SEC NEWS DIGEST Issue 2004-181 September 20, 2004 ENFORCEMENT PROCEEDINGS COMMISSION BARS MICHAEL STUDER The Commission has barred Michael T. Studer of Freeport, New York from association with any broker or dealer. Studer was president of Castle Securities Corp., formerly a registered broker-dealer. The Commission found that, in 2003, Studer was permanently enjoined from further violations of antifraud and other provisions of the securities laws. The court found that Studer and others engaged in a fraudulent blind pool offering and a subsequent market manipulation, and that Studer was intimately involved in all of the fraudulent transactions. In imposing a bar, the Commission noted that it had previously sustained NASD sanctions against Studer for other misconduct. The Commission reiterated that, when a respondent has been enjoined from violations of antifraud provisions, it "has especially serious implications for the public interest." (Rel. 34-50411; File No. 3-11229 COMMISSION CHARGES ISHOPNOMARKUP.COM, INC. AND THREE EMPLOYEES WITH CONDUCTING A SERIES OF FRAUDULENT SECURITIES OFFERINGS On September 20, the Commission filed a complaint in the U.S. District Court for the Eastern District of New York against iShopNoMarkup.com, Inc. (iShop), a company located on Long Island, New York. The Commission’s complaint alleges that from the fall of 1999 through the summer of 2000, iShop conducted a fraudulent offering scheme that defrauded over 350 investors who invested approximately $2.3 million in unregistered iShop stock. The complaint names the following defendants: IShop is a Nevada corporation with its principal place of business on Long Island, New York. IShop was purportedly developing a shopping mall on the Internet to sell products directly from manufacturers to customers at no markup. Anthony M. Knight, age 38, was a resident of Great Neck, New York. Knight was the Chairman of iShop’s Board of Directors, and he served at various times as Director of Planning, Secretary, and Chief Executive Officer. Moussa Yeroushalmi, age 51, is a resident of Great Neck, New York. Yeroushalmi was iShop’s President. Scott W. Brockop, age 39, is a resident of Edison, New Jersey. Brockop served as iShop’s Vice President of Sales and Marketing. The complaint alleges the following. From the fall of 1999 until the summer of 2000, iShop conducted a series of fraudulent and unregistered securities offerings. IShop distributed offering memoranda and other documents to investors that misrepresented, and failed to disclose, material information concerning iShop’s business operations. Knight, Yeroushalmi, and Brockop also made oral misrepresentations to investors falsely indicating that iShop had imminent plans to conduct an initial public offering of stock, and that after the IPO, iShop’s stock would dramatically increase in value. Knight also established a “boiler room” operation at iShop, which Brockop supervised. Through this boiler room, employees cold-called potential investors, and made material misrepresentations to induce them to purchase iShop stock. Through the offerings, iShop sold approximately 6,748,600 shares of stock to over 350 investors, and obtained proceeds of approximately $2.3 million. IShop did not file a registration statement for the sale of these securities, and there was no registration statement otherwise in effect. The Commission’s complaint charges iShop, Knight, Yeroushalmi, and Brockop with violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. The complaint also charges Brockop with violating, and Knight with aiding and abetting violations of, Section 15(a) of the Exchange Act. The complaint seeks permanent injunctions against all defendants. The complaint also seeks disgorgement of ill- gotten gains plus prejudgment interest, and the imposition of civil monetary penalties, against Knight, Yeroushalmi, and Brockop. Finally, the complaint seeks officer and director bars against Knight and Yeroushalmi. [SEC v. iShopNoMarkup.com, Inc., et al., Civil Action No. CV 04 4057 (HURLEY) (E.D.N.Y.)] (LR-18890) INVESTMENT COMPANY ACT RELEASES FEDERATED INVESTORS, INC., ET AL. A notice has been issued giving interested persons until Oct. 12, 2004, to request a hearing on an application filed by Federated Investors, Inc., et al. for an order under Section 12(d)(1)(J) of the Investment Company Act for exemptions from, alternatively, Sections 12(d)(1)(A) and (B) of the Act, Section 12(d)(1)(F)(ii) of the Act and Section 12(d)(1)(G)(i)(II) of the Act, and under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act. The order would permit, alternatively, certain registered open-end management investment companies (a) to acquire shares of other registered open-end management investment companies that are within and outside the same group of investment companies, (b) to invest pursuant to Section 12(d)(1)(F) of the Act but charge a sales load in excess of 1½% and (c) to invest pursuant to Section 12(d)(1)(G) of the Act but invest also in securities and other financial instruments. (Rel. IC-26600 - September 17) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The Pacific Exchange filed a proposed rule change (SR-PCX-2004-63) and Amendment No. 1 thereto relating to a proposed listing fee schedule for Exchange Traded Funds and Closed-End Funds. Publication of the proposal is expected in the Federal Register during the week of September 20. (Rel. 34-50374) A proposed rule change (SR-Amex-2004-63), and Amendment No. 1 thereto has been filed by the American Stock Exchange relating to minimum size guarantees for certain Linkage orders. Publication of the proposal is expected in the Federal Register during the week of September 20. (Rel. 34-50394) The Fixed Income Clearing Corporation filed a proposed rule change (SR- FICC-2004-01) under Section 19(b)(1) of the Exchange Act that would allow FICC to amend its membership rules to (1) eliminate the requirement that the conversion to U.S. dollars be made by the applicant or member prior to submitting financial information to FICC unless such conversion is specifically requested by FICC, (2) eliminate the requirement that FICC make a determination as to the adequacy of an applicant’s personnel, physical facilities, books and records, accounting systems, or internal procedures, (3) require that a non-U.S. applicant represent to FICC in writing that it is regulated in a way that is generally comparable to the way in which domestic FICC members are regulated, (4) add a requirement to the Government Securities Division’s (“GSD’s”) rules that a non-U.S. netting applicant represent in writing that it is in compliance with the financial reporting and responsibility standards of its home country, and (5) eliminate the requirement that GSD comparison-only applicants submit financial information to FICC. Publication of the proposal is expected in the Federal Register during the week of September 20. (Rel. 34-50402) The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2004-110) and Amendment Nos. 1, 2 and 3 thereto proposing to amend provisions of its By-Laws to reflect NASD’s pending divestiture of its ownership interest in the American Stock Exchange LLC. NASD is also proposing to make parallel changes to the definitional and conflict-of-interest provisions of the By-Laws of NASD Regulation, Inc. and NASD Dispute Resolution, Inc. to terminate certain undertakings NASD assumed when it acquired Amex in 1998, and to make certain other clarifying amendments. Publication of the proposal is expected in the Federal Register during the week of September 20. (Rel. 34-50403) APPROVAL OF PROPOSED RULE CHANGES The Commission granted approval of a proposed rule change (SR-FICC-2003- 06) filed by the Fixed Income Clearing Corporation that will for the most part eliminate the complex manual adjustments currently made by FICC’s Operations Department with regard to the forward margin debit obligations and credit entitlements of repo broker members of the Government Securities Division of FICC. Publication of the proposal is expected in the Federal Register during the week of September 20. (Rel. 34-50389) The Commission granted approval to a proposed rule change and Amendment No. 1 thereto filed by the New York Stock Exchange, Inc. (SR-NYSE-2004- 33) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to proposed amendments to Exchange Rule 345A (Continuing Education for Registered Persons). (Rel. 34-50404) The Commission approved a proposed rule change (SR-NASD-2004-071) and Amendment Nos. 1 and 2 thereto submitted by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, relating to the improved Nasdaq opening process. Publication of the proposal is expected in the Federal Register during the week of September 20. (Rel. 34-50405) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-NASD-2004-119) and Amendment Nos. 1 and 2 thereto filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., regarding fees for orders and quotes executed in the Nasdaq closing cross, has become 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 September 20. (Rel. 34-50406) WITHDRAWAL SOUGHT A notice has been issued giving interested persons until Oct. 13, 2004, to comment on the application of Redline Performance Products, Inc. to withdraw its common stock, $.01 par value, from listing and registration on the American Stock Exchange. (Rel. 34-50408) 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 ENERGAS RESOURCES INC, 800 NE 63RD STREET, THIRD FLOOR, OKLAHOMA CITY, OK, 73105, 4058791752 - 11,780,000 ($5,890,000.00) Equity, (File 333-119075 - Sep. 17) (BR. 04) S-1 SYMBOL TECHNOLOGIES INC, ONE SYMBOL PLAZA, HOLTSVILLE, NY, 11742-1300, 5165632400 - 0 ($287,500,000.00) Equity, (File 333-119076 - Sep. 17) (BR. 03) S-4 WILLIAMS COMPANIES INC, ONE WILLIAMS CTR, TULSA, OK, 74172, 9185732000 - 0 ($524,166,000.00) Equity, (File 333-119077 - Sep. 17) (BR. 02) S-8 BGR CORP, 7263 E. SAN ALFREDO, SCOTTSDALE, AZ, 85258, 4805964014 - 5,000,000 ($190,000.00) Equity, (File 333-119078 - Sep. 17) (BR. 05) S-4 TRANSPORTATION TECHNOLOGIES INDUSTRIES INC, 980 N MICHIGAN AVE STE 1000, CHICAGO, IL, 60611, 3122808844 - 100,000,000 ($100,000,000.00) Non-Convertible Debt, (File 333-119079 - Sep. 17) (BR. 05) S-8 BIOPHAN TECHNOLOGIES INC, 150 LUCIUS GORDON DR, STE 215, WEST HENRIETTA, NY, 14586, 5852142441 - 7,700,000 ($4,998,152.00) Equity, (File 333-119080 - Sep. 17) (BR. 36) N-2 FIRST TRUST/ABERDEEN GLOBAL OPPORTUNITY INCOME FUND, 1001 WARRENVILLE ROAD, SUITE 300, LISLE, IL, 60532, 630-241-4141 - 1,000 ($20,000.00) Equity, (File 333-119081 - Sep. 17) (BR. 16) S-4 SMITHFIELD FOODS INC, 200 COMMERCE STREET, EXECUTIVE OFFICE BUILDING, SMITHFIELD, VA, 23430, 7573653000 - 0 ($400,000,000.00) Debt Convertible into Equity, (File 333-119082 - Sep. 17) (BR. 04) SB-2 BV Financial, Inc., 1230 LIGHT STREET, BALTIMORE, MD, 21230, 410-477-5000 - 1,041,469 ($10,414,690.00) Equity, (File 333-119083 - Sep. 17) (BR. 09) S-4 AMERICAN RIVER BANKSHARES, 1545 RIVER PARK DR, STE 107, SACRAMENTO, CA, 95815, 9165656114 - 1,092,312 ($24,905,806.00) Equity, (File 333-119085 - Sep. 17) (BR. 07) S-8 HESPERIA HOLDING INC, 9780 E. AVENUE, 9780 E. AVENUE, HESPERIA, CA, 92345, 760-244-8787 - 2,500,000 ($1,500,000.00) Equity, (File 333-119086 - Sep. 17) (BR. 09) S-8 CONECTISYS CORP, 24730 AVENUE TIBBITTS #130, VALENCIA, CA, 91355, 6612956763 - 30,000,000 ($33,000.00) Equity, (File 333-119087 - Sep. 17) (BR. 37) S-8 ADVANCED MEDIA TRAINING INC, 17337 VENTURA BLVD., SUITE 224, ENCINO, CA, 91316, 818-784-0040 - 559,000 ($16,770.00) Equity, (File 333-119089 - Sep. 17) (BR. 09) S-3 ALLIED MOTION TECHNOLOGIES INC, 23 INVERNESS WAY EAST, STE 150, ENGLEWOOD, CO, 80112, 3037998520 - 0 ($1,684,679.00) Equity, (File 333-119090 - Sep. 17) (BR. 36) S-8 AMERIRESOURCE TECHNOLOGIES INC, 9138599292 - 150,000,000 ($195,000.00) Equity, (File 333-119091 - Sep. 17) (BR. 04) S-3 CAPITAL AUTOMOTIVE REIT, 8270 GREENSBORO DR STE 950, MCLEAN, VA, 22102, 7032883075 - 0 ($105,595,000.00) Equity, (File 333-119092 - Sep. 17) (BR. 08) S-8 NEOMAGIC CORP, 3260 JAY STREET, 3260 JAY STREET, SANTA CLARA, CA, 95054, (408) 988- - 1,500,000 ($1,710,000.00) Equity, (File 333-119093 - Sep. 17) (BR. 36) S-8 RITA MEDICAL SYSTEMS INC, 967 N SHORELINE BLVD, MOUNTAIN VIEW, CA, 94013, 6503858500 - 1,000,000 ($2,975,000.00) Equity, (File 333-119094 - Sep. 17) (BR. 36) S-8 ANALEX CORP, 5904 RICHMOND HIGHWAY, SUITE 300, ALEXANDRIA, VA, 22303, 703-329-9400 - 150,000 ($468,000.00) Equity, (File 333-119095 - Sep. 17) (BR. 03) S-8 ANALEX CORP, 5904 RICHMOND HIGHWAY, SUITE 300, ALEXANDRIA, VA, 22303, 703-329-9400 - 1,000,000 ($3,120,000.00) Equity, (File 333-119096 - Sep. 17) (BR. 03) S-8 CHINA ENERGY SAVINGS TECHNOLOGY, INC., 22/F MORRISON COMMERCIAL BUILDING, 31 MORRISON HILL ROAD, WANCHAI, HONG KONG, F4, 00000, 852-2891-3130 - 1,200,000 ($15,504,000.00) Equity, (File 333-119097 - Sep. 17) (BR. 03) S-4 MIM CORP, 100 CLEARBROOK RD, ELMSFORD, NY, 10523, 914 460 1600 - 15,668,000 ($97,611,640.00) Equity, (File 333-119098 - Sep. 17) (BR. 01) F-6 SIGNET GROUP PLC, ZENITH HOUSE THE HYDE, COLINDALE, LONDON NW9 6EW ENGLA, X0, 00000, 0 ($2,500,000.00) ADRs/ADSs, (File 333-119099 - Sep. 17) (BR. 02) S-8 TUT SYSTEMS INC, 6000 SW MEADOWS RD, SUITE #200, LAKE OSWEGO, OR, 97035, 503-594-1400 - 0 ($7,068,943.18) Equity, (File 333-119100 - Sep. 17) (BR. 37) S-8 COLE KENNETH PRODUCTIONS INC, 2015838508 - 1,000,000 ($15,690,686.73) Equity, (File 333-119101 - Sep. 17) (BR. 02) S-3 NEOMAGIC CORP, 3260 JAY STREET, 3260 JAY STREET, SANTA CLARA, CA, 95054, (408) 988- - 0 ($9,565,217.20) Equity, (File 333-119102 - Sep. 17) (BR. 36) S-3 VERTICALNET INC, 400 CHESTER FIELD PARKWAY, MALVERN, PA, 19355, 2153286100 - 9,375,000 ($11,151,750.00) Equity, (File 333-119103 - Sep. 17) (BR. 37) S-8 VIEWCAST COM INC, 2665 VILLA CREEK DR, STE 200, DALLAS, TX, 75234, 9724887200 - 0 ($82,500.00) Equity, (File 333-119104 - Sep. 17) (BR. 37) S-8 MGI PHARMA INC, 5775 WEST OLD SHAKOPEE RD, SUITE 100, BLOOMINGTON, MN, 55437, 952-346-4700 - 2,555,000 ($71,258,950.00) Equity, (File 333-119105 - Sep. 17) (BR. 01) SB-2 EYI INDUSTRIES INC, 3960 HOWARD HUGHES PARKWAY, SUITE 500, LAS VEGAS, NV, 89109, 4032474630 - 83,646,847 ($11,710,558.58) Equity, (File 333-119106 - Sep. 17) (BR. 09) S-8 ROCKY MOUNTAIN CHOCOLATE FACTORY INC, 265 TURNER DR, DURANGO, CO, 81301, 3032590554 - 0 ($3,202,500.00) Equity, (File 333-119107 - Sep. 17) (BR. 04) SB-2 CONOLOG CORP, 5 COLUMBIA RD, SOMERVILLE, NJ, 08876, 9087228081 - 679,000 ($3,605,490.00) Equity, (File 333-119108 - Sep. 17) (BR. 08) S-8 HORNBECK OFFSHORE SERVICES INC /LA, 103 NORTHPARK BOULEVARD, SUITE 300, COVINGTON, LA, 70433, 9857272000 - 0 ($44,731,298.00) Equity, (File 333-119109 - Sep. 17) (BR. 05) S-3 LAUREATE EDUCATION, INC., 4108436100 - 0 ($87,325,000.00) Equity, (File 333-119110 - Sep. 17) (BR. 37) S-1 SEABRIGHT INSURANCE HOLDINGS INC, 2101 4TH AVENUE, SUITE 1600, SEATTLE, WA, 98121, 2067708300 - 0 ($86,250,000.00) Equity, (File 333-119111 - Sep. 17) (BR. ) SB-2 GALAXY ENERGY CORP, 1331 17TH STREET, #730, DENVER, CO, 80202, (303) 293-2300 - 28,738,157 ($33,911,025.00) Equity, (File 333-119113 - Sep. 17) (BR. 04) 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 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 ------------------------------------------------------------------------------------------------ 110 MEDIA GROUP, INC. DE 5.02,8.01,9.01 09/12/04 1ST SOURCE CORP IN 8.01,9.01 09/16/04 A I RECEIVABLES TRANSFER CORP 9.01 09/15/04 ABERCROMBIE & FITCH CO /DE/ DE 1.01,2.03,9.01 09/15/04 ABERCROMBIE & FITCH CO /DE/ DE 7.01 09/17/04 ACCREDITED HOME LENDERS HOLDING CO DE 2.04,8.01,9.01 09/14/04 ACCUPOLL HOLDING CORP NV 1.01,3.02,9.01 09/13/04 ACE SEC CORP WELLS FARGO FINANCIAL AU DE 8.01,9.01 09/15/04 ADVANCED BATTERY TECHNOLOGIES, INC. DE 5.02 09/14/04 AETHER SYSTEMS INC DE 8.01,9.01 09/15/04 AHPC Holdings, Inc. MD 1.01,2.03,9.01 09/14/04 ALASKA AIR GROUP INC DE 7.01 09/17/04 AMEDISYS INC DE 8.01,9.01 09/16/04 AMERICAN SCIENCE & ENGINEERING INC MA 1.01,9.01 09/17/04 AMERICAN VANGUARD CORP DE 8.01,9.01 09/14/04 AMS HEALTH SCIENCES INC OK 1.01,9.01 09/17/04 ANCHOR BANCORP WISCONSIN INC WI 1.01,9.01 09/17/04 ANGEION CORP/MN MN 8.01 09/13/04 ARGAN INC DE 9.01 08/31/04 AMEND ARLINGTON HOSPITALITY INC DE 2.06,8.01,9.01 09/02/04 ASHWORTH INC DE 2.01,9.01 07/06/04 AMEND ASSET BACKED PASS THRU CERTS SERIES 2 DE 8.01,9.01 09/15/04 ASTRATA GROUP INC NV 4.01 08/02/04 AMEND AZTEC OIL & GAS, INC. NV 1.01,2.01,3.02,3.03,5.03,8.01 09/15/04 BANC OF AMERICA FUNDING CORP DE 8.01,9.01 09/15/04 BANC OF AMERICA MORTGAGE SECURITIES I DE 8.01,9.01 09/15/04 BEARINGPOINT INC DE 1.01,9.01 09/13/04 BEHRINGER HARVARD MID TERM VALUE ENHA TX 9.01 09/13/04 AMEND BIOMET INC IN 2.02 09/17/04 BIOVERIS CORP DE 8.01 09/17/04 BONE CARE INTERNATIONAL INC WI 5.02 09/15/04 BRANDYWINE OPERATING PARTNERSHIP LP / DE 1.02 09/17/04 BRANDYWINE REALTY TRUST MD 1.02 09/17/04 BRISTOL MYERS SQUIBB CO DE 5.03,9.01 09/14/04 BROADWAY FINANCIAL CORP \DE\ DE 5.02,9.01 09/16/04 CABLE NET INC 5.02,9.01 09/07/04 CAMINOSOFT CORP CA 3.02,9.01 09/16/04 CAPITAL REALTY INVESTORS II LTD PARTN MD 1.01 09/15/04 CAPITAL SOLUTIONS I, INC. DE 1.01,3.02,5.01 08/24/04 CARDIFF COMMUNICATIONS INC UT 5.01 09/17/04 CARNIVAL CORP DE 2.02,9.01 09/17/04 CENTEX CORP NV 2.03 09/13/04 CENTRAL FEDERAL CORP DE 8.01,9.01 09/17/04 CENTRAL PACIFIC FINANCIAL CORP HI 2.01,5.02,5.03,9.01 09/14/04 CHAMPION INDUSTRIES INC WV 8.01,9.01 09/16/04 CHARTER COMMUNICATIONS INC /MO/ DE 1.01,1.02,5.02,9.01 09/16/04 Chembio Diagnostics Inc. NV 4.01 09/17/04 AMEND CHILDREN S BOOKS & TOYS INC DE 8.01,9.01 09/14/04 CHITTENDEN CORP /VT/ VT 7.01 09/17/04 CINTAS CORP WA 2.02 09/16/04 CIRCUIT CITY STORES INC VA 2.02,9.01 08/31/04 CITIGROUP INC DE 8.01,9.01 09/17/04 CLEAR CHANNEL COMMUNICATIONS INC TX 9.01 09/17/04 CLIXTIX INC NY 2.01,4.01,5.01,5.02,9.01 09/13/04 CNH CAPITAL RECEIVABLES INC DE 8.01,9.01 09/15/04 CNL INCOME PROPERTIES INC MD 8.01 09/15/04 COCA COLA CO DE 1.01,9.01 09/17/04 COGENT COMMUNICATIONS GROUP INC 3.02,5.03,9.01 09/16/04 COLONY RIH HOLDINGS INC DE 1.01,9.01 09/17/04 COLUMBIA BANCORP \OR\ OR 5.02,9.01 09/14/04 COMMUNITY FIRST INC TN 1.01,7.01,9.01 08/17/04 CONCEPTUS INC DE 8.01 09/14/04 CONOLOG CORP DE 4.01,9.01 09/13/04 CONSECO INC DE 8.01,9.01 08/12/04 CONSOLIDATED CAPITAL PROPERTIES IV CA 1.01,9.01 09/13/04 CONTINENTAL GLOBAL GROUP INC DE 8.01,9.01 09/17/04 COOPER TIRE & RUBBER CO DE 1.01,9.01 09/17/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 09/17/04 CRIIMI MAE INC MD 8.01,9.01 09/17/04 CWABS INC DE 8.01,9.01 09/15/04 CWMBS INC DE 8.01,9.01 09/15/04 CYGENE LABORATORIES INC DE 8.01,9.01 09/17/04 CYTRX CORP DE 1.01,3.02,9.01 09/13/04 DIAMETRICS MEDICAL INC MN 1.01,5.02,9.01 09/08/04 AMEND DIVINE INC DE 8.01,9.01 07/20/04 DJ ORTHOPEDICS INC DE 5.02 09/14/04 DRUGSTORE COM INC DE 1.01,9.01 09/17/04 DVI RECEIVABLES CORP VIII DVI RECEIVA DE 8.01,9.01 09/09/04 AMEND DYNAMEX INC DE 7.01,9.01 09/15/04 DYNEX CAPITAL INC VA 1.01 09/14/04 EFUNDS CORP DE 5.02 09/16/04 ELECTRONICS FOR IMAGING INC DE 8.01 09/17/04 ELKCORP DE 4.01,9.01 09/13/04 EMERSON ELECTRIC CO MO 5.02 09/17/04 ENGINEERED SUPPORT SYSTEMS INC MO 5.03,8.01,9.01 09/15/04 ENSCO INTERNATIONAL INC DE 8.01,9.01 09/16/04 ENTERPRISE PRODUCTS PARTNERS L P DE 8.01 06/30/04 ENTRADA NETWORKS INC DE 2.02 07/31/04 ENTROPIN INC CO 1.01 09/14/04 ENTRUST FINANCIAL SERVICES INC CO 1.02 09/16/04 ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 1.01,2.03,3.02,9.01 09/13/04 EON COMMUNICATIONS CORP DE 2.02,9.01 09/17/04 ETERNAL TECHNOLOGIES GROUP INC DE 2.01,5.01,8.01,9.01 12/12/02 AMEND EVCI Career Colleges Holding Corp DE 1.01,9.01 09/11/04 EXELON CORP PA 7.01 09/17/04 FERRO CORP OH 2.02,4.02 09/14/04 FIRST REAL ESTATE INVESTMENT TRUST OF NJ 8.01 09/14/04 FIRST UNION COMMERCIAL MORTGAGE PASS NC 8.01,9.01 09/14/04 FIRST UNION NATIONAL BANK COM MORT PA NC 8.01,9.01 09/14/04 FIRST UNITED CORP/MD/ MD 5.02 09/15/04 FISHER COMMUNICATIONS INC WA 7.01,9.01 09/15/04 FLEETWOOD ENTERPRISES INC/DE/ DE 8.01,9.01 09/16/04 FORCE PROTECTION INC CO 3.03,5.03 09/10/04 FORD MOTOR CO DE 2.05,2.06,8.01,9.01 09/17/04 FORD MOTOR CREDIT CO DE 8.01,9.01 09/17/04 GAMETECH INTERNATIONAL INC DE 5.02,7.01,9.01 09/13/04 GATEWAY FINANCIAL HOLDINGS INC NC 8.01,9.01 09/16/04 GE COMM MORT PASS THROUGH CERT SERIES DE 8.01,9.01 09/10/04 GE COMMERCIAL MORT CORP PASS THR CERT DE 8.01,9.01 09/10/04 GENERAL MARITIME CORP/ 5.02,9.01 09/14/04 GEOCOM RESOURCES INC NV 4.01,9.01 09/17/04 GFY FOODS INC NV 1.01,3.02,9.01 08/01/04 GMAC COMMERCIAL MORTGAGE PASS-THR CER DE 8.01,9.01 09/10/04 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 09/17/04 GOLFSMITH INTERNATIONAL HOLDINGS INC DE 1.01,3.03,9.01 09/15/04 GoRemote Internet Communications, Inc DE 4.01,9.01 09/13/04 GRANITE CITY FOOD & BREWERY LTD MN 1.01,3.02,7.01,9.01 09/17/04 HALLIBURTON CO DE 7.01 09/16/04 HARVEY ELECTRONICS INC NY 2.02 09/15/04 HAWAIIAN HOLDINGS INC DE 8.01,9.01 09/14/04 HEALTHETECH INC 4.01,9.01 09/14/04 HEIDRICK & STRUGGLES INTERNATIONAL IN DE 8.01,9.01 09/17/04 HIENERGY TECHNOLOGIES INC DE 8.01 09/17/04 HIGHLAND HOSPITALITY CORP MD 2.01,9.01 09/15/04 HILLENBRAND INDUSTRIES INC IN 7.01,9.01 09/16/04 HIRSCH INTERNATIONAL CORP NY 3.01 09/13/04 HOLLYWOOD MEDIA CORP FL 1.01,9.01 09/16/04 HOME DEPOT INC DE 1.01,2.03,9.01 09/13/04 HORTON D R INC /DE/ DE 8.01,9.01 09/14/04 HUDSON UNITED BANCORP NJ 1.01,9.01 09/14/04 IAC/INTERACTIVECORP DE 5.02 09/16/04 INGRAM MICRO INC DE 8.01 09/17/04 INNKEEPERS USA TRUST/FL MD 7.01,9.01 09/17/04 INTER PARFUMS INC DE 4.01 09/17/04 INTERNATIONAL CARD ESTABLISHMENT INC DE 1.01,3.02,5.03,9.01 09/16/04 INTERPUBLIC GROUP OF COMPANIES, INC. DE 7.01,9.01 09/16/04 JP MORGAN COMMERCIAL MORT PASS THR CE DE 8.01,9.01 09/15/04 KANSAS CITY SOUTHERN DE 1.01,8.01,9.01 09/15/04 KEYCORP /NEW/ OH 1.01,9.01 09/16/04 KEYNOTE SYSTEMS INC DE 2.01,9.01 09/16/04 KFX INC DE 5.02,9.01 09/14/04 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 09/17/04 LAMSON & SESSIONS CO OH 8.01,9.01 09/17/04 LANCER CORP /TX/ TX 1.01,9.01 09/15/04 LARGE SCALE BIOLOGY CORP DE 3.01 09/14/04 LAUREATE EDUCATION, INC. MD 1.01,3.02,9.01 09/16/04 LMI AEROSPACE INC MO 7.01,9.01 09/16/04 LOYALTYPOINT INC DE 1.01 09/13/04 LSI LOGIC CORP DE 7.01,9.01 09/13/04 MADISON RIVER CAPITAL LLC DE 8.01 09/17/04 MATRIA HEALTHCARE INC DE 7.01,9.01 09/17/04 MC SHIPPING INC 8.01,9.01 09/17/04 MEDIA SCIENCES INTERNATIONAL INC DE 8.01 09/10/04 MELLON BANK N A MA 8.01,9.01 09/09/04 MELLON BANK N A MA 8.01,9.01 09/09/04 MERRILL LYNCH & CO INC DE 1.01,9.01 09/17/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 09/13/04 MERRILL MERCHANTS BANCSHARES INC ME 7.01,9.01 09/17/04 METATEC INC OH 1.03,9.01 09/13/04 METHODE ELECTRONICS INC DE 8.01 09/15/04 MICRON ENVIRO SYSTEMS INC NV 8.01 09/16/04 MIDDLEBY CORP DE 1.01,9.01 09/16/04 MILLS CORP DE 5.02 09/13/04 MINDEN BANCORP INC 7.01,9.01 09/16/04 MOBILEPRO CORP DE 2.01,9.01 09/16/04 MODINE MANUFACTURING CO WI 8.01,9.01 09/16/04 Morgan Stanley Capital I Trust 2004 I DE 8.01,9.01 09/15/04 MORTGAGE ASSET SECURITIZATION TRANSAC DE 8.01,9.01 09/16/04 MORTGAGE ASSET SECURITIZATION TRANSAC DE 8.01,9.01 09/16/04 NATIONAL OILWELL INC DE 1.01,9.01 09/17/04 NEOMEDIA TECHNOLOGIES INC DE 2.01 09/13/04 NEW YORK MORTGAGE TRUST INC MD 8.01,9.01 09/16/04 NEXT INC/TN DE 8.01,9.01 09/17/04 NITROMED INC DE 5.02 09/13/04 NORTH FORK BANCORPORATION INC DE 7.01,9.01 09/17/04 NORTHERN BORDER PARTNERS LP DE 7.01,9.01 09/17/04 NORTHERN BORDER PIPELINE CO TX 7.01,9.01 09/17/04 NORTHWEST INDIANA BANCORP IN 5.02 09/16/04 NOVA BIOGENETICS INC DE 4.01,9.01 08/13/04 AMEND NUWAY MEDICAL INC DE 4.01,9.01 09/09/04 AMEND NYMAGIC INC NY 8.01,9.01 09/15/04 O A K FINANCIAL CORP MI 7.01,9.01 09/17/04 OCCIDENTAL PETROLEUM CORP /DE/ DE 8.01 09/16/04 OFC DISTRIBUTION CORP 8.01,9.01 09/17/04 OHIO CASUALTY CORP OH 8.01,9.01 09/17/04 OHIO LEGACY CORP OH 5.02,5.05,9.01 09/17/04 ONEOK INC /NEW/ OK 8.01,9.01 09/16/04 ONEOK INC /NEW/ OK 8.01,9.01 09/16/04 ORION ACQUISITION CORP II DE 1.02,3.03,9.01 09/15/04 OWENS & MINOR INC/VA/ VA 5.04,9.01 08/20/04 PACEL CORP VA 8.01 09/17/04 PAVILION BANCORP INC 7.01,9.01 09/17/04 PEERLESS MANUFACTURING CO TX 2.02 09/16/04 PENTON MEDIA INC DE 5.03 09/13/04 PEOPLESOFT INC DE 1.01,9.01 09/15/04 PEOPLESWAY COM INC NV 4.01 06/30/04 AMEND PERFORMANCE FOOD GROUP CO TN 1.01,7.01,9.01 09/15/04 PFF BANCORP INC DE 8.01 09/15/04 PLAYBOY ENTERPRISES INC DE 1.01,9.01 09/15/04 PLEXUS CORP WI 5.02 09/01/04 AMEND PLUMAS BANCORP CA 1.01,9.01 09/15/04 POTLATCH CORP DE 8.01 09/15/04 POZEN INC /NC 8.01 09/13/04 PROTECTIVE LIFE SECURED TRUST 2004 10 DE 1.03,2.01,8.01,9.01 09/15/04 PROTECTIVE LIFE SECURED TRUST 2004 11 DE 1.03,2.01,8.01,9.01 09/15/04 PROTECTIVE LIFE SECURED TRUST 2004 12 DE 1.03,2.01,8.01,9.01 09/15/04 PROTECTIVE LIFE SECURED TRUST 2004 13 DE 1.03,2.01,8.01,9.01 09/15/04 PROTECTIVE LIFE SECURED TRUST 2004 14 DE 1.03,2.01,8.01,9.01 09/15/04 PROTECTIVE LIFE SECURED TRUST 2004 15 DE 1.03,2.01,8.01,9.01 09/15/04 PROTECTIVE LIFE SECURED TRUST 2004 16 DE 1.03,2.01,8.01,9.01 09/15/04 PROTECTIVE LIFE SECURED TRUST 2004 17 DE 1.03,2.01,8.01,9.01 09/15/04 Protective Life Secured Trust 2004-33 DE 1.03,2.01,8.01,9.01 09/10/04 Protective Life Secured Trust 2004-35 TN 1.03,2.01,8.01,9.01 09/10/04 Protective Life Secured Trust 2004-37 DE 1.03,2.01,8.01,9.01 09/10/04 Protective Life Secured Trust 2004-38 DE 1.03,2.01,8.01,9.01 09/10/04 PROTEIN DESIGN LABS INC/DE DE 1.01,9.01 09/16/04 PULTE HOMES INC/MI/ MI 1.01,2.03 09/16/04 PULTE HOMES INC/MI/ MI 5.03,9.01 09/15/04 QUANEX CORP DE 3.03,9.01 09/17/04 QUIDEL CORP /DE/ DE 1.01 09/14/04 QUIXOTE CORP DE 1.01,9.01 09/10/04 AMEND RADIATION THERAPY SERVICES INC FL 8.01,9.01 09/17/04 RADIO ONE INC DE 8.01 09/17/04 RAMP CORP DE 3.01 09/13/04 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE 8.01,9.01 09/16/04 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE 8.01,9.01 09/17/04 RESIDENTIAL FUNDING MORTGAGE SECURITI DE 8.01,9.01 09/17/04 REX STORES CORP DE 1.01,2.03,9.01 09/14/04 REZCONNECT TECHNOLOGIES INC NY 5.01,8.01 09/17/04 AMEND RICKS CABARET INTERNATIONAL INC TX 1.01,9.01 09/15/04 SAFENET INC DE 4.02 09/17/04 SAKS INC TN 8.01 09/14/04 SAPIENT CORP DE 5.02,9.01 09/13/04 SCHAWK INC DE 2.02,9.01 09/17/04 SENETEK PLC /ENG/ 8.01,9.01 09/17/04 SHURGARD STORAGE CENTERS INC WA 5.02,9.01 09/17/04 SIRICOMM INC DE 8.01,9.01 09/16/04 SKY FINANCIAL GROUP INC OH 8.01,9.01 09/17/04 SKY FINANCIAL GROUP INC OH 8.01 09/17/04 SMARTIRE SYSTEMS INC 8.01 09/09/04 SOUTHERN UNION CO DE 1.01,9.01 09/16/04 SOUTHWEST AIRLINES CO TX 8.01,9.01 09/14/04 SPARTA COMMERCIAL SERVICES, INC. NV 5.03,9.01 09/13/04 STANDARD COMMERCIAL CORP NC 2.05,9.01 09/14/04 SUNTRUST BANKS INC GA 8.01,9.01 09/15/04 SYMANTEC CORP DE 8.01 09/10/04 TAYLOR ANN STORES CORP DE 5.02,9.01 09/17/04 TC PIPELINES LP DE 7.01 09/17/04 TECHNICAL OLYMPIC USA INC DE 5.02,9.01 09/17/04 TETRA TECH INC DE 7.01,9.01 09/16/04 TIERONE CORP 1.01,7.01,9.01 09/15/04 TORO CO DE 1.01,9.01 09/14/04 TOUCH AMERICA HOLDINGS INC DE 1.03,9.01 04/02/04 TRANSMONTAIGNE INC DE 1.01,2.03,9.01 09/13/04 TRESTLE HOLDINGS INC DE 1.01,9.01 09/16/04 TRI VALLEY CORP DE 3.02 09/17/04 TRIPATH TECHNOLOGY INC 5.02,9.01 09/13/04 TRIZEC PROPERTIES INC DE 1.01,1.02,5.02,9.01 09/17/04 TUCOWS INC /PA/ PA 1.01,9.01 09/10/04 UNITRIN INC DE 8.01 09/16/04 UNIVERSAL HOSPITAL SERVICES INC MN 5.02 09/13/04 USAA ACCEPTANCE LLC TRUST 2004-1 8.01,9.01 09/15/04 USAA AUTO OWNER TRUST 2004-2 8.01,9.01 09/15/04 VARCO INTERNATIONAL INC /DE/ DE 1.01,9.01 09/13/04 VASO ACTIVE PHARMACEUTICALS INC DE 5.02,8.01,9.01 09/13/04 VERSANT CORP CA 3.01,9.01 09/15/04 VERSANT CORP CA 2.01,9.01 09/17/04 VERSAR INC DE 2.02 06/30/04 VERTEX PHARMACEUTICALS INC / MA MA 1.01,8.01,9.01 09/13/04 VICURON PHARMACEUTICALS INC DE 5.02,9.01 09/16/04 VIKING CAPITAL GROUP INC UT 5.02 09/14/04 VIVA INTERNATIONAL INC DE 1.01 09/13/04 VOLUME SERVICES AMERICA HOLDINGS INC DE 7.01 09/17/04 WARWICK COMMUNITY BANCORP INC DE 8.01,9.01 09/16/04 WELLPOINT HEALTH NETWORKS INC /DE/ DE 1.01 09/01/04 AMEND WELLS REAL ESTATE FUND XI L P GA 1.01 09/13/04 WELLS REAL ESTATE FUND XII LP GA 1.01 09/13/04 WILLIAMS COMPANIES INC DE 8.01,9.01 09/17/04 WORKSTREAM INC 1.01,5.02,8.01,9.01 09/13/04 WPT ENTERPRISES INC 8.01,9.01 09/15/04 WYNN RESORTS LTD 3.02,8.01 09/15/04 XECHEM INTERNATIONAL INC DE 4.01,9.01 09/13/04 XLR MEDICAL CORP. 2.01,2.04,3.02,3.03,5.01,5.02 09/13/04 YP CORP NV 8.01 09/17/04 ZALDIVA INC FL 5.03 09/15/04 ZENITH NATIONAL INSURANCE CORP DE 1.02 09/14/04 ZONES INC WA 7.01 09/10/04