SEC NEWS DIGEST Issue 2004-118 June 21, 2004 COMMISSION ANNOUNCEMENTS SEC CANCELS REGISTRATIONS OF TWO BROKER-DEALERS On June 17, the Securities and Exchange Commission cancelled the registrations of two broker-dealers - Nationwide Securities Corporation and Global Strategies Group, Inc. - that are former members of the Securities Investor Protection Corporation (SIPC). * Nationwide Securities Corporation (Nationwide) - Nationwide was a registered broker-dealer that operated primarily from offices in Texas, New York, New Jersey, and Florida. * Global Strategies Group, Inc. (Global) - Global was a registered broker-dealer that operated from offices in San Francisco, California, and New York, N.Y. SIPC takes the position that it loses its power under the Securities Investor Protection Act of 1970 (SIPA) to protect customers of SIPC members 180 days after a SIPC member's registration with the SEC is cancelled. Therefore, any person who believes he or she is still owed cash and/or securities from either Nationwide or Global should contact SIPC immediately to allow SIPC the opportunity to determine whether it should initiate a liquidation proceeding under SIPA with respect to either firm. If either broker-dealer is placed in a SIPA liquidation proceeding, persons who had securities accounts at the broker-dealer will be notified of the proceeding and receive instructions on how to file formal written claims with respect to their securities accounts. A formal written claim should be filed after the initiation of any SIPA proceeding, and within the time period specified in the instructions, even if a person previously contacted SIPC about their potential claim in response to this release. SIPC can be reached at: Securities Investor Protection Corporation 805 15th Street, N.W., Suite 800 Washington, D.C. 20005-2215 Email: asksipc@sipc.org Tel: (202) 371-8300 Fax: (202) 371-6728 Additional information regarding SIPC is available on the Internet at www.sipc.org. (Press Rel. 2004-85) ENFORCEMENT PROCEEDINGS SEC SETTLES MARKET TIMING ACTION AGAINST PILGRIM BAXTER & ASSOCIATES On June 21, the Commission instituted settled administrative and cease- and-desist proceedings against Pilgrim Baxter & Associates, Ltd. (PBA) pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, and Sections 9(b) and 9(f) of the Investment Company Act of 1940 (Order). The Commission's Order censures PBA; imposes on PBA an order to cease and desist; orders that PBA complete certain undertakings; and orders PBA to pay disgorgement in the total amount of $40,000,000 and a civil money penalty in the amount of $50,000,000, for a total payment of $90,000,000, to be distributed pursuant to Section 308(a) of the Sarbanes-Oxley Act of 2002. PBA consented to the issuance of the Order without admitting or denying any of the allegations contained therein. The Commission's Order finds, among other things, that from at least June 1998 through December 2001, Pilgrim Baxter & Associates, Ltd. (PBA) permitted a select group of investors to trade rapidly in and out of the PBHG Funds, reaping profits and diluting the value of the funds to the detriment of long-term investors that the funds purported to cultivate. The Order further finds that the detrimental timing permitted by PBA was exacerbated by the self-dealing by its founders and principals, Gary L. Pilgrim (Pilgrim) and Harold J. Baxter (Baxter). Specifically, the Order finds that PBA permitted a hedge fund in which Pilgrim invested to engage in rapid trading of the PBHG Growth Fund, which Pilgrim himself managed. Moreover, PBA provided 30-day stale PBHG portfolio holdings information to the customers of a New York brokerage firm headed by a personal friend of Baxter. These customers, in turn, used this information to facilitate market timing of the PBHG Funds and to exercise hedging strategies through other financial and brokerage institutions. The Order finds that PBA willfully violated Sections 204A, 206(1) and 206(2) of the Investment Advisers Act of 1940, and Section 34(b) of the Investment Company Act of 1940. The settlement further involves the Commission's dismissal of its federal district court action as to PBA (SEC v. Gary L. Pilgrim, Harold J. Baxter and Pilgrim Baxter & Associates, Civil Action No. 03-CV-6341, E.D. Pa.). The pending district court action will continue as to individual defendants Harold Baxter and Gary Pilgrim. (Rels. IA-2251; IC-26470; File No. 3-11524; Press Rel. 2004-84) HOLDING COMPANY ACT RELEASES ALLEGHENY ENERGY, INC. A supplemental order has been issued authorizing Allegheny Energy, Inc., a registered holding company, to issue up to an additional 5 million shares of its common stock through an employee stock ownership and savings plan through Dec. 31, 2008. (Rel. 35-27858) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change and Amendment No. 1 thereto (SR-Amex-2004-30) filed by the American Stock Exchange to extend on a six-month pilot basis the Exchange's odd-lot execution procedures applicable to trading in Nasdaq securities has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of June 21. (Rel. 34-49855) A proposed rule change (SR-NASD-2004-075) and Amendment No. 1 thereto filed by the National Association of Securities Dealers, through its subsidiary The Nasdaq Stock Market, Inc., to eliminate certain transaction charges for ITS securities has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of June 21. (Rel. 34-49872) ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission granted accelerated approval to a proposed rule change (SR-ISE-2004-14) submitted by the International Securities Exchange related to limitations on end-of-day Trade-Through liability. Publication of the proposal is expected in the Federal Register during the week of June 21. (Rel. 34-49866) The Commission granted accelerated approval to a proposed rule change (SR-CBOE-2004-29) and Amendment No. 1 thereto submitted by the Chicago Board Options Exchange related to the extension of a pilot program limiting liability for Trade-Throughs at the end of the trading day. Publication of the proposal is expected in the Federal Register during the week of June 21. (Rel. 34-49867) The Commission granted accelerated approval to a proposed rule change (SR-Amex-2004-36) submitted by the American Stock Exchange related to the revision and extension of the Trade-Through liability limitation pilot program under the Options Intermarket Linkage Plan. Publication of the proposal is expected in the Federal Register during the week of June 21. (Rel. 34-49868) The Commission granted accelerated approval to a proposed rule change (SR-BSE-2004-19) and Amendment No. 1 thereto submitted by the Boston Stock Exchange related to the extension of a pilot program limiting liability for Trade-Throughs at the end of the trading day. Publication of the proposal is expected in the Federal Register during the week of June 21. (Rel. 34-49869) The Commission granted accelerated approval to a proposed rule change (SR-CBOE-2004-05) and Amendments Nos. 1, 2, and 3 to amend CBOE Rules 8.84 and 8.95 to grant to its MTS Committee the authority to approve the relocation of an entire trading station's securities to another trading station that is operated by the same Designated Primary Market-Maker organization. Publication of the proposal is expected in the Federal Register during the week of June 21. (Rel. 34-49877) The Commission granted accelerated approval to a proposed rule change and Amendment Nos. 1 and 2 thereto (SR-Phlx-2004-33) submitted by the Philadelphia Stock Exchange relating to corporate governance. Publication of the proposal is expected in the Federal Register during the week of June 21. (Rel. 34-49881) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change and Amendment No. 1 thereto (SR-CBOE-2004-15) submitted by the Chicago Board Options Exchange relating to Automatic Executions for Underlying Specialists. (Rel. 34-49880) The Commission approved a proposed rule change and Amendment Nos. 1 and 2 thereto (SR-NYSE-2002-36) and granted accelerated approval to Amendment No. 3 filed by the National Association of Securities Dealers which amends and adopts rules relating to the establishment, maintenance, and testing of Internal Controls and Supervision. (Rel. 34- 49882) The Commission approved a proposed rule change and Amendment Nos. 1 and 2 thereto (SR-NASD-2002-162) and granted accelerated approval to Amendment No. 3 filed by the National Association of Securities Dealers which amends and adopts rules relating to the establishment, maintenance, and testing of Internal Controls and Supervision. (Rel. 34- 49883) APPROVAL OF AMENDMENT NO. 10 TO THE PLAN FOR THE PURPOSE OF CREATING AND OPERATING AN INTERMARKET OPTIONS LINKAGE The Commission approved Amendment No. 10 to the Plan for the Purpose of Creating and Operating an Intermarket Options Linkage submitted by American Stock Exchange, Boston Stock Exchange, Chicago Board Options Exchange, International Securities Exchange, Pacific Exchange, and Philadelphia Stock Exchange (File No. 4-429) relating to handling of principal acting as agent orders pursuant to Section 11A(a)(3) of the Securities Exchange Act of 1934. (Rel. 34-49885) 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 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . SB-2 PARA MAS INTERNET INC, 2003-10082-148TH STREET, V3T 0S3, SURREY BC, A1, 00000, 6045581710 - 29,980,105 ($7,495,026.25) Equity, (File 333-116603 - Jun. 18) (BR. 09) N-2 MUNIYIELD INSURED FUND INC, 800 SCUDDERS MILL ROAD, PLAINSBORO, NJ, 08530, 6092822800 - 5,200 ($130,000,000.00) Equity, (File 333-116604 - Jun. 18) (BR. 17) S-8 NANOGEN INC, 10398 PACIFIC CENTER COURT, SAN DIEGO, CA, 92121, 858 410 4600 - 0 ($7,375,000.00) Equity, (File 333-116605 - Jun. 18) (BR. 36) S-8 CRYSTAL GRAPHITE CORP, 1750 999 WEST HASTINGS STREET, VANCOUVER BC, A1, 00000, 6046813060 - 2,000,000 ($1,100,000.00) Equity, (File 333-116606 - Jun. 18) (BR. 04) S-8 I/OMAGIC CORP, 4 MARCONI, IRVINE, CA, 92618, 949-707-4800 - 400,000 ($1,672,000.00) Equity, (File 333-116607 - Jun. 18) (BR. 03) S-3 ALANCO TECHNOLOGIES INC, 15575 N 83RD WAY, SUITE 3, SCOTTSDALE, AZ, 85260, 4806071010 - 4,570,258 ($5,484,309.60) Equity, (File 333-116608 - Jun. 18) (BR. 03) S-3 DIGITAL INSIGHT CORP, 26025 MUREAU RD, CALABASAS, CA, 91302, 8188710000 - 1,446,868 ($25,681,907.00) Equity, (File 333-116610 - Jun. 18) (BR. 08) S-8 BLACKBOARD INC, 1899 L ST NW, 5TH FLR, WASHINGTON, DC, 20036, 0 ($65,912,700.00) Equity, (File 333-116612 - Jun. 18) (BR. 03) S-2 FEDERAL TRUST CORP, 312 WEST 1ST STREET, SANFORD, FL, 32771, 4073231833 - 1,200,000 ($9,600,000.00) Equity, (File 333-116613 - Jun. 18) (BR. 07) S-8 POWER TECHNOLOGY INC/CN, 1000 W BONANZA RD, 604-925-0716, LAS VEGAS, NV, 89106, 7023823385 - 6,000,000 ($180,000.00) Equity, (File 333-116616 - Jun. 18) (BR. 09) S-4 BLOCKBUSTER INC, 1201 ELM STREET, DALLAS, TX, 75270, 2148543000 - 0 ($2,210,400,000.00) Equity, (File 333-116617 - Jun. 18) (BR. 05) S-8 HEALTHEXTRAS INC, 3015482900 - 100,000 ($1,526,000.00) Equity, (File 333-116618 - Jun. 18) (BR. 01) S-8 HEALTHEXTRAS INC, 3015482900 - 200,000 ($3,052,000.00) Equity, (File 333-116619 - Jun. 18) (BR. 01) S-8 LUCENT TECHNOLOGIES INC, 600 MOUNTAIN AVE, MURRAY HILL, NJ, 07974, 9085828500 - 0 ($8,450,000.00) Equity, (File 333-116620 - Jun. 18) (BR. 37) S-8 SLS INTERNATIONAL INC, 3119 SOUTH SCENIC, SPRINGFIELD, MO, 65807, 4178834549 - 2,000,000 ($5,760,000.00) Equity, (File 333-116621 - Jun. 18) (BR. 37) S-8 SMUCKER J M CO, STRAWBERRY LN, ORRVILLE, OH, 44667, 3306823000 - 1,032,520 ($49,127,301.60) Equity, (File 333-116622 - Jun. 18) (BR. 04) S-3 UNITED COMMUNITY BANKS INC, P O BOX 398, 59 HIGHWAY 515, BLAIRSVILLE, GA, 30512, 5818073041 - 0 ($150,000,000.00) Equity, (File 333-116623 - Jun. 18) (BR. 07) S-8 QUESTCOR PHARMACEUTICALS INC, 5104000700 - 0 ($1,000,000.00) Equity, (File 333-116624 - Jun. 18) (BR. 01) S-8 FULTON FINANCIAL CORP, ONE PENN SQ, PO BOX 4887, LANCASTER, PA, 17604, 7172912411 - 13,860,000 ($276,368,400.00) Equity, (File 333-116625 - Jun. 18) (BR. 07) S-8 GATX CORP, 500 W MONROE ST, CHICAGO, IL, 60661, 3126216200 - 0 ($196,068,225.00) Equity, (File 333-116626 - Jun. 18) (BR. 05) S-1 Naugatuck Valley Financial Corp, 333 CHURCH STREET, NAUGATUCK, CT, 06770, 203-720-5000 - 2,975,625 ($29,756,250.00) Equity, (File 333-116627 - Jun. 18) (BR. ) S-8 INNOCAP INC, 5675B BALDWIN CT, NORCROSS, GA, 30071, 7704171664 - 20,000,000 ($20,000.00) Equity, (File 333-116628 - Jun. 18) (BR. 18) S-8 PRO PHARMACEUTICALS INC, 189 WELLS ST, STE 200, NEWTON, MA, 02459, 6175590033 - 3,000,000 ($12,000,000.00) Equity, (File 333-116629 - Jun. 18) (BR. 01) S-3 EXPLORATION CO OF DELAWARE INC, 500 N LOOP 1604 EAST, SUITE 250, SAN ANTONIO, TX, 78232, 2104965300 - 9,229,347 ($36,283,466.36) Equity, (File 333-116630 - Jun. 18) (BR. 04) S-8 WHOLE FOODS MARKET INC, 601 N LAMAR BLVD, STE 300, AUSTIN, TX, 78703, 5124774455 - 0 ($859,700,000.00) Equity, (File 333-116631 - Jun. 18) (BR. 02) S-8 TERADYNE INC, 321 HARRISON AVE, MAIL STOP H93, BOSTON, MA, 02118, 6174822700 - 5,000,000 ($103,450,000.00) Equity, (File 333-116632 - Jun. 18) (BR. 36) S-8 DIGITAL RECORDERS INC, 4018 PATRIOT DRIVE, SUITE 100, DURHAM, NC, 27703, 9193612155 - 0 ($3,926,550.00) Equity, (File 333-116633 - Jun. 18) (BR. 37) S-3 EDWARDS LIFESCIENCES CORP, ONE EDWARDS WAY, IRVINE, CA, 92614, 9492502500 - 0 ($500,000,000.00) Other, (File 333-116634 - Jun. 18) (BR. 36) S-3 RENT WAY INC, ONE RENTWAY PLACE, ERIE, PA, 16505, 8144555378 - 939,850 ($8,627,823.00) Equity, (File 333-116635 - Jun. 18) (BR. 06) S-4 DONNELLEY R R & SONS CO, 77 W WACKER DR, CHICAGO, IL, 60601, 3123268000 - 0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-116636 - Jun. 18) (BR. 05) S-8 AMERICAN DENTAL PARTNERS INC, 201 EDGEWATER DRIVE, SUITE 285, WAKEFIELD, MA, 01880-1249, 781-224-0880 - 125,000 ($2,243,750.00) Equity, (File 333-116637 - Jun. 18) (BR. 01) S-8 DCB FINANCIAL CORP, 110 RIVERBEND AVE., LEWIS CENTER, OH, 43035, 740-657-7000 - 300,000 ($7,155,000.00) Equity, (File 333-116638 - Jun. 18) (BR. 07) SB-2 Lincoln Park Bancorp, 31 BOONTON TURNPIKE, LINCOLN PARK, NJ, 07035, 973-694-0330 - 653,976 ($6,539,763.00) Equity, (File 333-116639 - Jun. 18) (BR. ) S-8 ANIMAS CORP, 200 LAWRENCE DRIVE, WEST CHESTER, PA, 19380, 6106448990 - 6,980,839 ($108,297,144.84) Equity, (File 333-116640 - Jun. 18) (BR. 36) S-8 INFOSPACE INC, 601 108TH AVE NE, SUITE 1200, BELLEVUE, WA, 98004, 4258821602 - 476,607 ($15,689,902.44) Equity, (File 333-116641 - Jun. 18) (BR. 03) S-8 DISTINCTIVE DEVICES INC, ONE BRIDGE PLAZA SUITE 100, FORT LEE, NJ, 07024, 5612744233 - 4,700,000 ($6,980,000.00) Unallocated (Universal) Shelf, (File 333-116642 - Jun. 18) (BR. 37) S-8 COMMERCIAL CAPITAL BANCORP INC, ONE VENTURE, 3RD FL, IRVINE, CA, 92618, 9495857500 - 0 ($24,486,508.00) Equity, (File 333-116643 - Jun. 18) (BR. 07) S-8 STAPLES INC, 500 STAPLES DRIVE, P O BOX 9328, FRAMINGHAM, MA, 01702, 5082535000 - 0 ($603,245,550.00) Equity, (File 333-116644 - Jun. 18) (BR. 02) S-1 SBM CERTIFICATE CO, 5101 RIVER RD STE 101, BETHESDA, MD, 20816, 3016564200 - 0 ($1.00) Face Amount Certificates, (File 333-116645 - Jun. 18) (BR. 18) S-3 CIBER INC, 5251 DTC PKYWAY, STE 1400, ENGLEWOOD, CO, 80111-2742, 3032200100 - 0 ($87,200,000.00) Equity, (File 333-116646 - Jun. 18) (BR. 03) S-3 RC2 CORP, 1111 WEST 22ND STREET, SUITE 320, OAK BROOK, IL, 60523, 630-573-7200 - 0 ($150,000,000.00) Equity, (File 333-116647 - Jun. 18) (BR. 02) SB-2 GLOBAL AXCESS CORP, 225 PONTE VEDRA PARK DRIVE, PONTE VEDRA BEACH, FL, 32082, 9042803950 - 124,709,994 ($81,061,496.00) Equity, (File 333-116648 - Jun. 18) (BR. 07) S-8 DOCUMENT SCIENCES CORP, 6339 PASEO DEL LAGO, CARLSBAD, CA, 92009, 7606021400 - 900,000 ($4,873,500.00) Equity, (File 333-116649 - Jun. 18) (BR. 03) S-8 GENZYME CORP, ONE KENDALL SQ, CAMBRIDGE, MA, 02139, 6172527500 - 0 ($281,112,000.00) Equity, (File 333-116650 - Jun. 18) (BR. 01) S-8 GENZYME CORP, ONE KENDALL SQ, CAMBRIDGE, MA, 02139, 6172527500 - 0 ($62,010,000.00) Equity, (File 333-116651 - Jun. 18) (BR. 01) S-8 LIBERTY MEDIA INTERNATIONAL INC, 12300 LIBERTY BLVD, ENGLEWOOD, CO, 80112, 7208755337 - 0 ($3,607,500.00) Equity, (File 333-116652 - Jun. 18) (BR. 37) S-8 GENZYME CORP, ONE KENDALL SQ, CAMBRIDGE, MA, 02139, 6172527500 - 0 ($8,268,000.00) Equity, (File 333-116653 - Jun. 18) (BR. 01) SB-2 PAYMENT DATA SYSTEMS INC, 211 N LOOP 1604 EAST, SUITE 200, SAN ANTONIO, TX, 78232, 2104025039 - 40,000,000 ($8,800,000.00) Equity, (File 333-116654 - Jun. 18) (BR. 07) S-3 WEATHERFORD INTERNATIONAL LTD, 515 POST OAK BLVD, STE 600, HOUSTON, TX, 77027-3415, 7136934000 - 0 ($750,000,000.00) Unallocated (Universal) Shelf, (File 333-116655 - Jun. 18) (BR. 04) S-3 TRANSACT TECHNOLOGIES INC, 7 LASER LANE, WALLINGFORD, CT, 06492, 2032691198 - 0 ($20,429,948.92) Equity, (File 333-116656 - Jun. 18) (BR. 03) S-1 Woodforest Financial Group,Inc., 1330 LAKE ROBBINS, SUITE 100, HOUSTON, TX, 77380, 281-297-1100 - 0 ($100,000,000.00) Equity, (File 333-116657 - Jun. 18) (BR. ) S-3 PROXYMED INC /FT LAUDERDALE/, 2555 DAVIE ROAD, SUITE 110, FORT LAUDERDALE, FL, 33317-7424, 9544731001 - 0 ($13,807,359.00) Equity, (File 333-116658 - Jun. 18) (BR. 03) S-3 INVERNESS MEDICAL INNOVATIONS INC, 51 SAWYER ROAD, SUITE 200, WALTHAM, MA, 02453, 7816473900 - 155,209 ($3,000,190.00) Equity, (File 333-116659 - Jun. 18) (BR. 01) S-8 PEGASYSTEMS INC, 101 MAIN ST, CAMBRIDGE, MA, 02142-1590, 6173749600 - 7,000,000 ($59,745,000.00) Equity, (File 333-116660 - Jun. 18) (BR. 03) S-8 VISUAL NETWORKS INC, 2092 GAITHER RD, SUITE 220-I, ROCKVILLE, MD, 20850, 3012962300 - 3,000,000 ($9,090,000.00) Equity, (File 333-116661 - Jun. 18) (BR. 03) S-8 CYPRESS BIOSCIENCE INC, 4350 EXECUTIVE DRIVE,SUITE 325, SAN DIEGO, CA, 92121, 8584522323 - 0 ($57,269,421.82) Equity, (File 333-116662 - Jun. 18) (BR. 01) S-8 PROCOREGROUP INC, 2250 WARRENSVILLE CENTER ROAD, UNIVERSITY HEIGHTS, OH, 44118, 8883709654 - 0 ($428,400.00) Equity, (File 333-116663 - Jun. 18) (BR. 05) S-8 WORLDWIDE MANUFACTURING USA INC, 1142 CHERRY STREET, SAN BRUNO, CA, 94066, (650) 794-9865 - 4,500,000 ($1,800,000.00) Equity, (File 333-116664 - Jun. 18) (BR. 06) S-8 NOVADEL PHARMA INC, 31 STATE HIGHWAY 12, FLEMINGTON, NJ, 08822, 908-782-3431 - 6,950,000 ($13,622,000.00) Equity, (File 333-116665 - Jun. 18) (BR. 01) S-8 ATSI COMMUNICATIONS INC/DE, 8600 WURZBACH, SUITE 700 WEST, SAN ANTONIO, TX, 78240, 210-614-7240 - 7,500,000 ($5,625,000.00) Equity, (File 333-116666 - Jun. 18) (BR. 37) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. Item 10. Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics. Item 11. Temporary Suspension of Trading Under Registrant's Employee Benefit Plans. Item 12. Results of Operations and Financial Condition. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 10 11 12 13 DATE COMMENT ------------------------------------------------------------------------------------------------ ABERDENE MINES LTD X X 06/17/04 ABRAXAS PETROLEUM CORP NV X 06/18/04 ACCENTURE LTD X 06/14/04 ACCENTURE SCA X 06/14/04 ADVANCED COMMUNICATIONS TECHNOLOGIES FL X X 06/03/04 ADVANCED PHOTONIX INC DE X 06/18/04 ADVANCED POWER TECHNOLOGY INC X 06/16/04 AK STEEL HOLDING CORP DE X X 06/17/04 AMCON DISTRIBUTING CO DE X 06/17/04 AMERICAN AIRLINES INC DE X 06/18/04 AMERICAN CLAIMS EVALUATION INC NY X X 06/18/04 AMERICAN RIVER BANKSHARES CA X X 06/17/04 AMERICAN UTILICRAFT CORP X 06/18/04 AMEND AMERICAN WATER STAR INC NV X X 06/16/04 AMR CORP DE X 06/18/04 ANSCOTT INDUSTRIES INC FL X 04/28/04 APOGENT TECHNOLOGIES INC WI X X 06/18/04 APPLIED EXTRUSION TECHNOLOGIES INC /D DE X 06/16/04 APPLIED MATERIALS INC /DE DC X X 06/15/04 ARGENT SECURITIES INC ASSET-BACKED PA X X 06/17/04 ARROWHEAD RESEARCH CORP DE X X 06/04/04 ARTEMIS INTERNATIONAL SOLUTIONS CORP DE X X 06/16/04 ASHLAND INC KY X 06/18/04 ASSET BACKED SECURITIES CORP DE X 06/18/04 ASTROPOWER INC DE X 06/17/04 AMEND ATSI COMMUNICATIONS INC/DE DE X X 05/24/04 AUDIBLE INC X X 06/16/04 AUTOCORP EQUITIES INC NV X 06/18/04 BAB INC DE X 06/18/04 BANC OF AMERICA COMMERCIAL MORT PASS DE X X 06/18/04 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X X 06/18/04 BERKSHIRE HILLS BANCORP INC X X 06/18/04 BF ACQUISITION GROUP I INC FL X X 06/17/04 BIG DOG HOLDINGS INC DE X 03/03/04 AMEND BIOMET INC IN X X 06/18/04 BLOCKBUSTER INC DE X 06/18/04 BOSTON ACOUSTICS INC MA X X 06/18/04 BP INTERNATIONAL INC DE X 05/31/04 BROOKTROUT INC MA X 04/05/04 AMEND BUFFALO WILD WINGS INC MN X X 06/17/04 CALLON PETROLEUM CO DE X X 06/17/04 CARCO AUTO LOAN MASTER TRUST DE X X 06/15/04 CARDIOTECH INTERNATIONAL INC MA X X 06/17/04 CARRINGTON MORTGAGE LOAN TRUST, SERIE X X 05/20/04 CATHAY GENERAL BANCORP DE X 06/18/04 CATUITY INC DE X 06/18/04 CBRL GROUP INC TN X X 06/18/04 CCH II LLC X X 06/17/04 CENTRAL FEDERAL CORP DE X X 06/18/04 CENTRAL HUDSON GAS & ELECTRIC CORP NY X 06/18/04 CERBCO INC DE X 06/18/04 CH ENERGY GROUP INC NY X 06/18/04 CHARLES & COLVARD LTD NC X 06/17/04 CHASE CREDIT CARD MASTER TRUST NY X X 06/15/04 CI SELL CARS INC TX X X X 06/18/04 CLEAN HARBORS INC MA X 06/18/04 COASTAL BANKING CO INC SC X X 06/18/04 COLMENA CORP DE X X 06/10/04 COMARCO INC CA X X 06/15/04 COMMERCIAL MORTGAGE PASS THROUGH CERT DE X X 06/18/04 COMMERCIAL NET LEASE REALTY INC MD X X 06/15/04 COMMONWEALTH INDUSTRIES INC/DE/ DE X X 06/16/04 COMMUNITY VALLEY BANCORP CA X X 06/18/04 COMPUTER PROGRAMS & SYSTEMS INC DE X 06/11/04 CORAM HEALTHCARE CORP DE X X 06/14/04 CORNERSTONE BANCORP INC CT X 06/17/04 COSI INC DE X X 06/11/04 CROSS TIMBERS ROYALTY TRUST TX X 06/18/04 CSFB MORT SEC CORP COMM MORT PAS THR DE X X 06/18/04 DAIMLERCHRYSLER AUTO TRUST 2004-A MI X X 06/08/04 DAIMLERCHRYSLER MASTER OWNER TRUST X X 06/15/04 DCB FINANCIAL CORP OH X 06/18/04 DIRECT WIRELESS COMMUNICATIONS INC TX X 06/16/04 DIVERSIFIED CORPORATE RESOURCES INC TX X X X 06/10/04 DIVIDEND CAPITAL TRUST INC MD X X 06/03/04 DORAL FINANCIAL CORP PR X X 06/18/04 DRESSER INC DE X X 06/18/04 DREXLER TECHNOLOGY CORP DE X X 06/14/04 ELECTRO ENERGY INC FL X X 06/10/04 EMPS RESEARCH CORP UT X 06/14/04 EQUITEX INC DE X 06/08/04 ETHYL CORP VA X X 06/18/04 EXPLORATION CO OF DELAWARE INC DE X 06/18/04 EXULT INC DE X X 06/15/04 EYETECH PHARMACEUTICALS INC DE X 06/18/04 FARMER BROTHERS CO CA X 06/18/04 FC BANC CORP OH X X 06/18/04 FIRST BANCORP OF INDIANA INC IN X X 06/17/04 FIRST POTOMAC REALTY TRUST MD X X 06/17/04 FIRST UNION COM MOR SEC INC COM MOR P NY X X 06/18/04 FIRST UNION COMM MORT TRUST COMM MOR NY X X 06/18/04 FIRST UNION COMM MORT TRUST COMM MOR NY X X 06/18/04 FIRST UNION COMM MORT TRUST COMM MOR NY X X 06/18/04 FIRST UNION COMM MORT TRUST COMM MOR NY X X 06/18/04 FIRST UNION COMMERCIAL MORTGAGE PASS NC X X 06/18/04 FIRST UNION LEH BRO BANK OF AMER COM NY X X 06/18/04 FIRST UNION NATIONAL BANK COM MORT PA NC X X 06/18/04 FIRSTFED BANCORP INC DE X X 06/08/04 FIRSTWAVE TECHNOLOGIES INC GA X X 06/14/04 FORGENT NETWORKS INC DE X 06/14/04 FREMONT GENERAL CORP NV X 06/02/04 FREMONT HOME LOAN TRUST 2004-B DE X X 05/13/04 GENESIS BIOVENTURES INC NY X X 06/10/04 GENZYME CORP MA X X 05/28/04 Giant Jr. Investments Corp. NV X X 06/16/04 GOVERNMENT PROPERTIES TRUST INC X X 06/18/04 GREAT LAKES BANCORP INC DE X X 06/01/04 Greenwich Capital Commercial Funding X 06/11/04 GS MORTGAGE SECURITIES CORP DE X X 06/17/04 GUILFORD PHARMACEUTICALS INC DE X X 06/18/04 HALLIBURTON CO DE X X 06/18/04 HANGER ORTHOPEDIC GROUP INC DE X X 06/14/04 HEALTHSOUTH CORP DE X X 06/18/04 HEMACARE CORP /CA/ CA X 06/17/04 HEWITT ASSOCIATES INC DE X X 06/15/04 HOME PRODUCTS INTERNATIONAL INC DE X 06/18/04 HORIZON OFFSHORE INC DE X X 06/16/04 HORIZON OFFSHORE INC DE X X 06/18/04 HORTON D R INC /DE/ DE X X X 06/18/04 HUB GROUP INC DE X 06/18/04 HUGOTON ROYALTY TRUST TX X 06/18/04 IA GLOBAL INC DE X X 06/10/04 ICU MEDICAL INC/DE DE X X 06/17/04 IGIA, Inc. DE X X 06/11/04 IMCO RECYCLING INC DE X X 06/16/04 IMPAC SECURED ASSETS CORP MORTGAGE PA CA X X 06/14/04 INFOSPACE INC DE X X 06/03/04 INTELIDATA TECHNOLOGIES CORP DE X 06/16/04 INTERNATIONAL BUSINESS MACHINES CORP NY X X 06/18/04 INTERNATIONAL LEASE FINANCE CORP CA X 06/15/04 INTERPORE INTERNATIONAL INC /DE/ DE X X 06/18/04 INVISION TECHNOLOGIES INC DE X X 06/18/04 IPIX CORP DE X X 06/15/04 JDA SOFTWARE GROUP INC DE X X 06/17/04 JONES APPAREL GROUP INC PA X X 06/18/04 JP MORGAN COMMERCIAL MORT PASS THR CE DE X X 06/18/04 KEYSTONE CONSOLIDATED INDUSTRIES INC DE X 06/16/04 KMG CHEMICALS INC TX X 06/09/04 KROGER CO OH X 06/18/04 LANDAMERICA FINANCIAL GROUP INC VA X 06/18/04 LASER RECORDING SYSTEMS INC NJ X X X X X X 06/09/04 LBI MEDIA HOLDINGS INC X X 06/11/04 LMI AEROSPACE INC MO X 06/17/04 LOYALTYPOINT INC DE X X 06/15/04 MAJOR AUTOMOTIVE COMPANIES INC NV X X 06/17/04 MANCHESTER TECHNOLOGIES INC NY X 06/17/04 MARCONI CORP PLC X0 X 06/18/04 MAXWELL SHOE CO INC DE X X 06/18/04 MCKENZIE BAY INTERNATIONAL LTD X 06/18/04 MEDCATH CORP DE X 06/18/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 06/17/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 06/16/04 AMEND MESA OFFSHORE TRUST TX X X 06/18/04 MESA ROYALTY TRUST/TX TX X X 06/18/04 METALLURG HOLDINGS INC DE X 06/18/04 METALLURG INC DE X 06/18/04 MGP INGREDIENTS INC KS X X 06/18/04 MID-STATE BANCSHARES CA X X 06/16/04 MORGAN STAN DEAN WIT CAP COM MORT PS DE X X 06/18/04 MORGAN STAN DEAN WIT CAP COM MORT PS DE X X 06/18/04 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 06/18/04 MYERCOM INC DE X 06/08/04 N-VIRO INTERNATIONAL CORP DE X 06/18/04 NATURES SUNSHINE PRODUCTS INC UT X X 05/27/04 AMEND NEOPHARM INC DE X X X 06/17/04 NEVADA GOLD & CASINOS INC NV X X 06/17/04 NEWALLIANCE BANCSHARES INC X 06/17/04 NICHOLAS INVESTMENT CO INC NV X X 06/14/04 NOMURA ASSET ACCEPTANCE CORP DE X X 06/17/04 NOMURA ASSET ACCEPTANCE CORP DE X X 06/17/04 NORTHWESTERN CORP DE X X 06/18/04 O REILLY AUTOMOTIVE INC MO X 06/18/04 OCEANFIRST FINANCIAL CORP DE X X 06/18/04 ONEOK INC /NEW/ OK X X 06/17/04 OPTICAL CABLE CORP VA X X 06/14/04 OPTIMAL GROUP INC X X 04/06/04 AMEND OZOLUTIONS INC X X 06/17/04 PAC-WEST TELECOMM INC X X 06/18/04 PACIFIC GAS & ELECTRIC CO CA X X 06/18/04 PACIFICARE HEALTH SYSTEMS INC /DE/ DE X X X 06/11/04 PARKER HANNIFIN CORP OH X X 06/18/04 PATIENT INFOSYSTEMS INC DE X X 06/18/04 PENNSYLVANIA REAL ESTATE INVESTMENT T PA X 06/17/04 PG&E CORP CA X X 06/18/04 PMA CAPITAL CORP PA X 06/18/04 PNM RESOURCES INC NM X 06/18/04 POZEN INC /NC X X 06/01/04 PRIMAL SOLUTIONS INC DE X X 06/15/04 PROGRESSIVE CORP/OH/ OH X 06/15/04 PROSOFTTRAINING COM NV X X X 06/14/04 PROVIDE COMMERCE INC DE X X 06/18/04 PUBLIC STORAGE INC /CA CA X X 06/16/04 QRS CORP DE X X 06/17/04 R-TEC HOLDING INC IA X 06/15/04 RADIAN GROUP INC DE X X 06/18/04 RAINMAKER SYSTEMS INC CA X X 06/18/04 REGIONS FINANCIAL CORP DE X X 06/17/04 RELAY MINES LTD NV X X 06/18/04 RENAISSANCE CAPITAL GROWTH & INCOME F TX X X 06/18/04 REPUBLIC BANCORP INC MI X 06/18/04 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 06/18/04 S3I HOLDINGS INC CA X 06/17/04 SANDERS MORRIS HARRIS GROUP INC TX X X 06/18/04 SENECA FOODS CORP /NY/ NY X X 06/18/04 SHIRE PHARMACEUTICALS GROUP PLC X X 06/18/04 SHOPSMITH INC OH X 06/10/04 SKYLINE CORP IN X 06/18/04 SMUCKER J M CO OH X X 06/17/04 SOUTHWEST BANCORP OF TEXAS INC TX X X 06/17/04 SPARTAN STORES INC MI X 06/18/04 SPEEDEMISSIONS INC FL X X 06/11/04 SPSS INC DE X 06/16/04 STAAR SURGICAL COMPANY DE X 06/17/04 STATER BROS HOLDINGS INC DE X X 06/18/04 STERLING GROUP VENTURES INC NV X X 06/16/04 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 06/17/04 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 06/18/04 STRUCTURED ASSET SECURITIES CORP DE X 06/18/04 STRUCTURED ASSET SECURITIES CORP DE X X 06/15/04 TASTY BAKING CO PA X 06/14/04 TAYLOR CAPITAL GROUP INC DE X X 06/17/04 TIBCO SOFTWARE INC DE X X 06/07/04 TRANSKARYOTIC THERAPIES INC DE X 06/17/04 TREASURE MOUNTAIN HOLDINGS INC NV X 06/17/04 TRINITY CAPITAL CORP X X 06/17/04 TRM CORP OR X 06/17/04 TROY GROUP INC DE X X 06/15/04 TXU CORP /TX/ TX X 06/16/04 U S ENERGY SYSTEMS INC DE X 04/08/04 AMEND UCAP INC CO X X 06/18/04 UNITED BANCORPORATION OF ALABAMA INC DE X X 05/26/04 AMEND UNITED DOMINION REALTY TRUST INC MD X X 06/17/04 US HOME SYSTEMS INC DE X X 06/18/04 VIACOM INC DE X X 06/18/04 VIAD CORP DE X X 06/17/04 VIISAGE TECHNOLOGY INC DE X 01/23/04 AMEND WACHOVIA ASSET SECURITIZATION IISSUAN NC X X 06/17/04 WACHOVIA ASSET SECURITIZATION IISSUAN NC X X 06/17/04 WACHOVIA COMMERCIAL MORT SEC INC COM NC X 06/15/04 WARNACO GROUP INC /DE/ DE X X 06/17/04 WELLS FARGO ASSET SECURITIES CORP DE X X 06/17/04 WELUND FUND INC DE X X 06/09/04 WESBANCO INC WV X X 06/17/04 WHIRLPOOL CORP /DE/ DE X X 06/17/04 WHITEWING ENVIRONMENTAL CORP CA X 06/16/04 WHITTIER ENERGY CORP NV X X 06/15/04 WHITTIER ENERGY CORP NV X X 06/18/04 WHITTIER ENERGY CORP NV X X 06/18/04 WKI HOLDING CO INC DE X X 06/17/04 WNC HOUSING TAX CREDIT FUND VI LP SER X X 06/09/04 XYNERGY CORP NV X X X 06/03/04 YELLOW ROADWAY CORP DE X 06/18/04