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SEC NEWS DIGEST
Issue 2007-181 September 19, 2007
COMMISSION ANNOUNCEMENTS
REGISTRATION BEGINS FOR 'CCOUTREACH' NATIONAL SEMINAR TO HELP CHIEF
COMPLIANCE OFFICERS SUCCEED IN PROTECTING INVESTORS
Securities and Exchange Commission Chairman Christopher Cox today
announced the beginning of registration for the annual CCOutreach
National Seminar to help mutual fund and investment adviser chief
compliance officers (CCOs) further enhance their compliance programs
for the protection of investors.
The CCOutreach National Seminar, which will be held Nov. 14 at the
Commission's Washington, D.C., headquarters, enables CCOs to interact
directly with SEC staff and discuss the critical compliance functions
they perform on a daily basis on behalf of mutual fund investors and
advisory clients. The event will include panel discussions on the
latest compliance developments relevant to CCOs, and will address
questions and issues raised at a recent series of regional seminars
held by SEC examination staff. The SEC's CCOutreach program is
sponsored jointly by the agency's Division of Investment Management
and the Office of Compliance Inspections and Examinations.
This year's seminar will facilitate the exchange of ideas in practical
terms to address the important compliance issues that CCOs face, and
the new challenges that have emerged in investor protection.
"The CCOutreach National Seminar continues the SEC's efforts to keep
open the lines of communication and help chief compliance officers
succeed on behalf of America's investors in today's ever-changing
market environment," said Chairman Cox. "With more than 96 million
Americans now invested in mutual funds, effective compliance is
crucial to the financial success of families across the country. CCOs
hold the keys to that success."
Lori A. Richards, Director of the SEC's Office of Compliance
Inspections and Examination, said, "This year's National Seminar will
examine such important areas as how firm compliance and operations
work together, special issues related to fixed-income and derivative
products, the CCO's role in a changing environment, and the
examination risk assessment processes. Reviewing the effectiveness of
a firm's compliance programs is a fundamental part of our
examinations. We are pleased by the interest of CCOs in the CCOutreach
Program and the role it plays in enhancing effectiveness."
Andrew J. Donohue, Director of the SEC's Division of Investment
Management, said, "I am pleased to work with OCIE again in sponsoring
the CCOutreach National Seminar. Since its establishment three years
ago, the CCOutreach Program has greatly assisted us in developing
regulatory policies for the investment management industry. I am
certain the National Seminar will provide a day of stimulating and
thoughtful conversation on many important policy and compliance
topics."
The CCOutreach National Seminar will be held from 9 a.m. to 5 p.m. on
Nov. 14 at the Commission's headquarters at 100 F Street, N.E.,
Washington, D.C. 20549. Attendance is limited to 500, with CCOs given
priority on a first-come, first-served basis. The seminar also will be
webcast at www.sec.gov.
Registration materials and other information for the CCOutreach
National Seminar are available at:
http://www.sec.gov/info/ccoutreach.htm. The SEC's Division of
Investment Management can answer additional questions, and can be
reached at (202) 551-6733. (Press Rel. 2007-188)
SEC ANNOUNCES ROUNDTABLE PANELISTS FOR FORUM ON SMALL BUSINESS CAPITAL
FORMATION
The Securities and Exchange Commission today published the agenda and
identified the roundtable panelists for its annual Government-Business
Forum on Small Business Capital Formation, to be held on Monday, Sept.
24, 2007, beginning at 9 a.m. ET, at its Washington, D.C.,
headquarters.
SEC Chairman Christopher Cox will open the forum with introductory
remarks. John W. White, Director of the SEC's Division of Corporation
Finance, will introduce Chairman Cox.
The agenda for the forum includes two roundtable discussions in the
morning. The first roundtable, from 9:15 to 10:45 a.m., will discuss
securities offerings by private companies, including recent SEC
rulemaking initiatives on Regulation D, Form D, and preventing private
companies with stock option plans from unintentionally becoming public
companies. The second roundtable, from 11 a.m. to 12:30 p.m., will
discuss securities regulation of smaller public companies, including
recent SEC rulemaking initiatives on Rule 144, Form S-3, and merging
Regulation S-B into Regulation S-K. The morning roundtables will be
open to the public and Webcast at www.sec.gov.
SEC Commissioner Paul S. Atkins will provide remarks at the forum
luncheon.
The afternoon agenda includes sessions for developing recommendations
for government and private action to improve the environment for small
business capital formation, including a breakout group on private
placement broker-dealers and finders.
The panelists for the roundtable on securities offerings by private
companies will be:
* Steven E. Bochner, Partner, Wilson Sonsini Goodrich & Rosati (Palo
Alto, Calif.)
* Lance R. Lange, Director, Robert W. Baird & Co.
(Milwaukee, Wisc.)
* Gerald J. Laporte, Chief, Office of Small Business Policy, SEC
Division of Corporation Finance (Washington, D.C.), Co-Moderator
* Marc H. Morgenstern, Managing Partner, Blue Mesa
Partners (San Francisco, Calif.), Co-Moderator
* Gregory C. Yadley, Partner, Shumaker, Loop & Kendrick LLP (Tampa, Fla.)
The panelists for the roundtable on securities regulation of smaller
public companies will be:
* Steven E. Bochner, Partner, Wilson Sonsini Goodrich & Rosati (Palo Alto,
Calif.), Co-Moderator
* Phil Clough, Managing General Partner, ABS Capital Partners (Baltimore, Md.)
* R. Cromwell Coulson, Chairman and CEO, Pink Sheets, LLC (New York, N.Y.)
* Gerard P. O'Connor, Partner, Foley Hoag LLP (Boston, Mass.)
* Anna T. Pinedo, Partner, Morrison & Foerster LLP (New York, N.Y.)
* John W. White, Director, SEC Division of Corporation Finance (Washington, D.C.),
Co-Moderator
The morning portion of the forum will be held in the auditorium of the
SEC's headquarters at 100 F Street, N.E., Washington, D.C. Doors will
open at 8 a.m. Visitors will be subject to security checks. For
planning purposes, members of the public wishing to attend must
register online at http://www.sec.gov/cgi-bin/registration-form/.
More information on the forum is available at the forum Web site at
http://www.sec.gov/info/smallbus/sbforum.shtml. (Press Rel. 2007-189)
COMMISSION MEETINGS
CLOSED MEETING - TUESDAY, SEPTEMBER 25, 2007 - 10:00 A.M.
The subject matter of the closed meeting scheduled for Tuesday,
September 25, will be: Formal order of investigation; Institution and
settlement of injunctive actions; Institution and settlement of
administrative proceedings of an enforcement nature; Resolution of
litigation claims; Other matters related to enforcement proceedings;
and Adjudicatory matters.
CLOSED MEETING - THURSDAY, SEPTEMBER 27, 2007 - 2:00 P.M.
The subject matter of the closed meeting scheduled for Thursday,
September 27, will be: Formal orders of investigation; Institution and
settlement of injunctive actions; Institution and settlement of
administrative proceedings of an enforcement nature; and a regulatory
matter regarding a financial institution.
At times, changes in Commission priorities require alterations in the
scheduling of meeting items. For further information and to ascertain
what, if any, matters have been added, deleted or postponed, please
contact: The Office of the Secretary at (202) 551-5400.
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF EVERGREEN INVESTMENT MANAGEMENT COMPANY, LLC,
EVERGREEN INVESTMENT SERVICES, INC., EVERGREEN SERVICE COMPANY, LLC
AND WACHOVIA SECURITIES, LLC
On September 19, the Commission issued an Order Instituting
Administrative and Cease-and-Desist Proceedings Pursuant to Sections
15(b)(4), 17A(c)(3) and 21C of the Securities Exchange Act of 1934,
Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of
1940, and Sections 9(b) and 9(f) of the Investment Company Act of
1940, Making Findings, and Imposing Remedial Sanctions and a Cease-
and-Desist Order against Evergreen Investment Management Co., LLC
(EIMCO), Evergreen Investment Services, Inc. (EIS), Evergreen Service
Co., LLC (ESC), and Wachovia Securities, LLC (Wachovia Securities).
The Order finds that the respondents agreed to permit a registered
representative to market time the Evergreen Funds even though they
knew that the Funds had an anti-market timing policy that was
incorporated into each Evergreen fund prospectus and that market
timing could disrupt fund management and harm fund performance. The
Order also finds that, consistent with its anti-market timing policy,
during the relevant period, each Evergreen fund prospectus limited
exchanges to three per calendar quarter and five per calendar year.
However, because EIMCO failed to adopt procedures to enforce these
restrictions until October 2003, traders exceeded the posted limits in
several funds prior to that time. This excessive exchange activity
imposed costs and management disruptions on the funds, impaired their
performance, and rendered their prospectuses misleading. From
September 1998 to June 30, 2004, the excessive exchange activity
diluted the funds' value by a total of approximately $28,907,276.
During this period EIMCO never disclosed to any fund board that the
exchange limits were not being enforced and that, as a result,
exchange activity was occurring in violation of the posted limits,
rendering the prospectus misleading. The Order further finds that,
from at least January 2001 to September 2003, EIS failed to preserve
e-mails as required.
Based on the above, the Order finds that: EIMCO willfully violated,
and EIS and ESC aided and abetted and caused EIMCO's violations of,
Sections 206(1) and 206(2) of the Investment Advisers Act of 1940
(Advisers Act); EIMCO willfully violated Section 34(b) of the
Investment Company Act of 1940 (Investment Company Act); Wachovia
Securities willfully violated, and EIMCO and EIS aided and abetted and
caused Wachovia Securities' violations of, Section 17(d) of the
Investment Company Act and Rule 17d-1 thereunder; and EIS willfully
violated Section 17(a) of the Exchange Act and Rule 17a-4(b)(4)
thereunder. The Order requires EIMCO to cease and desist from
committing or causing any violations and any future violations of
Sections 206(1) and 206(2) of the Advisers Act and Sections 17(d) and
34(b) of the Investment Company Act and Rule 17d-1 thereunder, EIS to
cease and desist from committing or causing any violations and any
future violations of Section 17(a) of the Exchange Act and Rule 17a-4
thereunder, Sections 206(1) and 206(2) of the Advisers Act and Section
17(d) of the Investment Company Act and Rule 17d-1 thereunder, ESC to
cease and desist from causing any violations and any future violations
of Sections 206(1) and 206(2) of the Advisers Act, and Wachovia
Securities to cease and desist from committing or causing any
violations and any future violations of Section 17(d) of the
Investment Company Act and Rule 17d-1 thereunder. The Order further
requires EIMCO to pay $28,503,276 in disgorgement and a $1.5 million
civil penalty, and also requires EIS, ESC and Wachovia Securities to
each pay $1 in disgorgement and civil penalties of $1.5 million,
$500,000 and $500,000, respectively. EIMCO, EIS, ESC and Wachovia
Securities consented to the issuance of the Order without admitting or
denying any of the findings.
In a related matter, the Commission also instituted and simultaneously
settled administrative and cease-and-desist proceedings against Ennis.
(Rel. 34-56462; IA-2648; IC-27973; File No. 3-12805; Press Rel. 2007-
186)
IN THE MATTER OF WILLIAM M. ENNIS
On September 19, the Commission issued an Order instituting
Administrative and Cease-and Desist Proceedings, Making Findings, and
Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to
Sections 15(b)(6) and 17A(c)(4)(C) of the Securities Exchange Act of
1934, Sections 203(f) and 203(k) of the Investment Advisers Act of
1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940
against William M. Ennis. Ennis was formerly the president of
Evergreen Investment Co., Inc., the owner of Evergreen Investment
Management Co., LLC (EIMCO), which is the Boston, Massachusetts-based
registered investment adviser to the Evergreen funds, Evergreen
Investment Services, Inc. (EIS) and Evergreen Service Co., LLC (ESC).
The Order finds that, in January 2000, at the request of Wachovia
Securities, LLC (Wachovia Securities), Ennis agreed to permit a
registered representative whom Wachovia Securities was attempting to
recruit, to market time at Evergreen even though Ennis knew that
Evergreen had an anti-market timing policy that was incorporated into
each Evergreen fund prospectus as a five exchanges per year limit, and
even though Ennis further knew that market timing could disrupt fund
management and harm fund performance. Pursuant to this agreement, the
registered representative made hundreds of exchanges, totaling $282.4
million, into and out of the Evergreen Small Company Growth Fund on
behalf of certain of his customers from approximately January 2001
through March 2003, diluting its value by approximately $829,000.
Ennis did not disclose this market timing arrangement to the fund's
board of trustees and, during the period at issue, he signed several
registration statements on the fund's behalf, each of which
incorporated the fund's prospectus and the exchange limits contained
therein.
Based on the above, the Order finds that Ennis willfully aided and
abetted and caused EIMCO's violations of Sections 206(1) and (2) of
the Advisers Act and Wachovia Securities' violations of Section 17(d)
of the Investment Company Act and Rule 17d-1 thereunder, and that he
willfully violated Section 34(b) of the Investment Company Act. The
Order requires Ennis to cease and desist from committing or causing
any future violations of Sections 206(1) and (2) of the Advisers Act
and Sections 17(d) and 34(b) of the Investment Company Act and Rule
17d-1 thereunder. The Order bars Ennis from associating with an
investment adviser, broker, dealer, transfer agent or investment
company with the right to reapply after one year. The Order further
requires Ennis to pay a civil penalty of $150,000 and disgorgement of
$1. Ennis consented to the issuance of the Order without admitting or
denying any of the findings.
In a related matter, the Commission also instituted and simultaneously
settled administrative and cease-and-desist proceedings against EIMCO,
EIS, ESC and Wachovia Securities. (Rel. 34-56464; IA-2649; IC-27974;
File No. 3-12806)
IN THE MATTER OF CALLAN ASSOCIATES
On September 19, the Commission issued an Order Instituting
Administrative and Cease-and-Desist Proceedings, Making Findings and a
Cease-and-Desist Order Pursuant to Sections 203(e) and 203(k) of the
Investment Advisers Act of 1940 (Order) against Callan Associates
(Callan), a privately-owned pension consultant and registered
investment adviser. Callan provides investment consulting services to
institutional retirement plans, endowments, foundations and investment
managers.
The Order finds that Callan made an incomplete disclosure of a
potential conflict of interest in its Form ADV Part II. In particular,
the Order finds that upon the sale of its affiliated brokerage firm to
BNY Brokerage, Inc. (BNY) in late 1998, Callan agreed to refer clients
to BNY as its preferred securities broker. The Order finds that,
between 1999 and 2005, Callan represented in Commission filings and
client communications that it received only fixed payments from BNY
for the sale of the brokerage. In fact, according to the Order, a
portion of the payments Callan received from BNY were contingent on
Callan clients generating a certain level of commissions for BNY. The
Order finds the omission of this potential conflict caused Callan's
Commission filings to be misleading in violation of the Advisers Act.
Based on the above, the Order requires Callan to cease-and-desist from
violations of Section 207 of the Advisers Act. Callan consented to the
issuance of the Order without admitting or denying any of the
findings. (Rel. IA-2650; File No. 3-12808)
IN THE MATTER OF HSBC BANK USA, N.A.
On September 19, the Commission issued an Order Instituting Cease-and-
Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist
Order Pursuant to Section 8A of the Securities Act of 1933 (Order)
against HSBC Bank USA, N.A (HSBC). According to the Order, from August
2003 to March 2005, HSBC served as trustee for the investment
component of Pension Fund of America, L.C and its affiliated entities'
trust plans. Since at least 1999, Pension Fund offered and sold
retirement and college "trust plans" that purportedly provided
investors with term life insurance and the opportunity to invest in
one or more of several pre-selected mutual funds. However, Pension
Fund failed to disclose to investors, among other things, that it was
taking up to 95% of investor funds for commissions and fees. Pension
Fund raised at least $127 million from over 3,400 investors, primarily
from Central and South America. On March 28, 2005, the U.S. District
Court for the Southern District of Florida appointed a receiver over
Pension Fund in an emergency action filed by the Commission to halt
the offering fraud.
The Order finds that HSBC agreed to allow Pension Fund to use its name
and logo in Pension Fund's offering materials. According to the Order,
HSBC also allowed Pension Fund to use marketing materials that falsely
suggested to prospective investors that the trust plans were co-
developed by HSBC and Pension Fund and that their funds would be
"totally safe" because the investor's money would be deposited into a
trust account at HSBC. In reality, Pension Fund deposited investors'
funds into an ordinary checking account in its name at HSBC, with
Pension Fund taking up to 95% of the investment amount to pay sales
commissions, expenses and fees. Additionally, because of HSBC's
negotiated fee arrangement with Pension Fund, HSBC actively
participated in the selection of offshore, high front load mutual
funds offered to prospective investors. However, according to the
Order, neither the amount of these sales loads, nor HSBC's role in the
funds' selection, were disclosed to investors. The Order further finds
that in October 2003 one of the HSBC representatives drafted a letter
on HSBC letterhead that Pension Fund sent to approximately half of its
existing investors, inviting existing investors to transfer their
funds to HSBC. The letter enclosed a form with the HSBC logo that
listed the new mutual fund selections available to investors upon
transfer to HSBC. Neither the letter nor the enclosure informed
investors that they would incur new front load fees in connection with
that transfer, or the amounts of those prospective costs. The Order
also finds that, among other things, HSBC failed to follow its own
internal procedures in reviewing and approving certain of the Pension
Fund offering materials.
Based on the above, the Order directs HSBC to cease and desist from
committing or causing any violations of Sections 17(a)(2) and (3) of
the Securities Act of 1933. Contemporaneously with the issuance of the
settled cease-and-desist Order, the SEC also filed a settled civil
action in which HSBC has agreed to pay a $10 million civil money
penalty, as well as disgorgement and prejudgment interest of $500,560.
The approximately $10.5 million payment by HSBC will be paid into a
Fair Fund for the benefit of injured investors in the Pension Fund
offering fraud. HSBC consented to the Order without admitting or
denying the findings made by the Commission. (Rel. 33-8844; File No.
3-12809; Press Rel. 2007-187)
IN THE MATTER OF ROBERT M. HARBRECHT, CPA, AND BRIAN R. SPIRES, CPA
On September 19, the Commission issued an Order Instituting Public
Administrative Proceedings Pursuant to Rule 102(e) of the Commission's
Rules of Practice, Making Findings, and Imposing Remedial Sanctions
(Order) against Robert M. Harbrecht, CPA, and Brian R. Spires, CPA.
The Order finds that Harbrecht, a retired partner at Deloitte & Touche
LLP (Deloitte), and Spires, a former senior manager at Deloitte,
engaged in improper professional conduct in connection with the 2000
audit of National Century Financial Enterprises, Inc. (NCFE), a
healthcare financing company.
The Order finds that NCFE issued asset-backed notes to institutional
investors through private offerings, in which NCFE represented that
the proceeds of those notes would be used exclusively for the purchase
of low-risk, patient-specific healthcare accounts receivable. The
quality of the receivables was material to noteholders because the
pool of purchased receivables was the sole source from which
noteholders would be repaid, according to the Order. The Order finds
that, contrary to these representations, NCFE used a substantial
portion of the note proceeds to make unsecured loans or loans secured
by collateral other than healthcare accounts receivable (non-permitted
loans) to severely financially distressed borrowers. The Order finds
that these non-permitted loans caused NCFE to be in violation of
provisions of the trust indentures that governed its receivables
programs.
The Order finds that Harbrecht and Spires (Respondents) failed to plan
and execute the audit of NCFE's 2000 financial statements in
accordance with Generally Accepted Auditing Standards, which resulted
in their failure to discover NCFE's non-permitted lending and the
resulting violations of the trust indentures. According to the Order,
accounts receivable was one of the most significant areas of the 2000
audit, as NCFE's $2.3 billion of accounts receivable represented 81%
of the company's $2.9 billion of total assets at the end of 2000.
Respondents failed to obtain sufficient competent evidential matter to
corroborate that NCFE's receivables portfolio consisted of purchased
healthcare accounts receivable, and failed to properly evaluate the
adequacy of NCFE's allowance for losses relating to those receivables.
The Order also finds that Respondents did not properly evaluate red
flags during the audit which should have alerted them to NCFE's non-
permitted loans, its borrowers' inability to repay those loans, and
the resulting impairment of NCFE's receivables portfolio.
Additionally, the Order finds that Respondents failed to obtain
sufficient competent evidential matter with regard to the nature and
substance of material related party transactions, many of which
constituted non-permitted loans.
Based on the above, the Order denies Harbrecht and Spires the
privilege of appearing or practicing before the Commission as
accountants. Harbrecht and Spires may apply for reinstatement after
eighteen months and one year, respectively. Harbrecht and Spires both
consented to the issuance of the Order without admitting or denying
any of the Commission's findings. (Rel. 34-56469; AAER Rel. 2720; File
No. 3-12810)
IN THE MATTER OF PRESS C. SOUTHWORTH, CPA
On September 19, the Commission issued an Order Instituting Public
Administrative Proceedings Pursuant to Rule 102(e) of the Commission's
Rules of Practice, Making Findings, and Imposing Remedial Sanctions
(Order) against Press C. Southworth, CPA. The Order finds that
Southworth, a retired partner at PricewaterhouseCoopers LLP, engaged
in improper professional conduct in connection with the 1998 audit of
National Century Financial Enterprises, Inc. (NCFE), a healthcare
financing company.
The Order finds that NCFE issued asset-backed notes to institutional
investors through private offerings, in which NCFE represented that
the proceeds of those notes would be used exclusively for the purchase
of low-risk, patient-specific healthcare accounts receivable. The
quality of the receivables was material to noteholders because the
pool of purchased receivables was the sole source from which
noteholders would be repaid, according to the Order. The Order finds
that, contrary to these representations, NCFE used a substantial
portion of the note proceeds to make unsecured loans or loans secured
by collateral other than healthcare accounts receivable (non-permitted
loans) to severely financially distressed borrowers. Non-permitted
loans comprised over 50% of NCFE's $1.223 billion receivables
portfolio by the end of 1998, according to the Order. The Order finds
that these non-permitted loans caused NCFE to be in violation of
provisions of the trust indentures that governed its receivables
programs.
The Order finds that, during the course of the 1998 audit, Southworth
was aware that NCFE was making non-permitted loans to healthcare
providers and that such loans caused NCFE's programs to be in
violation of the trust indentures. The Order also finds that NCFE's
1998 financial statements did not adequately disclose the non-
permitted loans, the resultant scope of the violations of the
indentures, or the consequences that such violations had on NCFE's
liquidity and its ability to continue as a going concern. The Order
finds that NCFE instead included a misleading footnote that included
management's false "opinion" that the violations could be cured or did
not represent material covenant defaults. The Order further finds that
NCFE's 1998 financial statements reflected only a $22.2 million
allowance for losses, which was insufficient in light of the material
impairment of NCFE's receivables that existed at the end of 1998.
Despite these deficiencies, Southworth signed an unqualified audit
report that erroneously stated that NCFE's 1998 financial statements
were prepared in accordance with Generally Accepted Accounting
Principles and that the audit had been conducted in accordance with
Generally Accepted Auditing Standards, according to the Order.
The Order also finds that Southworth failed to question management's
integrity and address evidence of possible fraud and illegal acts by
NCFE after he learned information suggesting that NCFE was reporting
inaccurately aged receivables and including ineligible receivables in
monthly investor reports that were provided to NCFE's program
trustees. In addition, the Order finds that Southworth failed to
disclose matters that were relevant to an evaluation of management
integrity in response to NCFE's subsequent auditor's inquiries.
Based on the above and on other improper professional conduct, the
Order denies Southworth the privilege of appearing or practicing
before the Commission as an accountant. Southworth may apply for
reinstatement after two years. Southworth consented to the issuance of
the Order without admitting or denying any of the Commission's
findings. (Rel. 34-56470; AAE Rel. 2721; File No. 3-12811)
INVESTMENT COMPANY ACT RELEASES
AMERICAN INTERNATIONAL GROUP, INC., ET AL.
The Commission has issued an order to American International Group,
Inc., et al. under Section 9(c) of the Investment Company Act
exempting applicants 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. (Rel. IC-27970 -
September 17)
ALLIANZ RCM GLOBAL ECOTRENDS FUND, ET AL.
An order has been issued on an application filed by Allianz RCM Global
EcoTrends Fund, et al. under Section 6(c) of the Investment Company
Act granting an exemption from Sections 18(c) and 18(i) of the Act,
under Sections 6(c) and 23(c)(3) of the Act granting an exemption from
Rule 23c-3 under the Act, and pursuant to Section 17(d) of the Act and
Rule 17d-1 under the Act. The order permits certain registered closed-
end management investment companies to issue multiple classes of
shares and to impose asset-based distribution fees and early
withdrawal charges. (Rel. IC-27971 - September 18)
SELF-REGULATORY ORGANIZATIONS
APPROVAL OF PROPOSED RULE CHANGES
A proposed rule change (SR-ISE-2007-45), as modified by Amendment No.
1 thereto, filed by the International Securities Exchange relating to
a quote mitigation plan for competitive market makers has been
approved pursuant to Section 19(b)(2) of the Securities Exchange Act
of 1934. Publication is expected in the Federal Register during the
week of September 24. (Rel. 34-56444)
The Commission approved a proposed rule change submitted by the
American Stock Exchange (SR-Amex-2007-85) to establish a new class of
Off-Floor Market Makers in ETFs and equities called Designated Amex
Remote Traders. Publication is expected in the Federal Register during
the week of September 24. (Rel. 34-56446)
IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGES
A proposed rule change (SR-CBOE-2007-111) filed by the Chicago Board
Options Exchange to retire two existing pilot programs that permit the
Exchange to list options on the Vanguard Emerging Markets Exchange
Traded Fund and the iShares MSCI Emerging Markets Index Fund 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 24. (Rel. 34-56448)
A proposed rule change (SR-CBOE-2007-107) filed by the Chicago Board
Options Exchange regarding continuation of temporary membership status
from and after Commission approval of a pending rule interpretation
concerning exercise right eligibility 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 24. (Rel. 34-56458)
PROPOSED RULE CHANGE
The Chicago Board Options Exchange filed a proposed rule change as
modified by Amendment No. 1 thereto (SR-CBOE-2007-52) relating to $1
Strikes for VXD and VXN options and $1 Strikes for RVX, VIX, VXD and
VXN LEAPs. Publication is expected in the Federal Register during the
week of September 24. (Rel. 34-56449)
SECURITIES ACT REGISTRATIONS
The following registration statements have been filed with the SEC
under the Securities Act of 1933. The reported information appears as
follows: Form, Name, Address and Phone Number (if available) of the
issuer of the security; Title and the number and/or face amount of the
securities being offered; Name of the managing underwriter or
depositor (if applicable); File number and date filed; Assigned
Branch; and a designation if the statement is a New Issue.
Registration statements may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
publicinfo@sec.gov. In most cases, this information is also available
on the Commission's website: www.sec.gov.
SB-2 Park Place Energy Corp., SUITE 300, 840 - 6TH AVENUE SW, CALGARY, A0,
T2P 3E5, 1-877-685-0076 - 11,562,252 ($14,568,437.52) Equity,
(File 333-146133 - Sep. 18) (BR. 08A)
S-1 IDLEAIRE TECHNOLOGIES CORP, 410 N. CEDAR BLUFF ROAD, SUITE 200,
KNOXVILLE, TN, 37923, 865-342-3640 - 0 ($100,000,000.00) Equity,
(File 333-146134 - Sep. 18) (BR. 11)
S-1 Turner Investments, Inc., 1205 WESTLAKES DRIVE, SUITE 100, BERWYN, PA,
19312, 484-329-2300 - 0 ($150,000,000.00) Equity, (File 333-146135 -
Sep. 18) (BR. 06B)
S-4 URS CORP /NEW/, 600 MONTGOMERY STREET, STE 500, SAN FRANCISCO, CA,
94111, 4157742700 - 0 ($1,476,542,687.00) Equity, (File 333-146136 -
Sep. 18) (BR. 06A)
S-1 Maiden Holdings, Ltd., 7 REID STREET, HAMILTON HM 12, D0, -,
(441) 295-5225 - 59,550,000 ($535,950,000.00) Equity,
(File 333-146137 - Sep. 18) (BR. 01)
S-4 US ENERGY CORP, 877 NORTH 8TH WEST, GLEN L LARSEN BLDG, RIVERTON, WY,
82501, 3078569271 - 2,876,188 ($2.27) Equity, (File 333-146138 -
Sep. 18) (BR. 04C)
SB-2 Rolling Technologies, Inc., PENTHOUSE, MENARA ANTARA, NO.11, JALAN,
BUKIT CEYLONG, KUALA LUMPUR, KULA LUMPUR, N8, 50200, 0123770130 -
950,000 ($19,000.00) Equity, (File 333-146139 - Sep. 18) (BR. 05)
S-8 NETLIST INC, 0 ($910,000.00) Equity, (File 333-146141 - Sep. 18)
(BR. 10)
SB-2 ORTEC INTERNATIONAL INC, 3960 BROADWAY, BLDG 28, NEW YORK, NY, 10032,
7183264698 - 86,642,140 ($34,656,856.00) Equity, (File 333-146142 -
Sep. 18) (BR. 10C)
S-8 PHASE FORWARD INC, 880 WINTER STREET, WALTHAM, MA, 02451,
0 ($8,233,735.50) Equity, (File 333-146144 - Sep. 18) (BR. 08C)
S-8 SYNAPTICS INC, 3120 SCOTT BLVD., SUITE 130, SANTA CLARA, CA, 95054,
4084545100 - 4,500,000 ($173,893,540.05) Equity, (File 333-146145 -
Sep. 18) (BR. 03B)
S-8 SYNAPTICS INC, 3120 SCOTT BLVD., SUITE 130, SANTA CLARA, CA, 95054,
4084545100 - 260,000 ($11,408,800.00) Equity, (File 333-146146 -
Sep. 18) (BR. 03B)
F-1 Hambrecht Asia Acquisition Corp., 13/F TOWER 2, NEW WORLD TOWER,
18 QUEENS ROAD CENTRAL, K3, 00000, 852-2801-5383 -
0 ($68,880,100.00) Equity, (File 333-146147 - Sep. 18) (BR. 09)
S-8 HEARST ARGYLE TELEVISION INC, 888 SEVENTH AVE, NEW YORK, NY, 10106,
2128876800 - 0 ($61,296,000.00) Equity, (File 333-146148 - Sep. 18)
(BR. 11C)
F-3ASR NICE SYSTEMS LTD, 8 HAPNINA STREET, P.O.B. 690, RA'ANANA, L3, 43107,
972-9-775-3777 - 0 ($0.00) ADRs/ADSs, (File 333-146149 - Sep. 18)
(BR. 03A)
S-3 Citi Trends Inc, 102 FAHM STREET, SAVANNAH, GA, 31401, 912-236-1561 -
0 ($72,311,342.35) Equity, (File 333-146150 - Sep. 18) (BR. 02A)
S-3 FUELCELL ENERGY INC, 3 GREAT PASTURE RD, DANBURY, CT, 06813,
2038256000 - 3,822,630 ($34,671,254.10) Equity, (File 333-146151 -
Sep. 18) (BR. 10B)
S-4 Kansas City Southern de Mexico, S.A. de C.V., MONTES URALES NO. 625,
COL. LOMAS DE CHAPULTEPEC, MEXICO CITY, O5, 11000, 011525591785836 -
0 ($175,000,000.00) Non-Convertible Debt, (File 333-146153 - Sep. 18)
(BR. 05B)
S-8 DYAX CORP, 0 ($14,184,000.00) Equity, (File 333-146154 - Sep. 18)
(BR. 01A)
S-8 DYAX CORP, 0 ($1,182,000.00) Equity, (File 333-146155 - Sep. 18)
(BR. 01A)
S-3 TIVO INC, 2160 GOLD STREET, PO BOX 2160, ALVISO, CA, 95002,
408-519-9100 - 0 ($65,000,001.50) Other, (File 333-146156 - Sep. 18)
(BR. 11C)
S-4 MOBILE SERVICES GROUP INC, 700 NORTH BRAND BOULEVARD, SUITE 1000,
GLENDALE, CA, 91203, 8182533200 - 0 ($200,000,000.00) Debt,
(File 333-146157 - Sep. 18) (BR. 05)
S-4 EL PASO NATURAL GAS CO, 1001 LOUISIANA STREET, HOUSTON, TX, 77002,
(713) 420-2600 - 0 ($355,000,000.00) Non-Convertible Debt,
(File 333-146158 - Sep. 18) (BR. 02C)
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
ACA Capital Holdings Inc 8.01,9.01 09/17/07 AMEND
ACORN FACTOR, INC. DE 8.01,9.01 09/13/07
AETRIUM INC MN 2.02,9.01 09/12/07
AFFILIATED COMPUTER SERVICES INC DE 5.02,9.01 09/18/07
Aircastle LTD D0 1.01,2.03,9.01 09/18/07
ALFACELL CORP DE 8.01,9.01 09/12/07
ALL AMERICAN PET COMPANY, INC. MD 4.01,8.01,9.01 09/11/07
ALTERNET SYSTEMS INC NV 5.02 09/17/07
AMAZON COM INC DE 5.03,9.01 09/12/07
AMERICAN EXPRESS CO NY 7.01 09/18/07
AMERICAN PHYSICIANS CAPITAL INC MI 7.01,9.01 09/12/07 AMEND
AMERICAN STATES WATER CO CA 7.01,9.01 09/17/07
AMREP CORP. OK 2.01,9.01 09/15/07
AMSCAN HOLDINGS INC DE 1.01,8.01,9.01 09/18/07
ANDREW CORP DE 8.01,9.01 09/14/07
Animal Health International, Inc. DE 2.02 09/18/07
Animal Health International, Inc. DE 5.02,7.01,9.01 09/14/07
APARTMENT INVESTMENT & MANAGEMENT CO MD 1.01,9.01 09/14/07
APOLLO INVESTMENT CORP MD 7.01,9.01 09/18/07
Apple REIT Eight, Inc. VA 1.01 09/17/07
ARBITRON INC DE 7.01,9.01 09/18/07
ARIEL WAY INC FL 8.01,9.01 09/18/07
AROTECH CORP DE 8.01,9.01 09/18/07
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 09/17/07
ASI ENTERTAINMENT INC DE 8.01 09/18/07
Asia Automotive Acquisition Corp. DE 8.01,9.01 09/18/07
ASTORIA FINANCIAL CORP DE 8.01,9.01 09/18/07
ATLAS AIR WORLDWIDE HOLDINGS INC DE 5.02,9.01 09/17/07
AUTOZONE INC NV 2.02 09/18/07
AVATECH SOLUTIONS INC DE 5.02,9.01 09/12/07
AVICI SYSTEMS INC DE 5.02 09/14/07
Avro Energy Inc. NV 1.01,3.02,9.01 09/01/07
AXIS CAPITAL HOLDINGS LTD 8.01 08/31/07
AZZ INC TX 8.01 09/17/07
BANK OF AMERICA CORP /DE/ DE 8.01,9.01 09/11/07
Baseline Oil & Gas Corp. NV 8.01,9.01 09/17/07
Basin Water, Inc. DE 8.01 09/17/07
BAYWOOD INTERNATIONAL INC NV 9.01 04/11/07 AMEND
BBN Global Consulting, Inc NV 5.01,5.02,9.01 09/18/07
Bear Stearns ARM Trust 2007-5 DE 9.01 08/31/07
BEST BUY CO INC MN 2.02,9.01 09/18/07
BEST CARE INC NV 1.01,5.01,5.02,9.01 08/27/07 AMEND
BJs RESTAURANTS INC CA 8.01,9.01 09/18/07
BODYTEL SCIENTIFIC INC. NV 8.01,9.01 09/12/07
BODYTEL SCIENTIFIC INC. NV 8.01,9.01 09/18/07
BOWATER INC DE 8.01,9.01 09/18/07
BROOKE CORP KS 1.01,7.01,9.01 09/13/07
BROWN SHOE CO INC NY 7.01,9.01 09/18/07
BSD MEDICAL CORP DE 7.01,9.01 09/18/07
BUCKLE INC NE 8.01,9.01 09/18/07
Burger King Holdings Inc DE 5.02,9.01 09/14/07
BUTLER NATIONAL CORP DE 8.01,9.01 09/17/07
CABOT MICROELECTRONICS CORP DE 5.02,9.01 09/17/07
CAL-BAY INTERNATIONAL INC NV 8.01,9.01 09/06/07
CAL-BAY INTERNATIONAL INC NV 1.02 09/18/07
CALYPTE BIOMEDICAL CORP DE 7.01,9.01 09/18/07
CAPTARIS INC WA 1.01,9.01 09/12/07
CARDINAL COMMUNICATIONS, INC NV 1.01,1.02,2.03,9.01 09/04/07
CARDIODYNAMICS INTERNATIONAL CORP CA 8.01,9.01 09/17/07
CBRL GROUP INC TN 2.02,7.01,9.01 09/18/07
CDW CORP IL 7.01 09/17/07
CERAGENIX PHARMACEUTICALS, INC. DE 7.01,9.01 09/18/07
CHAMPPS ENTERTAINMENT INC DE 8.01 09/17/07
Chelsea Therapeutics International, L DE 8.01,9.01 09/10/07
CHINA SKY ONE MEDICAL, INC. NV 4.02 09/18/07
CHOICE HOTELS INTERNATIONAL INC /DE DE 7.01,9.01 09/18/07
CINCINNATI BELL INC OH 2.02,9.01 09/18/07
CINTEL CORP NV 4.02 06/05/07
CITIGROUP INC DE 9.01 09/14/07
CITIGROUP INC DE 9.01 09/14/07
CITIGROUP INC DE 9.01 09/14/07
CLEARANT INC 5.02 09/18/07
COLE KENNETH PRODUCTIONS INC NY 2.01,9.01 09/18/07
COMMERCE ENERGY GROUP, INC. DE 8.01,9.01 09/18/07
COMMUNICATE COM INC NV 5.02 09/18/07
Conmed Healthcare Management, Inc. DE 8.01,9.01 09/17/07
CONTANGO OIL & GAS CO DE 2.02,9.01 09/13/07
COOPER INDUSTRIES LTD 5.02 09/12/07
COOPER TIRE & RUBBER CO DE 8.01,9.01 08/03/07
COSI INC DE 5.02 09/15/07
COSTAR GROUP INC 1.01 09/14/07
Cougar Biotechnology, Inc. 5.02,9.01 09/12/07
CPI CORP DE 1.01,9.01 09/14/07
CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 09/18/07
CTS CORP IN 5.02 09/18/07
CTS CORP IN 5.02 09/18/07 AMEND
CYBERLUX CORP NV 8.01,9.01 09/18/07
CYTOKINETICS INC 8.01,9.01 09/18/07
DARDEN RESTAURANTS INC FL 2.02,9.01 09/18/07
Deep Field Technologies, Inc. NJ 8.01 09/18/07
DELCATH SYSTEMS INC DE 8.01,9.01 09/17/07
DELL INC DE 3.01,9.01 09/14/07 AMEND
DEVRY INC DE 8.01,9.01 09/18/07
DISTRIBUTED ENERGY SYSTEMS CORP DE 3.01,9.01 09/14/07
DOLLAR TREE STORES INC VA 7.01,9.01 09/18/07
DORAL FINANCIAL CORP PR 7.01 09/13/07
DOUBLE EAGLE PETROLEUM CO MD 7.01,9.01 09/18/07
DRI CORP NC 7.01,9.01 09/18/07
E TRADE FINANCIAL CORP DE 7.01,9.01 09/17/07
EAGLE ROCK ENERGY PARTNERS L P DE 5.02,9.01 09/15/07
EAU TECHNOLOGIES, INC. DE 1.02 09/12/07
ECOLOGY & ENVIRONMENT INC NY 2.05,2.06 09/12/07
EDEN BIOSCIENCE CORP WA 3.01,9.01 09/12/07
EDO CORP NY 1.01,8.01,9.01 09/16/07
ELECTRONIC SYSTEMS TECHNOLOGY INC WA 8.01,9.01 09/13/07
EMERGING VISION INC NY 8.01,9.01 09/14/07
ENCYSIVE PHARMACEUTICALS INC DE 8.01 09/13/07
ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 09/18/07
ENERGIZER HOLDINGS INC MO 1.01 09/14/07
ENERNOC INC 1.01,2.01,3.02,9.01 09/12/07
ENTERTAINMENT DISTRIBUTION CO INC DE 5.03,9.01 09/17/07
ENTREMED INC DE 1.01,2.03,3.02,9.01 09/12/07
EQUIFAX INC GA 5.03,9.01 09/12/07
EQUITY INNS INC TN 8.01,9.01 09/12/07
ERIE INDEMNITY CO PA 8.01,9.01 09/18/07
ETERNAL TECHNOLOGIES GROUP INC DE 2.01 09/12/07 AMEND
EXELON CORP PA 7.01,9.01 09/18/07
FACTORY CARD & PARTY OUTLET CORP DE 1.01,2.02,5.02,8.01,9.01 09/17/07
FANSTEEL INC DE 1.01,9.01 09/12/07
Federal Home Loan Bank of Atlanta X1 2.03 09/12/07
Federal Home Loan Bank of Boston X1 2.03 09/12/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 09/12/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 09/13/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 09/13/07
Federal Home Loan Bank of New York X1 2.03,9.01 09/12/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 09/12/07
Federal Home Loan Bank of San Francis X1 2.03 09/12/07
Federal Home Loan Bank of Topeka 2.03 09/12/07
FERRO CORP OH 7.01,9.01 09/18/07
Fidelity National Information Service 1.01,2.01,2.03,9.01 09/12/07
FINISAR CORP DE 3.01,8.01,9.01 09/14/07
FIRST ACCEPTANCE CORP /DE/ DE 1.01,2.03,9.01 09/13/07
FIRST UNITED ETHANOL LLC GA 1.01,9.01 09/12/07
FIRSTENERGY CORP OH 1.01 09/14/07
FIRSTWAVE TECHNOLOGIES INC GA 3.02 08/14/07 AMEND
Fluid Media Networks, Inc. 1.01,3.02,9.01 09/06/07
FLUOR CORP DE 5.02 09/13/07
FNB United Corp. NC 8.01,9.01 09/18/07
FOCUS ENHANCEMENTS INC DE 1.01,9.01 09/14/07
FRANKLIN TOWERS ENTERPRISES INC 1.01,2.03,3.02,9.01 09/12/07
FROZEN FOOD EXPRESS INDUSTRIES INC TX 1.01,9.01 09/17/07
GASTAR EXPLORATION LTD 7.01,9.01 09/18/07
GASTAR EXPLORATION LTD 7.01,9.01 09/17/07
GateHouse Media, Inc. DE 2.01,9.01 09/14/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 09/11/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 09/12/07
GEODYNE INSTITUTIONAL PENSION ENERGY OK 2.01,9.01 09/12/07
George Foreman Enterprises Inc DE 8.01 09/12/07
GEOVIC MINING CORP. DE 7.01,9.01 09/18/07
GMH Communities Trust MD 5.02,9.01 09/12/07
GOAMERICA INC DE 1.01,2.03,5.03,9.01 09/12/07
GOLDEN STAR RESOURCES LTD 5.02 09/12/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 09/14/07
GUARDIAN TECHNOLOGIES INTERNATIONAL I DE 8.01 09/17/07
HANOVER INSURANCE GROUP, INC. DE 5.02,9.01 09/17/07
HAPC, Inc. DE 7.01,8.01,9.01 09/18/07
HARVEST NATURAL RESOURCES, INC. DE 1.01 09/12/07
HEARTLAND, INC. MD 5.02 08/18/07
HEARUSA INC DE 5.02,9.01 09/14/07
HELICOS BIOSCIENCES CORP 7.01,9.01 09/17/07
HEMAGEN DIAGNOSTICS INC DE 4.01,9.01 09/13/07
HESKA CORP DE 5.02 09/18/07
HF FINANCIAL CORP DE 5.02 09/12/07
Homeland Security Capital CORP DE 2.01 08/28/07 AMEND
HOUSEHOLD AFFINITY CREDIT CARD MASTER DE 9.01 09/17/07
HUDSON HIGHLAND GROUP INC DE 7.01 09/18/07
HUGOTON ROYALTY TRUST TX 2.02,9.01 09/18/07
ICON CASH FLOW PARTNERS L P SEVEN DE 8.01,9.01 09/17/07
ICON INCOME FUND EIGHT /DE DE 8.01,9.01 09/17/07
ICON INCOME FUND EIGHT B LP 8.01,9.01 09/17/07
ICON INCOME FUND NINE LLC DE 8.01,9.01 09/17/07
ICON INCOME FUND TEN LLC DE 8.01,9.01 09/17/07
ICON Leasing Fund Eleven, LLC DE 8.01,9.01 09/17/07
ICON Leasing Fund Twelve, LLC DE 8.01,9.01 09/17/07
IDAHO GENERAL MINES INC ID 5.02,9.01 09/13/07
IDEARC INC. DE 1.01,9.01 09/15/07
IElement CORP NV 1.02,5.02 09/18/07
IMPART MEDIA GROUP INC NV 5.02,5.03 09/12/07
INFOCROSSING INC DE 7.01,9.01 09/18/07
INNODATA ISOGEN INC DE 5.02 09/12/07 AMEND
INNOVATIVE FOOD HOLDINGS INC CO 1.01,9.01 09/12/07
INSITUFORM TECHNOLOGIES INC DE 7.01,9.01 09/18/07
Integrated Management Information, In 8.01,9.01 09/14/07
INTERACTIVE SYSTEMS WORLDWIDE INC /DE DE 3.03,9.01 09/17/07
INTERMUNE INC DE 8.01,9.01 09/18/07
INTERNATIONAL FLAVORS & FRAGRANCES IN NY 1.01,7.01,9.01 09/14/07
INTERPUBLIC GROUP OF COMPANIES, INC. DE 7.01,9.01 09/18/07
INTERSTATE HOTELS & RESORTS INC DE 1.01 09/12/07
INVERTED PARADIGMS CORP DE 7.01 09/18/07
ISTAR FINANCIAL INC MD 2.01,9.01 07/02/07 AMEND
ITT CORP IN 1.01,9.01 09/16/07
J P MORGAN CHASE & CO DE 9.01 09/14/07
JAG MEDIA HOLDINGS INC NV 1.01,2.03,9.01 09/12/07
JL HALSEY CORP 8.01,9.01 09/18/07
JMAR TECHNOLOGIES INC DE 1.01,3.02,5.01,9.01 09/12/07
JONES APPAREL GROUP INC PA 5.02 09/16/07
JOURNAL REGISTER CO DE 5.02,7.01,9.01 09/13/07
KRISPY KREME DOUGHNUTS INC NC 1.01,9.01 09/13/07
KROGER CO OH 2.02,9.01 09/18/07
LA-Z-BOY INC MI 5.02,7.01,9.01 09/18/07
LAKESIDE MORTGAGE FUND LLC CA 5.02 09/14/07
LandBank Group Inc DE 1.02 09/12/07
LECROY CORP DE 8.01,9.01 09/17/07
LEESPORT FINANCIAL CORP PA 5.04,9.01 09/18/07
LEHMAN BROTHERS HOLDINGS INC DE 2.02,9.01 09/18/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 09/18/07
LEVITT CORP FL 8.01,9.01 09/18/07
LHC Group, Inc 5.02,9.01 09/14/07
LIFE PARTNERS HOLDINGS INC TX 7.01 09/17/07
LIN TV CORP DE 7.01,9.01 09/17/07
LML PAYMENT SYSTEMS INC A1 9.01 06/30/07 AMEND
LODGENET ENTERTAINMENT CORP DE 7.01,9.01 09/17/07
LUMINENT MORTGAGE CAPITAL INC 1.01,2.03,8.01,9.01 09/12/07
M & F WORLDWIDE CORP DE 5.02 09/17/07
MAGNA ENTERTAINMENT CORP DE 1.01,2.03,3.02,5.02,8.01,9.01 09/12/07
MAGUIRE PROPERTIES INC MD 1.01,1.02,7.01,9.01 09/12/07
MC SHIPPING INC 3.01,3.03,9.01 09/12/07
MC SHIPPING INC 3.01,3.03,9.01 09/12/07 AMEND
McAfee, Inc. DE 8.01,9.01 09/17/07
MCGRAW-HILL COMPANIES INC NY 8.01,9.01 09/18/07
MEADE INSTRUMENTS CORP DE 8.01,9.01 09/18/07
MEADWESTVACO CORP DE 8.01 09/18/07
MEDICAL STAFFING NETWORK HOLDINGS INC DE 2.01,9.01 09/18/07 AMEND
MEMRY CORP DE 2.02,9.01 09/17/07
MEREDITH CORP IA 8.01,9.01 09/18/07
MGP INGREDIENTS INC KS 7.01 09/14/07
MICHAELS STORES INC DE 8.01,9.01 09/18/07
MSC INDUSTRIAL DIRECT CO INC NY 5.03,9.01 09/14/07
MULTI COLOR CORP OH 8.01 09/13/07
NATHANS FAMOUS INC DE 1.01 09/12/07
NATIONAL FINANCIAL PARTNERS CORP 7.01,9.01 09/18/07
NATIONAL FUEL GAS CO NJ 7.01,9.01 09/14/07
NAVISITE INC DE 1.01,2.01,2.03,3.02,5.03,9.01 09/12/07
NB&T FINANCIAL GROUP INC OH 8.01 09/18/07
NEKTAR THERAPEUTICS DE 5.02,7.01,9.01 09/12/07
NEOMAGIC CORP DE 3.01,8.01,9.01 09/17/07
Neonode, Inc DE 4.01,9.01 09/13/07 AMEND
NETLIST INC DE 5.02,9.01 09/18/07
Neuro-Hitech, Inc. DE 8.01,9.01 09/18/07
NEW CENTURY BANCORP INC NC 5.02 09/12/07
NEW YORK COMMUNITY BANCORP INC DE 8.01,9.01 09/18/07
NEWBRIDGE BANCORP NC 4.01,9.01 09/17/07 AMEND
NII HOLDINGS INC DE 1.01,2.03 09/14/07
NORAM CAPITAL HOLDINGS DE 7.01,9.01 09/18/07
NORTHERN OIL & GAS, INC. 5.02,9.01 09/12/07
Northstar Neuroscience, Inc. WA 7.01,9.01 09/17/07
NTS REALTY HOLDINGS LP DE 8.01,9.01 09/17/07
NUTRACEA CA 7.01,8.01 09/17/07
O CHARLEYS INC TN 5.02,7.01,9.01 09/18/07
O2DIESEL CORP 3.01,9.01 09/13/07
OCTILLION CORP 5.02,7.01,9.01 09/12/07
OMNOVA SOLUTIONS INC OH 2.02,5.02,9.01 09/17/07
OPTIMER PHARMACEUTICALS INC 5.02,5.03,9.01 09/12/07
Orexigen Therapeutics, Inc. DE 1.01,9.01 09/12/07
ORIENT EXPRESS HOTELS LTD 8.01,9.01 09/18/07
Owens Corning DE 8.01,9.01 09/17/07
PACER INTERNATIONAL INC TN 5.02,9.01 09/18/07
PALATIN TECHNOLOGIES INC DE 2.02,9.01 09/14/07
PATRICK INDUSTRIES INC IN 1.01,9.01 08/17/07
PAY88 NV 1.01,2.03,3.02,9.01 09/12/07
PC MALL INC DE 1.01,2.01,2.03,3.02,9.01 09/17/07
PETROQUEST ENERGY INC DE 1.01,2.03,8.01,9.01 09/17/07
PHYTOMEDICAL TECHNOLOGIES INC NV 5.02 09/12/07
Plastinum Polymer Technologies Corp. DE 8.01,9.01 09/14/07
Platinum Research Organization, Inc. DE 1.01 09/12/07
PLATO LEARNING INC DE 5.02 09/05/07
PLUSH MALL, INC. NV 8.01 09/13/07
POINT THERAPEUTICS INC DE 3.01,9.01 09/12/07
POLYMER GROUP INC DE 5.02,9.01 09/12/07
POWERCOLD CORP NV 5.02,9.01 09/13/07
POWERSECURE INTERNATIONAL, INC. DE 5.02 09/12/07
PRG SCHULTZ INTERNATIONAL INC GA 1.01,9.01 09/12/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 09/18/07
PROCTER & GAMBLE CO OH 7.01 09/18/07
PROGINET CORP DE 2.02,9.01 07/18/07
PROTECTIVE LIFE INSURANCE CO TN 9.01 09/13/07
PURE BIOFUELS CORP NV 1.01,2.03,3.02,5.01,5.02,5.03, 09/12/07
9.01
QUANTA SERVICES INC DE 8.01 09/13/07
QUICKLOGIC CORPORATION CA 5.02 09/12/07
QUIKSILVER INC DE 7.01 09/14/07
QUOTEMEDIA INC NV 1.01 09/13/07
R H DONNELLEY CORP DE 8.01,9.01 09/18/07
R&G FINANCIAL CORP PR 2.06,8.01,9.01 09/12/07
RADIO ONE INC DE 1.01,2.01,9.01 09/12/07
RALI Series 2007 QS10 Trust DE 8.01,9.01 09/18/07
RANCHER ENERGY CORP. NV 3.02 09/18/07
RAPTOR NETWORKS TECHNOLOGY INC 5.02 09/13/07
RENAISSANCERE HOLDINGS LTD 7.01,9.01 09/18/07
REVLON INC /DE/ DE 8.01 09/17/07
RICKS CABARET INTERNATIONAL INC TX 7.01,9.01 09/17/07
RIO VISTA ENERGY PARTNERS LP DE 1.01,2.03 09/12/07
RUBY TUESDAY INC GA 2.02,9.01 09/04/07
RYERSON INC. DE 8.01,9.01 09/18/07
S&T BANCORP INC PA 8.01 09/17/07
S&T BANCORP INC PA 5.02 09/17/07
SALESFORCE COM INC DE 7.01,9.01 09/17/07
SAMARITAN PHARMACEUTICALS INC NV 8.01,9.01 09/18/07
SATELLITE SECURITY CORP NV 2.01,8.01,9.01 09/14/07
SCHERING PLOUGH CORP NJ 5.03,9.01 09/17/07
SCIENTIFIC GAMES CORP DE 5.02 09/17/07
SCOTTS MIRACLE-GRO CO OH 8.01,9.01 09/13/07
SEAGATE TECHNOLOGY E9 5.02,9.01 09/13/07
SECURE COMPUTING CORP DE 5.02,9.01 09/14/07
SEREFEX CORP DE 1.01,5.01,9.01 09/12/07
Shire plc 8.01,9.01 09/17/07
SIMTROL INC DE 3.02,9.01 09/12/07
SINOBIOMED INC DE 3.02,8.01,9.01 09/11/07
SIRVA INC DE 5.02,9.01 09/12/07
SLM Student Loan Trust 2003-1 DE 8.01,9.01 09/17/07
Solera National Bancorp, Inc. DE 8.01,9.01 09/10/07
SOURCE PETROLEUM INC. NV 1.01,9.01 09/07/07
STANDARD PACIFIC CORP /DE/ DE 1.01,2.03,9.01 09/14/07
STEELCLOUD INC VA 2.02,9.01 09/12/07
STERLING CHEMICALS INC DE 1.01,9.01 09/17/07
STEVEN MADDEN, LTD. DE 3.01,9.01 09/12/07
Structured Asset Mortgage Investments DE 7.01 09/18/07
SUNRISE SENIOR LIVING INC DE 1.01,3.01 09/17/07
SUPERIOR ENERGY SERVICES INC DE 1.01,5.03,8.01,9.01 09/12/07
Sutura, Inc. 1.01,2.03,8.01,9.01 09/14/07
SYNERGX SYSTEMS INC DE 5.02 09/14/07
SYNERGY FINANCIAL GROUP INC /NJ/ NJ 8.01,9.01 09/18/07
SyntheMed, Inc. DE 8.01 09/10/07
TALLY HO VENTURES INC DE 5.02,8.01,9.01 09/13/07
TARGETED GENETICS CORP /WA/ WA 8.01,9.01 09/17/07
TATONKA OIL & GAS, INC. CO 5.02,7.01,9.01 09/12/07
Telanetix,Inc DE 2.01,3.02,5.02,9.01 09/14/07
TERCICA INC DE 2.03,3.02,3.03,9.01 09/17/07
TEXAS INDUSTRIES INC DE 7.01,9.01 09/18/07
TIGER TELEMATICS INC DE 1.03,8.01 09/18/07
TORO CO DE 5.02,5.04,7.01,9.01 09/18/07
TOWER AUTOMOTIVE INC DE 5.03 08/24/07
TRM CORP OR 3.01,9.01 09/12/07
TRW AUTOMOTIVE HOLDINGS CORP DE 8.01,9.01 09/18/07
TWEEN BRANDS, INC. DE 5.02 09/12/07
TYCO INTERNATIONAL LTD /BER/ D0 1.01,8.01 09/17/07
ULTRALIFE BATTERIES INC DE 1.01,8.01,9.01 09/12/07
UNIONBANCAL CORP DE 8.01,9.01 09/14/07
UNITED FUEL & ENERGY CORP NV 1.01,5.01,7.01,9.01 09/14/07
UNIVERSAL ENERGY CORP. 7.01,9.01 09/12/07
UNIVERSAL TRAVEL GROUP NV 2.01,2.02,7.01,9.01 08/06/07 AMEND
URANIUM RESOURCES INC /DE/ DE 8.01 09/18/07
UTSTARCOM INC DE 2.02,4.02,9.01 09/17/07
VALERO ENERGY CORP/TX DE 5.02,5.03,9.01 07/11/07 AMEND
VANGUARD HEALTH SYSTEMS INC DE 2.02,9.01 09/18/07
VIVUS INC CA 1.01,9.01 09/12/07
Voyant International CORP NV 7.01,9.01 09/18/07
WASTE TECHNOLOGY CORP DE 5.02,9.01 09/17/07
WEST PHARMACEUTICAL SERVICES INC PA 7.01,9.01 09/18/07
Whitehall Jewelers Holdings, Inc. DE 2.02,9.01 09/18/07
ZION OIL & GAS INC DE 1.01,9.01 09/17/07
ZONES INC WA 1.01,9.01 09/12/07
http://www.sec.gov/news/digest/2007/dig091907.htm
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