SEC NEWS DIGEST Issue 2003-229 December 3, 2003 COMMISSION ANNOUNCEMENTS SEC TAKES STEPS TO ADDRESS LATE TRADING, MARKET TIMING AND RELATED ABUSES At an open meeting today the Commission took action on three measures to address late trading, market timing and related abuses in the mutual fund industry. The Commission voted to propose a rule requiring that fund orders be received by 4:00 p.m. Specifically, this proposal would require that an order to purchase or redeem mutual fund shares be received by the mutual fund - or its primary transfer agent or a registered securities clearing agency - by the time that the fund establishes for calculating its net asset value in order to receive that day's price (typically 4:00 p.m. for most funds). This rule would effectively eliminate the potential for late trading through intermediaries that sell fund shares. A public comment period concerning this proposal will run for 45 days following its publication in the Federal Register. The Commission also voted to adopt a compliance rule that will require funds and advisers to (i) have compliance policies and procedures, (ii) annually review them and (iii) designate a chief compliance officer who, for funds, must report to the board of directors. Designated compliance officers and written policies and procedures will have several benefits, including having a designated person charged with fund compliance who must answer to, and be accountable to, the fund's board of directors, thereby enhancing compliance oversight by directors, as well as allowing the SEC's examination staff to review the reports made to the board. Compliance with this rule will be required no later than nine months after its publication in the Federal Register. Finally, the Commission voted to propose enhanced disclosure requirements. These enhancements would require funds to disclose (i) market timing policies and procedures, (ii) practices regarding "fair valuation" of their portfolio securities and (iii) policies and procedures with respect to the disclosure of their portfolio holdings. This type of explicit disclosure would shed light on market timing and selective disclosure of portfolio holdings so that investors could better understand the fund's policies and how funds manage the risks in these areas. A public comment period concerning these proposals will run for 45 days following their publication in the Federal Register. (Press Rel. 2003-168) ENFORCEMENT PROCEEDINGS COMMISSION DENIES RECONSIDERATION REQUEST BY BARR FINANCIAL GROUP AND ALFRED BARR The Commission has denied a request by the Barr Financial Group, Inc., an investment adviser, and Alfred E. Barr, Barr Financial's president, for reconsideration of a Commission decision finding that respondents had violated the Investment Advisers Act of 1940 and imposing sanctions. The Commission found that respondents made untrue statements of material fact in Commission filings during 1997 and 1998. Respondents' statements concerned the amount of assets Barr Financial had under management and Barr's academic background. The Commission further found that respondents were permanently enjoined in 1999 from violating the Advisers Act based on their failure to cooperate with an examination of Barr Financial by Commission staff. Based on these findings, the Commission ordered respondents to cease and desist from violating the Advisers Act provisions they had been found to have violated, barred Barr from associating with an investment adviser, and revoked Barr Financial's registration. In determining to deny the reconsideration, the Commission pointed out that respondents' contentions were indistinguishable from those that they had made in their prior filings and at oral argument, which the Commission had previously considered and rejected. (Rel. 34-48867; File No. 3-9918) SEC SETTLES INSIDER TRADING CHARGES WITH PENNSYLVANIA RESIDENT FOR ILLEGAL TRADES IN BETZDEARBORN INC. On Nov. 18, 2003, Judge William H. Yohn, Jr. in the U.S. District Court for the Eastern District of Pennsylvania entered a final judgment against Joseph F. Doody IV (Doody) of Newtown, Pennsylvania, in a Commission action that charged him with insider trading in the securities of BetzDearborn Inc. This judgment represents the final settlement in the five insider trading cases brought by the Commission to address trading before the merger of BetzDearborn and Hercules in 1998. The Commission filed suit against a total of eighteen defendants, and obtained final judgments against each of them, collectively ordering approximately $4 million in disgorgement, prejudgment interest, and penalties. The Commission alleged in its complaint in this matter, filed in November 2001, that Diane C. Neiley, a former employee of BetzDearborn Inc., Doody, and his father, Joseph F. Doody, engaged in illegal insider trading in advance of the July 30, 1998, announcement that BetzDearborn Inc. and Hercules Inc. had agreed to merge. The Commission alleged that Neiley, an executive assistant at BetzDearborn, learned confidential information regarding the merger and tipped her then-boyfriend, Doody, who in turn tipped his father. The Commission alleged that Doody purchased BetzDearborn common stock and call options that he sold after the merger announcement, realizing $240,953 in illegal profits. The Commission further alleged that Doody also tipped his father, Joseph F. Doody, who bought BetzDearborn common stock that he sold after the announcement for unlawful profits of $30,813. In November 2001, Neiley settled with the Commission by consenting to a final judgment that permanently enjoined her from violating Section 10(b) and Rule 10b-5, and imposed no civil penalty based on her sworn financial statement. In July 2003, Joseph F. Doody settled with the Commission by consenting to a final judgment that permanently enjoined him from violating Section 10(b) and Rule 10b-5, and ordered him to disgorge his illegal profits of $30,813, together with $12,340 in prejudgment interest, and pay civil penalties of $30,813. The final judgment entered by the court on November 18 permanently enjoined Doody from violating Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. It also waived payment of his illegal profits of $240,953 and prejudgment interest, and did not impose a civil penalty, based on Doody's sworn financial statements demonstrating that he did not have the means to pay the judgment. Doody settled the action without admitting or denying the allegations in the Commission's complaint. He is currently serving an 18-month prison term in connection with a related criminal proceeding in which he pled guilty to one count of insider trading and one count of obstruction of justice in December 2002. Today, the Commission also instituted administrative proceedings to bar Doody from the securities industry. Doody consented to the entry of the Commission's Order, which bars him from association with any broker, dealer, municipal securities dealer, or investment adviser. [SEC v. Joseph F. Doody IV, Joseph F. Doody, and Diane C. Neiley, NO. 02-2932 (E.D. Pa.)] (LR-18484); (Administrative Proceeding - Rels. 34-48870; IA- 2197; File No. 3-11348) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-Phlx-2003-77) submitted by the Philadelphia Stock Exchange to extend a pilot program to disengage the automatic execution feature of the Exchange's automated options market. Publication in the Federal Register is expected during the week of December 1. (Rel. 34-48851) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-NASD-2003-135), and Amendment No. 1 thereto, submitted by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., to aggregate odd-lot amounts for display in SuperMontage under certain circumstances. Publication of the approval order is expected in the Federal Register during the week of December 1. (Rel. 34-48854) The Commission granted approval to a proposed rule change (SR-BSE-2003- 07), and accelerated approval of Amendment No. 1 thereto, submitted by the Boston Stock Exchange to amend its listed securities requirements relating to the mandatory establishment of independent audit committees for all listed issuers. Publication of the approval order is expected in the Federal Register during the week of December 1. (Rel. 34-48855) The Commission approved a proposal by the New York Stock Exchange (SR- NYSE-2002-40) to establish two new crossing sessions in the Exchange's off-hours trading facility. Publication of the approval order is expected in the Federal Register during the week of December 1. (Rel. 34-48857) The Commission approved a proposed rule change (SR-CBOE-2003-07) submitted by the Chicago Board Options Exchange that allows ratio orders with certain permissible ratio limits, as defined under CBOE rules, to be executed through the CBOE. Publication of the approval order is expected in the Federal Register during the week of December 1. (Rel. 34-48858) The Commission has granted approval of a proposed rule change (SR-Amex- 2003-65), and accelerated approval of Amendment No. 2 thereto, submitted by the American Stock Exchange relating to enhanced corporate governance requirements applicable to listed companies. Publication of the approval order is expected in the Federal Register during the week of December 1. (Rel. 34-48863) PROPOSED RULE CHANGE The Chicago Stock Exchange filed a proposed rule change (SR-CHX-2003- 23), and Amendment No. 1 thereto, to amend Article XX, Rule 37(a)(4) relating to the definition of preopening order. Publication of the proposal is expected in the Federal Register during the week of December 1. (Rel. 34-48859) PARTIAL APPROVAL OF PROPOSED RULE CHANGES The Commission granted partial approval of a proposed rule change (SR- CHX-2003-19), and accelerated approval of Amendment No. 1 thereto, submitted by the Chicago Stock Exchange relating to governance of issuers on the CHX. Publication of the proposal is expected in the Federal Register during the week of December 1. (Rel. 34-48860) The Commission granted partial approval of a proposed rule change (SR- PCX-2003-35), and accelerated approval of Amendment No. 2 thereto, submitted by the Pacific Exchange to amend its corporate governance and disclosure policies. Publication of the proposal is expected in the Federal Register during the week of December 1. (Rel. 34-48861) 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: . S-8 REALITY WIRELESS NETWORKS INC, 4106 FACTORIA BLVD. SE,, SUITE 214, BELLEVUE, WA, 98006, 4083791716 - 45,333,000 ($1,223,991.00) Equity, (File 333-110844 - Dec. 1) (BR. 03) S-8 FIRST TENNESSEE NATIONAL CORP, 165 MADISON AVE, MEMPHIS, TN, 38103, 9015234638 - 0 ($50,000,000.00) Other, (File 333-110845 - Dec. 1) (BR. 07) S-8 CAPSTONE TURBINE CORP, 21211 NORDHOFF STREET, CHATSWORTH, CA, 91311, 818-734-5300 - 0 ($3,685,750.00) Equity, (File 333-110847 - Dec. 1) (BR. 36) S-8 HAIRMAX INTERNATIONAL INC, 4810 WEST COMMERICAL BLVD, FT LAUDERDALE, FL, 33319, 9547178680 - 2,000,000 ($1,020,000.00) Equity, (File 333-110848 - Dec. 1) (BR. 05) S-8 CTD HOLDINGS INC, 27317 NW 78 AVENUE, N/A, HIGH SPRINGS, FL, 32643, 3864540887 - 1,000,000 ($50,000.00) Equity, (File 333-110850 - Dec. 1) (BR. 01) SB-2 ADVANT E CORP, 1619 MARDON DRIVE, DAYTON, OH, 45432, 9374294288 - 1,752,040 ($2,452,856.00) Equity, (File 333-110851 - Dec. 1) (BR. 03) S-4 RENT WAY INC, ONE RENTWAY PLACE, ERIE, PA, 16505, 8144555378 - 205,000,000 ($205,000,000.00) Non-Convertible Debt, (File 333-110852 - Dec. 1) (BR. 06) S-3 PFSWEB INC, 500 NORTH CENTRAL EXPRESSWAY, PLANO, TX, 75074, 9728812900 - 0 ($4,055,057.64) Equity, (File 333-110853 - Dec. 1) (BR. 08) S-8 COORS ADOLPH CO, P.O. BOX 4030, MAIL #NH375, GOLDEN, CO, 80401, 3032773271 - 0 ($549,500.00) Equity, (File 333-110854 - Dec. 1) (BR. 02) S-8 COORS ADOLPH CO, P.O. BOX 4030, MAIL #NH375, GOLDEN, CO, 80401, 3032773271 - 0 ($109,900,000.00) Equity, (File 333-110855 - Dec. 1) (BR. 02) F-10 INTRAWEST CORP, STE 800 200 BURRARD ST, VANCOUVER BRITISH CO, A1, 00000, 2066237580 - 0 ($28,315.01) Non-Convertible Debt, (File 333-110856 - Dec. 2) (BR. 05) S-8 TECHNIP, TOUR TECHNIP, 6-8 ALLEE DE L'ARCHE, PARIS LA DEFENSE CED, I0, 92973, 2128948500 - 0 ($8,360,000.00) Equity, (File 333-110857 - Dec. 2) (BR. 06) SB-2 NEOPROBE CORP, 425 METRO PLACE N, STE 400, DUBLIN, OH, 43017, 6147937500 - 21,817,257 ($6,763,349.67) Equity, (File 333-110858 - Dec. 2) (BR. 36) S-8 THOMSON MULTIMEDIA, 46 QUAI A LE GALLO, 92100, BOULOGNEFRANCE, I0, 3,000,000 ($52,620,000.00) Equity, (File 333-110859 - Dec. 2) (BR. 02) S-8 DR REDDYS LABORATORIES LTD, 7-1-27 AMEERPET, HYDERABAD INDIA, K7, 500-016, 0 ($2,576,542.50) Equity, (File 333-110861 - Dec. 2) (BR. 01) S-8 VERISITY LTD, 2041 LANDINGS DRIVE, MOUNTAIN VIEW, CA, 94043, 4154341665 - 0 ($6,365,000.00) Equity, (File 333-110863 - Dec. 2) (BR. 03) S-8 VERISITY LTD, 2041 LANDINGS DRIVE, MOUNTAIN VIEW, CA, 94043, 4154341665 - 0 ($3,819,000.00) Equity, (File 333-110864 - Dec. 2) (BR. 03) S-8 TECHNIP, TOUR TECHNIP, 6-8 ALLEE DE L'ARCHE, PARIS LA DEFENSE CED, I0, 92973, 2128948500 - 0 ($5,225,000.00) Equity, (File 333-110865 - Dec. 2) (BR. 06) S-8 INTERACTIVE INTELLIGENCE INC, 8909 PURDUE ROAD, INDIANAPOLIS, IN, 46268, 3178723000 - 0 ($1,324,500.00) Equity, (File 333-110866 - Dec. 2) (BR. 03) F-3 VALLEY OF THE RIO DOCE CO, AVENIDA GRACA ARANHA #26, RIO DE JANEIRO, D5, 20005-900, 0 ($2,000,000,000.00) Non-Convertible Debt, (File 333-110867 - Dec. 2) (BR. 04) S-3 EARTHSHELL CORP, 9020 JUNCTION DRIVE, SUITE D, ANNAPOLIS JUNCTION, MD, 20701-1146, 3019571330 - 415,896 ($873,381.60) Equity, (File 333-110868 - Dec. 2) (BR. 04) S-4 COMMUNITY CAPITAL CORP /SC/, 1402 C HIGHWAY 72, GREENWOOD, SC, 29649, 8649418200 - 564,559 ($11,262,952.05) Equity, (File 333-110870 - Dec. 2) (BR. 07) S-8 PEROT SYSTEMS CORP, 2300 W PLANO PKWY, PLANO, TX, 75075, 9725770000 - 0 ($1,020,510.00) Equity, (File 333-110871 - Dec. 2) (BR. 03) S-8 ULTRAGUARD WATER SYSTEMS CORP, 5763 203 A STREET, 2ND FLOOR, LANGLEY BC CANADA, A1, V3A 1W7, 6045399398 - 5,000,000 ($500,000.00) Equity, (File 333-110873 - Dec. 2) (BR. 06) S-8 FRONT PORCH DIGITAL INC, 1810 CHAPEL AVE W, SUITE 130, CHERRY HILL, NJ, 08002, 8566333500 - 90,000 ($13,500.00) Equity, (File 333-110874 - Dec. 2) (BR. 08) S-3 HORIZON MEDICAL PRODUCTS INC, ONE HORIZON WAY, PO BOX 627, MANCHESTER, GA, 31816, 7068463126 - 0 ($1,156,187.00) Equity, (File 333-110876 - Dec. 2) (BR. 01) S-3 HEALTH CARE REIT INC /DE/, ONE SEAGATE STE 1500, P O BOX 1475, TOLEDO, OH, 43604, 4192472800 - 811,385 ($27,972,497.88) Equity, (File 333-110877 - Dec. 2) (BR. 08) 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 ---------------------------------------------------------------------------------------------- 1 800 CONTACTS INC DE X X 11/21/03 ACE SECURITIES CORP HOME EQUITY LOAN DE X X 11/25/03 ACE SECURITIES CORP HOME EQUITY LOAN DE X X 11/25/03 ALTERNATIVE LOAN TRUST SERIES 2003-1 X X 11/25/03 AMERIQUEST MORTGAGE SECURITIES INC DE X X 11/20/03 APPLEBEES INTERNATIONAL INC DE X 12/01/03 ASHFORD HOSPITALITY TRUST INC MD X 11/26/03 AVADO BRANDS INC GA X X 12/01/03 BAB INC DE X 11/30/03 BANK JOS A CLOTHIERS INC /DE/ DE X 12/01/03 BAY BANKS OF VIRGINIA INC VA X X 11/26/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 11/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 11/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 11/25/03 BOEING CO DE X 12/01/03 BOUNDLESS CORP DE X 11/17/03 CARDIMA INC DE X 12/01/03 CASCADE FINANCIAL CORP DE X X 12/01/03 CCI GROUP INC UT X X 09/18/03 AMEND CENTRAL BANCORP INC /MA/ MA X X 11/21/03 AMEND CENTRAL WIRELESS INC UT X X 11/20/03 CHARTERMAC DE X X 11/17/03 CHEMICAL FINANCIAL CORP MI X X 12/01/03 CHESTER VALLEY BANCORP INC PA X X 12/01/03 CHIROPRACTIC 21 INTERNATIONAL INC NV X X 12/01/03 CIT HOME EQUITY TRUST 2002-2 DE X X 10/31/03 CITIGROUP MORTGAGE LOAN TRUST INC X X 11/25/03 COMERICA INC /NEW/ DE X 12/01/03 CONSOL ENERGY INC X X 12/01/03 CREDIT SUISSE FIRST BOSTON USA INC DE X 11/20/03 CYANOTECH CORP NV X X 12/01/03 DATAMEG CORP NY X X 12/01/03 DEL GLOBAL TECHNOLOGIES CORP NY X X 11/20/03 DEPARTMENT 56 INC DE X X 11/25/03 DEUTSCHE ALT-A SEC INC MTG P/T CERTS X X 11/25/03 DONEGAL GROUP INC DE X X 11/24/03 DRIVER HARRIS CO NJ X 12/01/03 DST SYSTEMS INC DE X X 11/28/03 DUPONT E I DE NEMOURS & CO DE X 12/01/03 EMERGE INTERACTIVE INC DE X X 11/24/03 EMERGE INTERACTIVE INC DE X X 11/24/03 ENOVA SYSTEMS INC CA X X 11/21/03 ENTRADA NETWORKS INC DE X X X 10/31/03 ENTRADA NETWORKS INC DE X X 11/25/03 ENVIRONMENTAL ELEMENTS CORP DE X X 11/14/03 ENVIRONMENTAL ELEMENTS CORP DE X X 12/01/03 ESSENTIAL REALITY INC NV X X 11/06/03 FERRELLGAS PARTNERS L P DE X X 11/25/03 FIRST UNION REAL ESTATE EQUITY & MORT OH X X 11/26/03 FIRSTMERIT CORP /OH/ OH X X 12/01/03 FLEXTRONICS INTERNATIONAL LTD X X 11/26/03 GILLETTE CO DE X X 11/21/03 GLOBAL LIFE SCIENCES INC X X 12/01/03 GOAMERICA INC DE X X 12/01/03 GOLDEN TELECOM INC DE X X 12/01/03 GOLF ROUNDS COM INC DE X X 11/24/03 GOLF ROUNDS COM INC DE X X 11/24/03 AMEND GOTTSCHALKS INC DE X 11/25/03 GS MORTGAGE SEC CORP MORTGAGE PASS TH DE X X 11/25/03 GS MORTGAGE SECURITIES CORP GSR MORT DE X X 11/25/03 HANOVER DIRECT INC DE X X X 11/30/03 HARBOR FLORIDA BANCSHARES INC DE X 12/01/03 HARLEYSVILLE NATIONAL CORP PA X 11/25/03 HELIX BIOMEDIX INC DE X 11/26/03 HERITAGE PROPANE PARTNERS L P DE X X 12/01/03 HOME EQUITY LOAN ASSET-BACKED CERTIFI DE X X 11/25/03 I MANY INC DE X X 12/01/03 IN STORE MEDIA SYSTEMS INC NV X X 10/01/03 INSITUFORM TECHNOLOGIES INC DE X X X 12/01/03 INTERCOM SYSTEMS INC DE X X 11/24/03 INTERNATIONAL REMOTE IMAGING SYSTEMS DE X 12/01/03 INTERPUBLIC GROUP OF COMPANIES INC DE X 12/01/03 IRWIN FINANCIAL CORPORATION IN X X 12/01/03 ITLA CAPITAL CORP CA X 12/01/03 IVILLAGE INC DE X X 12/01/03 JONES APPAREL GROUP INC PA X X 12/01/03 KERR MCGEE CORP /DE DE X X 12/01/03 KEYCORP STUDENT LOAN TRUST 2002-A OH X X 11/28/03 KNIGHT TRADING GROUP INC DE X X 12/01/03 KNIGHTSBRIDGE FINE WINES INC NV X X X X X X 12/01/03 AMEND LABONE INC/ MO X 12/01/03 LECROY CORP DE X X 11/25/03 LIONBRIDGE TECHNOLOGIES INC /DE/ DE X X 09/17/03 AMEND LOEWS CORP DE X X 12/01/03 LOGICVISION INC DE X X 12/01/03 MAINE & MARITIMES CORP X 12/01/03 MARCONI CORP PLC X0 X 12/01/03 MARKLAND TECHNOLOGIES INC FL X 11/25/03 MARTIN MARIETTA MATERIALS INC NC X X 12/01/03 MEADWESTVACO CORP DE X X 12/01/03 MEGOLA INC X X 11/26/03 MERRILL LYNCH MORT INV INC MORT LN AS DE X X 11/25/03 MERRILL LYNCH MORT INV MORT LN ASST B DE X X 11/25/03 MFA MORTGAGE INVESTMENTS MD X X 12/01/03 MORTGAGE ASSET SEC TRANS ALTER LN NY X X 11/25/03 MORTGAGE ASSET SECURIT TRANS INC MORT DE X X 11/25/03 MORTGAGE LOAN ASSET-BACKED CERTIFICAT DE X X 11/25/03 NATIONWIDE HEALTH PROPERTIES INC MD X 12/01/03 NATURAL RESOURCE PARTNERS LP DE X 12/01/03 NAUTILUS GROUP INC WA X X 12/01/03 NETWORKS ASSOCIATES INC/ DE X X 12/01/03 NEUROGEN CORP DE X X 12/01/03 NOMURA ASSET ACC CORP ALTER LN TR SER DE X X 11/25/03 NOMURA ASSET ACCEPT CORP ALTERNATIVE DE X X 11/25/03 NOMURA ASSET ACCEPTANCE CORP ALT LOAN DE X X 11/25/03 NORFOLK SOUTHERN CORP VA X X 12/01/03 NORTH COUNTRY FINANCIAL CORP MI X 11/16/03 NORTH VALLEY BANCORP CA X X 12/01/03 NOVASTAR MORTGAGE FUNDING CORP HOME E NY X X 11/25/03 NOVASTAR MORTGAGE FUNDING CORP HOME E DE X X 11/25/03 OCEANEERING INTERNATIONAL INC DE X 11/20/03 OFFICE MANAGERS INC NV X X 11/24/03 PACIFIC BIOMETRICS INC DE X X 12/01/03 PEABODY ENERGY CORP DE X X 12/01/03 PIVOTAL CORP X X 12/01/03 PLATO LEARNING INC DE X X 11/17/03 PRIME HOLDINGS & INVESTMENTS INC NV X 11/21/03 PROGRESS ENERGY INC NC X X 12/01/03 ROBOTIC VISION SYSTEMS INC DE X X 12/01/03 ROYAL GOLD INC DE X 12/01/03 SATELLITE ENTERPRISES CORP NV X 10/22/03 SBA COMMUNICATIONS CORP FL X X X 12/01/02 SHIMODA RESOURCES HOLDINGS INC NV X 11/28/03 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 11/25/03 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 11/25/03 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 11/25/03 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 11/25/03 STRUCTURED ASSET SEC CORP MORT PAS TH DE X X 11/25/03 STRUCTURED ASSET SEC CORP MORT PAS TH DE X X 11/25/03 ULTRASTRIP SYSTEMS INC FL X X 12/01/03 US HOME SYSTEMS INC DE X X 11/21/03 VENDALUX CORP DE X 09/22/03 AMEND VENTAS INC DE X X 11/26/03 VIROPRO INC NV X 11/28/03 AMEND WACHOVIA ASSET SECURITIZATION IISSUAN NC X 12/01/03 WEBMD CORP /NEW/ DE X X X 11/28/03 WHOLESALE AUTO RECEIVABLES CORP DE X X 11/17/03 WILEY JOHN & SONS INC NY X 10/31/03 ABFC MORTGAGE LOAN ASSET BACKED CERT DE X X 11/25/03 ACE SECURITIES CORP HOME EQ LOAN TR S DE X X 11/25/03 ADC TELECOMMUNICATIONS INC MN X X X 12/02/03 ADE CORP MA X 12/02/03 AESP INC FL X X 11/24/03 AGWAY INC DE X X 12/02/03 AMERIQUEST MORTGAGE SECURITIES INC DE X X 11/20/03 ANGLOTAJIK MINERALS INC NV X 12/01/03 ANTHEM INC IN X 12/02/03 ARKANSAS BEST CORP /DE/ DE X X 12/02/03 ARMSTRONG WORLD INDUSTRIES INC PA X X 12/01/03 ASBURY AUTOMOTIVE GROUP INC DE X X 12/02/03 ASCONI CORP NV X X 12/01/03 ASSET BACKED SECURITIES CORP HOME EQU DE X X 11/15/03 AT&T CORP NY X X 12/02/03 AUTOLIV INC DE X 12/02/03 AVATAR SYSTEMS INC TX X X X 11/26/03 AXA FINANCIAL INC DE X 12/02/03 BANK OF AMERICA CORP /DE/ DE X X 12/02/03 BANK UNITED CORP LITIGATION CONTINGEN DE X X 12/01/03 BAY VIEW CAPITAL CORP DE X X 11/28/03 BAYVIEW FINANCIAL CORP MORTGAGE PASS DE X X 11/25/03 BB&T CORP NC X 12/02/03 BEAR STEARNS ALT A TR MORTGAGE PASS T NY X X 11/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS- NY X X 11/25/03 BEAR STEARNS ASSET BACK SECURITIES TR DE X X 09/30/03 BEAR STEARNS ASSET BACKED SECURITIES DE X X 10/31/03 BEAR STEARNS ASSET BACKED SECURITIES DE X X 10/31/03 BIG LOTS INC OH X X X 12/02/03 BRE PROPERTIES INC /MD/ MD X 12/02/03 BULL RUN CORP GA X X 12/01/03 C-BASS MORTGAGE LOAN ASSET-BACKED CER DE X X 11/25/03 CALLON PETROLEUM CO DE X X 12/01/03 CANADIAN DERIVATIVES CLEARING CORP A6 X 12/02/03 CANADIAN DERIVATIVES CLEARING CORP A6 X 11/30/03 CANNON EXPRESS INC DE X 12/02/03 CAPITAL ONE AUTO RECEIVABLES LLC DE X X 12/02/03 CAPITOL BANCORP LTD MI X X 12/01/03 CBRL GROUP INC TN X X 12/01/03 CELLULAR TECHNICAL SERVICES CO INC DE X X 11/14/03 CENTRAL VERMONT PUBLIC SERVICE CORP VT X 11/25/03 CERTRON CORP CA X X 12/01/03 CHARTER COMMUNICATIONS INC /MO/ DE X X 12/02/03 CHASE FUNDING INC NY X X 11/25/03 CHESAPEAKE ENERGY CORP OK X 12/01/03 CHICOS FAS INC FL X X 12/02/03 CHINA NETTV HOLDINGS INC NV X 12/01/03 CHUBB CORP NJ X 12/01/03 CIBER INC DE X 12/02/03 CINCINNATI BELL INC OH X 12/02/03 CIRCUIT CITY STORES INC VA X X 11/18/03 CITIZENS BANKING CORP MI X X 10/17/03 CITIZENS BANKING CORP MI X X 10/16/03 CLAIBORNE LIZ INC DE X X 12/01/03 CLEAN DIESEL TECHNOLOGIES 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