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SEC NEWS DIGEST
Issue 2007-237 December 11, 2007
COMMISSION ANNOUNCEMENTS
CHAIRMAN COX TO TESTIFY
Christopher �Cox, �Chairman, �U.S. Securities and Exchange Commission,
will �testify �before the House Small Business Committee on Wednesday,
Dec. 12, 2007. Chairman Cox's testimony, which concerns Sarbanes-Oxley
Section �404, �will �be �held in Room 2360 of the Rayburn House Office
Building at 10:00 a.m.
CHANGE IN THE MEETING: DELETION OF ITEM
The �following �item �was �not �considered �during the open meeting on
Tuesday, �Dec. �11, �2007: �Whether �to approve the 2008 budget of the
Public �Company �Accounting �Oversight �Board �and �will �consider the
related �annual accounting support fee for the Board under Section 109
of the Sarbanes-Oxley Act of 2002.
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.
ENFORCEMENT PROCEEDINGS
COMMISSION �REVOKES �REGISTRATION �OF �SECURITIES �OF �BIMS �RENEWABLE
ENERGY, �INC. �(N/K/A �TUNG �DING RESOURCES, INC.) FOR FAILURE TO MAKE
REQUIRED PERIODIC FILINGS
On �December 11, the Commission revoked the registration of each class
of �registered �securities �of BIMS Renewable Energy, Inc. (n/k/a Tung
Ding �Resources, �Inc.) �(BIMS) �for failure to make required periodic
filings with the Commission.
Without �admitting �or denying the findings in the order, except as to
jurisdiction, �which �it �admitted, �BIMS consented to the entry of an
Order Making Findings and Revoking Registration of Securities Pursuant
to �Section �12(j) �of �the Securities Exchange Act of 1934 as to BIMS
Renewable �Energy, Inc. (n/k/a Tung Ding Resources, Inc.) finding that
it �had failed to comply with Section 13(a) of the Securities Exchange
Act �of �1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and
revoking �the �registration of each class of BIMS' securities pursuant
to �Section �12(j) of the Exchange Act. This order settled the charges
brought �against �BIMS �in �the �Matter of BIMS Renewable Energy, Inc.
(n/k/a �Tung Ding Resources, Inc.), Administrative Proceeding File No.
3-12883.
Brokers �and �dealers �should �be �alert to the fact that Exchange Act
Section 12(j) provides, in pertinent part, as follows:
No �member �of �a national securities exchange, broker, or dealer
shall make �use �of �the mails or any means or instrumentality of
interstate commerce �to �effect �any transaction in, or to induce
the �purchase �or �sale �of, �any �security �the �registration of
which has been and is suspended or revoked . . . .
For ��further ��information ��see ��Order ��Instituting Administrative
Proceedings �and �Notice �of �Hearing Pursuant to Section 12(j) of the
Securities �Exchange �Act �of �1934, �In �the Matter of BIMS Renewable
Energy, ��Inc. �(n/k/a �Tung �Ding �Resources, �Inc.), �Administrative
Proceeding �File �No. 3-12883, Exchange Act Release No. 56728 (Nov. 1,
2007). (Rel. 34-56939; File No. 3-12883)
IN THE MATTER OF WEALTH POOLS INTERNATIONAL, INC.
SEC �HALTS �FRAUDULENT �GLOBAL �PYRAMID �SCHEME �PREYING �ON �HISPANIC
COMMUNITY
The �Commission �announced that on Dec. 5, 2007, it filed an emergency
action �against �Robert E. Lane, Wealth Pools International, Inc., and
Recruit �for �Wealth, Inc. charging them with the fraudulent offer and
sale of unregistered securities in the form of "Associate" memberships
in �an �enterprise called Wealth Pools. The offering began in 2005 and
the �defendants �claim to have raised over $132 million in 2007 alone,
according to the SEC's complaint.
The �SEC �alleges �in its complaint that Wealth Pools purports to be a
multi-level marketing company primarily selling an English and Spanish
language �tutorial �DVD called Talk-N-Tutor through a network of sales
Associates �around �the �world. �The �DVD �is, in reality, a front for
Wealth �Pools's �true �product �- an investment in one or more "pools"
that �offer investors an opportunity to receive passive income through
the �efforts �of �others �to �recruit �new investors, according to the
complaint. �The �defendants enticed investors to purchase thousands of
DVDs �by �falsely �promising them that they would earn income for life
with no further effort, according to the SEC's complaint. The SEC also
charged �the �defendants with failing to disclose, among other things,
that �Wealth �Pools �is �a �fraudulent �pyramid �scheme, that each new
investor �dilutes �all �investors' �returns, �and that Lane's previous
attempt at a similar scheme resulted in bankruptcy.
On Dec. 6, 2007, upon motion by the SEC, the Honorable John Antoon II,
U.S. �District �Judge �for �the �Middle District of Florida, issued an
order �temporarily �restraining �the �defendants �and �freezing �their
assets, �as �well �as �the assets of relief defendants T-N-T Education
Company, �Inc., �Mundo �Trade, �Inc., �First Fiduciary Business Trust,
Richard �Lane, �Julia �Lane, �and �Renee �Becker. �Judge �Antoon �also
appointed �Denise �Dell-Powell �of �the �firm �Akerman �Senterfitt �as
Receiver over Wealth Pools International and Recruit for Wealth.
A show cause hearing has been set for Dec. 13, 2007, in Orlando, Fla.,
to �determine �whether �the �emergency relief should remain in effect.
[SEC �v. Robert E. Lane, Wealth Pools International, Inc., and Recruit
for �Wealth, �Inc., �Defendants, �and �T-N-T �Education Company, Inc.,
Richard �H. �Lane, �Mundo �Trade, �Inc., Renee Becker, Julia Lane, and
First �Fiduciary �Business �Trust, Relief Defendants, Civil Action No.
6:07-cv-1920-Orl-22KRS (M.D. Fla.)] (LR-20393)
THE COMMISSION CHARGES THE CITY OF SAN DIEGO'S INDEPENDENT AUDITOR FOR
FRAUD IN CONNECTION WITH CITY MUNICIPAL SECURITIES OFFERINGS
The �Commission �today �announced �a �settled civil fraud action filed
against �San Diego's independent auditor in connection with the city's
false �and �misleading financial statements in five 2002 and 2003 bond
offerings.
According �to �the �Commission's �complaint, �the �independent auditor
issued �unqualified �audit �reports �on the bond offerings that raised
$260 �million �from �investors �but �contained �materially �false �and
misleading �information �about �San Diego's pension and retiree health
care obligations.
The �Commission �charges against certified public accountant Thomas J.
Saiz �and �his �firm, Calderon, Jaham & Osborn (CJO), allege that they
failed �to �comply �with generally accepted accounting standards, were
not �knowledgeable �about �San �Diego, and failed to obtain sufficient
competent evidential matter.
According �to �the �Commission's �complaint, San Diego was the seventh
largest �city �in �the �United �States in 2001 and 2002, with revenues
exceeding $1 billion per year and assets in excess of $10 billion. San
Diego's �pension �plan �had �net �assets �of �$2.5 �billion �and total
additions �to �the �plan �of �more �than �$85 �million. �CJO �was �the
independent �auditor �for �San �Diego and its pension plan in 2001 and
2002, and Saiz was sole shareholder of CJO, which had approximately 30
employees.
The �Commission's complaint alleges that Saiz and CJO drafted, subject
to �San �Diego's �review and approval, the disclosures in footnotes to
the �city's �financial �statements. �The �footnotes disclosed that San
Diego �was �under-funding �its �annual �pension �contribution but also
included �positive �statements about the city's method for funding its
pension obligations. These statements included that the city's funding
method contained a provision to ensure that the pension's funded level
would �not �drop �below �a certain level to protect the pension plan's
financial integrity; that the pension plan's actuary believed that the
city's �pension �funding �method was an excellent method for the city;
and �that �the �total amount that the city had under-funded its annual
pension �contribution, �or �net �pension �obligation, �was funded in a
reserve.
The �SEC's �complaint �alleges �that �these �statements were false and
misleading because the city's net pension obligation was not funded in
a �reserve �and, �in �2002, the pension plan had fallen below a funded
level �that �the �actuary deemed appropriate and the actuary no longer
supported �the �city's �funding �method. The complaint further alleges
that �Saiz �and �CJO �knew �or �were �reckless in not knowing that the
disclosure �was �false �and misleading as a result of information Saiz
received �from �his �audits �of �the city and its pension plan and his
review of the city's bond offering documents.
CJO �and �Saiz �also �drafted �footnotes �that disclosed that the city
provided health benefits to retirees at a cost of $7.2 million in 2001
and �$8.9 million in 2002 and that the expenses for such benefits were
recognized �as they were paid. The complaint alleges that Saiz and CJO
knew �or �were �reckless �in �not �knowing �that �this �disclosure was
misleading �because �it �failed to disclose, as Saiz and CJO knew from
auditing �the �city and its pension plan, that the retiree health care
expense �was �being �paid with earnings from the pension plan and that
the �city would soon have to begin paying this substantial expense out
of its own budget.
According �to �the �SEC's �complaint, �Saiz �and �CJO also audited San
Diego's �financial �statements and issued reports falsely stating that
the �financial �statements �were �fairly �presented in conformity with
generally �accepted �accounting �principles (GAAP) and the audits were
performed �in �accordance �with �generally accepted auditing standards
(GAAS). �Saiz �and �CJO �also consented to San Diego's including CJO's
audit �report �in its 2002 and 2003 municipal securities offerings. As
alleged ��in �the �complaint, �the �false �and �misleading �statements
regarding �the �city's �pension �obligations �were �not �presented �in
conformity with GAAP.
The �Commission's �complaint �also �alleges �that �at �the �time �they
consented �to �San �Diego's �including �the �audit �report in the 2003
offering �documents, Saiz and CJO also failed, as required by GAAS, to
inquire into the recent substantial increase in the city's obligations
to �its �pension �to determine whether the financial statements or the
audit report required revision.
Without admitting or denying the allegations in the complaint filed in
federal �district �court �in San Diego, Saiz and CJO have consented to
the entry of final judgments permanently enjoining them from 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.
Additionally, Saiz has agreed to pay a $15,000 civil penalty.
The Commission previously entered an order sanctioning the City of San
Diego �for �committing �securities fraud by failing to disclose to the
investing �public �important information about its pension and retiree
health care obligations in the sale of its municipal bonds in 2002 and
2003. �To �settle the action, the city agreed to cease and desist from
future �securities �fraud �violations �and �to �retain �an independent
consultant �for �three �years to foster compliance with its disclosure
obligations under the federal securities laws.
The �Commission's investigation is ongoing as to other individuals and
entities �that �may �have �violated �federal �securities laws. [SEC v.
THOMAS ��J. �SAIZ, �AND �CALDERON, �JAHAM �& �OSBORN, �AN �ACCOUNTANCY
CORPORATION, �Civil �Action �No. �07 �CV 2308 L (JMA) (S.D. Cal.)] LR-
20394; AAE Rel. 2755)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A �proposed rule change filed by the International Securities Exchange
(SR-ISE-2007-114) �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
December 10. (Rel. 34-56919)
A �proposed rule change filed by the American Stock Exchange to reduce
certain clearing fees (SR-Amex-2007-133) 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
December 10. (Rel. 34-56928)
A �proposed rule change (SR-NASDAQ-2007-086) filed by The NASDAQ Stock
Market �to �(1) �offer a match/compare service that Nasdaq members can
use to process step-outs and (2) allow the transfer of Rule 7002 Sales
Fees �and �similar fees of other self-regulatory organizations without
an �agreement �between �the �transferring �Nasdaq �members �when �such
transfers �are �accompanied by a transfer of the underlying shares 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 December 10. (Rel. 34-56929)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The �Commission granted accelerated approval to a proposed rule change
(SR-NYSEArca-2007-112) �filed by NYSE Arca to list and trade shares of
the �iShares S&P GSCI Commodity-Indexed Trust. Publication is expected
in �the �Federal �Register �during �the week of December 10. (Rel. 34-
56932)
APPROVAL OF PROPOSED RULE CHANGE
The �Commission �approved a proposed rule change (SR-Phlx-2007-70), as
modified �by �Amendment �No. �1 thereto, submitted by the Philadelphia
Stock �Exchange relating to Rule 1034, Minimum Increments. Publication
is �expected �in �the Federal Register during the week of December 10.
(Rel. 34-56933)
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-3 CAPITAL TRUST INC, 410 PARK AVENUE, 14TH FLOOR, NEW YORK, NY, 10022,
2126550220 - 0 ($156,350,000.00) Equity, (File 333-147954 - Dec. 10)
(BR. 08A)
S-8 REVLON INC /DE/, 237 PARK AVENUE, NEW YORK, NY, 10017, 2125274000 -
0 ($26,500,000.00) Equity, (File 333-147955 - Dec. 10) (BR. 06B)
S-8 MIDAMERICAN ENERGY HOLDINGS CO /NEW/, 666 GRAND AVE, SUITE 500,
DES MOINES, IA, 50309-2580, 515-242-4300 -
45,000,000 ($45,000,000.00) Other, (File 333-147957 - Dec. 10) (BR. 02B)
S-3 NORTHERN STATES POWER CO, 414 NICOLLET MALL, MINNEAPOLIS, MN, 55401,
6123305500 - 0 ($1,500,000,000.00) Debt, (File 333-147958 - Dec. 10)
(BR. 02C)
SB-2 Writers Group Film Corp, 518 Oak Street #2, Glendale, CA, 91204,
(818) 550-7886 - 10,000,000 ($1,500,000.00) Equity, (File 333-147959 -
Dec. 10) (BR. 05)
F-6 ASYA KATILIM BANKASI A.S., KUSBAKISI SOKAK, NO. 2, ALTUNIZADE 34662,
ISTANBUL, W8, 00000, 50,000,000 ($2,500,000.00) ADRs/ADSs,
(File 333-147960 - Dec. 10) (BR. DN)
S-8 TEXTAINER GROUP HOLDINGS LTD, CENTURY HOUSE, 16 PAR-LA-VILLE ROAD,
HAMILTON, D0, HM HX, (441) 296-2500 - 0 ($61,534,166.23) Equity,
(File 333-147961 - Dec. 10) (BR. 06C)
SB-2 GRYPHON GOLD CORP, SUITE 810 - 1130 WEST PENDER STREET, VANCOUVER, A1,
V6E 4A4, 604-261-2229 - 19,765,050 ($16,404,991.50) Equity,
(File 333-147962 - Dec. 10) (BR. 04C)
S-3ASR MARTEK BIOSCIENCES CORP, 6480 DOBBIN RD, COLUMBIA, MD, 21045,
4107400081 - 0 ($8,656,618.94) Equity, (File 333-147963 - Dec. 10)
(BR. 01B)
S-3 PRIVATE MEDIA GROUP INC, 3230 FLAMINGO ROAD, SUITE 156, LAS VEGAS, NV,
89121, 8012729370 - 0 ($1,369,103.42) Equity, (File 333-147964 -
Dec. 10) (BR. 05C)
S-3ASR ALLETE INC, 30 W SUPERIOR ST, DULUTH, MN, 55802-2093, 2182795000 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-147965 - Dec. 10)
(BR. 02B)
S-8 FONIX CORP, 9350 SOUTH 150 EAST, SUITE 700, SANDY, UT, 84070,
8015536600 - 200,000,000 ($40,000.00) Equity, (File 333-147966 -
Dec. 10) (BR. 11C)
S-8 Argo Group International Holdings, Ltd., 110 PITTS BAY ROAD, PEMBROKE,
D0, HM 08, 4412965858 - 0 ($192,450,000.00) Equity, (File 333-147967 -
Dec. 10) (BR. 01B)
S-3ASR THORNBURG MORTGAGE INC, 150 WASHINGTON AVE, SUITE 302, SANTA FE, NM,
87501, 5059891900 - 30,000,000 ($307,200,000.00) Equity,
(File 333-147968 - Dec. 10) (BR. 08C)
S-8 SWIFT ENERGY CO, 16825 NORTHCHASE DR STE 400, HOUSTON, TX, 77060,
2818742700 - 300,000 ($11,943,000.00) Equity, (File 333-147969 -
Dec. 10) (BR. 04B)
S-8 SEACHANGE INTERNATIONAL INC, 124 ACTON ST, 2ND FLOOR, MAYNARD, MA,
01754, 9788970100 - 1,300,000 ($9,607,000.00) Equity,
(File 333-147970 - Dec. 10) (BR. 11C)
S-8 HARRIS INTERACTIVE INC, 135 CORPORATE WOODS, ROCHESTER, NY, 14623-1457,
7162728400 - 500,000 ($2,010,000.00) Equity, (File 333-147971 -
Dec. 10) (BR. 08B)
S-8 HARRIS INTERACTIVE INC, 135 CORPORATE WOODS, ROCHESTER, NY, 14623-1457,
7162728400 - 92,018 ($379,114.16) Equity, (File 333-147972 - Dec. 10)
(BR. 08B)
S-8 HARRIS INTERACTIVE INC, 135 CORPORATE WOODS, ROCHESTER, NY, 14623-1457,
7162728400 - 3,000,000 ($12,060,000.00) Equity, (File 333-147974 -
Dec. 10) (BR. 08B)
S-3 KANA SOFTWARE INC, 181 CONSTITUTION DRIVE, MENLO PARK, CA, 94025,
6506148300 - 1,000,000 ($2,500,000.00) Equity, (File 333-147975 -
Dec. 10) (BR. 03C)
SB-2 ACCESS PHARMACEUTICALS INC, 2600 N STEMMONS FRWY, STE 176, DALLAS, TX,
75207, 2149055100 - 16,560,519 ($43,057,351.00) Equity,
(File 333-147976 - Dec. 10) (BR. 01B)
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
--------------------------------------------------------------------------------------------------------
ACCO BRANDS CORP DE 5.02,9.01 12/05/07
ACTIONVIEW INTERNATIONAL INC NV 5.02 12/07/07
ACURA PHARMACEUTICALS, INC NY 1.01,2.04,9.01 12/07/07
ACURA PHARMACEUTICALS, INC NY 5.05,9.01 12/07/07
Adams Respiratory Therapeutics, Inc. DE 1.01,9.01 12/10/07
ADVANCE AUTO PARTS INC DE 1.01,2.03,9.01 12/04/07
ADVANTA CORP DE 2.02,4.02 12/04/07
AFFILIATED COMPUTER SERVICES INC DE 1.01,5.02,9.01 12/07/07
AGCO CORP /DE DE 1.01,5.02,9.01 12/10/07
ALFACELL CORP DE 2.02,9.01 12/10/07
ALLERGAN INC DE 9.01 10/17/07 AMEND
ALPHARMA INC DE 5.03,9.01 12/04/07
ALSERES PHARMACEUTICALS INC /DE DE 5.02 12/06/07
AMC ENTERTAINMENT INC DE 7.01,9.01 12/10/07
AMDL INC DE 2.01,3.02,3.03,5.01,5.03,7.01, 09/27/06 AMEND
9.01
AMERICAN BANCORP OF NEW JERSEY INC NJ 5.03,9.01 11/26/07
AMERICAN BANK NOTE HOLOGRAPHICS INC DE 1.01,9.01 12/04/07
AMERICAN EAGLE OUTFITTERS INC DE 2.03,7.01,9.01 12/04/07
American Electric Technologies Inc FL 4.01,9.01 12/05/07
AMERICAN ENTERPRISE DEVELOPMENT CORP TX 5.02 09/30/07
AMERICAN FINANCIAL GROUP INC OH 8.01,9.01 12/07/07
AMERICAN RIVER BANKSHARES CA 5.02 12/07/07
AMERICAN SOFTWARE INC GA 5.03,9.01 11/19/07
AMERIWEST ENERGY CORP. NV 5.02 12/07/07
AMPEX CORP /DE/ DE 5.03,9.01 12/07/07
AMREP CORP. OK 2.02,9.01 12/07/07
ANALOG DEVICES INC MA 5.02,9.01 12/04/07
Apple REIT Eight, Inc. VA 1.01,2.01,9.01 12/06/07
APPLIED DIGITAL SOLUTIONS INC MO 3.01,5.02,9.01 12/04/07
ARIAD PHARMACEUTICALS INC DE 8.01,9.01 12/08/07
Ascend Acquisition Corp. DE 1.01,7.01,9.01 07/30/07 AMEND
ASTA FUNDING INC DE 1.01,2.03,9.01 12/07/07
ATARI INC DE 1.01,8.01,9.01 12/04/07
ATLAS MINING CO ID 5.02 12/04/07
AUTOBYTEL INC DE 5.03,9.01 12/05/07
AUTODESK INC DE 5.02,5.03,9.01 12/06/07
AVANIR PHARMACEUTICALS CA 5.02,8.01,9.01 12/04/07
AWARE INC /MA/ MA 5.03,9.01 12/06/07
BABYUNIVERSE, INC. FL 4.01 12/04/07
BAKER HUGHES INC DE 8.01 12/07/07
BALCHEM CORP MD 8.01,9.01 12/07/07
Bancroft Uranium, Inc. NV 1.01,3.02,5.02,9.01 12/05/07
Bank of the Carolinas CORP NC 8.01,9.01 12/10/07
Basin Water, Inc. DE 9.01 09/14/07 AMEND
Biodel Inc 5.02 12/04/07
Bioenergy Inc. NV 4.01 12/10/07
BON TON STORES INC PA 5.02,9.01 12/06/07
BORDERS GROUP INC MI 5.02 12/10/07
BPO Management Services DE 4.01,9.01 12/04/07
BREK ENERGY CORP NV 2.01 11/30/07
Bridgeline Software, Inc. DE 2.02,9.01 12/07/07
BUILDING MATERIALS HOLDING CORP DE 8.01,9.01 12/07/07
C-COR INC PA 5.03,9.01 12/05/07
CALYPTE BIOMEDICAL CORP DE 1.01,9.01 12/04/07
CAMCO FINANCIAL CORP DE 5.02,8.01,9.01 12/07/07
CANARGO ENERGY CORP DE 7.01,9.01 12/10/07
CANTEL MEDICAL CORP DE 2.02,9.01 12/06/07
CAPITAL SOLUTIONS I, INC. DE 1.01,2.01,3.02,5.01,5.02,5.06, 12/03/07
9.01
CAPRIUS INC DE 1.01,3.02,9.01 12/06/07
CAPSOURCE FINANCIAL INC CO 1.01,2.03,9.01 12/04/07
CARACO PHARMACEUTICAL LABORATORIES LT MI 3.02 12/05/07
CATO CORP DE 5.03,9.01 12/06/07
CB Financial CORP NC 8.01 12/07/07
CELGENE CORP /DE/ DE 8.01,9.01 12/09/07
CELGENE CORP /DE/ DE 8.01,9.01 12/09/07
CENTRAL PACIFIC FINANCIAL CORP HI 1.02 12/10/07
CHARLES & COLVARD LTD NC 1.01,9.01 12/04/07
CHEESECAKE FACTORY INC DE 5.02,5.03,8.01,9.01 12/04/07
CHEMOKINE THERAPEUTICS CORP DE 8.01,9.01 12/10/07
China Holdings, Inc. NV 1.01,9.01 11/30/07
China Natural Gas, Inc. DE 5.02 12/10/07
China Premium Lifestyle Enterprise, I NV 3.03,5.03,8.01,9.01 12/07/07
CIB MARINE BANCSHARES INC WI 7.01 12/10/07
CINCINNATI BELL INC OH 8.01 12/07/07
CINTAS CORP WA 7.01,9.01 12/03/07
CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 12/10/07
CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 12/10/07
CKE RESTAURANTS INC DE 5.03,7.01,9.01 12/04/07
CLEAR CHOICE FINANCIAL, INC. NV 4.01,9.01 12/10/07 AMEND
CNB FINANCIAL CORP/PA PA 5.02 12/07/07
CNH Equipment Trust 2007-C DE 8.01,9.01 12/10/07
COCA COLA BOTTLING CO CONSOLIDATED /D DE 5.03,9.01 12/06/07
COEUR D ALENE MINES CORP ID 1.01,8.01,9.01 12/04/07
COHERENT INC DE 3.01 12/04/07
COLLECTORS UNIVERSE INC DE 5.03,9.01 12/07/07
COMMUNITY BANCORP /VT VT 8.01,9.01 12/04/07
COMPUMED INC DE 9.01 12/10/07
Comtech Group Inc MD 5.03,9.01 12/07/07
CONCEPTUS INC DE 1.01,5.02 12/04/07
CONCUR TECHNOLOGIES INC WA 5.03,9.01 12/06/07
CONSOLIDATED MINERALS MANAGEMENT INC MT 1.02 12/07/07 AMEND
Cornerworld Corp NV 4.01,9.01 12/03/07
Corporate Property Associates 17 - Gl MD 1.01,9.01 12/07/07
COVENANT TRANSPORTATION GROUP INC NV 1.01,2.03,5.03,9.01 12/04/07
CREDIT ACCEPTANCE CORPORATION MI 8.01 12/05/07
CSX CORP VA 8.01,9.01 12/10/07
CYTOKINETICS INC 8.01,9.01 12/10/07
DAYTON SUPERIOR CORP DE 5.02 12/10/07
DG FastChannel, Inc DE 1.01,9.01 11/02/07
Diamond Foods Inc DE 2.02,9.01 12/10/07
DIGITAL ALLY INC 3.01,5.03,8.01,9.01 12/05/07
DIVERSIFIED THERMAL SOLUTIONS INC NV 5.02 12/04/07
DOMINION HOMES INC OH 1.01,1.02,9.01 11/30/07
DTE ENERGY CO MI 7.01,9.01 12/10/07
E PRIME AEROSPACE CORP CO 8.01,9.01 11/14/07
EAGLE ROCK ENERGY PARTNERS L P DE 7.01 12/10/07
Eddie Bauer Holdings, Inc. DE 1.01,2.01 12/04/07
EDO CORP NY 8.01 12/07/07
EDO CORP NY 8.01,9.01 12/10/07
EESTech, Inc. 2.01 07/25/07 AMEND
Elite Artz, Inc NV 5.02 12/04/07
EMPIRE DISTRICT ELECTRIC CO KS 8.01 12/09/07
Energy Transfer Equity, L.P. DE 5.02 12/05/07
Energy Transfer Partners, L.P. DE 5.02 12/05/07
ENGLOBAL CORP NV 8.01,9.01 12/06/07
ENOVA SYSTEMS INC CA 5.02,5.03,9.01 12/04/07
EQUITABLE RESOURCES INC /PA/ PA 5.03,9.01 12/05/07
ESSEX PORTFOLIO LP CA 1.01 12/04/07
ESSEX PROPERTY TRUST INC MD 1.01,5.03,9.01 12/04/07
EVOLUTION PETROLEUM CORP NV 1.01,5.02,9.01 12/04/07
EXACTECH INC FL 1.01,7.01,9.01 12/07/07
EXAR CORP DE 5.02,5.03,9.01 12/04/07
Expedition Leasing,Inc. 1.01,2.01,3.02,5.01,5.02,5.06, 12/07/07
9.01
FINLAY ENTERPRISES INC /DE DE 5.03,9.01 12/04/07
FINLAY FINE JEWELRY CORP DE 5.03,9.01 12/04/07
FIRST NATIONAL CORP /VA/ 5.02 12/03/07
FOLDERA, INC 1.01,2.03,3.02,9.01 12/07/07
Fortunet, Inc. NV 5.02,9.01 12/07/07
FRANKLIN TOWERS ENTERPRISES INC 3.02 12/10/07
FULLCIRCLE REGISTRY INC NV 5.02 12/10/07
GENE LOGIC INC DE 5.02 12/04/07
Genemen Inc. 4.01 12/10/07
GENESCO INC TN 2.02,9.01 12/10/07
GENESIS ENERGY LP DE 1.01,9.01 12/04/07
GENTA INC DE/ DE 8.01,9.01 12/10/07
GLOBAL FOOD TECHNOLOGIES, INC. DE 4.01,9.01 12/06/07
GLOBAL GREEN SOLUTIONS INC. 3.02 12/10/07
GOODRICH PETROLEUM CORP DE 1.01,8.01,9.01 12/04/07
GRACO INC MN 5.02,9.01 12/07/07
GREAT PLAINS ENERGY INC MO 8.01 12/10/07
GREAT WEST GOLD, INC. WY 8.01,9.01 12/10/07
Grosvenor Explorations Inc. NV 5.02 12/10/07
GTSI CORP DE 1.01,9.01 12/05/07
HANOVER CAPITAL MORTGAGE HOLDINGS INC MD 1.01,9.01 11/04/07
HANOVER CAPITAL MORTGAGE HOLDINGS INC MD 8.01 12/06/07
HAYES LEMMERZ INTERNATIONAL INC DE 2.02,7.01,9.01 12/10/07
HC Innovations, Inc. DE 1.01,2.03,3.02,9.01 12/05/07
HEARTLAND EXPRESS INC NV 8.01,9.01 12/10/07
HEMISPHERX BIOPHARMA INC DE 1.02 12/10/07
HERLEY INDUSTRIES INC /NEW DE 2.02,9.01 12/06/07
HI TECH PHARMACAL CO INC NY 2.02 12/07/07
HIGHLANDS BANKSHARES INC /VA/ VA 2.04 12/07/07
HOLLIS EDEN PHARMACEUTICALS INC /DE/ DE 5.02,5.03,9.01 12/07/07
HOLOGIC INC DE 1.01,2.03,8.01,9.01 12/04/07
IBIS TECHNOLOGY CORP MA 5.02,9.01 12/07/07
IDT CORP DE 2.02,9.01 12/10/07
IMAGEWARE SYSTEMS INC DE 1.01 12/06/07
IMMTECH PHARMACEUTICALS, INC. DE 1.01 12/05/07
INFINITY CAPITAL GROUP, INC. NV 1.01,9.01 12/07/07
INFOCUS CORP OR 5.02,9.01 12/10/07
INHIBITEX, INC. 5.03 12/06/07
INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01 12/10/07
INNOSPEC INC. DE 5.02 12/07/07
INSMED INC VA 5.02,9.01 12/06/07
INTEGRAL SYSTEMS INC /MD/ MD 2.02,9.01 12/10/07
INTUITIVE SURGICAL INC DE 1.01 12/07/07
INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 12/10/07
IPARTY CORP DE 5.03,9.01 12/05/07
ISCO INTERNATIONAL INC DE 7.01,9.01 12/10/07
JACOBS FINANCIAL GROUP, INC. DE 1.01 12/05/07
K SWISS INC DE 5.03,9.01 12/07/07
KELLOGG CO DE 5.02 12/07/07 AMEND
KINGLAKE RESOURCES INC. NV 8.01 12/10/07
KNOLL INC DE 5.02,5.03,9.01 12/04/07
KOSAN BIOSCIENCES INC CA 8.01,9.01 12/07/07
KOSAN BIOSCIENCES INC CA 5.02,9.01 12/04/07
LANCE INC NC 8.01,9.01 12/07/07
LATTICE SEMICONDUCTOR CORP DE 5.02,9.01 12/04/07
LCC INTERNATIONAL INC DE 2.02,9.01 12/06/07
Legacy Bancorp, Inc. DE 7.01,9.01 12/07/07
LEHMAN ABS CORP CORP BACKED TRUST CER DE 8.01,9.01 12/01/07
LEHMAN ABS CORP CORPORATE BACKED TRUS DE 8.01,9.01 12/01/07
LEHMAN ABS CORP NEWS AMERICA DEBENTUR DE 8.01,9.01 12/01/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 12/05/07
LIGHTING SCIENCE GROUP CORP DE 7.01,9.01 12/06/07
LIGHTING SCIENCE GROUP CORP DE 9.01 10/04/07 AMEND
LIQUIDITY SERVICES INC 5.02 12/04/07
LONG-E INTERNATIONAL, INC. UT 4.02,9.01 12/04/07
MACROVISION CORP DE 8.01,9.01 12/07/07
MACROVISION CORP DE 1.01,8.01,9.01 12/06/07
MAKEMUSIC, INC. MN 5.02,5.03,9.01 12/06/07
MARCHEX INC DE 5.03,9.01 12/06/07
Marquee Holdings Inc. DE 7.01,9.01 12/10/07
MARTHA STEWART LIVING OMNIMEDIA INC DE 8.01,9.01 12/10/07
MCCORMICK & CO INC MD 8.01,9.01 12/04/07
MCDONALDS CORP DE 7.01,9.01 12/10/07
MCGRAW-HILL COMPANIES INC NY 5.02 12/10/07
Measurement Specialties Inc NJ 1.01,2.03,9.01 12/10/07
MEDAREX INC NJ 8.01,9.01 12/10/07
MEDIA SCIENCES INTERNATIONAL INC 8.01 12/10/07
MEGA MEDIA GROUP INC NV 3.02,9.01 12/03/07
MICHAEL FOODS INC/NEW DE 5.02,9.01 12/10/07
MILESTONE SCIENTIFIC INC/NJ DE 5.02 12/06/07
Millennium India Acquisition CO Inc. DE 3.01,9.01 12/03/07
MOLINA HEALTHCARE INC DE 8.01,9.01 12/10/07
Monogram Biosciences, Inc. DE 5.03,9.01 12/06/07
MONTPELIER RE HOLDINGS LTD D0 1.01,9.01 12/06/07
MPC CORP CO 7.01,9.01 12/10/07
MPC CORP CO 2.01,9.01 10/01/07 AMEND
MPC CORP CO 2.01,9.01 10/01/07 AMEND
MSB FINANCIAL CORP. X1 8.01 12/10/07
MYERS INDUSTRIES INC OH 1.01,9.01 12/10/07
NABI BIOPHARMACEUTICALS DE 1.01,2.01,9.01 12/04/07
NAPSTER INC DE 5.02,7.01,9.01 12/05/07
NASB FINANCIAL INC MO 2.02 09/30/07
NATIONAL HEALTH INVESTORS INC MD 8.01 12/10/07
NAVISITE INC DE 2.02,9.01 12/10/07
NETWORK EQUIPMENT TECHNOLOGIES INC DE 2.01,3.02,7.01,9.01 12/04/07
NEUROCRINE BIOSCIENCES INC CA 1.01,1.02,9.01 12/04/07
NEW FRONTIER MEDIA INC CO 8.01 12/10/07
NEWTEK BUSINESS SERVICES INC NY 8.01 12/07/07
NEXUS NANO ELECTRONICS, INC. FL 1.01,2.01,9.01 11/30/07
NNN Apartment REIT, Inc. MD 5.03,9.01 12/10/07
NNN Healthcare/Office REIT, Inc. MD 5.03,9.01 12/10/07
NORTH PITTSBURGH SYSTEMS INC PA 8.01,9.01 12/10/07
NOVASTAR FINANCIAL INC MD 1.01,9.01 12/07/07
NOVAVAX INC DE 8.01,9.01 12/10/07
NTS MORTGAGE INCOME FUND DE 7.01,9.01 12/10/07
NUCOR CORP DE 5.02,9.01 12/10/07
NYMAGIC INC NY 7.01 12/10/07
ODYSSEY RE HOLDINGS CORP DE 5.03 12/06/07
Omagine, Inc. DE 7.01 12/06/07
Opexa Therapeutics, Inc. TX 3.01 12/04/07
Orbitz Worldwide, Inc. DE 5.02,9.01 12/10/07
ORIENT EXPRESS HOTELS LTD 1.01,8.01,9.01 12/10/07
ORION HEALTHCORP INC DE 2.03,3.03,5.03,8.01,9.01 12/10/07
OSCIENT PHARMACEUTICALS CORP MA 5.02,9.01 12/05/07
Ottawa Savings Bancorp, Inc. X1 8.01 12/10/07
Owens Corning DE 5.02,9.01 12/06/07
PACCAR INC DE 5.02,9.01 12/04/07
PANACOS PHARMACEUTICALS, INC. DE 8.01,9.01 12/10/07
PEOPLES COMMUNITY BANCORP INC /MD/ MD 8.01,9.01 12/07/07
PEOPLES FINANCIAL CORP /MS/ MS 8.01,9.01 12/10/07
PETROLEUM DEVELOPMENT CORP NV 7.01,9.01 12/10/07
PHARMACYCLICS INC DE 8.01,9.01 12/10/07
PHOENIX COMPANIES INC/DE DE 7.01,9.01 12/10/07
PIONEER DRILLING CO TX 5.03,9.01 12/07/07
PRINCETON REVIEW INC DE 5.02,9.01 12/10/07
PROTECTIVE LIFE INSURANCE CO TN 9.01 12/06/07
PURE BIOFUELS CORP NV 1.01,2.01,3.02,8.01,9.01 12/04/07
QUEST RESOURCE CORP NV 5.02 12/04/07
RAIT Financial Trust MD 5.02 12/07/07
RANGE RESOURCES CORP DE 1.01,7.01,9.01 12/05/07
RASER TECHNOLOGIES INC UT 1.01,9.01 12/07/07
REGIONS FINANCIAL CORP DE 8.01,9.01 12/10/07
RELM WIRELESS CORP NV 1.01,1.02,2.03,9.01 12/06/07
REPLIDYNE INC DE 7.01,9.01 12/10/07
REPUBLIC AIRWAYS HOLDINGS INC DE 5.03,9.01 12/06/07
RESTORATION HARDWARE INC CA 2.02,9.01 12/10/07
RESTORATION HARDWARE INC CA 8.01,9.01 12/07/07
REVLON INC /DE/ DE 5.03,9.01 12/10/07
RIO VISTA ENERGY PARTNERS LP DE 1.01,2.03,8.01,9.01 12/04/07
ROCKWELL AUTOMATION INC DE 5.02 12/05/07
ROCKWELL AUTOMATION INC DE 5.02 12/04/07
SAIC, Inc. DE 2.02,9.01 12/10/07
SEA CONTAINERS LTD /NY/ 8.01,9.01 12/06/07
Security Capital Assurance Ltd D0 8.01 12/07/07
SHELLS SEAFOOD RESTAURANTS INC DE 1.01,9.01 12/10/07
SHOE PAVILION INC DE 4.01 12/07/07
SIRONA DENTAL SYSTEMS, INC. DE 5.03,9.01 12/04/07
SMITH INTERNATIONAL INC DE 5.02 12/04/07
SOUTHERN CONNECTICUT BANCORP INC CT 5.02,9.01 12/10/07
SOUTHERN STAR ENERGY INC. NV 1.01,3.02,9.01 11/22/07
SPACEDEV, INC. CO 1.01,3.02,9.01 12/07/07
SPARE BACKUP, INC. DE 8.01 11/30/07
ST JUDE MEDICAL INC MN 5.02,9.01 12/06/07
STEINER LEISURE LTD C5 5.02 12/04/07
STERLING CONSTRUCTION CO INC DE 9.01 10/31/07 AMEND
STRYKER CORP MI 1.01,5.02,9.01 12/05/07
SUMMIT FINANCIAL GROUP INC WV 1.01,1.02,9.01 12/05/07
SUNCOM WIRELESS HOLDINGS, INC. 8.01,9.01 12/10/07
Sunrise Mining CORP NV 4.01 12/10/07
SVI Media, Inc. NV 1.03,5.02 12/07/07
SYNOPSYS INC DE 5.02,5.03,9.01 12/04/07
TARGACEPT INC 8.01,9.01 12/10/07
TELEFLEX INC DE 2.01,9.01 10/01/07 AMEND
TESSERA TECHNOLOGIES INC DE 7.01,9.01 12/10/07
TEXAS INSTRUMENTS INC DE 7.01,9.01 12/10/07
THAXTON GROUP INC SC 8.01,9.01 12/04/07
TomoTherapy Inc 8.01,9.01 12/10/07
TomoTherapy Inc 5.02,9.01 12/06/07
TOREADOR RESOURCES CORP TX 7.01,9.01 12/06/07
TRANSOCEAN INC E9 1.01,2.03,8.01,9.01 12/04/07
TURBOCHEF TECHNOLOGIES INC DE 5.02,9.01 12/07/07
TUTOGEN MEDICAL INC FL 2.02,9.01 12/10/07
U S PRECIOUS METALS INC DE 5.02 11/06/07
U.S. Helicopter CORP DE 1.01,3.02,5.02,5.03 12/04/07
UNION PACIFIC CORP UT 8.01,9.01 12/10/07
UNION PACIFIC RAILROAD CO/DE DE 8.01,9.01 12/10/07
UNIPROP MANUFACTURED HOUSING COMMUNIT MI 8.01 12/07/07
UNITED PAN AM FINANCIAL CORP CA 5.02 12/05/07
UNITED RENTALS INC /DE DE 8.01,9.01 12/10/07
UNITED STATES STEEL CORP DE 1.01,2.03,9.01 12/10/07
UNIVERSAL HEALTH SERVICES INC DE 8.01,9.01 12/07/07
VAIL RESORTS INC DE 2.02,9.01 12/10/07
VCG HOLDING CORP CO 2.03,9.01 12/04/07
VERIDIEN CORP DE 7.01,9.01 12/10/07
Village Bank & Trust Financial Corp. 5.03,9.01 11/27/07
VION PHARMACEUTICALS INC DE 8.01,9.01 12/10/07
Volcano CORP DE 1.01,9.01 12/07/07
WASHINGTON MUTUAL, INC WA 2.05,2.06,9.01 12/10/07
WASHINGTON REAL ESTATE INVESTMENT TRU MD 2.01,9.01 12/04/07
WCI COMMUNITIES INC 1.01,9.01 12/07/07
WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 12/04/07
WELLS FARGO & CO/MN DE 9.01 12/10/07
WENDYS INTERNATIONAL INC OH 7.01,9.01 12/10/07
WENDYS INTERNATIONAL INC OH 7.01,9.01 12/10/07
Western Refining, Inc. DE 8.01,9.01 12/07/07
WILEY JOHN & SONS, INC. NY 7.01 10/31/07
Williams Partners L.P. 1.01,8.01,9.01 12/05/07
X-CHANGE CORP NV 1.01,3.02,7.01,9.01 12/04/07
X-CHANGE CORP NV 5.02,7.01,9.01 12/04/07
X-CHANGE CORP NV 5.02,7.01,9.01 12/04/07
XPLORE TECHNOLOGIES CORP DE 4.01,9.01 12/07/07
YRC WORLDWIDE INC DE 1.01,9.01 12/07/07
ZION OIL & GAS INC DE 5.02,5.05,9.01 12/04/07
http://www.sec.gov/news/digest/2007/dig121107.htm
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