SEC NEWS DIGEST Issue 2003-200 October 21, 2003 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. 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. OPEN MEETING - WEDNESDAY, OCTOBER 29, 2003 - 10:00 A.M. - ROOM 6600 The subject matter of the open meeting scheduled for Wednesday, October 29, will be: 1. The Commission will hear oral argument on an appeal by the Division of Enforcement and the Office of the Chief Accountant (together, the "Division") from the decision of an administrative law judge in a proceeding brought against James Thomas McCurdy, a certified public accountant. The administrative law judge found that McCurdy did not engage in improper professional conduct within the meaning of Rule 102(e) of the Commission's Rules of Practice in connection with his audit of the financial statements of JWB Aggressive Growth Fund (Fund), a registered investment company, for the year ending December 31, 1998. The law judge found that McCurdy's audit of the Fund's financial statements was not performed in accordance with generally accepted auditing standards (GAAS), primarily because McCurdy failed to obtain sufficient competent evidence about the probable collectibility of a receivable that was recorded as an asset in the Fund's financial statements. The law judge also found that the record did not establish the charge that the Fund's financial statements were not in accordance with generally accepted accounting principles (GAAP) because the Division did not establish that the receivable was not collectible. The law judge further found that McCurdy's professional conduct was neither reckless nor highly unreasonable and thus did not constitute a violation of Rule 102(e) as charged. The law judge therefore dismissed the charges against McCurdy. Among the issues likely to be argued are: 1. whether McCurdy obtained sufficient competent evidence about the collectibility of the receivable. 2. whether the Fund's financial statements were in accordance with GAAP. 3. whether McCurdy's audit of the Fund's financial statements were in accordance with GAAS. 4. whether McCurdy's professional conduct was reckless or highly unreasonable. 5. if McCurdy's conduct was reckless or highly unreasonable, whether sanctions should be imposed in the public interest. For further information, please contact the Office of the Secretary at (202) 942-7070. 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. CHIEF ACCOUNTANT IS SEEKING CANDIDATES FOR FOUR PROFESSIONAL ACCOUNTING FELLOW POSITIONS The Securities and Exchange Commission's Office of the Chief Accountant announced that it is now accepting applications for Professional Accounting Fellow (PAF) positions in the Office of the Chief Accountant. The PAF program, which began in 1972, is designed to provide participating fellows with outstanding opportunities for public service to investors, personal development, and career advancement. During their fellowship, the successful candidates will work directly with the Chief Accountant, be involved in the study and development of rule proposals under the federal securities laws, liaison with professional accounting standard-setting bodies, and consult with registrants on accounting and reporting matters. For the four positions that are open, the Office of the Chief Accountant would like to select one candidate with significant experience in general accounting topics such as revenue recognition, compensation and business combinations, one candidate with significant experience in accounting for financial instruments, one candidate with significant experience in designing and performing audit procedures, and a fourth candidate with any of these specialties. Interested applicants are to submit: * A resume; * Standard Form 171, "Personal Qualification Statement," or Form OF-612, "Optional Application for Federal Employment," or any other written format that clearly identifies the announcement number, title, series, and grade of the job for which the applicant is seeking; and * At least two letters of recommendation from non-relatives. Standard Form 171, Form OF-612, and "Applying for a Federal Job," which highlights the information to be included in the resume or other written submission, can be obtained from the Office of Administrative and Personnel Management, Securities and Exchange Commission, 450 Fifth Street, N.W., Washington, D.C., 20549. Form OF-612 is also available on the Internet at http://www.opm.gov. Applicants are required to submit a ten to twelve page essay that they have prepared on their own on a subject directly related to a current accounting or auditing issue. While no restriction is placed on the topic an applicant may select to address in the essay, suggested considerations include: * Fair value as a measurement basis; * Impact and implementation of the Sarbanes Oxley Act of 2002; * Improvements to the financial reporting model; * International convergence; * How accounting should address substance versus form considerations; * Application of the agency concept in financial instrument transactions; * Challenges in the current consolidation model; * Improvements to the pension accounting model; * Improvements to the post-retirement benefit obligation accounting model; * Challenges in determining the appropriateness of discount rates that are used as an input in the various measurement methodologies that exist for certain assets and liabilities under US GAAP; * Issues in establishing auditing guidance. The application and essay should be submitted on or before December 19, 2003, to the Chief Accountant of the Securities and Exchange Commission, 450 Fifth Street, N.W., Washington, D.C., 20549-1103. Inquiries about the program may be addressed to the attention of Chad Kokenge or Rob Comerford in the Office of the Chief Accountant at (202) 942-4429 or (202) 942-7942, respectively. The Commission's policy of affording equal employment opportunity to all interested candidates will be followed. REPORT ON ADMINISTRATIVE PROCEEDINGS A Report on Administrative Proceedings for the Period April 1, 2003, through September 30, 2003, has been issued giving summary statistical information on the Commission's administrative proceedings caseload. The reports, issued each October and April, are published in the SEC Docket and appear on the Commission's website. (Rel. 34-48667) ENFORCEMENT PROCEEDINGS CORPORATE BOND SALESMAN SANCTIONED Leslie A. Arouh, formerly employed as a corporate bond salesman at First Union Capital Markets Corp. (First Union), has been sanctioned after a hearing before an administrative law judge. First Union, now known as Wachovia Securities, Inc., is a broker-dealer, headquartered in Charlotte, North Carolina. Arouh was sanctioned for his role in a program trade in which an investment adviser sold First Union a group of bonds from one group of accounts, repurchased the bonds at lower prices into another group of accounts, and purchased additional bonds at prices intended to make up First Union's loss on the repurchase. The law judge concluded that Arouh violated antifraud provisions of the federal securities laws, fined him $330,000, and suspended him from working at a broker-dealer for ninety days. (Initial Decision No. 238; File No. 3- 10884) LOUIS LLOYD BARRED FROM ASSOCIATION WITH ANY BROKER-DEALER On October 20, the Commission instituted and simultaneously settled public administrative proceedings against Louis Lloyd of New York, New York, based upon a permanent injunction entered him on October 3, in SEC v. Louis Lloyd, et al., Civil Action No. 03-14288-CIV-MARTINEZ. The Commission's Order finds that on October 1, the Commission filed a civil action against Lloyd, who was a principal and registered representative of Belfinance Securities, Inc., a broker-dealer registered with the Commission, alleging that he engaged in insider trading in violation of the antifraud provisions of the federal securities laws in connection with transactions in the securities of NetOptix Corp. The Commission's Order bars Lloyd from association with any broker or dealer, with the right to reapply for association after three years to the appropriate self-regulatory organization, or if there is none, to the Commission. Lloyd consented to the Commission's Order without admitting or denying the Commission's findings. (Rel. 34-48661; File No. 3-11305) JURY FINDS OFFICERS OF C.E.C. INDUSTRIES CORPORATION LIABLE FOR FINANCIAL FRAUD Former CEO Gerald H. Levine and Principal Financial Officer Marie A. Levine Found Liable On All Counts After 5-Day Trial On October 16, following a five-day trial, a jury in the U.S. District Court for the District of Columbia found Gerald H. Levine and Marie A. Levine liable for financial fraud based on their overstating the assets of C.E.C. Industries Corporation (CEC). Gerald Levine, age 70, was CEC's chief executive officer; his wife Marie, age 56, was CEC's secretary-treasurer, the company's principal financial officer. The jury found that the Levines violated the antifraud provisions of the Securities Exchange Act of 1934 (Exchange Act) and the Securities Act of 1933 (Securities Act): Exchange Act Section 10(b) and Rule 10b-5, and Securities Act Sections 17(a)(1), (2), and (3). The Levines were also found to have violated Exchange Act Section 13(b)(5) and Rule 13b2-1, which prohibit the falsification of a public company's books and records. The Commission's complaint, filed on September 28, 1999, alleged that the Levines overstated CEC's assets in reports that they filed with the Commission for CEC's fiscal years 1996 and 1997. The complaint also alleged that the Levines, acting through another corporate entity, Wire to Wire Inc., profited from their fraud by selling CEC stock while they knew that they had overstated CEC's assets. In particular, the complaint alleged that the Levines overstated the value of two purported corporate assets (1) a 9,000-acre tract of land in Tennessee that they claimed held 52 million tons of coal and substantial timber assets; and (2) forty-one paintings by "Sky Jones," which they claimed had a value of $1.7 million. The Commission proved at trial that CEC (and its corporate affiliates) did not even own the land and that the paintings were worth no more than $10,350. The Court has not yet determined the sanctions against the Levines. The Commission's complaint seeks bars permanently prohibiting them from serving as officers or directors of any publicly traded company, a permanent injunction against future violations of the securities laws, disgorgement of illicit profits from sales of CEC stock, and civil penalties. Previously, on September 11, 2001, CEC settled the Commission's financial fraud charges against the company, without admitting or denying the allegations, by consenting to the entry of a final judgment that included a permanent injunction. The Commission acknowledges the valuable assistance provided by several CEC shareholders, who brought to the Commission's attention many salient facts related to this matter. For further background information, please see Litigation Release No. 17139 (September 19, 2001) and Litigation Release No. 16299 (Sept. 28, 1999). [SEC v. Gerald H. Levine and Marie A. Levine, Civil Action No. 99 CIV 02568 (HHK) (D.D.C.)] (LR- 18420; AAE Rel. 1903) HOLDING COMPANY ACT RELEASES EXELON CORPORATION, ET AL. A supplemental order has been issued authorizing Exelon Corporation (Exelon), a registered holding company, and Exelon's public utility subsidiary PECO Energy Company to continue its process of divesting the holdings of its subsidiary Adwin Realty Company, through October 20, 2006. (Rel. 35-27737) AMEREN CORPORATION, ET AL. A supplemental order has been issued approving a proposal by Ameren Corporation, a registered public-utility holding company under the Act and its subsidiaries (Applicants). Applicants request authorization for Ameren's subsidiary AmerenEnergy Resources Generating Company's proposal to participate in the Ameren System's Non-State Regulated Subsidiary Money Pool. (Rel. 35-27738) UNITIL CORPORATION An order has been issued approving a proposal by Unitil Corporation (Unitil), a registered public-utility holding company under the Act. Unitil requests authorization to issue and sell up to 717,600 additional shares of its common stock. (Rel. 35-27739) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-Amex-2003-81) filed by the American Stock Exchange relating to reporting of "at the close" orders in Nasdaq securities has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of October 20. (Rel. 34-48652) A proposed rule change (SR-NASD-2003-139), and Amendment No. 1 thereto, filed by the National Association of Securities Dealers relating to technical amendments to NASD Rule 2710 has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of October 20. (Rel. 34-48656) A proposed rule change (SR-Amex-2003-87) filed by the American Stock Exchange relating to allocation and performance evaluation procedures for securities admitted to dealings on an unlisted basis has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of October 20. (Rel. 34-48657) A proposed rule change filed by OneChicago, LLC to amend its Maintenance Standards for a security futures product based on a single security (SR- OC-2003-08) has become immediately effective under Section 19(b)(7) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of October 20. (Rel. 34-48660) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-GSCC-2002-03) filed by the Government Securities Clearing Corporation under Section 19(b) of the Securities Exchange Act. The order allows GSCC's management to approve or reject applicants for comparison-only membership. Publication of the proposal is expected in the Federal Register during the week of October 20. (Rel. 34-48649) PROPOSED RULE CHANGE The Philadelphia Stock Exchange filed a proposed rule change (SR-PHLX- 2003-66), and Amendment Nos. 1 and 2 thereto, to list and trade options on the Nasdaq Composite Index. Publication of the proposal is expected in the Federal Register during the week of October 20. (Rel. 34-48663) 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-4 PATHMARK STORES INC, 200 MILIK STREET, CARTERET, NJ, 07008, 9084993000 - 0 ($100,000,000.00) Other, (File 333-109812 - Oct. 20) (BR. 02) S-8 AVERY DENNISON CORPORATION, 150 N ORANGE GROVE BLVD, PASADENA, CA, 91103, 6263042000 - 0 ($40,000,000.00) Other, (File 333-109814 - Oct. 20) (BR. 04) S-1 FORMFACTOR INC, 2140 RESEARCH DRIVE, LIVERMORE, CA, 94550, 0 ($146,740,000.00) Equity, (File 333-109815 - Oct. 20) (BR. 36) S-11 AFFORDABLE RESIDENTIAL COMMUNITIES INC, 0 ($565,000,000.00) Equity, (File 333-109816 - Oct. 20) (BR. 08) S-8 TAIWAN SEMICONDUCTOR MANUFACTURING CO LTD, NO. 8, LI-HSIN ROAD 6, SCIENCE-BASED INDUSTRIAL PARK, HSINCHU, F5, 00000, 886-3-5636688 - 120,000,000 ($270,720,000.00) ADRs/ADSs, (File 333-109817 - Oct. 20) (BR. 36) S-8 HEALTHCARE TECHNOLOGIES LTD, KIRYAT MINRAV, 3 HABOSEM ST, ASHDOD ISRAEL, L3, 77010, 212-308-1820 - 100,000 ($38,000.00) Other, (File 333-109828 - Oct. 20) (BR. 01) S-8 DIAMOND INTERNATIONAL GROUP INC/NY/, 7324091212 - 6,600,000 ($1,650,000.00) Equity, (File 333-109829 - Oct. 20) (BR. 02) S-3 ANHEUSER BUSCH COMPANIES INC, ONE BUSCH PL, ST LOUIS, MO, 63118-1852, 3147656565 - 0 ($70,625,257.00) Equity, (File 333-109830 - Oct. 20) (BR. 02) S-8 INTERWAVE COMMUNICATIONS INTERNATIONAL LTD, C/O CODAN SERVICES LTD CLARENDON HOUSE, 2 CHURCH STREET PO BOX HM 1022, HAMILTON, BERMUDA, 00000, 4412955950 - 0 ($638,397.51) Equity, (File 333-109831 - Oct. 20) (BR. 37) S-8 AMERICAN ORIENTAL BIOENGINEERING INC, NO.12 JIANCE ROAD, NANGANG DISTRICT, HARBIN, CHINA, C1, 15008, 86-451-666-6601 - 800,000 ($1,576,000.00) Equity, (File 333-109832 - Oct. 20) (BR. 01) S-4 WESTERN SIERRA BANCORP, 3350 COUNTRY CLUB DRIVE, SUITE 202, CAMERON PARK, CA, 95682, 5306775600 - 0 ($12,512,500.00) Equity, (File 333-109833 - Oct. 20) (BR. 07) SB-2 ELECTRIC CITY CORP, 1280 LANDMEIER ROAD, ELK GROVE, IL, 60007, 8474371666 - 0 ($2,438,998.00) Equity, (File 333-109835 - Oct. 20) (BR. 36) S-3 NU SKIN ENTERPRISES INC, 75 WEST CENTER ST, ATTN: D. MATTHEW DORNY, PROVO, UT, 84601, 801-345-6100 - 0 ($10,342,500.00) Equity, (File 333-109836 - Oct. 20) (BR. 01) F-3 COMMTOUCH SOFTWARE LTD, 4086534330 - 8,793,564 ($7,474,529.00) Equity, (File 333-109837 - Oct. 20) (BR. 37) S-8 ENCORE MEDICAL CORP, 9800 METRIC BOULEVARD, P O BOX 1900, AUSTIN, TX, 78758, 5128329500 - 230,000 ($1,621,500.00) Equity, (File 333-109838 - Oct. 20) (BR. 36) SB-2 ONE VOICE TECHNOLOGIES INC, 6333 GREENWICH DR #240, SAN DIEGO, CA, 92122, 6195524466 - 52,296,839 ($3,137,810.34) Equity, (File 333-109839 - Oct. 20) (BR. 03) S-3 RAE SYSTEMS INC, 1339 MOFFETT PARK DRIVE, SUNNYVALE, CA, 95112, 408-752-0723 - 0 ($35,000,000.00) Unallocated (Universal) Shelf, (File 333-109840 - Oct. 20) (BR. 36) S-4 CB RICHARD ELLIS SERVICES INC, 865 SOUTH FIGUEROA STREET, SUITE 3500, LOS ANGELES, CA, 90017, 2136133226 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-109841 - Oct. 20) (BR. 08) S-8 AUTONOMY CORP PLC, CAMBRIDGE BUSINESS PARK, COWLEY RD, CAMBRIDGE, UNITED KINGDOM, X0, CB40WZ, 441223448000 - 1,484,162 ($11,727,098.52) Equity, (File 333-109842 - Oct. 20) (BR. 03) S-8 PARK CITY GROUP INC, 333 MAIN STREET, SUITE 300, P.O. BOX 5000, PARK CITY, UT, 84060, 435-649-2221 - 5,000,000 ($225,000.00) Equity, (File 333-109843 - Oct. 20) (BR. 03) S-3 ABLEAUCTIONS COM INC, 1963 LOUGHEED HIGHWAY, COQUITLAM, A1, V3K 3T8, 604-521-3369 - 3,120,000 ($1,554,888.00) Equity, (File 333-109844 - Oct. 20) (BR. 08) S-8 EMC CORP, 176 SOUTH STREET, HOPKINTON, MA, 01748-9103, 5084351000 - 24,563,000 ($322,413,938.00) Equity, (File 333-109845 - Oct. 20) (BR. 03) SB-2 PROTALEX INC, PO BOX 30952, ALBUQUERQUE, NM, 87190, 5052438220 - 10,610,045 ($36,074,152.00) Equity, (File 333-109846 - Oct. 20) (BR. 01) 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. Item 10. Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics. Item 11. Temporary Suspension of Trading Under Registrant's Employee Benefit Plans. Item 12. Results of Operations and Financial Condition. 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 10 11 12 13 DATE COMMENT ------------------------------------------------------------------------------------------------ 3M CO DE X 10/20/03 ACTION PRODUCTS INTERNATIONAL INC FL X X 10/20/03 ADVANTA BUSINESS RECEIVABLES CORP X 10/20/03 ALTEON INC /DE DE X X 10/15/03 ALTERA CORP DE X 10/20/03 AMCOL INTERNATIONAL CORP DE X X 10/20/03 AMERCO /NV/ NV X X 10/06/03 AMERICAN BANK INC PA X X 10/16/03 AMERICAN SPECTRUM REALTY INC MD X X 10/20/03 AMIS HOLDINGS INC X 10/17/03 APPLEBEES INTERNATIONAL INC DE X 10/20/03 ARKANSAS BEST CORP /DE/ DE X X 10/20/03 ASSOCIATED BANC-CORP WI X 10/16/03 ATA HOLDINGS CORP IN X 10/20/03 ATEL CAPITAL EQUIPMENT FUND VII LP CA X X 10/20/03 AVISTAR COMMUNICATIONS CORP DE X X 10/15/03 BADGER STATE ETHANOL LLC WI X 10/20/03 BAKER HUGHES INC DE X X X 10/20/03 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 10/20/03 BANC ONE HELOC 1999-1 OH X X 10/20/03 BANC ONE HELOC TRUST 1998-1 OH X X 10/20/03 BANCFIRST CORP /OK/ OK X 10/16/03 BANDAG INC IA X X 10/16/03 BANK ONE AUTO SECURITIZATION LLC DE X X 10/20/03 BANK ONE AUTO SECURITIZATION TRUST 20 DE X X 10/20/03 BAUER PARTNERSHIP INC NV X X 10/20/03 BEDFORD PROPERTY INVESTORS INC/MD MD X X 10/20/03 BEHRINGER HARVARD REIT I INC MD X X 10/15/03 BELDEN INC DE X X 10/09/03 BETA OIL & GAS INC NV X X 10/17/03 BETHLEHEM STEEL CORP /DE/ DE X 10/20/03 BIOCRYST PHARMACEUTICALS INC DE X X 10/20/03 BIOSOURCE INTERNATIONAL INC DE X X 10/20/03 BLUEFLY INC DE X X 10/20/03 BOISE CASCADE CORP DE X X 10/17/03 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA X X 10/15/03 BRADY CORP WI X X 10/20/03 CAGLES INC GA X 10/17/03 CARBO CERAMICS INC DE X X 10/20/03 CARMAX AUTO FUNDING LLC DE X X 10/20/03 CATERPILLAR FINANCIAL FUNDING CORP NV X 09/30/03 CEF EQUIPMENT HOLDING LLC DE X X 10/20/03 CELL THERAPEUTICS INC WA X X 10/20/03 CENDANT CORP DE X X 10/20/03 CERTIFIED SERVICES INC NV X 10/09/03 CFS BANCORP INC DE X X 10/17/03 CHOICE ONE COMMUNICATIONS INC DE X X 10/15/03 CHOICE ONE COMMUNICATIONS INC DE X X 10/15/03 CITIBANK SOUTH DAKOTA N A DE X 09/25/03 CITIBANK SOUTH DAKOTA N A DE X 09/25/03 CITIGROUP GLOBAL MARKETS HOLDINGS INC NY X 09/30/03 CITIGROUP INC DE X X 10/20/03 CNL HOSPITALITY PROPERTIES INC MD X X 10/17/03 CODORUS VALLEY BANCORP INC PA X X 10/16/03 COGENTRIX ENERGY INC NC X X 01/17/03 COMMERCE ONE INC / DE/ DE X X 10/13/03 COMMUNITY BANCORP /VT VT X X 10/20/03 AMEND COMMUNITY BANCORP INC DE X X 10/16/03 CORUS BANKSHARES INC MN X X 10/20/03 CRDENTIA CORP DE X X 10/20/03 AMEND CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 10/20/03 CROWN RESOURCES CORP WA X 10/20/03 AMEND CSB BANCORP INC /OH OH X X 10/20/03 CWMBS INC DE X X 08/28/03 CWMBS INC DE X X 08/29/03 CWMBS INC DE X X 08/29/03 DATALINK CORP MN X X X 10/20/03 DIONEX CORP /DE CA X 10/20/03 DOVER CORP DE X 10/16/03 DSP GROUP INC /DE/ DE X X 10/20/03 DVI INC DE X X 10/20/03 DYNATRONICS CORP UT X X 10/10/03 E COM TECHNOLOGIES CORP NV X 04/15/03 E PIPHANY INC DE X X X 10/20/03 EARTHSHELL CORP DE X X 10/17/03 EAST PENN FINANCIAL CORP X X 10/15/03 EASTERN VIRGINIA BANKSHARES INC VA X X 10/17/03 ECLIPSYS CORP DE X X X 10/20/03 EDWARDS LIFESCIENCES CORP DE X X 10/20/03 EL PASO CORP/DE DE X X 10/20/03 ENCISION INC CO X 10/20/03 ENCORE CAPITAL GROUP INC DE X 10/17/03 ENDOCARE INC DE X X 10/15/03 ENGLOBAL CORP NV X 10/20/03 ENVIROKARE TECH INC NV X X 10/20/03 EPIQ SYSTEMS INC MO X X 10/20/03 EQUITY ONE ABS INC DE X X 10/16/03 EQUITY ONE ABS INC DE X X 10/16/03 ESPERION THERAPEUTICS INC/MI DE X X 10/20/03 EVEREST RE GROUP LTD C8 X 09/30/03 EXPERTELLIGENCE INC CA X 10/15/03 EXPONENT INC DE X 10/20/03 EZ EM INC DE X X 10/20/03 FARMERS CAPITAL BANK CORP KY X 10/17/03 FASTENAL CO MN X X 10/17/03 FIDELITY SOUTHERN CORP GA X X 10/17/03 FINANCIAL ASSET SEC CORP ASSET BACKED DE X X 09/29/03 FINDWHAT COM INC NV X X 10/20/03 FIRST CYPRESS INC NV X X X 10/07/03 FIRST FINANCIAL BANCORP /OH/ OH X X X 10/20/03 FIRST NATIONAL FUNDING LLC NE X 10/15/03 FIRST RELIANCE BANCSHARES INC SC X X 10/03/03 FIRST SOUTH BANCORP INC /VA/ VA X X 10/20/03 FIRST SOUTHERN BANCSHARES INC/DE DE X X 10/15/03 FLEET HOME EQUITY LOAN LLC DE X 10/20/03 FNBH BANCORP INC MI X X 10/20/03 FOOTHILL INDEPENDENT BANCORP DE X X 10/16/03 FULLER H B CO MN X X 10/13/03 FULLER H B CO MN X X 10/13/03 GALAXY NUTRITIONAL FOODS INC DE X X 10/16/03 GAYLORD ENTERTAINMENT CO /DE DE X X X X 10/17/03 GBC BANCORP CA X X 10/20/03 GENVEC INC DE X 08/21/03 AMEND GLOBIX CORP DE X 10/20/03 GREAT AMERICAN FINANCIAL RESOURCES IN DE X 09/30/03 GREAT PEE DEE BANCORP INC DE X X 10/15/03 GUILFORD MILLS INC DE X 10/20/03 HASBRO INC RI X X X 10/20/03 HELIX TECHNOLOGY CORP DE X 09/26/03 HUDSON CITY BANCORP INC DE X X X 10/16/03 IDEXX LABORATORIES INC /DE DE X 10/20/03 INTERPOOL INC DE X X 10/10/03 INVESTORS FINANCIAL SERVICES CORP DE X 10/20/03 IRWIN FINANCIAL CORPORATION IN X X 10/20/03 ITRON INC /WA/ WA X 10/20/03 JACKSON RIVERS CO FL X X 09/30/03 AMEND JDA SOFTWARE GROUP INC DE X X 10/20/03 JLG INDUSTRIES INC PA X X 10/15/03 JLG INDUSTRIES INC PA X X 10/15/03 JOSTENS INC MN X X 10/13/03 LADISH CO INC WI X X 10/16/03 LATTICE SEMICONDUCTOR CORP DE X X 10/20/03 LEFT RIGHT MARKETING TECHNOLOGY INC DE X X 09/29/03 LEXMARK INTERNATIONAL INC /KY/ DE X 10/20/03 LIBERTY NATIONAL BANCSHARES INC GA X X 10/20/03 LIFE PARTNERS HOLDINGS INC TX X 10/20/03 LIFECELL CORP DE X X 10/20/03 LOCAL FINANCIAL CORP /NV DE X X X 10/17/03 LSB CORP X X X 10/17/03 LUMENIS LTD X X 10/16/03 MAF BANCORP INC DE X X X 10/20/03 MANNATECH INC TX X X 10/15/03 MEASUREMENT SPECIALTIES INC NJ X X 10/15/03 MERCHANTS & MANUFACTURERS BANCORPORAT WI X X X 10/20/03 MERISTAR HOSPITALITY CORP MD X X 10/16/03 MERISTAR HOSPITALITY OPERATING PARTNE DE X X 10/16/03 METATEC INC OH X X X 10/17/03 METHODE ELECTRONICS INC DE X 10/16/03 MID PENN BANCORP INC PA X X 10/17/03 MIDAMERICAN ENERGY CO IA X X 10/20/03 MILLENNIUM BANKSHARES CORP VA X 10/20/03 MONEY STORE COMMERCIAL MORTGAGE INC NJ X X 10/15/03 MONEY STORE INVESTMENT CORP NJ X X 10/15/03 MONEY STORE SBA ADJUSTABLE RATE CERTI NJ X 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