SEC NEWS DIGEST Issue 2002-224 November 20, 2002 COMMISSION ANNOUNCEMENTS SEC PROPOSES AUDITOR INDEPENDENCE AND WORKPAPER RETENTION RULES REQUIRED UNDER SARBANES-OXLEY, AGREES TO ISSUE REPORT ON ANTI-MONEY LAUNDERING RULES On Nov. 19, the Commission approved publication of proposed rules that would require auditors to retain specific types of records. A second set of rules would require certain disclosures and reports by auditors and set conditions under which auditing firms would not be considered independent for purposes of performing audits of public company financial statements. These rules are required under the Sarbanes-Oxley Act. The Commission also approved a staff recommendation to issue a report jointly with the Department of the Treasury and the Board of Governors of the Federal Reserve System concerning the application of anti-money laundering rules to investment companies under the USA Patriot Act. 1. The Commission voted to propose rules to implement Section 802 of the Sarbanes-Oxley Act of 2002. These proposed rules would specify the information that must be retained by auditors for a five-year period subsequent to the completion of an audit or review of a registrant's financial statements. In particular, the proposed rules would specify that auditors should retain workpapers and other documents that form the basis of the audit or review and memoranda, correspondence, communications, other documents, and records (including electronic records), which are created, sent or received in connection with the audit or review and contain conclusions, opinions, analyses, or financial data related to the audit or review. The Sarbanes-Oxley Act requires that final rules be in place by Jan. 26, 2003. Comments on the proposal should be received by the Commission within 30 days of publication in the Federal Register. 2. The Commission voted to propose rules to enhance the independence of accountants that audit and review financial statements and prepare attestation reports filed with the Commission. As directed by Section 208(a) of the Sarbanes-Oxley Act of 2002, the Commission is proposing rules to: * revise its regulations related to the non-audit services that, if provided to an audit client, would impair an accounting firm's independence (based on the nine prohibited services listed in Sarbanes-Oxley); * require that an issuer's audit committee pre-approve all audit and non-audit services provided to the issuer by the auditor of an issuer's financial statements; * prohibit partners on the audit engagement team from providing audit services to the issuer for more than five consecutive years and from returning to audit services with the same issuer within five years; * prohibit an accounting firm from auditing an audit client's financial statements if certain members of management of that client had been members of the accounting firm's audit engagement team within the one-year period preceding the commencement of audit procedures; * require that the auditor of an issuer's financial statements report certain matters to the issuer's audit committee, including "critical" accounting policies used by the issuer; and * require disclosures to investors of information related to the audit and non-audit services provided by, and fees paid by the issuer to, the auditor of the issuer's financial statements. The disclosures, to be made in issuers' annual reports, would include fees paid by issuers for audits, tax preparation and all other fees. The proposal would require disclosure of fees for the year covered by the filing and for the previous year. In addition, under the proposed rules, an accountant would not be independent from an audit client if any partner, principal or shareholder of the accounting firm who is a member of the engagement team received compensation based directly on any service provided or sold to that client other than audit, review and attest services. The Sarbanes-Oxley Act requires that final rules be in place by Jan. 26, 2003. Comments on the proposal should be received by the Commission within 30 days of publication in the Federal Register. 3. The Commission approved a staff recommendation to issue jointly, with the Department of the Treasury and the Board of Governors of the Federal Reserve System, a report to Congress on applying the anti-money laundering requirements of the Bank Secrecy Act to investment companies, as required by Section 356(c) of the USA Patriot Act. The proposed report recommends regulations to apply the requirements of the Bank Secrecy Act to investment companies, including certain unregistered investment companies. The report will be published after approval by the Department of the Treasury and the Board of Governors of the Federal Reserve System. The full text of the detailed releases concerning the proposed rules will be posted to the SEC Web site as soon as possible. (Press Rel. 2002- 165) ENFORCEMENT PROCEEDINGS APPEALS COURT UPHOLDS PRELIMINARY INJUNCTIONS AND ASSET FREEZES AGAINST MARTIN FIFE AND FAROUK KHAN IN SECURITIES FRAUD CASE The Commission announced that on Nov. 6 a federal appeals court upheld a district court order imposing preliminary injunctions and asset freezes against Martin Fife, a former Dreyfus fund independent director, and Farouk Khan, Fife's business associate, in a securities fraud case. In its complaint, filed in federal district court in Rhode Island on April 1, 2002, the Commission alleged that Fife, Khan, and others defrauded investors of over $50 million in a prime bank-type scheme that promised returns as high as 300% in twelve business days, and that over $20 million had not been returned to investors. On May 1, 2002, after a two-day hearing in April, the district court issued an order finding that the Commission is likely to succeed in proving that Fife, Khan, and certain other defendants violated the securities laws, and that there is a strong likelihood that violations may occur in the future if these defendants are not enjoined. The order further stated that there is a high risk that any remaining investor funds may be further depleted. On May 8, 2002, the court issued written preliminary injunctions and asset freezes against Fife, Khan and certain other defendants, based on its findings in the May 1 order. Defendants Fife and Khan appealed the district court's decision to the U.S. Court of Appeals for the First Circuit. After a hearing on Sept. 13, 2002, the First Circuit issued a written opinion on Nov. 6, 2002 affirming the entry of preliminary injunctions and asset freezes against Fife and Khan. The First Circuit found that the Commission made a sufficient showing that Fife and Khan made material misrepresentations in connection with the purchase or sale of securities in violation 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, and that it was reasonably likely they may commit such violations again. The First Circuit further upheld the district court's finding that the Commission had established a substantial likelihood that Fife violated Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. Among other things, the First Circuit found that Fife repeatedly made false representations to one investor concerning the management of its funds, and that Fife and Khan had both misrepresented to investors the risk of loss associated with a purported "balance sheet enhancement program." For further information, see Litigation Release Numbers 17461 (April 5, 2002) and 17514 (May 13, 2002). [SEC v. Dennis Herula, et al., USDC, District of Rhode Island, C.A. No. 02 154 ML] (LR- 17848) PRELIMINARY INJUNCTION AND ASSET FREEZE ISSUED AGAINST ABRAHAM KENNARD AND TWO CORPORATIONS IN AFFINITY FRAUD The Commission announced today that on Nov. 18 the Honorable John P. Fullam, U.S. District Court Judge for the Eastern District of Pennsylvania, issued a preliminary injunction against Abraham L. Kennard, of Wildwood, Georgia, and defendants Network International Investment Corporation (NIIC) and Church Kingdom Investments, Ltd. (Church Kingdom), two companies controlled by him. The Court's Order, which was entered with the defendants' consent, preliminarily enjoins them from future violations of the federal securities laws and continues an asset freeze implemented by the Judge in the temporary restraining order issued on Nov. 4. In its complaint, originally filed Nov. 4, the Commission alleges that, from at least January 2001 through the present, NIIC and Kennard have engaged in a deliberate scheme to defraud investors, primarily African- American churches, by making false and misleading statements in connection with the unregistered offer and sale of securities, in the form of investment contracts, relating to NIIC's so-called "Church Funding Project." NIIC, acting through Kennard, has raised at least $3 million from over 1000 investing churches located throughout the United States. Specifically, for each investment of $3,000, Kennard promised to pay a return of $500,000. Kennard told investors that NIIC would fund the promised returns from a pool of money that NIIC purportedly receives for this purpose from four sources: profit-making corporations; federal government grants; other Christian institutions; and profits from a series of world-wide Christian-based resorts to be built and run by NIIC's sister corporation, Church Kingdom. In fact, NIIC does not have any commitments from profit-making corporations or other institutions to fund this project, and Church Kingdom has built no resorts. Judge Fullam also continued asset freezes previously entered against relief defendants R. Scott Cunningham, of Dalton, Georgia, an attorney, his law firm R. Scott Cunningham, P.C., Carl Grigsby, NIIC's Director of Security Services, and Grigsby & Grigsby, LLC, a company owned or controlled by him. Judge Fullam also scheduled a final injunction hearing for March 3, 2003. [SEC v. Network International Investment Corporation, et al., Civil Action No. 02-8294, ED Pa.] (LR-17849) INVESTMENT COMPANY ACT RELEASES AB FUNDS TRUST AND SBC FINANCIAL SERVICES, INC. A notice has been issued giving interested persons until Dec. 16, 2002, to request a hearing on an application filed by AB Funds Trust and SBC Financial Services, Inc. for an order under Section 6(c) of the Investment Company Act requesting an exemption from Section 15(a) of the Act and Rule 18f-2 under the Act. The order would permit applicants to enter into and materially amend sub-advisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (Rel. IC-25805 - Nov. 19) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-PHLX-2001-104) submitted by the Philadelphia Stock Exchange relating to Clerks on the Exchange's Options Floor. Publication of the proposal is expected in the Federal Register during the week of Nov. 18. (Rel. 34-46841) The Commission approved a proposed rule change and granted accelerated approval to Amendment No. 5 to the proposed rule change submitted by the National Association of Securities Dealers, through its subsidiary The Nasdaq Stock Market, Inc. (SR-NASD-2002-33) relating to fees for Nasdaq data entitlement packages. (Rel. 34-46843) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-Phlx-2002-74) filed by the Philadelphia Stock Exchange relating to the date for deployment of the ROT access system has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of Nov. 25. (Rel. 34- 46844) DELISTING GRANTED An order has been issued granting the application of the Pacific Exchange to strike from listing and registration certain call and put option contracts issued by The Options Clearing Corporation respecting certain underlying securities, effective Nov. 20, 2002. (Rel. 34-46853) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 UNITED STATES LIME & MINERALS INC, 13800 MONTFORT DR, SUITE 330, DALLAS, TX, 75240, 9729918400 - 0 ($720,860.00) Equity, (File 333-101290 - Nov. 19) (BR. 04) S-8 METLIFE INC, ONE MADISON AVENUE, NEW YORK, NY, 10010-3690, 2125782211 - 0 ($75,000,000.00) Other, (File 333-101291 - Nov. 19) (BR. 01) S-4 CELL THERAPEUTICS INC, 201 ELLIOTT AVE W, STE 400, SEATTLE, WA, 98119, 2062707100 - 0 ($58,333,333.00) Debt Convertible into Equity, (File 333-101292 - Nov. 19) (BR. 01) S-8 COMCAST CORP, 0 ($2,987,741,177.00) Equity, 0 ($718,000,000.00) Non-Convertible Debt, (File 333-101295 - Nov. 19) (BR. 37) S-8 YOUNG BROADCASTING INC /DE/, 599 LEXINGTON AVENUE, NEW YORK, NY, 10022, 2127547070 - 0 ($33,045,845.00) Equity, (File 333-101296 - Nov. 19) (BR. 37) S-8 DOV PHARMACEUTICAL INC, 433 HACKENSACK AVENUE, HACKENSACK, NJ, 07601, 2019680980 - 3,322,850 ($15,102,353.00) Equity, (File 333-101297 - Nov. 19) (BR. 01) S-8 SI INTERNATIONAL INC, 8484 WESTPARK DR, STE 630, MCCLEAN, VA, 22102, 7037620000 - 0 ($25,772,334.00) Equity, (File 333-101298 - Nov. 19) (BR. 03) S-1 ALTERNATIVE TECHNOLOGY RESOURCES INC, 629 J ST, SACRAMENTO, CA, 95814, 9162310400 - 8,097,315 ($7,287,584.00) Equity, (File 333-101299 - Nov. 19) (BR. 03) S-8 CITY SAVINGS FINANCIAL CORP, 2000 FRANKLIN STREET, MICHIGAN CITY, IN, 46360-4599, 2198795364 - 55,545 ($809,290.65) Equity, (File 333-101300 - Nov. 19) (BR. 07) S-3 ACTIVISION INC /NY, 3100 OCEAN PARK BLVD, STE 1000, SANTA MONICA, CA, 90405, 3102552000 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-101301 - Nov. 19) (BR. 03) S-8 MAXIM PHARMACEUTICALS INC, 8899 UNIVERSITY CTR LANE, STE 400, SAN DIEGO, CA, 92122, 8584534040 - 0 ($441,000.00) Equity, (File 333-101302 - Nov. 19) (BR. 01) S-3 P COM INC, 3175 S WINCHESTER BLVD, CAMPBELL, CA, 95008, 4088663666 - 0 ($127,844.11) Equity, (File 333-101303 - Nov. 19) (BR. 37) S-4 ACTIVISION INC /NY, 3100 OCEAN PARK BLVD, STE 1000, SANTA MONICA, CA, 90405, 3102552000 - 0 ($250,000,000.00) Unallocated (Universal) Shelf, (File 333-101304 - Nov. 19) (BR. 03) S-8 CHESTERFIELD FINANCIAL CORP, 10801 S. WESTERN AVE., CHICAGO, IL, 60643, 7732396000 - 602,662 ($10,215,121.00) Equity, (File 333-101305 - Nov. 19) (BR. 07) S-8 POWER TECHNOLOGY INC/CN, 1000 W BONANZA RD, 604-925-0716, LAS VEGAS, NV, 89106, 7023823385 - 0 ($300,000.00) Equity, (File 333-101306 - Nov. 19) (BR. 09) S-3D ALLIANT ENERGY CORP, 4902 NORTH BILTMORE LANE, PO BOX 77007, MADISON, WI, 53707-1007, 608-458-3314 - 2,500,000 ($36,312,500.00) Equity, (File 333-101307 - Nov. 19) (BR. 02) S-8 STERIS CORP, 5960 HEISLEY RD, MENTOR, OH, 44060, 4403542600 - 4,000,000 ($102,880,000.00) Equity, (File 333-101308 - Nov. 19) (BR. 36) F-3 UTI WORLDWIDE INC, C/O UNION TRANSPORT CORP, 19443 LAUREL PARK RD SUITE 107, RANCHO DOMINQUEZ, CA, 90220, 3106043311 - 0 ($130,122,500.00) Equity, (File 333-101309 - Nov. 19) (BR. 05) S-4 STARWOOD HOTEL & RESORTS WORLDWIDE INC, 1111 WESTCHESTER AVENUE, WHITE PLAINS, NY, 10604, 9146408100 - 0 ($1,500,000,000.00) Non-Convertible Debt, (File 333-101310 - Nov. 19) (BR. 08) S-8 UGOMEDIA INTERACTIVE CORP, 3400 W DESERT INN RD ST 13, LAS VEGAS, NV, 89102, 7028763004 - 825,000 ($49,500.00) Equity, (File 333-101312 - Nov. 19) (BR. 03) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 DATE COMMENT ------------------------------------------------------------------------------------ ACTIVE LINK COMMUNICATIONS INC CO X X 11/12/02 ADVANCE AUTO PARTS INC DE X X 11/19/02 ALASKA AIR GROUP INC DE X 11/19/02 ALTERNATE MARKETING NETWORKS INC MI X 11/19/02 AMERICAN EXPRESS CO NY X 11/19/02 AMERICAN FINANCIAL HOLDINGS INC DE X X 11/19/02 AMERICAN WATER STAR INC NV X 09/06/02 AMEND ANNUITY & LIFE RE HOLDINGS LTD X 11/19/02 ASCENDANT SOLUTIONS INC DE X 11/19/02 ASSET BACKED SEC CORP PASS THROUGH CE DE X 01/25/02 ASSET BACKED SECURITIES CORP DE X X 11/15/02 AT&T CORP NY X X 11/18/02 AT&T CORP NY X X 11/18/02 AXCESS INC/TX DE X 11/19/02 BARRETT BUSINESS SERVICES INC MD X 11/12/02 BAUSCH & LOMB INC NY X X 11/18/02 BAYOU STEEL CORP DE X X 11/15/02 BIOGAN INTERNATIONAL INC DE X 07/19/02 AMEND BOUNDLESS VISION INC NV X 09/30/02 AMEND BUDGET GROUP INC DE X X 10/18/02 CARAUSTAR INDUSTRIES INC NC X 11/20/02 CARCO AUTO LOAN MASTER TRUST DE X X 10/15/02 CARE CONCEPTS INC DE X X 11/12/02 CATAPULT COMMUNICATIONS CORP CA X X 08/30/02 AMEND CELL THERAPEUTICS INC WA X X 11/19/02 CENTEX CORP NV X X 11/19/02 CHADMOORE WIRELESS GROUP INC CO X 11/19/02 CIMETRIX INC NV X 11/18/02 CIRCUIT RESEARCH LABS INC AZ X X 11/19/02 COMMERCIAL FEDERAL CORP NE X X 11/15/02 CONCENTRAX INC NV X X 11/14/02 CORNERSTONE PROPANE PARTNERS LP DE X 11/14/02 CSK AUTO CORP DE X 11/15/02 CWABS INC DE X X 11/15/02 CWABS INC DE X X 11/15/02 CWABS INC DE X X 11/15/02 D&E COMMUNICATIONS INC PA X X 11/18/02 DAIMLERCHRYSLER MASTER OWNER TRUST X X 10/15/02 DAVITA INC DE X X 11/14/02 DND TECHNOLOGIES INC NV X X 11/14/02 DOLE FOOD COMPANY INC DE X X 11/19/02 DVI RECEIVABLES CORP VIII DE X X 11/20/02 DYNEGY HOLDINGS INC DE X X 11/14/02 EASTERN AMERICAN NATURAL GAS TRUST DE X 11/19/02 ENCOMPASS SERVICES CORP TX X X X 11/19/02 ENRON CORP/OR/ OR X X 11/19/02 ETOYS INC DE X X 11/04/02 FACTORY 2 U STORES INC DE X 11/07/02 FAIRCHILD INTERNATIONAL CORP NV X 11/19/02 FERRELLGAS PARTNERS L P DE X 11/19/02 FIRST BANCTRUST CORP DE X X 11/15/02 FIRST DEFIANCE FINANCIAL CORP OH X 11/19/02 FIRSTFED FINANCIAL CORP DE X 10/31/02 FLEET CREDIT CARD FUNDING TRUST X X 11/19/02 FLOWERS FOODS INC GA X X 11/15/02 GE CAPITAL COMMERCIAL MORT CORP COM M DE X X 11/15/02 GENESCO INC TN X 11/19/02 GOLDEN TELECOM INC DE X X 11/05/02 GRAPHON CORP/DE DE X 09/30/02 GS MORTGAGE SECURITIES CORP DE X X 11/15/02 H&R BLOCK INC MO X 11/18/02 HANCOCK JOHN LIFE INSURANCE CO MA X X 11/18/02 HEALTHAXIS INC PA X 11/19/02 HENRY JACK & ASSOCIATES INC DE X X 11/18/02 HNET NET CO X 11/18/02 HOLIDAY RV SUPERSTORES INC DE X 11/11/02 HOME CITY FINANCIAL CORP OH X 11/14/02 HOMESEEKERS COM INC NV X X 11/18/02 HOUSEHOLD AUTOMOTIVE TRUST 2002-1 X 10/17/02 ICHANCE INTERNATIONAL INC NV X X X 11/18/02 IMX PHARMACEUTICALS INC UT X X X 01/31/02 INDEPENDENCE HOLDING CO DE X 11/14/02 INDYMAC ABS INC HOME EQ MORT LOAN AS DE X 10/25/02 INFOGRAMES INC DE X X 11/12/02 INTERCALLNET INC NV X X X X 11/05/02 AMEND INTERCEPT INC GA X X 11/04/02 INTERNATIONAL ABSORBENTS INC X X 11/04/02 INTERNATIONAL STAR INC NV X X X 11/15/02 INTERNET CABLE CORP NV X X 09/05/02 AMEND INVERNESS MEDICAL INNOVATIONS INC DE X X 11/14/02 IOMEGA CORP DE X X 11/01/02 AMEND ISTAR FINANCIAL INC MD X 11/14/02 J2 GLOBAL COMMUNICATIONS INC DE X X 11/12/02 JP MORGAN CHASE COMM MORT PASS THR CE DE X X 11/15/02 KLEVER MARKETING INC DE X X 11/18/02 KLEVER MARKETING INC DE X X 11/19/02 LASERLOCK TECHNOLOGIES INC NV X 12/31/02 LATINOCARE MANAGEMENT CORP NV X X 11/11/02 LEHMAN ABS CORP LEHMAN MFG HOUSING CO DE X X 11/15/02 LUMENIS LTD X 11/19/02 MARATHON OIL CORP DE X X 11/19/02 MARTIN MIDSTREAM PARTNERS LP DE X X 11/06/02 MBNA AMERICA BANK NATIONAL ASSOCIATIO DE X X 10/31/02 MBNA AMERICA BANK NATIONAL ASSOCIATIO DE X X 10/30/02 MBNA CORP MD X 10/31/02 MBNA CORP MD X 11/19/02 MERIDIAN HOLDINGS INC CO X 11/18/02 MERRILL LYNCH & CO INC DE X 11/18/02 MICROS SYSTEMS INC MD X 11/18/02 MORGAN STANLEY ABS CAPITAL I INC DE X X 11/14/02 MORGAN STANLEY ABS CAPITAL I INC DE X X 11/15/02 MORGAN STANLEY ABS CAPITAL I INC DE X X 11/18/02 MORGAN STANLEY ABS CAPITAL I INC DE X X 11/18/02 MORTGAGE PASS THR CERTS SER 1998-1 DE X X 01/25/00 MORTGAGE PASS THR CERTS SER 1998-1 DE X X 04/25/00 MORTGAGE PASS THR CERTS SER 1998-1 DE X X 07/25/00 MORTGAGE PASS THR CERTS SER 1998-1 DE X X 10/25/00 MORTGAGE PASS THR CERTS SER 1998-1 DE X X 01/25/01 MORTGAGE PASS THR CERTS SER 1998-1 DE X X 04/25/01 MORTGAGE PASS THR CERTS SER 1998-1 DE X X 07/25/01 MORTGAGE PASS THR CERTS SER 1998-1 DE X X 10/25/01 NATIONAL CITY CORP DE X 11/19/02 NBG RADIO NETWORK INC NV X 11/19/02 NDCHEALTH CORP DE X X 11/19/02 NETMANAGE INC DE X X 11/15/02 NEVADA HOLDING GROUP INC /NV/ NV X X 11/18/02 AMEND NEVADA POWER CO NV X X 11/14/02 NEW ULM TELECOM INC MN X X 11/18/02 NORTHROP GRUMMAN CORP /DE/ DE X X 11/18/02 NRG ENERGY INC DE X X 11/18/02 ON SEMICONDUCTOR CORP DE X X 11/18/02 PACIFICARE HEALTH SYSTEMS INC /DE/ DE X X 11/18/02 PERSONNEL GROUP OF AMERICA INC DE X X 11/18/02 PHAR MOR INC PA X 11/19/02 PHOTOGEN TECHNOLOGIES INC NV X X X X X 11/12/02 PMA CAPITAL CORP PA X 11/19/02 PPL CORP PA X X 09/06/02 AMEND QUEST RESOURCE CORP NV X X X 11/08/02 QUICKSILVER RESOURCES INC DE X 11/19/02 QUINTEK TECHNOLOGIES INC CA X 11/05/02 AMEND QWEST COMMUNICATIONS INTERNATIONAL IN DE X X 11/08/02 AMEND RESIDENTIAL ASSET MORT PROD GMACM MOR X X 04/25/02 RESIDENTIAL ASSET MORT PROD GMACM MOR X X 05/25/02 RESIDENTIAL ASSET MORT PROD GMACM MOR X X 06/25/02 RESIDENTIAL ASSET MORT PROD GMACM MOR X X 06/25/02 RESIDENTIAL ASSET MORT PROD GMACM MOR X X 08/25/02 RESIDENTIAL ASSET MORT PROD GMACM MOR X X 09/25/02 RESIDENTIAL ASSET MORT PROD GMACM MOR X X 10/25/02 SCIENTIFIC LEARNING CORP DE X 11/18/02 SCOTTISH ANNUITY & LIFE HOLDINGS LTD E9 X X 11/19/02 SEMELE GROUP INC DE X 11/19/02 SHEFFIELD PRODUCTS INC / DE DE X 11/15/02 SHIRE PHARMACEUTICALS GROUP PLC X X 11/19/02 SPECTRASITE HOLDINGS INC DE X X X X 11/15/02 SPECTRIAN CORP /CA/ CA X X 11/15/02 SRS LABS INC DE X 11/18/02 STATE FINANCIAL SERVICES CORP WI X X 11/19/02 STUDIO II PRODUCTIONS INC FL X 11/15/02 SVT INC DE X 11/14/02 SYNOPSYS INC DE X X 11/13/02 TAIWAN FUND INC DE X 10/01/02 TELENETICS CORP CA X X 11/12/02 TENET HEALTHCARE CORP NV X X 11/18/02 TIMKEN CO OH X 11/19/02 TITANIUM METALS CORP DE X 11/13/02 TITANIUM METALS CORP DE X 11/14/02 TOMAHAWK INDUSTRIES INC NV X 11/14/02 TOTAL ENTERTAINMENT INC IN X X 11/18/02 AMEND TRIPATH TECHNOLOGY INC X X 11/19/02 TRUSTCO BANK CORP N Y NY X 11/19/02 UNITED DIAGNOSTIC INC DE X 09/25/02 UNIVERSAL LIFE HOLDING CORP/MD IL X 11/19/02 VAXGEN INC DE X X 11/19/02 VCAMPUS CORP DE X 10/24/02 VECTOR ENERGY CORP /TEXAS/ TX X 11/15/02 VENTURE HOLDINGS CO LLC MI X 11/19/02 VIRAGEN INC DE X 11/19/02 WALLSTREET REVIEW INC FL X 11/12/02 WILLIAMS ENERGY PARTNERS L P DE X X 11/18/02 XCEL ENERGY INC MN X 11/18/02 XCEL ENERGY INC MN X X 11/19/02 XCEL ENERGY INC MN X X 11/19/02 XEROX CORP NY X 11/19/02 YOUNG BROADCASTING INC /DE/ DE X X 11/07/02