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SEC NEWS DIGEST
Issue 2007-175 September 11, 2007
COMMISSION ANNOUNCEMENTS
SEC SMALL BUSINESS FORUM TO FOCUS ON RECENT RULE PROPOSALS FOR SMALLER
COMPANIES
The Securities and Exchange Commission will hold its annual Forum on
Small Business Capital Formation on Monday, Sept. 24, 2007, beginning
at 9:00 a.m., Eastern, at the Commission's Washington, D.C.,
headquarters. This year's small business forum will focus on recent
SEC rule proposals addressing securities registration and disclosure
requirements for smaller companies.
The morning agenda for this year's forum will feature two roundtable
discussions. The first roundtable will focus on recent SEC rule
proposals relating primarily to private companies and the second will
consider the Commission's recent proposals concerning smaller public
companies. Both roundtables will be open to the public and webcast at
www.sec.gov. Releases concerning the rule proposals and other
materials relevant to the roundtable discussion topics are available
at http://www.sec.gov/info/smallbus/2007gbforumdiscussion.htm.
The afternoon schedule will include breakout group sessions, including
a breakout group session on private placement broker-dealers and
finders. Participants in the breakout groups will help formulate
specific recommendations for the SEC to consider in its efforts to
improve small business capital formation.
The SEC is required to conduct the annual forum under a 1980 federal
statute. The forum offers representatives of smaller companies an
opportunity to meet and communicate with senior government officials.
Registration instructions and other information for this year's forum
are available on the SEC forum's Web page at
http://www.sec.gov/info/smallbus/sbforum.shtml. Interested persons can
also call the SEC's Office of Small Business Policy at (202) 551-3460.
The SEC will post further information about the forum, including the
complete agenda and list of roundtable participants, as arrangements
are finalized.
Members of the public who wish to suggest topics for discussion at the
roundtable sessions or recommendations to be considered in the
breakout groups should e-mail them to the SEC's Office of Small
Business Policy at SmallBusiness@sec.gov or mail them to the office at
100 F Street, N.E., Washington, D.C. 20549-3628. (Press Rel. 2007-180)
ENFORCEMENT PROCEEDINGS
SEC REVOKES REGISTRATION OF SECURITIES OF BENTLEY COMMERCE CORP. FOR
FAILURE TO MAKE REQUIRED PERIODIC FILINGS
On September 11, the Commission revoked the registration of each class
of registered securities of Bentley Commerce Corp. (Bentley Commerce)
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, Bentley Commerce 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 Bentley Commerce Corp. 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 Bentley Commerce's securities pursuant
to Section 12(j) of the Exchange Act. This order settled the charges
brought against Bentley Commerce in the Matter of Bentley Commerce
Corp., et al., Administrative Proceeding File No. 3-12702.
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 Bentley Commerce
Corp., et al., Administrative Proceeding File No. 3-12702, Exchange
Act Release No. 56099 (July 19, 2007). (Rel. 34-56381; File No. 3-
12702)
COURT ENFORCES COMMISSION'S $8.21 MILLION DISGORGEMENT ORDER AGAINST
ORLANDO JOSEPH JETT
On September 7, the U.S. District Court for the Southern District of
New York entered a judgment enforcing the March 5, 2004 Opinion and
Order of the Securities and Exchange Commission directing that Orlando
Joseph Jett pay disgorgement of $8.21 million and a $200,000 civil
penalty, and ordering Jett to cease and desist from future violations
of certain provisions of the federal securities laws.
The Commission's Opinion and Order of March 5, 2004, found that Jett,
while a government bond trader, managing director, and senior vice
president of Kidder, Peabody & Co., then a registered broker-dealer,
had, with fraudulent intent, exploited an anomaly in Kidder's
automated trading records system to book non-existent profits of
approximately $264 million, when in fact Jett's trading activities
caused Kidder losses of $75 million. It further found that Jett's
actions constituted a scheme to defraud under 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, and that Jett's actions had
violated the "books and records" provisions of Section 17(a) of the
Securities Exchange Act of 1934 and Rule 17a-3(a)(2) thereunder. The
Commission's Opinion and Order barred Jett from association with any
registered broker-dealer, directed Jett to cease and desist from
future violations of these provisions of the federal securities laws,
and ordered Jett to disgorge the $8.21 million in bonuses Jett had
received as a result of his fraudulent transactions and pay a civil
penalty of $200,000.
The Commission brought an action in 2006 to enforce the Commission's
order against Jett. The Court's opinion held that Jett could not
challenge the merits of the Commission's order in the enforcement
proceedings, in that Jett had not filed a timely appeal to the Court
of Appeals, which has exclusive jurisdiction to review Commission
orders. The Court denied Jett's assertion that he had been denied due
process of law in that he claimed not to have received a copy of the
Commission's Opinion and Order, finding that the Commission had sent
copies by certified and first class mail to Jett's last known address
(and faxed a copy to a number Jett had provided to the Commission),
and that this was reasonably calculated under the circumstances to
inform Jett of the Opinion and Order. [SEC v. Orlando Joseph Jett, 06
CIV. 13723 (S.D.N.Y.)] (LR-20273)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
A proposed rule change (SR-BSE-2007-43), as modified by Amendment No.
1, filed by the Boston Stock Exchange relating to Exchange fees and
charges has become effective pursuant to Section 19(b)(3)(A) of the
Securities Exchange Act of 1934. Publication is expected in the
Federal Register during the week of September 10. (Rel. 34-56371)
PROPOSED RULE CHANGES
The National Securities Clearing Corporation filed a proposed rule
change (SR-NSCC-2007-13) to amend its rules and procedures with regard
to the Automated Customer Account Transfer Service (ACATS) and ACATS
Fund/SERV Processing. Publication is expected in the Federal Register
during the week of September 10. (Rel. 34-56372)
The Financial Industry Regulatory Authority filed a proposed rule
change (SR-FINRA-2007-005) under Section 19(b) of the Exchange Act
relating to NASD Rule 11870 (Customer Account Transfer Contracts) and
NYSE Rule 412 (Customer Account Transfer Contracts) to make the time
frames in the rules for validating or taking exception to an
instruction to transfer a customer's securities account consistent
with the time frames in the Automated Customer Account Transfer
Service. Publication is expected in the Federal Register during the
week of September 10. (Rel. 34-56373)
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-3ASR PROCTER & GAMBLE CO, ONE PROCTER & GAMBLE PLZ, CINCINNATI, OH, 45202,
5139831100 - 0 ($0.00) Debt, (File 333-145938 - Sep. 10) (BR. 06B)
SB-2 CleanTech Biofuels, Inc., 7320 FORSYTH, UNIT 102, ST. LOUIS, MO, 63105,
314-727-6253 - 18,880,133 ($3,776,026.00) Equity, (File 333-145939 -
Sep. 10) (BR. 06)
S-1 Aprimo, INC, 900 EAST 96TH STREET, SUITE 400, INDIANAPOLIS, IN, 46240,
317-803-4300 - 0 ($50,000,000.00) Equity, (File 333-145943 - Sep. 10)
(BR. 03)
S-3 Northstar Neuroscience, Inc., 2401 FOURTH AVENUE, SUITE 300, SEATTLE,
WA, 98121, (206) 728-1477 - 0 ($100,000,000.00) Equity,
(File 333-145944 - Sep. 10) (BR. 10B)
S-8 Shamir Optical Industry Ltd., KIBBUTZ SHAMIR, UPPER GALILEE, L3, 12135,
(011)97246947810 - 280,000 ($2,837,823.90) Equity, (File 333-145945 -
Sep. 10) (BR. 10C)
S-8 NATIONAL ENERGY SERVICES CO INC, 3153 FIRE ROAD, SUITE 2C,
EGG HARBOR TOWNSHIP, NJ, 08234, 8007589288 -
1,500,000 ($420,000.00) Equity, (File 333-145946 - Sep. 10) (BR. 08B)
S-3ASR HASBRO INC, 1027 NEWPORT AVE, P O BOX 1059, PAWTUCKET, RI, 02861,
4014318697 - 0 ($0.00) Debt, (File 333-145947 - Sep. 10) (BR. 05A)
S-8 HYBRID DYNAMICS CORP, 892 NORTH 340 EAST, AMERICAN FORK, UT, 84003,
(801) 756-5831 - 385,000 ($11,550.00) Equity, (File 333-145948 -
Sep. 10) (BR. 09B)
S-11 American Realty Capital Trust, Inc., 1725 THE FAIRWAY, JENKINTOWN, PA,
19046, 215.887.2189 - 175,000,000 ($1,737,500,000.00) Equity,
(File 333-145949 - Sep. 10) (BR. 08)
S-4 MVP Network, Inc., 110 N. JEFFERSON AVENUE, ST. LOUIS, MO, 63103,
314-241-0070 - 371,564,544 ($4,830,339.07) Equity, (File 333-145950 -
Sep. 10) (BR. 10)
SB-2 Cyprium Resources Inc., 2170 NELSON AVENUE, VANCOUVER, A1, V7V 2P7,
604-889-8111 - 2,125,000 ($42,500.00) Equity, (File 333-145951 -
Sep. 10) (BR. 04)
S-3 EMPIRE RESORTS INC, RT 17B, P.O. BOX 5013, MONTICELLO, NY, 12701,
(845) 807-0001 - 0 ($100,000,000.00) Unallocated (Universal) Shelf,
(File 333-145952 - Sep. 10) (BR. 05A)
SB-2 WORLD OF TEA, 111 CASTLEWOOD ROAD, LONDON, X0, N16 6DJ,
44 208 802-1360 - 1,800,000 ($63,000.00) Equity, (File 333-145953 -
Sep. 10) (BR. 04)
SB-2 BEAR RIVER RESOURCES, INC., #253 ? 280 NELSON STREET, VANCOUVER, A1,
V6B 2E2, (604) 646-1560 - 1,310,000 ($65,500.00) Equity,
(File 333-145954 - Sep. 10) (BR. 04)
SB-2 HERE ENTERPRISES, INC., 927 KELVIN STREET, COQUITLAM, A1, V3J 4W7,
778-785-0007 - 2,590,000 ($25,900.00) Equity, (File 333-145955 -
Sep. 10) (BR. 05)
SB-2 BIO SOLUTIONS MANUFACTURING, INC., 1161 JAMES ST, ., HATTIESBURG, MS,
39403, 888-262-1600 - 0 ($2,093,000.00) Equity, (File 333-145956 -
Sep. 10) (BR. 06C)
S-8 LSB INDUSTRIES INC, 16 S PENNSYLVANIA, OKLAHOMA CITY, OK, 73101,
4052354546 - 0 ($3,604,500.00) Equity, (File 333-145957 - Sep. 10)
(BR. 06C)
S-4 EDISON MISSION ENERGY, 18101 VON KARMAN AVE, STE 1700, IRVINE, CA,
92612, 9497525588 - 0 ($2,700,000,000.00) Debt, (File 333-145958 -
Sep. 10) (BR. 02B)
S-3ASR EXELIXIS INC, 6508252200 - 0 ($0.00) Equity, (File 333-145965 -
Sep. 10) (BR. 01C)
SB-2 PAX BIOFUELS INC., 185-911 YATES STREET, SUITE 315, VICTORIA, A1,
V8L 5K8, 250-655-3776 - 1,013,000 ($101,300.00) Equity,
(File 333-145967 - Sep. 10) (BR. )
SB-2 Flagship Global Health, Inc., 432 PARK AVENUE SOUTH, 13TH FLOOR,
NEW YORK, NY, 10016, 2123409111 - 0 ($9,908,832.37) Equity,
(File 333-145968 - Sep. 10) (BR. 01A)
S-8 VIAD CORP, 1850 NORTH CENTRAL AVE, SUITE 800, PHOENIX, AZ, 85004-4545,
(602) 207-4000 - 1,700,000 ($57,341,000.00) Equity, (File 333-145969 -
Sep. 10) (BR. 08C)
S-4 APPLIED DIGITAL SOLUTIONS INC, 1690 SOUTH CONGRESS AVENUE, SUITE 200,
DELRAY BEACH, FL, 33445, 561-805-8000 - 0 ($54,014,846.00) Equity,
(File 333-145970 - Sep. 10) (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
-------------------------------------------------------------------------------------------------------
180 Connect Inc. DE 5.02,9.01 09/05/07
AASTROM BIOSCIENCES INC MI 5.02 09/06/07
ABLEAUCTIONS COM INC FL 8.01,9.01 09/10/07
AEP INDUSTRIES INC DE 2.02,9.01 09/10/07
AFFILIATED COMPUTER SERVICES INC DE 7.01,9.01 09/10/07
AFFYMAX INC 5.03,9.01 09/05/07
AGILYSYS INC OH 2.01,9.01 07/02/07 AMEND
Alexza Pharmaceuticals Inc. DE 1.01 09/06/07
ALLIED DEFENSE GROUP INC DE 1.01,9.01 09/06/07
ALPHARMA INC DE 1.01,3.02 09/04/07
Alternative Loan Trust 2007-10CB DE 8.01,9.01 03/29/07
Alternative Loan Trust 2007-21CB DE 8.01,9.01 07/30/07
AMERICA FIRST TAX EXEMPT INVESTORS LP DE 2.02,9.01 06/29/07 AMEND
AMERICAN AIRLINES INC DE 8.01 09/10/07
American Community Newspapers Inc. DE 8.01,9.01 09/10/07
AMERICAN PHYSICIANS SERVICE GROUP INC TX 5.02,9.01 09/10/07
AMERICAN SHARED HOSPITAL SERVICES CA 8.01,9.01 09/10/07
AMERICAN SOIL TECHNOLOGIES INC NV 4.01 09/10/07
AMR CORP DE 8.01 09/10/07
Amtrust Financial Services, Inc. DE 8.01 09/06/07 AMEND
ANTIGENICS INC /DE/ DE 8.01,9.01 09/10/07
APPLIED DIGITAL SOLUTIONS INC MO 8.01,9.01 09/05/07
APPLIED DIGITAL SOLUTIONS INC MO 8.01,9.01 09/05/07
ARCADIA RESOURCES, INC NV 5.02,8.01,9.01 09/04/07
ASHWORTH INC DE 2.02,9.01 09/10/07
Atlas Energy Resources, LLC DE 7.01,9.01 09/10/07
AUTOMATIC DATA PROCESSING INC DE 5.02 09/10/07
AVP INC DE 1.02,8.01,9.01 09/05/07
AXS ONE INC DE 5.02,9.01 09/04/07
AZTEC OIL & GAS, INC. NV 5.02,9.01 09/05/07
BEACON POWER CORP DE 1.01,8.01,9.01 09/05/07
BEAZER HOMES USA INC DE 8.01,9.01 09/07/07
Beneficial Mutual Bancorp Inc X1 7.01,9.01 09/10/07
BIODELIVERY SCIENCES INTERNATIONAL IN DE 1.01,1.02,2.01,2.03,3.02,7.01, 09/04/07
9.01
BLUE COAT SYSTEMS INC DE 8.01 09/10/07
BLYTH INC DE 5.02 09/05/07
BON TON STORES INC PA 5.02,9.01 09/10/07
BRINKER INTERNATIONAL INC DE 1.01,1.02 09/07/07
Bronco Drilling Company, Inc. DE 7.01,9.01 09/10/07
C H ROBINSON WORLDWIDE INC DE 1.01,3.03,9.01 09/10/07
CARMAX AUTO FUNDING LLC DE 1.01,8.01,9.01 09/07/07
CARTOON ACQUISITION, INC. DE 1.02,2.05,9.01 10/31/06
CAS MEDICAL SYSTEMS INC DE 2.01,9.01 09/06/07
CATALYST SEMICONDUCTOR INC DE 5.02,9.01 09/10/07
CB Financial CORP NC 1.01,5.02,9.01 09/04/07
CBRE Realty Finance Inc 1.01,9.01 09/05/07
CELLULAR TECHNICAL SERVICES CO INC DE 1.01,2.01,3.02,5.01,5.02,5.06, 09/04/07
9.01
CENTRAL EUROPEAN DISTRIBUTION CORP DE 7.01,9.01 09/10/07
CERIDIAN CORP /DE/ DE 1.01,8.01,9.01 09/07/07
CF Industries Holdings, Inc. DE 1.01 09/04/07
Chardan North China Acquisition Corp DE 8.01,9.01 09/07/07
China VoIP & Digital Telecom Inc. NV 5.02 09/07/07 AMEND
CHOLESTECH CORPORATION CA 8.01,9.01 09/10/07
CHUBB CORP NJ 5.02 09/06/07
CIBER INC DE 1.01,9.01 09/10/07
CIGNA CORP DE 7.01 09/10/07
CLEAN POWER TECHNOLOGIES INC. NV 5.02 09/04/07
CMP Susquehanna Radio Holdings Corp. DE 7.01 09/10/07
Cogent, Inc. DE 1.01,9.01 09/06/07
COGNEX CORP MA 4.01,9.01 09/05/07
COMERICA INC /NEW/ DE 7.01,9.01 09/10/07
COMPUTER SCIENCES CORP NV 4.02 09/10/07
COMVERSE TECHNOLOGY INC/NY/ NY 2.02,9.01 09/10/07
COMVERSE TECHNOLOGY INC/NY/ NY 1.01,5.02,9.01 09/04/07
Con-way Inc. DE 1.01,7.01,9.01 09/10/07
CONTINENTAL AIRLINES INC /DE/ DE 7.01,9.01 09/10/07
Converted Organics Inc. DE 5.03,9.01 09/10/07
COPART INC CA 5.02,9.01 09/06/07
Crystal River Capital, Inc. MD 8.01,9.01 09/10/07
CSX CORP VA 1.01,2.03,9.01 09/04/07
CYTOGENIX INC NV 3.02,8.01,9.01 09/10/07
DATASCENSION INC NV 1.01 09/06/07
DECKERS OUTDOOR CORP DE 4.02 09/04/07
DELPHI CORP DE 8.01 09/07/07
Denarii Resources Inc. NV 1.01,3.02,9.01 07/01/07
DentalServ.com NV 1.01,3.02,3.03,5.01,5.02,5.03, 08/14/07 AMEND
5.06,9.01
DEXCOM INC 5.02 09/07/07
DIGITAL ANGEL CORP DE 8.01,9.01 09/05/07
DURA AUTOMOTIVE SYSTEMS INC DE 5.02,9.01 09/04/07
Dussault Apparel Inc. 1.01,3.02,9.01 07/07/07
Eagle Bulk Shipping Inc. 7.01,9.01 09/10/07
ELBIT MEDICAL IMAGING LTD 8.01,9.01 09/10/07
ELECSYS CORP KS 2.02,9.01 09/10/07
Energy Quest Inc. NV 1.01,2.03,3.02,5.02 09/04/07
ENHERENT CORP DE 1.01 09/06/07
EOG RESOURCES INC DE 1.01,9.01 09/10/07
EXCO RESOURCES INC TX 1.01,9.01 09/06/07
EXELIXIS INC DE 8.01 09/04/07
EXELON CORP PA 1.01,9.01 09/04/07
ExlService Holdings, Inc. DE 1.01 09/10/07
Extra Space Storage Inc. MD 2.01,9.01 09/10/07
FARMERS & MERCHANTS BANCORP DE 5.02 09/04/07
FARMERS & MERCHANTS BANCORP INC OH 1.01,9.01 09/07/07
FINISH LINE INC /IN/ IN 8.01,9.01 09/10/07
FIRST AMERICAN CORP CA 7.01 08/14/07
FIRST BANCORP OF INDIANA INC IN 8.01,9.01 09/07/07
FIRST COMMUNITY FINANCIAL CORP PA 5.02 09/06/07
FIRST NIAGARA FINANCIAL GROUP INC DE 1.01,9.01 09/09/07
FIRST PLACE FINANCIAL CORP /DE/ DE 1.02,5.02 09/06/07
FIRST POTOMAC REALTY TRUST MD 7.01 09/10/07
FIRSTCITY FINANCIAL CORP DE 1.01,2.03,9.01 09/05/07
FIRSTPLUS FINANCIAL GROUP INC NV 5.02,9.01 08/27/07 AMEND
flexSCAN, Inc. NV 4.01,9.01 08/03/07 AMEND
FOREST CITY ENTERPRISES INC OH 2.02,9.01 09/10/07
FOREST CITY ENTERPRISES INC OH 2.02,9.01 09/10/07
Fox Chase Bancorp Inc X1 5.02 09/06/07
FRANKLIN BANK CORP 7.01,9.01 09/10/07
Freedom Acquisition Holdings, Inc. DE 8.01,9.01 09/07/07
FREESCALE SEMICONDUCTOR INC DE 5.02 09/07/07
G III APPAREL GROUP LTD /DE/ DE 2.02,9.01 09/10/07
GARTNER INC DE 7.01,9.01 09/10/07
GENCO SHIPPING & TRADING LTD 2.03 09/07/07
GENCO SHIPPING & TRADING LTD 3.01,9.01 03/14/07
GETTY IMAGES INC DE 5.02,9.01 09/07/07 AMEND
GLOBAL ENTERTAINMENT CORP NV 5.02 08/31/07
GLOBAL GOLD CORP DE 8.01,9.01 09/10/07
Globalstar, Inc. DE 1.01 09/05/07
GLOBETEL COMMUNICATIONS CORP DE 1.01,3.02,7.01,9.01 09/07/07
Golden West Brewing Company, Inc. CA 2.02,7.01 08/16/07
GOLF TRUST OF AMERICA INC MD 8.01 09/06/07
GREAT LAKES BANCORP, INC. DE 1.01,9.01 09/09/07
GREAT PLAINS ENERGY INC MO 8.01,9.01 09/07/07
HARTFORD LIFE INSURANCE CO CT 9.01 09/10/07
HCC INSURANCE HOLDINGS INC/DE/ DE 1.02,9.01 09/10/07
HEALTH CARE PROPERTY INVESTORS INC MD 5.03,9.01 09/07/07
HEALTH DISCOVERY CORP TX 3.02,5.02,9.01 09/07/07
HEALTHCARE PROVIDERS DIRECT INC. NV 1.01,2.03,3.02,4.01,9.01 09/01/07
HEARTLAND PAYMENT SYSTEMS INC DE 1.01,2.03,9.01 09/05/07
HELMERICH & PAYNE INC DE 5.03,9.01 09/05/07
HENRY JACK & ASSOCIATES INC DE 5.02,9.01 09/10/07
HICKORY TECH CORP MN 2.02,9.01 09/10/07
HOLLY ENERGY PARTNERS LP DE 1.01,9.01 08/31/07
Home System Group 9.01 09/10/07 AMEND
Home System Group 9.01 09/10/07 AMEND
HUMANA INC DE 7.01,8.01,9.01 09/07/07
HUSKER AG LLC NE 8.01,9.01 09/06/07
HUTTON HOLDINGS CORP NV 5.02 09/10/07
HYDROGEN ENGINE CENTER, INC. NV 9.01 09/10/07
IA GLOBAL INC DE 5.02,9.01 09/05/07
IMCLONE SYSTEMS INC DE 8.01,9.01 09/10/07
INDEPENDENT BANK CORP /MI/ MI 1.01,2.03 09/06/07
INFINITY CAPITAL GROUP, INC. NV 7.01,9.01 09/10/07
INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 09/10/07
Innovive Pharmaceuticals, Inc. DE 5.02 09/10/07
Inova Technology Inc. NV 3.01 09/10/07
INOVIO BIOMEDICAL CORP 5.02,9.01 08/21/07 AMEND
INTEGRAL VISION INC MI 5.02 09/07/07
INTEL CORP DE 7.01 09/10/07
INTERLEUKIN GENETICS INC DE 5.02,9.01 09/06/07
IPG PHOTONICS CORP DE 8.01 09/05/07
ITT CORP IN 7.01,9.01 09/10/07
J P MORGAN CHASE & CO DE 9.01 09/06/07
JONES SODA CO WA 8.01 09/04/07
K2 DIGITAL INC DE 5.02,8.01,9.01 09/10/07
KBS Real Estate Investment Trust, Inc MD 1.01,2.01,2.03,8.01,9.01 08/15/07
KMG America CORP VA 8.01,9.01 09/07/07
KNIGHT CAPITAL GROUP, INC. DE 7.01,9.01 09/10/07
KOREA FUND INC MD 8.01,9.01 09/10/07
Lawson Software, Inc. MN 8.01,9.01 09/10/07
LENNOX INTERNATIONAL INC DE 2.05,9.01 09/07/07
Lev Pharmaceuticals Inc DE 8.01,9.01 09/10/07
LIMITED BRANDS INC DE 5.02 09/07/07
LINCOLN INTERNATIONAL CORP KY 5.02 09/10/07
LINCOLN NATIONAL CORP IN 7.01 09/07/07
LIONS GATE ENTERTAINMENT CORP /CN/ 1.01,2.01,3.02,5.02,7.01,9.01 09/10/07
LIVEPERSON INC DE 8.01 09/10/07
LTV CORP DE 8.01,9.01 09/06/07
lululemon athletica inc. DE 2.02,9.01 09/10/07
MAGELLAN MIDSTREAM HOLDINGS LP 1.01,9.01 09/05/07
MAGNA ENTERTAINMENT CORP DE 8.01,9.01 09/05/07
MAX & ERMAS RESTAURANTS INC DE 5.02,9.01 09/04/07
McAfee, Inc. DE 8.01,9.01 09/10/07
MediaREADY Inc FL 1.01,3.02,7.01,9.01 09/05/07
MEDICAL SOLUTIONS MANAGEMENT INC. NV 2.03,9.01 09/04/07
MEDICAL STAFFING NETWORK HOLDINGS INC DE 7.01,9.01 09/10/07
MEDICINES CO /DE DE 7.01,9.01 09/10/07
MEDIVATION, INC. DE 1.01,9.01 09/07/07
METALLINE MINING CO NV 4.01,9.01 08/31/07 AMEND
MICRO BIO-MEDICAL WASTE SYSTEMS, INC. NV 7.01,9.01 09/07/07
MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 09/10/07
ML-CFC Commercial Mortgage Trust 2007 DE 8.01,9.01 08/28/07
MOBILEPRO CORP DE 1.01,2.01,9.01 09/07/07
Molecular Insight Pharmaceuticals, In MA 8.01,9.01 09/10/07
MONSTER WORLDWIDE INC DE 5.02 09/10/07
MONTANA ACQUISITION CORP DE 4.01,9.01 04/08/05 AMEND
MRU HOLDINGS INC DE 7.01,9.01 09/10/07
MS STRUCTURED SATURNS SERIES 2001-4 DE 8.01,9.01 09/04/07
MS STRUCTURED SATURNS SERIES 2002-3 DE 8.01,9.01 09/04/07
MS STRUCTURED SATURNS SERIES 2002-4 DE 8.01,9.01 09/04/07
MS STRUCTURED SATURNS SERIES 2002-7 DE 8.01,9.01 09/04/07
MS STRUCTURED SATURNS SERIES 2005-3 DE 8.01,9.01 09/04/07
NATIONAL PENN BANCSHARES INC PA 5.02 09/07/07
NATIONAL RETAIL PROPERTIES, INC. MD 2.03,9.01 09/04/07
NationsHealth, Inc. DE 1.01,9.01 09/04/07
NATIONWIDE FINANCIAL SERVICES INC/ DE 1.01,9.01 09/04/07
NCI, Inc. DE 2.01,9.01 06/27/07 AMEND
NCR CORP MD 7.01,9.01 09/10/07
NETtime Solutions, Inc NV 5.02 09/04/07
NEWTEK BUSINESS SERVICES INC NY 8.01,9.01 09/05/07
NOBEL LEARNING COMMUNITIES INC DE 2.02,9.01 09/10/07
Nomura Asset Acceptance Corporation, DE 1.01,6.02 09/04/07
NORDIC NICKEL LTD NV 5.02 09/07/07
NORTH AMERICAN SCIENTIFIC INC 5.02,8.01,9.01 09/04/07
NORTHERN TRUST CORP DE 7.01,9.01 09/10/07
NVE CORP /NEW/ MN 1.01 09/06/07
ODYNE CORP 5.02 09/08/07
ONLINE RESOURCES CORP DE 9.01 08/10/07 AMEND
Oracle Healthcare Acquisition Corp. 8.01,9.01 09/08/07
ORAMED PHARMACEUTICALS INC. NV 1.01,3.02,9.01 08/27/07
PAR PHARMACEUTICAL COMPANIES, INC. DE 2.02,9.01 09/06/07
Paramount Acquisition Corp DE 8.01,9.01 09/10/07
PAREXEL INTERNATIONAL CORP MA 8.01 09/07/07
PC TEL INC DE 5.02,9.01 09/05/07
PEERLESS MANUFACTURING CO TX 2.02,9.01 09/10/07
People's United Financial, Inc. DE 7.01,9.01 09/10/07
Pharmasset Inc 8.01,9.01 09/10/07
PLATINUM ENERGY RESOURCES INC DE 1.01,9.01 09/04/07
PMI GROUP INC DE 8.01 09/10/07
POLYMEDIX INC 7.01,9.01 09/05/07
POWER 3 MEDICAL PRODUCTS INC NY 8.01,9.01 09/06/07
POWER INTEGRATIONS INC CA 5.02 09/05/07
PRICE T ROWE GROUP INC MD 5.03,9.01 09/06/07
PURE BIOFUELS CORP NV 1.01,5.02,9.01 09/04/07
QLINKS AMERICA, INC. 5.02 09/06/07
RADIAN GROUP INC DE 1.02,9.01 09/04/07
RADISYS CORP OR 1.01,7.01,9.01 09/07/07
RALI Series 2007-QH8 Trust DE 8.01,9.01 09/06/07
RBC Bearings INC 1.01,9.01 09/10/07
REGAL ENTERTAINMENT GROUP DE 5.02 09/05/07
REMOTE MDX INC UT 8.01 09/07/07
REPLIGEN CORP DE 1.01,7.01,9.01 09/10/07
REX ENERGY CORP DE 7.01,9.01 09/10/07
ROHM & HAAS CO DE 1.01 09/06/07
ROYAL GOLD INC DE 1.01,3.03,5.03,9.01 09/10/07
RUBICON FINANCIAL INC DE 3.02,5.02 09/07/07
RussOil CORP 1.01,2.01,9.01 08/31/07
SABINE ROYALTY TRUST TX 2.02,9.01 09/06/07
SALARY. COM, INC. DE 8.01 09/10/07
SCHERING PLOUGH CORP NJ 7.01,9.01 09/10/07
SecureLogic Corp NV 5.02 09/04/07
SEDONA CORP PA 1.01,9.01 09/04/07
SGX PHARMACEUTICALS, INC. DE 1.01,7.01,9.01 09/10/07
SIERRA HEALTH SERVICES INC NV 8.01 09/07/07
Sino Fibre Communications, Inc. NV 7.01,9.01 09/07/07
Sino Gas International Holdings, Inc. UT 1.01,3.01,3.02,5.03 09/07/07
SINO-American Development CORP CO 5.02 09/10/07
SLADES FERRY BANCORP MA 5.02 09/04/07
SMART Modular Technologies (WWH), Inc 2.02,9.01 09/10/07
Solar Power, Inc. NV 2.01,9.01 12/29/06 AMEND
SOURCE INTERLINK COMPANIES INC DE 2.02,7.01,9.01 09/10/07
SOYO GROUP INC NV 8.01 09/07/07
SPARE BACKUP, INC. DE 8.01,9.01 09/05/07
SPIRE CORP MA 2.01,9.01 09/04/07
SPORT SUPPLY GROUP, INC. DE 7.01,9.01 09/07/07
SPORT SUPPLY GROUP, INC. DE 7.01,9.01 09/07/07
SportsQuest, Inc. NJ 4.01,9.01 09/06/07
Star Resorts Development Inc. NV 1.01,3.02,9.01 08/27/07
Star Resorts Development Inc. NV 1.01,5.02,9.01 08/01/07
STATER BROS HOLDINGS INC DE 7.01,9.01 09/07/07
STEWART ENTERPRISES INC LA 2.02,9.01 09/10/07
SUNRISE SENIOR LIVING INC DE 1.01,5.02,9.01 09/05/07
SUNTRUST BANKS INC GA 8.01,9.01 09/05/07
SUPERCLICK INC WA 2.02,9.01 09/10/07
Syncronys Alternative Energy, Inc. NV 1.01,2.01,3.02,9.01 09/10/07 AMEND
TAGALDER GLOBAL INVESTMENT, INC. 4.02,9.01 08/21/07 AMEND
TATONKA OIL & GAS, INC. CO 8.01,9.01 09/07/07
TELOS CORP MD 4.01,9.01 07/24/07
TERADATA CORP /DE/ 7.01,9.01 09/10/07
TERAX ENERGY, INC. NV 7.01,9.01 08/24/07
TERREMARK WORLDWIDE INC DE 1.01,2.01,9.01 09/04/07
TERRESTAR CORP DE 7.01,9.01 09/10/07
TIDEWATER INC DE 7.01,9.01 09/06/07
Trubion Pharmaceuticals, Inc 8.01,9.01 09/10/07
ULTICOM INC NJ 2.02,8.01,9.01 09/10/07
UNICORP INC /NEW NV 5.02,8.01,9.01 09/04/07
UNION BANKSHARES CORP VA 8.01,9.01 09/10/07
UNITED GUARDIAN INC DE 5.03,8.01,9.01 09/07/07
UNITY WIRELESS CORP DE 5.02 09/10/07
UNIVERSAL TRAVEL GROUP NV 5.02,9.01 09/06/07
URSTADT BIDDLE PROPERTIES INC MD 2.02,9.01 09/07/07
VAIL RESORTS INC DE 7.01,9.01 09/10/07
VALEANT PHARMACEUTICALS INTERNATIONAL DE 7.01,9.01 09/10/07
VERINT SYSTEMS INC 2.02,7.01,9.01 09/10/07
VERSAR INC DE 2.02 06/29/07
VIRGINIA ELECTRIC & POWER CO VA 8.01,9.01 09/06/07
VOXWARE INC DE 5.02 09/04/07
WASTE SERVICES, INC. A6 8.01,9.01 03/31/07 AMEND
WATER CHEF INC DE 1.01,2.03,3.02,9.01 09/07/07
WEATHERFORD INTERNATIONAL LTD D0 1.01,8.01 09/10/07
WELLCARE HEALTH PLANS, INC. DE 7.01 09/10/07
WESTERN DIGITAL CORP DE 7.01,9.01 09/10/07
WEYERHAEUSER CO WA 7.01 09/07/07
WIZZARD SOFTWARE CORP /CO CO 5.03 09/05/07
YRC WORLDWIDE INC DE 7.01,9.01 09/10/07
http://www.sec.gov/news/digest/2007/dig091107.htm
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