SEC NEWS DIGEST Issue 2002-208 October 28, 2002 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS Following is a schedule of Commission meetings which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration. Open meetings will be held in the Commission Meeting Room, Room 1C30, at the Commission's headquarters building, 450 Fifth Street, N.W., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting. Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact Rochelle Franks, Office of Administrative and Personnel Management, to make arrangements. Ms. Franks can be reached at TTY number (202) 942-9558. If you are calling from a non-TTY number, please call the Relay Service at 1-800-877-8339. CHANGE IN THE MEETING: CANCELLATION OF MEETING/ADDITIONAL MEETINGS CLOSED MEETING - MONDAY, NOVEMBER 4, 2002 - 10:00 A.M. The subject matter of the closed meeting scheduled for Monday, Nov. 4, 2002, will be: Formal orders of investigation; Institution and settlement of injunctive actions; and Institution and settlement of administrative proceedings of an enforcement nature. OPEN MEETING - WEDNESDAY, OCTOBER 30, 2002 - 10:00 A.M. The following item previously scheduled for the open meeting on Thursday, Oct. 31, at 10:00 a.m., is now scheduled for the open meeting on Wednesday, Oct. 30, at 10:00 a.m. The Commission will consider whether to propose amendments to the definition of terms used in the exception from the definition of dealer for banks under Section 3(a)(5) of the Securities Exchange Act of 1934. Specifically, the Commission will consider whether to propose amendments to the related exemption for banks, savings associations, and savings banks as well as propose a new exemption concerning securities lending. These proposals relate to the implementation of the specific exceptions for banks from the definitions of "broker" and "dealer" that were amended by the Gramm-Leach-Bliley Act. OPEN MEETING - WEDNESDAY, NOVEMBER 6, 2002 - 10:00 A.M. The following item previously scheduled for the open meeting on Thursday, Oct. 31, at 10:00 a.m., is now scheduled for the open meeting on Wednesday, Nov. 6, 2002, at 10:00 a.m., in Room 6600. The Commission will consider proposed rules establishing standards of professional conduct for attorneys who appear and practice before the Commission in any way in the representation of issuers, as required by Section 307 of the Sarbanes-Oxley Act of 2002. These standards would include a rule requiring an attorney to report "evidence of a material violation of securities laws or breach of fiduciary duty or similar violation by the company or any agent thereof" to the chief legal counsel or the chief executive officer of the company (or the equivalent); and, if they do not respond appropriately to the evidence, requiring the attorney to report the evidence to the audit committee, another committee of independent directors, or the full board of directors. CLOSED MEETING - NOVEMBER 6, 2002 - FOLLOWING THE OPEN MEETING The subject matter of the closed meeting scheduled for Wednesday, Nov. 6, 2002, immediately following the open meeting, will be: Settlement of injunctive actions; and an Adjudicatory matter. 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. MARKET STRUCTURE HEARINGS SCHEDULE OCTOBER 29, 2002 - SEC HEADQUARTERS, WASHINGTON, DC - ROOM 1C30 9:30 a.m. - 10:30 a.m. Introductory Remarks Commissioner Cynthia Glassman Opening Session Moderator: Annette Nazareth, Director Division of Market Regulation 10:30 a.m. - 10:45 a.m. Break 10:45 a.m. - 12:15 p.m. Session I: Market Data Moderator: Lawrence Harris Chief Economist 12:15 p.m. - 1:15 p.m. Lunch 1:15 p.m. - 2:45 p.m. Session II: Best Execution and Related Agency Issues Moderator: Robert Colby, Deputy Director Division of Market Regulation 2:45 p.m. - 3:00 p.m. Break 3:00 p.m. - 4:30 p.m. Session III: Exchange Registration and the Self- Regulatory System Moderator: Annette Nazareth, Director Division of Market Regulation 4:30 p.m. Adjournment Participants in Sessions on October 29, 2002 Gary Gastineau ETF Advisors Lon Gorman Vice Chairman and Enterprise President Lawrence Leibowitz Senior Vice President, Head of the Equities Division David Pottruck President and Co-CEO Schwab Capital Markets Joel Hasbrouck Kenneth G. Langone Professor of Business Administration and Professor of Finance, New York University Member of the ITG Scientific Advisory Board Richard Ketchum President, The Nasdaq Stock Market Bernard L. Madoff Principal, Bernard L. Madoff Investment Securities John Markese President, American Association of Individual Investors Senior Management of the New York Stock Exchange Ed Nicoll CEO, Instinet Corporation Maureen O'Hara Professor of Finance, Cornell University George "Gus" Sauter Managing Director, The Vanguard Group Salvatore Sodano Chairman and CEO, American Stock Exchange Wayne Wagner Chairman, Plexus Group David Whitcomb Founder & Chairman, Automated Trading Desk COMMISSION ANNOUNCES FOUNDING MEMBERS OF PUBLIC COMPANY ACCOUNTING OVERSIGHT BOARD On Oct. 25, the Commission announced the selection of Judge William H. Webster to be chairman, and Kayla J. Gillan, Daniel L. Goelzer, Willis D. Gradison Jr., and Charles D. Niemeier to be founding members of the Public Company Accounting Oversight Board. The Board, established by the Sarbanes-Oxley Act of 2002, will oversee the audits of the financial statements of public companies through rigorous registration, standard setting, inspection and disciplinary programs. The Act requires the Commission, in consultation with the Secretary of Treasury and the Chairman of the Federal Reserve Board, to select the members of the Board. The Commission received approximately 450 nominations and applications for the five available Board positions. SEC Chairman Harvey L. Pitt said: "The individuals selected to serve on the Board clearly meet and exceed all the requirements in the Act - they are individuals of high integrity and reputation who have demonstrated a commitment to serving the interests of investors, and they understand the financial reporting process. They are each committed to meaningful reform. In addition, they bring to the Board a combination of investor advocacy, regulatory and legal experience. The Commission looks forward to working with the new Board members as they develop the Board's programs and begin operations." "We have been pleased by the expressions of interest and willingness to serve on the Board," said Chief Accountant Robert K. Herdman. "Many prominent people of unquestioned integrity and ability were nominated for the Board, making the decision difficult but, at the same time, extremely rewarding. The President and Congress have set out an aggressive program for reform of the accounting profession, and the new Board's first task is to implement that program. Wisely, the Act also provides the Board with the ability to perceive the need for, and implement, even more reform." BIOGRAPHICAL NOTES: William H. Webster (Chairman, term to expire 2007) - Judge Webster's entire career reflects his commitment to public service and dedication to protecting the American public. Judge Webster served as U.S. Attorney for the Eastern District of Missouri, then as a U.S. District Court judge. He subsequently was elevated to the U.S. Court of Appeals for the Eighth Circuit. During his service on the bench, Judge Webster was Chairman of the Judiciary Conference Advisory Committee on the Criminal Rules and was a member of the Ad Hoc Committee on Habeas Corpus and the Committee of Court Administration. He resigned from the Court in 1978 to become the Director of the Federal Bureau of Investigation under President Jimmy Carter. In 1987, he was sworn in as the Director of Central Intelligence under President Ronald Reagan. In this position, he headed the Intelligence Community (which includes all foreign intelligence agencies of the United States) and directed the Central Intelligence Agency. Since his departure from the CIA, Judge Webster has been asked many times, by many people and organizations, to examine the status quo and recommend reforms. The City of Los Angeles Police Commission called on Judge Webster after the riots in the early 1990s. He was appointed by IRS Commissioner Charles Rossotti to investigate allegations of taxpayer abuse of the IRS' Criminal Investigation Division. Most recently, Judge Webster was asked to investigate the security policies and procedures of the FBI following the discovery of Special Agent Robert Hanssen's espionage activity. As a member of the legal community, Judge Webster has served as Chairman of the American Bar Association's Corporation, Banking and Business Law Section. In 1997, the ABA asked Judge Webster to lead an examination of the "pay to play" practice of directing political contributions to elected officials to influence the award of municipal bond contracts. Judge Webster is currently a partner in the international law firm Milbank, Tweed, Hadley & McCloy LLP, where he practices international corporate, banking, trade and administrative law and has led teams of Milbank attorneys conducting numerous internal investigations for the independent directors of several boards of directors of Fortune 500 companies. He has served on a number of audit committees, including Anheuser-Busch Companies Inc., Pinkerton Inc. and Maritz Inc. Judge Webster has been highly praised for his integrity and commitment to public service. He has been recognized with many awards, including the 2002 American Bar Association Medal (the highest honor the ABA can bestow), the 2001 Justice Award of the American Judicature Society, the Presidential Medal of Freedom, the National Security Medal, and he is an Honorary Fellow of the American College of Trial Lawyers. Daniel L. Goelzer (Term to expire 2006) - Goelzer served as the General Counsel of the Securities and Exchange Commission for more than seven years, making him the longest serving General Counsel in the history of the agency. During his tenure as General Counsel, Goelzer represented the SEC and the interests of investors through the performance of duties in the areas of appellate litigation, rulemaking, and regulation of the securities markets. He has testified before Congress on these issues and assisted in drafting legislation. As both a lawyer and a Certified Public Accountant, he was a constant source of advice and counsel on legal, regulatory, and congressional issues pending before the Commission. Since leaving the Commission, Goelzer has been in the private practice of law, focusing on securities law and financial institution regulation. He is the author of several articles on matters related to corporate governance and the securities laws. Early in his career, Goelzer was a member of the audit staff of Touche Ross & Co. Kayla J. Gillan (Term to expire 2005) - Gillan recently became the vice president of Independent Fiduciary Services, after serving six years as the chief legal adviser to the California Public Employees' Retirement System (CalPERS) and to its 13-member Board of Trustees. She drafted CalPERS' U.S. Corporate Governance Core Policies and Guidelines, a treatise on corporate governance practices, which is widely cited and has been incorporated within the national and international curriculum on this subject. Gillan interacts not only with corporate boards and executives, but also investment advisers and institutional investors, including pension, labor and mutual funds. She is a frequent speaker and author on corporate governance issues, and an active advocate for shareholder and investor interests. Willis D. Gradison, Jr. (Term to expire 2004) - Gradison is a former nine-term Congressman from Ohio. While in Congress, he served as the Ranking Member of the House Budget Committee and as the Ranking Member on the Health Subcommittee of the House Ways and Means Committee. Prior to entering Congress, Gradison served as an Assistant to the Secretary of Health, Education and Welfare, an Under Secretary of the Treasury, and Mayor of Cincinnati. He has been the Chairman of the Board of Directors of the Federal Home Loan Bank of Cincinnati, an investment broker and corporate director. Since leaving Congress, he has been president of the Health Insurance Association of America, a member of the audit committee for Project HOPE, and served on other charitable foundations. Gradison currently is the Senior Public Policy Counselor at Patton Boggs. Charles D. Niemeier (Term to expire 2003) - Niemeier is the Chief Accountant in the Commission's Division of Enforcement and co-chairman of the Commission's Financial Fraud Task Force. In these roles, he coordinates, monitors and advises the Division staff as they conduct accounting and financial reporting investigations and initiate enforcement and disciplinary proceedings. Under his leadership, last year the Commission brought a record 160 financial fraud, reporting, and accounting cases, including cases involving misleading earnings press releases and misleading disclosures in the Management Discussion and Analysis (MD&A) sections of corporate reports. As both an attorney and a Certified Public Accountant, Niemeier has legal and public accounting experience dealing with complex accounting, auditing, and financial reporting issues. (Press Rel. 2002-153) ENFORCEMENT PROCEEDINGS COMMISSION INSTITUTES PUBLIC ADMINISTRATIVE PROCEEDINGS AGAINST PAUL HOUSE AND BRANDON MOORE BASED ON AN ORDER OF PERMANENT INJUNCTION On Oct. 25, the Commission instituted public administrative proceedings against Paul J. House and Brandon R. Moore (Respondents) of Decatur, Illinois. The proceedings are based on the injunction entered, on June 20, 2002, in the case of SEC v. House Asset Management, L.L.C., et al., Case No. 02-2147, against the Respondents. The Respondents, without admitting or denying the allegations made in the Commission's Complaint, consented to the entry of an order permanently enjoining them from violating Sections 5(a), 5(c), 17(a)(1), 17(a)(2), and 17(a)(3) of the Securities Act of 1933, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, Sections 206(1) and 206(2) of the Advisers Act, and Section 7(a) of the Investment Company Act. The Commission in its complaint for the district court action alleged that Respondents had engaged in a scheme to defraud investors in a hedge fund. The Commission also alleged that Paul House was the managing member of House Asset Management, L.L.C., the adviser to the hedge fund, and Brandon Moore was its chief financial officer. The Commission alleged further that the Respondents falsely told investors that the hedge fund had generated cumulative returns of up to 148% when the hedge fund had lost at least $850,000 during its operation. Additionally, the Commission alleged that the Respondents misrepresented the use of proceeds to investors by claiming that the proceeds would be used to engage in a profitable securities trading program when Respondents borrowed at least $400,000 from the hedge fund to purchase real estate for themselves. Further, the Commission alleged that the Respondents made false and misleading statements in offering materials about House's background as a broker and omitted to disclose the Respondents' prior personal bankruptcies. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide the Respondents an opportunity to dispute these allegations, and to determine what sanctions, if any, are appropriate and in the public interest. (Rel. IA-2071; File No. 3-10921) COURT PERMANENTLY ENJOINS CHICAGO-BASED EMPLOYEE OF THREE-FIVE SYSTEMS, INC., TWO FAMILY MEMBERS AND FRIEND, ORDERS DISGORGEMENT AND CIVIL PENALTIES The Commission announced that on Oct. 23 the Honorable Judge John W. Darrah of the United States District Court for the Northern District of Illinois permanently enjoined Joseph Sidoryk (Sidoryk), Director of Strategic Accounts at Three-Five Systems, Inc. (Three-Five) and primary liaison to Motorola, Inc. (Motorola), and a resident of Elmhurst, Illinois, Gary L. Camp (Gary Camp), a resident of Rock Island, Illinois, Todd Camp, a resident of Elmhurst, Illinois and Thomas J. Siska (Siska), a resident of Norridge, Illinois, from further violations of the antifraud provisions of the federal securities laws. Sidoryk, Gary Camp, Todd Camp and Siska consented to the entry of the Order without admitting or denying the allegations of the Complaint. The Order was based on the Commission's Complaint, filed on July 23, 2002, which alleged that Sidoryk, Gary Camp, his father-in-law, Todd Camp, his brother-in-law, and Siska, his friend, engaged in insider trading in the stock of Three-Five, while in possession of material, non-public information. Judge Darrah also ordered: (1) Sidoryk to pay disgorgement of $25,559.94, prejudgment interest of $4,020.62, and a civil penalty of $45,159.94; (2) Gary Camp to pay a civil penalty of $14,850.00; (3) Todd Camp to pay disgorgement of $15,343.75, plus prejudgment interest of $2,916.07, and a civil penalty of $15,343.75; and (4) Siska to pay disgorgement of $4,256.25, prejudgment interest of $609.16, and a civil penalty of $4,265.25. The Commission wishes to acknowledge and thank the New York Stock Exchange, Market Surveillance Program for their assistance in this matter. [SEC v. Joseph Sidoryk, Gary L. Camp, Todd Camp and Thomas J. Siska, USDC, ND Illinois, Civil Action No. 02C-5206 (JWD/SIS)] (LR- 17807) CIVIL ACTION AGAINST J. SCOTT ESKIND, LORUS INVESTMENTS, INC., AND CAPITAL MANAGEMENT FUND, LIMITED PARTNERSHIP The Commission announced that an application for an order to show cause why defendants J. Scott Eskind (Eskind), Lorus Investments, Inc. (Lorus) and Capital Management Fund, Limited Partnership (Capital) (collectively, the defendants) should not be held in civil contempt was filed by the Commission on October 8, 2002, in the United States District Court for the Northern District of Georgia, based on the defendants' failure to provide an accounting, as required by the Court's September 12, 2002 preliminary injunction order. That order enjoined Eskind, Lorus and Capital from violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Eskind and Lorus from violations of Section 206 of the Investment Advisers Act of 1940. On October 11, 2002, the Honorable Marvin H. Shoob, United States District Judge for the Northern District of Georgia, entered an Order requiring Eskind, Lorus and Capital to show cause why they should not be held in civil contempt for their violation of the Court's September 12, 2002 order. The Commission's complaint, filed on Sept. 3, 2002, alleged that Eskind, in violation of a permanent injunction entered on Jan. 12, 1998, and continuing until the filing of the complaint, raised at least $3 million through sales of limited partnership units in Capital. Capital purportedly does business by trading in securities through initial or secondary public offerings. The sales materials misrepresented to investors Eskind's broker-dealer experience, and did not disclose his 1991 NYSE suspension, the Commission's 1997 civil action or the Commission's 2000 order barring him from association with an investment adviser. The complaint alleged that investors were told that IRA accounts had been opened for them at a trust company which serves as an IRA custodian and had received statements from Lorus indicating their funds in those accounts. In fact, no such accounts have been opened. The sales materials falsely stated that a major law firm provided legal representation for Lorus. Finally, the complaint alleged that Lorus is an investment adviser and Eskind's continuing association with Lorus was a violation of the Commission's 2000 order. [SEC v. J. Scott Eskind, Lorus Investments, Inc., and Capital Management Fund, Limited Partnership, USDC, NDGA, Civil Action No. 1:02-CV-2429-MHS] (LR-17808) FORMER BROKER DENNIS HERULA INCARCERATED FOR CONTEMPT OF COURT IN SEC FRAUD ACTION, AND JUDGE ORDERS ATTORNEY MARY LEE CAPALBO ARRESTED FOR FAILURE TO APPEAR IN COURT The Commission announced that at a hearing on Oct. 24 concerning the Commission's motions for contempt, in United States District Court for the District of Rhode Island, Judge Mary M. Lisi found former broker Dennis Herula in contempt of court for failure to provide a detailed accounting pursuant to a preliminary injunction order entered by the court in May 2002. Judge Lisi ordered Herula incarcerated until such time that he complies with those provisions. At the conclusion of the hearing, officers of the court took Herula into custody. Judge Lisi also issued a bench warrant for the arrest of Herula's wife, Rhode Island attorney Mary Lee Capalbo, for failure to appear for the Oct. 24 hearing, as previously ordered by the court. Herula and Capalbo are defendants in a civil fraud action filed by the Commission on April 1, 2002. The Commission's complaint alleged that they and others participated in a fraudulent offering scheme that raised at least $52 million from investors. According to the complaint, Herula and Capalbo played integral roles in the fraudulent scheme and misappropriated approximately $8 million in investor funds. On May 8, 2002, the court issued a written order imposing preliminary injunctions and asset freezes against Herula, Capalbo, and certain other defendants. The order required them to submit a detailed accounting showing, among other things, all transfers or payments of funds to them from investors or clients, the precise disposition of all such transfers or payments, and the current location of all funds or assets derived from such transfers or payments. After Herula and Capalbo failed to submit the accounting, the Commission filed civil contempt charges against them on August 8, 2002. At a hearing on Sept. 16, 2002, the court ordered Herula to provide the Commission with certain information required by the accounting by September 23, 2002. Herula provided the Commission with an accounting on Sept. 23, 2002. At the October 24 hearing, Judge Lisi held that information Herula provided to the Commission did not satisfy the detailed accounting requirements of the preliminary injunction, and ordered him incarcerated until such time that he complies with the accounting requirements. The court had previously entered final judgment by default against Herula, permanently enjoining him from future violations of the antifraud provisions of the federal securities laws. The final judgment also ordered Herula to pay disgorgement, plus prejudgment interest, in the total amount of $18,941,665.63, and assessed him a $250,000 civil monetary penalty. Capalbo failed to appear for hearings before the court on Sept. 16 and Oct. 10, 2002 concerning the Commission's contempt motion against her. At the Oct. 10 hearing, Judge Lisi ordered Capalbo to appear on Oct. 24, and indicated her failure to appear would result in the issuance of an arrest warrant. When Capalbo failed to appear for the October 24 hearing, Judge Lisi issued a bench warrant for her arrest. A contempt hearing, as well as a hearing concerning a motion for default judgment against Capalbo, will be held after she is taken into custody and transported to the federal court in Rhode Island. For further information, please see Litigation Release Numbers 17800 (Oct. 23, 2002) [final judgment by default against Herula]; 17793 (Oct. 18, 2002) [preliminary injunction and asset freeze against Herula, Capalbo, and others in a separate action filed in federal district court in the Northern District of California alleging similar fraudulent scheme]; 17737 (Sept. 19, 2002) [civil contempt hearing against Herula in Rhode Island action]; 17514 (May 13, 2002) [preliminary injunction and asset freeze against Herula and others in Rhode Island action]; 17461 (April 5, 2002) [temporary restraining order and asset freeze against Herula and others in Rhode Island action]. [SEC v. Dennis Herula, et al., USDC for the District of Rhode Island, C.A. No. 02 154 ML] (LR-17809) INVESTMENT COMPANY ACT RELEASES EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, ET AL. A notice has been issued giving interested persons until Nov. 13, 2002, to request a hearing on an application filed by The Equitable Life Assurance Society of the United States (Equitable), Separate Account A of Equitable, Separate Account FP of Equitable, Separate Account No. 45 of Equitable, Separate Account No. 301 of Equitable, Separate Account No. 66 of Equitable (SA 66), and EQ Advisors Trust (Trust) (collectively with Equitable, its separate accounts, and the Trust, the "Equitable Applicants"), The American Franklin Life Insurance Company, (American Franklin), Separate Account VUL of American Franklin, Integrity Life Insurance Company (Integrity), Separate Account VUL of Integrity, National Integrity Life Insurance Company (National Integrity) and Separate Account VUL of National Integrity (collectively, Applicants). All of the Applicants, except SA 66, and the Trust, seek an order pursuant to Section 26(c) of the Investment Company Act approving the substitution of shares of the EQ/Alliance International Portfolio for shares of the EQ/Alliance Global Portfolio. In addition, the Equitable Applicants request an order pursuant to Section 17(b) of the Act to permit certain in-kind transactions in connection with the proposed substitution. (Rel. IC-25784 - Oct. 23) HOLDING COMPANY ACT RELEASES ENERGY EAST CORPORATION A supplemental order has been issued authorizing a proposal by Energy East Corporation (Energy East), a registered holding company. By orders dated October 13, 2000 (HCAR No. 27248) and December 21, 2001 (HCAR No. 27481) (Orders) the Commission, among other things: (1) designated Energy East Management Corp. (EE Management) as a subsidiary service company of Energy East in accordance with the provisions of rule 88; (2) authorized the delay, to a date no later than November 30, 2002 (Transition Period), the full implementation of all expected services to be provided by EE Management; and/or (3) authorized the delay of the full implementation of the required service agreements. This supplemental order extends the Transition Period under the Order to February 28, 2003. (Rel. 35-27582) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE The Depository Trust Company filed a proposed rule change (SR-DTC-2002- 12), which became effective upon filing under Section 19(b)(3)(A) of the Securities Exchange Act, enhancing DTC's memo segregation procedures. Publication of the proposal is expected in the Federal Register during the week of Oct. 28. (Rel. 34-46717) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-CBOE-2002-48) by the Chicago Board Options Exchange pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. The proposed rule change amends the CBOE's Constitution and Rules pertaining to the governance of the CBOE. Publication of the proposal is expected in the Federal Register during the week of Oct. 28. (Rel. 34-46718) IMMEDIATE EFFECTIVENESS OF PROPOSED AMENDMENT The Options Price Reporting Authority filed a notice of filing and immediate effectiveness of a proposed Plan amendment pursuant to Rule 11Aa3-2 under the Securities Exchange Act of 1934 (SR-OPRA-2002-05) regarding policies for device based fees. (Rel. 34-46674) DELISTINGS GRANTING An order has been issued granting the application of the American Stock Exchange to strike from listing and registration the Common Stock, $.10 par value, of Thackeray Corporation, effective at the opening of business on Oct. 28, 2002. (Rel. 34-46724) An order has been issued granting the application of the American Stock Exchange to strike from listing and registration the Common Stock, $.01 par value, of Stratesec Incorporated, effective at the opening of business on Oct. 28, 2002. (Rel. 34-46725) An order has been issued granting the application of the Boston Stock Exchange to strike from listing and registration the Common Stock, no par value, of Med-Emerg International, Inc., effective at the opening of business on Oct. 28, 2002. (Rel. 34-46726) 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 DENDRITE INTERNATIONAL INC, 1200 MOUNT KEMBLE AVE, MORRISTOWN, NJ, 07960, 2014251200 - 1,000,000 ($6,260,000.00) Equity, (File 333-100733 - Oct. 25) (BR. 03) S-4 PLAINS EXPLORATION & PRODUCTION CO, 500 DALLAS STREET, HOUSTON, TX, 77002, 713 654 1414 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-100735 - Oct. 25) (BR. 04) S-1 ADVISORY BOARD CO, 600 NEW HAMPSHIRE AVENUE N.W., WASHINGTON, DC, 20037, 0 ($191,417,500.00) Equity, (File 333-100736 - Oct. 25) (BR. 08) S-8 RUBY TUESDAY INC, 150 W CHURCH ST, MARYVILLE, TN, 37801, 2053443000 - 500,000 ($8,650,000.00) Equity, (File 333-100738 - Oct. 25) (BR. 05) S-8 UNITED HERITAGE CORP, 2 CADDO STREET, CLEBURNE, TX, 76031, 8176413681 - 1,000,000 ($385,000.00) Equity, (File 333-100739 - Oct. 25) (BR. 04) SB-2 BROOKE CORP, 205 F STREET 2ND FLOOR, PHILLIPSBURG, KS, 67661, 0 ($5,000,000.00) Non-Convertible Debt, (File 333-100740 - Oct. 25) (BR. 01) SB-2 MOUNTAIN BANCSHARES INC, 1,200,000 ($12,000,000.00) Equity, (File 333-100741 - Oct. 25) (BR. ) S-8 POLYMEDICA CORP, 11 STATE ST, WOBURN, MA, 01801, 6179332020 - 0 ($14,195,000.00) Equity, (File 333-100742 - Oct. 25) (BR. 01) SB-1 MICROSOURCE ONLINE INC, 1,666,666 ($9,999,996.00) Equity, (File 333-100744 - Oct. 25) (BR. ) S-8 FORTUNE NATURAL RESOURCES CORP, 515 WEST GREENS ROAD, SUITE 720, HOUSTON, TX, 77067, 2818721170 - 2,936,760 ($928,540.00) Equity, (File 333-100745 - Oct. 25) (BR. 04) S-8 ALCON INC, 6201 SOUTH FREEWAY, FORT WORTH, TX, 76134, 8175516878 - 3,000,000 ($113,850,000.00) Equity, (File 333-100746 - Oct. 25) (BR. 01) N-2 BLACKROCK REAL ESTATE INCOME TRUST, 100,000 ($1,500,000.00) Equity, (File 333-100747 - Oct. 25) (BR. 22) SB-2 MEDUSA STYLE CORP, 4,000,000 ($200,000.00) Equity, (File 333-100749 - Oct. 25) (BR. ) S-4 ROTECH HEALTHCARE INC, 407-822-4600 - 0 ($300,000,000.00) Non-Convertible Debt, (File 333-100750 - Oct. 25) (BR. ) N-2 RMR REAL ESTATE FUND, ONE POST OFFICE SQUARE, C/O SULLIVAN & WORCESTER LLP, BOSTON, MA, 02109, 6173382899 - 5,000,000 ($75,000,000.00) Equity, (File 333-100751 - Oct. 25) (BR. 20) F-3 CRYSTALLEX INTERNATIONAL CORP, 579 RICHMOND ST WEST, STE 301, TORONTO, A6, M5Z 1Y6, 4162032448 - 13,211,749 ($24,016,143.00) Equity, (File 333-100752 - Oct. 25) (BR. 04) S-8 SATCON TECHNOLOGY CORP, 161 FIRST STREET, CAMBRIDGE, MA, 02142, 6176610540 - 0 ($4,759,058.00) Equity, (File 333-100753 - Oct. 25) (BR. 36) S-3 SOCKET COMMUNICATIONS INC, 37400 CENTRAL COURT, NEWARK, CA, 94560, 5107442700 - 4,830,250 ($4,057,410.00) Equity, (File 333-100754 - Oct. 25) (BR. 03) S-8 SYMMETRICOM INC, 2300 ORCHARD PARKWAY, SAN JOSE, CA, 95131-1017, 4084287813 - 0 ($350,955.65) Equity, (File 333-100755 - Oct. 25) (BR. 37) S-3 ARTISOFT INC, 5 CAMBRIDGE CENTER, 3RD FLOOR, CAMBRIDGE, MA, 02142, 6173540600 - 5,771,467 ($2,597,160.15) Equity, (File 333-100756 - Oct. 25) (BR. 03) S-3 PRICESMART INC, 4649 MORENA BLVD, SAN DIEGO, CA, 92117, 6195814530 - 0 ($1,867,821.00) Equity, (File 333-100757 - Oct. 25) (BR. 02) S-8 EXTENDED SYSTEMS INC, 5777 MEEKER AVENUE, BOISE, ID, 83713, 2023227575 - 750,000 ($1,366,921.08) Equity, (File 333-100758 - Oct. 25) (BR. 03) S-3 HOME PROPERTIES OF NEW YORK INC, 850 CLINTON SQ, ROCHESTER, NY, 14604, 7165464900 - 326,517 ($1.00) Equity, (File 333-100759 - Oct. 25) (BR. 08) S-8 SONORAN ENERGY INC, 521 WEST 23RD ST, 2ND FL, NEW YORK, NY, 10011, 2126479223 - 400,000 ($70,000.00) Equity, (File 333-100760 - Oct. 25) (BR. 08) N-2 NUVEEN QUALITY PREFERRED INCOME FUND 3, 1,000 ($15,000.00) Equity, (File 333-100761 - Oct. 25) (BR. ) S-8 ELGRANDE COM INC, 1132 HAMILTON ST, SUITE 302, VANCOUVER BC CANADA, A1, V6B 2S2, 604-689-0808 - 5,000,000 ($250,000.00) Equity, (File 333-100762 - Oct. 25) (BR. 03) S-8 ADVENT SOFTWARE INC /DE/, 301 BRANNAN ST, SAN FRANCISCO, CA, 94107, 4155437696 - 0 ($6,569,455.20) Equity, (File 333-100763 - Oct. 25) (BR. 03) SB-2 ANTEX BIOLOGICS INC, 300 PROFESSIONAL DR, GAITHERSBURG, MD, 20879, 3015900129 - 0 ($27,702,500.00) Equity, (File 333-100764 - Oct. 25) (BR. 01) S-8 RAIT INVESTMENT TRUST, 1818 MARKET ST, 28TH FL, PHILADELPHIA, PA, 19103, 2155465119 - 800,000 ($15,888,000.00) Equity, (File 333-100766 - Oct. 25) (BR. 08) 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 ------------------------------------------------------------------------------------ 1-800 ATTORNEY INC FL X X 10/21/02 AMEND 3 D SYSTEMS CORP DE X X 10/22/02 AAMES FINANCIAL CORP/DE DE X 10/24/02 ABN AMRO MORTGAGE CORP SERIES 1999-5 DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-6 DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-8 DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 2000-3 DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 2001-3 DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 2001-6 DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 2001-7 DE X 10/01/02 ACCEPTANCE INSURANCE COMPANIES INC DE X 10/24/02 AIR PRODUCTS & CHEMICALS INC /DE/ DE X X 09/30/02 ALLMERICA FINANCIAL CORP DE X 10/25/02 AMB FINANCIAL CORP DE X X 10/24/02 AMERICAN ECOLOGY CORP DE X X 10/22/02 AMERIQUEST MORTGAGE SECURITIES INC AS DE X 06/25/02 AMEND ANTHONY & SYLVAN POOLS CORP OH X 10/25/02 APPLE HOSPITALITY TWO INC VA X X 10/23/02 APPLE SUITES INC VA X 10/23/02 APPLEBEES INTERNATIONAL INC DE X 10/25/02 ARTISOFT INC DE X X 10/24/02 ARTISOFT INC DE X X 10/25/02 AUTOBYTEL INC DE X X 10/24/02 AUTONATION INC /FL DE X X 10/24/02 AVNET INC NY X X 10/24/02 BALDWIN TECHNOLOGY CO INC DE X X 10/10/02 BANC CORP DE X X 10/24/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X X 10/22/02 BAY VIEW SECURITIZATION CORP DE X 10/15/02 BAY VIEW SECURITIZATION CORP DE X 09/30/02 BEAR AEROSPACE INC NV X X 10/16/02 BEAR STEARNS COMMERCIAL MORTGAGE SEC NY X X 10/15/02 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X 10/01/02 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X 10/01/02 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X X 10/15/02 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X X 10/15/02 BEAR STEARNS MORT SEC INC COM MORT PA NY X X 09/16/02 BEAR STEARNS MORT SEC INC COMM MORT P NY X X 10/15/02 BIOANALYTICAL SYSTEMS INC IN X 10/24/02 BIOTRANSPLANT INC DE X X 10/24/02 BIOZHEM COSMECEUTICALS INC TX X 10/18/02 BSD SOFTWARE INC FL X X 10/23/02 BUCA INC /MN MN X X 10/24/02 BURLINGTON COAT FACTORY WAREHOUSE COR DE X 10/24/02 CARESIDE INC DE X X 10/25/02 CARNIVAL CORP DE X X 10/24/02 CATERPILLAR FINANCIAL FUNDING CORP NV X 07/31/02 CATERPILLAR FINANCIAL FUNDING CORP NV X 09/30/02 CATERPILLAR FINANCIAL FUNDING CORP NV X 09/30/02 CATERPILLAR FINANCIAL FUNDING CORP NV X 07/31/02 CATERPILLAR FINANCIAL FUNDING CORP NV X 08/31/02 CATERPILLAR FINANCIAL FUNDING CORP NV X 09/30/02 CATERPILLAR FINANCIAL FUNDING CORP NV X 07/31/02 CATERPILLAR FINANCIAL FUNDING CORP NV X 08/31/02 CATERPILLAR FINANCIAL FUNDING CORP NV X 09/30/02 CBRL GROUP INC TN X X 10/25/02 CBRL GROUP INC TN X X 10/25/02 CENTRAL BANCORP INC /MA/ MA X X 10/25/02 CENTURYTEL INC LA X 09/30/02 CHARTER COMMUNICATIONS INC /MO/ DE X X 10/24/02 CHICAGO MERCANTILE EXCHANGE HOLDINGS DE X 10/24/02 CIGNA CORP DE X X 10/24/02 CIGNA CORP DE X X 10/25/02 CIT EQUIPMENT COLLATERAL 2002-VT1 DE X 10/17/02 CITIBANK SOUTH DAKOTA N A DE X 09/30/02 CITY NATIONAL CORP DE X X 10/25/02 COLDWATER CREEK INC DE X 10/25/02 COMBINED PROFESSIONAL SERVICES INC NV X X 10/24/02 COMMERCIAL MORTGAGE PASS THROUGH CERT DE X X 10/18/02 COMMERCIAL MORTGAGE PASS THRU CERTIFI DE X X 10/15/02 COMMUNITY BANK SHARES OF INDIANA INC IN X 10/25/02 COMPUTERIZED THERMAL IMAGING INC NV X 10/24/02 CONSOLIDATED CAPITAL INSTITUTIONAL PR CA X 08/09/02 AMEND CORPORATE ASSET BACKED CORP DE X 10/15/02 CSFB COMMERCIAL MORTGAGE BACKED PASS X X 10/18/02 CSFB MORT SEC CORP COMM MORT PAS THR DE X X 10/18/02 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 09/25/02 CWMBS INC DE X X 08/29/02 CWMBS INC CHL MORTGAGE PASS THRU TRUS DE X 09/25/02 CYTOGEN CORP DE X X 10/25/02 DAIMLERCHRYSLER MASTER OWNER TRUST X X 09/16/02 DAISYTEK INTERNATIONAL CORPORATION /D DE X X 10/24/02 DIVERSIFIED SECURITY SOLUTIONS INC DE X 08/13/02 AMEND DOCENT INC DE X X 10/24/02 DOLLAR TREE STORES INC VA X 09/30/02 DONINI INC NJ X X 10/23/02 DREYERS GRAND ICE CREAM INC DE X X 10/25/02 E LOAN INC DE X X 10/24/02 EARTHNETMEDIA INC NV X 10/25/02 ENTRADA NETWORKS INC DE X X 10/25/02 EOTT ENERGY PARTNERS LP DE X X X 10/21/02 EQUIFAX INC GA X X 10/24/02 EXCEL TECHNOLOGY INC DE X 10/25/02 EXPRESS SCRIPTS INC DE X X X 09/30/02 AMEND FALCONSTOR SOFTWARE INC DE X X 10/24/02 FIBERSTARS INC /CA/ CA X X 10/17/02 FINISAR CORP DE X X 10/15/02 FIRST HORIZON ASSET SECURITIES INC DE X X 09/30/02 FIRST SECURITY BANCORP INC /KY/ KY X 09/30/02 AMEND FIRST UNION COM MOR SEC INC COM MOR P NY X X 10/18/02 FIRST UNION COMM MORT TRUST COMM MOR NY X X 10/18/02 FIRST UNION COMM MORT TRUST COMM MOR NY X X 10/18/02 FIRST UNION COMM MORT TRUST COMM MOR NY X X 10/18/02 FIRST UNION COMMERCIAL MORTGAGE PASS NC X X 10/15/02 FIRST UNION COMMERCIAL MORTGAGE PASS NC X 10/01/02 FIRST UNION NATIONAL BANK COM MORT PA NC X X 09/13/02 FIRSTFED FINANCIAL CORP DE X 09/30/02 FIRSTFED FINANCIAL CORP DE X 09/30/02 FORWARD INDUSTRIES INC NY X X 10/24/02 FRANKLIN ELECTRONIC PUBLISHERS INC PA X X 10/25/02 FRANKLIN RECEIVABLES LLC DE X X 09/30/02 FRESH BRANDS INC X 10/24/02 FURNITURE BRANDS INTERNATIONAL INC DE X X 10/25/02 GENE CELL INC NV X X X 08/23/02 AMEND GENE CELL INC NV X X X 08/23/02 AMEND GMAC COMMERCIAL MORTGAGE SEC INC MRT X X 10/15/02 GREEN MOUNTAIN COFFEE INC DE X 10/24/02 HANCOCK JOHN LIFE INSURANCE CO MA X X 10/25/02 HOME PROPERTIES OF NEW YORK INC MD X X 12/31/02 HORIZON FINANCIAL SERVICES CORP DE X X 10/25/02 HOST AMERICA CORP DE X X 10/16/02 AMEND HYPERTENSION DIAGNOSTICS INC /MN MN X X 10/25/02 I STAT CORPORATION /DE/ DE X X 10/25/02 IEC ELECTRONICS CORP DE X 10/25/02 IMH ASSETS CORP DE X X X 10/30/02 IMMUNOMEDICS INC DE X X 10/25/02 INDIANA GAS CO INC IN X 09/30/02 INGRAM MICRO INC DE X X 10/25/02 INTEGRATED INFORMATION SYSTEMS INC DE X X 10/25/02 JDN REALTY CORP MD X 10/25/02 KANSAS CITY SOUTHERN DE X X 10/24/02 KERR MCGEE CORP /DE DE X X 10/22/02 KEY TRONIC CORP WA X X 10/24/02 KNOWLEDGE NETWORKS INC NV X X 10/22/02 LABORATORY CORP OF AMERICA HOLDINGS DE X 10/25/02 LAKELAND INDUSTRIES INC DE X 10/21/02 AMEND LECSTAR CORP TX X 10/25/02 LEE SARA CORP MD X X 10/24/02 LEGAL RESEARCH CENTER INC MN X X X 10/15/02 LIBERATE TECHNOLOGIES DE X X 10/22/02 LIBERATE TECHNOLOGIES DE X X 10/25/02 LOOKSMART LTD DE X 10/24/02 MANUGISTICS GROUP INC DE X X 10/24/02 MCDONALDS CORP DE X X 10/22/02 MED DIVERSIFIED INC NV X X 10/16/02 MEDICINES CO/ MA DE X X 10/22/02 MELLON RESIDENTIAL FUNDING CORP MOR P DE X X 10/15/02 MERRILL LYNCH & CO INC DE X X 10/25/02 MICROHELIX INC OR X X 10/24/02 MICROSTRATEGY INC DE X 10/24/02 MOBILE AREA NETWORKS INC X X 08/26/02 AMEND MORGAN STANLEY DEAN WITTER CAP I INC DE X X 10/15/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 10/23/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 10/15/02 NATIONAL STEEL CORP DE X X 10/25/02 NEWPOWER HOLDINGS INC DE X X 10/18/02 NQL INC DE X 10/11/02 NSD BANCORP INC PA X X 10/25/02 OPTICAL CABLE CORP VA X X 10/25/02 OVERSTOCK COM INC UT X X 10/25/02 PACIFIC CREST CAPITAL INC DE X X 10/17/02 PAINEWEBBER MORTGAGE ACCEPTANCE CORP DE X X 03/26/01 PAINEWEBBER MORTGAGE ACCEPTANCE CORP DE X X 06/25/01 PAINEWEBBER MORTGAGE ACCEPTANCE CORP DE X X 09/25/01 PAINEWEBBER MORTGAGE ACCEPTANCE CORP DE X X 12/26/01 PAINEWEBBER MORTGAGE ACCEPTANCE CORP DE X X 03/25/01 PAINEWEBBER MORTGAGE ACCEPTANCE CORP DE X X 06/25/02 PAINEWEBBER MORTGAGE ACCEPTANCE CORP DE X X 09/25/02 PANERA BREAD CO DE X 10/25/02 PENTON MEDIA INC DE X X 10/24/02 PEOPLES ENERGY CORP IL X X 10/25/02 PEOPLES ENERGY CORP IL X 10/25/02 PRAECIS PHARMACEUTICALS INC DE X X 10/25/02 PRINCETON AMERICAN CORP NV X 10/24/02 PW EAGLE INC MN X X 10/22/02 RAYONIER INC NC X X 10/25/02 READERS DIGEST ASSOCIATION INC DE X 09/30/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 10/24/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 10/25/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 10/25/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 10/25/02 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 10/25/02 RIVIERA HOLDINGS CORP NV X X 10/25/02 ROBOTIC VISION SYSTEMS INC DE X X 10/25/02 RYDER VEHICLE LEASE TRUST 1999-A DE X X 10/11/02 SALIX PHARMACEUTICALS LTD X X 10/25/02 SALTON INC DE X X 10/23/02 SEMPRA ENERGY CA X 10/22/02 SIERRA PACIFIC RESOURCES /NV/ NV X X 10/25/02 SILVER BUTTE MINING CO X 08/31/02 AMEND SITESTAR CORP NV X X 10/15/02 SLC STUDENT LOAN RECEIVABLES I INC DE X 09/30/02 SLI INC OK X X 10/23/02 SONUS CORP A1 X X 10/23/02 SORRENTO NETWORKS CORP NJ X 10/25/02 SOUTHERN INDIANA GAS & ELECTRIC CO IN X 09/30/02 SOUTHWESTERN ENERGY CO AR X X 12/25/02 SOVEREIGN SPECIALTY CHEMICALS INC DE X X 10/23/02 SPECIALTY TRUST INC X X 10/11/02 AMEND STARTECH ENVIRONMENTAL CORP CO X X 10/25/02 STATEFED FINANCIAL CORP DE X X 10/25/02 STERLING CHEMICALS HOLDINGS INC /TX/ DE X X 10/21/02 STRUCTURED ASSET SECURITIES CORP DE X X 10/25/02 STRUCTURED ASSET SECURITIES CORP LB-U DE X 10/01/02 SWANK INC DE X X 10/24/02 TELLIUM INC DE X X 10/25/02 TOYOTA AUTO FINANCE RECEIVABLES LLC DE X X 10/23/02 TRAVELERS BANK CREDIT CARD MASTER TRU DE X X 04/08/02 TRAVELERS BANK CREDIT CARD MASTER TRU DE X X 05/08/02 TRAVELERS BANK CREDIT CARD MASTER TRU DE X X 06/07/02 TRAVELERS BANK CREDIT CARD MASTER TRU DE X X 07/08/02 TRAVELERS BANK CREDIT CARD MASTER TRU DE X X 09/09/02 TRAVELERS BANK CREDIT CARD MASTER TRU DE X X 03/08/02 TRAVELERS BANK CREDIT CARD MASTER TRU DE X X 08/08/02 TRC COMPANIES INC /DE/ DE X X 10/21/02 TRUMP HOTELS & CASINO RESORTS INC DE X X 10/24/02 TYCO INTERNATIONAL LTD /BER/ D0 X X 10/24/02 ULTIMATE SOFTWARE GROUP INC DE X 10/25/02 UNITED FIDELITY AUTO RECEIVABLES TRUS DE X X 10/15/02 UNITED FIDELITY FINANCE LLC DE X X 10/15/02 UNITED STATIONERS INC DE X X 10/24/02 UNITY BANCORP INC /DE/ DE X X 10/24/02 UNITY BANCORP INC /DE/ DE X X 10/24/02 UNOCAL CORP DE X 10/24/02 US CAN CORP DE X 10/24/02 USA INTERACTIVE DE X X 10/25/02 VCA ANTECH INC DE X X 10/24/02 VECTREN CORP IN X 09/30/02 VECTREN UTILITY HOLDINGS INC IN X 09/30/02 VERIZON COMMUNICATIONS INC DE X 10/25/02 VIEWCAST COM INC DE X X X 10/11/02 WACHOVIA COMMERCIAL MORT PASS THRU CE NC X X 10/15/02 WASHINGTON GROUP INTERNATIONAL INC DE X 10/24/02 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X X 10/25/02 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X 10/23/02 WATCHGUARD TECHNOLOGIES INC DE X 10/24/02 WATLEY A B GROUP INC DE X 10/21/02 WEATHERFORD INTERNATIONAL INC /NEW/ DE X X 10/24/02 WEATHERFORD INTERNATIONAL LTD D0 X X 10/24/02 WELLS REAL ESTATE INVESTMENT TRUST IN MD X 08/15/02 AMEND WESTERN GAS RESOURCES INC DE X 10/23/02 WILLIAMS COMPANIES INC DE X 10/25/02 WIRE ONE TECHNOLOGIES INC DE X 10/25/02 WNCO INC CO X X 10/25/02