U.S. Securities & Exchange Commission
SEC Seal
Home | Previous Page
U.S. Securities and Exchange Commission


                              SEC NEWS DIGEST


Issue 2007-182                                      September 20, 2007


   
COMMISSION ANNOUNCEMENTS
      
   
SEC VOTES FOR FINAL RULES DEFINING HOW BANKS CAN BE SECURITIES BROKERS

Eight  Years  After  Passage  of  the  Gramm-Leach-Bliley   Act,   Key
Provisions Will Now Be  Implemented  Ending  eight  years  of  stalled
negotiations and impasse, the Commission  on  September  19  voted  to
adopt, jointly with the Board of  Governors  of  the  Federal  Reserve
System (Board), new rules that will finally implement the bank  broker
provisions of the Gramm-Leach-Bliley  Act  of  1999.  The  Board  will
consider these  final  rules  at  its  Sept.  24,  2007  meeting.  The
Commission and the Board consulted with and sought the concurrence  of
the Office  of  the  Comptroller  of  the  Currency,  Federal  Deposit
Insurance Corporation, and Office of Thrift Supervision.

In addition, the Commission also  voted  to  issue  a  second  release
concerning certain bank dealer activities and other related matters.

"A customer should be able to walk into a  financial  institution  and
get any financial product he or she  needs  -  securities,  insurance,
banking or trust services," said SEC Chairman  Christopher  Cox.  "But
Congress recognized those benefits couldn't be  achieved  without  new
ways to safeguard investors that would be  consistent  with  continued
innovation. Today's historic action,  coming  eight  years  after  the
passage of the law, is long overdue but welcome news for investors who
will now begin to see the benefits of broader services and lower costs
that the law intended."

An important provision  of  the  Gramm-Leach-Bliley  Act  amended  the
definition of "broker" in the Securities Exchange Act of 1934 so  that
banks would no longer be completely excluded  from  the  broker-dealer
registration requirements. At the  same  time,  the  new  law  created
specific exceptions from those  requirements.  Proposed  Regulation  R
would give effect to these bank  broker  exceptions,  in  a  way  that
accommodates the traditional business practices of banks, and  at  the
same time furthers our goal of better protecting investors.

One of  the  major  promises  of  the  Gramm-Leach-Bliley  Act  is  to
stimulate greater competition in the financial services industry,  and
give investors a wider array of services at lower prices. Much of that
has occurred, but not  as  much  as  was  expected,  in  part  due  to
ambiguity in the governing legal rules. Today's action  is  especially
important to help bring the legislative promise  of  the  Gramm-Leach-
Bliley Act to fulfillment.

The rule-writing process that culminated  today  in  the  Commission's
vote of final approval has been an arduous  one.  After  a  series  of
interim proposals and regulatory actions that proved mostly  fruitless
between 1999 and 2005, the SEC made  a  fresh  start  18  months  ago.
Chairman Cox convened a series of meetings that  included  the  Board,
the  Comptroller  of  the  Currency,  the  Federal  Deposit  Insurance
Corporation, and the Office of Thrift Supervision,  and  together  the
agencies hammered out the final rules  that  the  Commission  approved
today.

The Gramm-Leach-Bliley Act was  signed  into  law  by  President  Bill
Clinton on Nov. 12, 1999. The Act provided an  18-month  deadline  for
the adoption of implementing rules, but  from  1999  until  2005,  the
rule-writing effort stalled repeatedly. On Oct.  13,  2006,  President
Bush signed into law  the  Regulatory  Relief  Act,  which  added  the
requirement that the Commission and the Board issue the proposed rules
jointly, and seek the concurrence of the Office of the Comptroller  of
the Currency, the  Office  of  Thrift  Supervision,  and  the  Federal
Deposit Insurance Corporation.

Key Provisions of the Joint Rules

The rules define statutory terms, and provide  banks  with  exemptions
from  broker-dealer   registration   for   limited   bank   securities
activities. In addition, the rules provide an exemption from  possible
third-party rescission rights when a  bank  acts  as  an  unregistered
broker. The following is a detailed description of these provisions of
Regulation R.

Networking Exception. The networking exception allows banks to receive
compensation for  referring  bank  customers  to  broker-dealers.  The
Exchange Act  provides  that  banks  may  pay  unregistered  employees
"nominal" incentive compensation for making these referrals. The rules
define "nominal," "incentive compensation," and certain  other  terms.
The "incentive compensation" definition in  the  final  rule  and  the
accompanying discussion were revised  to  better  accommodate  typical
bank bonus programs while also clarifying the  types  of  bonus  plans
that do not constitute "incentive compensation" and therefore  can  be
freely used. The final rules also will clarify that more than one bank
employee may receive payment for a single  referral  as  long  as  the
payments only go to employees personally involved in the referral. The
final rules also allow  banks  to  pay  more  than  nominal  fees  for
referrals of  certain  institutional  customers  and  high  net  worth
customers to a broker or dealer, if the bank and broker-dealer satisfy
certain conditions  to  protect  these  customers.  An  "institutional
customer" is defined to mean an entity that has, or is  controlled  by
an entity that has, at least (i) $10 million in investments;  or  (ii)
$20 million in revenues; or (iii) $15 million in revenues if the  bank
employee refers the  customer  to  the  broker-dealer  for  investment
banking services. A "high net worth customer" is defined as a  natural
person who, either individually or with his  or  her  spouse,  has  at
least $5 million in net worth  excluding  the  primary  residence  and
associated liabilities of the person and, if applicable,  his  or  her
spouse. The definition also includes any  revocable,  inter  vivos  or
living trust the settlor of which is  a  natural  person  who,  either
individually or jointly with his or her spouse, meets the  $5  million
in net worth test.

Trust and Fiduciary Activities  Exception.  The  trust  and  fiduciary
activities exception permits a bank to effect securities  transactions
in a trustee or fiduciary capacity if it is "chiefly compensated"  for
those  transactions,  consistent   with   fiduciary   principles   and
standards, on the basis of specifically enumerated types of fees.  The
rules refer to these fees collectively as "relationship compensation."
These fees may be considered "relationship compensation" even if  paid
by a service provider rather than directly by an investment company.

The rules establish a  test  to  determine  how  a  bank  is  "chiefly
compensated," and permit a bank to choose either an account-by-account
or bank-wide approach. Either  alternative  uses  a  two-year  rolling
average comparison of the fees from the account and  allows  banks  to
exclude the compensation  associated  with  a  securities  transaction
conducted in accordance with any of the other exceptions or exemptions
as long as the bank excludes that compensation from both  relationship
compensation (if applicable) and total compensation. The  revenues  of
certain foreign branches of U.S. banks are excluded  for  purposes  of
the "chiefly compensated" test.

Sweep Accounts and Transactions  in  Money  Market  Funds.  The  sweep
accounts exception permits a bank  to  sweep  deposits  into  no-load,
money market funds. The rules define terms used in the sweep  accounts
exception,  and  provide  banks  with  a  conditional  exemption   for
transactions in money market funds that are not no-load as well as for
transactions that are not sweeps. A bank relying on this exemption for
transactions involving funds that are not no-load will have to provide
the customer with a prospectus showing the fund's fees, and could  not
characterize the fund shares as no-load. This  final  rule  also  will
permit a bank to effect transactions under the exemption on behalf  of
another bank as part of a program for the investment  or  reinvestment
of the deposit funds of, or collected by, the other bank.

Safekeeping and Custody. The safekeeping and custody exception permits
banks to perform specified services in connection with safekeeping and
custody of securities. Under the exemption, banks can take orders  for
securities  transactions  from  employee  benefit  plan  accounts  and
individual retirement and similar accounts for which the bank acts  as
a custodian, as well as from other safekeeping and custody accounts on
an accommodation basis. If a bank accepts securities orders under  the
exemption with respect to a custody  account,  no  bank  employee  may
receive compensation from the bank, the executing broker or dealer, or
any other person that is based on whether a securities transaction  is
executed for the account, or on the quantity, price,  or  identity  of
the securities purchased or sold by the account.

Additional conditions will apply when a bank accepts securities orders
for a custodial account on an accommodation basis. In particular,  the
bank can not advertise  securities  order-taking,  provide  investment
advice or research or make recommendations  concerning  securities  to
the account or otherwise  solicit  securities  transactions  from  the
account. In addition, the bank's charges for  effecting  a  securities
transaction for the account can not vary based  on  whether  the  bank
accepted the order for the transaction, or on the quantity or price of
the securities to be bought or sold.

The rules also permit a bank to rely on these provisions when it  acts
as a directed trustee without investment discretion, and  extends  the
exemptions  to  subcustodians.   Administrators,   recordkeepers   and
subcustodians will be able to  engage  in  cross-trades  to  the  same
extent that the custodian bank could - meaning they can cross  or  net
orders between the accounts of a particular custodian  bank,  but  not
among the accounts of  multiple  banks.  The  release  identifies  the
circumstances under which a bank might be considered an  impermissible
"carrying broker."

Exemption for Banks  to  Effect  Transactions  in  Investment  Company
Securities. The rules include  an  exemption  that  permits  banks  to
effect certain transactions in mutual funds and  in  certain  variable
insurance products that are  registered,  and  funded  by  a  separate
account,  through  the  National  Securities   Clearing   Corporation,
directly with a transfer agent, or directly with an insurance  company
or a separate account that is excluded from the definition of transfer
agent in Section 3(a)(25) of the Exchange Act. To  take  advantage  of
the  exemption,  the  security  must  not  be  traded  on  a  national
securities exchange or through the facilities of a national securities
association or an interdealer quotation system.

Exemption for Banks to Effect Transactions in Company Securities.  The
rules include an exemption to permit a bank to effect a transaction in
the securities of a company directly with a transfer agent acting  for
the company as long as four conditions are met. First,  no  commission
may  be  charged  with  respect  to  the  transaction.   Second,   the
transaction must be conducted solely for the benefit  of  an  employee
benefit plan. Third, the security must be obtained directly  from  the
company or an employee benefit plan of the company.  And  fourth,  the
security must be transferred  only  to  the  company  or  an  employee
benefit plan of the company. Securities obtained from, or  transferred
to, a participant in an employee benefit plan on behalf  of  the  plan
are considered to be obtained from, or transferred to, the plan.

Securities  Lending  Exemption.  The  exemption  for  banks  from  the
definition of broker for noncustodial  securities  lending  activities
will reinstate a rule that would otherwise be voided by the Regulatory
Relief Act. The existing rule was adopted as a part of the bank dealer
rules  and  included  exemptions  for  banks'   brokerage   activities
associated with noncustodial securities lending. The  Commission  also
voted to jointly with the Board request comment  regarding  repurchase
agreements.

Regulation S Securities Exemption. The rules provide an  exemption  to
allow banks to effect certain agency transactions involving Regulation
S securities. Banks may rely on the rule if  they  have  a  reasonable
belief  that  securities  were  initially  sold  in  compliance   with
Regulation S.

Section 29 Exemptions. The rules provide banks with a transitional 18-
month exemption to prevent their contracts from being void or voidable
under Exchange Act Section 29(b). In addition, the rules provide banks
with a permanent exemption from Section 29(b), where a bank has  acted
in good faith and had reasonable policies and procedures in  place  to
comply with the bank broker rules and regulations, and  any  violation
of the registration requirements did not  result  in  any  significant
harm, financial loss, or cost  to  the  person  seeking  to  void  the
contract.

Key Provisions of the SEC-only Release

The  second  release  to  be  issued  by  the  Commission  concerns  a
conditional exemption from  the  definition  of  "dealer"  for  banks'
Regulation S transactions, renumbers the current  exemption  from  the
definition of  "dealer"  for  banks'  securities  lending  activities,
eliminates outdated rules, and  provides  a  clarifying  amendment  to
Exchange Act Rule 15a-6 to align that rule with the Exchange Act  bank
broker and dealer provisions and related rules.

These rules will become effective 30 days after their  publication  in
the Federal Register.

Timing and Temporary Exemption

As adopted, Regulation R provides banks with a transitional  exemption
until the first day of their first fiscal year commencing after  Sept.
30, 2008. This will give banks time to make any necessary  changes  in
their systems and compliance programs and  should  ensure  that  banks
have time to come into compliance with  the  Exchange  Act  provisions
relating to the broker definition. This  exemptive  rule  will  become
effective on the date that the  Commission's  current  order  expires,
Sept. 28, 2007.

The  SEC-only  rules  will  become  effective  30  days  after   their
publication in the Federal Register. (Press Rel. 2007-190)

MARKET CAP OF 'INTERACTIVE DATA' FILERS TOPS $2 TRILLION

Separate Major Milestone  in  Introduction  of  Interactive  Financial
Reporting to Be Announced Next Week

Securities and Exchange Commission Chairman Christopher Cox  announced
today that the combined market capitalization of companies  submitting
interactive data  financial  reports  to  the  SEC  has  surpassed  $2
trillion.

With seven companies joining the test  group  during  the  past  three
months - including Alcoa this week - more than 40  companies  are  now
participating in the SEC's voluntary interactive data filing  program.
The test group remains open to new participants.

Chairman Cox also said that he expects to make a separate announcement
next  week  about  another  major  milestone  being  reached  in   the
introduction of interactive financial reporting.

"The continued positive feedback from our enthusiastic group  of  test
filers means that  interactive  disclosure  is  well  on  its  way  to
becoming reality," said Chairman Cox. "Investors in  the  future  will
have instant, user-friendly access to company disclosures that are far
more accurate than anything that is possible with today's EDGAR."

John White, Director of the SEC's  Division  of  Corporation  Finance,
added,  "We  encourage  other  companies  to   participate   in   this
interactive data project that will transform how market  analysts  and
ordinary investors alike can obtain and use financial information - in
their  own  personalized  formats  and  for  their  own   personalized
analyses."

Interactive data refers to financial information provided  using  XBRL
(eXtensible  Business  Reporting  Language)  or  any  other   computer
software language that labels companies'  financial  data  with  codes
from standard lists called "taxonomies" so that investors and analysts
can more easily locate and analyze desired  information  in  a  public
company's financial statements.

In April 2005, the SEC began its  voluntary  interactive  data  filing
program, which allows public  companies  to  voluntarily  submit  XBRL
documents as exhibits to periodic reports and investment  company  act
filings. In early 2006, the SEC established a test group of  companies
to  submit  four  XBRL-based  filings  in  a  12-month  period.  These
participants provide feedback on  manpower,  costs,  and  benefits  or
deficiencies involved with submitting XBRL filings. In return, the SEC
staff provides expedited reviews of registration  statements  or  Form
10-Ks from test group participants. (Press Rel. 2007-191)


ENFORCEMENT PROCEEDINGS


IN THE MATTER OF ALEXANDER RICCI AND ADAM KLEIN

On  September  19,  the  Commission  issued   an   Order   Instituting
Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange Act of 1934 and Notice of Hearing (Order)  against  Alexander
Ricci (Ricci) and Adam Klein (Klein).

In the Order, the Division of Enforcement  alleges  that  on  May  26,
2005,  Ricci  pled  guilty  to  one  count  of  conspiracy  to  commit
securities fraud and wire fraud and one count of wire fraud before the
U.S. District Court for the District of New Jersey, U.S. v.  Alexander
Ricci, 05 Cr. 422 (D.N.J.). On  Sept.  5,  2007,  a  judgment  in  the
criminal case was entered against Ricci. He was sentenced to 6  months
of home confinement and 48 months of probation  and  ordered  to  make
restitution in the amount of $4,719,273.80. The Order further  alleges
that the sole count of the criminal information to  which  Ricci  pled
guilty alleged, among other things,  that  Ricci,  while  employed  at
Valley  Forge  Securities,  Inc.  (Valley  Forge),   a   broker-dealer
registered with the Commission, participated in a scheme to manipulate
the stock price of Eagletech Communications,  Inc.  and  Select  Media
Communications, Inc. and received cash  commissions,  which  were  not
disclosed to customers. The information also alleged that  Ricci  used
deceptive sales practices to mislead  customers  into  buying  certain
stocks and that he offered and paid certain registered representatives
and unregistered individuals undisclosed, excessive  cash  commissions
for selling stocks to customers.

The Order also alleges that On April 29, 2005, Klein  pled  guilty  to
one count of conspiracy to commit securities fraud and wire fraud  and
one count of wire  fraud  before  the  U.S.  District  Court  for  the
District of New Jersey (U.S. v. Klein, 05 Cr. 322, D.N.J.).  On  Sept.
5, 2007, a judgment in the criminal case was entered against Klein. He
was sentenced to 48  months  of  probation,  120  hours  of  community
service and ordered to make restitution in the amount of  $930,864.08.
The Order further alleges that the count of the  criminal  information
to  which  Klein  pled  guilty  alleged,  inter   alia,   that   Klein
participated in a scheme while employed at Valley Forge to  manipulate
the price of Select Media  Communications,  Inc.  stock  and  that  he
received undisclosed excessive commissions from the  sales  of  stocks
while employed at Valley Forge.

A hearing will be scheduled before  an  administrative  law  judge  to
determine whether the allegations contained in the Order are true,  to
provide Ricci and Klein an opportunity to dispute  these  allegations,
and to determine what, if any, remedial sanctions  against  Ricci  and
Klein are appropriate and in  the  public  interest  pursuant  to  the
Exchange Act. The Commission directed that an administrative law judge
issue an initial decision in this matter within 210 days from the date
of service of the Order. (Rel. 34-56466; File No. 3-12807)

IN THE MATTER OF TERRENCE O'DONNELL

An Administrative Law Judge has issued  an  Initial  Decision  in  the
matter of Terrence J.  O'Donnell.  The  Initial  Decision  finds  that
Respondent Terrence J. O'Donnell was enjoined from  future  violations
of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5
thereunder for a period of five years by the U.S. District  Court  for
the Southern District of New York. In  addition,  the  district  court
ordered Respondent O'Donnell to disgorge $49,760 in ill-gotten  gains,
plus prejudgment interest of $42,697, and to pay a  civil  penalty  of
$25,000. The Initial Decision  concludes  that,  pursuant  to  Section
15(b)(6) of the Securities Exchange Act of 1934, it is in  the  public
interest to bar Respondent O'Donnell from association with any  broker
or dealer,  with  the  right  to  reapply  for  association  once  the
underlying injunction is no longer in effect.  (Initial  Decision  No.
334; File No. 3-12640)

IN THE MATTER OF JOSEPH SIMONE

On  September  20,  the  Commission  issued   an   Order   Instituting
Administrative  Proceedings  Pursuant  to  15(b)  of  the   Securities
Exchange Act of 1934, Making Findings and Imposing Remedial  Sanctions
(Order) against Joseph Simone, age 65 and a resident of Staten Island,
NY.

The Order finds that from  1997  to  2005,  Simone  was  a  securities
lending representative and a registered representative associated with
Van der Moolen, Specialists USA LLC (VDM), a broker-dealer  registered
with the Commission. The Order further finds that on  April  5,  2007,
Simone pled guilty to one count of  conspiracy  to  commit  securities
fraud and wire fraud in violation of Title 18 U.S. Code, Section  1349
before the U.S. District Court for the Eastern District of  New  York,
in U.S. v. Joseph F. Simone,  Crim.  Information  No.  07-CR-179.  The
count of the criminal information to which Simone pled guilty alleged,
inter alia, that Simone,  together  with  others,  did  knowingly  and
intentionally conspire to execute a scheme and artifice to defraud VDM
and other registered broker-dealers  of  money  and  property  and  to
obtain money and property from VDM and said other  registered  broker-
dealers  by  means  of  materially  false  and  fraudulent  pretenses,
representations and promises and in executing such scheme and artifice
to defraud did so by means of wire  communication  in  interstate  and
foreign commerce.

Based on the above, the Order bars Simone from  association  with  any
broker or dealer. Simone  consented  to  the  issuance  of  the  Order
without admitting or denying any of the Commission's findings,  except
his guilty plea on April 5, 2007. (Rel. 34-56473; File No. 3-12813)

IN THE MATTER OF GARY MANFRE

On  September  20,  the  Commission  issued   an   Order   Instituting
Administrative  Proceedings  Pursuant  to  15(b)  of  the   Securities
Exchange Act of 1934, Making Findings and Imposing Remedial  Sanctions
(Order) against Gary Manfre, age 44 and a resident of Metuchen, NJ.

The Order finds that from  1998  to  2006,  Manfre  was  a  securities
lending representative and a registered representative associated with
Nomura  Securities  International,  Inc.  (Nomura),  a   broker-dealer
registered with the Commission. The Order further finds that on  April
25, 2007, Manfre pled guilty to one  count  of  conspiracy  to  commit
securities fraud and wire fraud in violation of Title  18  U.S.  Code,
Section 1349 before the U.S. District Court for the  Eastern  District
of New York, in U.S. v. Gary Manfre, Crim. Information No.  07-CR-308.
The count of the criminal information  to  which  Manfre  pled  guilty
alleged, inter alia, that Manfre, together with others, did  knowingly
and intentionally conspire to execute a scheme and artifice to defraud
Nomura of money and property and to obtain  money  and  property  from
Nomura  by  means  of  materially  false  and  fraudulent   pretenses,
representations and promises and in executing such scheme and artifice
to defraud did so by means of wire  communication  in  interstate  and
foreign commerce.

Based on the above, the Order bars Manfre from  association  with  any
broker or dealer. Manfre  consented  to  the  issuance  of  the  Order
without admitting or denying any of the Commission's findings,  except
his guilty plea on April 25, 2007. (Rel. 34-56474; File No. 3-12814)

IN THE MATTER OF JOSEPH CARACCIOLO

On  September  20,  the  Commission  issued   an   Order   Instituting
Administrative  Proceedings  Pursuant  to  15(b)  of  the   Securities
Exchange Act of 1934, Making Findings and Imposing Remedial  Sanctions
(Order) against Joseph Caracciolo, age 33 and  a  resident  of  Staten
Island, NY. The Order finds that from 2000 to 2005, Caracciolo  was  a
securities lending representative associated  with  National  Investor
Services Corp. (NISC), a broker-dealer that  was  formerly  registered
with the Commission. The Order further finds that on  June  15,  2007,
Caracciolo pled guilty to one count of conspiracy to commit securities
fraud and wire fraud in violation of Title 18 U.S. Code, Section  1349
before the U.S. District Court for the Eastern District of  New  York,
in U.S. v. Joseph Caracciolo, Crim.  Information  No.  07-CR-439.  The
count of the criminal information  to  which  Caracciolo  pled  guilty
alleged, inter  alia,  that  Caracciolo,  together  with  others,  did
knowingly and intentionally conspire to execute a scheme and  artifice
to defraud NISC of money and property and to obtain money and property
from NISC by means  of  materially  false  and  fraudulent  pretenses,
representations and promises and in executing such scheme and artifice
to defraud did so by means of wire  communication  in  interstate  and
foreign commerce.

Based on the above, the Order bars Caracciolo  from  association  with
any broker or dealer. Caracciolo consented  to  the  issuance  of  the
Order without admitting or denying any of the  Commission's  findings,
except his guilty plea on June 15, 2007. (Rel. 34-56475; File  No.  3-
12815)

COMMISSION   ISSUES   AMENDED   ORDER   INSTITUTING   PROCEEDINGS   ON
REGISTRATION SUSPENSION  OR  REVOCATION  AGAINST  FIVE  COMPANIES  FOR
FAILURE TO MAKE REQUIRED PERIODIC FILINGS

Today the Commission issued an Amended Order  Instituting  Proceedings
in  previously  instituted  public   administrative   proceedings   to
determine whether to revoke or suspend  for  a  period  not  exceeding
twelve months the registration of each class of the securities of five
companies for failure to  make  required  periodic  filings  with  the
Commission:

* Aurora Acquisitions, Inc. 
* Can-Ex  Minerals  Corp.  
* HDF,  Inc.  
* Inmold, Inc. (INOI) 
* Piccard Medical Corp. (PMCZ)

In  this  Amended  Order  Instituting  Proceedings,  the  Division  of
Enforcement (Division) alleges that the five issuers are delinquent in
their required periodic filings with the Commission.

In this proceeding, instituted pursuant to Exchange Act Section 12(j),
a hearing will be scheduled before an Administrative Law Judge. At the
hearing, the judge will  hear  evidence  from  the  Division  and  the
respondents to determine  whether  the  allegations  of  the  Division
contained in the Amended Order, which the Division alleges  constitute
failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and
13a-13 thereunder, are true. The judge in  the  proceeding  will  then
determine whether the registrations pursuant to Exchange  Act  Section
12 of the securities of these respondents should be revoked or, in the
alternative, suspended for a period not exceeding twelve  months.  The
Commission  ordered  that  the  Administrative  Law  Judge   in   this
proceeding issue an initial decision not later than 120 days from  the
date of service of the amended order instituting proceedings.

For further information,  see  the  Order  Instituting  Administrative
Proceedings, In  the  Matter  of  Aurora  Acquisitions,  Inc.,  Can-Ex
Minerals Corp., HDF, Inc., Inmold, Inc., and  Piccard  Medical  Corp.,
Administrative Proceeding File No. 3- 12754 (Sept.  11,  2007).  (Rel.
34-56476; File No. 3-12754)

SEC v. JOSEPH SIMONE, ET AL.

On September 20, the Commission filed a civil injunctive action in the
U.S. District Court for the Eastern District of New York  charging  28
defendants in a series of fraudulent schemes  involving  phony  finder
fees  and  illegal  kickbacks  in  the  "stock  loan"  industry.   The
defendants include 13 current and former "stock loan" traders employed
at several major Wall Street brokerage firms, including Van der Moolen
(VDM),  Janney  Montgomery,  A.G.  Edwards,  Oppenheimer,  and  Nomura
Securities.  These  traders  conspired  in  various  schemes  with  15
purported  stock  loan  "finders"  to  skim  profits  on  stock   loan
transactions.  The  defendants  earned  over  $8  million  from  their
unlawful schemes over a period of nearly six years.

In its complaint, the Commission alleges that from as far back as 1999
until 2005, the stock  loan  traders  named  as  defendants  routinely
defrauded the  brokerage  firms  that  employed  them  and  others  by
engaging in collusive loan transactions and causing the firms  to  pay
sham finder fees to companies controlled by the traders themselves  or
by their friends and relatives. Acting  as  fronts  for  the  traders,
these companies received hefty finder fees on several  thousand  stock
loan transactions even though they  did  not  provide  any  legitimate
finding services and, in many cases, were simply shell companies  that
were not even involved in the stock loan business. These phony finders
included a mailman, a perfume salesman, and a dental receptionist. The
defendants shared in the sham  finder  fees  through  secret  kickback
arrangements. In some cases, defendants met monthly at New  York  City
bars and restaurants to exchange thousands of dollars in  cash,  often
wrapped in newspapers or stuffed into envelopes.

More specifically, the Commission's complaint alleges:

* While Joseph Simone was co-head of the stock loan  trading  desk  at
VDM, he engaged in several schemes to defraud VDM using Island Capital
Management, Inc., a shell company that he  controlled.  Simone  caused
VDM to pay several million dollars in sham finder fees to Island.  The
following traders also  colluded  with  Simone  to  increase  Simone's
illegal profits through circular loan transactions known as "ring" and
"run-through" deals: Joseph Lando, the  head  of  sales  for  Janney's
stock loan desk;  Joseph  Caracciolo  at  National  Investor  Services
Corp.; Alfred Varricchio at A.G.  Edwards;  and  Anthony  Pianelli  at
Weiss, Peck & Greer, LLC. Simone paid monthly cash kickbacks to  these
traders out of the sham finder fees paid  to  Island.  Simone  himself
made approximately $3.6 million.

* Brian Fabrizzi, the other co-head of VDM's stock loan trading  desk,
also defrauded VDM through the payment of sham finder fees from  which
he benefited. Fabrizzi conspired with Anthony Carannante, a finder who
did business as A&C Management, and Donald  Sorrentino,  a  trader  at
Oppenheimer. Fabrizzi and Sorrentino colluded to arrange "run-through"
loans between VDM and Oppenheimer that enabled Fabrizzi to  cause  VDM
to pay sham finder fees to A&C. Carannante kept a portion of the  fees
and funneled  the  rest  back  to  Fabrizzi,  who  paid  monthly  cash
kickbacks to Sorrentino.

* TRochelle Roman and Shaun Sarnicola, two traders at Kellner  Dileo  &
Co., conspired with Carannante  and  one  of  his  associates,  Steven
Daronzio, to cause Kellner to pay sham finder fees to A&C.  Carannante
and Daronzio kept a portion of the sham fees, and Carannante paid  the
balance in cash kickbacks to Roman and Sarnicola.

* TRoman also defrauded Kellner by causing it to pay sham  finder  fees
to AJT Ltd. and AJGT Ltd., two finder firms run by relatives of Joseph
Lando: Anthony Tanico and Andrea Lando-Tanico, who is  Joseph  Lando's
sister and Tanico's wife.  Anthony  Tanico  paid  Roman  monthly  cash
kickbacks and kept the balance of the sham finder fees for himself and
his wife. Joseph Lando also caused Janney to pay sham fees to AJT  and
AJGT.

* TMichael McCormack, a trader at  A.G.  Edwards,  schemed  with  Donna
Centola (his wife), Joseph Lando and Roman  to  defraud  A.G.  Edwards
through sham finder fees paid to DMAC Services, Inc., a shell  company
owned by Centola. McCormack arranged for Joseph  Lando  and  Roman  to
have Janney and Kellner borrow stock from  A.G.  Edwards  at  inferior
rates and then lend the stock to other firms specified by McCormack at
better  rates.  DMAC's  sham  finder  fees  were  paid  out  of  these
artificial profits.

* TAndrew Caccioppoli, a trader  who  supervised  Janney's  stock  loan
desk, schemed with his sister, Donna Macli, and  her  husband,  Thomas
Macli, to defraud Janney by having it pay sham finder  fees  to  LUMAC
Corp., a shell company  owned  by  the  Maclis.  Thomas  Macli  was  a
mailman, and Donna Macli was a dental receptionist.

* TGary Manfre, a trader at Nomura, schemed with  his  brother  Richard
Manfre, Simone and Joseph Lando to defraud Nomura through sham  finder
fees paid to RAM Solutions, Inc., a shell  company  owned  by  Richard
Manfre, a perfume salesman. Simone and Joseph Lando had VDM and Janney
pay sham fees to RAM after Gary Manfre had Nomura lend  stock  to  VDM
and Janney at inferior rates. Simone and Lando loaned the  same  stock
to other firms at better rates, and RAM's finder fees were paid out of
these artificial profits.

* TAnthony Pianelli also schemed with Joseph  Lando  to  defraud  Weiss
Peck and Janney by paying sham finder fees to JAP JAP Enterprises, LLC
(JJE), a purported finder owned by Jill Pianelli,  Anthony  Pianelli's
wife. Joseph Lando had Janney pay fees to  JJE  on  loan  transactions
with Weiss Peck that were arranged entirely by  Anthony  Pianelli  and
Lando.

All 28 defendants are charged with  violating  Section  17(a)  of  the
Securities Act of  1933  and  Section  10(b)  of  the  Securities  and
Exchange Act of 1934 and Rule 10b-5 thereunder, and  with  aiding  and
abetting violations of these  antifraud-provisions.  The  Commission's
complaint seeks permanent injunctive relief,  disgorgement  and  civil
penalties.

The U.S. Attorney's Office for the Eastern District of  New  York  has
filed parallel criminal charges against 11 of the individuals named in
the Commission's complaint. Nine of  those  individuals  have  entered
guilty pleas: Simone, Caracciolo,  Sorrentino,  Carannante,  Daronzio,
Roman, Sarnicola, McCormack and Gary Manfre. In  connection  with  his
guilty plea, Simone also agreed to pay a  total  of  $3.6  million  in
forfeiture.

Simone, Island, Gary Manfre, Richard Manfre and RAM,  have  agreed  to
settle the SEC charges by consenting, without admitting or denying the
allegations of the complaint, to  the  entry  of  permanent  antifraud
injunctions. Gary Manfre, Richard Manfre and  RAM  will  also  jointly
disgorge $94,262, the total amount  of  their  ill-gotten  gains  plus
prejudgment interest. Because Simone has agreed to forfeit  an  amount
equivalent to his ill-gotten gains in conjunction with his guilty plea
in the parallel criminal case, the consent judgment in  the  SEC  case
does not require disgorgement of  those  same  ill-gotten  gains.  The
Commission's claims for civil penalties  against  Simone,  Island  and
Gary Manfre, and all of  its  claims  against  the  other  defendants,
remain   pending.   In   addition,   the   Commission   today   issued
administrative orders respectively barring  Simone,  Gary  Manfre  and
Caracciolo  from  association  with  any  broker-dealer.   The   three
respondents consented to the issuance of the respective orders.

The Commission acknowledges the assistance and cooperation of the U.S.
Attorney's Office for the Eastern District of New York and the Federal
Bureau of Investigation in this matter. The Commission's investigation
is ongoing. [SEC v. Joseph Simone, et al., Civil  Action  No.  07-3928
(EDNY)] (LR-20290)

SEC v. DARIN DEMIZIO, ET AL.

On September 20, the Commission filed a civil injunctive action in the
U.S. District Court for the Eastern District of New York  charging  10
defendants for  engaging  in  fraudulent  schemes  involving  improper
finder fees and illegal kickbacks in the "stock  loan"  industry.  The
defendants include three  current  and  former  "stock  loan"  traders
employed at Morgan Stanley, two relatives of those traders and the so-
called "finders"  with  whom  they  schemed.  In  its  complaint,  the
Commission alleges  that  over  a  period  of  nearly  a  decade,  the
defendants conspired to skim profits on stock  loan  transactions  and
pocketed over $4 million from their unlawful schemes.

The defendants named in the Commission's complaint are:

Darin DeMizio, age 41, resided in Staten Island, New York  during  the
relevant period and  now  resides  in  Westfield,  New  Jersey.  Darin
DeMizio  is  a  stock  loan  trader  and   registered   representative
associated with Morgan Stanley, where he is a stock loan trading  desk
supervisor. He has been employed with Morgan Stanley since in or about
1991, and is now on administrative leave. He was  previously  employed
as a stock loan finder for a company operated by his father.

Peter Sherlock, age 36,  resides  in  East  Norwich,  New  York.  From
October 1994 to June 2007,  Sherlock  was  a  stock  loan  trader  and
registered representative associated with Morgan Stanley.

Anthony Lupo, age 62, resides in  Freehold,  New  Jersey.  During  the
relevant period, he purported to perform stock loan  finding  services
through Clinton Management, Ltd., which he formed in  or  about  1996.
Lupo also purportedly provides tax preparation services to  a  limited
number of individual clients.

Clinton Management, Ltd. is a New York  corporation  with  a  business
address in Brooklyn, New York. Clinton  is  owned  and  controlled  by
Lupo.

Craig DeMizio, age 42, resides in Colts Neck, New Jersey. He and Darin
DeMizio are brothers. From April 2004 to August  2007,  Craig  DeMizio
was a stock loan trader associated  with  Swiss  American  Securities,
Inc. ("SASI"). Craig DeMizio previously  purported  to  perform  stock
loan finder services through CD Management, Inc., which he  formed  in
or about July 1997.

CD Management, Inc. is a New York corporation owned and controlled  by
Craig DeMizio. Its business address in Staten Island, New York was the
same as Craig DeMizio's residence address during the relevant period.

Donato Tramontozzi, age 38, resides in Glen  Head,  New  York.  He  is
employed full-time as a pharmacist and is  Sherlock's  brother-in-law.
Tramontozzi formed DFT Consulting, Inc. in or about July 2004.

DFT Consulting, Inc. is a New York corporation with a business address
in Brooklyn, New York. DFT is owned and controlled by Tramontozzi.

Joseph Miller, age 34, resides in Brooklyn, New  York.  From  December
1996 to January 2002, he was  a  stock  loan  trader  associated  with
Morgan Stanley. In or about January  2002,  Miller  formed  Cobblehill
Consulting, Inc. as a purported finder business.

Cobblehill Consulting, Inc. is a New York corporation with a  business
address in Brooklyn, New York. Cobblehill is owned and  controlled  by
Miller.

The  Commission's  complaint  alleges  two  interrelated  finder   fee
schemes. The first scheme operated as  follows:  Over  the  course  of
nearly a decade, two stock loan traders employed by Morgan Stanley  --
Darin DeMizio and Peter  Sherlock  --  and  three  other  individuals,
including relatives of the two traders, skimmed millions of dollars in
stock lending profits from Morgan Stanley and another  brokerage  firm
through illegal kickback  schemes  with  a  stock  loan  finder  named
Anthony Lupo. From July 2000 through June 2006, Lupo collected over $4
million in finder fees as a result of these schemes and paid  over  $1
million in  undisclosed  kickbacks.  Pursuant  to  the  scheme,  Darin
DeMizio and Sherlock caused Morgan Stanley to enter  into  unnecessary
loan transactions at  inferior  interest  rates  for  the  purpose  of
artificially generating finder fees for Lupo. In exchange,  Lupo  paid
cash kickbacks directly to Sherlock in cash and paid  nearly  $600,000
to shell  companies  controlled  by  Craig  DeMizio,  Darin  DeMizio's
brother, and  Donato  Tramontozzi,  Sherlock's  brother-in-law  and  a
fulltime pharmacist.

In a second and related scheme, Joseph Miller,  a  finder  and  former
stock loan trader at Morgan Stanley, paid undisclosed  cash  kickbacks
to a stock loan trader at a division of  The  PNC  Financial  Services
Group Inc. ("PNC") in exchange for receiving  PNC  stock  loan  orders
from the trader. Lupo participated in and shared the profits from  the
scheme. From January 2002 to June 2004, Lupo  and  Miller  split  over
$1.2 million in finder fees generated by PNC orders. Miller ended  his
arrangement with Lupo in May 2003, but Miller continued  the  kickback
scheme with the PNC trader on his own until January 2005.

All 10 defendants are charged with  violating  Section  17(a)  of  the
Securities Act of  1933  and  Section  10(b)  of  the  Securities  and
Exchange Act of 1934 and  Rule  10b-5  thereunder.  Tramontozzi,  DFT,
Craig DeMizio and CD Management  are  also  charged  with  aiding  and
abetting   violations   of   the   above-antifraud   provisions.   The
Commission's complaint seeks permanent injunctive relief, disgorgement
and civil penalties.

In parallel criminal proceedings, the United States Attorney's  Office
for the Eastern District of New  York  has  announced  that  it  filed
criminal  charges  against  5  of  the  individuals   named   in   the
Commission's complaint, one of whom,  Joseph  Miller,  has  entered  a
guilty plea.

The Commission acknowledges the assistance and cooperation of the U.S.
Attorney's Office for the Eastern District of New York and the Federal
Bureau of Investigation in this matter. The Commission's investigation
is ongoing. [SEC v. Darin DeMizio, et al., Civil  Action  No.  07-3927
(EDNY)] (LR-20291)


INVESTMENT COMPANY ACT RELEASES


HARTFORD LIFE INSURANCE COMPANY, ET AL.

An order has been issued under Section 11(a) of the Investment Company
Act on  an  application  filed  by  Hartford  Life  Insurance  Company
(Hartford), Hartford Life Insurance  Company  Separate  Account  DC-I,
Hartford Life Insurance Company Separate Account  Two,  Hartford  Life
Insurance Company Separate Account  Eleven,  and  Hartford  Securities
Distribution Company, Inc. approving the terms of an offer to exchange
certain contracts or interests in unregistered separate  accounts  for
new contracts or interests in registered separate accounts offered  by
Hartford. (Rel. IC-27972 - September 18)


SELF-REGULATORY ORGANIZATIONS


IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES

A proposed rule change, and Amendment No. 1  thereto,  filed  by  NYSE
Arca to amend sections of its Fee Schedule for the entry of Good  Till
Cancelled or Good Till Date Orders  (SR-NYSEArca-2007-89)  has  become
effective under Section 19(b)(3)(A) of the Securities Exchange Act  of
1934. Publication is expected in the Federal Register during the  week
of September 24. (Rel. 34-56452)

A  proposed  rule  change  (SR-ISE-2007-84)  filed  by   International
Securities Exchange relating to fee changes has become effective under
Section  19(b)(3)(A)  of  the  Securities  Exchange   Act   of   1934.
Publication is expected in the Federal Register  during  the  week  of
September 24. (Rel. 34-56453)

A proposed rule change (SR-NYSE-2007-79) filed by the New  York  Stock
Exchange relating to the  fee  charged  to  Member  Organizations  for
maintenance of Exchange-issued cellular phones  has  become  effective
pursuant to Section 19(b)(3)(A)(ii) of the Securities Exchange Act  of
1934. Publication is expected in the Federal Register during the  week
of September 24. (Rel. 34-56456)

ACCELERATED APPROVAL OF PROPOSED RULE CHANGES

The Commission noticed the proposed rule change (SR-Phlx-2007-43),  as
modified by Amendment No. 1, submitted by Philadelphia Stock  Exchange
to  eliminate  the  calculation  methodology  from   generic   listing
standards  for  Trust  Shares  and  Index  Fund  Shares,  and  granted
accelerated  approval  of  the  proposed  rule  change,  as   amended.
Publication is expected in the Federal Register  during  the  week  of
September 24. (Rel. 34-56454)

The Commission granted accelerated approval to a proposed rule  change
as modified by Amendment No. 1 thereto (SR-Amex-2007-54) submitted  by
the American Stock  Exchange  relating  to  amendments  to  its  rules
governing  training  and  examination  requirements.  Publication   is
expected in the Federal Register during  the  week  of  September  24.
(Rel. 34-56457)

PROPOSED RULE CHANGE

The New York Stock Exchange filed a  proposed  rule  change  (SR-NYSE-
2007-83) relating to  NYSE  Rule  104.10  (Dealings  by  Specialists).
Publication is expected in the Federal Register  during  the  week  of
September 24. (Rel. 34-56455)

APPROVAL OF PROPOSED RULE CHANGES

The Commission approved a proposed rule change  (SR-Amex-2007-24),  as
modified by Amendment No. 1 thereto, submitted by the  American  Stock
Exchange to retroactively  amend  transaction  charges  for  equities,
ETFs, and Nasdaq  UTP  securities.  Publication  is  expected  in  the
Federal Register during the week of September 24. (Rel. 34-56459)

The Commission  approved  a  proposed  rule  change  (SR-CBOE-2007-84)
submitted by the Chicago Board Options  Exchange  to  amend  its  rule
pertaining to verification requests for  trade  reporting  minor  rule
violations. Publication is expected in the Federal Register during the
week of September 24. (Rel. 34-56460)

The Commission approved a proposed rule change (SR-NSCC-2007-11) filed
by the National Securities Clearing Corporation that  allows  NSCC  to
modify its procedures  to  allow  as-of  fixed  income  trades  to  be
processed  in  NSCC's  Continuous   Net   Settlement   (CNS)   system.
Publication is expected in the Federal Register  during  the  week  of
September 24. (Rel. 34-56468)


SECURITIES ACT REGISTRATIONS

The following registration statements have been  filed  with  the  SEC
under the Securities Act of 1933. The reported information appears  as
follows: Form, Name, Address and Phone Number (if  available)  of  the
issuer of the security; Title and the number and/or face amount of the
securities  being  offered;  Name  of  the  managing  underwriter   or
depositor (if  applicable);  File  number  and  date  filed;  Assigned
Branch; and a designation if the statement is a New Issue.

Registration statements may be obtained in person or by writing to the
Commission's  Public  Reference  Branch  at  100   F   Street,   N.E.,
Washington, D.C. 20549-1090 or at the following  e-mail  box  address:
publicinfo@sec.gov. In most cases, this information is also  available
on the Commission's website: www.sec.gov.



SB-2    BLUE PENGUIN ENTERPRISES INC, 199 OMEGA BATIM HA'CHAMIM ST., 
        ROSH HA'AIN, L3, 48101, 972528323331 - 3,000,000 ($90,000.00) Equity, 
        (File 333-146159 - Sep. 19) (BR. 02)

S-1     MAKO Surgical Corp., 2555 DAVIE ROAD, FT. LAUDERDALE, FL, 33317, 
        954-927-2044 - 0 ($86,250,000.00) Equity, (File 333-146162 - Sep. 19) 
        (BR. 10)

SB-2    OSLER INC., 1864 PORTAGE AVENUE, WINNIPEG, A2, R3J 0H2, 204.951.1544 - 
        24,800,000 ($2,480,000.00) Equity, (File 333-146163 - Sep. 19) (BR. 04)

F-10    Aeterna Zentaris Inc., 1405 BOUL DU PARC TECHNOLOGIQUE, QUEBEC, QUEBEC, 
        A8, GIP 4P5, 418 652 8525 - 0 ($90,000,000.00) Equity, 
        (File 333-146164 - Sep. 19) (BR. 01C)

S-3     EASYLINK SERVICES INTERNATIONAL CORP, 6025 THE CORNERS PARKWAY, 
        SUITE 100, NORCROSS, GA, 30092, 678-533-8000 - 
        0 ($112,762,451.76) Equity, (File 333-146165 - Sep. 19) (BR. 03A)

S-8     EASYLINK SERVICES INTERNATIONAL CORP, 6025 THE CORNERS PARKWAY, 
        SUITE 100, NORCROSS, GA, 30092, 678-533-8000 - 
        0 ($8,900,000.00) Equity, (File 333-146166 - Sep. 19) (BR. 03A)

S-1     RiskMetrics Group Inc, ONE CHASE MANHATTAN PLAZA, 44TH FLOOR, NEW YORK, 
        NY, 10005, 212-981-7475 - 0 ($200,000,000.00) Equity, 
        (File 333-146167 - Sep. 19) (BR. )

S-8     FIRSTENERGY CORP, 3303845100 - 6,550,000 ($409,506,000.00) Equity, 
        (File 333-146170 - Sep. 19) (BR. 02B)

S-3     ALSERES PHARMACEUTICALS INC /DE, 85 MAIN STREET, HOPKINTON, MA, 01748, 
        508-497-2360 - 0 ($25,226,969.00) Equity, (File 333-146171 - Sep. 19) 
        (BR. 01C)

S-8     CA, INC., ONE CA PLAZA, ISLANDIA, NY, 11749, 6313423550 - 
        0 ($737,700,000.00) Equity, (File 333-146173 - Sep. 19) (BR. 03A)

F-10    SIERRA WIRELESS INC, 4,025,000 ($92,293,250.00) Equity, 
        (File 333-146174 - Sep. 19) (BR. 11C)

S-8     CGI GROUP INC, 1130 SHERBROOKE ST WEST, 7TH FL, MONTREAL QUEBEC, A8, 
        H3A 2M8, 5148413200 - 11,881,753 ($130,996,326.83) Equity, 
        (File 333-146175 - Sep. 19) (BR. 08A)

S-8     VARIAN MEDICAL SYSTEMS INC, 3100 HANSEN WAY, PALO ALTO, CA, 94304-1000, 
        6504934000 - 2,650,000 ($104,357,000.00) Equity, (File 333-146176 - 
        Sep. 19) (BR. 10C)

S-1     JWH GLOBAL TRUST, C/O CIS INVESTMENTS INC, 233 S WACKER DR STE 2300, 
        CHICAGO, IL, 60606, 3124604000 - 0 ($81,120,000.00) Equity, 
        (File 333-146177 - Sep. 19) (BR. 08A)

S-1     Cape Bancorp, Inc., 225 NORTH MAIN STREET, CAPE MAY COURT HOUSE, NJ, 
        08210, (609) 465-5600 - 0 ($249,235,142.00) Equity, (File 333-146178 - 
        Sep. 19) (BR. )

SB-2    COLOMBIA GOLDFIELDS LTD, 816 FEACE PORTAL DR., PNB 55, BLAINE, WA, 
        98230, 416-203-3856 - 13,233,480 ($18,129,867.60) Equity, 
        (File 333-146179 - Sep. 19) (BR. 04A)

SB-2    POLYMEDIX INC, C/O POLYMEDIX INC, 3701 MARKET STREET STE 442, 
        PHILADELPHIA, PA, 19104, 2159666199 - 0 ($30,000,000.00) Equity, 
        (File 333-146180 - Sep. 19) (BR. 01B)

S-4     Metals USA Holdings Corp., ONE RIVERWAY, SUITE 1100, HOUSTON, TX, 
        77056, (713) 965-0990 - 0 ($550,000,000.00) Non-Convertible Debt, 
        (File 333-146181 - Sep. 19) (BR. 04B)


RECENT 8K FILINGS


Form 8-K is used by companies to file current reports on the following events:
	
1.01	Entry into a Material Definitive Agreement		
1.02	Termination of a Material Definitive Agreement		
1.03	Bankruptcy or Receivership	
2.01	Completion of Acquisition or Disposition of Assets	
2.02	Results of Operations and Financial Condition	
2.03	Creation of a Direct Financial Obligation or an Obligation under an 
	Off-Balance Sheet Arrangement of a Registrant		
2.04	Triggering Events That Accelerate or Increase a Direct Financial Obligation 
	under an Off-Balance Sheet Arrangement		
2.05	Cost Associated with Exit or Disposal Activities		
2.06	Material Impairments		
3.01	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or 
	Standard; Transfer of Listing		
3.02	Unregistered Sales of Equity Securities		
3.03	Material Modifications to Rights of Security Holders		
4.01	Changes in Registrant's Certifying Accountant	
4.02	Non-Reliance on Previously Issued Financial Statements or a Related Audit
	Report or Completed Interim Review		
5.01	Changes in Control of Registrant	
5.02	Departure of Directors or Principal Officers; Election of Directors; 
	Appointment of Principal Officers	
5.03	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04	Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05	Amendments to the Registrant's Code of Ethics, or Waiver of a 
	Provision of the Code of Ethics	
6.01. 	ABS Informational and Computational Material.
6.02.  	Change of Servicer or Trustee.
6.03.  	Change in Credit Enhancement or Other External Support.
6.04. 	Failure to Make a Required Distribution.
6.05.  	Securities Act Updating Disclosure.
7.01	Regulation FD Disclosure	
8.01	Other Events	
9.01	Financial Statements and Exhibits	

8-K  reports  may  be  obtained  in  person  or  by  writing  to   the
Commission's  Public  Reference  Branch  at  100   F   Street,   N.E.,
Washington, D.C. 20549-1090 or at the following  e-mail  box  address:
publicinfo@sec.gov. In most cases, this information is also  available
on the Commission's website: www.sec.gov.


				       STATE     
NAME OF ISSUER                         CODE   	 8K ITEM NO.		          DATE     COMMENT

3M CO                                   DE       8.01,9.01                      08/07/07

AAR CORP                                DE       2.02,9.01                      09/19/07

ABBOTT LABORATORIES                     IL       5.03,9.01                      09/14/07

ABC Funding, Inc                                 5.02                           09/19/07

ACE COMM CORP                           MD       2.02,9.01                      09/18/07

ADSTAR INC                              DE       3.01,9.01                      09/18/07

ADVANCED PHOTONIX INC                   DE       1.01,3.02,9.01                 09/14/07

AEROSONIC CORP /DE/                     DE       2.02,9.01                      09/17/07

AFFYMETRIX INC                          DE       5.02                           09/19/07

AIRSPAN NETWORKS INC                    WA       8.01,9.01                      09/19/07

ALABAMA POWER CO                        AL       5.03,8.01,9.01                 09/12/07

Alexza Pharmaceuticals Inc.             DE       7.01,9.01                      09/18/07

Allegiant Travel CO                     NV       5.02                           09/14/07

ALLERGAN INC                            DE       1.01,9.01                      09/18/07

Allied Security Holdings LLC            DE       5.02                           09/17/07

ALNYLAM PHARMACEUTICALS, INC.                    1.02                           09/18/07

ALTRIA GROUP, INC.                      VA       8.01,9.01                      09/19/07

AMEREN CORP                             MO       8.01                           09/19/07

AMERICA FIRST APARTMENT INVESTORS INC   MD       3.01,5.01,5.02,8.01,9.01       09/18/07

AMERICAN TECHNOLOGY CORP /DE/           DE       4.01,9.01                      09/19/07

American Telecom Services Inc                    8.01,9.01                      09/19/07

AMERICASBANK CORP                       MD       8.01,9.01                      09/19/07

Amtrust Financial Services, Inc.        DE       1.01,9.01                      09/17/07

ANDREW CORP                             DE       8.01,9.01                      09/14/07    AMEND

ANIKA THERAPEUTICS INC                  MA       5.02,9.01                      09/18/07

ARK RESTAURANTS CORP                    NY       5.02                           09/17/07

ATLANTIS BUSINESS DEVELOPMENT CORP      DE       8.01                           09/10/07

AZTEK VENTURES INC.                     NV       1.01,5.02,9.01                 09/17/07

BAKERS FOOTWEAR GROUP INC               MO       2.02,5.02,7.01,9.01            09/15/07

Bank of Commerce Holdings               CA       8.01                           09/18/07

BAUSCH & LOMB INC                       NY       7.01,9.01                      09/19/07

BEACON ROOFING SUPPLY INC                        5.03,9.01                      09/18/07

Bear Stearns Asset Backed Securities    DE       9.01                           09/19/07

Bear Stearns Asset Backed Securities    DE       9.01                           08/30/07

Bear Stearns Asset Backed Securities    DE       9.01                           09/19/07

BEARD CO /OK                            OK       8.01,9.01                      09/18/07

Behringer Harvard Opportunity REIT I,   MD       2.01,9.01                      09/13/07

BIOCRYST PHARMACEUTICALS INC            DE       8.01,9.01                      09/19/07

BIOCRYST PHARMACEUTICALS INC            DE       8.01,9.01                      09/19/07

Biodel Inc                                       2.02,4.02,9.01                 09/19/07

BOSTON CAPITAL REAL ESTATE INVESTMENT   MD       7.01,9.01                      09/19/07

BPI Energy Holdings, Inc.                        5.02                           09/13/07

BROOKE CORP                             KS       5.02,7.01,9.01                 09/13/07

Brooklyn Federal Bancorp, Inc.          X1       5.02,9.01                      09/18/07

BULLION RIVER GOLD CORP                          5.02,8.01                      08/22/07

CADENCE DESIGN SYSTEMS INC              DE       1.01,1.02,5.02,9.01            09/13/07

CALIFORNIA MICRO DEVICES CORP           CA       7.01                           09/19/07

CALPINE CORP                            DE       5.02                           09/18/07

Cambridge Display Technology, Inc.      DE       5.01,9.01                      09/19/07

CANARGO ENERGY CORP                     DE       7.01,9.01                      09/14/07

CANYON COPPER CORP.                              5.02                           09/11/07

CARDINAL HEALTH INC                     OH       7.01,9.01                      09/19/07

CARMAX INC                              VA       2.02,9.01                      08/31/07

CHAMPION INDUSTRIES INC                 WV       2.01,2.03,9.01                 09/12/07

CHARMING SHOPPES INC                    PA       7.01,9.01                      09/13/07

CHEMOKINE THERAPEUTICS CORP             DE       8.01,9.01                      09/19/07

CLEVELAND CLIFFS INC                    OH       7.01,8.01,9.01                 09/14/07

COMMUNITY CENTRAL BANK CORP             MI       5.03,9.01                      09/18/07

COMTECH TELECOMMUNICATIONS CORP /DE/    DE       5.02                           09/17/07

COMTECH TELECOMMUNICATIONS CORP /DE/    DE       2.02,9.01                      09/19/07

CONNECTICUT LIGHT & POWER CO            CT       8.01,9.01                      08/17/07

CONSOLIDATED WATER CO LTD               E6       5.02,9.01                      09/14/07

CORPORATE PROPERTY ASSOCIATES 14 INC    MD       5.02                           09/14/07

CORPORATE PROPERTY ASSOCIATES 15 INC    MD       5.02                           09/14/07

CORPORATE PROPERTY ASSOCIATES 16 GLOB   MD       5.02                           09/14/07

CREDIT ACCEPTANCE CORPORATION           MI       7.01,9.01                      09/19/07

CrossPoint Energy CO                    NV       5.02                           09/13/07

Cryoport, Inc.                                   8.01                           09/17/07

CSMC Asset-Backed Trust 2007-NC1        DE       7.01                           08/31/07

CVD EQUIPMENT CORP                      NY       8.01                           09/19/07

CWABS Asset-Backed Certificates Trust   DE       8.01,9.01                      07/20/07    AMEND

CYGNE DESIGNS INC                       DE       2.02,9.01                      09/19/07

DAVE & BUSTERS INC                      MO       2.02,9.01                      09/18/07

Directed Electronics, Inc.              FL       1.01,5.02,5.03,9.01            09/13/07

DIVERSIFIED FUTURES FUND L.P.           DE       4.01,9.01                      09/14/07

DIVERSIFIED FUTURES TRUST I             DE       4.01,9.01                      09/14/07

DOWNSIDE UP INC                         CO       1.01,3.02,8.01,9.01            09/14/07

DRESS BARN INC                          CT       2.02,9.01                      09/18/07

DYNAMICS RESEARCH CORP                  MA       5.02                           09/14/07

ECB BANCORP INC                         NC       7.01,9.01                      09/18/07

EDWARDS LIFESCIENCES CORP               DE       5.03,9.01                      09/17/07

ELECTRO ENERGY INC                      FL       3.01,8.01,9.01                 09/14/07

ENER1 INC                               FL       8.01,9.01                      09/18/07

EnerJex Resources, Inc.                 NV       9.01                           09/14/07

Enterprise GP Holdings L.P.             DE       8.01,9.01                      06/30/07

ENVIRONMENTAL SOLUTIONS WORLDWIDE INC            8.01                           09/13/07

ENVIROSAFE CORP/CA                               1.02                           09/18/07

ENXNET INC                              OK       7.01,9.01                      09/19/07

EQUITABLE FINANCIAL CORP                         8.01,9.01                      09/19/07

ESB FINANCIAL CORP                      PA       8.01,9.01                      09/19/07

ESB FINANCIAL CORP                      PA       8.01,9.01                      09/18/07

EVEREST FUND L P                        IA       4.01                           09/19/07

EVERLAST WORLDWIDE INC                  DE       8.01,9.01                      09/19/07

FARO TECHNOLOGIES INC                   FL       8.01,9.01                      09/19/07

FAUQUIER BANKSHARES INC                 VA       8.01,9.01                      09/17/07

FENTURA FINANCIAL INC                   MI       8.01                           09/19/07

FINISH LINE INC /IN/                    IN       8.01,9.01                      09/19/07

FIRST BANCORP /PR/                      PR       2.02,7.01,9.01                 09/19/07

First Federal of Northern Michigan Ba            8.01,9.01                      09/18/07

FIRST INTERSTATE BANCSYSTEM INC         MT       1.01,3.02,9.01                 09/18/07

FLEETWOOD ENTERPRISES INC/DE/           DE       5.02,5.03,9.01                 09/11/07

FLIR SYSTEMS INC                        OR       8.01                           09/13/07

FLORIDA POWER CORP                      FL       8.01,9.01                      09/13/07

FLOWSERVE CORP                          NY       2.03,9.01                      09/14/07

Fortified Holdings Corp.                NV       2.01,4.01,5.02,5.03,5.06,9.01  09/13/07

FORWARD INDUSTRIES INC                  NY       8.01                           09/14/07

FOX PETROLEUM INC.                      NV       3.02,9.01                      06/08/07

FPL GROUP INC                           FL       8.01,9.01                      09/19/07

FRANKFORT TOWER INDUSTRIES INC          DE       8.01,9.01                      09/18/07

Fuel Systems Solutions, Inc.            DE       3.01,9.01                      09/12/07

FUTURES STRATEGIC TRUST                 DE       4.01,9.01                      09/14/07

GCO Education Loan Funding Trust-I      DE       8.01,9.01                      09/17/07

General Finance CORP                    DE       1.01,2.01,2.03,3.02,5.02,5.03, 09/13/07
					 5.06,9.01
GENERAL MILLS INC                       DE       2.02,9.01                      09/19/07

GENERAL STEEL HOLDINGS INC              NV       5.02,9.01                      08/30/07    AMEND

GENIUS PRODUCTS INC                     DE       8.01,9.01                      09/17/07

GLOBECOMM SYSTEMS INC                            8.01,9.01                      09/19/07

GOLF TRUST OF AMERICA INC               MD       5.02                           09/13/07

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01                           08/31/07

GREAT ATLANTIC & PACIFIC TEA CO INC     MD       8.01                           09/18/07

GUITAR CENTER INC                       DE       8.01,9.01                      09/18/07

GULFMARK OFFSHORE INC                   DE       7.01,9.01                      09/19/07

HALIFAX CORP OF VIRGINIA                VA       8.01                           09/19/07

HCC INSURANCE HOLDINGS INC/DE/          DE       8.01,9.01                      09/19/07

HEALTH CARE REIT INC /DE/               DE       8.01                           09/18/07

HEARTLAND PAYMENT SYSTEMS INC           DE       1.01,8.01,9.01                 09/17/07

HELIX ENERGY SOLUTIONS GROUP INC        MN       7.01,9.01                      09/18/07

HEWITT ASSOCIATES INC                   DE       8.01,9.01                      09/19/07

HILTON HOTELS CORP                      DE       8.01,9.01                      09/18/07

Hyundai Auto Receivables Trust 2007-A   DE       8.01,9.01                      09/19/07

I FLOW CORP /DE/                        DE       1.01,7.01,9.01                 09/18/07

I2 TECHNOLOGIES INC                     DE       5.02                           09/13/07

INERGY L P                              DE       7.01,9.01                      09/19/07

INFOSPACE INC                           DE       1.01,9.01                      09/15/07

Inland American Real Estate Trust, In   MD       1.01,5.01,8.01,9.01            09/13/07

INNOVATIVE SOLUTIONS & SUPPORT INC      PA       5.03,9.01                      09/13/07

INSTEEL INDUSTRIES INC                  NC       7.01,9.01                      09/19/07

InterDigital, Inc.                      PA       8.01                           09/14/07

INTERNAP NETWORK SERVICES CORP          DE       1.01,1.02,2.03,8.01,9.01       09/14/07

International Gold Resources, Inc.               2.02,9.01                      07/31/07

INTERNATIONAL RECTIFIER CORP /DE/       DE       1.01,3.01,7.01,9.01            09/13/07

INTERNATIONAL SHIPHOLDING CORP          DE       1.01,2.03,9.01                 09/19/07

INVENDA CORP                            DE       1.01,1.02,3.02,9.01            09/18/07

INVESTORS REAL ESTATE TRUST             ND       5.03,9.01                      09/18/07

InZon CORP                              NV       1.01,5.02,9.01                 09/18/07

IXYS CORP /DE/                          DE       5.02                           09/13/07

J P MORGAN CHASE & CO                   DE       9.01                           09/17/07

JACK IN THE BOX INC /NEW/               DE       5.02                           09/14/07

JK Acquisition Corp.                             7.01,9.01                      09/19/07

JOHN D. OIL & GAS CO                             1.01,2.03,9.01                 09/12/07

Juniper Content Corp                    DE       1.01,3.02,5.02,9.01            09/14/07

K-SEA TRANSPORTATION PARTNERS LP                 9.01                           09/14/07    AMEND

KELLWOOD CO                             DE       8.01                           08/18/07

KENMAR GLOBAL TRUST                     DE       4.01,9.01                      09/14/07

KINDER MORGAN ENERGY PARTNERS L P       DE       7.01                           09/19/07

KINDER MORGAN MANAGEMENT LLC            DE       7.01                           09/19/07

KLONDIKE STAR MINERAL CORP              DE       4.01                           09/13/07    AMEND

KNIGHT TRANSPORTATION INC               AZ       7.01,9.01                      09/18/07

KYPHON INC                              DE       8.01,9.01                      09/17/07

LABARGE INC                             DE       7.01,9.01                      09/19/07

LANGUAGE ACCESS NETWORK, INC.           NV       8.01,9.01                      09/17/07

LEHMAN BROTHERS HOLDINGS INC            DE       9.01                           09/14/07

LEVI STRAUSS & CO                       DE       8.01,9.01                      09/19/07

LifeCare Holdings, Inc.                 DE       5.02                           09/13/07

LIFEPOINT HOSPITALS, INC.                        5.02,9.01                      09/13/07

LINCOLN INTERNATIONAL CORP              KY       1.01,2.01,3.02,4.01,5.01,5.02, 09/12/07
					         5.06,9.01
LITFUNDING CORP                         NV       3.02,5.01,5.02,9.01            08/30/07

LSB FINANCIAL CORP                      IN       5.03,9.01                      09/19/07

LUMINEX CORP                            DE       5.02,9.01                      09/11/07

MAGELLAN HEALTH SERVICES INC            DE       7.01                           09/19/07

MARKWEST ENERGY PARTNERS L P                     8.01,9.01                      09/19/07

MARKWEST HYDROCARBON INC                DE       8.01,9.01                      09/19/07

MARTEN TRANSPORT LTD                    DE       7.01                           09/18/07

MASIMO CORP                             DE       2.02,9.01                      09/19/07

MASS MEGAWATTS WIND POWER INC                    2.02,9.01                      09/19/07

MASTR Adjustable Rate Mortgages Trust   DE       6.02                           09/01/07

MedAire, Inc.                           NV       1.02,5.02                      09/18/07

MedAire, Inc.                           NV       8.01                           09/19/07

MEDICALCV INC                           MN       8.01,9.01                      09/19/07

METHODE ELECTRONICS INC                 DE       5.02,9.01                      09/13/07

MICRUS ENDOVASCULAR CORP                         8.01,9.01                      09/17/07

MILLER HERMAN INC                       MI       2.02,9.01                      09/19/07

Mogul Energy International, Inc.        DE       7.01,9.01                      09/18/07

MOLINA HEALTHCARE INC                   DE       8.01,9.01                      09/19/07

MOMENTA PHARMACEUTICALS INC             DE       8.01                           09/13/07

MONOLITHIC POWER SYSTEMS INC            CA       2.02,9.01                      09/19/07

MONTGOMERY REALTY GROUP INC             NV       2.01                           09/07/07

MORGAN STANLEY                          DE       2.02,9.01                      09/19/07

Morgan Stanley Mortgage Loan Trust 20   DE       8.01,9.01                      04/30/07

MOTOROLA INC                            DE       5.02,9.01                      09/18/07

NAPCO SECURITY SYSTEMS INC              DE       2.02,9.01                      09/17/07

NASB FINANCIAL INC                      MO       8.01                           09/19/07

NATIONAL BANCSHARES CORP /OH/           OH       2.02,9.01                      09/18/07

National Collegiate Student Loan Trus            8.01,9.01                      09/18/07

National Collegiate Student Loan Trus            8.01,9.01                      09/18/07

National Collegiate Student Loan Trus            8.01,9.01                      09/18/07

National Collegiate Student Loan Trus            8.01,9.01                      09/18/07

NATIONAL PATENT DEVELOPMENT CORP        DE       8.01                           09/12/07

NATROL INC                              DE       9.01                           09/19/07

NCR CORP                                MD       5.04,9.01                      09/19/07

NETSOL TECHNOLOGIES INC                 NV       2.02,9.01                      09/19/07

NEWTEK BUSINESS SERVICES INC            NY       8.01                           09/18/07

NIKE INC                                OR       8.01                           09/17/07

NORTHWEST AIRLINES CORP                 DE       7.01,9.01                      09/19/07

NOVELOS THERAPEUTICS, INC.              DE       5.02,9.01                      09/14/07

NUVASIVE INC                            DE       8.01                           08/27/07

NUVELO INC                              DE       5.02,9.01                      09/14/07

OccuLogix, Inc.                         DE       3.01,9.01                      09/19/07

ODYNE CORP                                       5.02,9.01                      09/19/07

OFFICEMAX INC                           DE       5.02,9.01                      09/19/07

OLD SECOND BANCORP INC                  DE       8.01                           09/18/07

OMNOVA SOLUTIONS INC                    OH       7.01,9.01                      09/19/07

ONEOK INC /NEW/                         OK       7.01,9.01                      09/19/07

ONEOK Partners LP                       DE       7.01,9.01                      09/19/07

OPENWAVE SYSTEMS INC                    DE       5.02                           09/17/07

ORBCOMM Inc.                            DE       1.01                           09/12/07

ORRSTOWN FINANCIAL SERVICES INC         PA       7.01,9.01                      09/14/07

OSCIENT PHARMACEUTICALS CORP            MA       3.01,9.01                      09/18/07

PALM INC                                DE       2.02,5.02,7.01,9.01            09/14/07

PATRIOT SCIENTIFIC CORP                 DE       5.02,9.01                      09/17/07

PEDIATRIX MEDICAL GROUP INC             FL       1.01,9.01                      09/18/07

PEP BOYS MANNY MOE & JACK               PA       2.02,4.02,9.01                 09/18/07

Permanent Master Issuer plc                      6.02,6.03,8.01                 09/19/07

PERMIAN BASIN ROYALTY TRUST             TX       2.02,9.01                      09/18/07

PETROQUEST ENERGY INC                   DE       8.01,9.01                      09/19/07

Pharma-Bio Serv, Inc.                            2.02,7.01,9.01                 09/18/07

PHARMACYCLICS INC                       DE       5.02,5.03,9.01                 09/19/07

PLANETLINK COMMUNICATIONS INC           GA       1.01,3.02,5.02,9.01            08/29/07

PLATINUM UNDERWRITERS HOLDINGS LTD      D0       8.01                           07/26/07

PLAYLOGIC ENTERTAINMENT INC             DE       2.02,9.01                      09/19/07

POPE & TALBOT INC /DE/                  DE       1.01,9.01                      09/17/07

POSSIS MEDICAL INC                      MN       9.01                           09/19/07

POWER EFFICIENCY CORP                   DE       8.01,9.01                      09/19/07

POWERWAVE TECHNOLOGIES INC              DE       8.01,9.01                      09/18/07

Princeton Security Technologies, Inc.   NJ       5.02                           09/19/07

PRINCIPAL LIFE INSURANCE CO             IA       9.01                           09/14/07

PRINCIPAL LIFE INSURANCE CO             IA       9.01                           09/14/07

PRINCIPAL LIFE INSURANCE CO             IA       9.01                           09/14/07

PROGRESS ENERGY INC                     NC       7.01                           09/19/07

PROGRESS ENERGY INC                     NC       8.01,9.01                      09/19/07

Protalix BioTherapeutics, Inc.          FL       7.01,9.01                      09/19/07

Puda Coal, Inc.                                  1.01,1.02,9.01                 09/13/07

PUREDEPTH, INC.                         CO       5.02,9.01                      06/26/07    AMEND

QUINTEK TECHNOLOGIES INC                         4.02,9.01                      08/08/07

R H DONNELLEY CORP                      DE       8.01,9.01                      09/18/07

R H DONNELLEY CORP                      DE       8.01                           09/18/07

R H DONNELLEY CORP                      DE       7.01,9.01                      09/18/07    AMEND

RAINING DATA CORP                       DE       3.01,9.01                      09/13/07

REHABCARE GROUP INC                     DE       5.02                           09/19/07

RENOVIS INC                             DE       8.01,9.01                      09/18/07

REPUBLIC BANCORP INC /KY/               KY       1.01,9.01                      09/19/07

RIVERVIEW BANCORP INC                   WA       5.02,9.01                      09/18/07

ROCKY MOUNTAIN MINERALS INC             WY       8.01                           09/18/07

ROWAN COMPANIES INC                     DE       7.01,9.01                      09/19/07

RUBBER RESEARCH ELASTOMERICS INC        MN       1.01,3.02,5.02,8.01,9.01       09/12/07

SAN JUAN BASIN ROYALTY TRUST            TX       2.02,9.01                      09/18/07

SATCON TECHNOLOGY CORP                  DE       5.02,9.01                      09/13/07

SB PARTNERS                             NY       1.01                           09/18/07    AMEND

SBM CERTIFICATE CO                      MD       5.02                           09/19/07

SCO GROUP INC                           DE       3.01,5.02,9.01                 09/13/07

SED INTERNATIONAL HOLDINGS INC          DE       5.03,9.01                      09/18/07

SEMOTUS SOLUTIONS INC                   NV       3.02,9.01                      09/13/07

SENESCO TECHNOLOGIES INC                DE       1.01,9.01                      09/17/07

SEVERN BANCORP INC                      MD       7.01,9.01                      09/19/07

SHANGHAI CENTURY ACQUISITION CORP       F4       8.01,9.01                      09/19/07

ShengdaTech, Inc.                                5.02,7.01,9.01                 09/19/07

SIGNATURE EYEWEAR INC                   CA       2.03,9.01                      09/14/07

SINGING MACHINE CO INC                  DE       3.01,9.01                      09/13/07

SM&A                                    DE       1.01,2.01,9.01                 09/14/07

SOMANETICS CORP                         MI       2.02,9.01                      09/19/07

SOUTHRIDGE ENTERPRISES INC.             NV       1.01,9.01                      09/10/07

SPACEDEV INC                            CO       1.01,3.02,5.02,9.01            09/18/07

SPACEHAB INC \WA\                       WA       2.02,9.01                      09/19/07

SPARTAN STORES INC                      MI       7.01                           09/19/07

STANDEX INTERNATIONAL CORP/DE/          DE       5.02                           09/18/07

STONEMOR PARTNERS LP                    DE       8.01,9.01                      09/14/07

Summit Global Logistics, Inc.           DE       7.01                           09/18/07

SUMTOTAL SYSTEMS INC                    DE       7.01,9.01                      09/19/07

SUNCOM WIRELESS HOLDINGS, INC.                   1.01,5.02,8.01,9.01            09/16/07

SUNESIS PHARMACEUTICALS INC                      5.02,9.01                      09/13/07

SUNOCO LOGISTICS PARTNERS LP            DE       7.01,9.01                      09/19/07

SYSVIEW TECHNOLOGY, INC.                         1.01,2.03                      09/13/07

TELOS CORP                              MD       4.01                           09/17/07

TERADATA CORP /DE/                               5.04,9.01                      09/18/07

TESORO CORP /NEW/                       DE       7.01,9.01                      09/19/07

TETON ENERGY CORP                       DE       5.02,8.01,9.01                 09/13/07

THERMOENERGY CORP                       AK       2.01,9.01                      07/02/07    AMEND

THERMOGENESIS CORP                      DE       7.01                           09/13/07

TIDELANDS BANCSHARES INC                         5.03,9.01                      09/17/07

TIDELANDS ROYALTY TRUST B               TX       7.01,9.01                      09/18/07

TransMontaigne Partners L.P.            DE       7.01,8.01,9.01                 09/18/07

TRI-S SECURITY CORP                     GA       1.01,3.02,5.03,9.01            09/13/07

TRIO TECH INTERNATIONAL                 CA       2.02,9.01                      09/17/07

TRM CORP                                OR       1.01,5.02,9.01                 09/17/07

TUESDAY MORNING CORP/DE                 DE       8.01,9.01                      09/19/07

UAL CORP /DE/                           DE       7.01,9.01                      09/19/07

UNITED NATURAL FOODS INC                DE       5.03,9.01                      09/13/07

UNITED REFINING CO                      PA       8.01,9.01                      09/19/07

UNIVERSAL AMERICAN FINANCIAL CORP       NY       1.01,1.02,2.03,8.01,9.01       09/18/07

UNIVERSAL ENERGY CORP.                           1.01,9.01                      09/13/07

UNIVERSAL TRAVEL GROUP                  NV       2.01,2.02,7.01,9.01            08/08/07    AMEND

VAALCO ENERGY INC /DE/                  DE       1.01,3.03,5.03,9.01            09/14/07

VION PHARMACEUTICALS INC                DE       3.01,8.01,9.01                 09/17/07

Visiphor CORP                           A1       8.01,9.01                      09/19/07

VOLT INFORMATION SCIENCES, INC.         NY       2.03,8.01,9.01                 09/14/07

WEBSITE PROS INC                        DE       8.01,9.01                      09/19/07

Wells Timberland REIT, Inc.             MD       1.01                           09/19/07

WGNB CORP                               GA       7.01,9.01                      09/19/07

Winsted Holdings, Inc.                  FL       4.01                           09/18/07

WIRELESS RONIN TECHNOLOGIES INC         MN       8.01,9.01                      09/19/07

WORLD MONITOR TRUST II SERIES D         DE       4.01,9.01                      09/14/07

WORLD MONITOR TRUST II SERIES E         DE       4.01,9.01                      09/14/07

WORLD MONITOR TRUST II SERIES F         DE       4.01,9.01                      09/14/07

World Monitor Trust III                 DE       4.01,9.01                      09/14/07

Wornick CO                              DE       1.01,9.01                      09/18/07

Wright Express CORP                              1.01,8.01,9.01                 09/13/07

XSUNX INC                               CO       8.01                           09/19/07

ZIFF DAVIS HOLDINGS INC                 DE       5.02                           09/13/07

ZIPREALTY INC                                    1.01,5.02,9.01                 09/13/07




                           

 

http://www.sec.gov/news/digest/2007/dig092007.htm


Modified: 09/20/2007