X X 09/26/02 MGP INGREDIENTS INC KS X X 10/10/02 MICHIGAN COMMUNITY BANCORP LTD MI X X 10/08/02 MICROFINANCIAL INC MA X 10/11/02 MID AMERICA APARTMENT COMMUNITIES INC TN X X 10/10/02 MID AMERICA APARTMENT COMMUNITIES INC TN X 10/11/02 MID AMERICA APARTMENT COMMUNITIES INC TN X X 10/10/02 AMEND NABORS INDUSTRIES LTD X X 10/04/02 NAVISTAR INTERNATIONAL CORP DE X 10/11/02 NETRO CORP CA X 10/07/02 NORTEK INC DE X 10/11/02 NORTEL NETWORKS CORP X X 10/11/02 NORTEL NETWORKS LTD X X 10/11/02 NOVEX SYSTEMS INTERNATIONAL INC NY X 10/09/02 AMEND OAK HILL FINANCIAL INC OH X 10/11/02 OGE ENERGY CORP OK X 10/11/02 OHIO VALLEY BANC CORP OH X 09/30/02 OKLAHOMA GAS & ELECTRIC CO OK X 10/11/02 ONYX ACCEPTANCE FINANCIAL CORP DE X X 10/10/02 ONYX ACCEPTANCE FINANCIAL CORP DE X X 10/10/02 OUTSOURCING SERVICES GROUP INC DE X 10/11/02 PHAR MOR INC PA X 10/11/02 PHONE1GLOBALWIDE INC DE X X 09/30/02 PIER 1 IMPORTS INC/DE DE X X 10/10/02 PNM RESOURCES NM X X 10/11/02 PORTLAND GENERAL ELECTRIC CO /OR/ OR X X 10/10/02 PROASSURANCE CORP DE X X 10/11/02 PUBLIC SERVICE ELECTRIC & GAS CO NJ X X 10/11/02 QUEPASA COM INC NV X 10/02/02 REGIONS FINANCIAL CORP DE X X 10/10/02 RELIANT RESOURCES INC DE X X 09/30/02 RENT WAY INC PA X 10/11/02 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 10/11/02 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 10/11/02 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 10/11/02 RHOMBIC CORP NV X X 09/26/02 ROBOCOM SYSTEMS INTERNATIONAL INC NY X X 10/11/02 ROCKY SHOES & BOOTS INC OH X X 09/30/02 ROYAL PRECISION INC DE X X 10/11/02 RWD TECHNOLOGIES INC MD X X 10/10/02 SCANA CORP SC X X 10/09/02 SCANNER TECHNOLOGIES CORP NM X 07/31/02 AMEND SCIQUEST INC DE X X 10/11/02 SCOTSMAN HOLDINGS INC DE X X 10/11/02 SEQUOIA RESIDENTIAL FUNDING INC X 10/09/02 SEQUOIA RESIDENTIAL FUNDING INC X X 09/26/02 SONEX RESEARCH INC MD X 10/10/02 SONEX RESEARCH INC MD X 10/09/02 SOUTHWEST BANCORP OF TEXAS INC TX X X 10/09/02 STARWOOD HOTEL & RESORTS WORLDWIDE IN MD X X 10/09/02 STATEN ISLAND BANCORP INC DE X X 10/09/02 STERLING BANCORP NY X X 10/10/02 STRUCTURED ASSET SEC CORP COMM MORT P DE X 05/01/01 AMEND STRUCTURED ASSET SEC CORP COMM MORT P DE X 07/01/01 AMEND STRUCTURED ASSET SECURITIES CO MOR PA DE X 09/27/02 SUNBEAM CORP/FL/ DE X 10/04/02 SYNERGY FINANCIAL GROUP INC X X 10/11/02 TALK AMERICA DE X 10/04/02 TARANTELLA INC CA X X 10/10/02 TARGETED GENETICS CORP /WA/ WA 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