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SEC NEWS DIGEST
Issue 2007-161 August 21, 2007
COMMISSION ANNOUNCEMENTS
MUTUAL FUNDS BEGIN PROVIDING RISK-RETURN INFORMATION USING INTERACTIVE
DATA
Retail Investors May Soon Have 'Rich New Source of Investing
Information'
Securities and Exchange Commission Chairman Christopher Cox today
announced that several mutual funds have begun providing risk/return
information using interactive data, a significant step in the
Commission's ongoing efforts to make financial data more useful and
understandable for investors.
"Millions of retail investors rely on mutual funds to finance their
retirement, health care, education, and other financial needs, so
shopping for the right fund shouldn't be a needlessly time-consuming
and frustrating exercise," said Chairman Cox. "When most mutual funds
provide their risk/return summary information using dynamic data
that's searchable and comparable on the Web, investors will be able to
comparison shop among thousands of funds at the click of a mouse. This
is a potentially rich new source of investing information for retail
investors who need it most."
"We commend the mutual funds that have demonstrated their commitment
to investors by leading the way to interactive data," Chairman Cox
added.
The Commission voted unanimously on June 20, 2007, to adopt final rule
amendments that enable mutual funds to submit risk/return summary
information from their prospectuses using interactive data. The
risk/return summary at the front of every mutual fund prospectus
includes information about a fund's investment objectives and
strategies, risks, costs, and historical performance.
All of the new, interactive mutual fund data will be made available to
the public on the SEC's online database, named EDGAR, and to
subscribers of EDGAR's high-speed data dissemination service. The
Commission will monitor how the data can be used to help inform mutual
fund investors and will consider whether further steps are necessary
to increase accessibility.
Interactive data is powered by XBRL, a computer software language that
labels companies' financial and other data with codes from standard
lists so that investors and analysts can more easily locate and
analyze desired information. The SEC commenced its XBRL Voluntary
Financial Reporting Program in April 2005, allowing public companies
to voluntarily submit interactive data documents as exhibits to
periodic reports and other filings.
Among the first mutual fund filers to participate in the expanded
voluntary program are the Allegiant Advantage Fund, American Funds'
Europacific Growth Fund, Muhlenkamp Fund, and Vanguard 500 Index Fund.
The SEC encourages additional filers to participate. (Press Rel. 2007-
167)
DISCUSSION PAPER FOR CONSIDERATION BY THE SEC ADVISORY COMMITTEE ON
IMPROVEMENTS TO FINANCIAL REPORTING
The SEC Advisory Committee on Improvements to Financial Reporting is
soliciting public comment on a discussion paper prepared by the
Committee Chairman, Robert Pozen. The discussion paper provides a
working outline, including a discussion of issues, views and potential
consideration points, that the Committee may evaluate. The discussion
paper is expected to be published in the Federal Register during the
week of August 20, 2007. (Rel. 33-8836; 34-56293; File No. 265-24)
ENFORCEMENT PROCEEDINGS
SEC v. 2DOTRADE, INC., ET AL.
On June 4, 2007, Judge David Godbey of the U.S. District Court for the
Northern District of Texas ordered Defendants George R. Taylor and
Dominic Roelandt to disgorge $25,000 and $449,000, respectively, and
pay a civil penalty of $120,000 each. In its complaint, the Commission
alleged that Taylor, Roelandt and others had engaged in a fraudulent
"pump and dump" scheme designed to manipulate the stock price of
2DoTrade, Inc. Previously, the Court enjoined Taylor from future
violations of Section 17(a) of the Securities Act of 1933, Section
10(b) of the Securities Exchange Act of 1934 and Rule 10b-5
thereunder, and aiding and abetting violations of Section 13(a) of the
Exchange Act and Rules 12b-20 and 13a-11 thereunder. Roelandt was
enjoined from future violations of Sections 5(a), 5(c) and 17(a) of
the Securities Act, Sections 10(b), 13(d) and 16(a) of the Exchange
Act and Rules 10b-5, 13d-1, 16a-2 and 16a-3 thereunder. Taylor and
Roelandt were also barred from participating in an offering of penny
stock and from serving as an officer or director of any publicly
traded company.
Upon motion by the Commission, the Court dismissed the pending claims
against Clinton Walker, who was previously acquitted in a related
criminal proceeding involving the sale of 2DoTrade securities.
[Litigation Release No. 18510 (Dec. 18, 2003), Litigation Release No.
18381 (Sept. 30, 2003), and Litigation Release No. 19635 (March 31,
2006)]. [SEC v. 2DoTrade, Inc. et al., Civ. No. 03-CV-2246 (N. D.
Tex.)] ((LR-20248)
SEC CHARGES SENTINEL MANAGEMENT GROUP INC. WITH FRAUD FOR
MISAPPROPRIATING, COMMINGLING AND LEVERAGINH CLIENT ASSETS
On August 20, the Commission filed an emergency action against
Sentinel Management Group, Inc. (Sentinel), an investment adviser
located in Northbrook, Illinois, seeking to halt Sentinel's improper
commingling, misappropriating and leveraging client securities without
client consent in violation of Section 206 of the Investment Adviser
Act of 1940.
The Commission's complaint alleges that, for a period of at least
several months up to and including the week of August 13, 2007,
Sentinel's advisory clients suffered undisclosed losses and risks of
losses as a result of several unauthorized practices engaged in by
Sentinel. These include:
* Pledging securities owned by clients as collateral in order to
obtain a line of credit as high as $500 million for Sentinel;
* Placing at least $460 million of client securities properly
belonging in segregated customer accounts in Sentinel's house
proprietary account;
* Commingling client assets without the ability to verify ownership
of particular securities by particular clients; and
* Providing false client account statements that did not accurately
reflect client portfolio holdings or the fact that securities had
been encumbered by Sentinel.
The Court entered an order requiring Sentinel to provide a full
accounting of client assets and Sentinel's assets and liabilities
within five (5) days. In addition, the Court ordered Sentinel to
immediately produce certain brokerage and bank documents in order to
begin the process of determining client portfolio holdings and
ownership of securities.
The Commission's complaint also seeks a permanent injunction,
disgorgement and civil penalties against Sentinel. [SEC v. Sentinel
Management Group, Inc., Civil Action No. 07 C 4684 (N.D. IL)] (LR-
20249)
IN THE MATTER OF JOHN M. FIFE
On August 21, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 203(f) of the
Investment Advisers Act of 1940, Making Findings, and Imposing
Remedial Sanctions (Order) against John M. Fife (Fife). The Order
finds that Fife was the principal and sole member of Clarion
Management, LLC (Clarion Management). Clarion Management was the
unregistered investment adviser for Clarion Capital, LP (Clarion
Capital), a hedge fund formed exclusively for the purpose of market
timing through variable annuities. Fife, age 46, is a resident of
Chicago, Illinois.
On Aug. 9, 2007, a final judgment was entered by consent against Fife
permanently enjoining him from future violations of Section 10(b) of
the Securities Exchange Act of 1934 and Rule 10b-5 thereunder in the
civil injunctive action entitled Securities and Exchange Commission v.
John M. Fife, et al., No. 07-CV-0347, in the U.S. District Court for
the Northern District of Illinois. The Commission's complaint filed in
the civil injunctive action alleged that in 2002 and 2003, Fife and
Clarion Management engaged in a fraudulent scheme to purchase variable
annuity contracts issued by the Lincoln National Life Insurance
Company (Lincoln) in order to engage in market timing in international
mutual funds for the benefit of Clarion Capital.
Based on the above, the Order bars Fife from association with any
investment adviser, with the right to reapply for association after 18
months. Fife consented to the issuance of the Order without admitting
or denying any of the findings. [SEC v. John M. Fife and Clarion
Management, LLC, Civil Action No. 07-CV-347 (N.D. Ill.)] ((LR-20250);
(Rel. IA-2636; File No. 3-12731)
IN THE MATTER OF JOHN HUNTING WHITTIER
On August 21, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 203(f) of the
Investment Advisers Act of 1940, Making Findings, and Imposing
Remedial Sanctions (Order) against John Hunting Whittier. The Order
finds that on August 6, 2007, a final judgment was entered by consent
against Whittier, a former hedge fund manager, permanently enjoining
him from future violations of Section 17(a) of the Securities Act of
1933, Sections 10(b), 13(d) and 16(a) of the Securities Exchange Act
of 1934 and Rules 10b-5, 13d-1, 13d-2, 16a-2 and 16a-3 thereunder, and
Sections 206(1) and 206(2) of the Investment Advisers Act, in the
civil action entitled SEC v. Wood River Capital Management, et al.,
Civil Action Number 05-CV-8713, in the United States District Court
for the Southern District of New York.
Based on the above, the Order bars Whittier from association with any
investment adviser. Whittier consented to the issuance of the Order
without admitting or denying any of the findings in the Order. (Rel.
IA-2637; File No. 3-12732)
IN THE MATTER OF SCOTT HALPERIN
On August 21, the Commission accepted the settlement offer made by
Scott Halperin (Halperin), a respondent in previously instituted
proceeding brought by the Commission. Respondent Halperin was The
Classica Group, Inc.'s (Classica) former chief executive officer and
chairman, and Marx Toys & Entertainment Corp.'s (MRXT) former
chairman. The Commission found that in or around August 2003, Halperin
caused Classica and MRXT to issue Classica and MRXT stock registered
pursuant to Form S-8 registration statements filed with the Commission
to Rubin Investment Group (RIG), an investment bank, in exchange for
RIG's efforts to improperly promote and manipulate the two companies'
stock.
The Commission's order finds that, among other things, despite the
terms of MRXT's and Classica's Form S-8 registration statements filed
with the Commission, and the requirements of Commission Form S-8,
Halperin, knew that RIG was a corporate entity, not a natural person,
and therefore RIG was barred from receiving Form S-8 shares; that RIG
did not intend to provide bona fide services to Classica or MRXT; and
that RIG and others engaged in efforts both to promote MRXT and
Classica to potential investors and to raise capital for the issuers
in exchange for the discounted Form S-8 shares RIG received. Halperin
also knew that RIG and others engaged in efforts to artificially
inflate the price of Classica's and MRXT's stock in exchange for the
Form S-8 shares, and that the Form S-8 registration statements
contained or incorporated by reference materially false or misleading
statements and omissions which concealed the true nature of RIG's
mission and the attendant compensation.
In accordance with his settlement offer, the Commission ordered that
Halperin: (i) cease and desist from committing or causing violations
and any future violations of the relevant antifraud provisions; (ii)
be barred from serving as an officer or director of a public company
and from participating in any offering of a penny stock. Halperin
consented to the issuance of the order without admitting or denying
the Commission's findings. (Rels. 33-8837; 34-56296; File No. 3-11293)
INVESTMENT COMPANY ACT RELEASES
HEALTHSHARES, INC., ET AL.
An order has been issued on an application filed by HealthShares,
Inc., et al. The order amends a prior order that permits: (a) open-end
management investment companies, whose series are based on certain
equity securities indices, to issue shares redeemable only in large
aggregations; (b) secondary market transactions in the shares of the
series to occur at negotiated prices; (c) dealers to sell shares to
purchasers in the secondary market unaccompanied by a prospectus when
prospectus delivery is not required by the Securities Act of 1933; and
(d) certain affiliated persons of the series to deposit securities
into, and receive securities from, the series in connection with the
purchase and redemption of aggregations of the series' shares. The
amended order permits open-end management investment companies to
offer additional series that hold equity and fixed income securities
and provides that certain representations and undertakings contained
in the prior order shall not apply to a series where an entity that
creates, compiles, sponsors, or maintains an underlying index is not
an affiliated person, or an affiliated person of an affiliated person,
of the series, its investment adviser, distributor, promoter, or any
sub-adviser to the series. In addition, the amended order deletes a
condition related to future relief in the prior order. (Rel. IC-27930
- August 20)
AMERICAN INTERNATIONAL GROUP, INC., ET AL.
The Commission has issued a temporary order to American International
Group, Inc., et al., under Section 9(c) of the Investment Company Act.
The temporary order exempts applicants and any other company of which
American International Group, Inc., is or becomes an affiliated person
from Section 9(a) of the Act with respect to a securities-related
injunction entered by the U.S. District Court for the Southern
District of New York on Feb. 17, 2006, until the Commission takes
final action on the application for a permanent order. A notice has
been issued giving interested persons until Sept. 14, 2007, to request
a hearing on the application filed by applicants for a permanent order
under Section 9(c) of the Act. (Rel. IC-27931 - August 20)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-Phlx-2007-57) filed by Philadelphia Stock
Exchange relating to trading sessions on XLE 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
August 20. (Rel. 34-56272)
The Commission issued a notice of immediate effectiveness of a
proposed rule change and Amendments No. 1 and 2 thereto (SR-Phlx-2007-
54) filed by Philadelphia Stock Exchange relating to Market Access
Providers. Publication is expected in the Federal Register during the
week of August 20. (Rel. 34-56274)
A proposed rule change (SR-Amex-2007-072) filed by the American Stock
Exchange relating to amendments to certain rules in light of
amendments to Rule 10a-1 under the Securities Exchange Act of 1934 and
Regulation SHO has become effective under Section 19(b)(3)(A).
Publication is expected in the Federal Register during the week of
August 20. (Rel. 34-56278)
A proposed rule change (SR-NASD-2007-047) filed by the National
Association of Securities Dealers (n/k/a Financial Industry Regulatory
Authority, Inc.) relating to amendments to certain rules in light of
amendments to Rule 10a-1 under the Securities Exchange Act of 1934 and
Regulation SHO has become effective under Section 19(b)(3)(A).
Publication is expected in the Federal Register during the week of
August 20. (Rel. 34-56279)
A proposed rule change (SR-NASD-2007-049) filed by the National
Association of Securities Dealers, n/k/a Financial Industry Regulatory
Authority, Inc. (FINRA) to allow member firms to increase the number
of officers responsible for annual certification of compliance and
supervisory processes 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 August 20. (Rel. 34-56285)
PROPOSED RULE CHANGES
A proposed rule change (SR-NYSEArca-2007-88) has been filed by NYSE
Arca relating to NYSE Arca Rule 6.72 and the Penny Pilot for options
trading under Section 19(b)(2) of the Securities Exchange Act of 1934.
Publication is expected in the Federal Register during the week of
August 20. (Rel. 34-56280)
The Chicago Stock Exchange filed a proposed rule change (SR-CHX-2007-
16) as modified by Amendment No. 1 thereto pursuant to Section
19(b)(1) of the Securities Exchange Act of 1934 to amend its bylaws to
prevent exchange director from participating in the determination of
any matter involving an issuer of a security listed or to be listed on
the exchange if the director is a director, officer, or employee of
the issuer. Publication is expected in the Federal Register during the
week of August 20. (Rel. 34-56281)
A proposed rule change has been filed by the Philadelphia Stock
Exchange (SR-Phlx-2007-62) relating to the extension and expansion of
a Pilot Program to quote and trade certain option series in increments
of $0.01 under Section 19(b)(2) of the Securities Exchange Act of
1934. Publication is expected in the Federal Register during the week
of August 20. (Rel. 34-56284)
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>.
S-1 CHINA AGRITECH INC, 20 DALIAN ROAD, PINGFANG DEVELOPMENT ZONE, HARBIN,
F4, 150060, 8645186812728 - 0 ($30,171,271.43) Equity,
(File 333-145562 - Aug. 20) (BR. 09A)
S-1 ORION ENERGY SYSTEMS, INC., 1204 PILGRIM ROAD, PLYMOUTH, WI, 53073,
800-660-9340 - 0 ($100,000,000.00) Equity, (File 333-145569 - Aug. 20)
(BR. 10)
S-8 Smooth Global (China) Holdings, Inc., ROOM 608, +17 ANYUAN ROAD,
CHAOYANG DISTRICT, BEIJING, F4, 100029, 86-10-6498-7788 -
3,680,000 ($404,800.00) Equity, (File 333-145571 - Aug. 20) (BR. 04C)
S-3ASR STARBUCKS CORP, P O BOX 34067, SEATTLE, WA, 98124-1067, 2064471575 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-145572 - Aug. 20)
(BR. 05C)
S-8 Real Paper Displays Inc, 4040 macarther blvd STE 240, NEWPROT BEACH,
CA, 92660, 0 ($500,000.00) Equity, (File 333-145573 - Aug. 20) (BR. 06)
F-6 ICA CORP, MINERIA NO 145 EDIFICIO CENTRAL, 11800 MEXICO D F MEX, O5,
00000, 2124800111 - 100,000,000 ($5,000,000.00) ADRs/ADSs,
(File 333-145575 - Aug. 20) (BR. 06B)
S-8 eFuture Information Technology Inc., BLOCK A BUILDING NO. 10,
NO. 1 DISHENG NORTH STREET, BDA, BEIJING, F4, 100176, 01051650998 -
0 ($2,800,971.00) Equity, (File 333-145576 - Aug. 20) (BR. 03B)
S-8 INTRICON CORP, 1260 RED FOX ROAD, ARDEN HILLS, MN, 55112, 6516369770 -
100,000 ($957,500.00) Equity, (File 333-145577 - Aug. 20) (BR. 10B)
S-8 GLOBAL PARTNERS LP, P.O. BOX 9161, 800 SOUTH STREET, WALTHAM, MA,
02454, (781) 894-8800 - 0 ($15,381,237.00) Equity, (File 333-145579 -
Aug. 20) (BR. 04C)
S-3 LOCAL.COM, ONE TECHNOLOGY DRIVE, BUILDING G, IRVINE, CA, 92618,
(949) 784-0800 - 3,393,936 ($16,732,104.48) Equity, (File 333-145580 -
Aug. 20) (BR. 08C)
S-8 GATX CORP, 500 W MONROE ST, CHICAGO, IL, 60661, 3126216200 -
0 ($114,922,500.00) Equity, (File 333-145581 - Aug. 20) (BR. 05B)
S-3 AMEDISYS INC, 5959 S SHERWOOD FOREST BLVD, BATON ROUGE, LA, 70816,
2252922031 - 0 ($250,000,000.00) Equity, (File 333-145582 - Aug. 20)
(BR. 01C)
S-8 GATX CORP, 500 W MONROE ST, CHICAGO, IL, 60661, 3126216200 -
0 ($4,179,000.00) Equity, (File 333-145583 - Aug. 20) (BR. 05B)
S-1 BIOFORM MEDICAL INC, 1875S GRANT ST, SUITE 110, SAN MATEO, CA, 94402,
650-286-4000 - 0 ($115,000,000.00) Equity, (File 333-145584 - Aug. 20)
(BR. )
S-3ASR MAX CAPITAL GROUP LTD., MAX RE HOUSE, 2 FRONT STREET, HAMILTON HM11,
D0, HM 11, 4412968800 - 0 ($0.00) Other, (File 333-145585 - Aug. 20)
(BR. 01B)
S-3 CLINICAL DATA INC, ONE GATEWAY CENTER, SUITE 702, NEWTON, MA, 02458,
6175279933 - 0 ($1,669,509.50) Equity, (File 333-145586 - Aug. 20)
(BR. 10A)
S-3 Basin Water, Inc., 8731 PRESTIGE COURT, RANCHO CUCAMONGA, CA, 91730,
(909) 481-6800 - 0 ($27,448,105.52) Equity, (File 333-145587 - Aug. 20)
(BR. 02)
S-1 Orion Marine Group Inc, 12550 Fuqua, Houston, TX, 77034, 713-852-6500 -
20,949,196 ($282,814,146.00) Equity, (File 333-145588 - Aug. 20) (BR. )
S-8 EXTERRAN HOLDINGS INC., 1209 ORANGE STREET, WILMINGTON, DE, 19801,
713-335-7000 - 5,500,000 ($391,545,000.00) Equity, (File 333-145589 -
Aug. 20) (BR. 06B)
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
-------------------------------------------------------------------------------------------------------
ACCURIDE CORP DE 5.02,9.01 08/15/07
ACE Securities Corp. Home Equity Loan DE 9.01 08/20/07
ACE Securities Corp. Home Equity Loan DE 9.01 08/20/07
ADAPTEC INC DE 5.02 08/14/07
ADVANCED CELL TECHNOLOGY, INC. DE 8.01,9.01 08/20/07
ADVANCED CELL TECHNOLOGY, INC. DE 1.01 08/14/07
ADVENT SOFTWARE INC /DE/ DE 5.02 08/14/07
AIR INDUSTRIES GROUP, INC. DE 2.02,7.01 08/19/07
ALDILA INC DE 7.01,8.01,9.01 08/20/07
ALTAIR NANOTECHNOLOGIES INC A6 1.01,9.01 08/17/07
Alternative Loan Trust 2007-23CB DE 8.01,9.01 07/30/07
ALTIGEN COMMUNICATIONS INC 3.01,9.01 08/20/07
AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 1.01,9.01 08/14/07
AMERICAN REALTY INVESTORS INC NV 2.02,9.01 08/15/07
AMIS HOLDINGS INC 5.02,9.01 08/15/07
ARCHSTONE SMITH OPERATING TRUST 8.01,9.01 08/17/07
ARCHSTONE SMITH TRUST MD 8.01,9.01 08/17/07
ARROW ELECTRONICS INC NY 8.01,9.01 08/16/07
ASSET ACCEPTANCE CAPITAL CORP 5.02,9.01 08/07/07
ASSISTED LIVING CONCEPTS INC NV 8.01,9.01 08/20/07
ATLAS MINING CO ID 5.02 08/20/07
AVATAR HOLDINGS INC DE 2.03,9.01 08/14/07
BALLY TOTAL FITNESS HOLDING CORP DE 1.01,9.01 08/17/07
BEA SYSTEMS INC DE 3.01,9.01 08/17/07
BEAR STEARNS DEPOSITOR INC TRUST CERT 8.01,9.01 08/08/07
BERKLEY W R CORP DE 8.01 08/20/07
BFC FINANCIAL CORP FL 7.01 08/17/07
BIOPACK ENVIRONMENTAL SOLUTIONS INC. NV 1.01,3.02,5.02,8.01,9.01 08/20/07
BLYTH INC DE 5.02 08/15/07
BRINKER INTERNATIONAL INC DE 5.02 08/20/07
BUCKEYE TECHNOLOGIES INC DE 7.01,8.01,9.01 08/17/07
CALLWAVE INC 5.02,9.01 08/20/07
CANYON COPPER CORP. 3.02 06/29/07
CAPITAL ONE FINANCIAL CORP DE 2.05,8.01,9.01 08/20/07
CAPTECH FINANCIAL GROUP, INC FL 5.02,9.01 08/15/07
CAREER EDUCATION CORP DE 8.01,9.01 08/17/07
CATUITY INC DE 3.01,8.01 08/16/07
CBRE Realty Finance Inc 5.02,9.01 08/17/07
CEPHEID CA 1.01 08/15/07
CHECKFREE CORP \GA\ DE 5.02,9.01 08/14/07
CHINAWE COM INC CA 1.01,9.01 07/01/07
CITIZENS BANCORP OF VIRGINIA INC VA 8.01,9.01 08/20/07
CLEVELAND CLIFFS INC OH 1.01,1.02,2.03,8.01,9.01 08/17/07
CME GROUP INC. DE 1.01,2.03,9.01 08/16/07
CNX Gas CORP DE 5.03,9.01 08/16/07
COLONIAL COMMERCIAL CORP NY 2.02,9.01 08/14/07
COMPOSITE TECHNOLOGY CORP NV 3.02 08/20/07
COMVERSE TECHNOLOGY INC/NY/ NY 8.01 08/14/07
CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 2.01,9.01 08/16/07
CYANOTECH CORP NV 3.01,8.01 08/15/07
DATAJUNGLE SOFTWARE INC NV 1.01,3.02,5.02 08/14/07
DentalServ.com NV 1.01,3.02,3.03,5.01,5.02,5.03, 08/17/07
5.06,9.01
DEWEY ELECTRONICS CORP NY 8.01,9.01 08/20/07
DOMINION RESOURCES BLACK WARRIOR TRUS DE 2.02,9.01 08/20/07
DORAL FINANCIAL CORP PR 3.03,8.01,9.01 08/17/07
EAGLE ROCK ENERGY PARTNERS L P DE 7.01,9.01 08/20/07
EAST WEST BANCORP INC 3.02,8.01 08/17/07
ECOSPHERE TECHNOLOGIES INC FL 4.01,9.01 08/17/07
EFUNDS CORP DE 1.01,9.01 08/15/07
EMISPHERE TECHNOLOGIES INC DE 1.01,8.01,9.01 08/16/07
ENERGYSOUTH INC AL 1.01,9.01 08/14/07
ENPRO INDUSTRIES, INC NC 5.02,9.01 08/17/07
ENZON PHARMACEUTICALS INC DE 1.01,2.01,9.01 08/19/07
ES Bancshares, Inc. MD 8.01,9.01 08/20/07
EV Energy Partners, LP DE 2.02,9.01 08/14/07
EVERLAST WORLDWIDE INC DE 8.01,9.01 08/17/07
EXELON CORP PA 7.01,9.01 08/20/07
FAIRPOINT COMMUNICATIONS INC DE 8.01,9.01 08/20/07
FFD FINANCIAL CORP/OH OH 2.02,9.01 08/17/07
FIRST CHARTER CORP /NC/ NC 1.01,3.03,8.01,9.01 08/15/07
FIRST MARBLEHEAD CORP 5.02,9.01 08/14/07
FIRST MIDWEST BANCORP INC DE 5.03,9.01 08/15/07
FIRSTENERGY CORP OH 7.01,9.01 08/20/07
FORTUNE INDUSTRIES, INC. DE 5.02 08/15/07
FORTUNE INDUSTRIES, INC. DE 8.01 08/17/07
FPIC INSURANCE GROUP INC FL 5.04,9.01 08/20/07
FRANKLIN BANK CORP 7.01,9.01 08/20/07
Fuel Systems Solutions, Inc. DE 3.01,9.01 08/13/07
GCO Education Loan Funding Trust-I DE 8.01,9.01 08/15/07
GENCO SHIPPING & TRADING LTD 2.01,9.01 08/17/07
GENERAL STEEL HOLDINGS INC NV 2.02,9.01 08/20/07
GENUINE PARTS CO GA 5.02,5.03,8.01,9.01 08/20/07
GLOBAL ENTERTAINMENT HOLDINGS/EQUITIE CO 5.02 08/15/07
GLOBAL PARTNERS LP 1.01,5.02,9.01 08/14/07
GMAC LLC DE 5.02,9.01 08/20/07
GOLFSMITH INTERNATIONAL HOLDINGS INC DE 5.02 08/20/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 07/31/07
GROUP 1 AUTOMOTIVE INC DE 8.01,9.01 08/16/07
GS CARBON CORP DE 5.03,9.01 08/16/07
GULF RESOURCES, INC. DE 2.02,7.01,9.01 08/15/07
H&E Equipment Services, Inc. DE 7.01 08/20/07
HANCOCK FABRICS INC DE 7.01,8.01,9.01 08/20/07
HANDHELD ENTERTAINMENT, INC. DE 2.03,8.01,9.01 08/14/07
Harbor Acquisition Corp. DE 8.01,9.01 08/20/07
HARMAN INTERNATIONAL INDUSTRIES INC / DE 5.02 06/30/07
Harris Stratex Networks, Inc. DE 1.01,5.03,7.01,9.01 08/14/07
HARTMARX CORP/DE DE 1.01,9.01 08/16/07
HASTINGS ENTERTAINMENT INC TX 2.02,9.01 08/20/07
HEALTH SYSTEMS SOLUTIONS INC NV 5.02,9.01 08/17/07
HERCULES OFFSHORE, INC. DE 7.01,9.01 08/20/07
HOLLY CORP DE 7.01,9.01 08/20/07
HOME DEPOT INC DE 5.02,9.01 08/15/07
HOME SOLUTIONS OF AMERICA INC DE 1.01,9.01 08/14/07
HONEYWELL INTERNATIONAL INC DE 5.02 08/20/07
House of Taylor Jewelry, Inc. NV 1.01,3.02,9.01 08/17/07
Houston Wire & Cable CO 1.01,2.03,9.01 08/19/07
HUNTINGTON BANCSHARES INC/MD MD 8.01 08/16/07
HUSKER AG LLC NE 2.03 08/15/07
HYDROGEN HYBRID TECHNOLOGIES, INC. NV 5.03 08/20/07
IA GLOBAL INC DE 1.01 08/08/07
ICAGEN INC DE 8.01,9.01 08/20/07
IGI INC DE 2.02,9.01 08/15/07
IMPLANT TECHNOLOGIES INC MN 8.01,9.01 08/20/07
INFOUSA INC DE 8.01,9.01 08/20/07
INSPIRE PHARMACEUTICALS INC DE 5.02 08/17/07
INTEGRYS ENERGY GROUP, INC. WI 1.01,9.01 08/16/07
Intellect Neurosciences, Inc. 8.01,9.01 08/20/07
INTELLIGENTIAS, INC. 4.02 06/20/07
INTERLEUKIN GENETICS INC DE 5.02 08/15/07
INX Inc DE 7.01,9.01 08/20/07
InZon CORP NV 1.01,2.01,3.02,5.02,8.01,9.01 08/17/07
J P MORGAN CHASE & CO DE 9.01 08/17/07
JAKKS PACIFIC INC DE 8.01 08/20/07
JO-ANN STORES INC OH 5.02 08/14/07
K-SEA TRANSPORTATION PARTNERS LP 1.01,2.01,2.03,3.02,7.01,9.01 08/14/07
KATY INDUSTRIES INC DE 2.02,9.01 08/20/07
KENSEY NASH CORP DE 2.02,2.06,9.01 08/17/07
Kentucky First Federal Bancorp 2.02,9.01 08/17/07
KKR Financial Holdings LLC DE 1.01,7.01,9.01 08/20/07
KNIGHT TRANSPORTATION INC AZ 7.01,9.01 08/17/07
LAPOLLA INDUSTRIES INC DE 4.02 08/20/07
LBI MEDIA HOLDINGS INC 2.02,9.01 08/20/07
LCC INTERNATIONAL INC DE 3.01,9.01 08/20/07
Lev Pharmaceuticals Inc DE 8.01,9.01 08/20/07
LEXINGTON RESOURCES INC NV 4.02,9.01 08/20/07
LOCATEPLUS HOLDINGS CORP 5.02,7.01 06/21/07
LOWES COMPANIES INC NC 2.02,9.01 08/20/07
LSB INDUSTRIES INC DE 5.02,9.01 08/16/07
LUDVIK CAPITAL INC DE 8.01 08/17/07
MAGNITUDE INFORMATION SYSTEMS INC DE 1.01,2.01,2.03,2.04,3.02,7.01 08/16/07
MARKEL CORP VA 5.03 08/16/07
MARVELL TECHNOLOGY GROUP LTD D0 8.01,9.01 08/17/07
MEDINA INTERNATIONAL HOLDINGS, INC. CO 1.01,9.01 08/16/07
MEDIS TECHNOLOGIES LTD DE 8.01,9.01 08/20/07
MEMRY CORP DE 2.02,7.01,9.01 08/20/07
MENTOR GRAPHICS CORP OR 5.02 08/16/07
Merrill Lynch Mortgage Trust 2007-C1 DE 1.01 08/16/07
MetaMorphix Inc. MD 5.02 08/14/07
MiddleBrook Pharmaceuticals, Inc. 1.01,9.01 08/20/07
MISSION WEST PROPERTIES INC CA 8.01 08/20/07
MONSTER WORLDWIDE INC DE 5.02 08/17/07
MOTIVE INC DE 7.01,9.01 08/20/07
MOVIE STAR INC /NY/ NY 2.02,9.01 08/20/07
MPC CORP CO 2.02,8.01,9.01 08/17/07
MS STRUCTURED SATURNS SERIES 2003-11 DE 8.01,9.01 08/15/07
MS STRUCTURED SATURNS SERIES 2003-6 DE 8.01,9.01 08/15/07
MS STRUCTURED SATURNS SERIES 2004-2 DE 8.01,9.01 08/15/07
MS STRUCTURED SATURNS SERIES 2004-4 DE 8.01,9.01 08/15/07
MS STRUCTURED SATURNS SERIES 2004-6 DE 8.01,9.01 08/15/07
MS STRUCTURED SATURNS SERIES 2005-1 DE 8.01,9.01 08/15/07
MyStarU.com,Inc. 4.02 07/20/07 AMEND
NANO SUPERLATTICE TECHNOLOGY INC. 1.01,2.03,5.02 01/01/07
NANOSCIENCE TECHNOLOGIES INC NV 1.01,2.03,5.02 01/01/07
Nascent Wine Company, Inc. 8.01,9.01 08/09/07
NASDAQ STOCK MARKET INC DE 8.01,9.01 08/20/07
NASDAQ STOCK MARKET INC DE 8.01,9.01 08/20/07
NATIONAL DENTEX CORP /MA/ MA 5.02 08/14/07
NATURES SUNSHINE PRODUCTS INC UT 8.01,9.01 08/14/07
NEAH POWER SYSTEMS, INC. NV 1.01,7.01,9.01 08/17/07
NEW ENGLAND REALTY ASSOCIATES LIMITED MA 8.01,9.01 08/20/07
NEW HORIZONS WORLDWIDE INC DE 5.02 08/10/07
Newport Gold, Inc. NV 8.01,9.01 08/17/07
NextMart Inc. DE 2.02 08/06/07
NIC INC CO 5.02,9.01 08/16/07
NMT MEDICAL INC DE 4.01,9.01 08/08/07 AMEND
NORTHERN ETHANOL, INC. DE 1.01,9.01 07/23/07
NORTHERN STATES POWER CO MN 8.01 08/16/07
NOTIFY TECHNOLOGY CORP CA 2.02,9.01 08/20/07
NOVEN PHARMACEUTICALS INC DE 1.01,2.01,5.02,8.01,9.01 08/14/07
NTK Holdings, Inc. DE 2.02,9.01 06/30/07
NYFIX INC DE 2.02,8.01,9.01 08/15/07
OHIO CASUALTY CORP OH 8.01,9.01 08/20/07
OPLINK COMMUNICATIONS INC DE 2.02,9.01 08/20/07
OPTICAL COMMUNICATION PRODUCTS INC DE 2.02,9.01 08/20/07
OPTIMER PHARMACEUTICALS INC 5.02 08/15/07
Orbitz Worldwide, Inc. DE 5.02 08/13/07 AMEND
Orsus Xelent Technologies Inc DE 2.02,9.01 08/20/07
PALL CORP NY 1.01,9.01 08/16/07
Paradigm Holdings, Inc WY 7.01,9.01 08/20/07
PARK ELECTROCHEMICAL CORP NY 8.01 08/15/07
PC MALL INC DE 1.01,2.03,3.02,9.01 08/17/07
PCS EDVENTURES COM INC 4.02 08/17/07
PETROLEUM DEVELOPMENT CORP NV 7.01,9.01 08/20/07
PETROQUEST ENERGY INC DE 7.01,9.01 08/20/07
Phantom Entertainment, Inc. DE 1.01,9.01 08/08/07
PLAYLOGIC ENTERTAINMENT INC DE 2.02,9.01 08/20/07
POLYCOM INC DE 5.02 08/14/07
PRB Energy, Inc. NV 5.02,9.01 08/15/07
PROTECTIVE LIFE INSURANCE CO TN 9.01 08/16/07
Quest Minerals & Mining Corp UT 8.01 08/17/07
REEDS INC DE 2.02,9.01 08/20/07
RELIANT ENERGY INC DE 8.01 08/20/07
RESOURCES CONNECTION INC DE 5.02,9.01 08/14/07
REX ENERGY CORP DE 8.01 08/15/07
RSC Holdings Inc. DE 5.02 08/16/07
RUSH ENTERPRISES INC \TX\ TX 1.01,9.01 08/15/07
Rx Staffing, Inc. 8.01,9.01 08/15/07
SAFEGUARD SCIENTIFICS INC PA 5.02,9.01 08/16/07
SALESFORCE COM INC DE 5.02 08/20/07
SATELLITE NEWSPAPERS CORP NV 1.02 08/20/07
SCOTTISH RE GROUP LTD E9 2.02,9.01 08/14/07
SCOTTISH RE GROUP LTD E9 5.02,9.01 08/17/07
SIGNALIFE, INC. DE 1.01 08/16/07
SILICON IMAGE INC DE 5.02,9.01 08/20/07
SILVERGRAPH INTERNATIONAL INC NV 7.01,9.01 08/20/07
Sino Fibre Communications, Inc. NV 4.01 08/14/07
SKYWORKS SOLUTIONS INC DE 5.02 08/20/07
SMART BALANCE, INC. DE 5.02 08/14/07
SMITH & WOLLENSKY RESTAURANT GROUP IN DE 8.01,9.01 08/20/07
SOLOMON TECHNOLOGIES INC DE 4.02 08/14/07
SONIC SOLUTIONS/CA/ CA 3.01,9.01 08/14/07
SOUTH FINANCIAL GROUP INC SC 5.02,9.01 08/14/07
SOUTH SHORE RESOURCES INC. 7.01,9.01 08/20/07
Southridge Technology Group, Inc. DE 4.01,5.02,9.01 08/15/07
Southridge Technology Group, Inc. DE 5.02 04/13/07 AMEND
SOUTHWEST CASINO CORP 1.02,7.01 08/17/07
SPARTAN STORES INC MI 5.03,9.01 08/15/07
Spectrum Brands, Inc. WI 5.02,9.01 08/17/07
SPHERIX INC DE 2.01,5.02,9.01 08/15/07
STANDARD MOTOR PRODUCTS INC NY 5.02,9.01 08/15/07
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 08/15/07
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 08/15/07
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 08/15/07
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 08/15/07
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 08/15/07
SUMTOTAL SYSTEMS INC DE 5.02,8.01 08/17/07
SUNRISE SENIOR LIVING INC DE 5.02 08/14/07
SUNTRUST BANKS INC GA 7.01,9.01 08/20/07
SUNWIN INTERNATIONAL NEUTRACEUTICALS, 7.01,9.01 08/20/07
SUPERGEN INC DE 5.02,9.01 08/17/07
SYNCRONYS SOFTCORP NV 1.01,2.01,3.02,9.01 08/20/07
SYNCRONYS SOFTCORP NV 5.02 08/20/07
SYNDICATION NET COM INC DE 4.01,9.01 08/15/07
TECHNOCONCEPTS, INC. CO 1.01,2.03,3.02,9.01 08/15/07
TEGAL CORP /DE/ DE 2.02 08/14/07
TEGAL CORP /DE/ DE 8.01 08/15/07
TERRA ENERGY & RESOURCE TECHNOLOGIES, DE 1.01,3.02,9.01 08/13/07
THOMASVILLE BANCSHARES INC GA 5.02 07/03/07
TRANSMETA CORP DE 5.02 08/14/07
TREX CO INC DE 5.02 08/14/07
TRI-CONTINENTAL CORP MD 7.01,9.01 08/20/07
TRIMERIS INC DE 5.02 08/14/07
U S WIRELESS DATA INC DE 5.03,9.01 08/14/07
UNITED FUEL & ENERGY CORP NV 2.02,4.02,8.01 08/13/07 AMEND
UNIVERSAL ELECTRONICS INC DE 8.01,9.01 08/17/07
USEC INC DE 1.01 08/20/07
VERASUN ENERGY CORP 2.01,7.01,9.01 08/17/07
Volkswagen Auto Lease Trust 2005-A 8.01,9.01 08/20/07
VOLKSWAGEN DEALER FINANCE LLC DE 8.01,9.01 08/20/07
VOLKSWAGEN PUBLIC AUTO LOAN SECURITIZ 8.01,9.01 08/20/07
VOLKSWAGEN PUBLIC AUTO LOAN SECURITIZ 1.02,2.01,8.01,9.01 08/20/07
WELLS REAL ESTATE INVESTMENT TRUST II MD 8.01,9.01 08/16/07
WESTERN MASSACHUSETTS ELECTRIC CO MA 8.01,9.01 08/17/07
WHOLE FOODS MARKET INC TX 8.01,9.01 08/20/07
WIRELESS RONIN TECHNOLOGIES INC MN 2.01,2.03,3.02,5.02,5.03,9.01 08/14/07
XCEL ENERGY INC MN 8.01 08/16/07
ZOLTEK COMPANIES INC DE 8.01,9.01 08/20/07
http://www.sec.gov/news/digest/2007/dig082107.htm
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