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SEC NEWS DIGEST
Issue 2008-6 January 9, 2008
COMMISSION ANNOUNCEMENTS
MARY S. HEAD NAMED ASSISTANT DIRECTOR IN SEC OFFICE OF INVESTOR
EDUCATION AND ADVOCACY
The Securities and Exchange Commission today announced that Mary S.
Head has been named Assistant Director, Policy in the Office of
Investor Education and Advocacy (OIEA). The appointment of Ms. Head,
who previously served as counsel to SEC Commissioner Kathleen L.
Casey, continues the agency's expansion of OIEA.
"I am extraordinarily pleased that Mary has agreed to join OIEA," said
Kristin J. Kaepplein, Director of OIEA. "Mary's experience working on
critical issues at a senior level, and her broad knowledge and
understanding of the securities laws, will greatly assist OIEA in
helping to ensure that the rulemaking agenda serves the needs of
individual investors."
Commissioner Casey said, "Mary will be a great addition to the newly
expanded OIEA. Her experience at the Commission and her years in
private practice have given Mary insight into the regulatory process
and a balanced perspective that will be invaluable in carrying out
OIEA's mission."
Prior to becoming counsel to Commissioner Casey, Ms. Head served as
counsel to former SEC Commissioners and Acting Chairmen Laura S. Unger
and Cynthia A. Glassman. In this capacity, Ms. Head advised on a wide
range of Commission policy and rulemaking initiatives, with particular
focus on market regulation and investment management issues.
Ms. Head began her legal career in the Office of General Counsel at
the National Association of Securities Dealers, now FINRA. She
practiced securities law with Kelley Drye & Warren and later with
Dechert LLP prior to joining the SEC in 2000. She is a graduate of
Yale College and Catholic University Law School.
"I look forward to this new opportunity to serve individual
investors," Ms. Head said. "In my new role, I will work to advance
OIEA's mandate to advocate for policies designed to ensure that
investors are treated fairly by market participants and have access to
the investment opportunities they believe best meet their needs."
OIEA has contact with thousands of individual American investors each
year through its investor assistance and education programs. As a
result of the knowledge and experience gained through these programs,
OIEA is well-suited to provide advice to the Commission about how to
advance the interests of America's investors. OIEA also plays an
important role in the Commission's key initiatives aimed at retail
investors - including using interactive data to make disclosure more
useful to investors, helping senior citizens to guard against
securities fraud, and promoting the use of "plain English" investment
disclosures. (Press Rel. 2008-4)
COMMISSION MEETINGS
CLOSED MEETING - TUESDAY, JANUARY 15, 2008 - 2:00 P.M.
The subject matter of the closed meeting scheduled for Tuesday,
January 15, will be: Formal orders of investigations; Institution and
settlement of injunctive actions; Institution and settlement of
administrative proceedings of an enforcement nature; Regulatory
matters regarding financial institutions; An opinion; Resolution of a
litigation claim; and Other matters related to enforcement
proceedings.
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
SEC PREVAILS IN BENCH TRIAL
The Commission announced that on Dec. 9, 2007, the Honorable Linnea R.
Johnson, United States Magistrate Judge for the Southern District of
Florida, entered judgments against K.W. Brown & Company (Brown & Co.),
21st Century Advisors, Inc. (21st Century) (collectively, the
Advisers), K.W. Brown Investments, Inc. (Brown Investments), Kenneth
Brown (Ken Brown), Wendy Brown and Michael Cimilluca (Cimilluca),
finding them liable for violations of the antifraud and books and
records provisions of the federal securities laws, after a nine day
bench trial that commenced on Sept. 10, 2007.
Specifically, the Court found the Defendants, knowingly or recklessly,
engaged in an illegal cherry-picking scheme from September 2002
through at least June 2006 that netted the Defendants $4.5 million
dollars while passing more than $9 million of losses onto unsuspecting
advisory clients who placed their trust and confidence in Ken Brown
and the Advisers. The Court also found the Defendants failed to
implement policies and procedures to prevent this trading activity
even though the Commission's examination staff, in June 2003,
identified lax internal controls and numerous violations, including
breach of fiduciary duty and undisclosed conflicts of interest related
to trading in the Brown Investments' proprietary trading account.
The Court's Judgment enjoins the Advisers from violating Section 17(a)
of the Securities Act of 1933 (Securities Act), Section 10(b) of the
Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5
thereunder, and from violating Sections 204, 206(1), 206(2) and 207 of
the Investment Advisers Act of 1940 (Advisers Act) and Rules 204-
1(a)(2) and 204-2(a)(8) thereunder; enjoins Ken Brown from violating,
or aiding and abetting violations of, Section 17(a) of the Securities
Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and
Sections 204, 206(1), 206(2) and 207 of the Advisers Act and Rules
204-1(a)(2) and 204-2(a)(8) thereunder; enjoins Wendy Brown from
violating, or aiding and abetting violations of, Sections 204 and 207
of the Advisers Act and Rules 204-1(a)(2) and 204-2(a)(8) thereunder;
and enjoins Cimilluca and Brown Investments from aiding and abetting
violations of Section 10(b) of the Exchange Act and Rule 10b-5
thereunder and Sections 206(1) and 206(2) of the Advisers Act.
The Judgment holds the Defendants jointly and severally liable for
disgorging $4.5 million in profits they obtained from the cherry-
picking scheme and $296,147 in profits from Cimilluca's account and
related accounts where he placed 99.65% winning trades. The Defendants
are also ordered to jointly and severally pay pre-judgment interest of
$983,586 on the $4.5 million in ill-gotten gains and $74,779 on the
$296,147 Cimilluca diverted. Additionally, the Court imposed a third-
tier civil penalty of $4.5 million dollars, collectively, on
Defendants Brown & Co., 21st Century and Brown Investments; third-tier
civil penalties of $250,000 on Ken Brown and Cimilluca; and a third
tier penalty of $100,000 on Wendy Brown. [SEC v. K.W. Brown and
Company, et al., Civil Action No. 05-CV-80367-JOHNSON (S.D. Fla.)]
(LR-20425)
SELF-REGULATORY ORGANIZATIONS
PROPOSED RULE CHANGES
The NASDAQ Stock Market filed a proposed rule change (SR-NASDAQ-2007-
100) relating to Nasdaq's Rule 7033 to modify the fees charged for the
Mutual Fund Quotation Service and to correct certain errors in the
rule manual. Publication is expected in the Federal Register during
the week of January 7. (Rel. 34-57105)
The American Stock Exchange filed a proposed rule change (SR-Amex-
2007-36 and Amendment No. 1) to eliminate a volume add-on to Amex
options specialist financial requirements. Publication is expected in
the Federal Register during the week of January 7. (Rel. 34-57106)
A proposed rule change (SR-BSE-2007-54), as modified by Amendment No.
1 thereto, has been filed by the Boston Stock Exchange to amend the
MRVP of the Boston Options Exchange with respect to contrary exercise
advice violations. Publication is expected in the Federal Register
during the week of January 14. (Rel. 34-57108)
APPROVAL OF PROPOSED RULE CHANGE
The Commission approved a proposed rule change (SR CBOE-2007-134)
submitted by the Chicago Board Options Exchange relating to the
continuous quoting obligations of DPMs. Publication is expected in the
Federal Register during the week of January 14. (Rel. 34-57109)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission granted accelerated approval to a proposed rule change
(SR-Amex-2007-141) submitted by the American Stock Exchange to expand,
and make permanent, the $1 Strike Price Program. Publication is
expected in the Federal Register during the week of January 14. (Rel.
34-57110)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
A proposed rule change filed by the Philadelphia Stock Exchange (SR-
Phlx-2008-01) to expand and permanently adopt the $1 Strike Pilot
Program has become immediately 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 January 14. (Rel.
34-57111)
JOINT INDUSTRY PLAN RELEASES
IMMEDIATE EFFECTIVENESS OF THE TENTH CHARGES AMENDMENT TO THE SECOND
RESTATEMENT OF THE CONSOLIDATED TAPE ASSOCIATION PLAN AND THE SIXTH
CHARGES AMENDMENT TO THE RESTATED CONSOLIDATED QUOTATION PLAN
Pursuant to Rule 608 under the Securities Exchange Act of 1934, the
Consolidated Tape Association (CTA) has filed amendments to the CTA
and CQ Plans (Plans) (SR-CTA/CQ-2007-03) to permanently extend per
query pricing for Network B data to professional subscribers,
following a pilot program that began on June 1, 2006. Publication is
expected in the Federal Register during the week of January 14. (Rel.
34-57107)
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-3 BreitBurn Energy Partners L.P., 515 SOUTH FLOWER STREET, SUITE 4800,
LOS ANGELES, CA, 90071, (213) 225-5900 - 0 ($204,720,705.28) Equity,
(File 333-148509 - Jan. 8) (BR. 04C)
SB-2 InterMetro Communications, Inc., 2685 PARK CENTER DRIVE, BUILDING A,
SIMI VALLEY, CA, 93065, 805-433-8000 -
11,194,000 ($2,686,560.00) Equity, (File 333-148511 - Jan. 8) (BR. 11C)
F-1 ATA Inc., 8TH FLOOR, TOWER E, 6 GONGYUAN WEST ST., JIAN GUO MEN NEI,
BEIJING, F4, 100005, 8610-6518-1122 - 0 ($100,000,000.00) ADRs/ADSs,
(File 333-148512 - Jan. 8) (BR. DN)
S-3ASR ALABAMA POWER CO, 600 N 18TH ST, P O BOX 2641, BIRMINGHAM, AL, 35291,
2052571000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-148513 - Jan. 8) (BR. 02A)
SB-2 SIGNALIFE, INC., 4531 SOUTH MAIN STREET, SUITE 301, GREENVILLE, SC,
29601, (864) 233-2300 - 9,229,373 ($6,368,267.37) Equity,
(File 333-148515 - Jan. 8) (BR. 10C)
SB-2 Tedom Capital, Inc., 410 WILSHIRE BLVD., SUITE 183, SANTA MONICA, CA,
90401, 310-335-5460 - 2,000,000 ($500,000.00) Equity,
(File 333-148516 - Jan. 8) (BR. 07)
S-8 TIMBERLAND CO, 200 DOMAIN DR, STRATHAM, NH, 03885, 6037729500 -
4,000,000 ($65,360,000.00) Equity, (File 333-148518 - Jan. 8) (BR. 09B)
S-3D FIRST COMMUNITY FINANCIAL CORP, TWO N MAIN ST, MIFFLINTOWN, PA, 17059,
7174362144 - 0 ($3,150,000.00) Equity, (File 333-148519 - Jan. 8)
(BR. 07A)
SB-2 ECOTALITY, INC., 6821 E. THOMAS ROAD, SCOTTSDALE, AZ, 85251,
(480) 219-5005 - 0 ($7,058,825.00) Equity, (File 333-148520 - Jan. 8)
(BR. 06C)
S-3 COLOMBIA GOLDFIELDS LTD, 816 FEACE PORTAL DR., PNB 55, BLAINE, WA,
98230, 416-203-3856 - 14,343,578 ($15,921,371.58) Equity,
(File 333-148521 - Jan. 8) (BR. 04A)
S-8 INDEVUS PHARMACEUTICALS INC, 33 HAYDEN AVENUE, LEXINGTON, MA, 02421,
6178618444 - 3,000,000 ($20,400,000.00) Equity, (File 333-148523 -
Jan. 8) (BR. 01A)
S-3 COLOMBIA GOLDFIELDS LTD, 816 FEACE PORTAL DR., PNB 55, BLAINE, WA,
98230, 416-203-3856 - 0 ($200,000,000.00) Other, (File 333-148524 -
Jan. 8) (BR. 04A)
S-3ASR Rayonier TRS Holdings Inc., 50 N. LAURA STREET, SUITE 1900,
JACKSONVILLE, FL, 32202, 904-357-9100 -
0 ($300,000,000.00) Debt Convertible into Equity, (File 333-148525 -
Jan. 8) (BR. )
SB-2 Solar Power, Inc., 1115 ORLANDO AVENUE, ROSEVILLE, CA, 95661,
916 745-0900 - 7,303,491 ($29,907,795.64) Equity, (File 333-148526 -
Jan. 8) (BR. 10C)
S-3ASR NORTHWEST NATURAL GAS CO, 220 NW SECOND AVE, PORTLAND, OR, 97209,
5032264211 - 0 ($0.00) Other, (File 333-148527 - Jan. 8) (BR. 02B)
S-8 PALM INC, 950 W. MAUDE AVENUE, SUNNYVALE, CA, 94085, 4086177000 -
9,669,390 ($54,922,135.20) Equity, (File 333-148528 - Jan. 8) (BR. 03B)
S-3 INVESTORS REAL ESTATE TRUST, 12 MAIN ST S, PO BOX 1988, MINOT, ND,
58702-1988, 701-837-4738 - 4,159,531 ($37,144,611.83) Equity,
(File 333-148529 - Jan. 8) (BR. 08B)
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 Certain Officers; Election of Directors;
Appointment of Certain Officers; Compensatory Arrangements of Certain 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
5.06 Change in Shell Company Status
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
------------------------------------------------------------------------------------------------------
ABRAXAS PETROLEUM CORP NV 7.01,9.01 01/08/08
ACCESS PHARMACEUTICALS INC DE 1.01 01/08/08
ADA-ES INC CO 7.01,9.01 01/08/08
AEROSONIC CORP /DE/ DE 1.01,5.02,9.01 01/02/08
AFFILIATED COMPUTER SERVICES INC DE 5.02,9.01 01/05/08
Airbee Wireless, Inc. DE 1.02 11/29/07
ALASKA AIR GROUP INC DE 7.01 01/08/08
ALBANY INTERNATIONAL CORP /DE/ DE 2.05,9.01 01/07/08
Aleris International, Inc. DE 7.01,9.01 01/08/08
ALLIED WORLD ASSURANCE CO HOLDINGS LT 8.01,9.01 01/08/08
Alternative Construction Company, Inc FL 1.01,9.01 01/08/08
ALTERNET SYSTEMS INC NV 1.01,3.02,9.01 12/31/07
AMC ENTERTAINMENT INC DE 5.02 01/03/08
American Casino & Entertainment Prope DE 8.01,9.01 12/28/07
AMERICAN GREETINGS CORP OH 7.01,9.01 01/08/08
American Patriot Financial Group, Inc TN 5.02 01/01/08
AMTECH SYSTEMS INC AZ 5.03,9.01 01/04/08
ANADIGICS INC DE 5.02,9.01 01/08/08
ANADIGICS INC DE 5.02 01/08/08 AMEND
ANALYSTS INTERNATIONAL CORP 5.02,9.01 01/03/08
APOLLO GROUP INC AZ 1.01,2.02,9.01 01/04/08
APPLE INC CA 5.02 01/04/08
APPLIED DIGITAL SOLUTIONS INC MO 1.01 01/05/08
APRIA HEALTHCARE GROUP INC DE 7.01,9.01 01/08/08
ARENA PHARMACEUTICALS INC DE 8.01 01/07/08
ARGYLE SECURITY, INC. 1.01,2.01,2.03,8.01,9.01 01/02/08
ARQULE INC DE 5.02,9.01 01/07/08
ASIA PREMIUM TELEVISION GROUP NV 1.01,5.02 01/08/08
Aspreva Pharmaceuticals CORP A1 2.01,3.01,5.01,5.02,5.03,8.01, 01/03/08
9.01
ASSURANCEAMERICA CORP NV 8.01,9.01 01/08/08
Atlas Pipeline Holdings, L.P. DE 5.03,9.01 01/07/08
ATLAS PIPELINE PARTNERS LP DE 5.03,9.01 01/07/08
AUDIBLE INC 5.02 01/02/08
AVIATION UPGRADE TECHNOLOGIES INC 1.01,5.02,9.01 01/02/08
AVON PRODUCTS INC NY 8.01,9.01 01/08/08
AVON PRODUCTS INC NY 2.05 11/15/05 AMEND
BAXX SYSTEMS INC. NV 1.01,9.01 01/07/08
BEDMINSTER CAPITAL CORP NV 4.01,9.01 12/28/06
BEDMINSTER FINANCIAL CORP NV 4.01,9.01 12/28/06
BEDMINSTER NATIONAL CORP DE 4.01,9.01 12/28/06
BHIT INC DE 5.02 01/04/08
BJs RESTAURANTS INC CA 2.02,9.01 01/07/08 AMEND
BNC CORP Mortgage Loan Trust 2007-BNC 8.01,9.01 01/08/08
Bois d Arc Energy, Inc. NV 8.01 01/08/08
BRINKER INTERNATIONAL INC DE 2.02,9.01 01/07/08
BUCA INC /MN MN 1.01,2.02,5.02,9.01 01/02/08
BULLION RIVER GOLD CORP 3.02,9.01 01/02/08
BUTLER NATIONAL CORP DE 5.02,8.01,9.01 12/17/07
CALPINE CORP DE 7.01,9.01 01/08/08
CAMERON INTERNATIONAL CORP DE 1.01,9.01 01/02/08
CANARGO ENERGY CORP DE 3.01,7.01,9.01 01/08/08
CAPTARIS INC WA 1.01,2.01,2.03,9.01 01/02/08
Cardiac Science CORP 2.02,9.01 01/08/08
CASELLA WASTE SYSTEMS INC DE 5.02,9.01 01/08/08
CENTENNIAL COMMUNICATIONS CORP /DE DE 2.02,9.01 01/08/08
CHARYS HOLDING CO INC 4.01,9.01 11/28/07 AMEND
CHEMOKINE THERAPEUTICS CORP DE 8.01 01/08/08
CHESAPEAKE ENERGY CORP OK 7.01 01/03/08
China Media Group CORP TX 1.01,3.02,9.01 01/08/08
CLINICAL DATA INC DE 9.01 10/25/07 AMEND
Cole Credit Property Trust II Inc MD 8.01 01/08/08
Collexis Holdings, Inc. 9.01 01/04/08 AMEND
COMCAM INC DE 4.01,8.01,9.01 01/03/08
COMCAM INTERNATIONAL INC DE 4.01,8.01,9.01 01/03/08
COMMERCIAL METALS CO DE 8.01,9.01 01/08/08
COMMONWEALTH BANKSHARES INC VA 8.01 01/08/08
COMMONWEALTH BIOTECHNOLOGIES INC VA 1.01,3.02,9.01 01/02/08
Compass Diversified Holdings DE 8.01,9.01 01/04/08
COMPUSONICS VIDEO CORP CO 8.01 12/31/07
COMSTOCK RESOURCES INC NV 8.01,9.01 01/08/08
CONCEPTUS INC DE 2.02,8.01,9.01 01/08/08
CONSECO INC DE 7.01,9.01 01/08/08
CONSTELLATION BRANDS, INC. DE 2.02,2.05,7.01,9.01 01/07/08
CONSTELLATION BRANDS, INC. DE 8.01,9.01 01/08/08
COOPER COMPANIES INC DE 7.01,9.01 01/08/08
Copano Energy, L.L.C. DE 8.01,9.01 01/03/08
COTT CORP /CN/ 1.01,9.01 01/02/08
CREDENCE SYSTEMS CORP DE 2.02,9.01 01/08/08
CREDENCE SYSTEMS CORP DE 5.02,9.01 01/03/08
CV THERAPEUTICS INC DE 2.02,8.01 01/08/08
DIGIRAD CORP DE 2.02,5.02,9.01 01/07/08
Domtar CORP DE 1.02,9.01 01/07/08
DOVER SADDLERY INC 7.01,8.01,9.01 01/08/08
DRESS BARN INC CT 8.01,9.01 01/07/08
DRI CORP NC 7.01,9.01 01/08/08
DUNE ENERGY INC DE 8.01,9.01 01/08/08
DYADIC INTERNATIONAL INC DE 2.04,8.01,9.01 01/02/08
Dynamic Gold Corp. NV 9.01 01/08/08
E-Z-EM, Inc. DE 1.01,7.01,8.01,9.01 10/30/07 AMEND
ECHOSTAR COMMUNICATIONS CORP NV 1.01,2.01,9.01 01/01/08
ECHOSTAR DBS CORP CO 1.01,2.01,9.01 01/01/08
EchoStar Holding CORP NV 1.01,2.01,9.01 01/01/08
ELECTRONIC ARTS INC. DE 2.01,9.01 01/04/08
ENCYSIVE PHARMACEUTICALS INC DE 7.01,9.01 01/08/08
Energy Quest Inc. NV 1.01,5.02 01/02/08
EnteroMedics Inc 7.01,9.01 01/08/08
ENZON PHARMACEUTICALS INC DE 1.01,3.03,9.01 01/07/08
EPOCH HOLDING CORP DE 8.01,9.01 01/07/08
EXELON CORP PA 5.02,9.01 01/08/08
FAIRPOINT COMMUNICATIONS INC DE 8.01,9.01 01/08/08
FAMILY DOLLAR STORES INC DE 2.02,9.01 01/08/08
FAMOUS DAVES OF AMERICA INC MN 5.02,9.01 01/04/08
Federal Home Loan Bank of Atlanta X1 2.03 01/02/08
Federal Home Loan Bank of Boston X1 2.03 01/04/08
Federal Home Loan Bank of Chicago X1 2.03 01/02/08
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 01/02/08
Federal Home Loan Bank of Dallas 2.03 01/02/08
Federal Home Loan Bank of Des Moines X1 2.03,9.01 01/02/08
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 01/02/08
Federal Home Loan Bank of New York X1 2.03,9.01 01/02/08
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 01/02/08
Federal Home Loan Bank of San Francis X1 2.03 01/02/08
Federal Home Loan Bank of Seattle 2.03 01/07/08
Federal Home Loan Bank of Topeka 2.03 01/02/08
Financial Media Group, Inc. NV 8.01 01/08/08
FIRST BANCORP /PR/ PR 8.01,9.01 01/04/08
FIRST CONSULTING GROUP INC DE 8.01,9.01 01/08/08
FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 01/08/08
First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 12/28/07
FIRST INTERSTATE BANCSYSTEM INC MT 2.03,8.01 01/08/08
FIRST RELIANCE BANCSHARES INC SC 5.02,9.01 12/28/07
Fit For Business International Inc NV 3.02,8.01 12/31/07
FLO Corp 1.01 12/31/07
FORCE PROTECTION INC NV 5.02 01/02/08
FOSTER WHEELER LTD D0 8.01,9.01 01/08/08
FREEDOM FINANCIAL GROUP INC DE 5.02 01/04/08
GAINSCO INC TX 8.01 01/02/08
GENIUS PRODUCTS INC DE 1.01,2.03,5.02,9.01 01/02/08
GENVEC INC DE 8.01,9.01 01/03/08
GENWORTH FINANCIAL INC DE 5.02 01/02/08
GENZYME CORP MA 1.01,9.01 01/07/08
GENZYME CORP MA 2.02,9.01 01/08/08
Global Beverage Solutions, Inc. 5.02,9.01 02/27/07
GMX RESOURCES INC OK 2.02,9.01 01/07/08
Good Harbor Partners Acquisition Corp DE 8.01 01/07/08
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 01/04/08
GRANT PRIDECO INC DE 8.01,9.01 01/08/08
GREAT ATLANTIC & PACIFIC TEA CO INC MD 2.02,9.01 01/08/08
GREATBATCH, INC. DE 2.01,2.03,8.01,9.01 01/04/08
GREENBRIER COMPANIES INC DE 2.02,9.01 01/08/08
GROUP 1 AUTOMOTIVE INC DE 7.01,9.01 01/07/08
Harbor Acquisition Corp. DE 8.01,9.01 01/08/08
HARDINGE INC NY 5.02,9.01 01/02/08
HARRAHS ENTERTAINMENT INC DE 8.01,9.01 01/07/08
HARTFORD LIFE INSURANCE CO CT 9.01 01/08/08
HELICOS BIOSCIENCES CORP 7.01,9.01 01/03/08
HIGHLANDS BANKSHARES INC /WV/ WV 8.01 01/08/08
HMS HOLDINGS CORP 7.01,9.01 12/20/07
Home System Group 4.01 01/07/08
IBERIABANK CORP LA 5.02,9.01 01/04/08
IBERIABANK CORP LA 7.01,9.01 01/08/08
ICAGEN INC DE 8.01,9.01 01/08/08
IKONA GEAR INTERNATIONAL INC NV 4.01,9.01 01/03/08 AMEND
IMMUNOSYN CORP 8.01 12/05/07
INDEVUS PHARMACEUTICALS INC DE 9.01 04/17/07 AMEND
INSITUFORM TECHNOLOGIES INC DE 7.01,9.01 01/08/08
INTELLI CHECK INC DE 5.02,9.01 01/08/08
INTELSAT LTD 8.01 01/03/08
INTERLINK ELECTRONICS INC DE 5.02,9.01 01/08/08
International Gold Resources, Inc. 5.02,9.01 01/01/08
INTERVOICE INC TX 2.02,9.01 01/08/08
INTEVAC INC CA 7.01,9.01 01/07/08
INVERNESS MEDICAL INNOVATIONS INC DE 7.01 01/07/08
ISIS PHARMACEUTICALS INC DE 1.01,3.02 01/07/08
ISOLAGEN INC DE 1.01,1.02,5.02,5.03,9.01 01/06/08
ITC Holdings Corp. MI 7.01,9.01 01/07/08
J P MORGAN CHASE & CO DE 9.01 01/04/08
J.P. Morgan Mortgage Trust 2007-A1 DE 8.01,9.01 01/08/08
JACO ELECTRONICS INC NY 4.01 01/08/08
JAZZ PHARMACEUTICALS INC DE 8.01,9.01 01/07/08
JMG Exploration, Inc. NV 1.02,8.01,9.01 01/04/08
JUNIPER NETWORKS INC DE 5.02 01/07/08
KAYNE ANDERSON ENERGY DEVELOPMENT CO MD 5.02,9.01 01/08/08
KB HOME DE 2.02,9.01 01/08/08
KING PHARMACEUTICALS INC TN 1.01,9.01 01/02/08
KNOLOGY INC DE 2.01,2.03,9.01 01/04/08
LABARGE INC DE 7.01,9.01 01/08/08
LEAP WIRELESS INTERNATIONAL INC DE 2.02,9.01 01/07/08
LECROY CORP DE 2.02,9.01 01/08/08
LEE ENTERPRISES, INC DE 8.01,9.01 01/06/08
LEHMAN ABS CORP BACKED TR CERT FED EX DE 8.01,9.01 01/02/08
LEINER HEALTH PRODUCTS INC DE 2.05 01/08/08
Liberty Global, Inc. 7.01,8.01 01/07/08
LIFECELL CORP DE 5.02,9.01 01/02/08
Location Based Technologies, Inc. NV 7.01,9.01 01/06/08
M&F BANCORP INC /NC/ NC 8.01,9.01 01/08/08
MAN SANG HOLDINGS INC NV 5.02,9.01 01/08/08
MARINE GROWTH VENTURES INC 1.01,9.01 01/04/08
MARINER ENERGY INC DE 7.01,9.01 01/08/08
Marquee Holdings Inc. DE 5.02 01/03/08
MDU RESOURCES GROUP INC DE 1.01 01/08/08
MED GEN INC NV 1.01,8.01 01/08/08
MELO BIOTECHNOLOGY HOLDINGS INC. A6 4.01 01/02/08
MELO BIOTECHNOLOGY HOLDINGS INC. A6 5.02,9.01 01/02/08
MFA MORTGAGE INVESTMENTS MD 1.01,9.01 01/07/08
MFB CORP IN 1.01,3.01,9.01 01/07/08
MICROPAC INDUSTRIES INC DE 8.01 01/08/08
MICROTUNE INC DE 1.01,9.01 01/07/08
MOBILEPRO CORP DE 1.01,9.01 01/03/08
MOLINA HEALTHCARE INC DE 1.01,9.01 01/03/08
Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 06/29/07
MS STRUCTURED SATURNS SERIES 2001-6 DE 8.01,9.01 12/31/07
MS STRUCTURED SATURNS SERIES 2003-3 DE 8.01,9.01 01/02/08
MS STRUCTURED SATURNS SERIES 2005-2 DE 8.01,9.01 01/02/08
MUTUALFIRST FINANCIAL INC MD 1.01,7.01,9.01 01/07/08
MV Oil Trust DE 2.02,9.01 01/08/08
NATIONAL DENTEX CORP /MA/ MA 5.02,9.01 01/02/08
NaturalNano , Inc. NV 7.01,9.01 01/08/08
NATUREWELL INC CA 5.02 01/04/08
NCI BUILDING SYSTEMS INC DE 7.01,9.01 01/08/08
NEOSE TECHNOLOGIES INC DE 5.02,9.01 01/07/08
NewPage Holding CORP DE 5.02 01/02/08
NEWPARK RESOURCES INC DE 7.01,9.01 01/08/08
NEWPORT CORP NV 7.01,9.01 01/08/08
NEWTECH RESOURCES LTD NV 4.01,9.01 01/03/08
NORTH POINTE HOLDINGS CORP 5.03 01/02/08
NOVASTAR FINANCIAL INC MD 5.02,9.01 01/02/08
NU HORIZONS ELECTRONICS CORP DE 2.02,9.01 01/08/08
NYFIX INC DE 9.01 10/02/07 AMEND
O2DIESEL CORP DE 1.01,9.01 01/02/08
Omni Financial Services, Inc. GA 5.02 01/02/08
OneLife Health Products Inc. NV 5.02 01/03/08
OXFORD INDUSTRIES INC GA 2.02,9.01 01/08/08
PALM INC DE 5.02 12/17/07
PAREXEL INTERNATIONAL CORP MA 5.02 01/02/08
PATAPSCO BANCORP INC MD 8.01,9.01 01/07/08
PATRIOT NATIONAL BANCORP INC CT 8.01,9.01 01/08/08
People's United Financial, Inc. DE 8.01,9.01 01/08/08
PEPCO HOLDINGS INC DE 7.01,8.01,9.01 01/08/08
PERRY ELLIS INTERNATIONAL INC FL 8.01,9.01 01/07/08
PETROLEUM DEVELOPMENT CORP NV 7.01,9.01 01/07/08
PHARMACEUTICAL PRODUCT DEVELOPMENT IN NC 2.02,9.01 01/08/08
PINNACLE AIRLINES CORP DE 8.01 01/08/08
PIPELINE DATA INC 4.01 09/30/07
PIPELINE DATA INC 4.01 12/31/07
Plastinum Polymer Technologies Corp. DE 1.01,5.02,8.01,9.01 01/03/08
PLEXUS CORP WI 5.02 01/03/08
POSITRON CORP TX 5.02 01/08/08
PREMIERWEST BANCORP OR 2.02,9.01 01/08/08
PROCTER & GAMBLE CO OH 5.02 01/08/08
PROCTER & GAMBLE CO OH 7.01 01/08/08
PROGENICS PHARMACEUTICALS INC DE 8.01 01/08/08
RADIANT SYSTEMS INC GA 1.01,1.02,2.01,2.03,9.01 01/02/08
Regency Energy Partners LP DE 1.01,2.01,3.02,5.03,8.01,9.01 01/07/08
RELIANCE STEEL & ALUMINUM CO CA 8.01,9.01 01/07/08
REPROS THERAPEUTICS INC. DE 7.01,9.01 01/07/08
REX ENERGY CORP DE 8.01,9.01 01/08/08
Riptide Worldwide, Inc. 5.03,9.01 01/02/08
RMD Technologies, Inc. CA 1.01,9.01 01/02/08
ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 2.02,7.01,9.01 01/08/08
ROLLINS INC DE 8.01 01/02/08
ROWAN COMPANIES INC DE 8.01,9.01 01/08/08
ROWAN COMPANIES INC DE 8.01,9.01 01/08/08 AMEND
RPM INTERNATIONAL INC/DE/ DE 2.02,9.01 01/08/08
SABA SOFTWARE INC DE 2.02,5.02,9.01 01/03/08
SCANSOURCE INC SC 2.02,9.01 01/08/08
SCOTTISH RE GROUP LTD E9 3.01,9.01 01/02/08
SEMITOOL INC MT 2.02,9.01 01/08/08
Seneca Gaming Corp XX 8.01,9.01 12/28/07
SHANGHAI CENTURY ACQUISITION CORP F4 8.01,9.01 12/31/07
SILICON STORAGE TECHNOLOGY INC CA 3.01,9.01 01/07/08
SIMMONS FIRST NATIONAL CORP AR 5.02,9.01 01/07/08
SIX FLAGS, INC. DE 2.02,9.01 01/08/08
Sound Financial, Inc. WA 8.01,9.01 01/08/08
Sound Revolution Inc. DE 1.01 01/03/08
SOUTH CAROLINA ELECTRIC & GAS CO SC 8.01,9.01 01/07/08
SOUTHERN COPPER CORP/ DE 5.02 01/02/08
SP Acquisition Holdings, Inc. NY 8.01,9.01 10/23/07 AMEND
SPECTRUM CONTROL INC PA 2.02,9.01 11/30/07
SRS LABS INC DE 5.02 01/02/08
ST JUDE MEDICAL INC MN 7.01 01/08/08
STANLEY WORKS CT 2.02,9.01 01/07/08
STARBUCKS CORP WA 5.02,9.01 01/07/08
STEINWAY MUSICAL INSTRUMENTS INC DE 7.01,9.01 01/08/08
STINGER SYSTEMS, INC 3.02 01/02/08
STREAMLINE HEALTH SOLUTIONS INC. DE 2.03,9.01 01/07/08
Structured Asset Mortgage Investments DE 9.01 10/31/07
SUNAIR SERVICES CORP FL 1.01,1.02,9.01 01/07/08
SUPERCONDUCTOR TECHNOLOGIES INC DE 1.01,3.02,3.03,9.01 01/07/08
SUPERVALU INC DE 2.02,9.01 01/08/08
SURETY CAPITAL CORP /DE/ DE 1.03 12/21/07
SYKES ENTERPRISES INC FL 5.02,9.01 01/02/08
SYMS CORP NJ 2.02,8.01,9.01 01/07/08
SYNOVIS LIFE TECHNOLOGIES INC MN 1.01,9.01 01/08/08
SYNTHESIS ENERGY SYSTEMS INC DE 7.01,9.01 01/08/08
TARA GOLD RESOURCES CORP. NV 8.01 12/28/07
TARRAGON CORP NV 1.01,3.01,9.01 01/04/07
TELVUE CORP DE 5.02 01/08/08
TERRA INDUSTRIES INC MD 5.02 01/02/08
TERRA NITROGEN CO L P /DE DE 5.02 01/02/08
TESCO CORP 7.01 01/07/08
THEATER XTREME ENTERTAINMENT GROUP, I FL 5.02 01/04/08
TLC VISION CORP A6 5.02,9.01 01/08/08
TRACEGUARD TECHNOLOGIES, INC. 5.02,9.01 01/02/08
TRANSMERIDIAN EXPLORATION INC DE 8.01 01/04/08
TREATY OAK BANCORP INC TX 5.02,8.01,9.01 01/04/08
TRICO MARINE SERVICES INC DE 5.02 01/02/08
TRIZETTO GROUP INC DE 8.01,9.01 01/08/08
TTM TECHNOLOGIES INC WA 7.01,9.01 01/08/08
uBid.com Holdings, Inc. DE 5.02,9.01 01/08/08
UNICA CORP 3.01,9.01 01/02/08
UNION DRILLING INC DE 1.01,7.01,9.01 01/04/08
UNION STREET ACQUISITION CORP. DE 4.01,9.01 01/03/08
US GEOTHERMAL INC DE 7.01 01/07/08
USA Mobility, Inc DE 5.02,9.01 01/07/08
VAIL RESORTS INC DE 1.01,5.02,9.01 01/07/08
VERSANT CORP CA 5.02 01/07/08
VERSO TECHNOLOGIES INC MN 1.01,3.02,5.02,9.01 01/02/08
VERTIS INC DE 5.02,9.01 01/08/08
VIA Pharmaceuticals, Inc. DE 8.01,9.01 01/07/08
VIAD CORP DE 8.01,9.01 01/07/08
Vicor Technologies, Inc. DE 1.01,2.03,3.02 01/03/08
VION PHARMACEUTICALS INC DE 8.01,9.01 01/08/08
VIROPHARMA INC DE 7.01,9.01 01/08/08
Vista International Technologies Inc NV 7.01,9.01 01/08/08
WCI COMMUNITIES INC 1.01,9.01 01/07/08
WEBSTER FINANCIAL CORP DE 7.01,9.01 01/08/08
WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 01/02/08
WHITE MOUNTAINS INSURANCE GROUP LTD D0 8.01,9.01 01/07/08
WHOLE FOODS MARKET INC TX 5.03,9.01 01/08/08
WIDEPOINT CORP DE 1.01,2.01,2.03,3.02,9.01 01/02/08
Wilber CORP 5.02,9.01 01/02/08
Winthrop Realty Trust OH 1.01,8.01,9.01 01/07/08
WJ COMMUNICATIONS INC DE 2.02,9.01 01/08/08
X RITE INC MI 9.01 10/24/07 AMEND
ZIX CORP TX 7.01,9.01 01/08/08
ZIX CORP TX 7.01 01/08/08
http://www.sec.gov/news/digest/2008/dig010908.htm
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