SEC News Digest (September 24, 2007)

	Home \| Previous Page

SEC NEWS DIGEST

Issue 2007-184 September 24, 2007

COMMISSION ANNOUNCEMENTS

SECURITIES AND EXCHANGE COMMISSION SUSPENDS TRADING IN BIOMAXX
SYSTEMS, INC.

The U.S. Securities and Exchange Commission announced the temporary
suspension of trading of the securities of Biomaxx Systems, Inc.
(Biomaxx), commencing at 9:30 a.m. EDT on Sept. 24, 2007 and
terminating at 11:59 p.m. EDT on Oct. 5, 2007.

The Commission temporarily suspended trading in the securities of
Biomaxx because the market may be reacting to manipulative forces or
deceptive practices and there is insufficient current public
information about the issuer upon which an informed investment
decision may be made, particularly concerning (1) the identity of and
prior securities fraud judgments against persons who appear to be
involved in the offer and sale, or in connection with the purchase or
sale, of Biomaxx shares; (2) the financial performance and business
prospects of Biomaxx; and (3) offerings to foreign investors and any
restrictions on the resale of shares. This order was entered pursuant
to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act)
Section 12(k).

The Commission cautions brokers, dealers, shareholders and prospective
purchasers that they should carefully consider the foregoing
information along with all other currently available information and
any information subsequently issued by this company.

Brokers and dealers should be alert to the fact that, pursuant to
Exchange Act Rule 15c2-11, at the termination of the trading
suspensions, no quotation may be entered relating to the securities of
the subject company unless and until the broker or dealer has strictly
complied with all of the provisions of the rule. If any broker or
dealer is uncertain as to what is required by the rule, it should
refrain from entering quotations relating to the securities of this
company that has been subject to a trading suspension until such time
as it has familiarized itself with the rule and is certain that all of
its provisions have been met. Any broker or dealer with questions
regarding the rule should contact the staff of the Securities and
Exchange Commission in Washington, DC at (202) 551-5720. If any broker
or dealer enters any quotation which is in violation of the rule, the
Commission will consider the need for prompt enforcement action.

If any broker, dealer or other person has any information which may
relate to this matter, they should contact Gregory G. Faragasso,
Assistant Director, at (202) 551-4734, or by email at
faragassog@sec.gov. (Rel. 34-56499)

SECURITIES AND EXCHANGE COMMISSION SUSPENDS TRADING IN EVOLUTION
GLOBAL CAPITAL PARTNERS, INC.

The U.S. Securities and Exchange Commission announced the temporary
suspension of trading of the securities of Evolution Global Capital
Partners, Inc. (Evolution), commencing at 9:30 a.m. EDT on Sept. 24,
2007 and terminating at 11:59 p.m. EDT on Oct. 5, 2007.

The Commission temporarily suspended trading in the securities of
Evolution because the market may be reacting to manipulative forces or
deceptive practices and there is insufficient current public
information about the issuer upon which an informed investment
decision may be made, particularly concerning (1) the identity of and
prior securities fraud judgments against persons who appear to be
involved in the offer and sale, or in connection with the purchase or
sale, of Evolution shares; (2) the financial performance and business
prospects of Evolution; and (3) offerings to foreign investors and any
restrictions on the resale of shares. This order was entered pursuant
to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act)
Section 12(k).

AGENCIES ADOPT FINAL RULES TO IMPLEMENT THE BANK 'BROKER' PROVISIONS
OF THE GRAMM-LEACH-BLILEY ACT

The Securities and Exchange Commission (SEC) and Board of Governors of
the Federal Reserve System (Board) on Monday announced the adoption of
final joint rules to implement the "broker" exceptions for banks under
Section 3(a)(4) of the Securities Exchange Act of 1934. These
exceptions were adopted as part of the Gramm-Leach-Bliley Act of 1999
(GLB Act). The SEC and the Board approved the final rules at separate
open meetings held on Sept. 19, 2007, and Sept. 24, 2007,
respectively.

The Board and SEC issued proposed rules for comment in December 2006.
The final rules are similar to the proposed rules in overall scope and
approach. In response to comments, the agencies also have modified the
rules in several important respects to make the rules more workable
and less burdensome. These changes are discussed in detail in the
attached notice, which will be published in the Federal Register
shortly.

The rules define the scope of securities activities that banks may
conduct without registering with the SEC as a securities broker and
implement the most important "broker" exceptions for banks adopted by
the GLB Act. Specifically, the rules implement the statutory
exceptions that allow a bank, subject to certain conditions, to
continue to conduct securities transactions for its customers as part
of the bank's trust and fiduciary, custodial and deposit "sweep"
functions, and to refer customers to a securities broker-dealer
pursuant to a networking arrangement with the broker-dealer.

The rules are designed to accommodate the business practices of banks
and to protect investors. In developing these rules, the agencies
consulted extensively with the Office of the Comptroller of the
Currency, the Federal Deposit Insurance Corporation and the Office of
Thrift Supervision. Banks do not have to start complying with the
rules until the first day of their fiscal year commencing after Sept.
30, 2008. Media contacts:

SEC, Kevin Callahan, (202) 551-4120 Federal Reserve, Deborah
Lagomarsino, (202) 452-2955 (Press Rel. 2007-198)

RULES AND RELATED MATTERS

SEVEN CREDIT RATING AGENCIES REGISTER WITH THE SEC AS NATIONALLY
RECOGNIZED STATISTICAL RATING ORGANIZATIONS

The Commission issued orders today granting the registration of seven
credit rating agencies as a nationally recognized statistical rating
organization (NRSRO). The firms are the first to be registered with
the Commission under the Credit Rating Agency Reform Act of 2006.

The seven firms registered as NRSROs are:

* A.M. Best Company, Inc.
* DBRS Ltd.
* Fitch, Inc.
* Japan Credit Rating Agency, Ltd.
* Moody's Investors Service, Inc.
* Rating and Investment Information, Inc.
* Standard & Poor's Ratings Services

Publication is expected to be made in the Federal Register during the
week of Oct. 1, 2007.

For further information, contact Rose Wells at 202-551-5527 or Randall
Roy at 202-551-5522. (Rels. 34-56507, 34-56508, 34-56509, 34-56510,
34-56511, 34-56512, and 34-56513)

ENFORCEMENT PROCEEDINGS

SECURITIES AND EXCHANGE COMMISSION INSTITUTES ADMINISTRATIVE
PROCEEDINGS AGAINST SOLV-EX CORPORATION FOR FAILURE TO MAKE REQUIRED
PERIODIC FILINGS

On September 24, the Commission issued an Order Instituting
Administrative Proceedings and Notice of Hearing Pursuant to Section
12(j) of the Securities Exchange Act of 1934 (the Order) against Solv-
Ex Corporation (Solv-Ex) to determine whether the registration of its
securities should be suspended for a period not exceeding twelve
months or revoked for failure to file required periodic reports
pursuant to Section 12(j) of the Securities Exchange Act of 1934
(Exchange Act). In the Order, the Division of Enforcement (Division)
alleges that Solv-Ex failed to comply with Section 13(a) of the
Exchange Act and Rules 13a-1 and 13a-13 thereunder by failing to file
periodic reports required by these provisions. A hearing will be
scheduled before an Administrative Law Judge to provide Solv-Ex an
opportunity to respond to the allegations of the Division contained in
the Order, to determine whether these allegations are true, and to
determine whether it is necessary and appropriate for the protection
of investors to suspend for a period not exceeding twelve months or
revoke the registration of Solv-Ex's securities. The Commission
ordered that the Administrative Law Judge in these proceedings issue
an initial decision not later than 120 days from the date of service
of the Order. (Rel. 34-56505; File No. 3-12821)

IN THE MATTER OF AMAROQ ASSET MANAGEMENT, LLC AND DWIGHT ANDREE SEAN
ONEAL JONES

On September 24, the Commission issued an Order Instituting
Administrative and Cease-and-Desist Proceedings Pursuant to Sections
203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940
(Order) against Amaroq Asset Management, LLC (Amaroq), a registered
investment adviser, and its sole principal, former NFL player Dwight
Andree Sean Oneal Jones (Jones), 44, of Missouri City, Texas.

The Division of Enforcement alleges in the Order that Jones - who at
one point claimed to manage over $40 million in assets for his clients
(primarily athletes) - refused to produce or allow the inspection of
his advisory business records, as required under the Investment
Advisers Act (Advisers Act). After repeatedly failing to respond to
the Commission staff, the Order alleges, Jones ultimately claimed that
all his records had either been destroyed in a fire or inadvertently
sold by a storage company. The Order also alleges that although Jones
claims that Amaroq discontinued business in 2004, Amaroq continued to
maintain a website until mid-2007 touting its wealth management
programs and that it was "subject to periodic SEC examinations."

The Division of Enforcement alleges in the Order that through its
conduct, Amaroq willfully violated the examination and reporting
requirements of Section 204 of the Advisers Act and Rules 204-1 and
204-2(f) thereunder, and that Jones willfully aided and abetted and
caused Amaroq's violations. An administrative hearing will be
scheduled to determine whether the allegations in the Order are true,
and to afford Amaroq and Jones an opportunity to establish any
defenses to the allegations. The proceedings will also determine
whether Amaroq and Jones should be ordered to cease and desist from
committing or causing violations of and any future violations of
Section 204 of the Advisers Act and Rules 204-1 and 204-2(f)
thereunder, and to determine whether remedial action, including but
not limited to, civil penalties, are appropriate and in the public
interest. The Order requires that an Administrative Law Judge issue an
initial decision no later than 300 days from the date of service of
the Order, pursuant to Rule 360(a)(2) of the Commission's Rules of
Practice. (Rel. IA-2651; File No. 3-12822)

SEC CHARGES THREE INDIVIDUALS IN MULTI-MILLION DOLLAR SCHEME TO
DEFRAUD SAVINGS BANKS AND THEIR DEPOSITORS

On September 24, the Commission filed a civil injunctive action in the
United States District Court for the District of New Jersey charging
three individuals with securities fraud for participating in a decade-
long scheme to defraud savings banks and their depositors in
connection with the banks' conversion from mutual to stock ownership.
All three defendants agreed to settle the Commission's charges.

When banks convert to stock ownership, depositors receive priority
rights to purchase shares at a low price. Banking regulations and
offering terms limit the number of shares a depositor may purchase and
prohibit transfer of the depositor's purchase rights. The SEC's
complaint alleges that, from 1994 to 2007, Mark Ristow orchestrated a
scheme to circumvent the limitations on stock purchases in 23 bank
conversions. Ristow made over $3 million in profits by selling the
bank stock he had illegally obtained. The other defendants are Andrew
Crabb, Ristow's cousin, and Susan Gitlin, Ristow's sister-in-law. In
return for a share of the profits, they assisted Ristow by acting as
his nominees, thus enabling Ristow to purchase even more shares.
Because the offerings were oversubscribed, the defendants' fraud
harmed legitimate depositors who received fewer shares than they
otherwise would have.

More specifically, the defendants named in the Commission's complaint
are:

Mark Ristow, age 62, a resident of Indianapolis, Indiana. He is a
retired real estate investor and property manager. He received a
Master of Business Administration from Harvard Business School in
1971.

Andrew Crabb, age 41, and a resident of Mechanicstown, Ohio. He is
employed as an engineer for an environmental consulting firm. Crabb is
Ristow's cousin and lived in New Jersey during the relevant period.

Susan Gitlin, age 49, and a resident of Norfolk, Virginia. She is a
medical research scientist and an assistant medical school professor.
Gitlin's sister is married to Ristow.

The Commission's complaint alleges as follows:

The defendants deliberately evaded federal and state banking
regulations designed to ensure that when a bank converts to stock
ownership, each of the bank's depositors has a fair chance to purchase
stock before other interested investors do so. These and other
applicable regulations and the offering terms contained in the
converting banks' prospectuses imposed maximum purchase limits and
prohibited the transfer of depositors' purchase rights. To ensure that
only depositors benefit from their priority purchase rights, federal
and state banking regulations prohibit depositors from transferring
ownership of their purchase rights or from entering into any agreement
regarding the sale or transfer of shares purchased in the offering.

Ristow funded the opening of accounts in his own name and the names of
Crabb and Gitlin at mutual savings banks throughout the country in the
hope that they would convert to stock ownership. When any of the banks
undertook a conversion, Ristow secretly funded his nominees' stock
purchases, controlled the sale of his nominees' shares and retained
most of the trading profits. Ristow also had the nominees submit stock
order forms in which they falsely certified to the banks that they
were purchasing the stock for their own account and had no agreement
to transfer the shares or the proceeds of their sale. Ristow caused
his nominees to make these material misrepresentations in 23 public
stock offerings by banks. The 23 offerings were oversubscribed, and
the defendants' misconduct therefore limited the amount of stock
available to legitimate depositors, some of whom received less stock
than they requested or were completely shut out. Ristow and his
nominees made over $3 million from the scheme at the expense of other
depositors.

Crabb and Gitlin knowingly played a key role in carrying out the
scheme, and profited from their own misconduct. Crabb and Gitlin
worked with Ristow to set up as many accounts as possible on Ristow's
behalf. To satisfy in-state residency requirements, Crabb and Gitlin
opened multiple accounts in their names for Ristow at banks in their
respective home states, New Jersey and Virginia. Crabb spent over a
decade traveling around New Jersey opening accounts for Ristow and
using his own home address for those accounts to avoid arousing
suspicion. To help Ristow open an account at a New Jersey-based credit
union, Crabb had his New Jersey consulting firm join the credit union
and then sent the credit union a phony letter on his firm's letterhead
offering Ristow a position with the firm.

All three defendants are charged with violating Section 10(b) of the
Securities and Exchange Act of 1934 ("Exchange Act") and Rule 10b-5
thereunder. In the complaint, the Commission seeks permanent
injunctive relief, disgorgement and civil penalties. Each of the
defendants, without admitting or denying the allegations of the
Commission's complaint, has consented to the entry of a permanent
injunction against violating Section 10(b) of the Exchange Act and
Rule 10b-5 thereunder. In addition, all three of the defendants have
agreed to settle the SEC charges by consenting, without admitting or
denying the complaint's allegations, to the entry of permanent
antifraud injunctions. In addition, Crabb will disgorge $98,628 in
profits he made from the scheme, plus prejudgment interest, and pay a
civil penalty in the amount of $100,000. Gitlin will disgorge $164,761
in profits, plus prejudgment interest, and pay a civil penalty in the
amount of $75,000. Because Ristow has already agreed to forfeit an
amount equivalent to his ill-gotten gains in conjunction with his
guilty plea in the parallel criminal case, the consent judgment in the
SEC case does not require disgorgement of those same ill-gotten gains.
The Commission's claim for a civil penalty against Ristow will remain
pending.

In a parallel criminal proceeding, the United States Attorney's Office
for the District of New Jersey has announced that it filed criminal
charges against Ristow for the same conduct. Earlier today, Ristow
agreed to pay a total of $2.85 million in forfeiture, representing his
own illegal profits from the scheme.

The Commission acknowledges the assistance and cooperation of the
United States Attorney's Office for the District of New Jersey, the
Federal Deposit Insurance Corporation, the Internal Revenue Service,
the Federal Bureau of Investigation and the U.S. Postal Inspection
Service in this matter. [SEC v. Mark Ristow et al., Civil Action No.
07-4547 (D.N.J.)] (LR-20292)

SEC v. PAUL HARARY AND DOUGLAS ZEMSKY

The Commission today filed a settled complaint against Florida
residents Paul Harary, 43, and Douglas Zemsky, 44, for their
involvement in an alleged $4.4 million market manipulation and
kickback scheme that defrauded customers of a Boca Raton brokerage
firm.

The SEC complaint alleges that in 2004 and 2005:

* Harary and a Florida stockbroker defrauded the stockbroker's
customers by acquiring control of two shell companies, creating
an artificial market for those companies' common stock, and
manipulating the price of that stock using pre-arranged matched
orders.

* Another perpetrator, Zemsky, identified and purchased the shell
companies and coordinated matched orders to start the trading in
one of them at a pre-arranged, artificial price.

* The Florida stockbroker created the demand for the stock in the
two firms by purchasing it for his firm's customers, while Harary
controlled the supply of the unrestricted shares and sold them.

* Other investors, who purchased shares of one of the shell
companies on the open market but who were not customers of the
brokerage firm, also lost money because Harary manipulated the
share price of that company's stock.

* Harary made over $4.4 million in proceeds on his sales of these
stocks and then provided the Florida stockbroker over $1 million
in kickbacks through a series of cash handoffs and checks.

* The customers of the Florida stockbroker were left with
worthless shares of the shell companies and lost approximately
$3.8 million.

According to the complaint, the two shell companies were Secure
Solutions Holdings, Inc. (SSLX) and American Financial Holdings, Inc.
(AFHJ). Each traded on the over-the-counter market and was quoted on
the Pink Sheets.

Without admitting or denying the allegations in the complaint, Harary
and Zemsky consented to the entry of final judgments: (1) permanently
enjoining each from violating the antifraud and securities
registration provisions of the federal securities laws; (2) imposing
penny stock bars against each; (3) imposing an officer and director
bar against Zemsky; and (4) directing Harary to pay approximately $4
million and Zemsky to pay approximately $97,000 in disgorgement and
prejudgment interest.

Previously, on July 15, 2005, the Commission issued an Order
suspending trading in SSLX common stock for ten days because of
questions about the accuracy of representations in SSLX's press
releases concerning, among other things, the identity of the
management and directors of the company and the status of its
corporate organization. See Securities Exchange Act of 1934 Release
No. 52037 (July 15, 2005).

The U.S. Attorney for the District of Columbia simultaneously
announced that Harary pleaded guilty to conspiracy to commit mail and
wire fraud in a parallel criminal action brought in the United States
District Court for the District of Columbia. See United States v.
Harary, Crim. No. 07-Cr.-209 (EGS) (D.D.C.).

The Commission acknowledges the assistance of the U.S. Attorney's
Office for the District of Columbia, the Federal Bureau of
Investigation, the United States Postal Inspection Service, NASD (now
known as the Financial Industry Regulatory Authority), and the British
Columbia Securities Commission.

The Commission's investigation in this matter is ongoing. [SEC v. Paul
Harary and Douglas Zemsky, Civil Action No. 07-80875-CIV (S.D. Fla.]
(LR-20293)

SEC HALTS INVESTMENT FRAUD AND OBTAINS EMERGENCY RESTRAINING ORDER AND
ASSET FREEZE

DEFENDANTS OFFERED SECURITIES PURPORTEDLY SIMILAR TO CERTIFICATES OF
DEPOSIT

On September 21, the Commission filed an emergency civil enforcement
action in U.S. District Court in Boston to halt an ongoing investment
fraud by Boston-based Transnational Fund, Inc. and Michael Luckett.
That same day, the District Court granted the Commission's request for
a temporary restraining order, asset freeze, and other relief.

The Commission's complaint alleges that, from July 20, 2007, through
the present, Transnational and Luckett conducted a fraudulent offering
of unregistered securities known as "Transnational Certificates" using
Transnational's websites, www.transnationalfund.org and
www.transnationalfund.com. Defendants promised to pay investors at a
rate of 6.35% annual percentage yield in nine months. At least 15
investors in six different states, including Arizona, Kansas,
Michigan, Missouri, Pennsylvania, and Texas, purchased these
Certificates for at least $432,400. The Complaint further alleges
that, in soliciting investors, Transnational and Luckett made material
misrepresentations and omissions in that they: (1) failed to disclose
to investors and potential investors that Luckett would use investor
funds for personal purposes; (2) misrepresented that Transnational was
just like a bank; and (3) misrepresented that Transnational had been
in business for years. The Complaint alleges that Luckett took
thousands of dollars from at least one Transnational bank account into
which he had deposited investor funds and used the money to pay, among
other things, rent on a luxury condominium in Boston and the lease on
a Toyota automobile. According to the Complaint, he also used
bankcards issued on bank accounts holding Transnational investor funds
for various personal living expenses.

In other court pleadings, the Commission described the process
investors went through to purchase the Certificates. Investors
searched the Internet using such terms as "high yield certificate of
deposit" on websites such as Yahoo! or Google, and a link to the
Transnational website would come up. Investors then went onto the
Transnational website and completed an application to purchase a
Certificate online. After receiving a confirmation e-mail from
Transnational instructing the investor to sign a form agreement from
the website and send a cashier's check to an address in Hartford,
Connecticut (which turned out to be merely a drop box that forwarded
mail to Luckett in Boston), investors sent completed forms and checks
to Transnational. These funds were then deposited into various bank
accounts Transnational opened in the Boston Financial District within
the course of several weeks.

In addition to restraining the defendants from violating Sections
5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b)
of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, the
District Court's order, entered by Judge Reginald C. Lindsay, freezes
the defendants' assets and orders the defendants to cease all
operations of Transnational's websites on the Internet. The order also
prohibits defendants from soliciting, accepting, or depositing any
money from investors. The court set a date for hearing the
Commission's request for a preliminary injunction on October 4, 2007.

The Commission's complaint charges Transnational and Luckett with
violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933
and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-
5 thereunder. In addition to the emergency relief, the Commission
seeks a preliminary injunction, a permanent injunction, disgorgement,
and civil penalties.

Luckett was arrested by the Boston Police Department on September 13,
2007, and charged with larceny in connection with this activity. He
was arrested as he attempted to withdraw $45,000 in cash from a bank
account holding Transnational investor funds.

The Commission acknowledges the substantial assistance provided by the
Massachusetts Financial Crimes Task Force in this matter. [SEC v.
Transnational Fund, Inc., a/k/a National Savings, and Michael Luckett,
07-CA-11774-RWZ (D. Mass.)] (LR-20294)

SEC V. JOSEPH SIMONE, ET AL.

The Commission announced today that it filed an amended complaint in
one of the "stock loan" civil actions filed on Thursday September 20,
2007. The Amended Complaint now also charges Patrick Verdi, the former
supervisor of the stock loan desk of Schonfeld Securities LLC
(Schonfeld), and G.P. Institutional Services, Inc. (GP), a purported
stock loan finder firm controlled by Verdi, as defendants in the
pending action, with engaging in a scheme to defraud Schonfeld and
others through the payment of sham finder fees to GP.

The Amended Complaint specifically alleges as follows: From at least
March 2000 through January 2004, Verdi schemed with defendant Joseph
Simone, then the head of the stock loan desk of Van der Moolen
Specialist USA, LLC (VDM), to pay sham finder fees to GP on stock loan
transactions in which GP performed no services. VDM paid the sham
finder fees to GP on stock loan transactions in which Verdi had
Schonfeld borrow stock from, or lend stock to, VDM at rates that
favored VDM at Schonfeld's expense. Simone had VDM lend or borrow the
same stock in transactions with other firms at better rates, and GP's
finder fees were paid out of VDM's artificial profits. Verdi and
Simone arranged the stock loans themselves and GP did not provide any
finding services on the transactions. Verdi controlled GP's bank
accounts and transferred virtually all of the sham finder fees
received by GP to members of his family. Verdi made approximately $2
million from the scheme.

The Commission's Amended Complaint charges Verdi and GP with violating
Section 17(a) of the Securities Act of 1933 and Section 10(b) of the
Securities and Exchange Act of 1934 and Rule 10b-5 thereunder. The
Amended Complaint seeks permanent injunctive relief, disgorgement and
civil penalties against Verdi and GP.

The United States Attorney's Office for the Eastern District of New
York (USAO) today filed parallel criminal charges against Verdi for
the same conduct. The Commission acknowledges the assistance and
cooperation of the USAO and the Federal Bureau of Investigation in
this matter. The Commission's investigation is ongoing. [SEC v. Joseph
Simone, et al., Civil Action No. 07-3928 (EDNY)] (LR-20295)

SELF-REGULATORY ORGANIZATIONS

IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES

A proposed rule change filed by The NASDAQ Stock Market (SR-NASDAQ-
2007-077) to modify fees for members using the Nasdaq Market Center
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 September 24. (Rel. 34-56461)

A proposed rule change filed by the Municipal Securities Rulemaking
Board to delay the implementation of amendments to Rule G-27 on
supervision (SR-MSRB-2007-03) 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 September 24.
(Rel. 34-56478)

A proposed rule change filed by the Municipal Securities Rulemaking
Board to amend Rule A-3, on Membership on the Board (SR-MSRB-2007-02)
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 September 24. (Rel. 34-56479)

PROPOSED RULE CHANGES

The Options Clearing Corporation filed a proposed rule change (SR-OCC-
2007-08) under Section 19(b)(2) of the Securities Exchange Act that
would amend OCC's By-Laws and Rules to permit OCC to clear and settle
various types of binary options including fixed return options and
binary options on broad-based securities indexes. Publication is
expected in the Federal Register during the week of September 24.
(Rel. 34-56471)

The Financial Industry Regulatory Authority filed a proposed rule
change (SR-FINRA-2007-011) under Section 19(b)(2) of the Securities
Exchange Act that would amend NASD Rule 2711 and NYSE Rule 472 with
respect to a member's disclosure and supervisory review obligations
when it distributes or makes available third-party research reports.
Publication is expected in the Federal Register during the week of
September 24. (Rel. 34-56480)

The Financial Industry Regulatory Authority filed a proposed rule
change (SR-FINRA-2007-010) under Section 19(b)(2) of the Securities
Exchange Act that would amend an exemption to NASD Rule 1050 and NYSE
Rule Interpretation 344/02 for certain research analysts employed by a
member's foreign affiliate who contribute to the preparation of a
member's research report. Publication is expected in the Federal
Register during the week of September 24. (34-56481)

APPROVAL OF PROPOSED RULE CHANGES

The Commission has approved a proposed rule change (SR-NASDAQ-2007-
056) and Amendment No. 2 thereto submitted by The Nasdaq Stock Market
to retroactively modify pricing for Nasdaq members using the Nasdaq
Market Center. Publication is expected in the Federal Register during
the week of September 24. (Rel. 34-56477)

The Commission approved a proposed rule change (SR-Phlx-2007-27)
submitted by the Philadelphia Stock Exchange pursuant to Section
19(b)(1) of the Securities Exchange Act of 1934 to standardize certain
rules for equity, index, and ETF options. Publication is expected in
the Federal Register during the week of September 24. (Rel. 34-56483)

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-8 SIERRA BANCORP, 86 NORTH MAIN STREET, PORTERVILLE, CA, 93257,
5597824900 - 0 ($42,435,000.00) Other, (File 333-146214 - Sep. 21)
(BR. 07C)

SB-2 CATCHER HOLDINGS, INC, 39526 CHARLESTOWN PIKE, HAMPTON, VA, 20158,
540-882-3087 - 0 ($6,568,016.00) Equity, (File 333-146215 - Sep. 21)
(BR. 03A)

S-3ASR Oilsands Quest Inc, 205-707, 7TH AVENUE SW, CALGARY, A0, T2P 3H6,
4032631623 - 10,581,631 ($50,580,196.18) Equity, (File 333-146216 -
Sep. 21) (BR. 04A)

S-3 Volcano CORP, 2870 KILGORE ROAD, RANCHO CORDOVA, CA, 95670,
800-228-4728 - 0 ($200,000,000.00) Unallocated (Universal) Shelf,
(File 333-146217 - Sep. 21) (BR. 10C)

S-8 ADVANTEST CORP, SHIN-MARUNOUCHI CENTER BUILDING, 1-6-2 MARUNOUCHI,,
CHIYODA-KU, TOKYO 100-0005, M0, 00000, 81-3-3214-7500 -
191,000 ($9,305,520.00) Equity, (File 333-146218 - Sep. 21) (BR. 11B)

S-1 TomoTherapy Inc, 1240 DEMING WAY, MADISON, WI, 53717-1954,
0 ($251,022,000.00) Equity, (File 333-146219 - Sep. 21) (BR. 10)

S-3ASR J P MORGAN CHASE & CO, 270 PARK AVE, 39TH FL, NEW YORK, NY, 10017,
2122706000 - 0 ($0.00) Other, (File 333-146220 - Sep. 21) (BR. 07C)

S-8 Birmingham Bloomfield Bancshares, 33583 WOODWARD AVENUE, BIRMINGHAM,
MI, 48009, 248-593-6455 - 0 ($1,546,875.00) Equity, (File 333-146221 -
Sep. 21) (BR. 07C)

S-8 INNOVATIVE SOLUTIONS & SUPPORT INC, 420 LAPP RD, MALVERN, PA, 19355,
6108899898 - 0 ($26,010,000.00) Equity, (File 333-146223 - Sep. 21)
(BR. 03C)

S-8 FIRST ALBANY COMPANIES INC, 677 BROADWAY, ALBANY, NY, 12207-2990,
518-447-8673 - 0 ($20,587,500.00) Equity, (File 333-146224 - Sep. 21)
(BR. 06A)

S-3 VECTREN UTILITY HOLDINGS INC, 20 NW 4TH ST, EVANSVILLE, IN, 47708,
8124914000 - 300,000,000 ($300,000,000.00) Equity, (File 333-146225 -
Sep. 21) (BR. 02B)

S-1 Emphasys Medical, Inc., 700 CHESAPEAKE DRIVE, REDWOOD CITY, CA, 94063,
650-364-0400 - 0 ($86,250,000.00) Equity, (File 333-146226 - Sep. 21)
(BR. 10)

S-8 SOLITARIO RESOURCES CORP, 4251 KIPLING STREET, SUITE 390, WHEAT RIDGE,
CO, 80033, 3035341030 - 2,782,500 ($9,596,340.00) Equity,
(File 333-146227 - Sep. 21) (BR. 04B)

S-8 ATSI COMMUNICATIONS INC/DE, 8600 WURZBACH, SUITE 700 WEST, SAN ANTONIO,
TX, 78240, 210-614-7240 - 10,000,000 ($2,000,000.00) Equity,
(File 333-146228 - Sep. 21) (BR. 11B)

S-4 TESORO CORP /NEW/, 300 CONCORD PLAZA DRIVE, SAN ANTONIO, TX,
78216-6999, 2108288484 - 0 ($500,000,000.00) Non-Convertible Debt,
(File 333-146230 - Sep. 21) (BR. 04A)

S-8 AMERICAN DENTAL PARTNERS INC, 401 EDGEWATER PLACE, SUITE 430,
WAKEFIELD, MA, 01880-1249, 781-224-0880 -
150,000 ($3,703,500.00) Equity, (File 333-146231 - Sep. 21) (BR. 01A)

F-6 China Digital TV Holding Co., Ltd.,
JINGMENG HIGH-TECH BUILDING B, 4TH FLOOR, NO.5 SHANGDI EAST ROAD,
BEIJING, F4, 100085, (86) 10-6297-1199 -
100,000,000 ($5,000,000.00) Equity, (File 333-146232 - Sep. 21) (BR. 03)

S-8 PROGRESS SOFTWARE CORP /MA, 14 OAK PARK, BEDFORD, MA, 01730,
781-280-4473 - 0 ($98,679,949.00) Equity, (File 333-146233 - Sep. 21)
(BR. 03B)

S-3 SILVERSTAR HOLDINGS LTD, 1900 GLADES ROAD, SUITE 435, BOCA RATON, FL,
33431, 561-479-0040 - 7,141,126 ($17,781,404.00) Equity,
(File 333-146234 - Sep. 21) (BR. 03B)

S-3 NPS PHARMACEUTICALS INC, 420 CHIPETA WAY STE 240, SALT LAKE CITY, UT,
84108-1256, 8015834939 - 9,191,178 ($40,441,184.00) Equity,
(File 333-146235 - Sep. 21) (BR. 01B)

S-3 Enterprise GP Holdings L.P., 1100 LOUISIANA 10TH FLOOR, HOUSTON, TX,
77002, 7133816500 -
20,134,220 ($788,053,370.80) Limited Partnership Interests,
(File 333-146236 - Sep. 21) (BR. 02C)

S-8 SUPERIOR ENERGY SERVICES INC, 1105 PETERS ROAD, HARVEY, LA, 70058,
5043624321 - 250,000 ($9,017,500.00) Equity, (File 333-146237 -
Sep. 21) (BR. 04C)

S-4 CAMDEN NATIONAL CORP, TWO ELM ST, CAMDEN, ME, 04843, 2072368821 -
1,222,905 ($42,457,525.00) Equity, (File 333-146238 - Sep. 21) (BR. 07B)

SB-2 WaferGen Bio-systems, Inc., BAYSIDE TECHNOLOGY CENTER,
46571 FREMONT BLVD., FREMONT, CA, 94538, (510) 651-4450 -
10,924,907 ($20,757,323.00) Equity, (File 333-146239 - Sep. 21)
(BR. 10C)

S-1 ELIXIR PHARMACEUTICALS INC, ONE BROADWAY, CAMBRIDGE, MA, 02139,
671-621-1599 - 0 ($86,250,000.00) Equity, (File 333-146242 - Sep. 21)
(BR. )

S-4 Midwest Bancshares, Inc., 101 EAST A STREET, WELLSTON, OH, 45692,
740-384-2146 - 200,000 ($11,454,000.00) Equity, (File 333-146243 -
Sep. 21) (BR. )

S-8 AMERICAN GREETINGS CORP, ONE AMERICAN ROAD, CLEVELAND, OH, 44144,
2162527300 - 2,400,000 ($58,536,000.00) Equity, (File 333-146244 -
Sep. 21) (BR. 05A)

S-8 INFE HUMAN RESOURCES INC, 67 WALL STREET, NEW YORK, NY, 10005,
3,615,250 ($1,012,270.00) Equity, (File 333-146246 - Sep. 21) (BR. 08B)

S-4 FRONTIER FINANCIAL CORP /WA/, 332 SW EVERETT MALL WAY, EVERETT, WA,
98204, 4255140700 - 0 ($62,817,004.00) Equity, (File 333-146248 -
Sep. 21) (BR. 07C)

S-4 VIRGINIA FINANCIAL GROUP INC, 24 SOUTH AUGUSTA ST, STAUNTON, VA, 24401,
5408851232 - 0 ($243,087,011.00) Equity, (File 333-146249 - Sep. 21)
(BR. 07B)

S-4 SOUTHERN NATURAL GAS CO, EL PASO CORPORATION, 1001 LOUISIANA STREET,
HOUSTON, TX, 77002, 7134202787 -
0 ($500,000,000.00) Non-Convertible Debt, (File 333-146250 - Sep. 21)
(BR. 02A)

S-8 LIONS GATE ENTERTAINMENT CORP /CN/, 555 BROOKSBANK AVENUE,
NORTH VANCOUVER, A1, V7J3S5, 604-983-5555 - 0 ($10,741,000.00) Equity,
(File 333-146251 - Sep. 21) (BR. 05B)

N-2 BlackRock Strategic Income Opportunities Trust, 100 BELLEVUE PARKWAY,
WILMINGTON, DE, 19809, 800-882-0052 - 50,000 ($1,000,000.00) Equity,
(File 333-146252 - Sep. 21) (BR. )

S-3 MAJESCO ENTERTAINMENT CO, 160 RARITAN CENTER PARKWAY, SUITE 1, EDISON,
NJ, 08837, 7328727490 - 0 ($8,734,843.00) Equity, (File 333-146253 -
Sep. 21) (BR. 03C)

S-1 MEADE INSTRUMENTS CORP, 6001 OAK CANYON, IRVINE, CA, 92618,
9494511450 - 0 ($6,126,316.30) Equity, (File 333-146254 - Sep. 21)
(BR. 10B)

S-8 PRINCETON NATIONAL BANCORP INC, 606 S MAIN ST, PRINCETON, IL, 61356,
8158754444 - 0 ($8,250,000.00) Equity, (File 333-146255 - Sep. 21)
(BR. 07B)

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
-------------------------------------------------------------------------------------------------------
ABERCROMBIE & FITCH CO /DE/ DE 8.01 09/19/07

ABLE ENERGY INC DE 4.01 09/21/07

ACCENTIA BIOPHARMACEUTICALS INC 8.01 09/17/07

ACE MARKETING & PROMOTIONS INC NY 1.01,7.01,8.01,9.01 09/21/07

Acting Scout Inc. NV 5.03,8.01 09/20/07

AGL RESOURCES INC GA 8.01,9.01 09/21/07

AIR METHODS CORP DE 1.01,2.03,9.01 09/17/07

Aircastle LTD D0 5.02 09/21/07

AIRSPAN NETWORKS INC WA 1.01,9.01 09/20/07

Akeena Solar, Inc. DE 5.02 09/19/07

ALANCO TECHNOLOGIES INC AZ 1.01,9.01 09/20/07

ALEXANDRIA REAL ESTATE EQUITIES INC MD 1.01,8.01,9.01 09/19/07

ALLIANT TECHSYSTEMS INC DE 2.04 09/17/07

Alphatec Holdings, Inc. DE 1.01,8.01,9.01 09/20/07

Alphatec Holdings, Inc. DE 8.01,9.01 09/21/07 AMEND

Alsius Corp DE 5.03,9.01 09/20/07

Alternative Loan Trust 2007-OH2 8.01,9.01 06/29/07

AMERICAN AIRLINES INC DE 8.01 09/21/07

AMERICAN MORTGAGE ACCEPTANCE CO MA 1.01,9.01 09/17/07

AMERICAN OIL & GAS INC NV 7.01,9.01 09/21/07

AMERICAN TECHNICAL CERAMICS CORP DE 8.01,9.01 09/21/07

AMERISTAR CASINOS INC NV 1.01,2.01,2.03,9.01 09/18/07

AMERON INTERNATIONAL CORP DE 5.02,8.01 09/19/07

AMERON INTERNATIONAL CORP DE 8.01 09/21/07

AMR CORP DE 8.01 09/20/07

ARBIOS SYSTEMS INC DE 5.02,9.01 09/19/07

Argyle Security Acquisition CORP 8.01,9.01 09/17/07

ARTES MEDICAL INC 1.01,9.01 09/18/07

ASI TECHNOLOGY CORP NV 1.01,2.01,5.02,8.01,9.01 09/17/07

AURELIO RESOURCE CORP NV 5.03,9.01 09/11/07

AVON PRODUCTS INC NY 5.02 09/20/07

BANCORPSOUTH INC MS 5.02 09/18/07

BANK JOS A CLOTHIERS INC /DE/ DE 5.03,9.01 09/20/07

Baseline Oil & Gas Corp. NV 8.01,9.01 09/07/07 AMEND

BCAP LLC Trust 2007-AA5 8.01,9.01 09/21/07

BRADY CORP WI 8.01,9.01 09/18/07

BRAVO! BRANDS INC. DE 1.03 09/21/07

BROADWAY FINANCIAL CORP \DE\ DE 5.02 09/20/07

BUFFALO WILD WINGS INC MN 5.03,9.01 09/17/07

BV Financial, Inc. X1 8.01,9.01 09/21/07

CABCO SERIES 2004-102 TRUST (SBC COMM 8.01,9.01 09/15/07

CALA CORP OK 8.01 03/31/07

CAMDEN NATIONAL CORP ME 1.01,9.01 09/21/07

CARNIVAL CORP DE 5.02 09/18/07

CATALYTICA ENERGY SYSTEMS INC DE 1.01,9.01 09/20/07

CBRL GROUP INC TN 5.02,7.01,9.01 09/17/07

CENTER FINANCIAL CORP CA 7.01,9.01 09/18/07

CENTRAL FEDERAL CORP DE 8.01,9.01 09/21/07

CENTRAL HUDSON GAS & ELECTRIC CORP NY 8.01,9.01 09/19/07

CHEESECAKE FACTORY INC DE 8.01,9.01 09/20/07

CHINA GENGSHENG MINERALS, INC. NV 1.01,2.03,9.01 09/21/07

CITY NATIONAL CORP DE 5.03,9.01 09/19/07

COACH INDUSTRIES GROUP INC NV 1.01,1.03,2.04,9.01 09/07/07

COACHMEN INDUSTRIES INC IN 7.01 09/21/07

COAST BANCORP/CA 1.01,2.03,9.01 09/20/07

COLLECTIVE BRANDS, INC. DE 5.02 09/20/07

CombiMatrix Corp DE 5.02 09/17/07

COMMUNITY VALLEY BANCORP CA 8.01,9.01 09/21/07

COMPUDYNE CORP NV 3.01,3.03,5.01,5.02,8.01 09/21/07

CONSOLIDATED WATER CO LTD E6 8.01,9.01 09/19/07

COOPER INDUSTRIES LTD 5.02 09/17/07

CTI INDUSTRIES CORP DE 4.01,9.01 09/18/07

CV THERAPEUTICS INC DE 8.01,9.01 09/18/07

CV THERAPEUTICS INC DE 8.01 09/19/07

Devine Entertainment CORP A6 8.01,9.01 09/21/07

DGT Corp. NV 5.03,7.01,9.01 09/20/07

Discovery Holding CO DE 7.01 09/21/07

DOMINION RESOURCES INC /VA/ VA 8.01,9.01 09/19/07

Dorman Products, Inc. PA 8.01 09/21/07

DRESS BARN INC CT 8.01,9.01 09/20/07

DRESS BARN INC CT 7.01,9.01 09/19/07

DYNAMEX INC DE 2.02,7.01,9.01 09/19/07

Eagle Bulk Shipping Inc. 1.01,9.01 09/21/07

EAST WEST BANCORP INC 5.02 09/18/07

Echo Healthcare Acquisition Corp. DE 8.01,9.01 09/05/07 AMEND

EDWARDS LIFESCIENCES CORP DE 1.01,9.01 09/18/07

ELECSYS CORP KS 2.02,9.01 09/17/07

ELECTRO ENERGY INC FL 8.01 09/20/07

ELUXURYHOUSE INC 4.01 09/18/07

EMCOR GROUP INC DE 2.01,9.01 09/19/07

EMERGING VISION INC NY 9.01 08/10/07 AMEND

Emrise CORP DE 8.01 09/20/07

ENCORE ACQUISITION CO DE 1.01,2.01,9.01 09/17/07

Encore Energy Partners LP DE 1.01,2.01,3.03,5.03,9.01 09/17/07

ENCYSIVE PHARMACEUTICALS INC DE 1.01,2.03,3.03,7.01,9.01 09/21/07

ENDURANCE SPECIALTY HOLDINGS LTD 8.01 09/21/07

ENSCO INTERNATIONAL INC DE 8.01,9.01 09/21/07

Enterprise GP Holdings L.P. DE 8.01,9.01 09/20/07

EPOD International Inc 4.01,4.02,9.01 09/20/07 AMEND

EQUINIX INC DE 9.01 09/14/07 AMEND

ERF Wireless, Inc. NV 3.02,8.01 08/24/07

EXELON CORP PA 7.01 09/21/07

EXTERRAN HOLDINGS INC. DE 1.02 09/17/07

F&M BANK CORP VA 8.01 09/20/07

Federal Home Loan Bank of Indianapoli X1 5.02 09/17/07

FEDERAL NATIONAL MORTGAGE ASSOCIATION 5.02 09/18/07

FEDERAL SIGNAL CORP /DE/ DE 7.01,9.01 09/20/07

FERRO CORP OH 7.01,9.01 09/21/07

FIRST BUSEY CORP /NV/ NV 5.02 09/18/07

FIRST CITIZENS BANCSHARES INC /DE/ DE 5.02 09/17/07

First Guaranty Bancshares, Inc. LA 5.02 09/21/07

Firstar Exploration CORP NV 5.02 09/19/07

FIRSTENERGY CORP OH 5.02 09/18/07

FIVE STAR PRODUCTS INC DE 8.01 09/21/07

FORTUNE BRANDS INC DE 5.02,9.01 09/19/07

GEN PROBE INC DE 5.02,9.01 09/20/07

GENCO SHIPPING & TRADING LTD 1.01,2.03,5.02,7.01,9.01 09/21/07

GENERAL ELECTRIC CAPITAL CORP CT 2.05,8.01 09/17/07

GENERAL ELECTRIC CAPITAL SERVICES INC DE 2.05,8.01 09/17/07

GENERAL ELECTRIC CO NY 2.05,8.01 09/17/07

GENESCO INC TN 8.01,9.01 09/21/07

GENSYM CORP DE 5.02,9.01 09/19/07

GENTA INC DE/ DE 5.02,9.01 09/17/07

GENVEC INC DE 5.02,9.01 09/19/07

GOODRICH PETROLEUM CORP DE 1.01,9.01 09/17/07

Granite Master Issuer plc X0 9.01 09/17/07

Great Lakes Dredge & Dock CORP DE 8.01,9.01 09/21/07

GREIF INC DE 5.02,8.01,9.01 09/19/07

HAIGHTS CROSS COMMUNICATIONS INC DE 5.02 09/17/07

HANCOCK FABRICS INC DE 7.01,8.01,9.01 09/20/07

HAPC, Inc. DE 1.01,7.01,9.01 09/18/07

HARTFORD LIFE INSURANCE CO CT 9.01 09/21/07

HARTVILLE GROUP INC NV 1.01,3.02,9.01 09/17/07

HCC INSURANCE HOLDINGS INC/DE/ DE 7.01 09/21/07

HEALTHRENU MEDICAL INC CO 8.01 04/10/07

HEARUSA INC DE 5.02 09/17/07

HERITAGE OAKS BANCORP CA 8.01,9.01 09/20/07

HERZFELD CARIBBEAN BASIN FUND INC MD 8.01,9.01 09/20/07

HEWLETT PACKARD CO DE 5.03,8.01,9.01 09/20/07

HI SHEAR TECHNOLOGY CORP DE 8.01 09/21/07

HI TECH PHARMACAL CO INC NY 5.03 09/18/07

Horne International, Inc. DE 5.02,9.01 09/17/07

HSBC Finance Corp 2.05,2.06,7.01,9.01 09/21/07

Huntsman CORP DE 8.01 09/20/07

HYDROGEN POWER INC DE 5.03,9.01 09/17/07

HYDRON TECHNOLOGIES INC NY 5.03 09/20/07

IDAHO GENERAL MINES INC ID 7.01,9.01 09/20/07

IMERGENT INC DE 8.01,9.01 09/19/07

INDEPENDENT BANK CORP /MI/ MI 5.02 09/18/07

INDEVUS PHARMACEUTICALS INC DE 1.01,9.01 09/18/07

INDYMAC BANCORP INC DE 5.02,5.03,9.01 09/17/07

Inova Technology Inc. NV 4.01 05/29/07 AMEND

INSTEEL INDUSTRIES INC NC 5.02,5.03,8.01,9.01 09/18/07

Integrated Healthcare Holdings Inc NV 1.01,9.01 08/29/07

INTERMUNE INC DE 8.01,9.01 09/20/07

IRVINE SENSORS CORP/DE/ DE 5.02,5.03,9.01 09/17/07

ISONICS CORP CA 3.01,9.01 09/17/07

ITRONICS INC TX 3.02 09/18/07

J P MORGAN CHASE & CO DE 9.01 09/19/07

JAMBA, INC. DE 8.01,9.01 09/19/07

JARDEN CORP DE 5.02,9.01 09/20/07

JOURNAL COMMUNICATIONS INC 8.01,9.01 09/21/07

JOY GLOBAL INC DE 8.01,9.01 09/20/07

K-SEA TRANSPORTATION PARTNERS LP 8.01,9.01 09/20/07

KENTUCKY INVESTORS INC KY 4.01,9.01 09/19/07

KINDER MORGAN ENERGY PARTNERS L P DE 8.01,9.01 09/21/07

KMA GLOBAL SOLUTIONS INTERNATIONAL IN 1.01,3.02,9.01 09/13/07

KUSHNER LOCKE CO CA 8.01,9.01 09/19/07

LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 09/21/07

LADENBURG THALMANN FINANCIAL SERVICES FL 5.03,9.01 09/20/07

LEGACY RESERVES L P 1.01 09/21/07

LEHMAN BROTHERS HOLDINGS INC DE 5.02,9.01 09/20/07

LEUCADIA NATIONAL CORP NY 1.01,8.01,9.01 09/19/07

LTX CORP MA 5.02 09/19/07

M&F BANCORP INC /NC/ NC 5.02 09/17/07

MAGELLAN MIDSTREAM PARTNERS LP DE 1.01,2.03,9.01 09/20/07

MAGNUS INTERNATIONAL RESOURCES, INC. NV 1.01,2.01,9.01 05/01/07 AMEND

MANCHESTER INC 8.01,9.01 09/14/07

MANHATTAN PHARMACEUTICALS INC DE 3.01,9.01 09/18/07

MAXIM INTEGRATED PRODUCTS INC DE 8.01,9.01 09/21/07

MAXYGEN INC DE 8.01,9.01 09/21/07

MEDALLION FINANCIAL CORP DE 1.01,2.03,9.01 09/19/07

MEDIANEWS GROUP INC DE 1.01 09/17/07

MENTOR CORP /MN/ MN 1.01,5.03,8.01,9.01 09/21/07

MERIX CORP OR 5.02 09/17/07

METALICO INC 8.01,9.01 09/21/07

METALICO INC 2.01,9.01 07/10/07 AMEND

METALLINE MINING CO NV 5.02 09/18/07

METHODE ELECTRONICS INC DE 8.01,9.01 09/21/07

METRIS MASTER TRUST DE 9.01 09/20/07

MICRO IMAGING TECHNOLOGY, INC. CA 1.02 09/20/07

MICROISLET INC NV 1.01,2.03,3.02,7.01,9.01 09/21/07

MILACRON INC DE 3.01 09/18/07

MISONIX INC NY 2.02,9.01 09/20/07

Monogram Biosciences, Inc. DE 8.01 09/19/07

MONSANTO CO /NEW/ DE 2.02,9.01 09/17/07

MS STRUCTURED SATURNS SERIES 2002-14 DE 8.01,9.01 09/17/07

MS STRUCTURED SATURNS SERIES 2003-2 DE 8.01,9.01 09/17/07

NANOGEN INC DE 2.05,9.01 09/17/07

NASDAQ STOCK MARKET INC DE 8.01,9.01 09/21/07

NATIONAL PATENT DEVELOPMENT CORP DE 8.01 09/21/07

NEOMAGIC CORP DE 3.01,9.01 09/18/07

NEOWARE INC DE 5.02,9.01 09/19/07

NETWORK ENGINES INC DE 5.02,7.01,9.01 09/18/07

Neuralstem, Inc. DE 8.01,9.01 09/19/07

NEUROLOGIX INC/DE DE 8.01,9.01 09/17/07

NEW ENGLAND REALTY ASSOCIATES LIMITED MA 5.02,9.01 09/21/07

Nile Therapeutics, Inc. 2.01,4.01,5.01,5.02,5.03,5.06, 09/17/07
9.01

NORTHERN STATES POWER CO MN 8.01 09/20/07

NORTHROP GRUMMAN CORP /DE/ DE 1.01,5.02,9.01 09/17/07

NORTHWEST NATURAL GAS CO OR 8.01,9.01 09/20/07

NUCLEAR SOLUTIONS INC NV 7.01,8.01,9.01 09/21/07

NUCRYST Pharmaceuticals Corp. A0 5.02 09/21/07 AMEND

NVIDIA CORP DE 5.02 09/17/07

O A K FINANCIAL CORP MI 8.01,9.01 09/21/07

OAKLEY INC WA 1.01,9.01 09/20/07

Oculus Innovative Sciences, Inc. CA 8.01 09/21/07

OPSWARE INC DE 3.01,5.01,5.03,9.01 09/17/07

ORION HEALTHCORP INC DE 1.01,2.03,5.02,8.01,9.01 09/19/07

OSHKOSH TRUCK CORP WI 5.02 09/17/07

PACIFIC FUEL CELL CORP NV 5.02 09/15/07

PACIFIC SANDS INC NV 5.02,9.01 09/20/07

PATHMARK STORES INC DE 8.01 09/21/07

PATRIOT NATIONAL BANCORP INC CT 8.01,9.01 09/20/07

PERFICIENT INC DE 1.01,2.01,3.02,7.01,9.01 09/21/07

PetroSouth Energy Corp. 3.02 09/21/07

PharMerica CORP DE 1.02,5.02,9.01 09/21/07

PHOENIX TECHNOLOGIES LTD DE 5.03,9.01 09/19/07

PINNACLE AIRLINES CORP DE 8.01 09/18/07

PINNACLE FINANCIAL PARTNERS INC TN 5.03,9.01 09/18/07

PIPEX PHARMACEUTICALS, INC. DE 8.01,9.01 09/21/07

PITNEY BOWES INC /DE/ DE 5.02,7.01,9.01 09/17/07

PIZZA INN INC /MO/ MO 2.02,9.01 09/20/07

POKERTEK, INC. NC 5.02 09/17/07

POOL CORP DE 2.02,7.01,9.01 09/20/07

POTLATCH CORP DE 2.01,2.03 09/19/07

PRG SCHULTZ INTERNATIONAL INC GA 1.01,2.03,3.03,9.01 09/17/07

PRO-FAC COOPERATIVE INC 2.02,9.01 09/21/07

PROELITE, INC. NJ 1.01,2.01,9.01 09/18/07

PROFESSIONAL VETERINARY PRODUCTS LTD NE 1.01,2.03,9.01 09/17/07

QUALMARK CORP CO 5.02,9.01 09/17/07

QUEST GROUP INTERNATIONAL INC NV 5.02,9.01 09/20/07

REGAL ENTERTAINMENT GROUP DE 7.01 09/21/07

RELIANCE STEEL & ALUMINUM CO CA 8.01,9.01 09/17/07

Renegy Holdings, Inc. DE 1.01,9.01 09/20/07

Rockville Financial Inc. 8.01,9.01 09/20/07

RTI INTERNATIONAL METALS INC OH 1.01,8.01,9.01 09/17/07

RUBBER RESEARCH ELASTOMERICS INC MN 5.02 09/12/07 AMEND

RUDDICK CORP NC 5.02,9.01 09/19/07

RYERSON INC. DE 7.01,9.01 09/21/07

SADDLEBROOK RESORTS INC FL 5.02 09/17/07

SAMARITAN PHARMACEUTICALS INC NV 1.01,9.01 09/21/07

Sanford Exploration, Inc. 8.01,9.01 09/18/07

SCBT FINANCIAL CORP SC 5.03,9.01 09/20/07

SCHIFF NUTRITION INTERNATIONAL, INC. DE 2.02,9.01 09/21/07

SELECTIVE INSURANCE GROUP INC NJ 5.02,9.01 09/20/07

SELIGMAN SELECT MUNICIPAL FUND INC MD 7.01,9.01 09/21/07

Seneca Gaming Corp XX 5.02,9.01 09/19/07

Shire plc 8.01,9.01 09/21/07

SILVERSTAR HOLDINGS LTD B0 1.01,5.02,9.01 09/17/07

SKYLINE CORP IN 5.02,7.01 09/21/07

SMITHTOWN BANCORP INC NY 8.01 09/21/07

SONICWALL INC CA 9.01 09/21/07 AMEND

STEEL DYNAMICS INC IN 8.01,9.01 09/20/07

SUNLINK HEALTH SYSTEMS INC OH 2.02,7.01,9.01 09/20/07

SURMODICS INC MN 5.02 09/17/07

Susser Holdings CORP DE 5.03,7.01,9.01 09/17/07

Susser Holdings CORP DE 5.03,7.01,9.01 09/17/07 AMEND

TAIWAN FUND INC DE 7.01,9.01 07/01/07

Targa Resources Partners LP DE 1.01,3.02,7.01,9.01 09/18/07

TECHNOCONCEPTS, INC. CO 2.04,9.01 09/19/07

TELEMETRIX INC DE 5.02 09/18/07

TENGASCO INC TN 1.01,9.01 09/17/07

TENNECO INC DE 8.01,9.01 09/20/07

TEXAS INSTRUMENTS INC DE 8.01,9.01 09/21/07

Titan Global Holdings, Inc. UT 1.01,1.02,2.01,2.03,3.02,7.01, 09/17/07
9.01

TJX COMPANIES INC /DE/ DE 1.01,9.01 09/21/07

TOLLGRADE COMMUNICATIONS INC \PA\ PA 5.02 09/17/07

TomoTherapy Inc 8.01,9.01 09/21/07

TOYS R US INC DE 5.02 09/21/07

TRANSDEL PHARMACEUTICALS INC DE 1.01,2.01,3.02,4.01,5.01,5.02, 09/17/07
5.03,5.06,9.01

TRANSMETA CORP DE 1.01,8.01,9.01 09/20/07

TSR INC DE 4.01,9.01 09/19/07

TUCOWS INC /PA/ PA 5.02 09/21/07

U S PHYSICAL THERAPY INC /NV NV 7.01 09/21/07

UNION BANKSHARES CO/ME ME 1.01,9.01 09/21/07

UNITY BANCORP INC /NJ/ NJ 8.01,9.01 09/21/07

VCG HOLDING CORP CO 2.01,2.03,8.01,9.01 09/17/07

VERISIGN INC/CA DE 1.01,9.01 09/17/07

VIEWPOINT CORP DE 3.01,9.01 09/17/07

WESCORP ENERGY INC 3.02,5.02,8.01,9.01 09/16/07

Western Goldfields Inc. A6 4.01,9.01 09/19/07

WESTMORELAND COAL CO DE 4.02,9.01 09/17/07

WHOLE FOODS MARKET INC TX 8.01,9.01 09/20/07

WORLD TRANSPORT AUTHORITY, INC. 1.01,9.01 07/26/07

WSB Financial Group, Inc. WA 1.02,2.05,5.02,8.01,9.01 09/21/07

XCEL ENERGY INC MN 8.01 09/20/07

XETHANOL CORP CO 8.01 09/20/07

ZAP CA 1.01,9.01 09/17/07

ZBB ENERGY CORP WI 5.02,9.01 09/17/07

http://www.sec.gov/news/digest/2007/dig092407.htm

Modified: 09/24/2007