SEC NEWS DIGEST Issue 2002-144 July 26, 2002 COMMISSION ANNOUNCEMENTS SEC APPROVES RULE ON MARGIN REQUIREMENTS FOR SECURITY FUTURES; PROPOSES REGULATION ON ANALYST CERTIFICATIONS On July 24, the Securities and Exchange Commission took the following actions in an open meeting: 1. Customer Margin Requirements for Security Traders The SEC voted to approve final rules that set forth the customer margin requirements for security futures. These rules will implement provisions of the Commodity Futures Modernization Act of 2000 (CFMA), which lifted the 19-year ban on the trading of futures on single securities and narrow-based security indexes in this country. The final rules will apply to customer margin collected for security futures transactions by brokers, dealers, and members of national securities exchanges (security futures intermediaries). They will include certain uniform provisions that are designed to satisfy the statutory requirement that the margin rules for security futures be and remain consistent with the margin requirements set by the Board of Governors of the Federal Reserve System under Regulation T. The final rules also will include provisions that establish minimum margin levels for security futures and permit security futures exchanges to set margin levels for customers with strategy-based offset positions involving security futures. These provisions of the final rules are designed to satisfy the statutory requirement that the margin rules for security futures be consistent with those for comparable exchange-traded options. Finally, the final rules will identify the types of collateral acceptable as margin deposits for security futures and set forth procedures applicable to undermargined accounts. The rules will be effective 30 days after publication in the Federal Register. 2. Proposed Regulation AC - Analyst Certification The Commission voted to propose Regulation AC for comment. Regulation AC would require research analysts to certify the truthfulness of their views in research reports and public appearances and disclose whether they have received any compensation related to the specific recommendation provided in those reports and appearances. The proposed Regulation would include the following provisions: * Research Reports. Under this proposal, research reports must include a statement by the research analyst certifying that the research report accurately reflects his or her personal views. Research reports also must include a statement by the research analyst certifying whether the recommendation is related to the analyst's compensation. If there is any relation between the analyst's compensation and his or her recommendation, that fact must be disclosed along with the amount of the compensation received, its source, and its purpose. * Public Appearances. Research analysts must quarterly attest that any recommendations and views provided in public appearances during the prior quarter accurately reflected their personal views and were not related to any compensation they received or will receive. If an analyst is unable to provide those written certifications, he or she must provide his or her firm with an explanation and the firm must promptly provide that information to its designated examining authority. The firm would then have to disclose in all research reports prepared by that analyst for the next 120 days that the research analyst did not provide the certifications and the reasons for the failure to certify. Proposed Regulation AC is part of an ongoing process by the Commission, NASD, NYSE, and the states to address conflicts of interest faced by research analysts. On April 25, 2002, the Commission announced that it had commenced a formal inquiry with the SROs and the states into market practices concerning research analysts and the conflicts that can arise from the relationship between research and investment banking. This inquiry may indicate the need for further rulemaking by the NASD and NYSE or additional Commission action. In addition, on May 10, 2002, the Commission approved comprehensive rule changes proposed by the NYSE and NASD to manage and increase disclosure of analysts' conflicts of interest in connection with research reports on equity securities and public appearances. Comments on the proposal should be submitted to the Commission within 45 days of the date of publication in the Federal Register. Note: The Commission will issue the releases on these topics in the near future. (Press Rel. 2002-13) STATEMENT BY SEC CHAIRMAN HARVEY PITT ON SENATE CONFIRMATION OF NOMINEES TO THE COMMISSION Chairman Pitt made the following statement today regarding Senate confirmation of nominees to the Commission: "I am very pleased that all four nominees to the Commission - Paul Atkins, Roel Campos, Cynthia Glassman and Harvey Goldschmid - were unanimously approved by the United States Senate. "With the approval by the House and Senate of the Sarbanes-Oxley accounting reform act, the confirmation of a full Commission ensures that we will be able to implement this legislation quickly and begin the process of restoring investor confidence and integrity in our financial markets. "I look forward to working with all of my colleagues as we begin this exciting new challenge." (Press Rel. 2002-114) ENFORCEMENT PROCEEDINGS COMMISSION SUSTAINS NASD ACTION AGAINST DANIEL HOWARD The Commission has sustained NASD disciplinary action against Daniel R. Howard. Howard, of Cambridge, Massachusetts, was a registered representative of H. J. Meyers & Co., Inc., a former NASD member firm. The NASD suspended Howard in all capacities for two years, and fined him $25,000. The Commission found that, during the 10-month period from October 31, 1995 through August 1996, Howard made unsuitable recommendations to a customer. Howard recommended speculative securities to an elderly, retired customer who needed additional income to pay for increasing medical expenses. Howard also excessively traded the customer's account. By the end of the relevant period, the customer had lost about $35,000. The Commission further found that, in 1998, Howard was responsible for a false answer on the Form U-4 that was filed in connection with his employment at another brokerage firm. Although Howard was specifically advised by the NASD that he must disclose on his Form U-4 the NASD's pending investigation of his recommendations to the elderly customer, Howard gave a negative response to the question that asked if he was the subject of an NASD investigation. (Rel. 34-46269; File No. 3-10392) COURT ISSUES $190,000 ASSET FREEZE AGAINST RHODE ISLAND BROKER DAVID ULLOM, A RELIEF DEFENDANT, IN CONNECTION WITH ALLEGED FRAUDULENT OFFERING SCHEME The Commission announced that on July 17 the Rhode Island federal district court entered an order imposing a $190,000 asset freeze against David L. Ullom, branch office manager of the Cranston, Rhode Island office of Raymond James Financial Services, Inc., in connection with an alleged fraudulent scheme that raised at least $52 million from investors between 1999 and 2001. The Commission named Ullom as a relief defendant in its complaint and does not accuse Ullom of any wrongdoing; rather, the Commission alleges that Ullom received approximately $190,000 in investor funds to which he has no legitimate claim. The Commission alleges in its complaint, filed April 1, 2002, that individuals associated with an entity formerly known as Brite Business made fraudulent representations to investors, promising exorbitant returns through a high yield trading program. According to the Commission's complaint, most of the Brite Business investor funds were maintained in a brokerage account at Raymond James' Cranston, Rhode Island office. The complaint alleges that Dennis Herula was a registered representative at the Cranston office of Raymond James and was the designated representative for the Brite Business account. The complaint further alleges that, between 1999 and 2001, Herula and others associated with Brite Business misappropriated, transferred or lost approximately $20 million in investor funds. According to the Commission's complaint, Ullom received $190,000 in Brite Business investor funds to which he was not entitled and for which he performed no services. The Commission alleges that those funds should be returned to investors. The Court held a hearing on May 10, 2002 concerning Ullom and his receipt of the investor funds. On July 17, the Court issued a Memorandum and Order freezing $190,000 of Ullom's assets, based on its finding that the Commission is likely to succeed in proving that Ullom has no legitimate claim to those funds. For further information, please see, Litigation Release No. 17514 (May 13, 2002); Litigation Release No. 17461 (April 5, 2002); Litigation Release No. 17334 (January 24, 2002)[subpoena enforcement action against Defendant Capalbo]; and Litigation Release No. 17325 (January 16, 2002)[subpoena enforcement action against Defendant Herula]. [SEC v. Dennis Herula, et al., USDC, D Rhode Island, C.A. No. 02 154 ML] (LR-17633) HOLDING COMPANY ACT RELEASES PEPCO HOLDINGS INC., ET. AL An order has been issued on a proposal by Pepco Holdings, Inc. (PHI), a subsidiary of Potomac Electric Power Company (Pepco) formed to facilitate the merger of Pepco and Conectiv, Washington, DC; Conectiv, a registered public utility holding company, Conectiv Resource Partners, Inc., a service company subsidiary of Conectiv both at Wilmington, Delaware (together, Applicants). Applicants have filed an application- declaration requesting authorization for activities related to PHI being placed as a holding company over Pepco and its subsidiaries and Conectiv and its subsidiaries (Transaction). After the Transaction, PHI will register under Section 5 of the Act. (Rel. 35-27553) SELF-REGULATORY ORGANIZATIONS DELISTINGS GRANTED An order has been issued granting the application of the American Stock Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting certain underlying securities, effective at the opening of business on July 26, 2002. (Rel. 34-46259) An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the Common Stock, $.01 par value, of Superior TeleCom Inc. and the 8 «% Trust Convertible Preferred Securities of Superior Trust 1, effective at the opening of business on July 26, 2002. (Rel. 34-46261) An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the Common Stock, $.10 par value, of The Alpine Group, Inc., effective at the opening of business on July 26. (Rel. 34-46262) An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the Common Stock, $.01 par value, of Atchison Casting Corporation, effective at the opening of business on July 26. (Rel. 34-46263) 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 MICROISLET INC, 6540 LUSK BLVD. SUITE C250, SAN DIEGO, CA, 92121, 8586570287 - 689,622 ($1,396,485.00) Equity, (File 333-97059 - Jul. 25) (BR. 09) S-8 LEAPFROG ENTERPRISES INC, 6401 HOLLIS ST, STE 150, EMERYVILLE, CA, 94608, 5104205000 - 17,407,983 ($157,164,264.00) Equity, (File 333-97061 - Jul. 25) (BR. 05) S-8 EPICOR SOFTWARE CORP, 195 TECHNOLOGY DR, IRVINE, CA, 92718-2402, 9495854000 - 0 ($1,787,500.00) Equity, (File 333-97063 - Jul. 25) (BR. 03) S-8 WORLD WIDE VIDEO INC, 102A N. MAIN STREET, CULPEPPER, VA, 22701, 5407277551 - 10,000,000 ($200,000.00) Other, (File 333-97065 - Jul. 25) (BR. 09) S-1 GLOBIX CORP, 139 CENTRE STREET, NEW YORK, NY, 10013, 2125945300 - 0 ($30,669,057.00) Other, (File 333-97067 - Jul. 25) (BR. 03) S-4 INSTINET GROUP INC, 3 TIME SQUARE, NEW YORK, NY, 10022, 2123109500 - 0 ($65,894,663.00) Equity, (File 333-97071 - Jul. 25) (BR. 07) S-8 PROVINCE HEALTHCARE CO, 105 WESTPARK DR, STE 400, BRENTWOOD, TN, 37027, 6153701377 - 0 ($99,832,500.00) Equity, (File 333-97075 - Jul. 25) (BR. 01) S-8 INET TECHNOLOGIES INC, 1255 WEST 15TH STREET, SUITE 600, PLANO, TX, 75075-7270, 9725786100 - 0 ($5,297,447.75) Equity, (File 333-97077 - Jul. 25) (BR. 37) S-8 HOMEFED CORP, 1903 WRIGHT PLACE, STE 220, CARLSBAD, CA, 92008, 7609188200 - 2,000,000 ($1,444,480.00) Equity, (File 333-97079 - Jul. 25) (BR. 08) S-3 COMCERTZ ABS CORP, C/O LORDS SECURITIES CORP, 48 WALL STREET, NEW YORK, NY, 10005, 2123469000 - 1,000,000 ($1,000,000.00) Equity, (File 333-97081 - Jul. 25) (BR. ) S-8 CALYPTE BIOMEDICAL CORP, 1265 HARBOR BAY PARKWAY, ALAMEDA, CA, 94502-, 5107495100 - 19,000,000 ($570,000.00) Equity, (File 333-97083 - Jul. 25) (BR. 36) S-8 GBC BANCORP INC, 318 W PIKE ST, SUITE 475, LAWRENCEVILLE, GA, 30246, 7709950000 - 220,000 ($2,646,600.00) Equity, (File 333-97087 - Jul. 25) (BR. 07) S-8 CIRCLE GROUP INTERNET INC, 1011 CAMPUS DRIVE, 310-556-0080, MUNDELEIN, IL, 60060, 847-549-60 - 588,000 ($58,000.00) Equity, (File 333-97089 - Jul. 25) (BR. 08) S-8 PLANTRONICS INC /CA/, 337 ENCINAL ST, SANTA CRUZ, CA, 95061-1802, 8314265858 - 0 ($37,224,000.00) Equity, (File 333-97091 - Jul. 25) (BR. 37) S-8 WESTSPHERE ASSET CORP INC, 1528 9TH AVENUE S.E., CALGARY PROVINCE ALBERTA T2G OT7, 4032900264 - 7,500,000 ($225,000.00) Equity, (File 333-97093 - Jul. 25) (BR. 07) S-8 CYBERONICS INC, 16511 SPACE CENTER BLVD, SUITE 600, HOUSTON, TX, 77058, 7133321375 - 0 ($10,140,000.00) Equity, (File 333-97095 - Jul. 25) (BR. 36) S-8 ANACOMP INC, 12365 CROSTHWAITE CIRCLE, POWAY, CA, 92064, 8586799797 - 0 ($10,618,400.00) Equity, (File 333-97099 - Jul. 25) (BR. 36) S-8 APPLIX INC /MA/, 112 TURNPIKE RD, WESTBORO, MA, 01581, 5088700300 - 0 ($207,000.00) Equity, (File 333-97101 - Jul. 25) (BR. 03) S-8 J JILL GROUP INC, 4 BATTERYMARCH PARK, STE 200, QUINCY, MA, 02169, 7817402718 - 0 ($15,566,250.00) Equity, (File 333-97105 - Jul. 25) (BR. 02) S-8 IPVOICE COMMUNICATIONS INC, 5050 N 19TH AVE, SUITE 416/417, PHOENIX, AZ, 85015, 3037381266 - 5,000,000 ($250,000.00) Equity, (File 333-97109 - Jul. 25) (BR. 37) S-3 FNB CORP/FL/, F.N.B. CENTER, 2150 GOODLETTE ROAD NORTH, NAPLES, FL, 34102, 941-262-7600 - 0 ($53,690,000.00) Equity, (File 333-97111 - Jul. 25) (BR. 07) S-8 FNB CORP/FL/, F.N.B. CENTER, 2150 GOODLETTE ROAD NORTH, NAPLES, FL, 34102, 941-262-7600 - 0 ($53,690,000.00) Equity, (File 333-97113 - Jul. 25) (BR. 07) S-8 FNB CORP/FL/, F.N.B. CENTER, 2150 GOODLETTE ROAD NORTH, NAPLES, FL, 34102, 941-262-7600 - 0 ($939,575.00) Equity, (File 333-97115 - Jul. 25) (BR. 07) S-3 WOMEN FIRST HEALTHCARE INC, 12220 EL CAMINO ROAD SUITE 400, SAN DIEGO, CA, 92130, 8585091171 - 4,563,444 ($16,588,119.00) Equity, (File 333-97117 - Jul. 25) (BR. 01) S-3 CAPITAL ONE FINANCIAL CORP, 2980 FAIRVIEW PARK DRIVE, SUITE 1300, FALLS CHURCH, VA, 22042, 7032051000 - 0 ($2,000,000,000.00) Other, (File 333-97119 - Jul. 25) (BR. 07) S-8 AGL RESOURCES INC, 817 WEST PEACHTREE ST NW, 10TH FLOOR, ATLANTA, GA, 30308, 4045849470 - 2,700,000 ($51,057,000.00) Equity, (File 333-97121 - Jul. 25) (BR. 02) S-8 CAPITAL ONE FINANCIAL CORP, 2980 FAIRVIEW PARK DRIVE, SUITE 1300, FALLS CHURCH, VA, 22042, 7032051000 - 0 ($298,987,500.00) Equity, (File 333-97123 - Jul. 25) (BR. 07) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 DATE COMMENT ------------------------------------------------------------------------------------ A CONSULTING TEAM INC NY X X X 07/19/02 ABM INDUSTRIES INC /DE/ DE X X 07/24/02 ABN AMRO MORTGAGE CORP DE X 07/01/02 ABN AMRO MORTGAGE CORP SERIES 1998-2 DE X 07/01/02 ABN AMRO MORTGAGE CORP SERIES 1998-3 DE X 07/01/02 ABN AMRO MORTGAGE CORP SERIES 1998-4 DE X 07/01/02 ABN AMRO MORTGAGE CORP SERIES 1998-5 DE X 07/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-1 DE X 07/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-2 DE X 07/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-3 DE X 07/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-4 DE X 07/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-5 DE X 07/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-6 DE X 07/01/02 ADVANTICA RESTAURANT GROUP INC DE X X 07/10/02 AFFILIATED COMPUTER SERVICES INC DE X X 06/10/02 AMEND AIR PRODUCTS & CHEMICALS INC /DE/ DE X X 06/30/02 ALLCITY INSURANCE CO /NY/ NY X X 07/25/02 AMB FINANCIAL CORP DE X X 07/24/02 AMEREN CORP MO X X 07/25/02 AMERICAN PHYSICIANS SERVICE GROUP INC TX X 07/24/02 AMEND AMERICAN SOUTHWEST FINANCIAL SECURITI AZ X 07/01/02 AMREIT INC MD X 07/24/02 ANCHOR GAMING NV X 07/16/02 ARIZONA PUBLIC SERVICE CO AZ X 07/23/02 ARTESYN TECHNOLOGIES INC FL X X 07/23/02 ASBURY AUTOMOTIVE GROUP INC DE X X 07/25/02 ASV INC /MN/ MN X X 07/25/02 AUTOTRADECENTER COM INC AZ X X 06/28/02 AZCO MINING INC DE X 09/30/02 BANC OF AMERICA COMMERCIAL MORTGAGE I DE X X 07/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X X 07/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X X 07/25/02 BAY VIEW CAPITAL CORP DE X X 07/22/02 AMEND BAYCORP HOLDINGS LTD DE X 07/25/02 BCSB BANKCORP INC X X 07/24/02 BEAR STEARNS ASSET BACKED SECURITIES DE X 07/01/02 BEAZER HOMES USA INC DE X X 07/23/02 BECTON DICKINSON & CO NJ X X 07/24/02 BERKLEY W R CORP DE X X 07/24/02 BMW FS SECURITIES LLC X X 07/25/02 BMW VEHICLE LEASE TRUST 2000-A X 07/25/02 BRE PROPERTIES INC /MD/ MD X X 07/15/02 CARBON ENERGY CORP CO X 07/08/02 AMEND CAROLINA POWER & LIGHT CO NC X X 07/24/02 CBL & ASSOCIATES PROPERTIES INC DE X 06/30/02 CD WAREHOUSE INC DE X 07/17/02 CHASE CREDIT CARD MASTER TRUST NY X 07/15/02 CHESAPEAKE ENERGY CORP OK X X 07/25/02 CHURCHILL DOWNS INC KY X 06/30/02 CIT EQUIPMENT COLLATERAL 2002-VT1 DE X 07/18/02 CIT GROUP INC DEL DE X X 07/23/02 CITIBANK SOUTH DAKOTA N A DE X 06/25/02 CITIGROUP INC DE X 07/25/02 CITY HOLDING CO WV X X 07/24/02 CITYXPRESS COM CORP FL X 07/25/02 CITYXPRESS COM CORP FL X 07/25/02 CLASSIC BANCSHARES INC DE X 07/22/02 CLECO CORP LA X X 07/23/02 CLEVELAND CLIFFS INC OH X 07/24/02 CNB FLORIDA BANCSHARES INC FL X 07/25/02 COMPETITIVE TECHNOLOGIES INC DE X 07/23/02 CONCENTRA OPERATING CORP NV X 07/24/02 CONECTIV DE X X 07/25/02 CORVAS INTERNATIONAL INC DE X X 07/22/02 CREDIT & ASSET REPACKAGING VEHICLE CO DE X 07/15/02 CURAGEN CORP DE X X 07/25/02 CYBEX INTERNATIONAL INC NY X X 07/22/02 CYGNUS INC /DE/ DE X X 07/25/02 CYSIVE INC DE X X 07/24/02 CYTOMEDIX INC DE X 07/25/02 DEERE JOHN RECEIVABLES INC DE X X 07/24/02 DELTAGEN INC DE X X 07/25/02 DEUTSCHE FLOORPLAN RECEIVABLES L P DE X X 06/30/02 DIACRIN INC /DE/ DE X 07/25/02 DIVINE INC DE X X 07/23/02 DIVINE INC DE X X 07/24/02 AMEND DOW CHEMICAL CO /DE/ DE X X 07/25/02 DST SYSTEMS INC DE X 07/24/02 DUANE READE INC DE X X 07/25/02 DYNAMIC MATERIALS CORP DE X X 07/18/02 AMEND ECOGEN INC DE X X X 07/10/02 EL PASO CORP/DE DE X X 07/25/02 ENDO PHARMACEUTICALS HOLDINGS INC DE X X 07/25/02 ENVIRONMENTAL POWER CORP DE X X 07/25/02 EPRESENCE INC MA X X 07/25/02 FACTUAL DATA CORP CO X X 07/23/02 FBR ASSET INVESTMENT CORP/VA VA X 07/24/02 FINISHMASTER INC IN X X 07/22/02 FIRST INDIANA CORP IN X X 07/23/02 FIRST UNION COMMERCIAL MORTGAGE PASS NC X 07/01/02 FIRSTFED FINANCIAL CORP DE X 06/30/02 FIRSTFED FINANCIAL CORP DE X 06/30/02 FORCE 10 TRADING INC NV X X 07/19/02 FRANKLIN FINANCIAL CORP /TN/ TN X X 07/23/02 FRANKLIN RESOURCES INC DE X X 07/25/02 FRANKS NURSERY & CRAFTS INC MI X 07/25/02 FRD ACQUISITION CO DE X X X 06/20/02 FRESH BRANDS INC X 07/24/02 FRESH BRANDS INC X 07/25/02 GEHL CO WI X X 07/25/02 GENEMAX CORP NV X X 07/22/02 AMEND GENUITY INC DE X X 07/25/02 GLENGARRY HOLDINGS LTD NV X 06/29/01 AMEND GREATE BAY CASINO CORP DE X 07/10/02 HANCOCK HOLDING CO MS X 07/25/02 HARMONIC INC DE X X 07/23/02 HAWAIIAN ELECTRIC INDUSTRIES INC HI X 07/25/02 HCA INC/TN DE X X 07/24/02 HEALTHCARE REALTY TRUST INC MD X X 07/25/02 HEMET BANCORP CA X X X 07/25/02 HERITAGE COMMERCE CORP CA X 01/25/02 HERSHEY FOODS CORP DE X X 07/25/02 HILTON HOTELS CORP DE X X 07/24/02 HISPANIC TELEVISION NETWORK INC DE X 07/24/02 HOMESIDE MORTGAGE SECURITIES INC /DE/ DE X 07/25/02 HOUSEHOLD CONSUMER LOAN TRUST 1996-1 DE X 07/12/02 HOUSEHOLD CONSUMER LOAN TRUST 1996-2 DE X 07/12/02 HOUSEHOLD CONSUMER LOAN TRUST 1997-1 DE X 07/12/02 HOUSEHOLD CONSUMER LOAN TRUST 1997-2 DE X 07/14/02 HPL TECHNOLOGIES INC DE X X 07/22/02 HUDSONS GRILL INTERNATIONAL INC TX X 07/25/02 HYPERTENSION DIAGNOSTICS INC /MN MN X X 07/25/02 ICN PHARMACEUTICALS INC DE X X 07/24/02 INDIANA GAS CO INC IN X 06/30/02 AMEND INSYNQ INC DE X 07/22/02 INTERNET ADVISORY CORP UT X X 07/10/02 INTEST CORP DE X X 07/24/02 JAMESON INNS INC GA X X 07/25/02 JDS UNIPHASE CORP /CA/ DE X X 07/25/02 KAMAN CORP CT X 07/24/02 KENTUCKY ELECTRIC STEEL INC /DE/ DE X X 07/19/02 KEYSPAN CORP NY X X X 06/30/02 KILROY REALTY CORP MD X 07/24/02 KNOLOGY BROADBAND INC DE X X 07/25/02 KNOLOGY INC DE X X 07/25/02 LACLEDE GROUP INC MO X X 07/25/02 LEHMAN ABS CORP DE X X 06/01/02 LEHMAN ABS CORP DE X X 06/15/02 LEHMAN ABS CORP CORPORATE BACKED TRUS DE X X 07/19/02 LOUISIANA PACIFIC CORP DE X X 07/25/02 LSI LOGIC CORP DE X X 07/24/02 MAGNETEK INC DE X X 07/25/02 MALLON RESOURCES CORP CO X 07/17/02 MDU RESOURCES GROUP INC DE X X 06/30/02 MEDICINES CO/ MA DE X X 07/23/02 MEDQUIST INC NJ X 07/25/02 MERRILL LYNCH MORT INV INC COM MRT PA DE X X 07/11/02 MERRILL LYNCH MORT LN ASS BKD CERTS S DE X 07/01/02 METROCALL INC DE X X 07/18/02 METROCORP BANCSHARES INC X X 07/24/02 MICHAEL FOODS INC /MN MN X X 07/25/02 MIDDLEBY CORP DE X 07/24/02 MIIX GROUP INC DE X 07/17/02 ML LEE ACQUISITION FUND II L P DE X 07/24/02 ML LEE ACQUISITION FUND RETIREMENT AC DE X 07/24/02 MONEYZONE COM NV X X 07/24/02 MORTONS RESTAURANT GROUP INC DE X X 07/23/02 NATIONAL GLOBAL MBS MANAGER INC DE X 07/25/02 NATIONAL STEEL CORP DE X X 07/25/02 NATIONSLINK FUNDING CORP 1999-LTL-1 C DE X 07/01/02 NEOFORMA INC/CA/ DE X 07/22/02 NETZEE INC GA X 07/22/02 NEW YORK COMMUNITY BANCORP INC DE X X 07/23/02 NOBLE CORP X X 07/25/02 NORTHWAY FINANCIAL INC NH X 07/11/02 NSTAR/MA MA X X 06/30/02 OPLINK COMMUNICATIONS INC DE X 07/25/02 OSHKOSH TRUCK CORP WI X X 07/25/02 OSTEOTECH INC DE X 07/10/02 OXFORD HEALTH PLANS INC DE X X 07/25/02 PACIFIC NORTHWEST BANCORP WA X X 07/22/02 PENNSYLVANIA REAL ESTATE INVESTMENT T PA X 06/28/02 PHOENIX TECHNOLOGIES LTD DE X X 07/23/02 PINNACLE WEST CAPITAL CORP AZ X 07/23/02 PLAYERS NETWORK X X 07/22/02 POET HOLDINGS INC DE X X 07/23/02 POTOMAC ELECTRIC POWER CO VA X X 07/25/02 PRECISE LIFE SCIENCES LTD NV X X X 07/23/02 PRESTIGE GROUP NET INC NV X X X X 07/16/02 PRIME EQUIPMENT INC NV X X 07/10/02 PROVIDIAN MASTER TRUST X 07/15/02 QUEST DIAGNOSTICS INC DE X 07/23/02 RANCON INCOME FUND I CA X 07/18/02 RANCON REALTY FUND IV CA X 07/18/02 RANCON REALTY FUND V CA X 07/18/02 REGENERON PHARMACEUTICALS INC NY X X 07/25/02 RELIANT ENERGY INC TX X X X 07/25/02 RELIANT RESOURCES INC DE X X X 07/25/02 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 07/25/02 RSA SECURITY INC/DE/ DE X X 07/24/02 RWD TECHNOLOGIES INC MD X X X 07/24/02 RYDER VEHICLE LEASE TRUST 1999-A DE X X 07/12/02 SAMSONITE CORP/FL DE X X 07/22/02 SAXON ASSET SECURITIES CO VA X 07/10/02 SAXON CAPITAL INC DE X X 07/25/02 SERVICE CORPORATION INTERNATIONAL TX X X X 07/25/02 SEVEN SEAS PETROLEUM INC B0 X X 07/24/02 SL GREEN REALTY CORP MD X X 07/25/02 SL INDUSTRIES INC NJ X X 07/25/02 SNAP ON INC DE X X 07/25/02 SOUTH STREET FINANCIAL CORP NC X 05/28/02 SPX CORP DE X X 07/24/02 STATEN ISLAND BANCORP INC DE X X 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