SEC NEWS DIGEST Issue 2002-202 October 18, 2002 COMMISSION ANNOUNCEMENTS ADDITIONAL PUBLIC APPEARANCE OF SENIOR COMMISSION OFFICIAL - OCTOBER 2002 The following is an addition to the schedule of public appearances for October 2002 by senior SEC officials. For additional information on events hosted by groups other than the Commission, please call the contact numbers listed. As events are subject to change, please confirm them with the SEC's Office of Public Affairs or the sponsoring organizations. When: October 22, 2002 Who: Chairman Harvey L. Pitt What: The Directors' Education Institute Duke University Where: Washington Duke Inn Durham, North Carolina Contact: Jim Gray, (919) 660-4071 COMMISSION MEETINGS CLOSED MEETING - TUESDAY, OCTOBER 22, 2002 - 10:00 A.M. The subject matter of the Closed Meeting scheduled for Tuesday, October 22, 2002, will be: Institution and settlement of administrative proceedings of an enforcement nature; Institution and settlement of injunctive actions; and Adjudicatory matters. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 942-7070. ASK SEC STAFF YOUR QUESTIONS ABOUT ANTI-MONEY LAUNDERING COMPLIANCE ISSUES The Securities and Exchange Commission's Office of Compliance Inspections and Examinations, in conjunction with the Securities Industry Association, is hosting an anti-money laundering compliance webcast (audio only) scheduled for Monday, Nov. 25, 2002 at 1:00 P.M. Eastern Standard Time. The webcast, lasting approximately 1 « hours, will be in a question and answer format. The questions will be answered by a panel of experts from the SEC and the SIA and will be moderated by Lori Richards from the SEC and Alan Sorcher from the SIA. The topic of the webcast is broker-dealer responsibilities and examination issues with respect to compliance with the USA PATRIOT Act and other anti-money laundering regulations. Instructions for accessing the webcast: To access the webcast simply go to www.sec.gov and click on the "News & Public Statements" link. From there, click on the "Other Webcasts" link and look for "SEC-SIA AML Webcast" link. You may need to download either Real Player or Windows Explorer to access the webcast. Only pre-submitted questions will be addressed during the webcast. To submit questions for the webcast simply send an email containing the question to ocieaml@sec.gov by November 1st. FEE RATE ADVISORY #6 FOR FISCAL YEAR 2003 The continuing resolution funding the Securities and Exchange Commission for fiscal 2003 since Oct. 1, 2002 has been extended through Nov. 22, 2002. Therefore, the Section 6(b) fee rate applicable to the registration of securities, the Section 13(e) fee rate applicable to the repurchase of securities, and the Section 14(g) fee rates applicable to proxy solicitations and information statements in corporate control transactions will remain at the current rate of $92.00 per million. Five days after enactment of the Commission's regular appropriation, the fee rates for Section 6(b) of the Securities Act of 1933 and Sections 13(e) and 14(g) of the Securities Exchange Act of 1934 will be reduced from $92.00 per million to $80.90 per million as previously announced. In addition, the Section 31 fee rate applicable to securities transactions on the exchanges and NASDAQ also will remain at the current rate of $30.10 per million. Thirty days after enactment of the Commission's regular appropriation, the fee rate for Exchange Act Section 31 transactions will be reduced to $25.20 per million as previously announced. The delayed effective dates for the fee rate reductions are statutory requirements over which the Commission has no discretion. The Commission will issue further notices as appropriate to keep the public informed of developments relating to enactment of the Commission's regular appropriation and the effective dates for the above fee rate changes. These notices will be posted at the SEC's Internet web site at http://www.sec.gov. DELEGATION OF AUTHORITY TO DIRECTOR OF DIVISION OF MARKET REGULATION The Commission has delegated authority to the Director of the Division of Market Regulation to publish in the Federal Register acknowledgements of receipt of Forms 1-N filed pursuant to Section 6(g) of the Securities Exchange Act of 1934. (Rel. 34- 46667) INVESTMENT COMPANY ACT RELEASES LONDON PACIFIC LIFE & ANNUITY COMPANY, ET AL. A notice has been issued giving interested persons until November 6, 2002, to request a hearing on an application filed by London Pacific Life & Annuity Company, LPLA Separate Account One and LPT Variable Insurance Series Trust. Applicants seek an order approving the substitution of the shares of the portfolios of the LPT Variable Insurance Series Trust with shares of certain portfolios of the MFS(R) Variable Insurance Trust as follows: (1) shares of the RS Diversified Growth Portfolio with shares of the MFS New Discovery Series; (2) shares of the Harris Associates Value Portfolio with shares of a MFS Value Series; (3) shares of the LPA Core Equity Portfolio with shares of a MFS Value Series; (4) shares of the Strong Growth Portfolio with shares of the MF Investors Growth Stock Series; and (5) shares of the MFS Total Return Portfolio with shares of the MFS Total Return Series. Applicants also seek an order of exemption pursuant to Section 17(b) of the Act to permit certain in-kind redemptions and purchases in connection with the substitution. (Rel. IC-25769 - October 16) HOLDING COMPANY ACT RELEASES PG&E CORP., ET AL. A notice has been issued giving interested persons until November 12, 2002, to request a hearing on a proposal by PG&E Corporation (PG&E Corp.), a holding company claiming exemption from registration under Section 3(a)(1) of the Act by Rule 2; Pacific Gas and Electric Company (PG&E), a direct public-utility company subsidiary of PG&E Corp.; Newco Energy Corporation (Newco); Electric Generation LLC (Gen), a direct nonutility subsidiary of PG&E. Applicants request authority to effect transactions that are part of PG&E's a plan of reorganization, including the acquisitions of Newco, a holding company within the meaning of the Act, and up to thirty-one public utility companies, including Gen and ETrans LLC, which would be direct or indirect subsidiaries of Newco. (Rel. 35-27578) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE The Government Securities Clearing Corporation filed a proposed rule change (SR-GSCC-2002-08), which became effective upon filing under Section 19(b)(3)(A) of the Securities Exchange Act, revising its schedule of money tolerances for the comparison of trades. Publication of the proposal is expected in the Federal Register during the week of October 21. (Rel. 34-46658) DELISTING An order has been issued granting the application of the Pacific Exchange to strike from listing and registration certain call and put options contracts issued by the Options Clearing Corporation respecting certain underlying securities, effective October 17. (Rel. 34-46680) WITHDRAWALS A notice has been issued giving interested persons until November 6, 2002, to comment on the application for withdrawal from listing and registration of FFP Partners, L P., Class A Units of Limited Partnership Interests, on the American Stock Exchange. (Rel. 34-46671) An order has been issued granting the application of Environmental Safeguards, Inc. to withdraw its Common Stock, par value $.001, from listing and registration on the American Stock Exchange, effective at the opening of business on October 17. (Rel. 34-46673) Notice has been issued giving interested persons until November 7, 2002, to comment on the application of RAIT Investment Trust to withdraw its Common Stock of Beneficial Interest, $.01 par value, from listing and registration on the American Stock Exchange. (Rel. 34-46676) Notice has been issued giving interested persons until November 7, 2002, to comment on the application of General Mills, Inc., to withdraw its Common Stock, $.10 par value, from listing and registration on the Chicago Stock Exchange. (Rel. 34-46677) Notice has been issued giving interested persons until November 7, 2002, to comment on the application of PracticeWorks, Inc. to withdraw its Common Stock, $.01 par value, from listing and registration on the American Stock Exchange. (Rel. 34-46678) An order has been issued granting the application of Pitney Bowes Credit Corporation to withdraw from listing and registration the 5.75% Notes (Due 2008) from the New York Stock Exchange, effective at the opening of business on October 18. (Rel. 34-46679) A notice has been issued giving interested persons until November 7, 2002, to comment on the application of GreenMan Technologies, Inc. to withdraw its Common Stock $.01 par value, from listing and registration on the Boston Stock Exchange. (Rel. 34-46681) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 37POINT9, 11665 AVENA PLACE STE 209A, SAN DIEGO, CA, 92590, 9092969945 - 45,000,000 ($108,000.00) Equity, (File 333-100586 - Oct. 17) (BR. 09) S-3D LIFESTREAM TECHNOLOGIES INC, 510 CLEARWATER LOOP, STE 101, POST FALLS, ID, 83854, 2084579409 - 5,136,000 ($3,421,700.00) Equity, (File 333-100587 - Oct. 17) (BR. 36) S-3 WEATHERFORD INTERNATIONAL LTD, 515 POST OAK BLVD, STE 600, HOUSTON, TX, 77027-3415, 7136934000 - 0 ($750,000,000.00) Other, (File 333-100588 - Oct. 17) (BR. 04) S-8 ESTAFF COM INC, 8115, NORTH VAN HOUTEN, PORTLAND, OR, 97203, 5034930477 - 8,380,000 ($182,265.00) Debt Convertible into Equity, (File 333-100589 - Oct. 17) (BR. 08) S-8 GREENHOLD GROUP INC, 1995 E OAKLAND PARK BLVD, SUITE 350, OAKLAND PARK, FL, 33306, 5617470244 - 2,000,000 ($180,000.00) Equity, (File 333-100593 - Oct. 17) (BR. 08) F-10 PENGROWTH ENERGY TRUST, 1050 202 6TH AVE SW, CALGARY ALBERTA T2P2R9, A0, 00000, 0 ($157,350,000.00) Other, (File 333-100594 - Oct. 17) (BR. 04) S-3 BOK FINANCIAL CORP ET AL, BANK OF OKLAHOMA TOWER, PO BOX 2300, TULSA, OK, 74192, 9185953025 - 479,106 ($16,361,483.00) Equity, (File 333-100595 - Oct. 17) (BR. 07) S-3D FLEETBOSTON FINANCIAL CORP, ONE FEDERAL STREET, BOSTON, MA, 02110, 6173464000 - 0 ($129,805,000.00) Equity, (File 333-100596 - Oct. 17) (BR. 07) S-8 ACCESS HEALTH ALTERNATIVES INC, 4619 PARKBREEZE COURT, ORLANDO, FL, 32808, 4072990629 - 3,000,000 ($300,000.00) Equity, (File 333-100598 - Oct. 17) (BR. 01) S-8 VISTA CONTINENTAL CORP, 851 SO. RAMPART DR. # 150, -, LAS VEGAS, NV, 89145, 702-228-2077 - 240,000 ($240,000.00) Equity, (File 333-100599 - Oct. 17) (BR. 09) S-8 ELIZABETH ARDEN INC, 14100 NW 60TH AVE, MIAMI LAKES, FL, 33014, 305-818-8000 - 1,000,000 ($10,665,000.00) Equity, (File 333-100600 - Oct. 17) (BR. 02) S-8 DORAL FINANCIAL CORP, 1451 FRANKLIN D ROOSEVELT AVENUE, SAN JUAN, PR, 00920-2717, 787-474-6700 - 0 ($40,597,500.00) Equity, (File 333-100601 - Oct. 17) (BR. 07) S-1 NEPTUNE SOCIETY INC/FL, 100 N FIRST ST, STE 205, SBURBANK, CA, 91502, 8189539995 - 2,559,711 ($6,066,515.00) Debt Convertible into Equity, 2,235,070 ($1,843,932.00) Equity, 57,500 ($330,050.00) Other, (File 333-100602 - Oct. 17) (BR. 08) S-8 CONECTISYS CORP, 24730 AVENUE TIBBITTS #130, VALENCIA, CA, 91355, 6612956763 - 1,000,000 ($20,000.00) Equity, (File 333-100603 - Oct. 17) (BR. 37) S-8 VERTICA SOFTWARE INC/CA, 5801 CHRISTIE AVENUE SUITE 390, 510-595-3333, EMERVILLE, CA, 94608, 5105953333 - 0 ($700,000.00) Equity, (File 333-100604 - Oct. 17) (BR. 05) N-2 FEDERATED MUNICIPAL INCOME FUND, FEDERATED INVESTORS TOWER, PITTSBURGH, PA, 15222-3779, 4,000,000 ($60,000,000.00) Equity, (File 333-100605 - Oct. 17) (BR. ) SB-2 ALVIERO MARTINI WORLDWIDE INC, 4,000,000 ($6,000,000.00) Equity, (File 333-100606 - Oct. 17) (BR. ) S-4 SOUTHWEST ROYALTIES INC, 407 N BIG SPRING STREET SUITE 300, MIDLAND, TX, 79701, 9156869927 - 0 ($13,500,000.00) Equity, (File 333-100607 - Oct. 17) (BR. 04) 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 ------------------------------------------------------------------------------------ ADVANCED FIBRE COMMUNICATIONS INC DE X X 10/17/02 ADVANCED SWITCHING COMMUNICATIONS INC DE X 10/02/02 AERO SYSTEMS ENGINEERING INC MN X X 10/17/02 ALLIANCE DATA SYSTEMS CORP DE X X 10/16/02 AMBAC FINANCIAL GROUP INC DE X X 10/17/02 AMERICAN COMMUNITY BANCSHARES INC NC X 10/17/02 AMERICAN FINANCIAL GROUP INC OH X 10/09/02 APPIANT TECHNOLOGIES INC DE X 10/17/02 APPIANT TECHNOLOGIES INC DE X 10/17/02 APPLIED MICRO CIRCUITS CORP DE X X 10/17/02 ARENA PHARMACEUTICALS INC DE X X 10/16/02 ARKANSAS BEST CORP /DE/ DE X X 10/17/02 ASIA GLOBAL CROSSING LTD X X 10/15/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X X 10/17/02 BEARINGPOINT INC DE X 08/22/02 AMEND BIO TECHNOLOGY GENERAL CORP DE X X 10/04/02 BLUEGREEN CORP MA X X X 10/02/02 BOSS HOLDINGS INC DE X 10/16/02 BROOKE CORP KS X 07/01/02 AMEND BUTLER MANUFACTURING CO DE X 10/17/02 CANARGO ENERGY CORP DE X X 10/15/02 CAPITAL ONE FINANCIAL CORP DE X X 10/15/02 CBRL GROUP INC TN X X 10/17/02 CENTERPOINT ENERGY INC X X X 10/17/02 CENTURY PARK PICTURES CORP MN X X X 10/03/02 CERIDIAN CORP /DE/ DE X X 10/17/02 CHINA FUND INC MD X 09/01/02 CITY NATIONAL CORP DE X X 10/16/02 CNH CAPITAL RECEIVABLES INC DE X X 10/15/02 CNH RECEIVABLES INC DE X X 10/15/02 COLORADO WYOMING RESERVE CO WY X X 09/25/02 COMDISCO HOLDING CO INC DE X X 09/30/02 COMMERCIAL MORTGAGE PASS-THROUGH CERT MO X X 10/15/02 COMMERCIAL MORTGAGE PASS-THROUGH CERT MO X X 10/15/02 AMEND CONTINENTAL AIRLINES INC /DE/ DE X X 10/17/02 CORSEA MANAGEMENT INC A1 X X 10/16/02 CSB BANCORP INC /OH OH X X 09/30/02 CWABS INC DE X X 09/30/02 CWMBS INC DE X X 07/31/02 DEERE JOHN RECEIVABLES INC DE X X 10/16/02 DELPHAX TECHNOLOGIES INC MN X 10/16/02 DICE INC DE X X 10/16/02 DIRECT INSITE CORP DE X X 10/04/02 DOE RUN RESOURCES CORP NY X X 10/16/02 DPL INC OH X X 10/17/02 DRESSER INC DE X X 10/17/02 DRUGMAX INC NV X X 10/17/02 DRUGMAX INC NV X X 10/17/02 E COM VENTURES INC FL X 10/14/02 ELECTRONIC CLEARING HOUSE INC NV X X 10/07/02 ELKCORP DE X X 10/16/02 ENVIROKARE TECH INC NV X X 10/17/02 ENVIRONMENTAL SAFEGUARDS INC/TX NV X 10/16/02 ENVIRONMENTAL STRATEGIES & TECHNOLOGI FL X X X 10/17/02 EQUITY INNS INC TN X 05/02/02 AMEND EQUITY INNS INC TN X 06/21/02 AMEND EQUITY INNS INC TN X 08/08/02 AMEND EQUITY ONE ABS INC DE X X 10/15/02 EQUITY ONE ABS INC DE X X 10/16/02 EXPRESSJET HOLDINGS INC DE X X 10/17/02 FAN ENERGY INC NV X X 10/03/02 FIRST INDIANA CORP IN X X 10/16/02 FIRSTBANK CORP MI X 10/17/02 FLIR SYSTEMS INC OR X X 10/17/02 FORTUNE BRANDS INC DE X X 10/17/02 GENERAL MOTORS ACCEPTANCE CORP DE X 10/15/02 GENERAL MOTORS CORP DE X 10/15/02 GEORGIA PACIFIC CORP GA X X 10/17/02 GIGA INFORMATION GROUP INC DE X 10/16/02 GOOLU INC CO X 06/30/02 GRAY TELEVISION INC GA X 10/17/02 GREENBRIAR CORP NV X 09/30/02 AMEND GULFTEX ENERGY CORP TX X X 08/23/02 HEARTLAND FINANCIAL USA INC DE X 09/30/02 HOSOI GARDEN MORTUARY INC HI X 09/10/02 HOST AMERICA CORP DE X X 10/16/02 I T TECHNOLOGY INC DE X X 10/16/02 ICG COMMUNICATIONS INC /DE/ DE X X 10/09/02 INFINITE GROUP INC DE X 10/17/02 INGERSOLL RAND CO LTD X 09/30/02 INGERSOLL RAND CO LTD X X 10/16/02 INTERACTIVE MARKETING TECHNOLOGY INC NV X 10/09/02 INTERLAND INC /MN/ MN X X 10/16/02 INTERPUBLIC GROUP OF COMPANIES INC DE X X 10/16/02 KEYCORP /NEW/ OH X X X 10/17/02 KROLL INC DE X X 09/05/02 AMEND LCA VISION INC DE X X 10/16/02 LIGHTPATH TECHNOLOGIES INC DE X X 10/17/02 LODGENET ENTERTAINMENT CORP DE X X 10/16/02 MANATRON INC MI X X 10/17/02 MARGO CARIBE INC PR X 10/14/02 MBNA CORP MD X X 10/17/02 MEDTOX SCIENTIFIC INC DE X 10/17/02 MERRILL LYNCH & CO INC DE X X 10/16/02 MERRILL LYNCH DEPOSITOR INC PREFERRED DE X X 10/17/02 MGP INGREDIENTS INC KS X X 10/16/02 MILACRON INC DE X X 10/14/02 MOBIUS MANAGEMENT SYSTEMS INC DE X X 10/11/02 MODINE MANUFACTURING CO WI X 10/16/02 MODINE MANUFACTURING CO WI X 10/16/02 NAVISTAR INTERNATIONAL CORP DE X 10/17/02 NISSAN AUTO RECEIVABLES 2002 B OWNER DE X 09/16/02 NISSAN AUTO RECEIVABLES 2002 C OWNER DE X 09/16/02 NORTHEAST INDIANA BANCORP INC DE X X 09/30/02 NORTHROP GRUMMAN CORP /DE/ DE X X 10/17/02 NOVOSTE CORP /FL/ FL X X 10/16/02 OAKWOOD MORTGAGE INVESTORS INC OMI TR NC X X 10/15/02 OGLETHORPE POWER CORP GA X 10/16/02 ONEOK INC /NEW/ OK X X 10/16/02 OPENTV CORP X X 10/10/02 ORCHID BIOSCIENCES INC X X 10/02/02 PATHMARK STORES INC DE X 10/17/02 PEABODY ENERGY CORP DE X X 10/16/02 PEOPLES OHIO FINANCIAL CORP OH X 10/17/02 PERFORMANCE TECHNOLOGIES INC \DE\ DE X 10/15/02 PRECOM TECHNOLOGY INC X 10/15/02 PRIMECORE MORTGAGE TRUST INC MD X 10/17/02 PRIVATEBANCORP INC DE X 10/16/02 PROVIDENT BANKSHARES CORP MD X X 10/16/02 PUGET ENERGY INC /WA WA X 10/17/02 QUINTILES TRANSNATIONAL CORP NC X 10/17/02 R&G FINANCIAL CORP PR X X 10/16/02 REDBACK NETWORKS INC DE X X 10/09/02 REDWOOD EMPIRE BANCORP CA X 09/30/02 RELIABILITY INC TX X 10/17/02 RICHARDSON ELECTRONICS LTD/DE DE X 05/31/03 ROHN INDUSTRIES INC DE X X 10/16/02 RSA SECURITY INC/DE/ DE X X 10/16/02 SALOMON SMITH BARNEY HOLDINGS INC DE X 09/30/02 SBA COMMUNICATIONS CORP FL X X 10/16/02 SCHLUMBERGER LTD /NV/ P8 X X 10/16/02 SENIOR SUBORDINATED PASS THROUGH CERT NV X X 10/15/02 SENIOR SUBORDINATED PASS THROUGH CERT NC X X 10/15/02 SENIOR SUBORNATED PASS THROUGH CERTIF NV X X 10/15/02 SILVER BUTTE MINING CO X 08/31/02 SIMMONS FIRST NATIONAL CORP AR X 10/17/02 SMITH INTERNATIONAL INC DE X X 10/15/02 SPECIALTY TRUST INC X X 10/11/02 STEELCLOUD INC VA X X 10/17/02 STERLING BANCSHARES INC TX X X 10/17/02 STIFEL FINANCIAL CORP DE X 10/17/02 SUNBEAM CORP/FL/ DE X X 10/16/02 TANDY BRANDS ACCESSORIES INC DE X X 10/17/02 TEXEN OIL & GAS INC NV X 10/17/02 AMEND TIMKEN CO OH X 10/16/02 TIMKEN CO OH X 10/16/02 TIMKEN CO OH X X 10/16/02 TRAVELERS PROPERTY CASUALTY CORP CT X X 10/16/02 TRIPLE-S MANAGEMENT CORP X X 10/13/02 TXU CORP /TX/ TX X 10/13/02 UNION PLANTERS CORP TN X 10/18/02 UNIONBANCAL CORP CA X X 09/30/02 URSTADT BIDDLE PROPERTIES INC MD X 10/31/02 VION PHARMACEUTICALS INC DE X X 10/16/02 WHITNEY HOLDING CORP LA X X 10/17/02 WINDSOR WOODMONT BLACK HAWK RESORT CO CO X 10/15/02 WINMARK CORP MN X X 10/15/02 WINTER SPORTS INC /NEW MT X 10/16/02