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SEC NEWS DIGEST
Issue 2008-13 January 18, 2008
RULES AND RELATED MATTERS
TECHNICAL AMENDMENTS TO FORMS MSD, MSDW, BD-N, BD, BDW, ADV, AND ADV-W
AND TO EXCHANGE ACT RULES 15B1-1, 15B3-1, 15B6-1, 15BA2-2, 15BC3-1,
15CA1-1, 15CA2-1, 15CC1-1, AND 17A-3, AND ADVISERS ACT RULES 203-1,
203-3, AND 204-1
The Commission adopted technical amendments to Form MSD and Form MSDW,
primarily to add the Office of Thrift Supervision to the list of
agencies with which Forms MSD and MSDW must be filed. The Commission
also adopted a technical amendment to Form BD-N to update the address
of the National Futures Association. In addition, primarily to reflect
the formation of the Financial Industry Regulatory Authority, Inc.,
the Commission adopted technical amendments to Forms BD and BDW,
related rules under the Securities Exchange Act of 1934, Forms ADV and
ADV-W, and related rules under the Investment Advisers Act of 1940.
Publication is expected in the Federal Register during the week of
January 21. (Rels. 34-57166; IA-2695)
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF MARK E. SULLIVAN
On January 17, the Commission issued Order Instituting Administrative
Proceedings Pursuant to Rule 102(e)(3) of the Commission's Rules of
Practice, Making Findings and Imposing Remedial Sanctions (Order)
against Mark E. Sullivan. The Order finds that Sullivan had been a
certified public accountant licensed to practice in the Commonwealth
of Massachusetts and that Sullivan served as director of world-wide
operations at Applix, Inc. The Order also finds that the Commission
filed a complaint against Sullivan in SEC v. Alan C. Goldsworthy, et
al., Civil Action Number 06 CV 10012 JGD, in the U.S. District Court
for the District of Massachusetts (SEC v. Goldsworthy) alleging that
Sullivan and others engaged in a fraudulent scheme which resulted in
Applix filing materially false and misleading financial statements.
The Order further finds that on Jan. 9, 2008, the Court entered a
final judgment against Sullivan in SEC v. Goldsworthy. The final
judgment enjoins Sullivan from future violations of Section 17(a) of
the Securities Act of 1933, Sections 10(b) and 13(b)(5) of the
Exchange Act of 1934 and Rules 10b-5 and 13b2-1 thereunder, and aiding
and abetting violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B)
of the Exchange Act and Rules 12b-20, 13a-1, 13a-11 and 13a-13
thereunder and orders Sullivan to pay a $25,000 civil money penalty.
Based on the above, the Order suspends Sullivan from appearing or
practicing before the Commission as an accountant. Sullivan consented
to issuance of the Order without admitting or denying any of the
findings in the Order. (Rel. 34-57165; AAE Rel. 2768; File No. 3-
12932)
IN THE MATTER OF AR ASSOCIATES, INC., ET AL.
An Administrative Law Judge has issued an Order Making Findings and
Revoking Registrations by Default (Default Order) in AR Associates,
Inc., et al. The Order Instituting Proceedings alleged that
Respondents AR Associates, Inc., Azel Enterprises, Inc.,
Getgomail.Com, Inc. (n/k/a/ Getgo, Inc.), Success Development Group,
Inc., Vis Opps Marketing, Inc., and Worldwide Medical Corp.
(collectively, Respondents), failed repeatedly to file required annual
and quarterly reports while their securities were registered with the
Securities and Exchange Commission. The Default Order finds these
allegations to be true and revokes the registration of each class of
registered securities that Respondents have with the Commission,
pursuant to Section 12(j) of the Securities Exchange Act of 1934.
(Rel. 34-57168; File No. 3-12902)
INVESTMENT COMPANY ACT RELEASES
NORTHERN INSTITUTIONAL FUNDS, ET AL.
A notice has been issued giving interested persons until Feb. 11,
2008, to request a hearing on an application filed by Northern
Institutional Funds, et al. under Section 12(d)(1)(J) of the
Investment Company Act for an exemption from Sections 12(d)(1)(A) and
(B) of the Act, and under Sections 6(c) and 17(b) of the Act for an
exemption from Section 17(a) of the Act. The order would permit
certain registered open-end management investment companies to acquire
shares of other registered open-end management investment companies
and unit investment trusts that are within and outside the same group
of investment companies. (Rel. IC-28119 - January 16)
MAIN STREET CAPITAL CORPORATION, ET AL.
An order has been issued on an application filed by Main Street
Capital Corporation, et al. (Main Street) under Sections 6(c), 57(c),
and 57(i) of the Investment Company Act for an exemption from Sections
18(a), 23(a), 23(b), 57(a)(1), 57(a)(2), 61(a) and 63 of the Act, and
under Sections 57(a)(4) and 57(i) of the Act and Rule 17d-1 under the
Act authorizing certain joint transactions otherwise prohibited by
Section 57(a)(4) of the Act. The order permits (1) Main Street and its
wholly-owned subsidiaries to engage in certain transactions that
otherwise would be permitted if Main Street and its subsidiaries were
one company, and Main Street to adhere to a modified asset coverage
requirement and (2) Main Street to issue shares of its restricted
common stock as part of the compensation packages for certain of its
employees and directors, and certain employees of its wholly-owned
subsidiaries. (Rel. IC-28120 - January 16)
MILLENNIUM INDIA ACQUISITION COMPANY INC.
An order has been issued on an application filed by Millennium India
Acquisition Company Inc. (MIAC) for an order under Section 6(c) of the
Investment Company Act granting an exemption from Section 12(d)(3) of
the Act. The order permits MIAC to invest in the securities of two
issuers that each derives more than 15% of its gross revenues from
securities related activities as defined in Rule 12d3-1(b) under the
Act. (Rel. IC-28121 - January 16)
THE UBS FUNDS, ET AL.
An order has been issued on an application filed by The UBS Funds, et
al., under Section 6(c) of the Investment Company Act, for an
exemption from Rule 12d1-2(a) under the Act. The order permits funds
of funds relying on Rule 12d1-2 under the Act to invest in certain
financial instruments. (Rel. IC-28122 - January 16)
SELF-REGULATORY ORGANIZATIONS
PROPOSED RULE CHANGES
The Philadelphia Stock Exchang filed a proposed rule change (SR-Phlx-
2008-02) to amend By-Law Article XIV, Section 14-5 and Phlx Rule 50.
Publication is expected in the Federal Register during the week of
January 21. (Rel. 34-57155)
The Chicago Board Options Exchange filed a proposed rule change (SR-
CBOE-2006-36), as modified by Amendments No. 1 and 2 thereto,
regarding FLEX Equity Option Opening Transactions. Publication is
expected in the Federal Register during the week of January 21. (Rel.
34-57161)
Financial Industry Regulatory Authority filed a proposed rule change
(SR-FINRA-2007-041) to amend NASD Rule 7001B to adjust the percentage
of market data revenue shared with NASD/Nasdaq TRF Participants.
Publication is expected in the Federal Register during the week of
January 21. (Rel. 34-57164)
APPROVAL OF PROPOSED RULE CHANGE
The Commission approved a proposed rule change (SR-Amex-2007-20) and
Amendment No. 1 thereto submitted by the American Stock Exchange
relating to amending complex orders procedures. Publication is
expected in the Federal Register during the week of January 21. (Rel.
34-57160)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission granted accelerated approval to a proposed rule change
(SR-OCC-2007-18) filed by The Options Clearing Corporation relating to
expiration date exercise procedure. Publication is expected in the
Federal Register during the week of January 21. (Rel. 34-57163)
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 Sandfield Ventures Corp., CAVES VILLAGE, WEST BAY STREET,
NASSAU, NEW PROVIDENCE, C5, CB-12043, 242-327-3182 -
4,000,000 ($60,000.00) Equity, (File 333-148710 - Jan. 17) (BR. 04)
S-8 MERIX CORP, 15725 SW GREYSTONE COURT, SUITE 200, BEAVERTON, OR, 97006,
503-716-3700 - 0 ($2,103,788.00) Equity, (File 333-148711 - Jan. 17)
(BR. 03A)
S-8 TETRA TECH INC, 3475 EAST FOOTHILL BOULEVARD, PASADENA, CA, 91107,
6263514664 - 0 ($38,940,000.00) Equity, (File 333-148712 - Jan. 17)
(BR. 06A)
S-3 ENERGY XXI (BERMUDA) LTD, CANONS COURT,
22 VICTORIA STREET PO BX HM 1179, HAMILTON, D0, 00000, 713 351 3003 -
0 ($500,000,000.00) Equity, (File 333-148713 - Jan. 17) (BR. 04A)
S-1 Greenstreet Acquisition Corp., 2601 S. BAYSHORE DRIVE, SUITE 800,
COCONUT GROVE, FL, 33133, (305) 858-4225 - 0 ($345,000,000.00) Equity,
(File 333-148714 - Jan. 17) (BR. 06)
SB-2 PET ECOLOGY BRANDS INC, 14822 VENTURE DRIVE, DALLAS, TX, 75234,
972-759-8080 - 10,670,191 ($19,526,450.00) Equity, (File 333-148715 -
Jan. 17) (BR. 09)
SB-2 E 18 CORP, 18 RABBI AKIVA STREET, MODIIN ILLIT, L3, 71919,
972 547 346 346 - 2,000,000 ($60,000.00) Equity, (File 333-148716 -
Jan. 17) (BR. 06)
SB-2 MEDZED INC., 7900 EAST UNION AVENUE, SUITE 1100, DENVER, CO, 80237,
303-217-4556 - 1,000,000 ($40,000.00) Equity, (File 333-148719 -
Jan. 17) (BR. 02)
S-8 Mezey Howarth Racing Stables, Inc., 405A ARENOSO, SAN CLEMENETE, CA,
92672, 9494294001 - 10,000,000 ($1,600,000.00) Equity,
(File 333-148720 - Jan. 17) (BR. 05C)
S-8 VISION SCIENCES INC /DE/, 9 STRATHMORE ROAD, NATICK, MA, 01760,
5086509971 - 0 ($6,860,000.00) Equity, (File 333-148721 - Jan. 17)
(BR. 10C)
SB-2 Max Cash Media Inc, 50 BROMPTON ROAD, APT 1X, GREAT NECK, NY, 11201,
646 303-6840 - 1,400,000 ($140,000.00) Equity, (File 333-148722 -
Jan. 17) (BR. 03)
SB-2 China Display Technologies, Inc., 12A BLOCK, XINHE ROAD, XINQIAO NO. 3,
INDUSTRIAL ZONE, SHAJING DISTRICT, BAOAN, SHENZHEN,, F4, 150090,
5026710010 - 1,800,000 ($7,200,000.00) Equity, (File 333-148724 -
Jan. 17) (BR. 05B)
S-8 SIONIX CORP, 2082 MICHELSON DRIVE, #306, IRVINE, CA, 92612,
949-454-9283 - 17,228,624 ($3,962,583.52) Equity, (File 333-148725 -
Jan. 17) (BR. 06C)
SB-2 DOCUMENT CAPTURE TECHNOLOGIES, INC., 1772 TECHNOLOGY DRIVE, SAN JOSE,
CA, 95110, 408-436-9888 - 650,000 ($448,500.00) Other,
(File 333-148726 - Jan. 17) (BR. 03A)
S-1 PURE BIOSCIENCE, 1725 GILLESPIE WAY, STE H, EL CAJON, CA, 92020,
6195968600 - 2,264,749 ($13,747,027.00) Equity, (File 333-148727 -
Jan. 17) (BR. 06C)
S-8 Esmark INC, 2500 EUCLID AVENUE, CHICAGO HEIGHTS, IL, 60411,
708-756-0400 - 3,552,706 ($38,724,495.00) Equity, (File 333-148728 -
Jan. 17) (BR. 06B)
F-1 E-HOUSE (CHINA) HOLDINGS LTD, 17/F MERCHANDISE HARVEST BUILDING (EAST),
NO. 333 NORTH CHENGDU ROAD, SHANGHAI, F4, 200041, (86-21) 5298 0808 -
0 ($175,000,000.00) ADRs/ADSs, (File 333-148729 - Jan. 17) (BR. 08)
N-2 Nuveen Municipal High Income Opportunity Fund 3, 333 WEST WACKER DRIVE,
CHICAGO, IL, 60606, 312-917-8146 - 1,000 ($20,000.00) Equity,
(File 333-148730 - Jan. 17) (BR. )
S-3 TELKONET INC, 902A COMMERCE ROAD, ., ANNAPOLIS, MD, 21401,
240-912-1800 - 2,940,202 ($4,466,165.00) Equity, (File 333-148731 -
Jan. 17) (BR. 11B)
SB-2 PORFAVOR CORP, 2911 N LAMB BLVD, LAS VEGAS, NV, 89115, 702-642-0988 -
17,500,000 ($875,000.00) Equity, (File 333-148732 - Jan. 17) (BR. )
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
-----------------------------------------------------------------------------------------------------
4309 Inc DE 5.02,9.01 01/09/08
ACXIOM CORP DE 5.02,7.01,9.01 01/17/08
ADA-ES INC CO 5.02 01/14/08
ADVANCED MICRO DEVICES INC DE 2.02,7.01,9.01 01/17/08
ADVANCED MICRO DEVICES INC DE 2.06 01/17/08 AMEND
Aleris International, Inc. DE 2.01,9.01 01/11/08
ALIGN TECHNOLOGY INC DE 5.02 01/11/08
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 01/17/08
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 01/17/08
Allied Nevada Gold Corp DE 7.01,9.01 01/16/08
ALTERA CORP DE 1.01,9.01 01/11/08
AMBASSADORS INTERNATIONAL INC DE 1.01,9.01 01/14/08
AMBIENT CORP /NY DE 1.01,2.03,3.02,9.01 01/15/08
AMEREN CORP MO 2.02,9.01 01/17/08
AMERICAN AXLE & MANUFACTURING HOLDING DE 7.01,9.01 01/17/08
AMERICAN INTERNATIONAL GROUP INC DE 5.02,5.03,9.01 01/16/08
AMERICAN RIVER BANKSHARES CA 2.02,9.01 01/17/08
AMERICAN RIVER BANKSHARES CA 8.01,9.01 01/17/08
AMERINST INSURANCE GROUP LTD 7.01,9.01 09/17/07
AMPEX CORP /DE/ DE 1.02,9.01 01/14/08
AMPHENOL CORP /DE/ DE 2.02,9.01 01/17/08
ANALYSTS INTERNATIONAL CORP 5.02,9.01 01/16/08
Answers CORP 1.01,9.01 01/15/08
APAC CUSTOMER SERVICE INC IL 5.02,9.01 01/16/08
APEX BIOVENTURES ACQUISITION CORP DE 4.01,9.01 01/11/08
APPLIED DIGITAL SOLUTIONS INC MO 1.01,3.02,5.02,8.01,9.01 01/14/08
APPLIED DIGITAL SOLUTIONS INC MO 3.02 12/28/07 AMEND
ARC INTERNATIONAL CORP 1.01,2.01,3.02,5.01,5.02,5.03, 01/04/08
9.01
ARCADIA RESOURCES, INC NV 5.02,7.01,9.01 01/16/08
Ashton Woods USA L.L.C. NV 1.02,5.02 01/16/08
ASPEN TECHNOLOGY INC /DE/ DE 7.01,9.01 01/17/08
AspenBio Pharma, Inc. CO 8.01 01/16/08
ASSOCIATED BANC-CORP WI 2.02,9.01 01/17/08
ASTORIA FINANCIAL CORP DE 2.02,9.01 01/17/08
ATLAS MINING CO ID 5.02,8.01 01/07/08
AVEROX INC. NV 5.02 12/31/07
AVON PRODUCTS INC NY 5.02 01/11/08
Axion Power International, Inc. DE 1.01,3.02,9.01 01/14/08
AXS ONE INC DE 1.01,9.01 01/12/08
BA Credit Card Funding, LLC DE 8.01,9.01 01/17/08
BANK OF KENTUCKY FINANCIAL CORP KY 2.02,9.01 01/17/08
BANK OF SOUTH CAROLINA CORP SC 2.02,9.01 01/17/08
BB&T CORP NC 2.02,9.01 12/31/07
BEA SYSTEMS INC DE 1.01,3.03,8.01,9.01 01/17/08
BEHRINGER HARVARD REIT I INC MD 7.01,9.01 01/17/08
BILL BARRETT CORP 2.02,7.01,8.01,9.01 01/17/08
BIMINI CAPITAL MANAGEMENT, INC. MD 5.02,7.01,9.01 01/17/08
BIOPHAN TECHNOLOGIES INC NV 7.01,9.01 01/16/08
BIRNER DENTAL MANAGEMENT SERVICES INC CO 8.01 01/17/08
BlackRock Inc. DE 5.02,9.01 01/16/08
BlackRock Inc. DE 2.02,9.01 01/17/08
BLUE COAT SYSTEMS INC DE 8.01 01/15/08
BLUE VALLEY BAN CORP KS 2.02,7.01,9.01 01/17/08
BOOMJ INC NV 5.03 01/14/08
BP PRUDHOE BAY ROYALTY TRUST DE 1.01,8.01,9.01 01/11/08
BRIGGS & STRATTON CORP WI 2.02,9.01 01/17/08
BRIGGS & STRATTON CORP WI 2.02,9.01 01/17/08 AMEND
BRIGHAM EXPLORATION CO DE 2.02,7.01,9.01 01/16/08
BROADPOINT SECURITIES GROUP, INC. NY 1.01 01/16/08
BROADVISION INC DE 5.02 01/14/08
BRUKER BIOSCIENCES CORP DE 8.01,9.01 01/17/08
BSD MEDICAL CORP DE 7.01,9.01 01/17/08
BUFFETS HOLDINGS, INC. DE 1.01,5.02 01/11/08
Burlington Coat Factory Investments H 7.01,9.01 01/15/08
BUTLER INTERNATIONAL INC /MD/ MD 1.01,9.01 01/09/08
CALAIS RESOURCES INC 3.02 01/14/08
CALYPSO WIRELESS INC DE 8.01,9.01 12/03/07
CANTERBURY PARK HOLDING CORP MN 8.01,9.01 01/16/08
CAPITAL ONE MASTER TRUST NY 8.01,9.01 01/17/08 AMEND
CASEYS GENERAL STORES INC IA 5.02,9.01 01/14/08
CB RICHARD ELLIS REALTY TRUST 2.01,9.01 08/29/07 AMEND
CENTENE CORP 5.02 01/14/08
CENTRAL BANCORP INC /MA/ MA 8.01,9.01 01/17/08
CENTRAL EUROPEAN DISTRIBUTION CORP DE 7.01,9.01 01/17/08
CENTRAL JERSEY BANCORP NJ 9.01 01/15/08
CHECKPOINT SYSTEMS INC PA 2.01,9.01 11/01/07 AMEND
CHEM RX CORP DE 5.02,5.03,5.05,8.01,9.01 01/11/08
Cheniere Energy Partners, L.P. DE 8.01,9.01 01/16/08
Cheniere Energy Partners, L.P. DE 5.02,8.01,9.01 01/16/08
CHICOPEE BANCORP, INC. 5.02 01/14/08
China 3C Group NV 1.01,9.01 01/02/08
CHINA BROADBAND INC 1.01,3.02,5.02,9.01 01/11/08
China Direct, Inc FL 7.01,9.01 01/17/08
CHINA ENERGY TECHNOLOGY LTD D8 5.03 01/15/08
CHINA SXAN BIOTECH, INC. NV 4.01 01/17/08 AMEND
CHYRON CORP NY 1.01,2.01,2.03,3.02,9.01 01/14/08
CICERO INC DE 1.01 01/15/08
CINTAS CORP WA 5.02 01/15/08
CIT GROUP INC DE 2.02,5.03,8.01,9.01 01/17/08
CITIGROUP INC DE 8.01,9.01 01/17/08
CITIZENS REPUBLIC BANCORP, INC. MI 2.02,9.01 01/17/08
CLARCOR INC DE 2.02,9.01 01/16/08
CLAYTON WILLIAMS ENERGY INC /DE DE 7.01,9.01 01/17/08
CNET NETWORKS INC DE 2.02,7.01,9.01 01/17/08
CNS RESPONSE, INC. DE 5.02,9.01 01/11/08
COCA COLA ENTERPRISES INC DE 1.01 01/14/08
COMERICA INC /NEW/ DE 2.02,7.01,9.01 01/17/08
CONNECTICUT WATER SERVICE INC / CT CT 8.01,9.01 01/16/08
CONTINENTAL AIRLINES INC /DE/ DE 2.02,7.01,9.01 01/16/08
COSI INC DE 2.02,9.01 01/16/08
COUNTRYWIDE FINANCIAL CORP DE 1.01,5.02,9.01 01/11/08
CRYO CELL INTERNATIONAL INC DE 5.02,8.01,9.01 01/15/08
CSMG TECHNOLOGIES, INC. TX 4.01,9.01 01/11/08
CYBERSOURCE CORP DE 9.01 11/01/07 AMEND
DARLING INTERNATIONAL INC DE 5.02 01/11/08
DCB FINANCIAL CORP OH 2.02,9.01 01/17/08
DESTINATION TELEVISION, INC. DE 2.01,9.01 11/07/07 AMEND
DORAL FINANCIAL CORP PR 7.01,9.01 01/17/08
DOUBLE EAGLE PETROLEUM CO MD 3.02,5.02 01/15/08
EAGLE BANCORP/MT 2.02,8.01 01/17/08
EDGE PETROLEUM CORP DE 5.04,9.01 01/17/08
EDWARDS LIFESCIENCES CORP DE 2.01,9.01 01/11/08
EnerLume Energy Management Corp. CO 8.01 01/15/08
EQUITABLE RESOURCES INC /PA/ PA 1.02,9.01 01/15/08
ERF Wireless, Inc. NV 1.01,2.01,9.01 01/11/08
Federal Home Loan Bank of Atlanta X1 2.03 01/14/08
Federal Home Loan Bank of Atlanta X1 5.02 09/28/07 AMEND
Federal Home Loan Bank of Boston X1 2.03 01/14/08
Federal Home Loan Bank of Chicago X1 2.03 01/14/08
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 01/14/08
Federal Home Loan Bank of Dallas 2.03 01/14/08
Federal Home Loan Bank of Des Moines X1 2.03,9.01 01/14/08
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 01/14/08
Federal Home Loan Bank of New York X1 2.02,8.01,9.01 01/17/08
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 01/14/08
Federal Home Loan Bank of Pittsburgh PA 5.02 12/03/07 AMEND
Federal Home Loan Bank of San Francis X1 2.03 01/14/08
Federal Home Loan Bank of Seattle 2.03 01/16/08
Federal Home Loan Bank of Topeka 2.03 01/14/08
FEDERAL-MOGUL CORP DE 1.02,5.02,7.01,9.01 01/11/08
FIRST COMMONWEALTH FINANCIAL CORP /PA PA 5.03,9.01 01/15/08
FIRST FINANCIAL HOLDINGS INC /DE/ DE 2.02,9.01 01/17/08
FIRST HORIZON NATIONAL CORP TN 2.02,9.01 12/31/07
FIRST HORIZON NATIONAL CORP TN 7.01,9.01 12/31/07
FIRST NATIONAL BANCSHARES INC /SC/ SC 2.02,9.01 01/16/08
FIRST ROBINSON FINANCIAL CORP DE 5.02,5.03,9.01 01/11/08
FIRST ROBINSON FINANCIAL CORP DE 5.02,5.03,9.01 01/11/08
FIRST SOUTH BANCORP INC /VA/ VA 2.02,9.01 01/17/08
FIRST STATE FINANCIAL CORP/FL 8.01 01/17/08
FLEETWOOD ENTERPRISES INC/DE/ DE 1.01,2.03,9.01 01/16/08
FLORIDA POWER & LIGHT CO FL 8.01,9.01 01/16/08
FNB CORP/FL/ FL 2.02,9.01 01/17/08
Fortress Financial Group, Inc. / WY WY 8.01,9.01 01/16/08
FREMONT GENERAL CORP NV 7.01,9.01 01/16/08
Fuda Faucet Works, Inc. DE 4.01,5.03,9.01 01/16/08
FUND.COM INC. DE 1.01,2.01,3.02,5.01,5.02,5.06, 01/11/08
9.01
FUQI INTERNATIONAL, INC. DE 7.01,9.01 01/17/08
GARMIN LTD 8.01,9.01 01/17/08
GCO Education Loan Funding Trust-I DE 8.01,9.01 01/15/08
GENERAL MOTORS CORP DE 7.01,9.01 01/17/08
GENLYTE GROUP INC DE 1.01,8.01,9.01 01/17/08
GENWORTH LIFE & ANNUITY INSURANCE CO VA 9.01 01/17/08
GENWORTH LIFE & ANNUITY INSURANCE CO VA 9.01 01/17/08
GENWORTH LIFE & ANNUITY INSURANCE CO VA 9.01 01/17/08
GEOCOM RESOURCES INC NV 5.02 12/31/07
GEORGIA GULF CORP /DE/ DE 5.02,7.01,9.01 01/17/08
GLOBAL AIRCRAFT SOLUTIONS, INC. AZ 5.02,9.01 01/16/08
GMAC LLC DE 7.01 01/17/08
GOODRICH PETROLEUM CORP DE 1.01,7.01,9.01 01/11/08
GRAMERCY CAPITAL CORP MD 2.02,7.01,9.01 01/16/08
Grande Communications Holdings, Inc. DE 5.02 01/14/08
GRAPHIC PACKAGING CORP DE 8.01,9.01 01/17/08
GREAT LAKES BANCORP, INC. DE 8.01,9.01 01/17/08
GREENE COUNTY BANCORP INC DE 8.01 01/15/08
GRYPHON GOLD CORP NV 7.01,9.01 01/17/08
GSI COMMERCE INC DE 1.01,2.03,9.01 01/11/08
GULF RESOURCES, INC. DE 1.01,2.02,7.01,9.01 01/08/08
Harry & David OR 8.01,9.01 01/15/08
HARTFORD FINANCIAL SERVICES GROUP INC DE 5.02,9.01 01/17/08
HASTINGS ENTERTAINMENT INC TX 5.03,9.01 12/08/07
HEALTH SYSTEMS SOLUTIONS INC NV 9.01 01/16/08
HERCULES OFFSHORE, INC. DE 7.01,9.01 01/17/08
HILLENBRAND INDUSTRIES INC IN 8.01,9.01 01/16/08
HINES REAL ESTATE INVESTMENT TRUST IN 9.01 11/16/07 AMEND
HOLOGIC INC DE 5.02,9.01 01/11/08
HOME BANCSHARES INC 2.02,7.01 01/17/08
HORIZON FINANCIAL CORP WA 2.02,9.01 01/17/08
Horne International, Inc. DE 5.02 01/11/08
HUNTINGTON BANCSHARES INC/MD MD 2.02,9.01 01/17/08
IA GLOBAL INC DE 1.01 01/17/08
iBroadband, Inc. NV 1.01,2.03,3.02 01/17/08
ICC Worldwide, Inc. DE 1.01,3.02,9.01 12/03/07
ICOP DIGITAL, INC CO 2.03 01/15/08
IMPERIAL SUGAR CO /NEW/ TX 1.01,9.01 01/16/08
INDEPENDENT BANK CORP MA 2.02,7.01,8.01,9.01 01/17/08
INFOCUS CORP OR 1.01,5.02,9.01 01/17/08
INLAND REAL ESTATE CORP MD 8.01,9.01 01/17/08
INNERWORKINGS INC 5.02,9.01 01/11/08
INSTEEL INDUSTRIES INC NC 2.02,9.01 01/17/08
INTEL CORP DE 5.03,9.01 01/16/08
INTERNATIONAL BUSINESS MACHINES CORP NY 2.02 01/17/08
INTERNATIONAL GAME TECHNOLOGY NV 2.02 01/17/08
International Stem Cell CORP 1.01,9.01 01/15/08
INTERSTATE BAKERIES CORP/DE/ DE 7.01,9.01 01/16/08
INTRICON CORP PA 7.01,9.01 01/17/08
ION GEOPHYSICAL CORP DE 7.01 01/17/08
ION MEDIA NETWORKS INC. DE 1.01,9.01 01/11/08
IONATRON, INC. DE 5.02 01/12/08
Iowa Renewable Energy, LLC IA 8.01,9.01 01/14/08
ISCO INTERNATIONAL INC DE 7.01,9.01 01/17/07
ISOLAGEN INC DE 8.01,9.01 01/15/08
ISRAMCO INC DE 1.01,2.01,2.05,9.01 12/31/07 AMEND
ITC Holdings Corp. MI 1.01,7.01,9.01 01/15/08
J P MORGAN CHASE & CO DE 7.01,9.01 01/17/08
JABIL CIRCUIT INC DE 1.01,2.03,9.01 01/11/08
JACOBS ENTERTAINMENT INC DE 8.01,9.01 01/11/08
JESUP & LAMONT, INC. FL 5.02 01/11/08
KBR, INC. DE 1.01,9.01 01/17/08
KENTUCKY BANCSHARES INC /KY/ KY 2.02,9.01 01/17/08
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 01/16/08
KINDER MORGAN MANAGEMENT LLC DE 7.01 01/16/08
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 01/17/08
LAKELAND BANCORP INC NJ 2.02,8.01,9.01 01/17/08
LAND O LAKES INC 8.01 01/17/08
LANGUAGE ACCESS NETWORK, INC. NV 1.01,1.02,2.01,3.02,5.01,5.02, 01/16/08
8.01,9.01
LASALLE HOTEL PROPERTIES MD 1.01,2.03,7.01,9.01 01/14/08
LASERCARD CORP DE 2.02,9.01 01/17/08
LEAR CORP DE 7.01,9.01 01/17/08
LEGACY RESERVES LP DE 7.01,9.01 01/17/08
LEHMAN BROTHERS HOLDINGS INC DE 9.01 01/14/08
LEHMAN BROTHERS HOLDINGS INC DE 8.01 01/17/08
LEXINGTON PRECISION CORP DE 4.01,9.01 01/12/08
LIFE PARTNERS HOLDINGS INC TX 2.02 01/16/08
Lifevantage Corp CO 1.01,5.02,7.01,9.01 01/10/08
LIGHTPATH TECHNOLOGIES INC DE 1.01,5.02,9.01 01/07/08
LKQ CORP DE 5.02,9.01 01/11/08
LYONDELL CHEMICAL CO DE 1.02 01/11/08
MARINEMAX INC DE 2.02,9.01 01/16/08
MASIMO CORP DE 5.02,9.01 01/11/08
MASSEY ENERGY CO DE 8.01,9.01 01/17/08
MASTERCARD INC DE 5.02,9.01 01/15/08
MATRIXX INITIATIVES INC DE 7.01,9.01 01/16/08
MBIA INC CT 1.01,2.03,7.01,8.01,9.01 01/16/08
MEGADATA CORP NY 1.01 01/15/08
MERRILL LYNCH & CO INC DE 2.02,9.01 01/17/08
MFA MORTGAGE INVESTMENTS MD 1.01,9.01 01/16/08
MIDDLEBY CORP DE 9.01 12/31/07 AMEND
MILLENNIUM CHEMICALS INC DE 1.02 01/11/08
MINDEN BANCORP INC 7.01,9.01 01/15/08
MIRANT CORP DE 5.02 01/14/08
MODINE MANUFACTURING CO WI 8.01,9.01 01/16/08
MOLINA HEALTHCARE INC DE 2.01,9.01 11/01/07 AMEND
MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 01/17/08
MONUMENTAL MARKETING INC NV 5.02,9.01 01/17/08
MOTORCAR PARTS AMERICA INC NY 1.01,9.01 01/17/08
MOVIE STAR INC /NY/ NY 8.01,9.01 01/17/08
MultiCell Technologies, Inc. DE 4.01,9.01 01/15/08
NATURADE INC DE 4.01 01/16/08
NATURAL RESOURCE PARTNERS LP DE 1.01,7.01,9.01 01/16/08
Naugatuck Valley Financial Corp X1 5.02 12/18/07
NEOMAGIC CORP DE 1.01,7.01,9.01 01/11/08
NETWORK ENGINES INC DE 5.02,9.01 01/11/08
NEW CENTURY BANCORP INC NC 1.01,5.02 01/14/08
New Life Scientific, Inc. 1.01,2.01,5.02,8.01,9.01 01/15/08 AMEND
Nilam Resources Inc. NV 1.01,7.01,9.01 01/13/08
Nissan Auto Receivables 2008-A Owner DE 1.01,9.01 01/14/08
NITROMED INC DE 2.05,5.02,8.01,9.01 01/14/08
NORD RESOURCES CORP DE 8.01,9.01 01/17/08
North American Insurance Leaders, Inc 8.01,9.01 01/16/08
OCWEN FINANCIAL CORP FL 7.01,9.01 01/15/08
OLD POINT FINANCIAL CORP VA 2.02,9.01 01/17/08
ON ASSIGNMENT INC DE 5.02 01/14/08
ONCOVISTA INNOVATIVE THERAPIES, INC 1.01,9.01 11/30/07
OneLife Health Products Inc. NV 5.03,7.01 01/15/07
OneLife Health Products Inc. NV 7.01 01/15/08
ORAGENICS INC FL 1.01,9.01 01/11/08
Pacific Copper Corp. DE 8.01,9.01 01/08/08 AMEND
PACIFIC GAS & ELECTRIC CO CA 5.02 01/17/08
PAINCARE HOLDINGS INC CT 1.01,8.01,9.01 01/11/08
PALADIN REALTY INCOME PROPERTIES INC MD 2.01,2.03,9.01 01/11/08
PALMETTO BANCSHARES INC SC 5.05,9.01 10/23/07 AMEND
PALMETTO BANCSHARES INC SC 2.02,9.01 01/11/08 AMEND
PARKER HANNIFIN CORP OH 2.02,7.01,9.01 01/17/08
PAYMENT DATA SYSTEMS INC NV 1.01,2.01 01/11/08
PEDIATRIX MEDICAL GROUP INC FL 1.01,9.01 01/16/08
PEOPLES SIDNEY FINANCIAL CORP DE 2.02,8.01,9.01 01/17/08
PEP BOYS MANNY MOE & JACK PA 5.02 01/17/08
PG&E CORP CA 5.02 01/17/08
PINNACLE BANCSHARES INC AL 8.01,9.01 01/17/08
PLANETOUT INC DE 3.02,5.02,8.01,9.01 01/11/08
PLY GEM HOLDINGS INC DE 8.01,9.01 01/17/08
PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 01/17/08
PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 01/17/08
PNM RESOURCES INC NM 1.01,8.01,9.01 01/17/08
POLARIS INDUSTRIES INC/MN MN 5.02,7.01,9.01 01/16/08
POPE & TALBOT INC /DE/ DE 1.01,9.01 01/11/08
PPG INDUSTRIES INC PA 2.02,9.01 01/17/08
Protalix BioTherapeutics, Inc. FL 1.01,8.01,9.01 01/13/08
PROVIDENCE SERVICE CORP DE 5.02 01/14/08
PSB Holdings, Inc. 2.02,9.01 01/16/08
QLT INC/BC A1 2.02,9.01 01/17/08
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,1.02,2.01,2.03,2.04,3.02, 01/11/08
9.01
QUEST RESOURCE CORP NV 2.01,9.01 11/01/07 AMEND
REGENERATION TECHNOLOGIES INC FL 8.01,9.01 01/17/08
REGENERATION TECHNOLOGIES INC FL 8.01,9.01 01/17/08
RENAISSANCERE HOLDINGS LTD 8.01 01/16/08
Renewal Fuels, Inc. DE 1.01,2.03,3.02,9.01 12/13/07
REPUBLIC BANCORP INC /KY/ KY 7.01,9.01 01/17/08
Riptide Worldwide, Inc. 1.01,9.01 01/11/08 AMEND
SANDRIDGE ENERGY INC DE 2.02,7.01,9.01 01/16/08
SCORE ONE INC NV 5.02 01/14/08
SEAGATE TECHNOLOGY E9 2.02,9.01 01/17/08
SECURED DIVERSIFIED INVESTMENT LTD 5.02,9.01 01/16/08
SEITEL INC DE 7.01,9.01 01/17/08
SEMPRA ENERGY CA 1.02 01/16/08
ShoreTel Inc CA 8.01 01/16/08
Silver Dragon Resources Inc. DE 7.01,9.01 01/14/08
SIMMONS FIRST NATIONAL CORP AR 2.02 01/17/08
SKYWORKS SOLUTIONS INC DE 2.02,9.01 01/17/08
SLM FUNDING LLC DE 9.01 01/17/08
SM&A DE 5.02,9.01 01/11/08
SONUS PHARMACEUTICALS INC DE 5.02,9.01 01/11/08
SOUTHWESTERN ENERGY CO DE 1.01,2.03,9.01 01/02/08
Stanley-Martin Communities, LLC DE 2.02,9.01 01/17/08
Star Resorts Development Inc. NV 3.02,9.01 01/04/08
STATE STREET CORP MA 8.01 01/17/08
STERLING CONSTRUCTION CO INC DE 1.01,9.01 01/15/08
STERLING CONSTRUCTION CO INC DE 1.01,9.01 01/15/08 AMEND
STILLWATER MINING CO /DE/ DE 5.02,9.01 01/16/08
STINGER SYSTEMS, INC 1.01,5.02 01/11/08
STONE ENERGY CORP DE 5.02,8.01,9.01 01/14/08
TARGET CORP MN 9.01 01/17/08
TD AMERITRADE HOLDING CORP DE 2.02,9.01 01/17/08
TEKNI PLEX INC DE 1.01,8.01,9.01 01/16/08
TEXAS CAPITAL BANCSHARES INC/TX DE 2.02,9.01 01/14/08
TEXAS INSTRUMENTS INC DE 8.01,9.01 01/17/08
THESTREET COM DE 9.01 11/01/07 AMEND
TII NETWORK TECHNOLOGIES, INC. DE 5.02,5.05,9.01 01/11/08
TOPSPIN MEDICAL INC 1.01,9.01 01/14/08
TOYOTA MOTOR CREDIT CORP CA 2.03 01/14/08
TULLYS COFFEE CORP 5.02,7.01,9.01 01/11/08
TUTOGEN MEDICAL INC FL 8.01,9.01 01/17/08
TUTOGEN MEDICAL INC FL 8.01,9.01 01/17/08
UMH PROPERTIES, INC. MD 7.01,9.01 01/17/08
Under Armour, Inc. MD 2.02,9.01 01/17/08
UNICO INC /AZ/ AZ 8.01 01/08/08
US AIRWAYS GROUP INC DE 1.01 01/11/08
US BANCORP \DE\ DE 5.02,5.03,9.01 01/15/08
USAA ACCEPTANCE LLC 8.01,9.01 01/17/08
UTSTARCOM INC DE 5.02,9.01 01/11/08
VALEANT PHARMACEUTICALS INTERNATIONAL DE 2.01,9.01 01/14/08
VALUEVISION MEDIA INC MN 2.05 01/14/08
VeriChip CORP DE 5.02 01/11/08
Vestin Realty Mortgage I, Inc. 8.01,9.01 01/16/08
Vestin Realty Mortgage II, Inc 8.01,9.01 01/16/08
Victory Divide Mining CO NV 4.01 01/16/08
VIEWSONIC CORP DE 5.02 01/14/08
VISTEON CORP DE 2.02,7.01,9.01 01/17/08
Vivid Learning Systems, Inc. DE 5.02,8.01 01/17/08
VOICESERVE INC DE 1.01,2.01,9.01 01/15/08
WARNACO GROUP INC /DE/ DE 2.02,9.01 01/17/08
WASHINGTON MUTUAL, INC WA 2.02,9.01 01/17/08
WASHINGTON POST CO DE 5.02,9.01 01/17/08
WCI COMMUNITIES INC 1.01,9.01 01/16/08
WEST BANCORPORATION INC IA 2.02,9.01 01/17/08
WESTAFF INC DE 5.02 01/11/08
Western Goldfields Inc. A6 7.01,9.01 01/17/08
WGNB CORP GA 2.02,9.01 01/15/08
XILINX INC DE 2.02,9.01 01/17/08
http://www.sec.gov/news/digest/2008/dig011808.htm
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