SEC NEWS DIGEST Issue 2005-191 October 4, 2005 COMMISSION ANNOUNCEMENTS COMMISSION MEETING CLOSED MEETING – TUESDAY, OCTOBER 11, 2005 – 2:00 P.M. A closed meeting will be held on Tuesday, October 11, 2005 at 2:00 p.m. The subject matters of the meeting will be Formal orders of private investigations; Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings of an enforcement nature; Opinion; and Amicus consideration. 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. SEC SOLICITS SOFTWARE INDUSTRY’S INPUT FOR HELPING MANAGE INTERACTIVE FINANCIAL DATA On October 4, as part of its ongoing efforts to make financial disclosure more useful and accessible to investors, the U.S. Securities and Exchange Commission released a Request for Information (RFI) concerning interactive financial data. Interactive data holds the promise of transforming the static, text-only documents companies file with the SEC into dynamic financial reports that can be quickly and easily accessed and analyzed. The RFI seeks information from the software industry to assist the Commission’s staff in identifying ways to receive, store, view, and analyze interactive financial data. For the past 10 months, since February 2005, the Commission has been testing financial data tagging technology through a voluntary program that allows registrants to file periodic and investment company reports using interactive data. Today’s RFI solicits further information and ideas from the technology marketplace on how best to develop tools that will make interactive financial data a reality. Although the Commission staff implemented a set of initial tools in conjunction with the launch of the voluntary program, further refinements are needed to permit the SEC, preparers, and users of interactive data to achieve its full benefits. Better software tools may also help accelerate the broader adoption of a new standard among issuers and investors. SEC Chairman Christopher Cox said, “The use of interactive data, if widely adopted, may dramatically enhance the usefulness of reported financial information. Consumers of the data may be able to use it more easily and effectively. Potentially, computer-tagged data could provide real-time operational information for business managers. And its instant availability would dramatically streamline and accelerate the collection and reporting of that same financial information to the Commission and the public.” By using computer codes to "tag" different kinds of data in financial reports, the information companies file with the Commission can be made much easier to find and analyze. For example, specific items in a financial statement, such as net income or gross sales, are given computer-readable labels. At the same time, the task of preparing the reports can be automated for the companies who file them. Interactive data relies on standard definitions to "tag" various kinds of information, turning financial reports that have previously been text- only into documents that can be retrieved through computer searches, and analyzed in a variety of spreadsheet programs and analytical software. The data can also be more readily used to compare companies’ financial performance, both for investors who are seeking attractive investment opportunities, and for regulators looking for fraud. In February of this year, the Commission initiated a voluntary program for filing financial information on EDGAR using interactive data. The pilot program is based on eXtensible Business Reporting Language (XBRL) -- a computer language that makes interactive financial data possible. This program allows for the voluntary submission of XBRL documents as exhibits to periodic reports from corporate issuers and from mutual funds and advisers filing Investment Company Act reports. For now, this is a voluntary program to allow filers, the Commission, and the users of Commission reports to test the process. For filers, this means an opportunity to assess the benefits and costs of using interactive data. For the Commission, it means evaluating our ability to process and store documents in XBRL. For users of Commission reports, it will afford an opportunity to consider the value added from interactive financial data, as well as to pilot various software applications to take advantage of the new flexibility in using the information. The full text of the RFI can be accessed on the Commission's website at http://www.sec.gov/spotlight/xbrl.htm. (Press Rel. 2005-141) SEC CHAIRMAN ANNOUNCES NEW HELP TO FACILITATE PAYMENTS TO VICTIMS OF HURRICANES KATRINA AND RITA On October 4, Securities and Exchange Commission Chairman Christopher Cox announced new regulatory relief designed to help ensure that insurers have the capital and liquidity to pay Hurricane Katrina and Rita victims. With insurance rating agencies issuing ratings warnings based on concerns that losses from Katrina and Rita may cause capital shortfalls and liquidity concerns, it is vital for the Commission to take steps to eliminate delays in the process of insurers and reinsurers tapping the capital markets. “The SEC remains committed to doing everything possible for the victims of Hurricane Katrina and Hurricane Rita,” said Chairman Cox. “Our disclosure rules remain in force, but we will work to ensure that our regulatory processes do not interfere with market access. The SEC will do what it can to see to it that every victim’s insurance has the capital to back it up, and that there are no unnecessary delays in paying claims due to a lack of liquidity.” The Division of Corporation Finance has taken the following actions to enable insurers for victims of Katrina and Rita to take advantage of short-form registration statements on Form S-3, and to speed the processing of new registration statements. * For insurance and reinsurance companies with existing shelf registrations pursuant to Rule 415(a)(1)(x), the staff will permit the extended use of the Commission’s brief “notice” registration of additional securities under Rule 462(b). Under this extension, the staff will permit use of those procedures - including notice by fax and immediate effectiveness – to register additional securities in an amount up to 20% of the dollar amount of securities originally registered on that shelf registration statement (rather than the amount remaining on that registration statement). * The Division of Corporation Finance will process Securities Act filings by reporting insurance and reinsurance companies within not more than five business days of their receipt. The Division of Corporation Finance has been instructed to continue these administrative steps through Dec. 1, 2005. While today’s action is addressed to the specific problem of helping the victims of Katrina and Rita to obtain prompt payment of their hurricane- related insurance claims, the Commission may find it necessary to extend similar kinds of administrative relief to other filers in the days ahead. The Commission has established both telephone and e-mail hotlines to provide immediate responses to questions, and to hear from those that want to advise the Commission of their needs. * Telephone calls should be directed to (202) 551-3300. * E-mail should be directed to cfhotline@sec.gov. Any questions regarding the administrative relief being extended today should be addressed to Suzanne Hayes, Office of Healthcare and Insurance, at (202) 551-3290. (Press Rel. 2005-142) ENFORCEMENT PROCEEDINGS COMMISSION REIMPOSES SANCTIONS ON MONETTA FINANCIAL SERVICES, INC. FOR VIOLATIONS OF ADVISERS ACT On remand from the Court of Appeals for the Seventh Circuit, the Commission reassessed the sanctions previously imposed on Monetta Financial Services, Inc. (MFS), a registered investment adviser. The Court affirmed the Commission's finding that MFS violated Section 206(2) of the Investment Advisers Act by failing to disclose to mutual fund advisory clients its allocations of shares in initial public offerings (IPOs) to a director and two trustees of those clients. However, the Court remanded the matter for reconsideration of the sanctions that the Commission had imposed. The Commission noted that MFS had breached its fiduciary duty to its fund clients by failing to disclose the IPO allocations. It further noted that the breach occurred in a situation that was "fraught with the potential for abuse." The allocations created the potential that the director and trustees might favor MFS's interests over those of their funds, which could have subverted the oversight of MFS and allowed it to act in its own self-interest at the funds' expense. Taking into account all of the mitigative factors cited by the Court and MFS, the Commission concluded that the public interest would be served by censuring MFS and assessing a $40,000 civil money penalty. The Commission determined that these sanctions were appropriate in light of MFS's misconduct, and would serve the goal of deterring MFS and others from future violations. (Rel. IA-2438; File No. 3-9546) COMMISSION FINDS THAT STEVEN MUTH VIOLATED ANTIFRAUD PROVISIONS IN CONNECTION WITH THE PURCHASE AND SALE OF SPECULATIVE STOCKS AND THAT RICHARD ROUSE FAILED REASONABLY TO SUPERVISE MUTH’S CONDUCT The Commission found that Steven E. Muth, a former registered representative of former registered broker-dealer, Schneider Securities, Inc., violated Securities Act Section 17(a), Exchange Act Section 10(b), and Exchange Act Rule 10b-5 by making misrepresentations, recommending unsuitable margin purchases, and engaging in unauthorized trades, in connection with his customers’ transactions in speculative stocks. The Commission rejected Muth’s challenge to the credibility of the Division’s witnesses and his claim of being unable to pay the sanctions. The Commission ordered that Muth cease and desist from committing or causing any violation and committing or causing any future violation of the antifraud provisions, that he disgorge $14, 204.75, plus interest, and that he pay to a fair fund a civil money penalty of $770,000. The Commission also found that Richard J. Rouse, a former executive vice president, owner and director of Schneider, failed reasonably to supervise Muth within the meaning of Exchange Act Section 15(b)(4)(E). The Commission rejected Rouse’s contentions that Muth violated no laws, that Rouse had no supervisory authority over Muth, that the person to whom Rouse delegated his authority properly supervised Muth, and that all required supervisory procedures were implemented reasonably. The Commission barred Rouse from association with any broker or dealer in any supervisory capacity with the right to reapply for association after one year. The Commission also suspended Rouse from association with any broker or dealer in any capacity for nine months. The Commission found that the suspension and bar were sufficient sanctions to protect the public interest, and, in conjunction with the financial information submitted by Rouse with respect to his claimed inability to pay, determined not to assess a civil money penalty against Rouse. (Rels. 33-8622; 34-11344; 3-11344) SEC CHARGES FORMER CFO AND CEO OF SIGHT RESOURCE CORPORATION WITH SECURITIES LAW VIOLATIONS On October 3, the U.S. Securities and Exchange Commission instituted settled administrative and cease-and-desist proceedings against the former CFO, Duane Kimble, and former CEO, Carene Kunkler, of Sight Resource Corporation, a Cincinnati, Ohio-based distributor and retailer of eyewear. In its order, the SEC found that Kimble and Kunkler violated, directly or indirectly, certain reporting, record keeping, and internal controls provisions of the federal securities laws, and Kimble engaged in securities fraud. In a settled civil action filed in United States District Court for the Southern District of Ohio, the SEC is seeking civil penalties against Kimble and Kunkler. According to the SEC, during Sight Resource’s 2002 fiscal year, Kimble made, and directed other Sight Resource accounting personnel to make, journal entries with inadequate documentation. The entries had the effect of improving the appearance of the company’s financial condition. The entries, coupled with other accounting errors, also permitted, on two occasions, Sight Resource to satisfy its bank loan debt covenants, which prescribed, on a quarterly basis, a maximum allowable net loss. If Sight Resource had breached its debt covenants, it could have been charged penalties and possibly a higher interest rate by the lender. The SEC’s order also found that on March 28, 2003, and April 14, 2003, Sight Resource filed Forms 12b-25 and 8-K that gave false and misleading explanations of why Sight Resource was unable to file its 2002 Form 10-K on time. The Forms 12b-25 and 8-K were reviewed prior to filing by Kimble and Kunkler, and signed by Kimble. Moreover, according to the SEC, Kimble and Kunkler failed to establish adequate internal controls at Sight Resource and, on Nov. 18, 2002, filed false and misleading Sarbanes-Oxley Act certifications relating to the company’s disclosure controls. Without admitting or denying the findings in the SEC’s order, or the allegations in the SEC’s complaint, Kimble and Kunkler have agreed to cease and desist from committing or causing violations of Section 13(b)(5) of the Securities Exchange Act of 1934 and Rule 13a-14 thereunder, and from causing violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 12b-25, 13a-11 and 13a-13 thereunder. They have also consented to pay civil money penalties. Furthermore, Kimble has agreed to cease and desist from committing or causing violations of Section 10(b) of the Exchange Act and Rules 10b-5, 13b2-1, and 13b2-2 thereunder; and consented to the institution of proceedings, under Rule 102(e)(1)(iii) of the Commission’s Rules of Practice, based on his willful violations of the federal securities laws, denying him the privilege of appearing or practicing before the Commission as an accountant, with the right to apply for reinstatement in three years. (Rels. 34-52554; AAER-2329; File No. 3-12069) SEC OBTAINS FINAL JUDGMENTS BY DEFAULT AGAINST UNITED CURRENCY GROUP, INC. AND ADAM SWICKLE On Sept. 23, 2005, and Aug. 3, 2005, the United States District Court for the Southern District of New York entered final judgments by default against United Currency Group, Inc. (UCG) and Adam Swickle. The final judgments permanently enjoin the defendants from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. In addition, the final judgment entered against Swickle orders him to pay disgorgement of $483,989 plus prejudgment interest of $107,841.84, and imposes a civil monetary penalty of $120,000. The Commission’s complaint alleged that defendants Swickle and UCG conducted a fraudulent offering of UCG securities. Specifically, beginning in May 2001 and continuing through December 2002, Swickle solicited investments in UCG through an unregistered offering of securities. In connection with the offering, Swickle circulated private placement memoranda to prospective investors that contained material misrepresentations, and omitted material facts, about the identity of UCG’s officers and directors, Swickle’s background, and UCG’s and Swickle’s use of corporate funds. In addition, Swickle made oral misrepresentations to potential investors about UCG’s plans to conduct an initial public offering and about the price levels that UCG stock would achieve once it became publicly traded. Defendant UCG failed to respond to the Commission’s complaint, and defendant Swickle failed to defend the action. Accordingly, the Commission sought the entry of the final judgments against the defendants based on their defaults. See LR-18471. [SEC v. United Currency Group, Inc. et al., 03 CV 9161, S.D.N.Y.] (LR-19411) SEC OBTAINS SECOND ORDER REQUIRING DEFENDANT RANDALL T. TREADWELL TO SHOW CAUSE WHY HE SHOULD NOT BE HELD IN CIVIL CONTEMPT On Sept. 22, 2005, the Honorable Thomas J. Whelan, United States District Judge for the Southern District of California, issued an order to defendant Randall T. Treadwell, age 47, of Savannah, Ga., to show cause why he should not be held in civil contempt for violating the court’s preliminary orders enjoining him from future securities law violations and freezing his assets, among other things. This is the second such order issued by the court against Treadwell. According to the Commission’s latest contempt application, Treadwell: Offered and sold unregistered securities in violation of the court’s order for an entity called The Diamond Development Group, LLP; made false representations regarding Diamond Development and the securities that it had sold; and withdrew more than $43,000 from a bank account that was subject to the court’s orders that froze all of the defendants’ assets. The court issued a separate order on Sept. 23, 2005, requiring Treadwell to appear on Oct. 17, 2005, and show cause why an order of civil contempt should not be issued, why he should not be incarcerated, why he should not be fined $1,000 per day, and why he should not be ordered to surrender his passport pending his compliance with the court’s orders including identification and surrender of all assets raised by his offer and sale of the unregistered securities. On Oct. 12, 2004, the Commission filed a complaint against Treadwell, Rick D. Sluder, Larry C. Saturday, Arnulfo M. Acosta, and Learn Waterhouse, Inc., alleging that they had raised millions from 1700 investors in a nationwide Ponzi scheme. On Nov. 1, 2004, Thomas Lennon was appointed as the permanent receiver over Learn Waterhouse and given authority over all of its assets. The court also ordered the defendants to repatriate all assets from abroad, and issued a preliminary injunction prohibiting all of the defendants from future violations of the antifraud and registration provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934. On Jan. 26, 2005, the court issued an order to show cause against Treadwell why he should not be held in civil contempt for violating the court’s orders and, on Feb. 23, 2005, the court issued an order finding Treadwell in civil contempt. Treadwell is the former chairman, president and chief operating officer of Learn Waterhouse, a Texas corporation, which allegedly operated a fictitious prime bank trading program. In addition to the relief already obtained, the Commission seeks permanent injunctions, disgorgement and civil penalties from all of the defendants. [SEC v. Learn Waterhouse, Inc.; Randall T. Treadwell; Rick D. Sluder; Larry C. Saturday; and Arnulfo M. Acosta; Civil Action No. 04- CV-2037 W, LSP, S.D. Cal.] (LR-19412) INVESTMENT COMPANY ACT RELEASES NOTICES OF DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT For the month of September 2005, a notice has been issued giving interested persons until October 25 to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act declaring that the applicant has ceased to be an investment company: The Aquinas Funds, Inc. [File No. 811-8122] AllianceBernstein Capital Reserves [File No. 811-2835] AllianceBernstein Government Reserves [File No. 811-2889] AllianceBernstein Municipal Trust [File No. 811-3586] BLK Subsidiary Inc. [File No. 811-8453] The BlackRock 2001 Term Trust Inc. [File No. 811-6710] The BlackRock Strategic Term Trust Inc. [File No. 811-6189] CCMI Funds [File No. 811-6561] Oppenheimer Select Managers Series [File No. 811-10153] The BlackRock Target Term Trust Inc. [File No. 811-5657] The BlackRock 1998 Term Trust Inc. [File No. 811-6284] The BlackRock 1999 Term Trust Inc. [File No. 811-7312] Navellier Variable Insurance Series Fund, Inc. [File No. 811-8079] (Rel. IC-27107 – Sept. 30, 2005) HOLDING COMPANY ACT RELEASES NORTHEAST UTILITIES, ET AL. A notice has been issued giving interested persons until October 21 to request a hearing on a proposal by Northeast Utilities (NU), a registered holding company, and certain of its subsidiaries to increase the amount of short-term debt that NU may incur through June 30, 2007, to $700 million, to delete certain investment grade conditions for the issuance of certain securities by NU and certain subsidiaries, to add North Atlantic Energy Service Corporation as a participant in the NU money pool and to increase Holyoke Water Power Company’s money pool limit to $35 million. (Rel. 35-28041) SELF REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENES OF PROPOSED RULE CHANGE A proposed rule change filed by NASD through its subsidiary, The Nasdaq Stock Market, Inc., to amend NASD Rule 11890 (SR-NASD-2005-115) has become immediately 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 October 3. (Rel. 34-52549) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change and Amendment No. 1 thereto and granted accelerated approval to Amendment No. 2 thereto (SR- NASD-2005-030) filed by NASD under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to the proposed Uniform Branch Office Registration Form (“Form BR”) and amendments to the Uniform Application for Securities Industry Registration or Transfer (“Form U4”) and the Uniform Termination Notice for Securities Industry Registration (“Form U5”). Publication of the order is expected in the Federal Register during the week of October 3. (Rel. 34-52544) PROPOSED RULE CHANGE The New York Stock Exchange has filed a proposed rule change (SR-NYSE- 2005-64) under Rule 19b-4 of the Securities Exchange Act of 1934 to add rules regarding time tracking requirements of specialists and specialist organizations to its Minor Rule Violation Plan. Publication of the proposal is expected in the Federal Register during the week of October 3. (Rel. 34-52550) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change filed by the Municipal Securities Rulemaking Board (SR-MSRB-2005-02) under Section 19(b)(2) of the Securities Exchange Act of 1934 relating to amendments to MSRB Rule G-20, on gifts and gratuities, and MSRB Rule G-8, on recordkeeping. (Rel. 34-52555) The Commission approved a proposed rule change (SR-NYSE-2005-13) filed by the New York Stock Exchange under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to the proposed Uniform Branch Office Registration Form (“Form BR”). Publication of the order is expected in the Federal Register during the week of October 3. (Rel. 34-52543) 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: . SB-2 Utilicraft Aerospace Industries, Inc., 554 BRISCOE BOULEVARD, LAWRENCEVILLE, GA, 30045, (678) 376-0898 - 0 ($11,236,604.00) Equity, (File 333-128758 - Oct. 3) (BR. 09) SB-2 INTEGRATED ENVIRONMENTAL TECHNOLOGIES, LTD., 4235 COMMERCE STREET, LITTLE RIVER, SC, 29566, 843-390-2500 - 34,655,000 ($8,660,000.00) Equity, (File 333-128759 - Oct. 3) (BR. 06C) S-4 LAMAR MEDIA CORP/DE, 5551 CORPORATE BLVD, BATON ROUGE, LA, 70808, 5049261000 - 0 ($400,000,000.00) Non-Convertible Debt, (File 333-128760 - Oct. 3) (BR. 11C) S-8 STRATEX NETWORKS INC, 170 ROSE ORCHARD WAY, SAN JOSE, CA, 95134, 4089430777 - 900,000 ($2,187,000.00) Equity, (File 333-128761 - Oct. 3) (BR. 11B) S-4 TMSF REIT INC., 727 W 7TH ST., SUITE 850, LOS ANGELES, CA, 90017, 213 234 2401 - 3,436,500 ($50,688,375.00) Equity, (File 333-128762 - Oct. 3) (BR. 08) N-2 JAPAN SMALLER CAPITALIZATION FUND INC, 2 WORLD FINANCIAL CENTER, BUILDING B, 22ND FLOOR, NEW YORK, NY, 10281-1712, 8008330018 - 61,728 ($1,000,000.00) Equity, (File 333-128763 - Oct. 3) (BR. 17) S-8 BOSTON PRIVATE FINANCIAL HOLDINGS INC, 10 POST OFFICE SQ, BOSTON, MA, 02109, 6175561900 - 823,992 ($4,769,387.44) Equity, (File 333-128764 - Oct. 3) (BR. 07B) S-1 IOMAI CORP, 20 FIRSTFIELD ROAD, SUITE 250, GAITHERSBURG, MD, 20878, 301-556-4537 - 0 ($86,250,000.00) Equity, (File 333-128765 - Oct. 3) (BR. 01) S-8 US AIRWAYS GROUP INC, 2345 CRYSTAL DR, ARLINGTON, VA, 22227, 7038727000 - 17,558,542 ($367,355,256.03) Equity, (File 333-128766 - Oct. 3) (BR. 05C) S-4 SECURITY BANK CORP, 4719 FORSYTH RD, MACON, GA, 31210, 4787226200 - 0 ($15,078,248.00) Equity, (File 333-128767 - Oct. 3) (BR. 07A) SB-2 iVoice Technology, Inc., 750 HIGHWAY 34, MATAWAN, NJ, 07747, 732-441-7700 - 1,053,781,579 ($10,537,816.00) Equity, (File 333-128768 - Oct. 3) (BR. 09A) S-3 FARMSTEAD TELEPHONE GROUP INC, 22 PRESTIGE PARK CIRCLE, EAST HARTFORD, CT, 06108, 8602820010 - 325,000 ($1,085,500.00) Equity, (File 333-128769 - Oct. 3) (BR. 10B) F-3 BHP BILLITON FINANCE USA LTD, 0 ($3,000,000,000.00) Other, (File 333-128770 - Oct. 3) (BR. 04) S-8 MSO HOLDINGS INC, 2333 WAUKEGAN ROAD, SUITE 175, BANNOCKBURN, IL, 60015, 847-267-0801 - 2,996,428 ($3,685,606.36) Equity, (File 333-128771 - Oct. 3) (BR. 01) S-3 BIOPHAN TECHNOLOGIES INC, 150 LUCIUS GORDON DR, STE 215, WEST HENRIETTA, NY, 14586, 5852142441 - 18,583,062 ($45,156,841.00) Equity, (File 333-128774 - Oct. 3) (BR. 10A) S-3 CSK AUTO CORP, 645 E MISSOURI AVENUE, PHOENIX, AZ, 85012, 6022659200 - 125,000,000 ($125,000,000.00) Equity, (File 333-128775 - Oct. 3) (BR. 02A) S-8 BIRNER DENTAL MANAGEMENT SERVICES INC, 3801 E FLORIDA AVE STE 208, DENVER, CO, 80218, 3036910680 - 150,000 ($2,512,500.00) Equity, (File 333-128776 - Oct. 3) (BR. 08B) S-3 ELECTRIC CITY CORP, 1280 LANDMEIER ROAD, ELK GROVE, IL, 60007, 8474371666 - 14,369,457 ($11,351,871.00) Equity, (File 333-128777 - Oct. 3) (BR. 10B) F-6 ADMIRALTY RESOURCES NL, LEVEL 6, 150 QUEEN STREET, MELBOURNE, VICTORIA, C3, 3000, 613-9642-3535 - 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-128778 - Oct. 3) (BR. ) S-8 XPONENTIAL INC, 6400 ATLANTIC BLVD, SUITE 190, NORCROSS, GA, 30071, 678-720-0660 - 0 ($731,250.00) Equity, (File 333-128781 - Oct. 3) (BR. 02A) S-3 GLADSTONE COMMERCIAL CORP, 1521 WESTBRANCH DRIVE, MCLEAN, VA, 22102, 703-287-5800 - 0 ($75,000,000.00) Equity, (File 333-128783 - Oct. 3) (BR. 08C) S-4 ACCO BRANDS CORP, 300 TOWER PARKWAY, LINCOLNSHIRE, IL, 60069, 847-484-4800 - 0 ($350,000,000.00) Other, (File 333-128784 - Oct. 3) (BR. 05A) SB-2 UNIVERSAL GUARDIAN HOLDINGS INC, 4695 MACARTHUR COURT, SUITE 300, NEWPORT BEACH, CA, 92660, 949-861-8295 - 533,862 ($613,941.30) Equity, (File 333-128785 - Oct. 3) (BR. 08C) S-3 AXIS CAPITAL HOLDINGS LTD, 106 PITTS BAY ROAD, PEMBROKE, D0, 00000, 4412962600 - 0 ($1,500,000,000.00) Equity, (File 333-128786 - Oct. 3) (BR. 01A) S-8 NORTHFIELD LABORATORIES INC /DE/, 1560 SHERMAN AVE, SUITE 1000, EVANSTON, IL, 60201-4800, 8478643500 - 1,500,000 ($19,470,000.00) Equity, (File 333-128787 - Oct. 3) (BR. 01B) S-1 WINDSWEPT ENVIRONMENTAL GROUP INC, 100 SWEENEYDALE AVE, BAY SHORE, NY, 11706, 5166947060 - 84,472,512 ($27,875,928.00) Equity, (File 333-128788 - Oct. 3) (BR. 06C) S-8 AMERIPRISE FINANCIAL INC, 50606 AMERIPRISE FINANCIAL CENTER, H27/52, MINNEAPOLIS, MN, 55474, 612-671-2711 - 37,900,000 ($1,368,190,000.00) Equity, (File 333-128789 - Oct. 3) (BR. 07) S-8 AMERIPRISE FINANCIAL INC, 50606 AMERIPRISE FINANCIAL CENTER, H27/52, MINNEAPOLIS, MN, 55474, 612-671-2711 - 2,500,000 ($90,250,000.00) Equity, (File 333-128790 - Oct. 3) (BR. 07) S-8 AMERIPRISE FINANCIAL INC, 50606 AMERIPRISE FINANCIAL CENTER, H27/52, MINNEAPOLIS, MN, 55474, 612-671-2711 - 2,500,000 ($90,250,000.00) Equity, (File 333-128791 - Oct. 3) (BR. 07) S-4 SUN BANCORP INC /NJ/, 226 LANDIS AVENUE, VINELAND, NJ, 08360, 8566917700 - 1,159,880 ($24,405,453.00) Equity, (File 333-128793 - Oct. 3) (BR. 07C) S-4 BANCORPSOUTH INC, ONE MISSISSIPPI PL, TUPELO, MS, 38804, 6626802000 - 1,158,854 ($24,999,807.00) Equity, (File 333-128794 - Oct. 3) (BR. 07A) S-4 CREATIVE COMPUTER APPLICATIONS INC, 26115 A MUREAU RD, CALABASAS, CA, 91302, 8188806700 - 0 ($51,461.24) Equity, (File 333-128795 - Oct. 3) (BR. 03A) 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 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 DATE COMMENT 3COM CORP DE 1.01,9.01 09/28/05 AB HOLDING GROUP, INC. DE 2.01,9.01 09/29/05 ABRAXAS PETROLEUM CORP NV 7.01,9.01 10/03/05 ACCENTURE SCA 3.02 09/28/05 ACCO BRANDS CORP DE 1.01,5.02 09/27/05 ACE CASH EXPRESS INC/TX TX 8.01 09/29/05 ACE CASH EXPRESS INC/TX TX 1.01,9.01 10/03/05 ACE LTD D0 7.01,9.01 10/03/05 ACE LTD D0 7.01 10/03/05 ACTIVCARD CORP DE 1.01,9.01 09/29/05 ACURA PHARMACEUTICALS, INC NY 3.02 09/30/05 ACUSPHERE INC DE 1.01,9.01 09/29/05 Adams Respiratory Therapeutics, Inc. TX 5.02,8.01,9.01 10/01/05 ADELPHIA COMMUNICATIONS CORP DE 7.01,9.01 09/28/05 ADVANTAGE CAPITAL DEVELOPMENT CORP NV 8.01 10/03/05 AEROFLEX INC DE 5.02 10/03/05 AFFILIATED COMPUTER SERVICES INC DE 1.01,5.02,9.01 09/29/05 AFFILIATED COMPUTER SERVICES INC DE 8.01 09/30/05 AIRTRAX INC NJ 5.02,9.01 09/30/05 ALLIANCE LAUNDRY SYSTEMS LLC 1.01 09/28/05 ALLIANCE SEMICONDUCTOR CORP /DE/ DE 7.01,8.01,9.01 09/30/05 ALLIED CAPITAL CORP MD 1.01,2.03,9.01 09/30/05 ALLIED DEFENSE GROUP INC DE 4.01,9.01 09/27/05 ALLIED WASTE INDUSTRIES INC DE 5.02 09/29/05 ALLION HEALTHCARE INC DE 8.01,9.01 09/29/05 ALTEON INC /DE DE 8.01,9.01 09/30/05 AMERICAN ENTERPRISE MVA ACCOUNT IN 7.01,9.01 09/30/05 AMERICAN GOLDEN CENTURY INVESTMENTS I 9.01 10/01/05 AMEND AMERICAN REALTY INVESTORS INC NV 5.02 10/03/05 AMERIPRISE CERTIFICATE CO DE 7.01,9.01 09/30/05 AMKOR TECHNOLOGY INC DE 8.01 09/23/05 AMPAL-AMERICAN ISRAEL CORP NY 2.01,9.01 10/03/05 AMSURG CORP TN 2.02,7.01,9.01 10/03/05 ANZA CAPITAL INC NV 1.01 09/30/05 APAC CUSTOMER SERVICE INC IL 5.02,9.01 09/29/05 ARCHIPELAGO HOLDINGS INC 1.02 09/27/05 ARIAD PHARMACEUTICALS INC DE 1.01 09/27/05 ARVINMERITOR INC IN 2.03,8.01,9.01 10/03/05 ASCONI CORP NV 3.01,8.01,9.01 09/27/05 ASPEN INSURANCE HOLDINGS LTD D0 7.01,9.01 10/03/05 ASSET BACKED FUNDING CORP DE 8.01,9.01 09/23/05 Asset Backed Pass-Through Certificate DE 8.01,9.01 09/26/05 ASSET BACKED SECURITIES CORP DE 8.01,9.01 10/03/05 ASSOCIATED BANC-CORP WI 2.01 10/03/05 ATA HOLDINGS CORP IN 1.01,9.01 09/28/05 ATLAS AIR WORLDWIDE HOLDINGS INC DE 8.01,9.01 10/02/05 AVATECH SOLUTIONS INC DE 2.02,9.01 09/30/05 B&D Food Corp. DE 2.01,9.01 07/08/05 AMEND Banc of America Alternative Loan Trus DE 8.01,9.01 09/26/05 Banc of America Funding 2005-3 Trust DE 8.01,9.01 09/26/05 BANCORPSOUTH INC MS 2.02,7.01,9.01 10/03/05 BANKRATE INC FL 8.01,9.01 10/03/05 Bay View Deposit CORP DE 9.01 09/30/05 Bay View Deposit CORP DE 9.01 09/30/05 BAY VIEW SECURITIZATION CORP DE 9.01 09/30/05 BAY VIEW TRANSACTION CORP 9.01 09/30/05 Bayview Financial Mortgage Pass-Throu DE 8.01,9.01 09/28/05 Bayview Financial Mortgage Pass-Throu DE 8.01,9.01 09/28/05 BEACON POWER CORP DE 1.01,9.01 09/27/05 BERKSHIRE HILLS BANCORP INC 7.01,9.01 10/03/05 BERRY PETROLEUM CO DE 5.02,9.01 10/03/05 BERTUCCIS CORP DE 1.01,3.02,5.02,9.01 09/21/05 BEVERLY ENTERPRISES INC DE 8.01,9.01 10/02/05 BIG 5 SPORTING GOODS CORP DE 2.02,9.01 09/30/05 BIG SKY ENERGY CORP NV 8.01 09/30/05 BIG SKY ENERGY CORP NV 8.01 09/30/05 BIOGEN IDEC INC DE 5.03,8.01,9.01 09/27/05 BIOLASE TECHNOLOGY INC DE 2.02,9.01 09/30/05 BIONUTRICS INC NV 9.01 10/03/05 BLUE DOLPHIN ENERGY CO DE 8.01,9.01 10/03/05 BLUEGREEN CORP MA 2.03 09/27/05 BMB MUNAI INC NV 4.02 07/12/05 BRAINSTORM CELL THERAPEUTICS INC 1.01,3.02,9.01 09/30/05 BRINKER INTERNATIONAL INC DE 8.01,9.01 10/03/05 BUCKEYE TECHNOLOGIES INC DE 8.01,9.01 09/30/05 BUILD A BEAR WORKSHOP INC DE 1.01,9.01 09/27/05 CADIZ INC DE 1.01,5.02,9.01 10/03/05 CADMUS COMMUNICATIONS CORP/NEW VA 1.01,2.03,9.01 09/28/05 CAL DIVE INTERNATIONAL INC MN 7.01,9.01 09/28/05 CANADIAN DERIVATIVES CLEARING CORP A6 9.01 09/30/05 CANCERVAX CORP DE 7.01,8.01,9.01 10/03/05 Capital One Auto Receivables LLC DE 8.01,9.01 10/03/05 CAPITAL SOLUTIONS I, INC. DE 7.01,9.01 10/03/05 CAPTEC FRANCHISE CAPITAL PARTNERS L P DE 2.01,9.01 09/28/05 Cardiac Science CORP 1.01,1.02,9.01 09/30/05 CARDINAL COMMUNICATIONS, INC NV 8.01,9.01 07/20/05 CARDINAL HEALTH INC OH 1.01,9.01 09/29/05 Cascade Energy, Inc. NV 1.01,2.01,9.01 06/30/05 CATCHER HOLDINGS INC 1.01,9.01 09/27/05 CDKNET COM INC DE 1.01,2.03,3.02,9.01 08/31/05 CENTENE CORP 8.01,9.01 09/28/05 CENTURY CASINOS INC /CO/ DE 1.01,8.01,9.01 10/03/05 CERTIFIED SERVICES INC NV 2.01,2.04,5.02,9.01 09/02/05 AMEND CFS BANCORP INC DE 7.01,9.01 10/03/05 CHEMBIO DIAGNOSTICS, INC. NV 2.02,9.01 10/03/05 CITIZENS BANCORP OF VIRGINIA INC VA 5.02 09/27/05 CITY INVESTING CO LIQUIDATING TRUST DE 3.01,9.01 09/28/05 CITY NATIONAL BANCSHARES CORP NJ 3.02 09/30/05 CLANCY SYSTEMS INTERNATIONAL INC /CO/ CO 1.01,4.01 09/30/05 CMGI INC DE 2.02,9.01 10/03/05 CNL Hotels & Resorts, Inc. MD 1.01,9.01 10/03/05 COACTIVE MARKETING GROUP INC DE 5.02,9.01 09/29/05 COLONY RIH HOLDINGS INC DE 1.01,9.01 09/28/05 COLUMBUS SOUTHERN POWER CO /OH/ OH 2.06 09/27/05 COMMERCIAL CAPITAL BANCORP INC NV 8.01,9.01 10/03/05 COMPASS MINERALS INTERNATIONAL INC DE 7.01,9.01 09/27/05 COMPETITIVE TECHNOLOGIES INC DE 2.02,9.01 10/03/05 COMTEX NEWS NETWORK INC DE 2.02,9.01 09/30/05 CONCORD CAMERA CORP NJ 2.02,9.01 10/03/05 Connected Media Technologies, Inc. 1.01,9.01 09/30/05 CONOCOPHILLIPS DE 2.02,9.01 10/03/05 CONSOLIDATED GRAPHICS INC /TX/ TX 8.01,9.01 10/03/05 CONSOLIDATED WATER CO LTD E6 1.01,3.03,9.01 09/27/05 Cord Blood America, Inc. FL 7.01,8.01,9.01 10/03/05 COUNTRYWIDE FINANCIAL CORP DE 1.01,9.01 09/27/05 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 10/03/05 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 9.01 10/03/05 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 09/30/05 CREDIT SUISSE FIRST BOSTON USA INC DE 9.01 09/29/05 CREDIT SUISSE FIRST BOSTON USA INC DE 9.01 09/29/05 CREDIT SUISSE FIRST BOSTON USA INC DE 9.01 09/29/05 CROSS COUNTRY HEALTHCARE INC DE 7.01,9.01 10/03/05 CRYOLIFE INC FL 1.01,2.03 09/30/05 CSFB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 09/26/05 CSFB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 09/26/05 CSFB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 09/26/05 CSFB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 09/26/05 CSFB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 09/26/05 CSFB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 09/26/05 CSFB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 09/26/05 CULP INC NC 1.01 09/27/05 CULP INC NC 2.05,9.01 09/27/05 CWALT INC 8.01,9.01 10/02/05 CWALT INC 8.01,9.01 09/29/05 CWALT INC 8.01,9.01 09/30/05 CWALT INC 8.01,9.01 09/29/05 CWMBS INC DE 8.01,9.01 09/29/05 CWMBS INC DE 8.01,9.01 09/28/05 CYBER DEFENSE SYSTEMS INC FL 8.01,9.01 10/03/05 CYBERONICS INC DE 1.01,2.03,3.02,9.01 09/27/05 CYTRX CORP DE 8.01 09/30/05 DANKA BUSINESS SYSTEMS PLC 1.01,9.01 10/03/05 DEERE & CO DE 7.01 10/03/05 DELPHI CORP DE 8.01,9.01 09/30/05 DELTA MUTUAL INC 3.02 08/26/05 DENDRITE INTERNATIONAL INC NJ 1.01,5.02,9.01 09/27/05 DEUTSCHE ALT-A SECURITIES INC 8.01,9.01 09/30/05 Deutsche Alt-A Securities, Inc. Mortg 8.01,9.01 09/26/05 Deutsche Alt-A Securities, Inc. Mortg 8.01,9.01 09/26/05 Deutsche Alt-A Securities, Inc. Mortg 8.01,9.01 09/26/05 Deutsche Alt-A Securities, Inc. Mortg 8.01,9.01 09/26/05 DEVCON INTERNATIONAL CORP FL 1.01,9.01 09/30/05 DEVELOPERS DIVERSIFIED REALTY CORP OH 8.01 09/30/05 DEVELOPERS DIVERSIFIED REALTY CORP OH 9.01 09/30/05 DIAMOND HILL INVESTMENT GROUP INC OH 8.01 09/30/05 DIGI INTERNATIONAL INC DE 1.01 09/27/05 DOVER CORP DE 2.01,7.01,8.01,9.01 09/27/05 DOW CHEMICAL CO /DE/ DE 1.01,9.01 09/30/05 DOW CHEMICAL CO /DE/ DE 5.02 09/27/05 DUANE READE HOLDINGS INC 4.01,9.01 09/27/05 DUNE ENERGY INC DE 3.02,8.01,9.01 09/30/05 E TRADE FINANCIAL CORP DE 1.01,9.01 09/28/05 ENBRIDGE ENERGY PARTNERS LP DE 7.01,9.01 10/03/05 ENCLAVES GROUP INC DE 4.01,9.01 10/03/05 ENDO PHARMACEUTICALS HOLDINGS INC DE 8.01,9.01 10/03/05 ENDURANCE SPECIALTY HOLDINGS LTD 8.01 10/03/05 ENDURANCE SPECIALTY HOLDINGS LTD 8.01,9.01 10/03/05 ESCALA GROUP INC NY 1.01,5.02,5.03,8.01,9.01 09/27/05 EUROWEB INTERNATIONAL CORP DE 1.01,2.03,9.01 09/27/05 EVCI Career Colleges Holding Corp DE 1.01,9.01 09/29/05 EVOLVE ONCOLOGY INC DE 4.01,9.01 10/03/05 EWORLDMEDIA HOLDINGS INC NV 1.01,3.02 10/03/05 EWORLDMEDIA HOLDINGS INC NV 1.01,3.02 10/03/05 eXegenics Inc DE 4.01 09/29/05 FAIRCHILD CORP DE 5.02,9.01 10/03/05 FAIRPOINT COMMUNICATIONS INC DE 1.01,8.01,9.01 09/30/05 FIDELIS ENERGY INC NV 1.01,2.01,9.01 08/15/05 Fieldstone Mortgage Investment Trust, MD 8.01,9.01 09/26/05 FINOVA GROUP INC DE 8.01 10/03/05 FIRST ACCEPTANCE CORP /DE/ DE 4.01,9.01 09/27/05 FIRST ADVANTAGE CORP DE 2.01,9.01 09/14/05 AMEND FIRST CONSULTING GROUP INC DE 7.01,9.01 09/30/05 First Franklin Mortgage Loan Trust, S DE 8.01,9.01 09/26/05 FIRST HORIZON ASSET SECURITIES INC DE 8.01,9.01 09/30/05 FIRST HORIZON ASSET SECURITIES INC DE 8.01,9.01 09/30/05 FIRST MARBLEHEAD CORP 5.02,7.01,9.01 09/27/05 FIRSTBANK CORP MI 8.01,9.01 10/01/05 FLEXPOINT SENSOR SYSTEMS INC DE 1.01,9.01 09/28/05 FONIX CORP DE 1.01,1.02 09/27/05 FOOTSTAR INC DE 7.01,9.01 09/30/05 Ford Credit Auto Owner Trust 2005-C DE 8.01,9.01 09/26/05 FORD MOTOR CO DE 8.01,9.01 10/03/05 FORD MOTOR CREDIT CO DE 8.01,9.01 10/03/05 FOREST OIL CORP NY 8.01,9.01 09/30/05 FOSSIL INC DE 1.01,2.03,9.01 09/27/05 Fremont Home Loan Trust 2005-A DE 8.01,9.01 09/26/05 Fremont Home Loan Trust 2005-B DE 8.01,9.01 09/26/05 FREMONT HOME LOAN TRUST 2005-C DE 8.01,9.01 09/26/05 FRIEDMANS INC DE 7.01 09/27/05 FX ENERGY INC NV 7.01,9.01 10/03/05 GASCO ENERGY INC NV 8.01,9.01 10/03/05 GATEWAY FINANCIAL HOLDINGS INC NC 5.02,9.01 09/29/05 GENERAL MOTORS CORP DE 8.01 10/03/05 GENERAL STEEL HOLDINGS INC NV 1.01,9.01 09/28/05 GENESIS BIOVENTURES INC NY 3.01 10/03/05 GENUINE PARTS CO GA 7.01,9.01 10/03/05 GIANT INDUSTRIES INC DE 1.01 09/30/05 GLACIER BANCORP INC DE 5.02,9.01 09/28/05 GLOBAL INNOVATIVE SYSTEMS INC NV 1.01,3.02,9.01 09/27/05 GOLDEN PATRIOT CORP NV 8.01 09/28/05 GOLDMAN SACHS HEDGE FUND PARTNERS II 7.01,9.01 10/03/05 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01,9.01 10/03/05 Green Mountain Capital Inc. 4.01 09/30/05 GreenPoint MTA Trust, Mortgage Pass-T DE 8.01,9.01 09/26/05 GREENS WORLDWIDE INC AZ 1.01,2.01,9.01 10/03/05 GRIDLINE COMMUNICATIONS HOLDINGS INC DE 4.01 10/03/05 GS Mortgage Securities Corp., Asset-B DE 8.01,9.01 09/26/05 GSAA Home Equity Trust 2005-6 DE 8.01,9.01 09/26/05 GSAA Home Equity Trust 2005-9 DE 8.01,9.01 09/26/05 GSR Mortgage Loan Trust 2005-AR3 DE 8.01,9.01 09/26/05 HarborView Mortgage Loan Trust 2005-1 DE 8.01,9.01 09/19/05 HARRAHS ENTERTAINMENT INC DE 1.01,2.03,9.01 09/28/05 HARRIS INTERACTIVE INC DE 1.01,9.01 09/28/05 HARTFORD LIFE INSURANCE CO CT 9.01 10/03/05 HASCO Trust 2005-NC1 8.01,9.01 09/26/05 HAYNES INTERNATIONAL INC DE 5.02,8.01,9.01 09/27/05 HEALTHCARE ACQUISITION CORP DE 8.01,9.01 10/03/05 HEALTHSTREAM INC TN 7.01,9.01 09/30/05 HEARTLAND BANCSHARES INC /IN/ IN 5.02,8.01,9.01 09/27/05 HERBST GAMING INC NV 2.01,9.01 10/03/05 AMEND HERCULES INC DE 8.01,9.01 09/30/05 HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 8.01,9.01 10/03/05 HIBERNIA CORP LA 5.04,9.01 10/03/05 HIGHER EDUCATION FUNDING I DE 8.01,9.01 09/26/05 Hiland Partners, LP 5.02 10/03/05 HINES REAL ESTATE INVESTMENT TRUST IN 8.01 09/29/05 Home Equity Mortgage Loan Asset-Backe DE 8.01,9.01 10/03/05 HomeBanc Mortgage Trust 2005-1 DE 8.01,9.01 09/26/05 HomeBanc Mortgage Trust 2005-2 DE 8.01,9.01 09/26/05 HomeBanc Mortgage Trust 2005-4 DE 8.01,9.01 09/26/05 AMEND HONEYWELL INTERNATIONAL INC DE 1.01 09/30/05 House of Taylor Jewelry, Inc. NV 5.02,9.01 09/29/05 HSI ASSET SECURITIZATION CORP 8.01 09/28/05 HUNTINGTON BANCSHARES INC/MD MD 8.01,9.01 10/03/05 HYPERION SOLUTIONS CORP DE 8.01 10/03/05 ICO INC TX 8.01 09/30/05 IDEX CORP /DE/ DE 1.01 09/27/05 IDS LIFE INSURANCE CO MN 7.01,9.01 09/30/05 IDX SYSTEMS CORP VT 1.01,9.01 09/28/05 IKONA GEAR INTERNATIONAL INC NV 5.02 09/28/05 IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL 4.01 10/03/05 IMERGENT INC DE 2.02,9.01 09/29/05 IMMUNE RESPONSE CORP DE 1.01,3.01,3.02,9.01 09/27/05 IMPAC CMB TRUST SERIES 2005-2, COLLAT DE 8.01,9.01 09/26/05 Impac CMB Trust Series 2005-3, Collat DE 8.01,9.01 09/26/05 IMPAC MORTGAGE HOLDINGS INC MD 1.01,9.01 09/30/05 IndyMac INDB Mortgage Loan Trust 2005 2.01,9.01 09/21/05 INDYMAC MBS INC 8.01,9.01 09/29/05 INDYMAC MBS INC 8.01,9.01 09/29/05 INDYMAC RESIDENTIAL MORTGAGE-BACKED T DE 2.01,9.01 09/16/05 ING INSURANCE CO OF AMERICA CT 1.01 10/03/05 INKSURE TECHNOLOGIES INC. DE 1.01,2.03,3.02,9.01 10/03/05 INTERDIGITAL COMMUNICATIONS CORP PA 7.01 09/30/05 Intermix Media, Inc. DE 2.01,5.01,9.01 10/03/05 INTERNATIONAL BANCSHARES CORP TX 8.01 10/03/05 INTERNATIONAL TELECOMMUNICATION, INC. NV 1.01,2.01,8.01,9.01 09/23/05 INTRICON CORP PA 1.01,9.01 09/27/05 ISCO INTERNATIONAL INC DE 8.01,9.01 10/03/05 IVAX CORP FL 2.04,9.01 10/01/05 J.P. Morgan Mortgage Trust 2005-A1 DE 8.01,9.01 09/26/05 J.P. MORGAN MORTGAGE TRUST 2005-A2 DE 8.01,9.01 09/26/05 J.P. Morgan Mortgage Trust 2005-A3 DE 8.01,9.01 09/26/05 J.P. Morgan Mortgage Trust 2005-A4 DE 8.01,9.01 09/26/05 J.P. Morgan Mortgage Trust 2005-A5 DE 8.01,9.01 09/26/05 J.P. Morgan Mortgage Trust 2005-S1 DE 8.01,9.01 09/26/05 JANE BUTEL CORP 3.02,9.01 09/27/05 JMAR TECHNOLOGIES INC DE 1.01 09/27/05 KANA SOFTWARE INC DE 1.01,3.02,8.01,9.01 09/30/05 KANSAS CITY LIFE INSURANCE CO MO 8.01 10/03/05 KANSAS CITY SOUTHERN DE 1.01,3.03,9.01 09/29/05 KEITHLEY INSTRUMENTS INC OH 1.01 10/03/05 LACLEDE GROUP INC MO 7.01,9.01 09/30/05 LAFARGE NORTH AMERICA INC MD 1.01,9.01 09/29/05 LASERLOCK TECHNOLOGIES INC NV 5.02 09/30/05 LEARNING TREE INTERNATIONAL INC DE 1.01,5.02,9.01 09/27/05 LEE ENTERPRISES, INC DE 1.01 09/28/05 LENNAR CORP /NEW/ DE 5.02,9.01 09/30/05 LIFECELL CORP DE 5.02,8.01,9.01 09/29/05 LIPID SCIENCES INC/ AZ 7.01,9.01 10/03/05 LSB INDUSTRIES INC DE 8.01,9.01 10/03/05 M WAVE INC DE 5.02 09/27/05 MAC-GRAY CORP DE 8.01,9.01 10/03/05 MACERICH CO MD 4.01,9.01 09/13/05 MAINSOURCE FINANCIAL GROUP IN 5.02,7.01,9.01 10/03/05 MARSH & MCLENNAN COMPANIES, INC. DE 1.01,2.03 09/29/05 MASTR Asset Securitization Trust 2004 DE 8.01,9.01 09/01/05 MASTR Asset Securitization Trust 2004 DE 8.01,9.01 09/26/05 MATRIXX INITIATIVES INC DE 1.01,5.02,9.01 10/01/05 MCCORMICK & CO INC MD 5.02 09/27/05 MEDICAL STAFFING SOLUTIONS INC NV 1.01 09/02/05 MEDIS TECHNOLOGIES LTD DE 1.01,9.01 09/28/05 MFA MORTGAGE INVESTMENTS MD 2.02,7.01,9.01 10/03/05 MGE ENERGY INC WI 8.01 09/30/05 MICROFIELD GROUP INC OR 2.01,7.01,9.01 07/26/05 AMEND MID PENN BANCORP INC PA 8.01,9.01 09/28/05 MIDCAROLINA FINANCIAL CORP NC 8.01,9.01 09/30/05 MILACRON INC DE 7.01,9.01 09/28/05 MIRANT AMERICAS GENERATING LLC DE 5.02 09/30/05 MIRANT CORP DE 1.01,5.02,9.01 09/30/05 MIRANT MID ATLANTIC LLC DE 5.02 09/30/05 MITCHAM INDUSTRIES INC TX 9.01 07/12/05 AMEND MIV THERAPEUTICS INC NV 8.01,9.01 09/30/05 MONMOUTH CAPITAL CORP NJ 7.01 10/03/05 MONMOUTH REAL ESTATE INVESTMENT CORP MD 5.02,7.01,9.01 10/03/05 MORTGAGE ASSET SEC TRANSACTION INC MA DE 8.01,9.01 09/01/05 MORTGAGE ASSET SECURITIZATION TRANSAC DE 8.01,9.01 09/30/05 MOSAIC CO 2.02,9.01 10/03/05 MSO HOLDINGS INC 5.02 09/30/05 Mueller Group, Inc. DE 7.01 10/03/05 Mueller Water Products, Inc. DE 7.01 10/03/05 MVC CAPITAL, INC. DE 5.02,9.01 10/03/05 MYOGEN INC DE 7.01,9.01 09/30/05 NANOSCIENCE TECHNOLOGIES INC NV 5.02,8.01,9.01 10/03/05 National Collegiate Student Loan Trus 8.01,9.01 09/30/05 NATIONAL GLOBAL MBS MANAGER INC DE 9.01 09/30/05 National Interstate CORP OH 1.01,9.01 09/30/05 NAVISITE INC DE 1.01,8.01 09/27/05 NEIMAN MARCUS GROUP INC DE 7.01,9.01 10/03/05 NELNET INC NE 1.01,9.01 10/03/05 NETSOL TECHNOLOGIES INC NV 1.01 01/19/05 AMEND NETWORK ENGINES INC DE 5.02 09/30/05 NEW HORIZONS WORLDWIDE INC DE 4.01,9.01 07/21/05 AMEND NewGen Technologies, Inc NV 1.01,3.02,9.01 09/28/05 NEWS CORP 8.01,9.01 10/03/05 NEWTEK BUSINESS SERVICES INC NY 8.01 09/30/05 NOMURA ASSET ACCEPTANCE CORP DE 8.01,9.01 09/29/05 Nomura Home Equity Loan, Inc., Home E DE 8.01,9.01 09/26/05 NORTEL NETWORKS CORP 8.01,9.01 10/03/05 NORTEL NETWORKS LTD 8.01,9.01 10/03/05 NORTHFIELD LABORATORIES INC /DE/ DE 1.01,5.03,9.01 09/29/05 NOVELOS THERAPEUTICS, INC. DE 3.02,9.01 09/30/05 NRG ENERGY, INC. DE 1.01,7.01,8.01,9.01 09/30/05 NTL INC DE 8.01,9.01 10/03/05 NTS REALTY HOLDINGS LP DE 1.01,9.01 09/30/05 NUTRACEUTICAL INTERNATIONAL CORP DE 1.01,9.01 09/30/05 NYMEX HOLDINGS INC DE 8.01 10/03/05 OCG TECHNOLOGY INC DE 1.01 10/03/03 ONE LIBERTY PROPERTIES INC MD 5.02,9.01 09/30/05 ORMAT TECHNOLOGIES, INC. DE 5.02,9.01 10/03/05 PARAMETRIC TECHNOLOGY CORP MA 9.01 07/19/05 AMEND Park Place Securities Inc. Asset Back DE 8.01,9.01 09/26/05 Park Place Securities, Inc. Series 20 DE 8.01,9.01 09/26/05 Park Place Securities, Inc. Series 20 DE 8.01,9.01 09/26/05 Park Place Securities, Inc., Asset-Ba 8.01,9.01 09/26/05 Park Place Securities, Inc., Asset-Ba DE 8.01,9.01 09/26/05 Park Place Securities, Inc., Asset-Ba DE 8.01,9.01 09/26/05 Park Place Securities, Inc., Asset-Ba DE 8.01,9.01 09/26/05 Park Place Securities, Inc., Asset-Ba DE 8.01,9.01 09/26/05 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.03,9.01 09/30/05 PENWEST PHARMACEUTICALS CO WA 8.01,9.01 10/03/05 PEOPLES CHOICE HOME LOAN SECURITIES T 8.01,9.01 09/26/05 PEOPLES CHOICE HOME LOAN SECURITIES T 8.01,9.01 09/26/05 PEOPLES CHOICE HOME LOAN SECURITIES T 8.01,9.01 09/26/05 PHASE FORWARD INC DE 5.02,7.01,9.01 09/30/05 PHELPS DODGE CORP NY 1.01,2.03,9.01 09/30/05 PHOENIX TECHNOLOGIES LTD DE 5.02 09/30/05 PINNACLE AIRLINES CORP DE 8.01 09/30/05 PINNACLE FINANCIAL PARTNERS INC TN 1.01,2.02,8.01,9.01 09/30/05 PLUMAS BANCORP CA 1.01,2.03 09/27/05 PNM RESOURCES INC NM 8.01 10/03/05 POSITRON CORP TX 1.01,5.02,8.01,9.01 08/24/05 POSTER FINANCIAL GROUP INC NV 1.01,1.02,2.01,5.01,5.02,9.01 09/27/05 PRENTISS PROPERTIES TRUST/MD 8.01 09/28/05 PRIME MORTGAGE TRUST, MORTGAGE PASS-T 8.01,9.01 09/26/05 Prime Mortgage Trust, Mortgage Pass-T DE 8.01,9.01 09/26/05 PROCTER & GAMBLE CO OH 7.01 10/03/05 PROTECTIVE LIFE INSURANCE CO TN 9.01 09/29/05 PROTOCALL TECHNOLOGIES INC NV 3.02,9.01 09/16/05 PXRE GROUP LTD 8.01,9.01 09/30/05 PXRE GROUP LTD 1.01,9.01 09/29/05 PXRE GROUP LTD 8.01 10/03/05 PXRE GROUP LTD 7.01,9.01 10/03/05 QUANTUM GROUP INC /FL 1.01,9.01 09/29/05 R H DONNELLEY CORP DE 7.01,9.01 10/03/05 R H DONNELLEY CORP DE 7.01,9.01 10/03/05 REINSURANCE GROUP OF AMERICA INC MO 1.01,1.02,2.03,9.01 09/29/05 RENAISSANCE HOME EQUITY LOAN TRUST 20 DE 8.01,9.01 09/26/05 RENAISSANCE HOME EQUITY LOAN TRUST 20 DE 8.01,9.01 09/26/05 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE 8.01,9.01 10/03/05 REYNOLDS AMERICAN INC 5.04,9.01 10/03/05 Rim Semiconductor CO UT 8.01,9.01 10/03/05 ROBOTIC VISION SYSTEMS INC DE 8.01 09/27/05 ROCK OF AGES CORP DE 4.01,9.01 10/03/05 ROWE COMPANIES NV 1.01,9.01 09/09/05 RYERSON TULL INC /DE/ DE 7.01,9.01 09/28/05 AMEND SABA SOFTWARE INC DE 2.02,9.01 09/29/05 AMEND SABR TRUST 2005-FR1 8.01,9.01 09/26/05 SABR TRUST 2005-FR2 8.01,9.01 09/26/05 SABR TRUST 2005-FR3 8.01,9.01 09/26/05 SABR TRUST 2005-OP1 8.01,9.01 09/26/05 SACO I TRUST 2005-GP1 DE 8.01,9.01 09/26/05 AMEND SALIX PHARMACEUTICALS LTD 2.01,9.01 09/30/05 SBA COMMUNICATIONS CORP FL 1.01,9.01 09/29/05 SCHICK TECHNOLOGIES INC DE 8.01,9.01 09/28/05 SCHOOL SPECIALTY INC WI 8.01,9.01 10/02/05 SEARCHHELP INC 1.01,9.01 10/03/05 SEMITOOL INC MT 1.01,9.01 10/01/05 SEMTECH CORP DE 1.01,5.02 09/27/05 SEQUA CORP /DE/ DE 5.02,9.01 10/03/05 AMEND SEQUOIA MORTGAGE TRUST 2004-12 8.01,9.01 09/20/05 Sequoia Mortgage Trust 2005-1 8.01,9.01 09/20/05 Sequoia Mortgage Trust 2005-2 8.01,9.01 09/20/05 Sequoia Mortgage Trust 2005-3 8.01,9.01 09/20/05 SERVICE 1ST BANCORP CA 8.01,9.01 10/03/05 SHARPS COMPLIANCE CORP DE 5.02 09/30/05 SL GREEN REALTY CORP MD 1.01,2.03,8.01,9.01 09/29/05 SMALL WORLD KIDS INC UT 5.02 09/30/05 SONIC AUTOMOTIVE INC DE 5.02 09/27/05 SOUTHERN STAR CENTRAL CORP DE 7.01,9.01 10/03/05 SPORT CHALET INC DE 1.01,5.01,7.01,8.01,9.01 09/30/05 SSA GLOBAL TECHNOLOGIES, INC DE 2.01,2.05,9.01 09/29/05 STEPAN CO DE 2.03,9.01 09/29/05 STEPHAN CO FL 7.01,8.01,9.01 09/30/05 STERLING CHEMICALS INC DE 7.01,9.01 10/03/05 STRATAGENE CORP DE 7.01,9.01 09/30/05 STRUCTURED ADJUSTABLE RATE MORTGAGE L DE 8.01,9.01 09/26/05 Structured Asset Investment Loan Trus DE 8.01,9.01 09/26/05 Structured Asset Mortgage Investments DE 8.01,9.01 09/26/05 Structured Asset Mortgage Investments DE 8.01,9.01 09/26/05 Structured Asset Mortgage Investments DE 8.01,9.01 09/26/05 Structured Asset Mortgage Investments DE 8.01,9.01 09/26/05 STRUCTURED ASSET SECURITIES CORP DE 8.01 09/30/05 STRUCTURED ASSET SECURITIES CORP DE 8.01 09/30/05 STRUCTURED ASSET SECURITIES CORP DE 8.01 09/30/05 SULPHCO INC NV 8.01,9.01 09/28/05 SUNOCO LOGISTICS PARTNERS LP DE 5.02 10/01/05 SUNSET FINANCIAL RESOURCES INC 1.01,1.02,5.02,9.01 09/27/05 SUPERCLICK INC WA 5.02,9.01 09/30/05 SUPPORTSOFT INC DE 2.02,9.01 10/03/05 SVC FINANCIAL SERVICES INC CO 1.01,3.02,5.03,9.01 09/29/05 TAIWAN FUND INC DE 7.01,9.01 08/01/05 TANGER FACTORY OUTLET CENTERS INC NC 2.04 10/03/05 TANGER PROPERTIES LTD PARTNERSHIP /NC NC 2.04 10/03/05 Tectonic Network, Inc DE 1.03,8.01 10/03/05 Telesis Technology Corp 9.01 10/03/05 THAXTON GROUP INC SC 8.01,9.01 09/23/05 THEATER XTREME ENTERTAINMENT GROUP, I FL 5.02 09/29/05 THOMAS GROUP INC DE 8.01 09/27/05 THORNBURG MORTGAGE INC MD 8.01,9.01 09/28/05 TITAN INTERNATIONAL INC IL 1.01,9.01 09/30/05 TOREADOR RESOURCES CORP DE 8.01,9.01 09/30/05 TRANSATLANTIC HOLDINGS INC DE 1.01,9.01 09/27/05 TRANSCONTINENTAL REALTY INVESTORS INC NV 5.02 10/03/05 TRANSDIGM INC 5.02 10/01/05 TRANSMETA CORP DE 1.01 09/27/05 TRIMAS CORP DE 1.01,9.01 10/03/05 TXU CORP /TX/ TX 5.02 09/27/05 TYSON FOODS INC DE 1.01,1.02,2.03,9.01 10/03/05 U S ENERGY SYSTEMS INC DE 1.01,8.01 09/29/05 UNION CARBIDE CORP /NEW/ NY 1.01,9.01 09/30/05 UNITED MOBILE HOMES INC NJ 7.01,9.01 10/03/03 UNITED STATES CELLULAR CORP DE 8.01 09/30/05 UNIVERSAL HEALTH SERVICES INC DE 1.01,9.01 09/28/05 UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 8.01 10/03/05 UNOCAL CORP DE 1.01,2.01,9.01 09/27/05 UNUMPROVIDENT CORP DE 1.01,9.01 10/03/05 US AIRWAYS GROUP INC DE 1.01,5.02,9.01 09/27/05 US AIRWAYS GROUP INC DE 1.01,2.01,3.02,5.01,5.03,9.01 09/27/05 US AIRWAYS GROUP INC DE 1.01,2.03,3.02,9.01 09/27/05 US AIRWAYS GROUP INC DE 1.01,2.03,9.01 09/27/05 US AIRWAYS GROUP INC DE 1.01,2.03,9.01 10/03/05 USCORP NV 2.03 09/27/05 VISION SCIENCES INC /DE/ DE 5.02,8.01 09/29/05 VISTACARE, INC. DE 8.01,9.01 09/29/05 VITESSE SEMICONDUCTOR CORP DE 2.02,9.01 10/03/05 VOXWARE INC DE 1.01 09/28/05 WALTER INDUSTRIES INC /NEW/ DE 7.01,9.01 10/03/05 WANNIGAN CAPITAL CORP. 8.01 09/26/05 WANNIGAN VENTURES INC NV 8.01 09/26/05 Warner Music Group Corp. DE 1.01,8.01,9.01 08/17/05 Warner Music Group Corp. DE 8.01,9.01 10/03/05 WARREN RESOURCES INC MD 7.01,9.01 10/03/05 WCI COMMUNITIES INC 1.01,2.03,7.01,9.01 09/27/05 WELLCHOICE INC DE 1.01,9.01 09/27/05 WELLS FARGO ASSET SECURITIES CORP DE 8.01,9.01 09/30/05 WELLSFORD REAL PROPERTIES INC MD 5.03,8.01,9.01 10/03/05 WENTWORTH ENERGY, INC. OK 5.02,9.01 09/29/05 WGL HOLDINGS INC VA 8.01 09/28/05 WHITE ELECTRONIC DESIGNS CORP ID 1.01 08/25/05 AMEND WILLIAMS INDUSTRIES INC VA 1.01,9.01 09/29/05 XETHANOL CORP CO 8.01,9.01 08/22/05 XETHANOL CORP CO 2.03 08/08/05 XFONE INC NV 1.01,2.03,3.02,8.01,9.01 09/28/05 XSTREAM BEVERAGE NETWORK, INC. NV 5.03,9.01 09/29/05 YADKIN VALLEY CO NC 8.01,9.01 09/28/05 ZOLTEK COMPANIES INC DE 1.01,2.03,3.02,9.01 09/29/05