SEC NEWS DIGEST Issue 2005-175 September 12, 2005 COMMISSION ANNOUNCEMENTS EXTENSION OF COMPLIANCE DATE FOR RULE CONCERNING CERTAIN BROKER-DEALERS DEEMED NOT TO BE INVESTMENT ADVISERS On September 12, the Commission issued a release extending the compliance date for rule 202(a)(11)-1(b)(2) and (b)(3) under the Investment Advisers Act of 1940 from Oct. 24, 2005, until Jan. 31, 2006. Rule 202(a)(11)-1 addresses the application of the Investment Advisers Act of 1940 to broker-dealers offering certain types of brokerage programs. Paragraph (b)(2) of the addresses the circumstances under which a broker-dealer providing financial planning services would be deemed to be an investment adviser under the Advisers Act. Paragraph (b)(3) of the rule provides that a broker-dealer with investment discretion would be deemed to be an investment adviser under the Advisers Act. The American Council of Life Insurers, the Securities Industry Association and the Financial Services Institute Inc. each filed a petition for rulemaking seeking an extension of the compliance date for one or both of paragraphs (b)(2) and (b)(3) of rule 202(a)(11)-1. The Commission considered the petitions along with letters submitted opposing the petitions. (Rels. 34-52407; IA-2426; File No. S7-25-99) COMMISSION ISSUES ORDER APPROVING PROPOSED PLAN FOR THE DISTRIBUTION OF A FAIR FUND IN THE MATTER OF PUTNAM INVESTMENT MANAGEMENT, LLC On September 12, the Commission announced that, pursuant to Rule 1104 of the Commission’s Rules on Fair Fund and Disgorgement Plans, it has approved the proposed plan for the distribution of monies placed into a Fair Fund, pursuant to Section 308(a) of the Sarbanes Oxley Act of 2002, in the matter of Putnam Investment Management, LLC. The Distribution Plan generally provides for distribution fairly and proportionately to the Putnam Funds the total disgorgement and penalty of $40,000,001 ordered by the Commission in In the Matter of Putnam Investment Management, LLC, Investment Advisers Act Rel. No. 2370 (March 23, 2005). This matter arose from Putnam’s failure to fully and adequately disclose to the Board of Trustees of the Putnam Funds and to Putnam Funds’ shareholders the conflict of interest created by its use of fund assets -- namely, mutual fund brokerage commissions -- to pay for preferred marketing arrangements. The Distribution Plan provides that each Putnam Fund shall receive a proportionate share of the disgorgement and penalty based upon the amount of brokerage commissions coded for these arrangements attributed to each of the Putnam Funds. The Putnam Funds are the registered investment companies for which Putnam is the investment adviser, including the retail mutual funds, registered closed-end funds, and open- end mutual funds that underlie variable annuities. On May 19, 2005, the Commission published a Notice of Proposed Plan for the Distribution of a Fair Fund and Opportunity for Comment (Notice) in connection with this proceeding pursuant to Rule 1103 of the Commission’s Rules on Fair Fund and Disgorgement Plans. This Notice advised interested parties that they could obtain a copy of the Distribution Plan by submitting a written request to Ari S. Gabinet, District Administrator, Philadelphia District Office. The Notice also advised that all persons desiring to comment on the Distribution Plan could submit their views to the Commission, in writing, no later than June 20, 2005. The staff has received requests for copies of the Distribution Plan. The Commission received one comment on the Distribution Plan. (Rels. IA-2425; IC-27062; File No. 3-11868) SEC EXTENDS TIME FOR BANKS TO COMPLY WITH GRAMM-LEACH-BLILEY ACT BROKER REGISTRATION REQUIREMENTS On September 9, the Securities and Exchange Commission issued an order further extending until Sept. 30, 2006, the compliance dates for banks with respect to certain broker registration requirements contained in the Gramm-Leach-Bliley Act (GLBA). The Commission does not expect banks to develop compliance systems to meet the terms of the “broker” exceptions until the Commission amends its rules. Banks have indicated that they will need time to implement systems to ensure compliance with the new statutory requirements regarding the definition of “broker.” The GLBA repealed an exception from broker-dealer registration requirements in the Securities Exchange Act of 1934 that had allowed banks to engage in securities activities without registering as a broker or dealer. The GLBA replaced this exception with new functional exceptions that were to become effective May 12, 2001. On May 11, 2001, the Commission adopted interim final rules (Interim Rules) that, among other things, gave banks time to come into full compliance with the more narrowly tailored exceptions from broker-dealer registration. To further accommodate the banking industry's continuing compliance concerns, the Commission delayed the effective date of the bank “broker” rules through a series of orders that ultimately extended the temporary exemption from the definition of “broker” to Sept. 30, 2005. In June 2004, the Commission proposed to revise and replace the Interim Rules with Regulation B. Today, the Commission extended the exemption from the definition of “broker” until Sept. 30, 2006. This will give the Commission time to consider fully comments received on Regulation B and to take any final action on the proposal as necessary, including consideration of any modification necessary to the proposed compliance date. The text of the order and notice will be available on the Commission’s Web site at http://www.sec.gov. (Rel. 34-52405; File No. S7-12-01; Press Rel. 2005-130) ENFORCEMENT PROCEEDINGS SEC ISSUES CEASE-AND-DESIST ORDER AGAINST TIMOTHY LEE BOGLE AND GLM TECHNOLOGIES, LLC On September 12, the Commission issued an Order Instituting Cease-and- Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 against Timothy Lee Bogle, 43, of West Bloomfield, Mich., and GLM Technologies, Inc., a company he owned and controlled. The Order finds that Bogle violated the securities registration provisions of the federal securities laws in transactions in the stock of MegaMania Interactive, Inc., a Houston-based company whose stock is quoted in the Pink Sheets. According to the Order, in 2003, Timothy Bogle received 2.9 million shares of MegaMania stock at the direction of George W. Bogle, Timothy Bogle’s brother and CEO of MegaMania. Timothy Bogle, who held these shares in an account in the name of GLM Technologies, then transferred approximately 1.5 million of the shares from the brokerage account in unregistered, non-exempt transactions to several entities and persons, including a stock-promotion firm hired by George Bogle to promote MegaMania’s stock. During August and September 2003, the promotion firm promoted MegaMania’s stock by disseminating emails and faxes. Concurrent with this promotional campaign, Timothy Bogle sold approximately 118,000 MegaMania shares from the GLM account in unregistered, non-exempt transactions into the market for approximately $92,000. He then forwarded virtually all of the proceeds from these sales to MegaMania. Based on the above, the Order requires Timothy Bogle and GLM Technologies to cease and desist from committing or causing any violations and any future violations of Sections 5(a) and 5(c) of the Securities Act. Timothy Bogle and GLM Technologies consented to the issuance of the Order without admitting or denying any of its findings. For further information, see SEC v. MegaMania Interactive, Inc., et al., U.S.D.C./S.D. Tex., Houston Division, Case No. 4:05-cv-03134 and LR- 19369 (Sept. 9, 2005). (Rel. 33-8609; File No. 3-12034). SUN ASSET HOLDINGS, INC., STOCK REGISTRATION REVOKED On September 12, the registration of the stock of Sun Asset Holdings, Inc.,was revoked. The revocation was ordered in an administrative proceeding before an administrative law judge. Sun Asset, formerly known as Coyote Canyon Corporation, has not filed any annual or quarterly reports with the Commission since its annual report for the year ended Dec. 31, 2002. Thus, it violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The law judge revoked the registration of Sun Asset’s stock to serve the public interest and for the protection of investors. (Rel. 34-52406; File No. 3-11979) COMMISSION CHARGES WILLIAM COVINGTON WITH FRAUD On September 9, the Commission filed a civil action in the United States District Court for the Eastern District of Kentucky against William J. Covington, of Eminence, Ky., the former President and CEO of Farmers Deposit Bank (Farmers), a subsidiary of Premier Financial Bancorp, Inc. (Premier), a public company located in Huntington, W.V. Without admitting or denying the allegations of the complaint, Covington has consented to the entry of a final judgment permanently enjoining him from engaging in the violations set forth below, ordering him to pay a civil penalty in the amount of $150,000, and imposing an officer and director bar. The Commission’s complaint alleges that, from 2001 until 2003, Covington engaged in a variety of fraudulent acts designed to conceal mounting loan losses at Farmers from Farmers’ board of directors and auditors, from Premier’s management and board of directors, and from federal and state banking regulators. Among other things, Covington concealed substantial loan losses at the bank by recording loans under fictitious or misleading names and using the proceeds to keep earlier loans current; altering documents presented to Farmers’ board of directors; altering loan documents to assign a later due date, thus making the loans appear current, a practice known as “bump-dating”; structuring loans by dividing them into smaller amounts to avoid meeting the minimum loan amount required for review by Farmers’ auditors and board of directors; recording fictitious payments on loans; reassigning loan payments to unrelated accounts; and releasing collateral securing loans without requiring payment of the debt. The complaint further alleges that Covington’s conduct caused Farmers to report false financial information to Premier. As a result, Premier filed quarterly and annual reports with the Commission containing materially false and misleading financial statements in 2001, 2002 and 2003. Specifically, Premier’s net income for the fiscal year ended Dec. 31, 2001, was overstated by 94 percent, and its net loss for 2002 was understated by 63 percent. The complaint alleges that Covington violated Section 17(a) of the Securities Act of 1933, Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934, and Rules 10b-5 and 13b2-1 thereunder, and that he aided and abetted violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder. The complaint seeks a permanent injunction, together with civil penalties and an officer and director bar against Covington. On Aug. 31, 2005, the Commission instituted a settled cease-and-desist proceeding against Premier finding that Premier violated the reporting, books and records, and internal controls provisions of the Exchange Act. [SEC v. William J. Covington, Civil Action No. 05-64, KKC, E.D. KY.,] (LR-19370) FINAL JUDGMENT AGAINST UNIPRIME CAPITAL ACCEPTANCE, INC. The Securities and Exchange Commission announced that on Sept. 1, 2005, Judge Kram of the United States District Court for the Southern District of New York entered a Final Consent Judgment of Permanent Injunctive and Other Relief against defendant Uniprime Capital Acceptance, Inc. The Final Consent Judgment permanently enjoins Uniprime from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. The Final Consent Judgment also requires Uniprime to pay disgorgement in the amount of $127,201, and the Court waived payment of the remaining ill- gotten gains and does not impose a civil penalty based upon Uniprime’s current financial condition and demonstrated inability to pay. Previously, on March 23, 2004, Judge Kram entered an Order granting the Commission’s motion for default and summary judgment and imposed a final permanent injunction and other relief against Alfred J. Flores, the other defendant in this action. Judge Kram enjoined Flores from violating Section 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. The Order also directs Flores to pay disgorgement in the amount of $11,000, plus prejudgment interest in the amount of $4092.87, and directs Flores to disgorge the 200,000 shares of restricted stock that he received from Uniprime. The Order also directs Flores to pay a $110,000 civil penalty and bars Flores from serving as an officer and director of a public company. The SEC commenced this action by filing its complaint on Aug. 13, 1999, against Uniprime and Alfred J. Flores alleging that defendants violated the anti-fraud provisions of the federal securities laws in connection with the offer and sale of securities in Uniprime between June 1999 and August 1999. See LR-16252 (Aug. 13, 1999) and Rels. 34-50207 (Aug. 17, 2004) and 34-50407 (Sept. 17, 2004). [SEC v. Uniprime Capital Acceptance, Inc., and Alfred J. Flores, 99-CIV-8885, SWK, SDNY] (LR- 19371) SEC BRINGS EMERGENCY ACTION AGAINST NJ AFFORDABLE HOMES AND WAYNE PUFF TO HALT ONGOING FRAUDULENT OFFERINGS OF SECURITIES On September 12, the Commission filed an emergency enforcement action to halt fraudulent unregistered offerings of securities and an ongoing Ponzi scheme orchestrated by NJ Affordable Homes Corp. and its owner and president, Wayne Puff. The Commission’s complaint alleges that from at least 1999 to the present, NJ Affordable and Puff have sold, in unregistered offerings, at least $40 million in notes to more than 490 investors located throughout the United States. In selling the notes, the defendants made, and continue to make, materially misleading misrepresentations and omissions concerning investment risk and the nature of NJ Affordable’s business. The Commission alleges that NJ Affordable and Puff guaranteed investors high rates of return, between 15% and 20%, based on promises that NJ Affordable and Puff would use the investors’ money to fund the purchase, renovation, and resale of real property. The defendants failed to disclose to investors that they could not pay such high rates of return, are funding payments to existing investors by soliciting new investor money, and are generating fictitious revenue by selling their properties to insiders, investors, and affiliated entities. Moreover, the Commission alleges that NJ Affordable and Puff failed to tell investors that the investment is not as secure as promised because NJ Affordable and Puff routinely inflate the value of the property upon which NJ Affordable granted mortgage interests. The complaint charges NJ Affordable and Puff with violating Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. In its emergency enforcement action, the Commission is seeking, among other emergency relief, a temporary restraining order (i) freezing the assets of NJ Affordable and Puff; and (ii) appointing a temporary receiver over NJ Affordable. In addition to this emergency relief, the Commission also seeks orders enjoining NJ Affordable and Puff, preliminarily and permanently, from committing future violations of the foregoing federal securities laws, and a final judgment ordering NJ Affordable and Puff to disgorge ill-gotten gains, and assessing civil penalties. [SEC v. NJ Affordable Homes Corp. and Wayne Puff, Civil Action No. 2:05-cv-04403, JLL, D.N.J.] (LR-19372) INVESTMENT COMPANY ACT RELEASES AXP CALIFORNIA TAX-EXEMPT TRUST, ET AL. An order has been issued on an application filed by AXP California Tax- Exempt Trust, et al., for an order under Section 12(d)(1)(J) of the Investment Company Act for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act, and under Section 17(d) of the Act and Rule 17d-1 under the Act to permit certain joint transactions. The order permits certain registered management investment companies and unregistered entities to invest uninvested cash and cash collateral in one or more affiliated money market funds in excess of the limits in Sections 12(d)(1)(A) and (B) of the Act. (Rel. IC-27056 – September 2) EATON VANCE SENIOR INCOME TRUST, ET AL. A notice has been issued giving interested persons until Oct. 3, 2005, to request a hearing on an application filed by Eaton Vance Senior Income Trust, et al., for an order under Section 12(d)(1)(J) of the Investment Company Act for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act, and under Section 17(d) of the Act and Rule 17d-1 under the Act to permit certain joint transactions. The order would permit certain registered management investment companies to use cash collateral received in connection with a securities lending program to purchase shares of affiliated money market funds or an affiliated cash management vehicle that relies on Section 3(c)(1) or 3(c)(7) of the Act. (Rel. IC-27058 – September 7) MARSHALL FUNDS, INC., ET AL. A notice has been issued giving interested persons until Oct. 4, 2005, to request a hearing on an application filed by Marshall Funds, Inc., et al. for an order under Section 6(c) of the Investment Company Act for an exemption form Sections 18(f) and 21(b) of the Act; under Section 12(d)(1(J) of the Act for an exemption from Sections 12(d)(1)(A) and (B) of the Act; under Sections 6(c) and 17(b) of the Act for an exemption from Sections 17(a)(1) and 17(a)(3) of the Act; and under Section 17(d) of the Act and Rule 17d-1 under the Act to permit certain joint transactions. The order would permit certain registered open-end management investment companies to participated in a joint lending and borrowing facility. (Rel. IC-27060 – September 8) TUXIS CORPORATION A notice has been issued giving interested persons until Oct. 4, 2005, to request a hearing on an application filed by Tuxis Corporation. Applicant requests an order under Section 8(f) of the Investment Company Act declaring that Tuxis Corporation has ceased to be an investment company. (Rel. IC-27061 – September 9) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES The Depository Trust Company filed a proposed rule change (SR-DTC-2005- 12) under Section 19(b)(1) of the Exchange Act, which became effective upon filing, to clarify the scope and update the description of DTC’s Security Position Reports Service it provides to issuers, trustees and authorized agents. Publication of the proposal is expected in the Federal Register during the week of September 12. (Rel. 34-52393) Pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, the Chicago Board Options Exchange has filed a proposed rule change (SR-CBOE- 2005-74) to amend CBOE Rule 8.4 relating to Remote Market-Maker appointments. Publication is expected in the Federal Register during the week of September 12. (Rel. 34-52398) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change and Amendment No.1 thereto and granted accelerated approval to Amendment Nos. 2 and 3 thereto (SR-NYSE-2002-34) filed by the New York Stock Exchange under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to the amendment of Rule 342 (Offices-Approval, Supervision and Control) to provide for a uniform definition of “branch office.” Publication of the order is expected in the Federal Register during the week of September 12. (Rel. 34-52402) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change and Amendment Nos. 1, 2, 3, 4, 5, and 6 thereto (SR-NASD-2003-104) filed by NASD under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to a proposed uniform definition of “branch office” under NASD rule 3010(g)(2). Publication of the order is expected in the Federal Register during the week of September 12. (Rel. 34-52403) 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-3 MDI, INC., 9725 DATAPOINT DR, SAN ANTONIO, TX, 78229, 210-582-2664 - 0 ($5,907,778.00) Equity, (File 333-128192 - Sep. 9) (BR. 10B) S-1 VOYAGER PHARMACEUTICAL CORP, 8540 COLUNNADE CENTER DRIVE, SUITE 409, RALEIGH, NC, 27615, 0 ($128,915,000.00) Equity, (File 333-128193 - Sep. 9) (BR. 01) S-8 ENDURANCE SPECIALTY HOLDINGS LTD, 4 PAR LA VILLE ROAD, HAMILTON HM 08 BERMUDA, D0, 00000, 441-278-0400 - 0 ($7,280,000.00) Equity, (File 333-128195 - Sep. 9) (BR. 01C) S-1 Ritz Interactive, Inc., 2010 MAIN STREET, SUITE 400, IRVINE, CA, 92614, (949)442-0202 - 0 ($34,500,000.00) Equity, (File 333-128196 - Sep. 9) (BR. 02) S-8 SOUTHCOAST FINANCIAL CORP, POST OFFICE BOX 1561, MT PLEASANT, SC, 29465, 8438840504 - 200,000 ($4,550,000.00) Equity, (File 333-128197 - Sep. 9) (BR. 07C) S-8 FRANCE TELECOM /, 6 PLACE D ALLERAY, PARIS FRANCE CEDEX 15, I0, 75505, 400,000 ($9,856,000.00) Equity, (File 333-128198 - Sep. 9) (BR. 11C) SB-2 Cross Atlantic Commodities, Inc., 245 PARK AVENUE, NEW YORK, NY, 10167, 305-970-7039 - 3,793,150 ($18,965,750.00) Equity, (File 333-128199 - Sep. 9) (BR. 09) S-3 SECURED DIGITAL APPLICATIONS INC, SUITE 11.02, MENARA MERAIS, NO. 1, NO. JALAN 19/3, SELANGOR MALAYSIA, N8, N8, 3037061606 - 10,739,809 ($1,181,378.00) Equity, (File 333-128200 - Sep. 9) (BR. 11A) S-8 GENESCO INC, GENESCO PK 1415 MURFREESBORO RD, NASHVILLE, TN, 37217, 6153677000 - 0 ($38,480,000.00) Equity, (File 333-128201 - Sep. 9) (BR. 02A) S-8 PARKE BANCORP, INC., 601 DELSEA DRIVE, WASHINGTON TOWNSHIP, NJ, 08080, 856 256-2500 - 183,880 ($2,369,735.00) Equity, (File 333-128202 - Sep. 9) (BR. 07) S-8 WAL MART STORES INC, 702 SOUTHWEST 8TH ST, BENTONVILLE, AR, 72716, 5012734000 - 0 ($2,243,000,000.00) Equity, (File 333-128204 - Sep. 9) (BR. 02A) S-8 IVANHOE MINES LTD, SUITE 654, 999 CANADA PLACE, VANCOUVER, A1, V6C 3E1, 604 688 5755 - 9,000,000 ($68,130,000.00) Equity, (File 333-128205 - Sep. 9) (BR. 04C) S-8 IBASIS INC, 20 SECOND AVE, BURLINGTON, MA, 01803, 7815057500 - 5,000,000 ($12,000,000.00) Equity, (File 333-128206 - Sep. 9) (BR. 11A) S-8 IN VERITAS MEDICAL DIAGNOSTICS, INC., THE GREEN HOUSE, BEECHWOOD BUSINESS PARK NORTH, INVERNESS - SCOTLAND, L2, 1V2 3BL, 011 44-1463-667-347 - 705,000 ($162,150.00) Equity, (File 333-128209 - Sep. 9) (BR. 10B) S-8 TRANS WORLD ENTERTAINMENT CORP, 38 CORPORATE CIRCLE, ALBANY, NY, 12203, 5184521242 - 0 ($37,350,000.00) Equity, (File 333-128210 - Sep. 9) (BR. 02C) S-3 ARGON ST, Inc., 8419 TERMINAL ROAD, P O BOX 1869, NEWINGTON, VA, 22122-1430, (703)550-7000 - 0 ($115,075,555.00) Equity, (File 333-128211 - Sep. 9) (BR. 10A) S-1 GLYCOTEX, INC., 140 WICKS ROAD, NORTH RYDE NSW, C3, 06905, (011) 61 2 9878-0088 - 0 ($86,000,000.00) Equity, (File 333-128212 - Sep. 9) (BR. 01) S-3 UNIT CORP, 1000 KENSINGTON TOWER, 7130 SO LEWIS STE 1000, TULSA, OK, 74136, 9184937700 - 246,053 ($12,580,689.89) Equity, (File 333-128213 - Sep. 9) (BR. 04C) S-1 BCB BANCORP INC, 860 BROADWAY, BAYONNE, NJ, 07002, 0 ($18,197,600.00) Equity, (File 333-128214 - Sep. 9) (BR. 07A) S-3 CARRIZO OIL & GAS INC, 1000 LOUISIANA STREET, SUITE 1500, HOUSTON, TX, 77002, 7133281000 - 0 ($250,000,000.00) Unallocated (Universal) Shelf, (File 333-128215 - Sep. 9) (BR. 04C) S-3 iVOW, Inc., 2101 FARADAY AVENUE, CARLSBAD, CA, 92008, 7606039120 - 0 ($7,386,669.00) Equity, (File 333-128216 - Sep. 9) (BR. 01C) S-4 REVLON CONSUMER PRODUCTS CORP, 237 PARK AVENUE, NEW YORK, NY, 10017, 2125274000 - 0 ($80,000,000.00) Non-Convertible Debt, (File 333-128217 - Sep. 9) (BR. 06B) S-1 Media & Entertainment Holdings, Inc., 4429 EDMONDSON AVENUE, DALLAS, TX, 75205, 214-522-9893 - 0 ($291,000,100.00) Equity, (File 333-128218 - Sep. 9) (BR. 09) S-3 PPL ENERGY SUPPLY LLC, TWO NORTH NINETH STREET, ALLENTOWN, PA, 18101, 6107745151 - 0 ($500,000,000.00) Other, (File 333-128219 - Sep. 9) (BR. 02) SB-2 RAVEN MOON ENTERTAINMENT INC, 120 INTERNATIONAL PARKWAY, SUITE 220, HEATHROW, FL, 32746, 3,697,766,666 ($11,880,000.00) Equity, (File 333-128220 - Sep. 9) (BR. 05C) N-2 MORGAN STANLEY DEAN WITTER INDIA INVESTMENT, 1221 AVENUE OF THE AMERICAS, BOSTON, MA, 10020, 6175578742 - 0 ($227,964,550.00) Equity, (File 333-128221 - Sep. 9) (BR. 16) S-8 INFINIUM LABS INC, 2033 MAIN STREET, SUITE 309, SARASOTA, FL, 34237, 941.917.0788 - 40,000,000 ($2,400,000.00) Equity, (File 333-128222 - Sep. 9) (BR. 09A) S-8 MICRONETICS INC, 26 HAMPSHIRE DR, HUDSON, NH, 03051, 6038832900 - 900,000 ($7,101,000.00) Equity, (File 333-128223 - Sep. 9) (BR. 10B) S-3 TERCICA INC, 2000 SIERRA POINT PARKWAY, SUITE 400, BRISBANE, CA, 94005, 6506244900 - 0 ($75,000,000.00) Other, (File 333-128224 - Sep. 9) (BR. 01) F-3 MER TELEMANAGEMENT SOLUTIONS LTD, 10 HAKISHON ST, BNEI BRAK, ISRAEL, L3, 00000, 1,349,500 ($5,060,625.00) Equity, (File 333-128225 - Sep. 9) (BR. 11C) SB-2 GlobePan Resources, Inc., 6518 121ST STREET, SUITE 6, SURREY, A1, V3W 1C4, 604-762-0755 - 4,418,800 ($1,325,640.00) Equity, (File 333-128226 - Sep. 9) (BR. ) S-8 SPECTRASCIENCE INC, 11568 SORRENTO VALLEY ROAD, SUITE 11, SAN DIEGO, CA, 92121, (858) 847-0200 - 5,632,614 ($5,632,614.00) Equity, (File 333-128227 - Sep. 9) (BR. 10C) S-3 EURONET WORLDWIDE INC, HORVAT UTCA 14-24, BUDAPEST, K5, 1027, 36-1-224-1000 - 104,829 ($3,049,475.61) Equity, (File 333-128228 - Sep. 9) (BR. 07C) N-2 SunAmerica Focused Alpha Large-Cap Fund, Inc., HARBORSIDE FINANCIAL CENTER, 3200 PLAZA 5, JERSEY CITY, NJ, 07311, 800-858-8850 - 0 ($1,000,000.00) Equity, (File 333-128229 - Sep. 9) (BR. ) S-4 SIRIUS SATELLITE RADIO INC, 1221 AVENUE OF THE AMERICAS, 36TH FLOOR, NEW YORK, NY, 10020, 2128995000 - 500,000,000 ($500,000,000.00) Non-Convertible Debt, (File 333-128230 - Sep. 9) (BR. 11B) S-3 REGENERATION TECHNOLOGIES INC, 11621 RESEARCH CIRCLE, ALACHUA, FL, 32615, 386-462-1719 - 0 ($25,858,000.00) Equity, (File 333-128231 - Sep. 9) (BR. 10C) S-8 REGENERATION TECHNOLOGIES INC, 11621 RESEARCH CIRCLE, ALACHUA, FL, 32615, 386-462-1719 - 2,000,000 ($18,164,500.00) Equity, (File 333-128232 - Sep. 9) (BR. 10C) S-4 CAPITAL BANK CORP, 4901 GLENWOOD AVENUE, RALEIGH, NC, 27612, 9196456312 - 4,966,612 ($64,380,927.00) Equity, (File 333-128233 - Sep. 9) (BR. 07B) S-3 TRICO MARINE SERVICES INC, 250 N AMERICAN COURT, HOUMA, LA, 70363, 713 780 9926 - 0 ($277,345,825.00) Equity, (File 333-128237 - Sep. 9) (BR. 05C) S-8 US MICROBICS INC, 6451 EL CAMINO REAL #C, CARLSBAD, CA, 92009, 7609181860 - 50,000,000 ($3,550,000.00) Equity, (File 333-128238 - Sep. 9) (BR. 04A) S-3 G III APPAREL GROUP LTD /DE/, 512 SEVENTH AVE, NEW YORK, NY, 10018, 2126298830 - 0 ($5,773,036.00) Equity, (File 333-128239 - Sep. 9) (BR. 02C) SB-2 KUHLMAN COMPANY, INC, 701 NORTH THIRD STREET, SUITE B-1, MINNEAPOLIS, MN, 55401, 6123385752 - 0 ($50,692,980.00) Equity, (File 333-128240 - Sep. 9) (BR. 05B) SB-2 UNION DENTAL HOLDINGS, INC., 1700 UNIVERSITY DRIVE SUITE 200, CORAL SPRINGS, FL, 33701, 9545752252 - 49,123,282 ($9,333,423.58) Equity, (File 333-128241 - Sep. 9) (BR. 01B) S-8 RUSH FINANCIAL TECHNOLOGIES INC, 13355 NOEL RD, STE 300, DALLAS, TX, 75240, 9724506000 - 0 ($484,238.00) Equity, (File 333-128242 - Sep. 9) (BR. 07C) S-1 MODTECH HOLDINGS INC, 2830 BARRETT AVE, PO BOX 1240, PERRIS, CA, 92571, 9099434014 - 0 ($73,412,723.02) Equity, (File 333-128243 - Sep. 9) (BR. 06B) S-1 APHTON CORP, PO BOX 1049, STE 51-507, WOODLAND, CA, 95776, 5306616077 - 21,500,000 ($14,405,000.00) Equity, (File 333-128244 - Sep. 9) (BR. 01B) 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 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE DATE COMMENT 110 MEDIA GROUP, INC. DE 1.01,2.01,9.01 09/01/05 AB HOLDING GROUP, INC. DE 1.01 08/23/05 ACCEPTANCE INSURANCE COMPANIES INC DE 8.01,9.01 09/06/05 Accredited Mortgage Loan Trust 2005-3 DE 2.01,9.01 08/25/05 ACETO CORP NY 2.02,9.01 09/09/05 ADVANCE DISPLAY TECHNOLOGIES INC CO 3.02,9.01 04/01/05 ADVANCED PHOTONIX INC DE 3.02,9.01 09/08/05 ADVANCIS PHARMACEUTICAL CORP 1.02,5.02,9.01 09/07/05 ADVANTA CORP DE 8.01 09/02/05 ADVANTAGE CAPITAL DEVELOPMENT CORP NV 5.02,8.01 09/06/05 AFEM MEDICAL CORP NV 5.02,9.01 09/01/05 AMBAC FINANCIAL GROUP INC DE 7.01,9.01 09/08/05 AMERICA FIRST APARTMENT INVESTORS INC MD 1.01,8.01,9.01 09/02/05 AMERICA WEST AIRLINES INC DE 8.01,9.01 09/08/05 AMERICA WEST AIRLINES INC DE 8.01,9.01 09/09/05 AMERICAN INTERNATIONAL VENTURES INC / DE 5.02,9.01 09/09/05 AMERICAN RIVER BANKSHARES CA 1.01,9.01 09/08/05 AMERICAN SCIENCE & ENGINEERING INC MA 8.01,9.01 09/07/05 AMERIGAS PARTNERS LP DE 8.01,9.01 09/07/05 AMERIQUEST MORTGAGE SECURITIES INC., DE 8.01,9.01 08/24/05 AMERISOURCEBERGEN CORP DE 8.01,9.01 09/08/05 AMKOR TECHNOLOGY INC DE 8.01 09/08/05 ANADYS PHARMACEUTICALS INC 5.02 09/06/05 ARCH CAPITAL GROUP LTD. 1.01,1.02,9.01 09/06/05 ARMSTRONG HOLDINGS INC /PA/ PA 8.01 09/08/05 ARROW INTERNATIONAL INC PA 5.02,9.01 09/07/05 ARTHROCARE CORP DE 1.01 09/02/05 ATA HOLDINGS CORP IN 1.01 09/09/05 ATMEL CORP DE 5.02 09/09/05 AtriCure, Inc. DE 2.02,9.01 09/09/05 AUSTRALIAN CANADIAN OIL ROYALTIES LTD A1 4.01 09/06/05 AUTODESK INC DE 1.01,1.02 09/02/05 AXT INC DE 1.01,9.01 09/02/05 BALDWIN TECHNOLOGY CO INC DE 1.01,9.01 09/02/05 Banc of America Commercial Mortgage I DE 8.01,9.01 09/09/05 Banc of America Commercial Mortgage I DE 8.01,9.01 09/09/05 BEAR STEARNS ASSET BACKED SECURITIES DE 8.01,9.01 09/09/05 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE 8.01,9.01 09/06/05 BEHRINGER HARVARD REIT I INC MD 1.01,9.01 09/09/05 BELLAVISTA CAPITAL INC MD 4.01,9.01 09/01/05 AMEND BENIHANA INC DE 7.01,9.01 09/08/05 BERKSHIRE HATHAWAY INC DE 8.01,9.01 09/08/05 BIOFARM INC NV 1.01,2.03,8.01,9.01 07/07/05 BIRDS EYE FOODS INC DE 1.01,5.02,9.01 09/06/05 BOWLIN TRAVEL CENTERS INC NV 2.02,9.01 09/09/05 BROADCAST INTERNATIONAL INC UT 5.02,9.01 09/06/05 BROADENGATE SYSTEMS INC NV 4.01 07/01/05 AMEND BROOKSTONE INC DE 8.01,9.01 09/08/05 BUILDING MATERIALS HOLDING CORP DE 1.01 09/06/05 C&D TECHNOLOGIES INC DE 2.02,9.01 09/08/05 CABELAS INC DE 1.01,9.01 09/06/05 CABOT CORP DE 8.01 09/09/05 CALAVO GROWERS INC CA 2.02,9.01 09/06/05 CANCERVAX CORP DE 5.02 09/06/05 CAPITAL AUTOMOTIVE REIT MD 8.01,9.01 09/09/05 CAPITAL RESERVE CANADA LTD 5.01,9.01 08/12/05 AMEND CAPTEC FRANCHISE CAPITAL PARTNERS LP DE 2.01,9.01 09/08/05 CARDINAL HEALTH INC OH 1.01,9.01 09/02/05 CARRIZO OIL & GAS INC TX 7.01 09/09/05 CARTERS INC DE 1.01,8.01,9.01 08/18/05 CATHAY MERCHANT GROUP, INC. DE 2.01,9.01 09/09/05 AMEND CATUITY INC DE 2.01,5.02 09/01/05 CB Financial CORP NC 1.01,8.01,9.01 09/02/05 CCH II LLC 1.01,9.01 09/02/05 CCO HOLDINGS LLC 1.01,9.01 09/02/05 CELLSTAR CORP DE 2.01 09/02/05 CENTENE CORP 1.01,2.03 09/09/05 CHAMPION INDUSTRIES INC WV 2.02,9.01 09/08/05 CHANNELL COMMERCIAL CORP DE 1.01,9.01 09/04/05 CHARTER COMMUNICATIONS HOLDINGS LLC DE 1.01,9.01 09/02/05 CHARTER COMMUNICATIONS INC /MO/ DE 1.01,9.01 09/02/05 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 09/09/05 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 09/09/05 CHASE MORTGAGE FINANCE CORP CHASEFLEX DE 8.01,9.01 08/25/05 Chase Mortgage Finance Trust Series 2 DE 8.01,9.01 08/25/05 ChaseFlex Trust Series 2005-2 DE 8.01,9.01 08/25/05 CHESAPEAKE ENERGY CORP OK 8.01,9.01 09/08/05 CHESAPEAKE ENERGY CORP OK 8.01,9.01 09/08/05 CHL Mortgage Pass-Through Trust 2005- DE 8.01,9.01 08/30/05 CISCO SYSTEMS INC CA 8.01 09/08/05 CIT Equipment Collateral 2005-EF1 8.01,9.01 08/24/05 CITIGROUP INC DE 8.01,9.01 09/09/05 CITIGROUP MORTGAGE LOAN TRUST INC 9.01 08/31/05 CITIZENS COMMUNITY BANCORP 9.01 07/01/05 AMEND CITIZENS HOLDING CO /MS/ MS 7.01,9.01 09/09/05 COCA COLA BOTTLING CO CONSOLIDATED /D DE 2.02,9.01 09/09/05 COLLEGIATE PACIFIC INC DE 1.01,9.01 09/07/05 COMDIAL CORP DE 1.01 09/01/05 COMPEX TECHNOLOGIES INC MN 2.02,9.01 09/08/05 COMPUTER HORIZONS CORP NY 1.02,5.02 09/06/05 Comstock Homebuilding Companies, Inc. DE 1.01,9.01 09/09/05 CONCORD CAMERA CORP NJ 1.01,9.01 09/08/05 CONTINENTAL AIRLINES INC /DE/ DE 7.01,9.01 09/08/05 CRIIMI MAE INC MD 1.01,1.02,8.01,9.01 09/02/05 CRITICAL PATH INC CA 5.02 09/08/05 CRYOLIFE INC FL 1.01,9.01 09/05/05 CSFB COMMERCIAL MORT PASS THR CERTS S DE 8.01,9.01 08/24/05 CURAGEN CORP DE 1.01,9.01 09/06/05 CV THERAPEUTICS INC DE 8.01,9.01 09/04/05 CWABS INC DE 8.01,9.01 09/07/05 DATA SYSTEMS & SOFTWARE INC DE 2.01,9.01 08/18/05 AMEND DELTA AIR LINES INC /DE/ DE 3.02 09/02/05 DIAMONDHEAD CASINO CORP DE 8.01 09/08/05 DIGITAL FUSION INC/NJ/ DE 1.02,5.02,5.03,9.01 09/02/05 DILLARDS INC DE 7.01,9.01 09/08/05 DISCOVERY LABORATORIES INC /DE/ DE 8.01,9.01 09/08/05 Dresser-Rand Group Inc. DE 7.01,9.01 09/08/05 DURECT CORP DE 8.01,9.01 09/09/05 EACO CORP FL 4.01 09/01/05 AMEND Eagle Bulk Shipping Inc. 7.01 09/08/05 EGPI FIRECREEK, INC. NV 3.02 09/02/05 ELITE PHARMACEUTICALS INC /DE/ DE 1.01,3.02,9.01 09/02/05 EMERGENT GROUP INC/NY NV 5.02 09/09/05 EMERGING VISION INC NY 1.01,9.01 09/08/05 EMPIRE ENERGY CORP UT 2.01,8.01,9.01 09/09/05 Emrise CORP DE 1.01,2.01,9.01 09/02/05 ENDOVASC INC NV 5.02,9.01 09/07/05 EQUITY ONE INC MD 8.01 09/09/05 EROOMSYSTEM TECHNOLOGIES INC NV 7.01,9.01 09/07/05 ESTEE LAUDER COMPANIES INC DE 3.02 09/07/05 ESTEE LAUDER COMPANIES INC DE 1.01,9.01 09/07/05 ESTERLINE TECHNOLOGIES CORP DE 5.02,5.03,9.01 09/09/05 EXPRESSJET HOLDINGS INC DE 5.02,7.01 09/08/05 FBR Securitization, Inc. 8.01,9.01 09/07/05 Federal Home Loan Bank of New York X1 2.03 09/06/05 FIBERMARK INC DE 8.01,9.01 09/09/05 FIELDPOINT PETROLEUM CORP CO 7.01,8.01,9.01 09/08/05 FINANCIAL ASSET SECURITIES CORP DE 8.01,9.01 09/09/05 FINISAR CORP DE 8.01,9.01 09/07/05 FIRST BANCSHARES INC /MO/ MO 2.02,9.01 06/30/05 FIRST STATE BANCORPORATION NM 8.01,9.01 09/06/05 FIRSTENERGY CORP OH 8.01,9.01 09/09/05 FIRSTFED BANCORP INC DE 8.01,9.01 09/08/05 FORCE PROTECTION INC NV 1.01,9.01 09/07/05 FRIENDLY ICE CREAM CORP MA 1.01,9.01 09/02/05 FURNITURE BRANDS INTERNATIONAL INC DE 8.01,9.01 09/08/05 GAMESTOP CORP DE 8.01,9.01 09/08/05 GE Commercial Mortgage Corp. Series 2 DE 8.01,9.01 08/25/05 GENCO SHIPPING & TRADING LTD 2.03 09/06/05 GENEREX BIOTECHNOLOGY CORP DE 1.01,2.03,3.02,9.01 09/08/05 GERBER SCIENTIFIC INC CT 1.01 09/09/05 GIANT INDUSTRIES INC DE 5.02 09/08/05 GLOBAL AIRCRAFT SOLUTIONS, INC. AZ 1.01,9.01 09/01/05 AMEND GLOBAL PAYMENT TECHNOLOGIES INC DE 1.01,9.01 09/08/05 GLOBALNET CORP NV 1.01,2.03,3.02,9.01 09/01/05 GLOBECOMM SYSTEMS INC 2.02,9.01 09/08/05 GMAC Commercial Mortgage Securities, DE 8.01,9.01 09/07/05 GoRemote Internet Communications, Inc DE 2.02,9.01 09/08/05 GRACO INC MN 1.01,5.02,8.01,9.01 09/06/05 AMEND GRANITE BROADCASTING CORP DE 1.01,9.01 09/08/05 Grant Life Sciences, Inc. NV 5.02 09/02/05 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 08/31/05 GREAT ATLANTIC & PACIFIC TEA CO INC MD 1.01,1.02,5.02 09/09/05 Greenpoint Mortgage Funding Trust 200 DE 2.01,8.01,9.01 09/02/05 GS MORTGAGE SECURITIES CORP DE 8.01,9.01 09/07/05 GS MORTGAGE SECURITIES CORP DE 8.01 08/26/05 GSAMP Trust 2005-HE4 DE 8.01,9.01 08/25/05 GSR Mortgage Loan Trust 2005-AR5 DE 8.01 08/26/05 HAIN CELESTIAL GROUP INC DE 2.02,9.01 09/08/05 HAMMONS JOHN Q HOTELS LP DE 7.01,9.01 09/09/05 HASCO Trust 2005-NC1 8.01,9.01 08/25/05 HEALTHRENU MEDICAL INC CO 3.02,8.01,9.01 08/26/05 HEARTLAND EXPRESS INC NV 8.01,9.01 09/09/05 HENNESSY ADVISORS INC 7.01 09/09/05 HILLMAN COMPANIES INC DE 3.01,9.01 09/07/05 ICO INC TX 1.01,5.02,8.01,9.01 09/09/05 IDM PHARMA, INC. DE 8.01,9.01 09/07/05 IMAGE ENTERTAINMENT INC CA 3.03,8.01 09/09/05 IMMUNE RESPONSE CORP DE 3.02 09/06/05 IMPCO TECHNOLOGIES INC DE 1.01,2.05,9.01 09/06/05 Industrial Enterprises of America, In NV 7.01 09/09/05 INDYMAC MBS INC 9.01 09/08/05 INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 09/09/05 INSIGHT HEALTH SERVICES HOLDINGS CORP 7.01 09/09/05 INTEGRATED ELECTRICAL SERVICES INC DE 1.01,9.01 09/01/05 INTERNATIONAL SHIPHOLDING CORP DE 7.01,9.01 09/09/05 INTRAC INC NV 2.01,5.02,5.03,9.01 09/07/05 INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 09/09/05 IPORUSSIA INC DE 8.01 09/02/05 JDS UNIPHASE CORP /CA/ DE 2.02,2.06,9.01 09/01/05 JOHNSONDIVERSEY INC DE 5.02,9.01 09/06/05 KENTUCKY UTILITIES CO KY 8.01,9.01 09/09/05 KEYSTONE CONSOLIDATED INDUSTRIES INC DE 7.01,9.01 09/01/05 KNIGHT CAPITAL GROUP, INC. DE 1.01,9.01 09/06/05 KNIGHT FULLER INC DE 2.01 09/06/05 LAKEFIELD VENTURES INC 5.02,8.01 09/01/05 LANDMARK BANCORP INC DE 1.01,2.01,9.01 09/07/05 LANGER INC NY 1.02,5.02,9.01 09/08/05 LEISURE DIRECT INC NV 5.02 08/31/05 LEUCADIA NATIONAL CORP NY 1.01,9.01 09/02/05 LINCOLN BANCORP /IN/ IN 1.01,9.01 05/17/05 LINEAR TECHNOLOGY CORP /CA/ DE 5.02,5.03,9.01 09/02/05 LORAL SPACE & COMMUNICATIONS LTD D0 8.01 09/07/05 LQ CORP INC DE 8.01 09/08/05 LSI INDUSTRIES INC OH 2.02,9.01 09/09/05 LYNCH CORP IN 1.01,9.01 09/08/05 MARSH & MCLENNAN COMPANIES, INC. DE 8.01,9.01 09/09/05 MARSH & MCLENNAN COMPANIES, INC. DE 8.01,9.01 09/07/05 MARVEL ENTERPRISES INC DE 8.01,9.01 09/06/05 MASTEC INC FL 1.01 09/02/05 MASTR Asset Securitization Trust 2005 DE 8.01,9.01 09/09/05 MAXUS REALTY TRUST INC MO 8.01 09/09/05 MBNA AMERICA BANK NATIONAL ASSOCIATIO DE 8.01,9.01 09/09/05 MCDATA CORP DE 2.02,7.01 09/09/05 MCLEODUSA INC DE 1.01,9.01 09/09/05 MERIDIAN BIOSCIENCE INC OH 8.01 09/02/05 MERIDIAN HEALTHCARE GROWTH & INCOME F DE 7.01 09/09/05 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 09/01/05 METALLINE MINING CO NV 5.02,9.01 07/29/05 AMEND METRETEK TECHNOLOGIES INC DE 1.01,1.02,2.03,9.01 09/02/05 MGI PHARMA INC MN 8.01,9.01 09/09/05 MIKOHN GAMING CORP NV 1.01,9.01 09/06/05 MIKRON INFRARED INC NJ 2.02,9.01 09/08/05 MISONIX INC NY 2.02,9.01 09/08/05 MIV THERAPEUTICS INC NV 4.01,9.01 05/05/05 AMEND MOBILEPRO CORP DE 5.02,9.01 09/01/05 MOLSON COORS BREWING CO CO 8.01,9.01 09/09/05 MONOLITHIC POWER SYSTEMS INC CA 1.01,5.02,9.01 09/02/05 MORGAN STANLEY DE 5.02,9.01 09/09/05 MORGAN STANLEY ABS CAPITAL I INC DE 8.01,9.01 08/26/05 MURRAY UNITED DEVELOPMENT CORP DE 5.02 09/07/05 NANO PROPRIETARY INC TX 8.01 09/09/05 NASDAQ STOCK MARKET INC DE 1.01,9.01 09/02/05 NATURAL GAS SERVICES GROUP INC 8.01 09/06/05 NAVIGATORS GROUP INC DE 1.01 09/07/05 NBTY INC DE 7.01,9.01 09/09/05 NEKTAR THERAPEUTICS DE 8.01,9.01 09/08/05 NEW CENTURY FINANCIAL CORP MD 1.01,9.01 09/02/05 NewGen Technologies, Inc NV 1.01,3.02,9.01 09/02/05 NEWMONT MINING CORP /DE/ DE 1.01,1.02,5.02,9.01 09/07/05 NEWPARK RESOURCES INC DE 8.01,9.01 09/08/05 NOBEL LEARNING COMMUNITIES INC DE 1.01,1.02,3.03,9.01 09/06/05 NORTH FORK BANCORPORATION INC DE 8.01,9.01 09/06/05 NORTHWEST BIOTHERAPEUTICS INC DE 1.01,2.03,7.01,9.01 09/07/05 NOVADEL PHARMA INC DE 1.01,1.02,5.02,5.03,7.01,9.01 09/02/05 NOVASTAR MORTGAGE FUNDING CORP DE 8.01,9.01 09/09/05 NSB HOLDINGS, INC. 8.01,9.01 09/08/05 NUANCE COMMUNICATIONS CA 8.01,9.01 09/08/05 NYMAGIC INC NY 8.01 09/08/05 OLD NATIONAL BANCORP /IN/ IN 2.06,7.01,9.01 09/09/05 ONE LINK 4 TRAVEL INC DE 7.01,9.01 09/09/05 ONEIDA LTD NY 1.01,7.01,9.01 09/06/05 OPEN TEXT CORP K6 2.02 09/08/05 OPENTV CORP 2.01,9.01 09/07/05 Opteum Mortgage Acceptance Corp. Asse DE 9.01 08/25/05 Opteum Mortgage Acceptance Corp. Asse DE 9.01 08/25/05 Opteum Mortgage Acceptance Corp. Asse DE 9.01 08/25/05 ORACLE CORP /DE/ DE 1.01,9.01 09/08/05 Orange 21 Inc. DE 1.01,9.01 09/05/05 OVATION PRODUCTS CORP 3.02 09/02/05 OVERSEAS PARTNERS LTD 1.01 09/03/05 PACIFIC ENERGY PARTNERS LP 1.01,9.01 09/08/05 PACIFIC ENTERPRISES INC CA 8.01,9.01 09/08/05 PACIFIC PREMIER BANCORP INC DE 7.01,9.01 09/08/05 PACIFICORP /OR/ OR 8.01 09/09/05 PAINCARE HOLDINGS INC CT 1.01 09/08/05 PALMSOURCE INC DE 1.01,9.01 09/08/05 Paradigm Holdings, Inc WY 5.02 09/09/05 Park Place Securities, Inc., Asset-Ba DE 9.01 08/24/05 Patriot Capital Funding, Inc. DE 2.02,9.01 08/09/05 PEREGRINE PHARMACEUTICALS INC DE 2.02,9.01 09/09/05 PERFICIENT INC DE 1.01,2.01,9.01 09/02/05 PETROL OIL & GAS INC 8.01,9.01 08/31/05 PIEDMONT NATURAL GAS CO INC NC 1.01 09/02/05 PIER 1 IMPORTS INC/DE DE 1.01,9.01 09/07/05 PINNACLE AIRLINES CORP DE 8.01,9.01 09/06/05 PINNACLE AIRLINES CORP DE 8.01 09/09/05 POPULAR ABS, INC. DE 8.01,9.01 09/07/05 POWER 3 MEDICAL PRODUCTS INC NY 1.01,2.03,9.01 09/05/05 PPOL INC CA 4.01 09/01/05 PRB Gas Transportation, Inc. NV 1.01,9.01 09/07/05 PRG SCHULTZ INTERNATIONAL INC GA 1.02 09/02/05 Principal Life Income Fundings Trust DE 8.01,9.01 09/01/05 Principal Life Income Fundings Trust DE 8.01,9.01 09/07/05 PRINCIPAL LIFE INCOME FUNDINGS TRUST DE 8.01,9.01 09/01/05 PRINCIPAL LIFE INCOME FUNDINGS TRUST DE 8.01,9.01 09/01/05 PROGENICS PHARMACEUTICALS INC DE 7.01,9.01 09/09/05 PROTEIN POLYMER TECHNOLOGIES INC DE 8.01,9.01 09/09/05 PROVIDENT BANKSHARES CORP MD 7.01,9.01 09/09/05 QUADRAMED CORP DE 5.02,9.01 09/07/05 QUEST SOFTWARE INC CA 8.01 09/07/05 RADIO ONE INC DE 1.02 09/02/05 REAL LOGIC INC FL 1.01 09/08/05 REDDY ICE HOLDINGS INC DE 5.02,9.01 09/07/05 REMY INTERNATIONAL, INC. DE 5.02,9.01 09/08/05 RENAISSANCE MEDIA GROUP LLC DE 8.01 09/09/05 RENAISSANCE MEDIA GROUP LLC DE 1.01,9.01 09/02/05 REVLON CONSUMER PRODUCTS CORP DE 8.01 09/09/05 REVLON INC /DE/ DE 8.01 09/09/05 RGC RESOURCES INC VA 1.01,9.01 09/09/05 S&P 500 GEARED Fund Inc. 7.01 09/09/05 SALTON INC DE 5.02 09/08/05 SAN DIEGO GAS & ELECTRIC CO CA 8.01,9.01 09/08/05 SANTANDER BANCORP 7.01,9.01 09/09/05 SCANSOFT INC DE 8.01,9.01 09/08/05 SCHWAB CHARLES CORP DE 1.01 09/07/05 SECURITY BANK CORP GA 1.01,9.01 09/09/05 Select Notes Trust LT 2004-1 DE 8.01,9.01 09/01/05 SEMPRA ENERGY CA 8.01,9.01 09/08/05 SERVOTRONICS INC /DE/ DE 4.01 09/07/05 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 8.01 09/09/05 SHOPKO STORES INC WI 1.01,5.03,8.01,9.01 09/09/05 SIERRA PACIFIC RESOURCES /NV/ NV 8.01 09/08/05 SKYWORKS SOLUTIONS INC DE 1.01 09/02/05 SONGZAI INTERNATIONAL HOLDING GROUP I NV 5.02 09/06/05 SOURCE INTERLINK COMPANIES INC DE 2.02,7.01,9.01 09/08/05 SOUTHWESTERN ENERGY CO AR 8.01,9.01 09/09/05 SPARTECH CORP DE 2.02,9.01 09/08/05 SPEAR & JACKSON INC 8.01 09/06/05 SPECTRUM CONTROL INC PA 8.01,9.01 09/09/05 SPRINT NEXTEL CORP KS 1.01 09/09/05 ST PAUL TRAVELERS COMPANIES INC MN 7.01 09/09/05 STRUCTURED ASSET MORTGAGE INVESTMENTS DE 8.01,9.01 09/07/05 SUNAIR ELECTRONICS INC FL 5.02,9.01 09/09/05 SUPERVALU INC DE 2.05,2.06,9.01 09/06/05 SYNOPSYS INC DE 5.02 09/06/05 SYSTEMAX INC DE 2.02,9.01 09/09/05 TECHNICAL OLYMPIC USA INC DE 1.01,9.01 09/07/05 TECO ENERGY INC FL 8.01,9.01 09/07/05 TEREX CORP DE 4.02,9.01 09/08/05 TETRA TECH INC DE 1.01 09/06/05 THERMOGENESIS CORP DE 2.02,9.01 09/09/05 THREE FIVE SYSTEMS INC DE 1.03,9.01 09/08/05 TIDEWATER INC DE 7.01,9.01 09/06/05 TL ADMINISTRATION CORP DE 8.01 09/09/05 TRI-S SECURITY CORP GA 1.01,3.02,9.01 09/02/05 TRICO MARINE SERVICES INC DE 2.02,9.01 09/08/05 TRICO MARINE SERVICES INC DE 2.02,9.01 05/16/05 AMEND TRINITY INDUSTRIES INC DE 1.01,5.02,5.03,8.01,9.01 09/07/05 TRUSTREET PROPERTIES INC MD 8.01 09/09/05 TRUSTREET PROPERTIES INC MD 8.01,9.01 03/04/05 AMEND U S CANADIAN MINERALS INC CA 5.02 09/09/05 UNITED FINANCIAL MORTGAGE CORP IL 1.01,9.01 09/05/05 UNITED FUEL & ENERGY CORP NV 1.01,5.02,9.01 09/02/05 UNIVERSAL CITY DEVELOPMENT PARTNERS L 1.01,9.01 09/06/05 Universal City Florida Holding Co. I FL 1.01,9.01 09/06/05 UNIVERSAL GUARDIAN HOLDINGS INC DE 1.01,3.02,5.03,9.01 08/31/05 UNIVERSAL GUARDIAN HOLDINGS INC DE 1.01,3.02,5.03,9.01 08/31/05 UNOVA INC DE 8.01,9.01 09/06/05 URANERZ ENERGY CORP. NV 3.02 08/31/05 US AIRWAYS GROUP INC DE 8.01 09/08/05 UTEK CORP 8.01,9.01 09/09/05 uWink, Inc. UT 4.01,9.01 09/09/05 AMEND VANGUARD HEALTH SYSTEMS INC DE 1.01 09/08/05 VENTAS INC DE 8.01,9.01 09/08/05 VENTIV HEALTH INC DE 1.01,2.03,3.02,3.03,7.01,9.01 09/06/05 VICTORY CAPITAL HOLDINGS CORP NV 4.01 09/06/05 VIKING SYSTEMS INC NV 8.01,9.01 09/09/05 VIRCO MFG CORPORATION DE 2.02,9.01 09/09/05 VSUS TECHNOLOGIES INC DE 1.01,1.02,5.02,8.01,9.01 09/02/05 Wachovia Mortgage Loan Trust, LLC DE 8.01,9.01 08/24/05 WaMu Mortgage Pass-Through Certificat DE 9.01 08/25/05 WaMu Mortgage Pass-Through Certificat DE 9.01 08/26/05 WARWICK VALLEY TELEPHONE CO NY 1.01,9.01 09/09/05 Washington Mutual Mortgage Pass-Throu DE 9.01 08/26/05 WELLS REAL ESTATE INVESTMENT TRUST II MD 2.03 09/06/05 WILLBROS GROUP INC R1 8.01,9.01 09/08/05 WILLIAM LYON HOMES DE 8.01 09/07/05 WILLIAMS SONOMA INC CA 1.01 09/09/05 WINDSORTECH INC DE 5.02 09/07/05 WIRELESS TELECOM GROUP INC NJ 9.01 07/01/05 AMEND X-CHANGE CORP 5.02 09/06/05 XEROX CORP NY 8.01 09/09/05 YANKEE CANDLE CO INC 1.01,9.01 08/12/05 YELLOW ROADWAY CORP DE 7.01,9.01 09/08/05