SEC News Digest (September 12, 2007)

	Home \| Previous Page

SEC NEWS DIGEST

Issue 2007-176 September 12, 2007

COMMISSION ANNOUNCEMENTS

SEC SUSPENDS TRADING IN TERAX SECURITIES

The Commission announced the temporary suspension of trading of the
securities of Terax Energy, Inc. (Terax, trading symbol TEXG.OB) of
Dallas, Texas, commencing at 9:30 a.m. EDT on Sept. 12, 2007, and
terminating at 11:59 p.m. EDT on Sept. 26, 2007.

The Commission temporarily suspended trading in the securities of
Terax because of questions that have been raised about the accuracy
and adequacy of publicly disseminated information concerning, among
other things: (1) the status of Terax's oil and gas operations, (2)
Terax's purported financing agreements, (3) Terax's supposed
acquisition of a controlling interest in a foreign oil and gas firm,
(4) the existence, terms and status of a purported share exchange
agreement between Terax and Westar Oil, Inc., and (5) the identity of
the persons in control of the operations and management of Terax.

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

Brokers and dealers should be alert to the fact that, pursuant to Rule
15c2-11 under the Securities Exchange Act of 1934, at the termination
of the trading suspension, no quotation may be entered unless and
until they have strictly complied with all of the provisions of the
rule. If any broker or dealer has any questions as to whether or not
he has complied with the rule, he should not enter any quotation but
immediately contact the staff in the Division of Market Regulation,
Office of Interpretation and Guidance, at (202) 551-5760. If any
broker or dealer is uncertain as to what is required by Rule 15c2-11,
he should refrain from entering quotations relating to Terax
securities until such time as he has familiarized himself with the
rule and is certain that all of its provisions have been met. If any
broker or dealer enters any quotation which is in violation of the
rule, the Commission will consider the need for prompt enforcement
action.

If any broker, dealer or other person has any information which may
relate to this matter, contact the Fort Worth Regional Office of the
Securities and Exchange Commission at (817) 978-3821. (Rel. 34-56389)

SEC ANNOUNCES FINAL DISBURSEMENT TO INVESTORS FROM $267 MILLION
PILGRIM BAXTER FAIR FUND

On September 12, the Commission announced the distribution of,
approximately, $69 million to an additional group of investors who
were harmed by fraudulent market timing in the PBHG Funds between June
1998 and December 2001. This distribution is the last in a series of
three disbursements from a Fair Fund that provided a total of
approximately $267 million to more than 384,000 affected account
holders in the PBHG Funds. The first and second disbursements occurred
on April 23, 2007, and June 13, 2007, respectively. The Fair Fund
resulted from Commission enforcement actions charging unlawful market
timing in the PBHG Funds by Pilgrim Baxter & Associates, Ltd. (PBA),
Gary L. Pilgrim, and Harold J. Baxter. In 2004, the Commission brought
and settled public administrative and cease-and-desist proceedings
against PBA, which consented to a Commission Order charging antifraud
violations without admitting or denying the Commission's findings. The
Commission ordered PBA to pay $40 million in disgorgement and $50
million in penalties. The Commission later settled administrative and
cease-and-desist proceedings against PBA's two former principals,
Pilgrim and Baxter, who also consented to Commission Orders charging
antifraud violations without admitting or denying the Commission's
findings. The Commission ordered them to each pay $60 million in
disgorgement and $20 million in penalties for distribution through the
Fair Fund. Investors can obtain additional information about the
distribution process, including a copy of the Distribution Plan, by
visiting http://www.pbafairfundsettlements.com or by calling the
Administrator of the Distribution Plan at (800) 920-5408.

Distribution Plan:
http://www.sec.gov/litigation/admin/2006/34-54812-dp.pdf

Order Approving the Distribution Plan:
http://www.sec.gov/litigation/admin/2006/34-54812.pdf

Orders Instituting Proceedings against PBA, Pilgrim and Baxter:
http://www.sec.gov/litigation/admin/33-8506.htm
http://www.sec.gov/litigation/admin/33-8505.htm
http://www.sec.gov/litigation/admin/ia-2251.htm

Additional Documents and Background:
http://www.sec.gov/divisions/enforce/claims/pilgrimbaxter.htm;
(Press Rel. 2007-181)

COMMISSION MEETINGS

Following is a schedule of Commission meetings, which will be
conducted under provisions of the Government in the Sunshine Act.
Meetings will be scheduled according to the requirements of agenda
items under consideration.

Open meetings will be held in the Auditorium, Room L-002 at the
Commission's headquarters building, 100 F Street, N.E., Washington,
D.C. Visitors are welcome at all open meetings, insofar as space is
available. Persons wishing to photograph or videotape Commission
meetings must obtain permission in advance from the Secretary of the
Commission. Persons wishing to tape record a Commission meeting should
notify the Secretary's office 48 hours in advance of the meeting.

Any member of the public who requires auxiliary aids such as a sign
language interpreter or material on tape to attend a public meeting
should contact Rochelle Franks, Office of Human Resources, to make
arrangements. Ms. Franks can be reached at TTY number (202) 551-4106.
In the event Ms. Franks cannot be reached, you may call the
interpreter directly at (202) 551-4158. If you are calling from a non
TTY number, please call the Relay Service at 1 866 377 8642.

OPEN MEETING - WEDNESDAY, SEPTEMBER 19, 2007 - 10:00 A.M.

The subject matter of the open meeting scheduled for Wednesday,
September 19, at will be:

1. The Commission will consider whether to adopt, jointly with the
Board of Governors of the Federal Reserve System, new rules under the
Securities Exchange Act of 1934 (Exchange Act) to implement the Gramm-
Leach-Bliley Act bank exceptions to the definition of "broker." In
addition, the Commission will consider whether to adopt additional
related rules and rule amendments, including rules exempting banks
from the definition of "dealer" under the Exchange Act.

2. The Commission will consider whether to adopt, on an interim final
basis, a temporary rule that would provide investment advisers who
also are registered broker-dealers an alternative means of compliance
with the principal trading restrictions of Section 206(3) of the
Investment Advisers Act.

The Commission will also consider whether to propose an interpretive
rule under the Investment Advisers Act that would clarify the
application of the Advisers Act to certain activities of broker-
dealers.

CLOSED MEETING - THURSDAY, SEPTEMBER 20, 2007 - 2:00 P.M.

The subject matter of the closed meeting scheduled for Thursday,
September 20, will be: Formal orders of investigations; Institution
and settlement of injunctive actions; Institution and settlement of
administrative proceedings of an enforcement nature; Resolution of
litigation claims; Other matters related to enforcement proceedings;
and Adjudicatory matters.

ADDITIONAL CLOSED MEETING - WEDNESDAY, SEPT. 12, 2007 - 10:30 A.M.

The subject matter of the closed meeting held on Wednesday, September
12, was: Institution and settlement of injunctive actions; Institution
and settlement of administrative proceedings of an enforcement nature;
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.

RULES AND RELATED MATTERS

SEMIANNUAL REGULATORY AGENDA

The Commission has authorized the publication of its Fall 2007
Regulatory Flexibility Act Agenda. The agenda is a general
announcement to the public intended to provide advance notice of
rulemaking actions. The agenda, which will not be available to the
public until its publication, has been submitted by the Commission to
the Regulatory Information Service Center for inclusion in the Unified
Agenda of Federal Regulations scheduled for publication in the Federal
Register in October 2007. Public comments regarding the agenda and the
individual agenda entries are due by Dec. 31, 2007. (Rels. 33-8840,
34-56387, IA-2645, IC-27967, File No. S7-21-07)

ENFORCEMENT PROCEEDINGS

COMMISSION ORDERS HEARINGS ON REGISTRATION SUSPENSION OR REVOCATION
AGAINST FIVE COMPANIES FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS

In conjunction with this trading suspension, the Commission today also
instituted public administrative proceedings to determine whether to
revoke or suspend for a period not exceeding twelve months the
registration of each class of the securities of five companies for
failure to make required periodic filings with the Commission:

* Aurora Acquisitions, Inc.
* Can-Ex Minerals Corp.
* HDF, Inc.
* Inmold, Inc. (INOI)
* Piccard Medical Corp. (PMCZ)

In this Order, the Division of Enforcement (Division) alleges that the
five issuers are delinquent in their required periodic filings with
the Commission.

In this proceeding, instituted pursuant to Exchange Act Section 12(j),
a hearing will be scheduled before an Administrative Law Judge. At the
hearing, the judge will hear evidence from the Division and the
respondents to determine whether the allegations of the Division
contained in the Order, which the Division alleges constitute failures
to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13
thereunder, are true. The judge in the proceeding will then determine
whether the registrations pursuant to Exchange Act Section 12 of the
securities of these respondents should be revoked or, in the
alternative, suspended for a period not exceeding twelve months. The
Commission ordered that the Administrative Law Judge in this
proceeding issue an initial decision not later than 120 days from the
date of service of the order instituting proceedings. (Rel. 34-56388;
File No. 3-12754)

IN THE MATTER OF JAMES J. PEPERNO, JR.

On September 11, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 203(f) of the
Investment Advisers Act of 1940, Making Findings, and Imposing
Remedial Sanctions (Order) against James J. Peperno, Jr. The Order
finds that Peperno was an unregistered investment adviser and
associated person of JJP Consulting, Ltd., of Old Forge, Pennsylvania.
The Order further finds that, on June 7, 2007, the United States
District Court for the Middle District of Pennsylvania convicted
Peperno, based on his guilty plea, of one count of mail fraud in
connection with a scheme to defraud his investor clients.

Based on the above, the Order bars Peperno from association with any
investment adviser. Peperno consented to the issuance of the Order
without admitting or denying the findings in the Order, except as to
his guilty plea which he admits. (Rel. IA-2646; File No. 3-12755)

SEC ORDERS HEARING ON REGISTRATION REVOCATION AGAINST THREE PUBLIC
COMPANIES FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS

Today the Commission instituted public administrative proceedings to
determine whether to revoke or suspend for a period not exceeding
twelve months the registrations of each class of the securities of
three companies for failure to make required periodic filings with the
Commission:

o Golf Training Systems, Inc. (n/k/a Perfect Computer Solutions, Inc.)
(PFCS)
o Mas Acquisition XIX Corp.
o Merry-Go-Round Enterprises, Inc. (MGREQ)

In this Order, the Division of Enforcement (Division) alleges that the
three issuers are delinquent in their required periodic filings with
the Commission.

In this proceeding, instituted pursuant to Exchange Act Section 12(j),
a hearing will be scheduled before an Administrative Law Judge. At the
hearing, the judge will hear evidence from the Division and the
respondents to determine whether the allegations of the Division
contained in the Order, which the Division alleges constitute failures
to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13
thereunder, are true. The judge in the proceeding will then determine
whether the registrations pursuant to Exchange Act Section 12 of the
securities of these respondents should be revoked or suspended for a
period not exceeding twelve months. The Commission ordered that the
Administrative Law Judge in this proceeding issue an initial decision
not later than 120 days from the date of service of the order
instituting proceedings. (Rel. 34-56391; File No. 3-12756)

COMMISSION ORDERS HEARINGS ON REGISTRATION REVOCATION AGAINST FIVE
DELINQUENT COMPANIES FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS

The Commission today instituted public administrative proceedings to
determine whether to revoke or suspend for a period not exceeding
twelve months the registration of each class of the securities of five
companies for failure to make required periodic filings with the
Commission:

* Lapta Acquisition Corp. I
* Lapta Acquisition Corp. II
* Lapta Acquisition Corp. III
* Lapta Acquisition Corp. IV
* Lapta Acquisition Corp. V

In this Order, the Division of Enforcement (Division) alleges that the
five issuers are delinquent in their required periodic filings with
the Commission.

COMMISSION ORDERS HEARINGS ON REGISTRATION REVOCATION AGAINST FIVE
DELINQUENT COMPANIES FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS

* Lapta Acquisition Corp. VI
* Lapta Acquisition Corp. VII
* Lapta Acquisition Corp. VIII
* Lapta Acquisition Corp. IX
* Lapta Acquisition Corp. X

In this Order, the Division of Enforcement (Division) alleges that the
five issuers are delinquent in their required periodic filings with
the Commission.

IN THE MATTER OF DAVID HEYMAN, CPA

On September 12, the Commission issued an Order of Suspension Pursuant
to Rule 102(e)(2) of the Commission's Rules of Practice (Order)
against David Heyman. The Order finds that on July 31, 2007, a
judgment of conviction was entered against David Heyman, a certified
public accountant licensed in New York, in United States v. Zvi
Rosenthal, No. 07-CR-69-03 (JG), in the United States District Court
for the Eastern District of New York, finding him guilty of one count
of conspiracy to commit securities fraud. Heyman was sentenced to
fifteen months' imprisonment in a federal penitentiary. The Commission
finds that Heyman has been convicted of a felony within the meaning of
Rule 102(e)(2) of the Commission's Rules of Practice.

Based on the above, the Order forthwith suspends David Heyman from
appearing or practicing before the Commission pursuant to Rule
102(e)(2) of the Commission's Rules of Practice. (Rel. 34-56395; AAE
Rel. 2677; File No. 3-12759)

SEC CHARGES COMPANY AND SALESPEOPLE IN FRAUDULENT $50 MILLION REAL
ESTATE INVESTMENT SCHEME

On September 6, the Commission filed civil securities fraud charges
against a real estate company, its president, two boiler-room
operators, and four salesmen for conducting a fraudulent $50 million
real estate investment scheme.

The Commission's complaint names as defendants Real Estate Partners,
Inc. (REP), based in Irvine, Calif.; the seven funds REP set up for
the real estate investments; REP's president, Dawson Davenport, age
51, of Lake Forest, Calif.; boiler room operators Michael P. Owens,
age 43, of Newport Coast, Calif., and Donald G. Ryan, age 42, of
Irvine, Calif,; and salesmen Richard McGill, age 58, of Laguna Niguel,
Calif., William L. Sanders, age 56, of Norco, Calif., Michael Tuchman,
age 38, of Irvine, Calif., and Danny Rayburn, age 47, of Westminster,
Calif.

The Commission's complaint, filed in U.S. District Court in Orange
County, alleges that, between January 2003 and August 2006, the
defendants raised $50 million from over 1600 investors nationwide by
selling security interests in a series of seven offerings. The
Commission's complaint alleges that REP, its related funds, Davenport,
Owens, and Ryan made several key misrepresentations to investors in
the course of the fund offerings. First, the complaint alleges that
these defendants misrepresented how REP would use investor funds,
failing to disclose to investors that they spent over $26 million, or
52% of the money raised, on commissions to salespeople, including
$10.9 million to two companies controlled by Owens and $3 million to a
company controlled by Ryan.

The complaint further alleges that REP was running a Ponzi-like
scheme. Specifically, the complaint alleges that REP paid investors
annual dividends using money obtained from other investors. The
complaint also alleges that the defendants falsely claimed that
Coldwell Banker was associated with the funds, when, in actuality,
Coldwell Banker had nothing to do with the fund offerings. Finally,
the complaint alleges that the defendants enticed investors with
baseless promises of high rates of return on their investments, and
dangled the unlikely possibility of conducting a public offering by
converting the funds and REP into a publicly-traded real estate
investment trust.

The Commission's complaint alleges that REP, the funds, Davenport,
Owens, Ryan, McGill, Sanders, Tuchman, and Rayburn violated the
securities registration provisions of Sections 5(a) and 5(c) of the
Securities Act of 1933. The complaint also alleges that REP, the
funds, Davenport, Owens, and Ryan violated the antifraud provisions of
Section 17(a) of the Securities Act and Section 10(b) of the
Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The
complaint further alleges that Owens, Ryan, McGill, Sanders, Tuchman,
and Rayburn violated the broker-dealer registration requirement of
Section 15(a) of the Exchange Act. The Commission seeks permanent
injunctions, disgorgement with prejudgment interest, and civil
penalties against each of the individual defendants, as well as the
appointment of a receiver over REP and the seven funds. [SEC v. Real
Estate Partners, Inc.; Real Estate Partners Income Fund I, LLC; Real
Estate Partners Income Fund II, BT; Real Estate Partners Income Fund
III, BT; Real Estate Partners Unit Investment Business Trust I; Real
Estate Partners Unit Investment Business Trust II; Real Estate
Partners Equity Fund, BT; Real Estate Partners Growth Fund, BT; Dawson
Davenport; Michael P. Owens; Donald G. Ryan; Richard McGill; William
L. Sanders; Michael Tuchman; and Danny Rayburn, Case No. SACV 07-1022
AG (RNBx) (C.D. Cal.)] (LR-20274)

SEC CHARGES FOUR ADDITIONAL FORMER OFFICERS OF NORTEL NETWORKS
CORPORATION IN FINANCIAL FRAUD SCHEME

The Commission today charged four more former officers of Nortel
Networks Corporation with engaging in accounting fraud by manipulating
reserves to manage Nortel's earnings. The Commission filed an amended
complaint in SEC v. Dunn, a case pending in the U.S. District Court
for the Southern District of New York, to add as defendants Douglas A.
Hamilton, Craig A. Johnson, James B. Kinney and Kenneth R.W. Taylor,
who were the former vice presidents of finance for Nortel's Optical,
Wireline, Wireless and Enterprise business units, respectively. The
Commission's original complaint, among other things, charged three
former corporate officers of Nortel - CEO Frank Dunn, CFO Douglas
Beatty and Controller Michael Gollogly - with directing the earnings
management fraud.

The amended complaint charges Hamilton, Johnson, Kinney and Taylor
with violating and/or aiding and abetting violations of the antifraud,
reporting, books and records and internal controls provisions of the
federal securities laws. The Commission seeks a permanent injunction,
a civil monetary penalty, an officer and director bar, and
disgorgement with prejudgment interest against each of these
defendants.

In its original complaint, filed on March 12, 2007, the Commission
alleged that (1) Dunn, Beatty and Gollogly learned that the Company
was carrying massive amounts of excess reserves and then directed the
alleged reserve manipulations to meet earnings targets, fabricate
profits and pay performance-related bonuses, and also (2) that Dunn,
Beatty and former Assistant Controller MaryAnne Pahapill altered
Nortel's revenue recognition policies from late 2000 through January
2001 to accelerate revenue to meet publicly announced revenue targets.
See Litigation Release No. 20036 (March 12, 2007) / Accounting and
Auditing Enforcement Release No. 2576 (March 12, 2007).

[SEC v. Frank A. Dunn, Douglas C. Beatty, Michael J. Gollogly,
MaryAnne E. Pahapill (a.k.a. Mary Anne Poland), Douglas A. Hamilton,
Craig A. Johnson, James B. Kinney and Kenneth R.W. Taylor, Civil
Action No. 07-CV-2058 (S.D.N.Y.)] (LR-20275; AAE Rel. 2676; Press Rel.
2007-182)

SEC CHARGES SMART ONLINE, ITS PRESIDENT AND CEO DENNIS MICHAEL NOURI,
AND FIVE OTHER INDIVIUDALS IN CONNECTION WITH A BROKER- BRIBERY SCHEME

The Commission announced today that it filed a civil injunctive action
against Smart Online, its CEO and president, Dennis Michael Nouri
(Michael Nouri), Michael Nouri's brother, Reeza Eric Nouri ("Eric
Nouri"), and four brokers, alleging that Michael and Eric Nouri paid
cash bribes to the brokers to sell Smart Online stock to create volume
and demand for the Smart Online's stock.

The complaint alleges that Smart Online stock began trading publicly
on the OTC Bulletin Board in April 2005. Defendant Michael Nouri, the
CEO of Smart Online, sought to qualify the company for listing on the
NASDAQ by increasing the number of shareholders and trading volume of
Smart Online stock. In order to do so, Michael Nouri began paying
bribes to stock brokers, including defendants Anthony Martin, James
Doolan, Ruben Serrano, and Alain Lustig, to solicit customers to
purchase Smart Online stock.

The complaint alleges that between May 2005 and January 2006, Michael
Nouri paid over $170,000 to brokers who sold more than 267,000 shares
of Smart Online stock (or approximately 10% of the trading volume
during the period) to investors. The complaint also alleges Eric
Nouri, an employee of Smart Online, also negotiated bribe payments
with a broker to solicit purchases of stock at various amounts and
prices. Michael Nouri concealed the bribes as "consulting fees" paid
pursuant to sham consulting agreements. The complaint further alleges
that the brokers did not disclose to their customers that they were
receiving bribes to sell Smart Online stock, and that Michael Nouri
understood that the brokers were concealing the bribes from their
customers.

By late 2005, Smart Online had qualified for listing on the NASDAQ. On
Jan. 17, 2006, the day that Smart Online was scheduled to begin
trading on the NASDAQ, the Commission suspended trading of the stock.
Smart Online stock did not trade on the NASDAQ.

The complaint charges the defendants with violating Section 17(a) of
the Securities Act of 1933, and Section 10(b) of the Securities
Exchange Act of 1934 and Rule 10b-5 thereunder. In its enforcement
action, the Commission is seeking an order permanently enjoining the
defendants from committing future violations of the foregoing federal
securities laws and a final judgment ordering the individual
defendants to disgorge their ill-gotten gains and to pay civil
penalties. The Commission is also seeking an order permanently baring
Michael Nouri from serving as an officer or director of a public
company.

The Commission's investigation is continuing. [SEC v. Smart Online,
Inc., et al., Civil Action No. 07-CV-07960 (PKC) (S.D.N.Y.)] (LR-
20276)

SELF-REGULATORY ORGANIZATIONS

IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES

A proposed rule change filed by the American Stock Exchange relating
to Commentary .02 to Amex Rule 950-ANTE(d) (SR-Amex-2007-84), as
modified by Amendment No. 1 thereto, has become 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
September 10. (Rel. 34-56377)

A proposed rule change (SR-ISE-2007-79) filed by the International
Securities Exchange relating to fee changes has become effective under
Section 19(b)(3)(A) of the Securities Exchange Act of 1934.
Publication is expected in the Federal Register during the week of
September 10. (Rel. 34-56379)

A proposed rule change filed by the Chicago Board Options Exchange to
amend its rules pertaining to the contract multiplier for Credit
Default Options (SR-CBOE-2007-105) has become 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
September 10. (Rel. 34-56380)

PROPOSED RULE CHANGE

The Chicago Board Options Exchange filed a proposed rule change (SR-
CBOE-2006-90) and Amendment No. 1 thereto under Section 19(b)(1) of
the Securities Exchange Act of 1934 to trade Delayed Start Option
Series. Publication of the proposal is expected in the Federal
Register during the week of September 10. (Rel. 34-56378)

SECURITIES ACT REGISTRATIONS

The following registration statements have been filed with the SEC
under the Securities Act of 1933. The reported information appears as
follows: Form, Name, Address and Phone Number (if available) of the
issuer of the security; Title and the number and/or face amount of the
securities being offered; Name of the managing underwriter or
depositor (if applicable); File number and date filed; Assigned
Branch; and a designation if the statement is a New Issue.

Registration statements may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
publicinfo@sec.gov. In most cases, this information is also available
on the Commission's website: www.sec.gov.

S-8 Nuance Communications, Inc., 1 WAYSIDE ROAD, BURLINGTON, MA, 01803,
781-565-5000 - 0 ($14,450,727.00) Equity, (File 333-145971 - Sep. 11)
(BR. 03C)

S-4 NORTEL NETWORKS LTD, ATTN: CORPORATE SECRETARY, 195 THE WEST MALL,
TORONTO, A6, M9C 5K1, 9058637000 -
0 ($2,000,000,000.00) Non-Convertible Debt, (File 333-145972 - Sep. 11)
(BR. 11B)

F-3ASR ICA CORP, MINERIA NO 145 EDIFICIO CENTRAL, 11800 MEXICO D F MEX, O5,
00000, 2124800111 - 0 ($0.00) Equity, (File 333-145973 - Sep. 11)
(BR. 06B)

S-1 ArcSight Inc, 5 Results Way, Cupertino, CA, 95014, 408-864-2600 -
0 ($74,750,000.00) Equity, (File 333-145974 - Sep. 11) (BR. 03)

S-8 TREY RESOURCES INC, 750 RT 34, MATANAN, NJ, 07747, 730 441 7700 -
240,000,000 ($72,000.00) Equity, (File 333-145975 - Sep. 11) (BR. 08C)

S-3ASR BlackRock Inc., 40 EAST 52ND STREET, NEW YORK, NY, 10022,
212-810-5300 - 0 ($0.00) Other, (File 333-145976 - Sep. 11) (BR. 07)

SB-2 Excaliber Enterprises, Ltd., 13834 W. HOYT ROAD, RATHDRUM, ID, 83858,
(208) 704-6590 - 1,500,000 ($75,000.00) Equity, (File 333-145977 -
Sep. 11) (BR. 02)

S-4 LINCOLN GOLD CORP, SUITE 306, 1140 HOMER STREET, VANCOUVER, A1,
V6B 2X6, 604-689-1659 - 47,141,666 ($5,892,708.25) Equity,
(File 333-145978 - Sep. 11) (BR. 04B)

SB-2 RIVER EXPLORATION, INC., 112 NORTH CARSON STREET, CARSON CITY, NV,
89703, 775-321-8267 - 4,000,000 ($80,000.00) Equity, (File 333-145979 -
Sep. 11) (BR. )

F-9 TRANSCANADA PIPELINES LTD, 450 -1ST STREET SW, P O BOX 1000 STATION M,
CALGARY ALBERTA, A0, T2P 5H1, 4039207669 - 0 ($2,000,000,000.00) Debt,
(File 333-145980 - Sep. 11) (BR. 02A)

S-8 NICE SYSTEMS LTD, 8 HAPNINA STREET, P.O.B. 690, RA'ANANA, L3, 43107,
972-9-775-3777 - 0 ($23,828,585.39) Equity, (File 333-145981 - Sep. 11)
(BR. 03A)

S-3 WORKSTREAM INC, 495 MARCH RD STE 300, OTTAWA ONTARIO, CANADA K2K 3G2,
A6, 00000, 6132362263 - 20,000,000 ($20,600,000.00) Equity,
(File 333-145982 - Sep. 11) (BR. 08C)

F-3ASR Qimonda AG, GUSTAV-HEINEMANN-RING 212, MUNICH, 2M, D-81739,
4989600880 - 0 ($0.00) ADRs/ADSs, (File 333-145983 - Sep. 11) (BR. 10C)

S-8 DIET COFFEE INC, 1173 A SECOND AVENUE, NEW YORK, NY, 10021,
3472477589 - 0 ($900,900.00) Equity, (File 333-145985 - Sep. 11)
(BR. 02B)

S-8 ROCKY MOUNTAIN CHOCOLATE FACTORY INC, 265 TURNER DR, DURANGO, CO,
81301, 3032590554 - 0 ($6,223,241.00) Equity, (File 333-145986 -
Sep. 11) (BR. 04C)

S-8 EAGLE BROADBAND INC, 101 COURAGEOUS DRIVE, LEAGUE CITY, TX, 77573,
2815386000 - 4,500,000 ($146,250.00) Equity, (File 333-145987 -
Sep. 11) (BR. 11C)

S-3 NeoStem, Inc., 420 LEXINGTON AVENUE, SUITE 450, NEW YORK, NY, 10170,
212-584-4171 - 3,188,050 ($18,579,586.00) Equity, (File 333-145988 -
Sep. 11) (BR. 01C)

S-3 CALLISTO PHARMACEUTICALS INC, 420 LEXINGTON AVENUE, SUITE 601,
NEW YORK, NY, 10170, 2126729190 - 0 ($29,548,368.00) Equity,
(File 333-145989 - Sep. 11) (BR. 01A)

S-8 STIFEL FINANCIAL CORP, ATTN: JAMES G. LASCHOBER, 501 N. BROADWAY,
ST. LOUIS, MO, 63102-2102, 314-342-2000 -
1,200,000 ($61,512,000.00) Equity, (File 333-145990 - Sep. 11) (BR. 06B)

RECENT 8K FILINGS

Form 8-K is used by companies to file current reports on the following events:

1.01 Entry into a Material Definitive Agreement
1.02 Termination of a Material Definitive Agreement
1.03 Bankruptcy or Receivership
2.01 Completion of Acquisition or Disposition of Assets
2.02 Results of Operations and Financial Condition
2.03 Creation of a Direct Financial Obligation or an Obligation under an
Off-Balance Sheet Arrangement of a Registrant
2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation
under an Off-Balance Sheet Arrangement
2.05 Cost Associated with Exit or Disposal Activities
2.06 Material Impairments
3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or
Standard; Transfer of Listing
3.02 Unregistered Sales of Equity Securities
3.03 Material Modifications to Rights of Security Holders
4.01 Changes in Registrant's Certifying Accountant
4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit
Report or Completed Interim Review
5.01 Changes in Control of Registrant
5.02 Departure of Directors or Principal Officers; Election of Directors;
Appointment of Principal Officers
5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a
Provision of the Code of Ethics
6.01. ABS Informational and Computational Material.
6.02. Change of Servicer or Trustee.
6.03. Change in Credit Enhancement or Other External Support.
6.04. Failure to Make a Required Distribution.
6.05. Securities Act Updating Disclosure.
7.01 Regulation FD Disclosure
8.01 Other Events
9.01 Financial Statements and Exhibits

8-K reports may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
publicinfo@sec.gov. In most cases, this information is also available
on the Commission's website: www.sec.gov.

STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT

180 Connect Inc. DE 2.04,4.01,9.01 08/24/07 AMEND

AASTROM BIOSCIENCES INC MI 2.02,9.01 09/10/07

ACCEPTANCE INSURANCE COMPANIES INC DE 8.01,9.01 09/07/07

ACORDA THERAPEUTICS INC 8.01 09/10/07

ADEPT TECHNOLOGY INC CA 5.02 09/05/07

ADUDDELL INDUSTRIES INC CO 5.02,9.01 09/05/07

AIRGAS INC DE 2.01,9.01 06/30/07 AMEND

ALABAMA NATIONAL BANCORPORATION DE 1.01,9.01 09/05/07

Aleris International, Inc. DE 7.01,9.01 09/11/07

ALLIANCE LAUNDRY SYSTEMS LLC 1.01 09/10/07

AMERICAN SKIING CO /ME DE 8.01,9.01 09/10/07

AMERICAN VANGUARD CORP DE 8.01,9.01 09/11/07

AMERISTAR CASINOS INC NV 1.01,2.03,9.01 09/06/07

AMREP CORP. OK 2.02,9.01 09/10/07

ANALYTICAL SURVEYS INC CO 5.02 09/11/07

ANGELICA CORP /NEW/ MO 7.01,9.01 09/11/07

APPALACHIAN BANCSHARES INC GA 5.02,9.01 09/07/07

ARCH CHEMICALS INC VA 7.01,9.01 09/10/07

ARCHSTONE SMITH OPERATING TRUST 8.01,9.01 09/10/07

ARCHSTONE SMITH OPERATING TRUST 8.01,9.01 09/11/07

ARENA PHARMACEUTICALS INC DE 8.01 09/11/07

ARIAD PHARMACEUTICALS INC DE 8.01,9.01 09/10/07

ARISTOTLE CORP DE 7.01,9.01 09/11/07

ASIAINFO HOLDINGS INC DE 7.01,9.01 09/11/07

Aspreva Pharmaceuticals CORP A1 8.01,9.01 09/10/07

ASTORIA FINANCIAL CORP DE 2.02,9.01 09/11/07

Atlas Energy Resources, LLC DE 7.01 09/10/07 AMEND

AUTHENTIDATE HOLDING CORP DE 7.01,9.01 09/11/07

AVALONBAY COMMUNITIES INC MD 5.02,9.01 09/07/07

Averion International Corp. 5.02,9.01 09/05/07

AVERY DENNISON CORPORATION DE 7.01 09/10/07

BABYUNIVERSE, INC. FL 1.01,2.03,3.02 09/05/07

BAKER MICHAEL CORP PA 5.02,9.01 09/10/07

BANCFIRST CORP /OK/ OK 8.01,9.01 09/10/07

BANK JOS A CLOTHIERS INC /DE/ DE 7.01,9.01 09/06/07

BANK OF AMERICA CORP /DE/ DE 8.01,9.01 09/06/07

BAUSCH & LOMB INC NY 8.01 09/11/07

BB&T CORP NC 7.01 09/11/07

BioFuel Energy Corp. 5.02,9.01 09/10/07

Black Tusk Minerals Inc. NV 5.03,7.01,8.01,9.01 08/31/07

BlackRock Inc. DE 9.01 09/11/07

BLOCKBUSTER INC DE 5.02,9.01 09/10/07

BMB MUNAI INC 8.01,9.01 09/10/07

BRT REALTY TRUST MA 8.01,9.01 09/10/07

BSD MEDICAL CORP DE 7.01,9.01 09/11/07

CAL-BAY INTERNATIONAL INC NV 5.02 09/06/07

CALPINE CORP DE 7.01,9.01 09/10/07

CANO PETROLEUM, INC 1.01,9.01 09/07/07

CARRIZO OIL & GAS INC TX 1.01,2.03,7.01,9.01 09/11/07

CASCADE CORP OR 2.02,9.01 09/06/07

CB Financial CORP NC 2.02,9.01 09/11/07

CBD Media Holdings LLC DE 7.01,9.01 09/11/07

CBD MEDIA LLC DE 7.01,9.01 09/11/07

CBRL GROUP INC TN 7.01,9.01 09/11/07

CENTRAL GARDEN & PET CO DE 7.01,9.01 09/10/07

CHASE PACKAGING CORP TX 3.02,9.01 09/07/07

CHESAPEAKE CORP /VA/ VA 7.01,9.01 09/10/07

China 3C Group NV 1.02,8.01,9.01 08/15/07

China Yingxia International, Inc. FL 2.02,9.01 09/06/07

CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 09/11/07

CINCINNATI FINANCIAL CORP OH 1.01,7.01,9.01 09/05/07

CIT GROUP INC DE 7.01,9.01 09/11/07

Citicorp Mortgage Securities Trust, S DE 8.01,9.01 09/11/07

Citicorp Mortgage Securities Trust, S DE 6.02 09/01/07 AMEND

CLEAR CHOICE FINANCIAL, INC. NV 5.02,8.01 06/01/07

CLINICAL DATA INC DE 7.01,9.01 09/11/07

COMMERCE GROUP INC /MA MA 5.02,9.01 09/07/07

COMMONWEALTH EDISON CO IL 1.01,2.03,9.01 09/10/07

COMMUNICATION INTELLIGENCE CORP DE 5.02,7.01,9.01 09/10/07

COMPUTER SCIENCES CORP NV 1.01 09/10/07

CONNS INC DE 1.01,2.03,9.01 09/11/07

COST PLUS INC/CA/ CA 5.02,9.01 09/05/07

COVAD COMMUNICATIONS GROUP INC DE 5.02,8.01,9.01 09/06/07

CREDITRISKMONITOR COM INC NV 5.02,9.01 09/11/07

CUBIC CORP /DE/ DE 3.01,5.02 09/11/07

CURAGEN CORP DE 8.01 09/11/07

CWHEQ Home Equity Loan Trust, Series 7.01 09/07/07

CWHEQ Revolving Home Equity Loan Trus 9.01 09/06/07

DALRADA FINANCIAL CORP DE 5.02,9.01 09/10/07

DATATRAK INTERNATIONAL INC OH 1.01,3.03,9.01 09/05/07

DATAWATCH CORP DE 5.02 09/07/07

Delek Resources, Inc. FL 1.01,3.02,9.01 08/17/07

DESERT CAPITAL REIT INC MD 4.01 09/11/07

DIGITAL ANGEL CORP DE 8.01,9.01 09/11/07

DIVERSIFIED FUTURES FUND L.P. DE 1.01,1.02,9.01 09/11/07

DIVERSIFIED FUTURES TRUST I DE 1.01,1.02,9.01 09/11/07

DOCUMENT SECURITY SYSTEMS INC NY 8.01,9.01 09/11/07

DOLLAR FINANCIAL CORP DE 5.02,9.01 09/06/07

Double-Take Software, Inc. DE 7.01,9.01 09/11/07

EDEN ENERGY CORP NV 1.01,9.01 08/31/07

EDISON INTERNATIONAL CA 7.01,9.01 09/11/07

ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 09/11/07

ENDO PHARMACEUTICALS HOLDINGS INC DE 5.02,9.01 09/06/07

EnerJex Resources, Inc. NV 7.01,9.01 09/04/07

ENXNET INC OK 7.01,9.01 09/11/07

Epic Bancorp 8.01,9.01 09/11/07

EROOMSYSTEM TECHNOLOGIES INC NV 8.01,9.01 09/11/07

ESTEE LAUDER COMPANIES INC DE 5.02 09/06/07

EVERGREEN ENERGY INC DE 5.02,7.01,9.01 09/06/07

EXELIXIS INC DE 8.01,9.01 09/10/07

EXELON CORP PA 7.01,9.01 09/07/07

Federal Home Loan Bank of Atlanta X1 2.03 09/05/07

Federal Home Loan Bank of Boston X1 2.03 09/07/07

Federal Home Loan Bank of Cincinnati X1 2.03,9.01 09/07/07

Federal Home Loan Bank of Des Moines X1 2.03,9.01 09/05/07

Federal Home Loan Bank of Indianapoli X1 2.03,9.01 09/05/07

Federal Home Loan Bank of New York X1 2.03,9.01 09/07/07

Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 09/05/07

Federal Home Loan Bank of San Francis X1 2.03 09/05/07

Federal Home Loan Bank of Topeka 2.03 09/05/07

FIFTH THIRD BANCORP OH 7.01,9.01 09/11/07

FIRST IPSWICH BANCORP /MA MA 8.01,9.01 09/11/07

FIRST MIDWEST BANCORP INC DE 7.01,9.01 09/11/07

Fitmedia Inc. DE 1.01,1.02,9.01 09/08/07

Fluid Media Networks, Inc. 5.02 09/05/07

FOCUS ENHANCEMENTS INC DE 5.03,9.01 09/06/07

FOSSIL INC DE 7.01,9.01 09/11/07

FRANKLIN ELECTRIC CO INC IN 1.01,2.03 09/07/07

FUTURES STRATEGIC TRUST DE 1.01,1.02,9.01 09/11/07

GENCO SHIPPING & TRADING LTD 7.01 09/11/07

GEOGLOBAL RESOURCES INC. DE 7.01,9.01 09/10/07

GLIMCHER REALTY TRUST MD 5.02,9.01 09/06/07

GLIMCHER REALTY TRUST MD 5.02 09/06/07 AMEND

GLOBALSANTAFE CORP 7.01,8.01,9.01 09/06/07

GLOBECOMM SYSTEMS INC 2.02,9.01 09/11/07

GMAC LLC DE 8.01 09/06/07

GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 09/07/07

GREEN MOUNTAIN COFFEE ROASTERS INC DE 1.01 09/05/07

GRYPHON GOLD CORP NV 7.01,9.01 09/07/07

H&R BLOCK INC MO 2.05 08/06/07 AMEND

H2Diesel Holdings, Inc FL 5.02,9.01 09/01/07

HANMI FINANCIAL CORP DE 7.01,9.01 09/11/07

HARRIS CORP /DE/ DE 2.02,7.01,9.01 09/11/07

HARTVILLE GROUP INC NV 5.02,9.01 05/05/07

HEALTH ENHANCEMENT PRODUCTS INC NV 5.02 09/10/07

HILTON HOTELS CORP DE 8.01 09/10/07

HUMANA INC DE 7.01 09/11/07

I2 TELECOM INTERNATIONAL INC WA 5.02 09/11/07

Ignis Petroleum Group, Inc. 1.01,9.01 09/06/07

IMCLONE SYSTEMS INC DE 8.01,9.01 09/11/07

IMVISION THERAPEUTICS INC. NV 5.02,9.01 09/06/07

INFOCUS CORP OR 1.01,5.02,8.01,9.01 09/11/07

Infosmart Group, Inc. CA 4.01,5.02,9.01 08/09/07 AMEND

INHIBITEX, INC. 8.01 09/11/07

INHIBITEX, INC. 1.01,8.01,9.01 09/11/07

INTEGRATED BIOPHARMA INC DE 5.02,9.01 09/11/07

INTEGRATED ELECTRICAL SERVICES INC DE 5.02 09/11/07

INTERNET AMERICA INC TX 7.01,9.01 09/11/07

INTERSTATE BAKERIES CORP/DE/ DE 7.01,9.01 09/10/07

INTREPID TECHNOLOGY & RESOURCES, INC. ID 5.02 09/10/07

INVENTIV HEALTH INC DE 1.01 09/05/07

INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 09/11/07

ISLE OF CAPRI CASINOS INC DE 2.02,9.01 09/06/07

ISOLAGEN INC DE 7.01,9.01 09/05/07

ITONIS INC. NV 1.01,5.02,9.01 09/06/07

IVANY MINING INC DE 1.01,9.01 09/10/07

IWT TESORO CORP NV 8.01,9.01 09/07/07

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

JONES APPAREL GROUP INC PA 1.01,2.01,9.01 09/06/07

KENMAR GLOBAL TRUST DE 1.01,1.02,9.01 09/11/07

KITE REALTY GROUP TRUST MD 7.01,9.01 09/11/07

KYPHON INC DE 8.01,9.01 09/10/07

LEGEND MOBILE INC DE 3.02 07/24/07

LEINER HEALTH PRODUCTS INC DE 8.01 09/11/07

LINN ENERGY, LLC DE 5.02,9.01 09/10/07

LIONBRIDGE TECHNOLOGIES INC /DE/ DE 5.02 09/10/07

LITTLE SQUAW GOLD MINING CO AK 8.01,9.01 09/10/07

LOWES COMPANIES INC NC 9.01 09/06/07

LSB INDUSTRIES INC DE 8.01 09/11/07

LUFKIN INDUSTRIES INC TX 5.02 09/04/07

M&T BANK CORP NY 7.01,9.01 09/11/07

MAD CATZ INTERACTIVE INC 1.01,9.01 09/06/07

MAJESCO ENTERTAINMENT CO DE 2.02,9.01 09/11/07

MANATRON INC MI 2.02,9.01 09/11/07

MANNATECH INC TX 5.02,8.01,9.01 09/06/07

MARCHEX INC DE 7.01,9.01 09/11/07

MARCUS CORP WI 1.01 09/10/07

MARINE GROWTH VENTURES INC 1.01,9.01 09/06/07

MARKWEST ENERGY PARTNERS L P 8.01,9.01 09/06/07

MARKWEST ENERGY PARTNERS L P 5.02,9.01 09/05/07

MARKWEST HYDROCARBON INC DE 8.01,9.01 09/06/07

MARKWEST HYDROCARBON INC DE 5.02,9.01 09/05/07

MCDERMOTT INTERNATIONAL INC R1 8.01 09/10/07

MCDONALDS CORP DE 7.01,9.01 09/11/07

MDC PARTNERS INC A6 1.01 09/05/07

MEDICALCV INC MN 5.02,9.01 09/07/07

MEDICINES CO /DE DE 7.01,9.01 09/10/07 AMEND

MEDIWARE INFORMATION SYSTEMS INC NY 5.02 08/30/07 AMEND

Mercantile Bancorp, Inc. DE 8.01,9.01 09/07/07

MERCER INTERNATIONAL INC. WA 7.01 09/05/07

MILLENNIUM BIOTECHNOLOGIES GROUP INC DE 1.01,5.02,9.01 09/11/07

MISTRAL VENTURES INC NV 8.01 09/11/07

ML-CFC Commercial Mortgage Trust 2007 DE 8.01 09/07/07

MOBILITY ELECTRONICS INC DE 5.02 09/05/07

MODTECH HOLDINGS INC CA 5.02 09/07/07

Molecular Insight Pharmaceuticals, In MA 1.01,9.01 09/06/07

MONEYGRAM INTERNATIONAL INC 7.01 09/11/07

NABI BIOPHARMACEUTICALS DE 1.01,7.01,9.01 09/11/07

NATIONAL FINANCIAL PARTNERS CORP 3.02,7.01,9.01 09/11/07

NATIONAL HEALTH REALTY INC MD 8.01 09/10/07

NATIONAL MEDICAL HEALTH CARD SYSTEMS DE 2.02,9.01 09/10/07

NATIONWIDE FINANCIAL SERVICES INC/ DE 1.01 09/07/07

NAUTILUS, INC. WA 5.02,8.01,9.01 09/06/07

NeoStem, Inc. DE 8.01,9.01 09/11/07

NeurogesX Inc CA 1.01,2.03 09/06/07

NEW YORK COMMUNITY BANCORP INC DE 7.01,9.01 09/11/07

NIC INC CO 5.02,9.01 09/06/07

NNN Healthcare/Office REIT, Inc. MD 1.01,2.01,2.03,7.01,9.01 09/05/07

NOBEL LEARNING COMMUNITIES INC DE 7.01,9.01 09/11/07

NON INVASIVE MONITORING SYSTEMS INC / FL 1.01,2.03 09/04/07

NORTEL NETWORKS CORP 8.01,9.01 09/10/07

NORTEL NETWORKS LTD 8.01,9.01 09/10/07

NORTHSTAR REALTY 1.02 09/05/07

NVE CORP /NEW/ MN 1.01 09/10/07

Obagi Medical Products, Inc. DE 5.02,7.01,9.01 09/07/07

ODYNE CORP 4.01,9.01 09/10/07

OFFICE DEPOT INC DE 8.01,9.01 09/11/07

OLD POINT FINANCIAL CORP VA 1.01 09/10/07

ONEOK Partners LP DE 7.01,9.01 09/11/07

OSI SYSTEMS INC CA 2.02,9.01 09/11/07

PACTIV CORP DE 7.01 09/11/07

PALATIN TECHNOLOGIES INC DE 8.01,9.01 06/30/07

PEREGRINE PHARMACEUTICALS INC DE 2.02,9.01 09/10/07

PHOTOWORKS INC /WA WA 4.01,9.01 09/05/07

PHOTRONICS INC CT 1.01 09/10/07

Pike Electric CORP 5.02 09/05/07

PITNEY BOWES INC /DE/ DE 8.01,9.01 09/06/07

PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 09/11/07

POWERCOLD CORP NV 8.01 09/10/07

PRICE T ROWE GROUP INC MD 8.01,9.01 09/11/07

PRINCETON REVIEW INC DE 2.05 09/05/07

PROGENICS PHARMACEUTICALS INC DE 7.01,9.01 09/11/07

PROGRESSIVE CORP/OH/ OH 7.01,9.01 09/11/07

PROVIDENCE RESOURCES INC TX 3.02 08/08/07

PROVIDENT BANKSHARES CORP MD 8.01,9.01 09/10/07

PURADYN FILTER TECHNOLOGIES INC DE 5.02 09/07/07

QUICK MED TECHNOLOGIES INC NV 5.02 09/11/07

RAPID LINK INC DE 1.01,9.01 09/11/07

REGIONS FINANCIAL CORP DE 7.01,9.01 09/11/07

SANFILIPPO JOHN B & SON INC DE 2.02,9.01 09/10/07

SANTANDER DRIVE AUTO RECEIVABLES LLC DE 8.01,9.01 09/05/07

SCHWAB CHARLES CORP DE 8.01,9.01 09/11/07

SENESCO TECHNOLOGIES INC DE 3.01,9.01 09/11/07

Shea Development Corp. 1.01,9.01 09/06/07

SHUFFLE MASTER INC MN 7.01 09/10/07

SIENA TECHNOLOGIES, INC. NV 5.02,9.01 09/07/07

SILICON IMAGE INC DE 8.01 09/11/07

SILICON LABORATORIES INC DE 5.02,9.01 09/10/07

SourceForge, Inc DE 1.01,9.01 09/05/07

SOYO GROUP INC NV 5.02 09/10/07

SPARK NETWORKS INC X0 8.01 09/10/07

SPECIALIZED HEALTH PRODUCTS INTERNATI DE 8.01 09/06/07

STARRETT L S CO MA 5.02,8.01 09/11/07

STARWOOD HOTEL & RESORTS WORLDWIDE IN MD 1.01,9.01 09/06/07

STERIS CORP OH 5.02,9.01 09/10/07

SUN HYDRAULICS CORP FL 8.01,9.01 09/08/07

SUNTRUST BANKS INC GA 7.01,8.01,9.01 09/11/07

TATONKA OIL & GAS, INC. CO 1.01,9.01 01/29/07

TAYLOR CAPITAL GROUP INC DE 8.01,9.01 09/11/07

TBS INTERNATIONAL LTD 5.02 09/11/07

Telzuit Medical Technologies, Inc. 5.02 09/11/07

TERADATA CORP /DE/ 8.01,9.01 09/06/07

TEXAS INSTRUMENTS INC DE 7.01,9.01 09/11/07

THERMOGENESIS CORP DE 7.01 09/11/07

THOMAS & BETTS CORP TN 1.01,5.02,9.01 09/05/07

TransDigm Group INC DE 1.01,9.01 09/10/07

TransDigm Group INC DE 7.01 09/11/07

TREX CO INC DE 5.02,9.01 09/10/07

TRIARC COMPANIES INC DE 5.03,9.01 09/10/07

TXP CORP NV 1.01,3.02,9.01 09/06/07

UCN INC DE 1.01,9.01 09/11/07

Uranium Star Corp. NV 1.01,3.02,9.01 09/06/07

VALLEY NATIONAL BANCORP NJ 7.01,9.01 09/10/07

VALUERICH INC 5.02,9.01 09/06/07

Veri-Tek International, Corp. MI 1.01,3.02,7.01,9.01 09/10/07

VERIZON COMMUNICATIONS INC DE 5.02 09/06/07

VERSAR INC DE 5.02 06/29/07

VERSO TECHNOLOGIES INC MN 1.01,3.02,9.01 09/05/07

VeruTEK Technologies, Inc. 4.01,9.01 07/18/07

VIASPACE Inc. NV 1.01,2.03,9.01 09/11/07

WELLS REAL ESTATE INVESTMENT TRUST II MD 8.01,9.01 09/10/07

WESCORP ENERGY INC 1.01,2.01,3.02,7.01,9.01 09/11/07

WET SEAL INC DE 5.02,9.01 09/06/07

WHITE MOUNTAIN TITANIUM CORP NV 1.01,3.02,5.02 09/11/07

WILEY JOHN & SONS, INC. NY 7.01 07/31/07

WORLD MONITOR TRUST II SERIES D DE 1.01,1.02,9.01 09/11/07

WORLD MONITOR TRUST II SERIES E DE 1.01,1.02,9.01 09/11/07

WORLD MONITOR TRUST II SERIES F DE 1.01,1.02,9.01 09/11/07

World Monitor Trust III DE 1.01,1.02,9.01 09/11/07

XILINX INC DE 5.02 09/05/07

ZIONS BANCORPORATION /UT/ UT 7.01,9.01 09/11/07

ZIONS BANCORPORATION /UT/ UT 7.01,9.01 09/11/07 AMEND

ZIOPHARM ONCOLOGY INC 8.01,9.01 09/10/07

http://www.sec.gov/news/digest/2007/dig091207.htm

Modified: 09/12/2007