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SEC NEWS DIGEST
Issue 2007-209 October 30, 2007
COMMISSION ANNOUNCEMENTS
SEC, �FINRA �LAUNCH NEW INITIATIVE TO ASSIST CHIEF COMPLIANCE OFFICERS
AT BROKER-DEALER FIRMS
The �Securities �and �Exchange �Commission �and the Financial Industry
Regulatory �Authority �(FINRA) �today �announced �a �new initiative to
further promote strong compliance practices at broker-dealer firms for
the protection of investors.
Similar �to �the �SEC's �ongoing �CCOutreach �Program �for �investment
advisers ��and �investment �company �chief �compliance �officers, �the
CCOutreach ��BD �program �will �help �broker-dealer �chief �compliance
officers (CCOs) ensure effective communication about compliance risks,
maintain �effective �compliance controls, and foster strong compliance
programs within their firms.
"This �is �an �opportunity �for broker-dealers and their regulators to
learn �from �one �another about how best to ensure compliance with the
securities laws," said SEC Chairman Christopher Cox.
FINRA �CEO �Mary L. Schapiro said, "Through its education and training
programs, FINRA devotes considerable resources to compliance education
- �not just for compliance officers, but for broker-dealers' frontline
staff �as �well. �This �new �CCOutreach �program will provide a unique
opportunity �for �compliance �chiefs �across �the �country �to discuss
priority topics directly with regulators - and they can participate in
shaping the agenda for those discussions themselves."
The �SEC's �Office �of �Compliance �Inspections �and �Examinations, in
coordination �with the Division of Market Regulation, will sponsor the
CCOutreach �BD program together with FINRA. The program will feature a
National �Seminar at SEC headquarters in Washington, D.C., tentatively
scheduled �for �March �2008, �as �well as regional compliance seminars
across �the �country. �These meetings will provide the opportunity for
open ���discussions �on �effective �compliance �practices �and �timely
compliance issues in ever-changing markets.
To �ensure that the National Seminar includes the compliance topics of
most �interest to broker-dealer CCOs, the SEC and FINRA are soliciting
input �from �CCOs �on �topics �of interest. A list of potential agenda
items �for �the �National �Seminar may be found on the SEC Web site at
http://www.sec.gov/info/bdccoutreach.htm �and on the FINRA Web site at
www.finra.org/bdccoutreach. �Detailed �information �about the National
Seminar �and �regional seminars also will be posted on those Web pages
as it becomes available.
Please �note: �Registration �for �the �CCOutreach National Seminar for
broker-dealer �CCOs, tentatively scheduled for March 2008, has not yet
commenced. �Information concerning the CCOutreach National Seminar for
investment adviser/investment company CCOs on Nov. 14, 2007, is on the
SEC's �Web site at http://www.sec.gov/info/ccoutreach.htm. (Press Rel.
2007-223)
COMMISSION MEETINGS
CLOSED MEETING - THURSDAY, NOVEMBER 8, 2007 - 2:00 P.M.
The �subject matter of the closed meeting scheduled for Thursday, Nov.
8, �2007, �will �be: �Formal �orders of investigation; Institution and
settlement �of �injunctive �actions; �Institution �and �settlement �of
administrative �proceedings �of �an �enforcement �nature; Adjudicatory
matters; ��Resolution ��of ��litigation ��claims; ��Collection matter;
Regulatory matter regarding a financial institution; and Other matters
related to enforcement actions.
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 FN ESTATE, INC. FOR
FAILURE ��TO �MAKE �REQUIRED �PERIODIC �FILINGS �
On �October �30, �the Commission �revoked �the �registration �of �each
class �of �registered �securities �of �FN Estate, Inc. (FN Estate) 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, FN �Estate �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 �FN �Estate, 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 �FN �Estate's �securities pursuant to Section 12(j) of
the �Exchange �Act. �This order settled the charges brought against FN
Estate in In the Matter of Austrian Trading Services, �Inc., �et �al.,
Administrative Proceeding File No. 3-12800.
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 Austrian Trading
Services, �Inc., �et �al., Administrative Proceeding File No. 3-12800,
Exchange �Act Release No. 56441 (Sept. 14, 2007). (Rel. 34-56720; File
No. 3-12800)
SEC �FILES �INSIDER �TRADING �ACTION AGAINST FORMER VPs OF COUNTRYWIDE
FINANCIAL CORP.
On October 29, the Commission filed insider trading charges in federal
district court �in �Los �Angeles, �Calif. �against �a �former vice
president of Countrywide �Financial �Corp. �The Commission's complaint
alleges that Quan Zhu, age 43, of Santa Monica, Calif., traded in
Countrywide stock while �aware �of �confidential �negative �earnings
information and in breach �of his fiduciary duty to Countrywide. Zhu
agreed to settle the charges, without admitting or denying the
allegations, by repaying his ill-gotten �trading �profits �and �paying
a monetary penalty twice the amount, for a total of approximately
$108,840.
On �Oct. �20, 2004, Countrywide issued a press release announcing that
its third quarter earnings per share were $0.94, compared to $1.93 the
year �before. �That �day, �Countrywide's �stock �price �fell 11.5% and
trading volume increased 307%. The Commission's complaint alleges that
by mid-October 2004, Alan Cao, a vice president of financial planning,
tipped Zhu with material, nonpublic information that Countrywide would
fall �short �of �the �Wall Street analysts' consensus estimate for the
third quarter earnings.
After �receiving �that �insider �information and beginning on Oct. 15,
2004, �Zhu �sold �shares of Countrywide stock already owned, purchased
Countrywide �put �options, �and �sold �short �Countrywide stock in his
wife's �brokerage �account. �A few hours after the October 20 earnings
announcement, �after �Countrywide's �stock �price �had �declined, �Zhu
purchased Countrywide stock to cover the shares he sold short and sold
the put options which he had purchased. Zhu's insider trading resulted
in total profit and losses avoided of $35,547.93
To �settle �the �Commission's charges, Zhu consented to the entry of a
final judgment permanently enjoining him from future violations of the
antifraud �provisions �of �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. �Zhu �agreed �to �pay $35,547.93 in disgorgement of his
illegal �trading �profits, �prejudgment �interest �of $2,196.33, and a
civil �money penalty of $71,095.86. [SEC v. Quan Zhu, Civil Action No.
CV 07-07033 ODW (JTLx) (C.D. Cal.)] (LR-20348)
SEC �OBTAINS �TRO �AND �ASSET �FREEZE �AGAINST �FOREIGN �DEFENDANT FOR
UNLAWFUL �TRADING �
On �October �29, �the �Commission �filed �a �complaint �and obtained a
temporary ��restraining �order, �asset �freeze, �and �other �emergency
relief ��against ��Oleksandr ��Dorozhko, ��a ��Ukrainian �citizen. The
Commission's �complaint �alleges �that �Dorozhko �engaged �in unlawful
trading �in �the �securities �of �IMS Health Incorporated. The Court's
Order, �among �other �things, temporarily bars Dorozhko from violating
the �antifraud �provisions �of the federal securities laws and freezes
Dorozhko's ��assets �held �in �the �United �States.
The ��Commission's �complaint �seeks �a �permanent �injunction, �civil
money ���penalties, �an �accounting, �and �disgorgement �of �all �ill-
gotten �gains realized by Dorozhko �plus prejudgment interest. [SEC v.
Oleksandr �Dorozhko, �Civil �Action �No. �07-CV-9606, �NRB, SDNY] (LR-
20349)
COURT �ORDERS CIVIL PENALTY, �INJUNCTIONS �AGAINST �CORPORATE ATTORNEY
WHO SUBMITTED FALSE FILINGS TO COMMISSION
The Commission announced that on October 25, the U.S. �District �Court
for �the �Southern �District �of �New York issued a Decision and Order
finding ���Defendant �Moneesh �K. �Bakshi, �former �corporate �counsel
to �Ramoil �Management Ltd., liable for securities fraud �for �having
submitted �false �and �misleading �documents �to �the �Commission. The
Court �found �Bakshi �violated �the federal securities laws, and aided
and �abetted �Ramoil's �violation �of �the �securities �laws, �by �(1)
submitting �a �false and misleading Form10-KSB for the year ended Dec.
31, �1999, �which included a phony audit opinion; and (2) filing four
false �and misleading Forms S-8, which fraudulently purported to issue
shares ���of �Ramoil �stock �to �four �offshore �consulting �firms �in
exchange �for �non-existent �"consulting services," and included false
attorney �opinion �letters �by Bakshi. These filings were available to
public �investors �on �the �Commission's �EDGAR database. Based on the
above, �the �Court �enjoined �Bakshi him from future violations of the
securities �laws, �and ordered him to pay a $100,000 civil penalty. In
addition, �the �Court enjoined Bakshi from representing clients before
the �Commission �and filing any documents with the Commission. [SEC v.
RAMOIL �MANAGEMENT �LTD. �ET �AL., Case No. 01 CIV 9057 (SC) S.D.N.Y.]
(LR-20350; AAE Rel. 2748)
INVESTMENT COMPANY ACT RELEASES
JNF �ADVISORS, �INC. �AND �NORTHERN LIGHTS VARIABLE TRUST
An order has been issued on an application filed by JNF Advisors, Inc.
and Northern Lights �Variable �Trust exempting applicants from Section
15(a) �of the Investment Company Act and Rule 18f-2 under the Act. The
order ��permits ��the ��applicants ��to ��enter ��into �and materially
amend �subadvisory �agreements without shareholder approval and grants
relief �from certain disclosure requirements. (Rel. IC-28038 - October
29)
SELF-REGULATORY ORGANIZATIONS
ACCELERATED �APPROVAL �OF �PROPOSED RULE CHANGE
The �Commission �granted �accelerated �approval �to �a �proposed �rule
change �filed by the Chicago Board Options Exchange (SR-CBOE-2007-119)
relating to the criteria for securities �that �underlie options traded
on �the �Exchange. �Publication �is �expected �in the Federal Register
during the week of October 29. (Rel. 34-56715)
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.
SB-2 Aurum Explorations, Inc., 10431 CAITHCART ROAD, RICHMOND, A1, V6X 1N3,
(603) 247-0372 - 3,360,000 ($168,000.00) Equity, (File 333-146976 -
Oct. 29) (BR. 04)
S-3 RADISYS CORP, 5445 NE DAWSON CREEK DR, HILLSBORO, OR, 97124,
5036461800 - 0 ($150,000,000.00) Other, (File 333-146977 - Oct. 29)
(BR. 03C)
S-1 ENERNOC INC, 75 FEDERAL STREET, SUITE 300, BOSTON, MA, 02110,
(617) 224-9900 - 0 ($204,999,000.00) Equity, (File 333-146978 -
Oct. 29) (BR. 03)
S-3ASR AbitibiBowater Inc., 1155 METCALF STREET, SUITE 800, MONTREAL, A8,
H3B 5H2, 514-875-2160 - 0 ($22,475,247.00) Equity, (File 333-146979 -
Oct. 29) (BR. 09)
S-3ASR CHAMPION ENTERPRISES INC, 2701 CAMBRIDGE COURT, STE 300, AUBURN HILLS,
MI, 48326, 2483409090 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-146980 - Oct. 29) (BR. 06C)
S-3ASR MCGRAW-HILL COMPANIES INC, 1221 AVENUE OF THE AMERICAS, NEW YORK, NY,
10020, 2125122000 - 0 ($0.00) Non-Convertible Debt, (File 333-146981 -
Oct. 29) (BR. 05A)
S-8 AbitibiBowater Inc., 1155 METCALF STREET, SUITE 800, MONTREAL, A8,
H3B 5H2, 514-875-2160 - 0 ($233,427,541.00) Equity, (File 333-146982 -
Oct. 29) (BR. 09)
S-3ASR COCA COLA CO, ONE COCA COLA PLAZA, ATLANTA, GA, 30313, 404-676-2121 -
0 ($0.00) Equity, (File 333-146983 - Oct. 29) (BR. 09A)
S-8 SARATOGA RESOURCES INC /TX, 301 CONGRESS AVENUE, SUITE 1550, AUSTIN,
TX, 78701, 5124785717 - 1,325,000 ($927,500.00) Equity,
(File 333-146985 - Oct. 29) (BR. 04A)
SB-2 Sound Worldwide Holdings, Inc., THE GALLERIA, 2 BRIDGE AVENUE,
RED BANK, NJ, 07701, (732) 530-9007 - 2,331,950 ($1,165,975.00) Equity,
(File 333-146986 - Oct. 29) (BR. 09)
S-3 GULFPORT ENERGY CORP, 14313 NORTH MAY AVENUE, SUITE 100, OKLAHOMA CITY,
OK, 73134, 4058488807 -
0 ($379,155,593.20) Unallocated (Universal) Shelf, (File 333-146988 -
Oct. 29) (BR. 04C)
S-8 OPPENHEIMER HOLDINGS INC, SUITE 1110, P.O. BOX 2015,
20 EGLINTON AVE. WEST, TORONTO, A6, M4R 1K8, (416)322-1515 -
800,000 ($33,200,000.00) Equity, (File 333-146989 - Oct. 29) (BR. 08A)
S-8 OPPENHEIMER HOLDINGS INC, SUITE 1110, P.O. BOX 2015,
20 EGLINTON AVE. WEST, TORONTO, A6, M4R 1K8, (416)322-1515 -
10,000 ($415,000.00) Equity, (File 333-146990 - Oct. 29) (BR. 08A)
S-8 WESTSIDE ENERGY CORP, 3131 TURTLE CREEK BLVD., SUITE 1300, DALLAS, TX,
75219, 2145228990 - 2,000,000 ($5,460,000.00) Equity,
(File 333-146992 - Oct. 29) (BR. 04B)
S-3 BEAR STEARNS COMMERCIAL MORTGAGE SECURITIES INC, 245 PARK AVE,
NEW YORK, NY, 10167, 2122722000 -
0 ($20,868,920,195.43) Mortgage Backed Securities, (File 333-146993 -
Oct. 29) (BR. 05D)
S-8 Amiworld, Inc., 60 E. 42ND STREET, SUITE 1225, NEW YORK, NY, 10165,
212-557-0223 - 1,500,000 ($1,500,000.00) Equity, (File 333-146994 -
Oct. 29) (BR. 06A)
S-3 MMC ENERGY, INC., 26 BROADWAY,, SUITE 907, NEW YORK, NY, 10004,
(212) 977-0900 - 409,708 ($1,575,328.00) Equity, (File 333-146995 -
Oct. 29) (BR. 02B)
S-8 Metavante Holding CO, 4900 WEST BROWN DEER ROAD, MILWAUKEE, WI, 53223,
(414) 357-2290 - 0 ($247,676,000.00) Equity, (File 333-146996 -
Oct. 29) (BR. 07)
SB-2 Tiger Ethanol International Inc., 6600, TRANS-CANADA, SUITE 519,
POINTE-CLAIRE, A8, H9R 4S2, (514) 771-3795 -
9,500,000 ($23,310,000.00) Equity, (File 333-146997 - Oct. 29) (BR. 06B)
S-8 TIVO INC, 2160 GOLD STREET, PO BOX 2160, ALVISO, CA, 95002,
408-519-9100 - 13,100,000 ($93,534,000.00) Equity, (File 333-146998 -
Oct. 29) (BR. 11C)
S-4 RURAL CELLULAR CORP, 3905 DAKOTA ST SW, P O BOX 2000, ALEXANDRIA, MN,
56308, 3207622000 - 0 ($425,000,000.00) Other, (File 333-146999 -
Oct. 29) (BR. 11C)
S-3 Ascent Solar Technologies, Inc., 8120 SHAFFER PARKWAY, LITTLETON, CO,
80127, 303 420 1141 - 0 ($135,200.00) Equity, (File 333-147000 -
Oct. 29) (BR. 10A)
F-3 Double Hull Tankers, Inc., 26 NEW STREET,
ST. HELIER, JERSEY, CHANNEL IS, X0, JE23RA, 00 44 1534 639759 -
0 ($200,000,000.00) Unallocated (Universal) Shelf, (File 333-147001 -
Oct. 29) (BR. 05A)
S-8 ADC TELECOMMUNICATIONS INC, 13625 TECHNOLOGY DRIVE, EDEN PRAIRIE, MN,
55344, 9529388080 - 0 ($88,379,132.00) Equity, (File 333-147002 -
Oct. 29) (BR. 11B)
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
------------------------------------------------------------------------------------------------------
21ST CENTURY HOLDING CO FL 5.02 10/23/07
ACCURIDE CORP DE 1.01,5.02,9.01 10/25/07
ACME COMMUNICATIONS INC DE 2.02,9.01 10/25/07
ACTIVANT SOLUTIONS INC /DE/ DE 9.01 08/17/07 AMEND
ACTUATE CORP DE 2.02,9.01 10/29/07
ACXIOM CORP DE 8.01,9.01 10/29/07
ADAM INC GA 5.02 10/29/07
ADC TELECOMMUNICATIONS INC MN 5.02 10/23/07
ADVANCED ANALOGIC TECHNOLOGIES INC DE 2.02,9.01 10/29/07
ADVANCED ENERGY INDUSTRIES INC DE 5.02 10/24/07
AEROCENTURY CORP DE 5.02 10/26/07
AGCO CORP /DE DE 5.03,9.01 10/29/07
Agfeed Industries, Inc NV 2.02 10/29/07
AHERN RENTALS INC 1.01,9.01 10/24/07
AKORN INC LA 1.01,2.03,9.01 10/23/07
Alberto-Culver CO DE 2.02,2.05,2.06,9.01 10/25/07
Alliance Holdings GP, L.P. DE 2.02,9.01 10/29/07
ALLIANCE RESOURCE PARTNERS LP DE 2.02,9.01 10/29/07
ALLTEL CORP DE 8.01,9.01 10/29/07
Alon USA Energy, Inc. DE 2.02 10/29/07
Altus Pharmaceuticals Inc. DE 1.01,1.02,5.02 10/26/07
AMEDISYS INC DE 1.01,9.01 10/24/07
AMERICAN BANK NOTE HOLOGRAPHICS INC DE 2.01,8.01,9.01 10/23/07
AMERICAN ITALIAN PASTA CO DE 1.01,8.01,9.01 10/26/07
AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 1.01,2.02,9.01 10/29/07
American Railcar Industries, Inc./DE DE 5.02 10/23/07
AMERICAN SUPERCONDUCTOR CORP /DE/ DE 5.03,9.01 10/26/07
ANNALY CAPITAL MANAGEMENT INC MD 2.02,9.01 10/29/07
ARI NETWORK SERVICES INC /WI WI 2.02,9.01 10/29/07
ASHLAND INC. KY 2.02,9.01 10/29/07
ASHLAND INC. KY 7.01,9.01 10/29/07
Asia Automotive Acquisition Corp. DE 5.01 10/29/07
Aslahan Enterprises Ltd. NV 1.01,3.03,5.02,8.01,9.01 10/22/07
ASV INC /MN/ MN 5.03,9.01 10/23/07
ATHEROS COMMUNICATIONS INC DE 2.02,9.01 10/29/07
ATS CORP DE 1.01,9.01 10/25/07
Aurora Oil & Gas CORP UT 5.02,9.01 10/24/07
AUTHENTEC INC DE 2.02,9.01 10/29/07
AVIATION UPGRADE TECHNOLOGIES INC 1.01,7.01,9.01 10/26/07
BALDOR ELECTRIC CO MO 2.02,9.01 10/25/07
BANCTRUST FINANCIAL GROUP INC AL 2.02,9.01 10/25/07
BANK HOLDINGS NV 2.02 10/23/07
BENCHMARK ELECTRONICS INC TX 2.02,9.01 10/25/07
Benjamin Franklin Bancorp, Inc. MA 2.02,8.01,9.01 10/25/07
BERKSHIRE HILLS BANCORP INC 5.03,9.01 10/25/07
BIMINI CAPITAL MANAGEMENT, INC. MD 3.01,7.01,9.01 10/29/07
Boardwalk Pipeline Partners, LP DE 2.02,9.01 10/29/07
BODYTEL SCIENTIFIC INC. NV 8.01,9.01 10/29/07
BOOKHAM, INC. DE 5.02 10/23/07
BOSTON BEER CO INC MA 1.01 10/23/07
BRUKER BIOSCIENCES CORP DE 2.02,9.01 10/29/07
C-COR INC PA 8.01,9.01 10/29/07
CASELLA WASTE SYSTEMS INC DE 8.01,9.01 10/29/07
CENTER BANCORP INC NJ 1.02,2.02,9.01 10/26/07
CENTRAL JERSEY BANCORP NJ 2.02,9.01 10/26/07
CERUS CORP DE 5.02,9.01 10/25/07
CF Industries Holdings, Inc. DE 2.02,9.01 10/29/07
CH ENERGY GROUP INC NY 2.02,7.01 10/29/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 10/26/07
CHEMOKINE THERAPEUTICS CORP DE 8.01,9.01 10/26/07
China VoIP & Digital Telecom Inc. NV 8.01,9.01 10/29/07
CINCINNATI FINANCIAL CORP OH 1.01 10/23/07
CITY CAPITAL CORP NV 4.01 10/24/07
Claymont Steel Holdings, Inc. DE 5.02,9.01 10/23/07
CLEARONE COMMUNICATIONS INC UT 2.02,9.01 10/29/07
CMALT (CitiMortgage Alternative Loan DE 9.01 10/29/07
CNA FINANCIAL CORP DE 2.02,5.03,9.01 10/24/07
COACH INC MD 2.02,9.01 10/23/07
COACHMEN INDUSTRIES INC IN 2.02,7.01,9.01 10/29/07
COAST FINANCIAL HOLDINGS INC 2.02,7.01,9.01 10/26/07
COCA COLA CO DE 8.01,9.01 10/29/07
COEUR D ALENE MINES CORP ID 1.01,9.01 10/23/07
COMMERCE BANCSHARES INC /MO/ MO 5.03,9.01 10/26/07
COMMUNITY CENTRAL BANK CORP MI 5.02,9.01 10/26/07
COMMUNITY FIRST INC TN 2.01,7.01,9.01 10/26/07
COMPASS MINERALS INTERNATIONAL INC DE 2.02,9.01 10/29/07
COMPUWARE CORP MI 2.02,9.01 10/24/07
COOPERATIVE BANKSHARES INC NC 8.01,9.01 10/26/07
COVAD COMMUNICATIONS GROUP INC DE 1.01,9.01 10/28/07
COWLITZ BANCORPORATION WA 5.03,9.01 10/29/07
CRDENTIA CORP DE 1.01,3.02,9.01 10/26/07
CSS INDUSTRIES INC DE 5.02 10/25/07
CTC Media, Inc. 2.02,9.01 10/29/07
CURAGEN CORP DE 8.01 10/24/07
CYBERSOURCE CORP DE 5.02,9.01 10/23/07
Cyberspace Vita, Inc. NV 5.02 10/29/07
DENIM APPAREL GROUP INC NV 3.03,5.02,8.01 10/26/07
DJO INC DE 2.02,8.01,9.01 10/29/07
DOMINION RESOURCES INC /VA/ VA 5.02,8.01 10/26/07
Driftwood Ventures, Inc. NV 4.01,9.01 10/29/07
DUCOMMUN INC /DE/ DE 2.02,9.01 10/29/07
DUSA PHARMACEUTICALS INC NJ 1.01,9.01 10/28/07
DUSKA THERAPEUTICS, INC. NV 5.02,9.01 10/23/07
EATON CORP OH 5.02 10/23/07 AMEND
EATON VANCE CORP MD 5.02,9.01 10/24/07
ENBRIDGE ENERGY PARTNERS LP DE 5.02,9.01 10/29/07
ENBRIDGE ENERGY PARTNERS LP DE 2.02,9.01 09/30/07
ENCISION INC CO 2.02,9.01 10/29/07
ENER1 INC FL 7.01,9.01 10/29/07
ENERGEN CORP AL 5.02,8.01,9.01 10/25/07
ENOVA SYSTEMS INC CA 5.02 10/23/07
ENTEGRIS INC MN 2.02,9.01 10/29/07
EOG RESOURCES INC DE 2.02,9.01 10/29/07
EOG RESOURCES INC DE 7.01 10/29/07
EUROBANCSHARES INC PR 2.02,9.01 10/26/07
EVERGREEN ENERGY INC DE 8.01,9.01 10/29/07
EVERGREEN SOLAR INC DE 1.01,9.01 10/23/07
EXACTECH INC FL 2.02,7.01,9.01 10/29/07
EXTREME NETWORKS INC DE 2.02,9.01 10/24/07
EXXON MOBIL CORP NJ 8.01 10/29/07
FACT CORP CO 5.02 10/29/07
FEDDERS CORP /DE DE 8.01,9.01 10/24/07
FEDERAL AGRICULTURAL MORTGAGE CORP 7.01,9.01 10/29/07
Federal Home Loan Bank of Cincinnati X1 8.01,9.01 10/18/07
Feldman Mall Properties, Inc. MD 2.02,5.02,9.01 10/26/07
FIFTH THIRD BANCORP OH 8.01,9.01 10/23/07
FIRST CHESTER COUNTY CORP PA 2.02 09/30/07
FIRST COMMONWEALTH FINANCIAL CORP /PA PA 5.02,9.01 10/29/07
FIRST FEDERAL BANKSHARES INC DE 2.02,9.01 10/25/07
FIRST INTERSTATE BANCSYSTEM INC MT 2.02,7.01,9.01 10/29/07
FIRST MARINER BANCORP MD 2.02,9.01 10/23/07
FIRST MERCHANTS CORP IN 8.01,9.01 10/29/07
FIRST MERCHANTS CORP IN 1.01,5.02,5.03,9.01 10/29/07
FIRST MID ILLINOIS BANCSHARES INC DE 2.02,9.01 09/30/07
FIRST REGIONAL BANCORP CA 2.02,9.01 10/23/07
FLORIDA COMMUNITY BANKS INC FL 2.02 10/29/07
FNB BANCORP/CA/ 8.01,9.01 10/29/07
FOREST OIL CORP NY 9.01 06/06/07 AMEND
FOUNDRY NETWORKS INC DE 2.02,9.01 10/25/07
FRANKLIN ELECTRIC CO INC IN 2.02,9.01 09/29/07
GEHL CO WI 2.02,9.01 10/29/07
GeoMet, Inc. DE 1.01,9.01 10/29/07
GORMAN RUPP CO OH 2.02,9.01 10/26/07
GREENE COUNTY BANCORP INC DE 5.02 10/24/07
GREENHILL & CO INC 2.02,5.02,5.03,9.01 10/25/07
GREY WOLF INC TX 2.02,9.01 10/29/07
GREYSTONE LOGISTICS, INC. 4.01,9.01 10/03/07 AMEND
GS FINANCIAL CORP LA 9.01 09/30/07
GSR 2007-OA2 DE 8.01,9.01 10/29/07
GULF ISLAND FABRICATION INC LA 2.02,9.01 10/25/07
HEALTH CARE REIT INC /DE/ DE 5.03,9.01 10/23/07
HEARTLAND FINANCIAL USA INC DE 2.02,9.01 10/29/07
HERTZ CORP DE 2.02,7.01,9.01 10/29/07
HERTZ GLOBAL HOLDINGS INC 2.02,7.01,9.01 10/29/07
HICKORY TECH CORP MN 2.02,7.01,9.01 10/29/07
HOST HOTELS & RESORTS L.P. DE 5.02,9.01 10/29/07
HOST HOTELS & RESORTS, INC. MD 5.02,9.01 10/29/07
HQ SUSTAINABLE MARITIME INDUSTRIES, I DE 8.01 10/29/07
HS3 TECHNOLOGIES INC. 1.01 08/13/07
HS3 TECHNOLOGIES INC. 1.01 05/19/07 AMEND
HUMANA INC DE 2.02,7.01,9.01 09/30/07
ICO Global Communications (Holdings) DE 5.03,9.01 10/24/07
IDT CORP DE 5.02,9.01 10/24/07
IMERGENT INC DE 8.01,9.01 10/26/07
INDEPENDENT BANK CORP /MI/ MI 1.01,2.03 09/06/07
Inland American Real Estate Trust, In MD 1.01,8.01,9.01 10/16/07 AMEND
INNOFONE COM INC NV 1.01,3.02,9.01 09/21/07
INNOVEX INC MN 5.02 10/23/07
Inrob Tech Ltd. NV 1.01,2.03,9.01 10/23/07
INTERACTIVE INTELLIGENCE INC IN 2.02,9.01 10/29/07
INTERFACE INC GA 5.03,9.01 10/25/07
INTERNATIONAL IMAGING SYSTEMS INC 1.01,2.01,3.02,5.01,5.02,5.03, 10/23/07
5.06,8.01,9.01
IRWIN FINANCIAL CORP IN 8.01,9.01 10/29/07
ITONIS INC. NV 2.01,3.02,5.02,9.01 10/23/07
ITRONICS INC TX 1.01,2.03,3.02,9.01 10/23/07
IXI Mobile, Inc. DE 1.01,3.02,9.01 10/25/07
IXIA CA 5.02 10/29/07
J P MORGAN CHASE & CO DE 9.01 10/25/07
JAMBA, INC. DE 2.02,9.01 10/25/07
KAMAN CORP CT 1.01,9.01 10/27/07
KANA SOFTWARE INC DE 5.02,9.01 10/23/07
KAYDON CORP DE 2.02,5.02,8.01,9.01 10/25/07
KAYDON CORP DE 5.02 07/26/07 AMEND
KAYNE ANDERSON ENERGY DEVELOPMENT CO MD 8.01,9.01 10/26/07
KBS Real Estate Investment Trust, Inc MD 1.01,2.03 10/23/07
KBW, INC. 5.02,9.01 10/29/07
KELLOGG CO DE 2.02 10/29/07
KEMET CORP DE 5.02 10/23/07
KeyOn Communications Holdings Inc. DE 3.03,5.03,9.01 10/23/07
KIMCO REALTY CORP MD 1.01,2.03,9.01 10/25/07
KIWA BIO-TECH PRODUCTS GROUP CORP DE 1.01,3.02,9.01 10/24/03
Kohlberg Capital CORP DE 2.02 10/29/07
LAMSON & SESSIONS CO OH 8.01,9.01 10/24/07
LANCASTER COLONY CORP OH 2.02,9.01 10/29/07
LANGUAGE ACCESS NETWORK, INC. NV 1.01,2.03,9.01 10/11/07
LAS VEGAS GAMING INC NV 7.01 10/29/07
LEGACY RESERVES LP DE 1.01,2.03,9.01 10/29/07
LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01,9.01 10/15/07
LEHMAN ABS CORP REPACK AMER GEN FLOAT DE 8.01,9.01 10/15/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 10/25/07
LEXICON UNITED INC DE 8.01,9.01 10/29/07
LHC Group, Inc 8.01,9.01 10/29/07
Limelight Networks, Inc. DE 8.01,9.01 10/29/07
LL&E ROYALTY TRUST TX 2.02,9.01 10/29/07
LOEWS CORP DE 2.02,9.01 10/29/07
LOUISIANA-PACIFIC CORP DE 2.02,9.01 10/29/07
Manhattan Bancorp CA 2.02,9.01 10/26/07
MANPOWER INC /WI/ WI 5.02,9.01 10/23/07
MARKWEST ENERGY PARTNERS L P 8.01,9.01 10/25/07
MARVELL TECHNOLOGY GROUP LTD D0 5.02,9.01 10/26/07
MASTR Asset Securitization Trust 2007 DE 8.01,9.01 10/29/07
MATERIAL TECHNOLOGIES INC /CA/ DE 1.01,3.02,9.01 10/25/07
MB FINANCIAL INC /MD MD 5.02,9.01 10/23/07
MCG CAPITAL CORP DE 1.01,2.03,9.01 10/23/07
MEDIA GENERAL INC VA 8.01,9.01 10/29/07
MEDICINOVA INC DE 5.02,9.01 10/23/07
MERCER INSURANCE GROUP INC PA 2.02,9.01 10/29/07
Metavante Holding CO 8.01,9.01 10/25/07
MGP INGREDIENTS INC KS 7.01,9.01 10/29/07
MID PENN BANCORP INC PA 5.03,9.01 10/24/07
MID PENN BANCORP INC PA 2.02,9.01 10/24/07
MIDDLEBURG FINANCIAL CORP VA 2.02,9.01 10/23/07
MINDSPEED TECHNOLOGIES, INC DE 2.02,9.01 10/29/07
Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 07/29/07
Mortgage Assistance Center Corp FL 1.01,2.02,3.02,5.01,9.01 08/10/07
MortgageIT Securities Corp. Mortgage DE 2.01,9.01 08/30/07
MORTONS RESTAURANT GROUP INC DE 2.02,9.01 10/29/07
MOTHERS WORK INC DE 5.02,9.01 10/29/07
MPC CORP CO 8.01,9.01 10/25/07
MRS FIELDS FAMOUS BRANDS LLC DE 5.02 10/29/07
MULTI COLOR CORP OH 2.02,9.01 10/26/07
MYMETICS CORP DE 8.01 10/23/07
NASTECH PHARMACEUTICAL CO INC DE 2.02,9.01 10/29/07
NATIONAL PENN BANCSHARES INC PA 5.02,5.03,8.01,9.01 10/24/07
NATIONAL SECURITY GROUP INC DE 8.01,9.01 10/27/07
NAVISTAR INTERNATIONAL CORP DE 2.02,7.01,9.01 10/29/07
NAVISTAR INTERNATIONAL CORP DE 5.02 10/29/07
NDS GROUP PLC X0 2.02 10/29/07
Neenah Paper Inc DE 5.02,9.01 10/29/07
NETLOGIC MICROSYSTEMS INC 1.01,2.01,9.01 10/23/07
NEW WORLD BRANDS INC DE 8.01,9.01 10/23/07
NII HOLDINGS INC DE 5.03,9.01 10/24/07
NOBLE ENERGY INC DE 5.02,9.01 10/23/07
NORTH CENTRAL BANCSHARES INC IA 2.02,9.01 10/29/07
NORTHWEST AIRLINES CORP DE 2.02,9.01 10/29/07
NOVEN PHARMACEUTICALS INC DE 9.01 08/14/07 AMEND
NRDC Acquisition Corp. DE 8.01,9.01 10/23/07
NU HORIZONS ELECTRONICS CORP DE 1.01,9.01 10/25/07
NUANCE RESOURCES CORP. NV 5.02 10/24/07
NURX PHARMACEUTICALS, INC. NV 5.03,8.01,9.01 10/23/07
NuStar Energy L.P. DE 5.02,9.01 10/24/07
NuStar GP Holdings, LLC DE 5.02,9.01 10/24/07
NYFIX INC DE 5.02,8.01,9.01 10/23/07
OCEAN SHORE HOLDING CO X1 5.03,9.01 10/24/07
ODYSSEY HEALTHCARE INC DE 2.02,9.01 10/29/07
OFFICE DEPOT INC DE 8.01,9.01 10/29/07
OLD NATIONAL BANCORP /IN/ IN 2.02,9.01 10/29/07
OMEGA COMMERCIAL FINANCE CORP WY 1.01,2.01,4.01,5.06 09/14/07 AMEND
ONLINE RESOURCES CORP DE 2.02,7.01,8.01,9.01 10/25/07
OPTIMER PHARMACEUTICALS INC 1.01,3.02,9.01 10/23/07
OSI PHARMACEUTICALS INC DE 2.02,8.01,9.01 10/22/07
Ottawa Savings Bancorp, Inc. X1 8.01,9.01 10/29/07
PAB BANKSHARES INC GA 2.02 10/29/07
PACIFIC CAPITAL BANCORP /CA/ CA 2.02,9.01 10/29/07
PALM INC DE 1.02 10/23/07
PAMRAPO BANCORP INC DE 5.02,9.01 10/23/07
Panglobal Brands Inc. DE 3.02 10/23/07
PANHANDLE EASTERN PIPE LINE CO LP DE 1.01,9.01 10/23/07
PATAPSCO BANCORP INC MD 5.03,9.01 10/25/07
PATRICK INDUSTRIES INC IN 2.02,9.01 10/29/07
PCMT CORP DE 1.01,3.02,5.02,9.01 10/18/07
PENN VIRGINIA CORP VA 5.02,9.01 10/24/07
Penn Virginia GP Holdings, L.P. 5.02,9.01 10/23/07
PENN VIRGINIA RESOURCE PARTNERS L P DE 5.02,9.01 10/25/07
PetroSouth Energy Corp. 1.01,9.01 10/29/07
PHILADELPHIA CONSOLIDATED HOLDING COR PA 5.02 10/25/07
PINNACLE BANKSHARES CORP VA 2.02,9.01 10/26/07
PITNEY BOWES INC /DE/ DE 2.02,9.01 10/29/07
PLANETOUT INC DE 5.02 10/24/07
PLUSH MALL, INC. NV 8.01 10/25/07
PNM RESOURCES INC NM 5.02 10/29/07
POPE & TALBOT INC /DE/ DE 1.03,2.04 10/29/07
Porter Bancorp, Inc. KY 8.01,9.01 10/23/07
PORTFOLIO RECOVERY ASSOCIATES INC DE 2.02,9.01 10/29/07
PORTFOLIO RECOVERY ASSOCIATES INC DE 1.01,9.01 10/26/07
POWERWAVE TECHNOLOGIES INC DE 2.02,9.01 10/29/07
Puda Coal, Inc. 8.01,9.01 10/25/07
PUGET ENERGY INC /WA WA 1.01,3.03,9.01 10/29/07
PUGET ENERGY INC /WA WA 1.01,9.01 10/29/07
Puppy Zone Enterprises, Inc NV 7.01,9.01 10/10/07
R H DONNELLEY CORP DE 5.02,9.01 10/23/07
Rackable Systems, Inc. DE 8.01 10/24/07
RADIOSHACK CORP DE 2.02,9.01 10/26/07
RED ROCK PICTURES HOLDINGS, INC 8.01 10/24/07
REGENERON PHARMACEUTICALS INC NY 1.01 10/24/07
REMEC INC CA 7.01 10/29/07
REPUBLIC AIRWAYS HOLDINGS INC DE 1.01,9.01 10/26/07
REUNION INDUSTRIES INC DE 1.01 10/25/07
RF MICRO DEVICES INC NC 8.01 10/29/07
Rosetta Resources Inc. DE 7.01,9.01 10/29/07
RUB A DUB SOAP INC CO 1.01,9.01 10/18/07
SCHIFF NUTRITION INTERNATIONAL, INC. DE 5.02,9.01 10/25/07
SCHNITZER STEEL INDUSTRIES INC OR 2.02,9.01 10/29/07
SCIENTIFIC LEARNING CORP DE 2.02 10/23/07
SCM MICROSYSTEMS INC DE 5.02 10/23/07
SEACOAST BANKING CORP OF FLORIDA FL 2.02,7.01,9.01 10/23/07
SECURED DIVERSIFIED INVESTMENT LTD 1.01,2.01,9.01 10/23/07
SED INTERNATIONAL HOLDINGS INC DE 3.02,5.02,9.01 10/23/07
SEMOTUS SOLUTIONS INC NV 1.01,3.02,9.01 10/23/07
SENTRA CONSULTING CORP 1.01,2.03,3.02,5.03,9.01 08/27/07
SEQUIAM CORP CA 1.01,5.02,8.01,9.01 10/23/07
ShoreTel Inc CA 2.02,9.01 10/29/07
SIERRA PACIFIC RESOURCES /NV/ NV 2.02,9.01 10/29/07
SIMON PROPERTY GROUP INC /DE/ DE 2.02,7.01,9.01 10/29/07
SKYE INTERNATIONAL, INC NV 8.01,9.01 10/25/07
Smooth Global (China) Holdings, Inc. NV 1.01,2.01,3.02,5.02,9.01 10/24/07
SONICWALL INC CA 2.02,9.01 09/30/07
SONOSITE INC 2.02,8.01,9.01 10/29/07
Sound Worldwide Holdings, Inc. DE 1.01,2.01,3.02,4.01,5.02,5.03, 10/25/07
5.06,9.01
SOUTHERN UNION CO DE 8.01,9.01 10/23/07
Star Resorts Development Inc. NV 3.02,9.01 10/05/07
STERLING FINANCIAL CORP /WA/ WA 7.01,9.01 10/29/07
Summit Global Logistics, Inc. DE 8.01,9.01 10/29/07
SUPERGEN INC DE 2.02,9.01 10/29/07
SUPERIOR BANCORP DE 2.02,7.01,9.01 10/29/07
Susser Holdings CORP DE 7.01,8.01,9.01 10/29/07
Susser Holdings CORP DE 2.02,7.01,8.01,9.01 10/29/07 AMEND
SYMANTEC CORP DE 5.02,9.01 10/23/07
Symmetry Holdings Inc DE 8.01,9.01 10/29/07
Symmetry Holdings Inc DE 7.01 10/29/07
TANDY BRANDS ACCESSORIES INC DE 1.01,5.02,9.01 10/29/07
TAPESTRY PHARMACEUTICALS, INC DE 5.02 10/26/07
TEAMSTAFF INC NJ 5.02,9.01 10/23/07
TECHWELL INC 2.02,9.01 10/29/07
TEKOIL & GAS CORP DE 1.01,9.01 10/24/07
TIDELANDS BANCSHARES INC 2.02,9.01 10/25/07
TIMBERLAND BANCORP INC WA 5.02 10/23/07
TITAN INTERNATIONAL INC IL 2.02,9.01 10/29/07
TM Entertainment & Media, Inc. DE 8.01,9.01 10/23/07
TOUSA INC DE 1.01,9.01 10/25/07
Trans-Science Corp CA 2.01,3.02,5.01 08/20/07
Triplecrown Acquisition Corp. DE 8.01,9.01 10/25/07
TRIUMPH GROUP INC / DE 2.02,9.01 10/24/07
TRIZETTO GROUP INC DE 5.05,8.01,9.01 10/23/07
U S CANADIAN MINERALS INC CA 4.01,8.01,9.01 10/23/07
UNIVERSAL TECHNICAL INSTITUTE INC DE 1.01,2.03,9.01 10/26/07
V F CORP PA 1.01,1.02,2.03,9.01 10/26/07
Vanda Pharmaceuticals Inc. DE 5.02,9.01 10/23/07
VERIZON COMMUNICATIONS INC DE 2.02 10/29/07
VERTEX PHARMACEUTICALS INC / MA MA 2.02,9.01 10/29/07
ViewPoint Financial Group X1 8.01,9.01 10/26/07
Village Bank & Trust Financial Corp. 2.02,9.01 10/26/07
VIRAGE LOGIC CORP CA 2.01,9.01 08/15/07 AMEND
VIROPRO INC NV 1.01,2.03,9.01 10/24/07
VISUAL SCIENCES, INC. CA 2.02,9.01 10/25/07
VISUAL SCIENCES, INC. CA 5.02,9.01 10/24/07
VNUS MEDICAL TECHNOLOGIES INC 2.02,9.01 10/29/07
Volcom Inc 2.02,7.01,9.01 10/29/07
W R GRACE & CO DE 2.02,9.01 10/24/07
WACHOVIA ASSET SECURITIZATION INC 200 8.01,9.01 10/25/07
WACHOVIA ASSET SECURITIZATION INC AST 8.01,9.01 10/25/07
WASHINGTON GROUP INTERNATIONAL INC DE 2.02,9.01 10/29/07
WELLENTECH SERVICES INC NV 8.01 10/24/07
Wells Fargo Alternative Loan 2007-PA5 DE 9.01 10/29/07
Wells Fargo Mortgage Backed Securitie DE 9.01 10/29/07
WEST PHARMACEUTICAL SERVICES INC PA 5.02,9.01 10/16/07 AMEND
WESTFIELD FINANCIAL INC MA 1.01,9.01 10/23/07
WESTSIDE ENERGY CORP NV 8.01,9.01 10/29/07
WHITING PETROLEUM CORP DE 5.02,9.01 10/23/07
Wilber CORP 2.02,9.01 10/29/07
WILLIAMS SCOTSMAN INTERNATIONAL INC DE 8.01,9.01 10/29/07
WILLOW FINANCIAL BANCORP, INC. PA 5.02,8.01,9.01 10/23/07
WINN DIXIE STORES INC FL 2.02,9.01 10/29/07
WOLVERINE WORLD WIDE INC /DE/ MI 8.01 10/23/07
Wright Express CORP 1.01,8.01,9.01 10/23/07
WSFS FINANCIAL CORP DE 2.02,9.01 10/25/07
WSI INDUSTRIES, INC. MN 2.02,5.02,9.01 10/23/07
XSUNX INC CO 1.01,9.01 10/23/07
XSUNX INC CO 1.01,9.01 10/23/07
Yankee Holding Corp. DE 5.02,9.01 10/23/07
ZAP CA 5.02 10/22/07 AMEND
ZILA INC DE 5.02 10/25/07 AMEND
ZOOM TECHNOLOGIES INC DE 2.02,9.01 10/29/07
http://www.sec.gov/news/digest/2007/dig103007.htm
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