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SEC NEWS DIGEST
Issue 2007-186 September 26, 2007
COMMISSION ANNOUNCEMENTS
SEC ANNOUNCES NEW INITIATIVE TO WARN INVESTORS ABOUT QUESTIONABLE
SECURITIES SOLICITATIONS
Commission Seeking Public Comment on Web-Based Program Aimed At
Unregistered Soliciting Entities
The Securities and Exchange Commission today announced a new Internet-
based initiative to alert investors worldwide about problems with
certain unregistered entities engaged in solicitations of securities
transactions. By more immediately sharing information received in
complaints about particular unregistered soliciting entities, the SEC
is aiming to give retail investors, before they invest, a new tool to
help them avoid questionable investment solicitations, including
solicitations from online boiler room and advance fee scheme
operations.
Through its "Public Alert: Unregistered Soliciting Entities" (PAUSE)
program, the Commission will publish on its Web site certain factual
information about unregistered soliciting entities that have been the
subject of complaints forwarded by investors and others around the
globe, including foreign securities regulators. The Commission is
seeking public comments on the PAUSE program before it begins.
"Ferreting out operators of boiler rooms and secondary advance fee
schemes that prey on innocent investors is a priority of this
Commission," said SEC Chairman Christopher Cox. "The PAUSE program is
designed to proactively attack this problem, using the Internet to
fight back by arming investors with information in real time to help
them ask tough questions before giving their hard-earned money to
strangers. This encourages all investors to PAUSE and determine
whether an entity is properly registered with the SEC or located in
the United States as claimed. We look forward to hearing the public's
views about this important initiative."
To implement the PAUSE initiative, the Commission will post on its
public Web site specific information about unregistered soliciting
entities that have been the subject of complaints. For each of these
entities, the Commission's staff will have determined either (1) that
there is no U.S. registered securities firm with that name, or (2)
that there is a U.S. registered securities firm with the same or
similar name, but that solicitations appear to have been made by
people not affiliated with the U.S. registered securities firm. A
second PAUSE list will name fictitious government agencies and
international organizations referred to by entities that are subjects
of complaints.
Generally, entities that solicit purchases or sales of securities for
the accounts of other people in the United States are required to
register with the SEC. It is important for prospective investors to
consider whether a soliciting entity is, in fact, registered with the
SEC. A large number of investor complaints received by the Commission
concern solicitations of investors by unregistered entities that
appear to be involved in boiler room and secondary advance fee
schemes, which, in most instances, claim a nexus to the United States,
but, in truth, are located outside of the United States and target
non-U.S. investors.
Perpetrators of boiler room and advance fee schemes increasingly use
new devices to persuade investors that their solicitations are
legitimate, including:
* Impersonating U.S. registered securities firms by, for example,
using the same or a similar name or providing an address that
closely resembles that of a U.S. registered securities firm.
* Making false references or false claims of endorsement by
government agencies and international organizations (sometimes
even impersonating them).
* Claiming endorsements or making other references to government
agencies and international organizations that sound official, but
do not exist.
Kurt Pribil, Chairman of CESR-Pol, a permanent operational group
within the Committee of European Securities Regulators (CESR)
responsible for the enforcement of Europe's Market Abuse Directive,
said, "I believe that the project PAUSE will be an effective tool to
warn potential investors in the United States and worldwide of offers
of financial services by entities that are not authorized in the
United States to offer specific services. This pragmatic approach is
key to minimizing the risk of investors being defrauded and has been
an approach also adopted by the regulators in the European Union.
Through CESR, EU regulators alert their colleagues of any unauthorized
entities working in the EU, and by so doing, enable fellow authorities
to inform their national investors by publishing these warning notices
on their respective websites. We have long seen this as an important
tool to reduce the risk of cross-border frauds. To that end, CESR
regards PAUSE as a very useful initiative which can contribute to the
safety of EU investors seeking to invest in the United States."
The comment period extends for 30 days after the Release is published
in the Federal Register. (Press Rel. 2007-202)
RULES AND RELATED MATTERS
UNREGISTERED SOLICITING ENTITIES (PAUSE) PROGRAM
The Commission is proposing for comment a new program that will post
on its Web site certain factual information about unregistered
entities that are engaged in the solicitation of securities
transactions. Through this new program, "Public Alert: Unregistered
Soliciting Entities" (PAUSE), the Commission will publish on its Web
site certain factual information about unregistered soliciting
entities that have been the subject of complaints forwarded by
investors and others, including fellow securities regulators. By
making this information readily available, the Commission expects
investors to be better able to evaluate solicitations to buy and sell
securities. (Rels. 34-56534; IA-2658; File No. S7-24-07)
ORDER CANCELLING REGISTRATIONS
The Commission issued an order pursuant to Section 17A(c)(4)(B) of the
Exchange Act cancelling the transfer agent registration of Gerdine &
Associates. Publication in the Federal Register is expected during the
week of Oct. 1, 2007. (Rel. Rel. 34-56521)
ENFORCEMENT PROCEEDINGS
COMMISSION SANCTIONS CONRAD P. SEGHERS
The Commission has sanctioned Conrad P. Seghers, an unregistered
investment adviser. Seghers was enjoined from violations of the
antifraud provisions of the federal securities laws by the United
States District Court for the Northern District of Texas. The district
court found that Seghers violated the antifraud provisions when, in
the course of acting as an investment adviser to three hedge funds, he
knowingly or recklessly caused those funds to overstate the value of
their assets. On the basis of this injunction, the Commission barred
Seghers from association with any investment adviser. The Commission
found that Seghers's conduct was egregious and betrayed his fiduciary
duties as an investment adviser. The Commission concluded that barring
Seghers from association with any investment adviser was necessary to
protect the interests of the investing public and as a deterrent to
others in the industry. ((Rel. IA-2656; File No. 3-12433)
IN THE MATTER OF GEORGE BEROS
On September 25, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions
(Order) against George Beros. Beros, of Shaker Heights, Ohio, was the
CFO and a director of Monarch Capital Holdings LLC. The Order finds
that on Aug. 22, 2007, a judgment was entered against Beros
permanently enjoining him from future violations of Sections 5(a),
5(c) and 17(a) of the Securities Act of 1933 (Securities Act) [15
U.S.C. §§ 77e(a), 77e(c) and 77q(a)], and Section 10(b) of the
Securities Exchange Act of 1934 (Exchange Act) [15 U.S.C. § 78j(b)]
and Rule 10b-5 promulgated thereunder [17 C.F.R. § 240.10b-5], in the
civil action captioned Securities and Exchange Commission v. Capital
Holdings, L.L.C., et al., Civil Action No. 03-RB-0923, in the United
States District Court for the District of Colorado.
The Commission's complaint alleged that Capital Holdings, L.L.C.,
Smitty's Investments, LLC, Capital Holdings Int, LLC and Monarch
Capital Holdings LLC, and their principals defrauded investors by
falsely promising that: (1) investor funds would be used as collateral
to facilitate leveraged trading of financial instruments issued by
major banks and governments and that investors would share in the
trading profits; (2) investors would earn a fixed monthly return
ranging from 2% to 15%; (3) the safety of invested principal would be
guaranteed; and (4) investors' funds would be fully insured. The
complaint also alleged that there is no trading program and that the
defendants regularly paid undisclosed sales commissions, Ponzi
payments and personal expenses with investor funds.
On March 16, 2007, in a related criminal matter, Beros pleaded guilty
to one count of securities fraud in violation of Title 15 United
States Code, Sections 77q(a) and 77x, before the United States
District Court for the District of Colorado, in United States v.
Norman Schmidt, et al., Crim. Indictment No. 1:04cr103. On August 3,
2007, a judgment in the criminal case was entered against Beros. He
was sentenced to a prison term of 12 months and one day followed by 3
years of supervised release and ordered to pay a special victim's fund
assessment of $100 and to make restitution in the amount of
$286,739.00.
Based on the above, the Order bars Beros from association with any
broker or dealer. George Beros consented to the issuance of the Order
without admitting or denying any of the findings in the Order. (Rel.
34-56520; File No. 3-12826)
THE SECURITIES AND EXCHANGE COMMISSION ORDERS THAT MARIO CASIAS BE
BARRED FROM ASSOCIATION WITH ANY BROKER OR DEALER
On September 25, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
(Order) against Mario Casias. The Order finds that in or about and
between January 2001 and February 2003 (Relevant Period), Casias was
associated with a branch office of Delta Asset Management, LLC (Delta
Asset), a broker-dealer registered with the Commission. The Order
further finds that, on June 29, 2007, Casias pled guilty to charges of
conspiracy to commit securities fraud in violation of Title 15, United
States Code, Sections 78j(b) and 78ff before the United States
District Court for the Eastern District of New York, in United States
v. Pirgousis, et al., Cr. No. 04-159 (NGG). The counts of the criminal
indictment to which Casias pled guilty alleged, inter alia, that
Casias, while associated with the Delta Asset branch office, knowingly
and willfully employed devices, schemes, and artifices to defraud and
engaged in acts, practices, and courses of business which would and
did operate as a fraud and deceit upon members of the investing
public, in connection with the purchases and sales of securities, and
by use of the means and instrumentalities of interstate commerce and
the mails.
Based on the above, the Order bars Casias from association with any
broker or dealer. Casias consented to the issuance of the Order
without admitting or denying any of the findings in the Order. (Rel.
34-56529; File No. 3-12831)
IN THE MATTER OF JUSTIN F. FICKEN
On September 26, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act
of 1940 and Notice of Hearing (Order) against Justin F. Ficken. The
Division of Enforcement (Division) alleges in the Order that from
approximately October 1999 until at least June 2003, Ficken was
employed by Prudential Securities, Inc., then a registered broker-
dealer and investment adviser. The Division also alleges that, on
Sept. 13, 2007, a final judgment was entered against Ficken in the
civil action entitled Securities and Exchange Commission v. Martin J.
Druffner, et al., Civil Action Number 03-12154-NMG, in the United
States District Court for the District of Massachusetts, permanently
enjoining him from future violations of Section 17(a) of the
Securities Act of 1933 and Section 10(b) of the Exchange Act and Rule
10b-5 thereunder. The Commission's amended complaint alleges that,
from at least January 2001 through September 2003, Ficken and other
former PSI registered representatives defrauded more than fifty mutual
fund companies and the funds' shareholders by placing thousands of
market timing trades worth more than one billion dollars. According to
the amended complaint, the defendant registered representatives knew
that the mutual fund companies monitored and attempted to restrict
excessive trading in their mutual funds. To evade those restrictions
when placing market timing trades with the mutual funds, the defendant
registered representatives disguised their own identities by
establishing numerous broker identification numbers and disguised
their customers' identities by opening nearly two hundred customer
accounts under various names for seven of their market timing
customers.
A hearing will be scheduled before an administrative law judge to
determine whether the allegations contained in the Order are true, to
provide Ficken an opportunity to dispute the allegations, and to
determine what, if any, remedial action is appropriate and in the
public interest pursuant to Section 15(b) of the Exchange Act and
Section 203(f) of the Advisers Act. The Order requires the
Administrative Law Judge to issue an initial decision no later than
210 days from the date of service of the Order, pursuant to Rule
360(a)(2) of the Commission's Rules of Practice. (Rel. 34-56531; IA-
2657; File No. 3-12832)
SEC INSTITUTES SETTLED ANTIBRIBERY, BOOKS AND RECORDS AND INTERNAL
CONTROLS ACTION AGAINST BRISTOW GROUP INC. FOR IMPROPER PAYMENTS TO
NIGERIAN GOVERNMENT OFFICIALS
On September 26, the Commission issued an Order Instituting Cease-and-
Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist
Order Pursuant to Section 21C of the Securities Exchange Act of 1934
(Order) against Bristow Group Inc., a Houston, Texas-based and New
York Stock Exchange listed helicopter transportation services and oil
and gas production facilities operation company. The Order finds that
Bristow Group violated Section 30A of the Securities Exchange Act of
1934 (Exchange Act), which prohibits any issuer with a class of
securities registered pursuant to Section 12 of the Exchange Act, in
order to obtain or retain business, from giving, or authorizing the
giving of, anything of value to any foreign official for purposes of
influencing the official or inducing the official to act in violation
of his or her lawful duties, or to secure any improper advantage; or
to induce a foreign official to use his influence with a foreign
government or foreign governmental instrumentality to influence any
act or decision of such government or instrumentality. The Order finds
that a Bristow Group Nigerian affiliate made improper payments to
Nigerian state government officials in return for the officials'
reduction of the affiliate's expatriate employment taxes owed to the
Nigerian state governments. The Order also finds that the same
affiliate and another Bristow Group Nigerian affiliate also
underreported their expatriate payroll expenses in Nigeria.
Based on the above, the Order requires Bristow Group to cease and
desist from committing or causing any violations and any future
violations of Sections 30A, 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the
Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder. Bristow
Group consented to the issuance of the Order without admitting or
denying any of the Commission's findings. (Rel. 34-56533; AAE Rel.
2727; File No. 3-12833)
IN THE MATTER OF C.R. WILLIAMS, INC. AND CHARLES RUSSELL WILLIAMS II
On September 26, the Commission instituted public administrative and
cease-and-desist proceedings against C.R. Williams, Inc. (CRW), an
investment adviser registered with the Commission, and its president,
chief executive officer and majority owner, Charles Russell Williams
II (Williams), alleging that CRW willfully violated, and Williams
caused and willfully aided and abetted CRW's violations of the books
and records and reporting provisions of the Investment Advisers Act
(Advisers Act).
In the Order Instituting Administrative and Cease-and-Desist
Proceedings Pursuant to Sections 203(e), 203(f) and 203(k) of the
Investment Advisers Act of 1940 (Order), the Division of Enforcement
(Division) alleges that from at least June 2003 through February 2006,
CRW, aided and abetted by Williams, violated the books and records
provisions by failing to make and keep: cash receipt journals;
disbursement records; general and auxiliary ledgers reflecting asset,
liability, reserve, capital, income and expense accounts; and
financial statements relating to its investment adviser business. The
Division also alleges that CRW, aided and abetted by Williams,
violated the reporting provisions by: (1) failing to file its annual
reports on amended Form ADV for the fiscal years ended Dec. 31, 2005
and Dec. 31, 2006; and (2) failing to timely file a Form ADV-W after
it became ineligible for registration with the Commission. As a result
of their conduct, the Division alleges that CRW willfully violated,
and Williams caused and willfully aided and abetted CRW's violations
of Sections 203A and 204 of the Advisers Act and Rules 203A-1(b)(2),
204-1(a)(1), 204-2(a)(1), 204-2(a)(2) and 204-2(a)(6) promulgated
thereunder.
The Division also alleges that Williams has a history of disregarding
the books and records and reporting requirements of the Advisers Act.
As alleged in the Order, on Feb. 14, 1996, the Commission initiated
settled administrative proceedings against Williams and entered an
order that found that: (1) Williams had failed to make and keep the
same books and records that CRW allegedly has failed to make and keep
currently; and (2) Williams had failed to file an annual amended Form
ADV-S for fiscal years ended Dec. 31, 1989 through 1994. The Feb. 14,
1996 order imposed a censure on Williams, directed Williams to cease
and desist from violating Section 204 of the Advisers Act and certain
Rules thereunder, including Rules 204-1, 204-2(a)(1), 204-2(a)(2), and
204-2(a)(6) and imposed a $5,000 civil penalty. It also required
Williams to adopt, implement and maintain new written policies and
procedures to prevent and detect books and records violations, and
expressly applied those undertakings to CRW.
The Order seeks: remedial sanctions against CRW pursuant to Section
203(e) of the Advisers Act and against Williams pursuant to Section
203(f) of the Advisers Act; a cease-and-desist order against CRW and
Williams; and civil money penalties against CRW and Williams pursuant
to Section 203(i) of the Advisers Act. (Rel. IA-2660; File No. 3-
12834)
ADMINISTRATIVE PROCEEDING INSTITUTED AGAINST KANGSAN KIM
On September 26, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act
of 1940 and Notice of Hearing (Order) against Kangsan Kim (Kim) to
determine what remedial sanctions, if any, are appropriate and in the
public interest. The Division of Enforcement alleges in the Order that
Kim was the president of Unus Capital Management, Inc. (Unus), an
investment adviser, from November 2002 to November 2004, and was also
the chief financial officer of PeopleN Investment, Inc., which
purported to be a brokerage house through which Unus clients could buy
and sell securities. The Division of Enforcement alleges in the Order
that on March 6, 2007, Kim pleaded guilty to one count of wire fraud
in the United States District Court for the Central District of
California, United States of America v. Kangsan Kim, aka Kang Blaine
Kim, aka Blaine Kim, Case No. 06-CR-00625-ER-2. On Sept. 17, 2007, a
judgment in the criminal case was entered against Kim. He was
sentenced to a prison term of 52 months followed by three years of
supervised release, and ordered to make restitution in the amount of
approximately $3.8 million. The wire fraud count to which Kim pleaded
guilty alleged that from approximately July 2001 through at least
September 2005, Kim knowingly and with the intent to defraud, devised,
participated in, and executed a scheme to defraud investors as to a
material matter, and to obtain money and property from investors by
means of material false and fraudulent representations and concealment
of material facts. The Order alleges that Kim claimed Unus was an
investment adviser that provided advice regarding the purchase and
sale of stocks and bonds, and that all funds provided by investors
would be used to purchase securities. The Order further alleges that,
contrary to representations made to investors, Kim used investor
monies for business purposes, payments on his residence, and
entertainment, and used some investor monies to operate a "Ponzi"
scheme.
A hearing will be scheduled before an Administrative Law Judge to
determine whether the allegations contained in the Order are true, to
afford Kim an opportunity to respond, and to determine what, if any,
remedial sanctions are appropriate and in the public interest.
The Order requires the Administrative Law Judge to issue an initial
decision no later than 210 days from the date of service of the order,
pursuant to Rule 360(a)(2) of the Commission's Rules of Practice.
(Rels. 34-56536; IA-2659; File No. 3-12835)
IN THE MATTER OF NOVATEK INTERNATIONAL, INC. A/K/A MEDICAL DIAGNOSTIC
PRODUCTS, INC.
On September 26, the Commission issued an Order Instituting
Proceedings and Notice of Hearing Pursuant to Section 12(j) of the
Securities Exchange Act of 1934, against Novatek International, Inc.
a/k/a Medical Diagnostic Products, Inc., to determine whether to
suspend for a period not exceeding twelve months or to revoke the
registration of each class of its securities registered pursuant to
Section 12 of the Securities Exchange Act of 1934 (Exchange Act).
In the order instituting administrative proceedings against Novatek,
the Division of Enforcement alleges that Novatek's securities were
registered pursuant to Section 12 of the Exchange Act. The Division
also alleges that Exchange Act Section 13(a) and Rules 13a-1 and 13a-
13 promulgated thereunder, require issuers with classes of securities
registered pursuant to Exchange Act Section 12 to file with the
Commission current and accurate information in public reports. The
Division further alleges that Novatek is delinquent in its required
periodic filings with the Commission, having last filed a periodic
report for the period ended June 30, 1996.
A hearing will be scheduled before an Administrative Law Judge to
determine whether the allegations contained in the order instituting
proceedings are true, to provide Novatek an opportunity to dispute
these allegations, and to determine whether it is necessary and
appropriate for the protection of investors to suspend for a period
not exceeding twelve months or to revoke the registration of each
class of Novatek's securities registered pursuant to Section 12 of the
Exchange Act.
Pursuant to the Commission's Rules of Practice, an initial decision
will be issued by the administrative law judge within 120 days from
the service of the Order Instituting Proceedings. (Rel. 34-56537; File
No. 3-12836)
COMMISSION CHARGES FORMER BROKER WITH FRAUD IN CIVIL ACTION
On September 24, the Commission filed and settled a complaint against
Michael B. Upton (Upton), a former registered representative at MCL
Financial Group, Inc. The Commission's complaint alleges that Upton
violated 17(a) of the Securities Act of 1933 and Section 10(b) of the
Securities Exchange Act of 1934 and Rule 10b-5 thereunder.
The Commission's complaint alleges that, from August 2003 through
March 2005, Upton made materially false and misleading statements and
omitted to disclose material information to investors in connection
with 27 securities offerings. The complaint further alleges that Upton
misrepresented to investors the investment risks and also that certain
shares would soon be publicly traded despite his knowledge that his
representations were false. The complaint also alleges that Upton
failed to disclose to investors that he earned override commissions,
which totaled $287,496 in addition to his disclosed sales commissions.
Without admitting or denying the allegations in the complaint, Upton
consented to the entry of a final judgment that would permanently
enjoin him from future violations of Section 17(a) of the Securities
Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder.
Upton also agreed to disgorge $287,496 related to his undisclosed
compensation and pay prejudgment interest of $8,090.87 and a civil
penalty of $120,000. [SEC v. Michael B. Upton, Civil Action No. 07-
06180 CAS (AGRx) (C.D. Cal.)] (LR-20299)
SEC BRINGS FRAUD CHARGES AGAINST SAN FRANCISCO HEDGE FUND MANAGER
The Commission today charged a San Francisco hedge fund manager with
defrauding investors by dramatically overstating the fund's
profitability and misusing fund assets. The Commission alleges that
Alexander James Trabulse sent account statements to investors in his
Fahey Fund that inflated the fund's returns by as much as 200%, while
using investor money to purchase cars and finance shopping sprees for
his family members.
According to the Commission's complaint, filed today in federal
district court in San Francisco, Trabulse founded the Fahey Fund in
1997 and raised about $10 million from approximately 100 investors. He
told investors the fund invested in financial instruments like stocks,
derivatives, and foreign currency. The complaint alleges that Trabulse
lured investors by touting the fund's spectacular performance, when in
reality the statements he provided to investors bore no relation to
the fund's actual performance.
The Commission also alleges Trabulse misused fund assets to pay for a
wide variety of personal expenses, using the fund's bank account to
pay for cars, a home theater system, and his ex-wife's overseas
shopping allowance. He even gave one relative free reign to use the
fund's bank accounts for personal use, according to the Commission.
The Commission's complaint alleges Trabulse violated Sections 206(1)
and 206(2) of the Investment Advisers Act of 1940, Section 10(b) of
the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and
Sections 5 and 17(a) of the Securities Act of 1933, and seeks
disgorgement, penalties, and other relief. The Commission also has
named as relief defendants several entities associated with Trabulse
that received assets through Trabulse's fraud: Fahey Fund, L.P., Fahey
Financial Group, Inc., International Trade & Data, and ITD Trading.
[SEC v. Alexander James Trabulse, et al., Case No. 07-4975-JCS, N.D.
Cal.] (LR-20300)
INVESTMENT COMPANY ACT RELEASES
MMA PRAXIS MUTUAL FUNDS, ET AL.
A notice has been issued giving interested persons until Oct. 19,
2007, to request a hearing on an application filed by MMA Praxis
Mutual Funds, et al., for an order under Section 17(b) of the
Investment Company Act that would permit certain entities excluded
from the definition of investment company under Section 3(c)(10) or
3(c)(11) of the Act to transfer certain classes of assets held in
separate accounts to a series of a registered open-end management
investment company in exchange for shares of that series. (Rel. IC-
27977 - September 24)
CITI INVESTOR SERVICES, INC. F/N/A THE BISYS GROUP, INC., ET AL.
The Commission has issued a temporary order to Citi Investor Services,
Inc. f/n/a The BISYS Group, Inc., et al. (BISYS) under Section 9(c) of
the Investment Company Act with respect to an injunction issued by the
U.S. District Court for the Southern District of New York on July 27,
2007 (Injunction). The temporary order exempts applicants and
companies of which BISYS is or becomes an affiliated person from the
provisions of Section 9(a) until the Commission takes final action on
an application for a permanent order. The Commission also has issued a
notice giving interested persons until Oct. 19, 2007, to request a
hearing on the application filed by applicants for a permanent order
under Section 9(c) of the Act. (Rel. . IC-27978 - September 24)
MINNESOTA LIFE INSURANCE COMPANY, ET AL.
An order has been issued pursuant to Section 6(c) of the Investment
Company Act to Minnesota Life Insurance Company (Minnesota Life),
Variable Annuity Account, and Securian Financial Services, Inc.
(collectively, Applicants), granting exemptions from the provisions of
Sections 2(a)(32) and 27(i)(2)(A) of the Act and Rule 22c-1
thereunder, to the extent necessary to permit recapture of certain
credit enhancements applied to purchase payments made in consideration
of certain deferred variable annuity contracts, including data pages,
riders and endorsements, described in the application that Minnesota
Life intends to issue (the Current Contracts). The exemptive relief
extends to: (1) any deferred variable annuity contracts, including
data pages, riders and endorsements, substantially similar to the
Current Contracts that Minnesota Life may issue in the future (the
Future Contracts and together with the Current Contracts, the
Contracts); (2) any other separate accounts of Minnesota Life and
their successors in interest that support the Contracts; and (3) any
National Association of Securities Dealers, Inc. member broker-dealers
controlling, controlled by, or under common control with any
Applicant, whether existing or created in the future, that in the
future, may act as principal underwriter for the Contracts. (Rel. IC-
27979 - September 25)
SELF-REGULATORY ORGANIZATIONS
PROPOSED RULE CHANGE
The American Stock Exchange filed a proposed rule change (SR-Amex-
2007-97) and Amendment No. 1 thereto relating to changes in the name
and investment objective to the PowerShares DB Precious Metals Fund,
the PowerShares DB Gold Fund, and the PowerShares DB Silver Fund.
Publication is expected in the Federal Register during the week of
Oct. 1, 2007. (Rel. 34-56503)
APPROVAL OF PROPOSED RULE CHANGE
The Commission approved a proposed rule change (SR-NASD-2007-055)
submitted by the National Association of Securities Dealers (n/k/a
Financial Industry Regulatory Authority, Inc.) relating to
Interpretative Material 9216 (Violations Appropriate for Disposition
Under Plan Pursuant to SEC Rule 19d-1(c)(2)). Publication is expected
in the Federal Register during the week of Oct. 1, 2007. (Rel. 34-
56504)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
A proposed rule change (SR-Amex-2007-99) filed by the American Stock
Exchange to delete certain rules that the Amex has determined are
obsolete or unnecessary 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 Oct. 1, 2007. (Rel. 34-56506)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission granted accelerated approval to a proposed rule change
(SR-Amex-2007-101) filed by the American Stock Exchange to trade
Currency Trust Shares of seven Currency Trusts pursuant to unlisted
trading privileges. Publication is expected in the Federal Register
during the week of Oct. 1, 2007. (Rel. 34-56515)
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.
F-3 IRSA INVESTMENTS & REPRESENTATIONS INC, BOLIVAR 108,
BUENOS AIRES ARGENTI, C1, 9999999999, 0 ($564,199,999.00) Equity,
(File 333-146277 - Sep. 25) (BR. 08B)
S-4 CHS/Community Health Systems, Inc., 4000 MERIDIAN BLVD, FRANKLIN, TN,
37068-9020, 615-465-7084 - 0 ($3,021,331,000.00) Non-Convertible Debt,
(File 333-146278 - Sep. 25) (BR. 01)
S-3ASR KOHLS CORPORATION, 4147835800 - 0 ($0.00) Other, (File 333-146279 -
Sep. 25) (BR. 02C)
S-3ASR EATON VANCE CORP, 255 STATE STREET, BOSTON, MA, 02109, 6174828260 -
0 ($0.00) Equity, (File 333-146280 - Sep. 25) (BR. 06C)
S-8 ev3 Inc., 9600 54TH AVENUE NORTH, SUITE 100, PLYMOUTH, MN, 55442-2111,
(763) 398-7000 - 2,000,000 ($31,920,000.00) Equity, (File 333-146282 -
Sep. 25) (BR. 10B)
F-6 NOAH EDUCATION HOLDINGS LTD., 10TH FLOOR B BUILDING,
FUTIAN TIAN'AN HI-TECH VENTURE PARK, FUTIAN DISTRICT, SHENZHEN, F4,
518048, (86-755) 8343-2800 - 0 ($5,000,000.00) ADRs/ADSs,
(File 333-146283 - Sep. 25) (BR. 11)
SB-2 Keven Investments, 3720 WEST DESERT INN ROAD, LAS VEGAS, NV, 89102,
702-966-0600 - 2,000,000 ($200,000.00) Equity, (File 333-146284 -
Sep. 25) (BR. 05)
S-8 Mezey Howarth Racing Stables, Inc., 405A ARENOSO, SAN CLEMENETE, CA,
92672, 9494294001 - 4,000,000 ($400,000.00) Equity, (File 333-146285 -
Sep. 25) (BR. 05C)
S-3ASR RANGE RESOURCES CORP, 100 THROCKMORTON STE. 1200, FT WORTH, TX, 76102,
817-870-2601 - 0 ($0.00) Debt, (File 333-146287 - Sep. 25) (BR. 04C)
S-3ASR ICONIX BRAND GROUP, INC., 1450 BROADWAY, 4TH FL, NEW YORK, NY, 10018,
212-730-0030 - 0 ($287,500,000.00) Asset-Backed Securities,
(File 333-146288 - Sep. 25) (BR. 02C)
S-1 Home Federal Bancorp, Inc., 500 12TH AVENUE SOUTH, NAMPA, ID, 83653,
(208) 466-4634 - 15,870,000 ($158,700,000.00) Equity,
(File 333-146289 - Sep. 25) (BR. )
SB-2 FLEX RESOURCES CO. LTD, 1284 EAST 9TH AVENUE, VANCOUVER, A1, V5V 1L3,
205-419-8664 - 1,356,500 ($135,650.00) Equity, (File 333-146290 -
Sep. 25) (BR. )
S-8 FRONTEER DEVELOPMENT GROUP INC, SUITE 1650, 1055 WEST HASTINGS STREET,
VANCOUVER, A1, V6E 2E9, 604-632-4677 -
8,822,010 ($66,811,725.91) Equity, (File 333-146291 - Sep. 25) (BR. 04A)
S-4 Home Federal Bancorp, Inc., 500 12TH AVENUE SOUTH, NAMPA, ID, 83653,
(208) 466-4634 - 11,051,604 ($110,516,040.00) Equity,
(File 333-146292 - Sep. 25) (BR. )
S-8 KEY ENERGY SERVICES INC, 1301 MCKINNEY STREET, SUITE 1800, HOUSTON, TX,
77010, 713-651-4300 - 0 ($96,144,289.00) Equity, (File 333-146293 -
Sep. 25) (BR. 04A)
S-8 KEY ENERGY SERVICES INC, 1301 MCKINNEY STREET, SUITE 1800, HOUSTON, TX,
77010, 713-651-4300 - 0 ($3,726,250.00) Equity, (File 333-146294 -
Sep. 25) (BR. 04A)
S-8 Redpoint Bio CORP, 7 GRAPHICS DRIVE, EWING, NJ, 08628, 609 637-9700 -
0 ($12,153,081.00) Equity, (File 333-146295 - Sep. 25) (BR. 01B)
S-8 LIONS GATE ENTERTAINMENT CORP /CN/, 555 BROOKSBANK AVENUE,
NORTH VANCOUVER, A1, V7J3S5, 604-983-5555 - 0 ($65,800,000.00) Equity,
(File 333-146296 - Sep. 25) (BR. 05B)
S-3 GENTIVA HEALTH SERVICES INC, 3 HUNTINGTON QUADRANGLE 2S, MELVILLE, NY,
11747-8943, 6315017000 -
0 ($300,000,000.00) Debt Convertible into Equity, (File 333-146297 -
Sep. 25) (BR. 01A)
S-8 Energy Transfer Equity, L.P., 2828 WOODSIDE STREET, DALLAS, TX, 75204,
2149810700 - 0 ($106,980,000.00) Equity, (File 333-146298 - Sep. 25)
(BR. 02)
SB-2 Passport Restaurants, Inc., 804 PIER VIEW WAY, SUITE 208, OCEANSIDE,
CA, 92054, 760-754-2722 - 3,713,824 ($16,175,603.94) Equity,
(File 333-146299 - Sep. 25) (BR. )
S-3 Energy Transfer Equity, L.P., 2828 WOODSIDE STREET, DALLAS, TX, 75204,
2149810700 - 0 ($4,375,868,896.00) Equity, (File 333-146300 - Sep. 25)
(BR. 02)
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
-------------------------------------------------------------------------------------------------------
3D SYSTEMS CORP DE 7.01,9.01 09/25/07
5 G WIRELESS COMMUNICATIONS INC NV 5.05 09/21/07
AAA Energy Inc. NV 5.02 09/25/07
AEHR TEST SYSTEMS CA 2.02,9.01 08/31/07
AFFYMETRIX INC DE 8.01 09/19/07
AFS SenSub Corp. 1.01,9.01 09/20/07
AIR PRODUCTS & CHEMICALS INC /DE/ DE 5.02 09/25/07
ALL AMERICAN PET COMPANY, INC. MD 4.01,8.01,9.01 09/11/07 AMEND
ALLERGAN INC DE 5.03,9.01 09/24/07
ALPHA PETROLEUM EXPLORATION CORP NY 4.01 06/01/07 AMEND
ALTRUST FINANCIAL SERVICES INC 1.01,2.03,9.01 09/20/07
AMERICAN LAND LEASE INC DE 7.01,9.01 09/25/07
AMERICAN TECHNICAL CERAMICS CORP DE 2.01,3.01,3.03,5.01,9.01 09/25/07
AMERICAN TOWER CORP /MA/ DE 8.01,9.01 09/24/07
AMPAL-AMERICAN ISRAEL CORP NY 3.02,8.01,9.01 09/24/07
AMSURG CORP TN 5.02,7.01,9.01 09/25/07
ARENA PHARMACEUTICALS INC DE 8.01 09/25/07
ARRAY BIOPHARMA INC DE 8.01,9.01 09/24/07
ASHLAND INC. KY 7.01,9.01 09/25/07
ASHLAND INC. KY 7.01,9.01 09/25/07
ASPYRA INC CA 5.02,9.01 09/20/07
ATLANTIC COAST FEDERAL CORP X1 8.01,9.01 09/25/07
AUTOLIV INC DE 2.04,9.01 09/25/07
AVALON ENERGY CORP. NV 5.03,8.01 09/25/07
Aventura Holdings Inc. FL 1.01,2.01 09/24/07
AVX CORP DE 2.01,9.01 09/25/07
BAKERS FOOTWEAR GROUP INC MO 2.06,8.01,9.01 09/24/07
BALTIC INTERNATIONAL USA INC TX 8.01 09/20/07
BEA SYSTEMS INC DE 5.02 09/19/07
BEST BUY CO INC MN 2.03,9.01 09/19/07
BIOMET INC IN 3.01,5.03,9.01 09/25/07
BlackRock Inc. DE 5.02,9.01 09/25/07
BLUEGREEN CORP MA 5.03,9.01 09/19/07
BMB MUNAI INC 1.01,1.02,2.03,3.02,9.01 09/19/07
BMW Vehicle Owner Trust 2005-A 9.01 09/25/07
BRIDGE BANCORP INC NY 9.01 09/24/07
BUFFETS HOLDINGS, INC. DE 2.02,9.01 09/25/07
BUFFETS HOLDINGS, INC. DE 7.01,9.01 09/25/07
C-COR INC PA 8.01,9.01 09/24/07
CACI INTERNATIONAL INC /DE/ DE 5.02 09/25/07
CAMCO FINANCIAL CORP DE 8.01,9.01 09/25/07
CAMDEN NATIONAL CORP ME 8.01,9.01 09/25/07
CAPITAL AUTO RECEIVABLES LLC DE 8.01,9.01 09/25/07
CAPTARIS INC WA 5.03,9.01 09/20/07
CARDINAL HEALTH INC OH 5.02,7.01,9.01 09/20/07
CARROLLTON BANCORP MD 5.02,9.01 09/25/07
CASH AMERICA INTERNATIONAL INC TX 5.02,9.01 08/10/07 AMEND
CASTLE A M & CO MD 5.02 09/25/07
CATERPILLAR INC DE 1.01,2.03,9.01 09/20/07
CBD Media Holdings LLC DE 1.01,3.03,8.01,9.01 09/24/07
CBD MEDIA LLC DE 1.01,3.03,8.01,9.01 09/24/07
CBRL GROUP INC TN 5.02 09/19/07
CELL THERAPEUTICS INC WA 5.02,9.01 09/21/07
CET SERVICES INC CA 5.02,9.01 09/24/07
CHARMING SHOPPES INC PA 7.01,9.01 09/24/07
Chelsea Therapeutics International, L DE 8.01,9.01 09/24/07
CHINA AUTOMOTIVE SYSTEMS INC DE 5.02,9.01 09/25/07
China Kangtai Cactus Bio-tech, Inc. NV 5.02 09/21/07
Citicorp Mortgage Securities Trust, S DE 9.01 09/25/07
CITIZENS BANCORP OF VIRGINIA INC VA 8.01,9.01 09/24/07
Citizens Community Bancorp Inc. MD 8.01,9.01 09/24/07
CLEAR CHANNEL COMMUNICATIONS INC TX 8.01,9.01 09/25/07
CMGI INC DE 2.02,8.01,9.01 09/25/07
CNH CAPITAL RECEIVABLES LLC DE 1.01,9.01 09/20/07
COASTAL CARIBBEAN OILS & MINERALS LTD D0 8.01,9.01 09/25/07
COBIZ FINANCIAL INC CO 7.01,9.01 09/24/07
COCA COLA ENTERPRISES INC DE 5.02 09/24/07
COEUR D ALENE MINES CORP ID 1.01,8.01,9.01 09/24/07
COLUMBIA BANCORP \OR\ OR 5.02,9.01 09/24/07
COMMERCE ENERGY GROUP, INC. DE 1.01,9.01 09/20/07
COMMERCIAL NATIONAL FINANCIAL CORP /P PA 5.03 09/25/07
COMMUNICATE COM INC NV 1.01,3.02,9.01 09/25/07
COMMUNITY FINANCIAL SHARES INC DE 8.01,9.01 09/19/07
COMMUNITY HEALTH SYSTEMS INC DE 8.01,9.01 09/24/07
COMPUDYNE CORP NV 5.02 09/21/07 AMEND
CONCUR TECHNOLOGIES INC WA 1.01,9.01 09/24/07
CORCEPT THERAPEUTICS INC 1.01,3.02,8.01,9.01 09/24/07
CORDIA CORP NV 1.01 09/24/07
COVENANT TRANSPORTATION GROUP INC NV 7.01,9.01 09/19/07
CT HOLDINGS ENTERPRISES INC DE 7.01,9.01 09/25/07
DEBT RESOLVE INC DE 1.02,9.01 09/24/07
DELTA APPAREL INC GA 1.01,2.03,9.01 09/21/07
Discover Financial Services DE 2.02,9.01 09/25/07
DITECH NETWORKS INC DE 5.02,9.01 09/24/07
DJO INC DE 5.02,8.01,9.01 09/19/07
DOUBLE EAGLE PETROLEUM CO MD 8.01,9.01 09/25/07
DPL INC OH 7.01,9.01 09/25/07
DreamWorks Animation SKG, Inc. 5.02,9.01 09/24/07
DYNAMIC LEISURE CORP MN 5.02 09/19/07
EastBridge Investment Group Corp AZ 1.01 09/21/07
ECHOSTAR COMMUNICATIONS CORP NV 8.01,9.01 09/24/07
ECHOSTAR COMMUNICATIONS CORP NV 8.01,9.01 09/25/07
EDISON INTERNATIONAL CA 7.01,9.01 09/25/07
EESTech, Inc. 1.01,3.02,9.01 07/01/07
Emergency Medical Services CORP DE 7.01,9.01 09/25/07
EMISPHERE TECHNOLOGIES INC DE 8.01 09/25/07
ENDEAVOUR INTERNATIONAL CORP NV 7.01 09/25/07
ENDOCARE INC DE 5.02 09/19/07
EQUITY LIFESTYLE PROPERTIES INC MD 1.01,2.03,9.01 09/21/07
ESTEE LAUDER COMPANIES INC DE 5.02,9.01 09/21/07
eTelecare Global Solutions, Inc. 5.02 09/19/07
EXELON CORP PA 7.01,9.01 09/25/07
FACTSET RESEARCH SYSTEMS INC DE 2.02,9.01 09/25/07
Federal Home Loan Bank of Atlanta X1 2.03 09/19/07
Federal Home Loan Bank of Boston X1 2.03 09/20/07
Federal Home Loan Bank of Chicago X1 2.03 09/21/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 09/19/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 09/19/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 09/19/07
Federal Home Loan Bank of New York X1 2.03,9.01 09/20/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 09/19/07
Federal Home Loan Bank of San Francis X1 2.03 09/19/07
Federal Home Loan Bank of Seattle 2.03 09/24/07
FIDELITY BANCORP INC PA 1.01,2.03,3.03,9.01 09/20/07
FINISH LINE INC /IN/ IN 8.01,9.01 09/24/07
FIRST SOLAR, INC. DE 5.02,9.01 09/24/07
FORD MOTOR CO DE 8.01,9.01 09/25/07
FORD MOTOR CREDIT CO LLC DE 8.01,9.01 09/25/07
FORD MOTOR CREDIT CO LLC DE 8.01,9.01 09/25/07
FORME CAPITAL INC DE 1.01,5.01,9.01 09/19/07
FRANKLIN TOWERS ENTERPRISES INC 1.01,3.02,9.01 09/20/07
G&K SERVICES INC MN 5.02 09/20/07
GAMCO INVESTORS, INC. ET AL NY 2.02,4.02,9.01 08/09/07 AMEND
GENERAL CABLE CORP /DE/ DE 8.01,9.01 09/25/07
GLOBAL GREEN SOLUTIONS INC. 1.01,7.01,9.01 09/19/07
Global Resource CORP CO 5.02 09/21/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 09/21/07
GREATBATCH, INC. DE 8.01,9.01 09/25/07
GULFPORT ENERGY CORP DE 8.01,9.01 09/25/07
H&R BLOCK INC MO 2.03,4.01,9.01 09/20/07
HEALTHCARE REALTY TRUST INC MD 8.01,9.01 09/25/07
HIGH END VENTURES, INC. CO 1.01,1.02,9.01 09/18/07
HNI CORP IA 7.01 09/24/07
HOOPER HOLMES INC NY 5.02,9.01 09/25/07
HUDSON TECHNOLOGIES INC /NY NY 1.01,2.01,2.03,5.03,9.01 09/19/07
HuntMountain Resources WA 5.02 09/19/07
IMMUNICON CORP 5.02 09/19/07
IndyMac IMJA Mortgage Loan Trust 2007 9.01 09/25/07
Information Services Group Inc. DE 8.01,9.01 09/25/07
Inova Technology Inc. NV 3.01 08/17/07
INTEGRITY BANCSHARES INC GA 5.02,8.01 09/20/07
Intellect Neurosciences, Inc. 8.01,9.01 09/19/07
INTERACTIVE DATA CORP/MA/ DE 5.02,8.01,9.01 09/18/07
INVESCO PLC/LONDON/ 8.01,9.01 09/25/07
IRONCLAD PERFORMANCE WEAR CORP 1.01,3.02 09/20/07
ISCO INTERNATIONAL INC DE 7.01,9.01 09/25/07
IXIA CA 1.01,2.03,9.01 09/20/07
J P MORGAN CHASE & CO DE 9.01 09/21/07
JANUS CAPITAL GROUP INC DE 1.02,5.02,9.01 09/20/07
KBS Real Estate Investment Trust, Inc MD 1.01 09/19/07
KEY ENERGY SERVICES INC MD 7.01,9.01 09/24/07
KITTY HAWK INC DE 3.01,9.01 09/19/07
KLA TENCOR CORP DE 5.02 09/20/07
Kohlberg Capital CORP DE 8.01 09/25/07
Kraton Polymers LLC DE 5.02 09/20/07
Kraton Polymers LLC DE 5.02 09/20/07
KREISLER MANUFACTURING CORP DE 2.02,9.01 09/25/07
LANDEC CORP \CA\ CA 2.02,9.01 09/25/07
LANDRYS RESTAURANTS INC 7.01,9.01 09/24/07
LANNETT CO INC DE 4.02 09/13/07
LB Commercial Mortgage Trust 2007-C3 8.01,9.01 09/24/07 AMEND
LEHMAN ABS CORP BCKD TR CRTS GDYR TR DE 8.01,9.01 09/15/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 09/20/07
LENNAR CORP /NEW/ DE 2.02,9.01 09/25/07
LEXICON PHARMACEUTICALS, INC./DE DE 5.02,9.01 09/19/07
LIBERATOR MEDICAL HOLDINGS, INC. NV 4.01,5.03 08/20/07
Lifevantage Corp CO 5.02 09/18/07
Lightstone Value Plus Real Estate Inv MD 8.01 09/24/07
LOWES COMPANIES INC NC 7.01,9.01 09/24/07
LUBYS INC DE 1.01 09/25/07
LYONDELL CHEMICAL CO DE 8.01,9.01 09/25/07
MAGNUS INTERNATIONAL RESOURCES, INC. NV 1.01,2.01,9.01 05/01/07 AMEND
MARCUS CORP WI 2.02,9.01 09/25/07
MARINE GROWTH VENTURES INC 1.01,9.01 09/19/07
MATERIAL TECHNOLOGIES INC /CA/ DE 4.01,9.01 09/19/07 AMEND
MAX & ERMAS RESTAURANTS INC DE 2.02,5.02,9.01 09/19/07
MEADWESTVACO CORP DE 8.01 09/24/07
MEDCO HEALTH SOLUTIONS INC DE 5.02 09/21/07
MEDQUIST INC NJ 1.01,5.02 09/19/07
MERCK & CO INC NJ 5.02,9.01 09/25/07
MINDSPEED TECHNOLOGIES, INC DE 2.01,9.01 09/25/07
Monogram Biosciences, Inc. DE 5.02 09/19/07
Monogram Biosciences, Inc. DE 8.01 09/25/07
MONTANA ACQUISITION CORP DE 4.01,9.01 04/08/05 AMEND
MOUNTAINS WEST EXPLORATION INC NM 5.02,7.01,9.01 09/19/07
MWI Veterinary Supply, Inc. DE 7.01,9.01 09/25/07
NASTECH PHARMACEUTICAL CO INC DE 5.03,9.01 09/19/07
NATIONAL ATLANTIC HOLDINGS CORP NJ 5.02 09/24/07
NATIONAL HOME HEALTH CARE CORP DE 1.01,8.01,9.01 09/24/07
NATURE VISION, INC. MN 1.01,2.01,2.03,5.02,9.01 09/19/07
NAVISITE INC DE 2.02,9.01 09/25/07
NCR CORP MD 1.01,9.01 09/21/07
NEPHROS INC DE 1.01,2.02,3.02,5.02,5.03,8.01, 09/19/07
9.01
NETSCOUT SYSTEMS INC DE 1.01,9.01 09/19/07
Neuro-Hitech, Inc. DE 8.01,9.01 09/25/07
NEW CENTURY FINANCIAL CORP MD 7.01,9.01 09/17/07
NewPage CORP DE 1.01,9.01 09/20/07
Newport Bancorp Inc 8.01,9.01 09/25/07
NNN 2003 VALUE FUND LLC 7.01,9.01 09/25/07
NOBLE CORP 5.02,9.01 09/20/07
NORTH AMERICAN SCIENTIFIC INC 1.01,2.03 09/21/07
NORTH AMERICAN SCIENTIFIC INC 3.01,9.01 09/21/07
NORTHWEST BANCORP INC PA 1.01,9.01 09/19/07
NPC INTERNATIONAL INC KS 9.01 09/25/07
NTS MORTGAGE INCOME FUND DE 5.02,9.01 09/24/07
OIL DRI CORP OF AMERICA DE 2.02,8.01,9.01 09/25/07
OLD NATIONAL BANCORP /IN/ IN 1.01,2.03,9.01 09/19/07
ONE EARTH ENERGY LLC 1.01 09/20/07
ONEOK Partners LP DE 8.01,9.01 09/24/07
OPEN ENERGY CORP NV 1.01,2.03,3.02,3.03,9.01 09/25/07
Opko Health, Inc. DE 5.02,8.01 09/19/07
Ottawa Savings Bancorp, Inc. X1 5.02 09/19/07
PACIFIC CAPITAL BANCORP /CA/ CA 5.02,9.01 09/19/07
PAETEC Holding Corp. 1.01,5.05,9.01 09/19/07
PANACOS PHARMACEUTICALS, INC. DE 1.01,5.02,9.01 09/21/07
Park Place Energy Corp. NV 8.01 09/24/07
PARKER DRILLING CO /DE/ DE 2.03,9.01 09/20/07
Pharma-Bio Serv, Inc. 2.02,7.01,9.01 09/18/07 AMEND
PHYTOMEDICAL TECHNOLOGIES INC NV 3.02 09/25/07
PIXELWORKS, INC OR 8.01,9.01 09/21/07
PLATO LEARNING INC DE 5.02 09/22/07
PLAYTEX PRODUCTS INC DE 8.01,9.01 09/20/07
PLUMAS BANCORP CA 8.01,9.01 09/19/07
PMI GROUP INC DE 5.02,9.01 09/19/07
POPULAR INC 5.02 09/19/07
PREFORMED LINE PRODUCTS CO OH 3.01,9.01 09/20/07
PRIME GROUP REALTY TRUST MD 8.01,9.01 09/24/07
PROCTER & GAMBLE CO OH 8.01 09/25/07
PROLOGIS MD 5.02,9.01 09/19/07
PROSPECT CAPITAL CORP MD 8.01,9.01 09/25/07
PUBLIC SERVICE CO OF NEW HAMPSHIRE NH 8.01,9.01 09/24/07
PUBLICARD INC PA 7.01,9.01 09/24/07
QUANTA CAPITAL HOLDINGS LTD 1.02,5.02 09/19/07
QUANTA SERVICES INC DE 1.01,2.03,8.01,9.01 09/19/07
QUEST RESOURCE CORP NV 5.02,9.01 09/19/07
RAYMOND JAMES FINANCIAL INC FL 7.01,9.01 09/25/07
Real Mex Restaurants, Inc. DE 4.01,9.01 09/21/07
RED HAT INC DE 2.02,8.01,9.01 09/25/07
Redpoint Bio CORP 8.01,9.01 09/25/07
RENOVO HOLDINGS 5.03,9.01 09/10/07
RESOURCES CONNECTION INC DE 2.02,9.01 09/25/07
REX STORES CORP DE 8.01 09/20/07
RF MONOLITHICS INC /DE/ DE 8.01,9.01 09/25/07
SCHIFF NUTRITION INTERNATIONAL, INC. DE 1.01,5.02,9.01 09/19/07
SCHWAB CHARLES CORP DE 8.01,9.01 09/24/07
SEABRIGHT INSURANCE HOLDINGS INC 5.02 09/24/07
Seneca-Cayuga Bancorp, Inc. X1 5.02,9.01 09/25/07
SHERWIN WILLIAMS CO OH 1.01,9.01 09/25/07
SHORE FINANCIAL CORP VA 8.01 09/25/07
Siouxland Ethanol, LLC NE 1.01 09/24/07
SKY PETROLEUM, INC. NV 7.01,9.01 09/25/07
SOUTHWEST AIRLINES CO TX 5.03,7.01,9.01 09/20/07
Spansion Inc. DE 5.02,8.01 09/19/07
SPECTRUM CONTROL INC PA 2.02,9.01 08/31/07
STANDARD MICROSYSTEMS CORP DE 2.02,9.01 09/25/07
STELLAR PHARMACEUTICALS INC 7.01,9.01 09/25/07
STONE ENERGY CORP DE 7.01,8.01,9.01 09/24/07
Storm Cat Energy CORP 9.01 09/19/07
STRATS SM TRUST FOR DAIMLERCHRYSLER N 8.01,9.01 09/17/07
STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 09/17/07
STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 09/17/07
STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 09/17/07
STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 09/17/07
STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 09/17/07
STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 09/17/07
STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 09/17/07
Surge Global Energy, Inc. 2.01,9.01 09/19/07
Sutura, Inc. 1.01,2.03,3.02,8.01,9.01 09/21/07
TELKONET INC 5.02,9.01 09/19/07
TERADATA CORP /DE/ 1.01,5.03,9.01 09/21/07
TERRESTAR CORP DE 1.01 09/25/07
TIDEWATER INC DE 8.01,9.01 09/24/07
TorreyPines Therapeutics, Inc. DE 8.01,9.01 09/25/07
Tradeshow Marketing Co. Ltd. NV 5.02 09/24/07
True North Energy CORP 1.01,2.01,3.01,9.01 09/18/07
TURBOCHEF TECHNOLOGIES INC DE 8.01,9.01 09/24/07
U.S. Auto Parts Network, Inc. DE 5.02 09/20/07
uBid.com Holdings, Inc. DE 2.02,9.01 09/24/07
ULURU INC. NV 1.01,5.02,9.01 09/25/07
UNITED PAN AM FINANCIAL CORP CA 7.01,9.01 09/19/07
UNIVERSAL AMERICAN FINANCIAL CORP NY 1.01,2.01,3.02,3.03,5.02,5.03, 09/21/07
9.01
UNIVERSAL TRAVEL GROUP NV 1.01,9.01 09/20/07
USAA ACCEPTANCE LLC 8.01,9.01 09/25/07
USEC INC DE 1.01,5.03,9.01 09/21/07
uVuMobile, Inc DE 1.01,2.03,3.02,8.01,9.01 09/20/07
VALLEY NATIONAL BANCORP NJ 7.01,9.01 09/25/07
VMWARE, INC. DE 5.02 09/24/07
VOIS Inc. 4.01,5.03,9.01 09/24/07
WCI COMMUNITIES INC 5.02,9.01 09/25/07
WILLAMETTE VALLEY VINEYARDS INC OR 5.02 09/19/07
WMS INDUSTRIES INC /DE/ DE 5.02 09/19/07
XCORPOREAL, INC. DE 7.01,9.01 09/25/07
XPLORE TECHNOLOGIES CORP 3.02,9.01 09/21/07
YORK WATER CO PA 5.02 09/25/07
http://www.sec.gov/news/digest/2007/dig092607.htm
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