SEC NEWS DIGEST Issue 2004-191 October 4, 2004 RULES AND RELATED MATTERS ELECTRONIC FILING AND POSTING OF SELF-REGULATORY ORGANIZATION RULES AND RULE CHANGES On October 4, the Commission approved rules and form amendments mandating the electronic filing with the Commission of rule changes proposed by self-regulatory organizations (SROs). In addition, the Commission approved rules to require SROs to post all proposed rule changes, as well as current and complete sets of their rules, on their Web sites. Together, these amendments are designed to modernize the SRO rule filing process by making it more efficient, cost effective, and transparent. The amendments also should assure that SRO members and other interested persons have ready access to an accurate, up-to-date version of SRO rules. A copy of the release is on the SEC Web site at: www.sec.gov/rules/final.shtml. (Rel. 34-50486) ENFORCEMENT PROCEEDINGS COURT ENTERS DEFAULT JUDGMENT AGAINST SEC DEFENDANT ROBERT WACHTEL AND ORDERS HIM TO PAY OVER $16 MILLION The Commission announced that on September 15 a Rhode Island federal court entered a default judgment against Robert M. Wachtel, a defendant in an action filed by the Commission in April 2002. The Commission alleged in its complaint that Wachtel and others participated in a fraudulent offering scheme that raised at least $52 million from investors. In the default judgment, the Court permanently enjoined Wachtel from future violations of the antifraud provisions of the federal securities laws and ordered him to pay approximately $16.6 million in disgorgement, interest and a penalty. The Commission filed its action against Wachtel and eight other defendants and a relief defendant on April 1, 2002, alleging that Wachtel and others participated in a scheme that made fraudulent representations to investors about a purported high yield trading program. According to the Commission’s complaint, the scheme raised approximately $52.75 million from six investors, and was perpetrated by Wachtel and others through entities formerly known as Brite Business S.A. and Brite Business Corporation. The Commission alleged that Wachtel, who held himself out as the U.S. representative of Brite Business, solicited one investor to invest $12.5 million and made misrepresentations to this investor that the rate of return on the investment could be 10% per week. The Commission’s complaint alleges that as a result of the misconduct of Wachtel and others, that investors’ $12.5 million investment was misappropriated. The Commission’s complaint further alleges that Wachtel received approximately $155,000 in Brite Business investor funds. The Court’s final judgment enjoins Wachtel from future violations of 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, orders him to pay disgorgement in the amount of $12,500,000, plus prejudgment interest in the amount of $4,027,418.32, for a total amount of $16,527,418.32, and assesses a $100,000 civil monetary penalty against him. See Litigation Release Number 18917. For further information, please see Litigation Release Numbers 18212 (July 3, 2003) [default judgment entered against Defendant Johan C. Hertzog]; 18196 (June 20, 2003) [default judgment entered against Defendant Michael Clarke]; 17800 (Oct. 23, 2002) [default judgment entered against Defendant Dennis Herula]; 17957 (Jan. 29, 2003) [default judgment entered against Defendant Mary Lee Capalbo]; 17461 (April 5, 2002) [asset freeze against Wachtel and others]. [SEC v. Dennis Herula, et al., USDC, District of Rhode Island, C.A. No. 02 154 ML] (LR-18917) INVESTMENT COMPANY ACT RELEASES AUSA SERIES ANNUITY ACCOUNT B An order has been issued on an application by AUSA Series Annuity Account B under Section 8(f) of the Investment Company Act declaring that it has ceased to be an investment company as defined by the Act. (Rel. IC-26625 - September 30) HOLDING COMPANY ACT RELEASES NATIONAL GRID TRANSCO, PLC, ET AL. An order has been issued on a proposal by National Grid Transco plc (National Grid Transco), and its registered holding company subsidiaries National Grid (US) Holdings Limited, National Grid (US) Investments 4, National Grid (US) Partner 1 Limited, National Grid (US) Partner 2 Limited, National Grid General Partnership, National Grid USA and National Grid Holdings Inc, and National Grid USA’s public utility subsidiaries New England Power Company, Massachusetts Electric Company, The Narragansett Electric Company, Granite State Electric Company, Nantucket Electric Company, New England Electric Transmission Corporation, New England Hydro-Transmission Corporation, New England Hydro-Transmission Electric Co. Inc., and Niagara Mohawk Power Corporation and the direct and indirect nonutility subsidiaries of National Grid Transco (collectively, Applicants). Applicants propose to engage, through September 30, 2007, in a series of financings and activities including issuance of securities, hedging transactions, a money pool agreement, and creation of certain subsidiary companies. (Rel. 35-27898; International Rel. No. 1281) COLUMBIA ENERGY GROUP, ET AL. An order has been issued authorizing Columbia Energy Group, a registered holding company, and its wholly-owned public utility subsidiary, Columbia Gas of Ohio, Inc. (Columbia Ohio) to make an additional $15 million capital contribution to Columbia of Ohio Receivables Corporation (CORC), a factoring subsidiary organized by Columbia Ohio to engage in a receivables sale program, and reserving other jurisdiction. (Rel. 35- 27899) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-OCC-2003-09) filed by The Options Clearing Corporation that specifies minimum net capital requirements for clearing members that facilitate stock settlement for other clearing members. Publication of the proposal is expected in the Federal Register during the week of October 4. (Rel. 34-50465) The Commission approved a proposed rule change (SR-CHX-2004-12) and Amendment No. 1 thereto and granted accelerated approval to Amendments No. 2 and 3 thereto submitted by the Chicago Stock Exchange relating to the implementation of a fully-automated functionality for the handling of particular orders called CHXpress. Publication of the proposal is expected in the Federal Register during the week of October 4. (Rel. 34- 50481) The Commission approved the proposed rule change (SR-NASD-2004-118) submitted by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., relating to the introduction of an extranet access fee for extranet providers to provide direct access services for Nasdaq market data feeds. Publication of the proposal is expected in the Federal Register during the week of October 4. (Rel. 34-50483) The Commission approved a proposed rule change (SR-NASD-2003-201) submitted by the National Association of Securities Dealers to amend Schedule A of the NASD By-Laws to adjust the Trading Activity Fee rate, and to add TRACE-eligible and municipal securities as covered securities. Publication of the proposal is expected in the Federal Register during the week of October 4. (Rel. 34-50485) 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 TELECOMMUNICATION SYSTEMS INC /FA/, 275 WEST ST, ANNAPOLIS, MD, 21401, 4102637616 - 0 ($8,375,000.00) Equity, (File 333-119431 - Oct. 1) (BR. 03) S-8 BACKWEB TECHNOLOGIES LTD, 2077 GATEWAY PL, SUITE 500, SAN JOSE, CA, 95110, 4089331763 - 0 ($1,144,057.00) Equity, (File 333-119432 - Oct. 1) (BR. 03) S-1 MEDICINOVA INC, 4370 LA JOLLA VILLAGE DRIVE, SUITE 400, SAN DIEGO, CA, 92122, 858-373-1500 - 0 ($100,000,000.00) Equity, (File 333-119433 - Oct. 1) (BR. 01) S-1 JORGENSEN EARLE M CO /DE/, 10650 S ALAMEDA STREET, LYNWOOD, CA, 90262, 323 567 1122 - 0 ($250,000,000.00) Equity, (File 333-119434 - Oct. 1) (BR. 04) S-4 PMA CAPITAL CORP, 1735 MARKET STREET SUITE 2800, PHILADELPHIA, PA, 19103-7590, 2156655046 - 0 ($86,250,000.00) Debt Convertible into Equity, (File 333-119435 - Oct. 1) (BR. 01) S-8 MYOFFIZ INC, 913 BUKIT TIMAH ROAD, #02-01, SINGAPORE, U0, 589623, (65) 68484666 - 1,000,000 ($1,000.00) Equity, (File 333-119442 - Oct. 1) (BR. 08) F-6 Sega Sammy Holdings Inc., SHIODOME SUMITOMO BUILDING (21ST FLOOR), 1-9-2 HIGASHI SHIMBASHI, MINATO-KU, TOKYO, M0, 105-0021, 81-03-5950-3790 - 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-119443 - Oct. 1) (BR. ) S-8 TAURUS ENTERTAINMENT COMPANIES INC, 3113 BERING DRIVE, HOUSTON, TX, 77057, 7137850444 - 1,200,000 ($360,000.00) Equity, (File 333-119444 - Oct. 1) (BR. 01) S-8 MARMION INDUSTRIES CORP, 9103 EMMOTT RD, BUILDING 6 SUITE A, HOUSTON, TX, 77040, 7134666585 - 140,000,000 ($560,000.00) Equity, (File 333-119455 - Oct. 1) (BR. 02) S-8 TEKTRONIX INC, 14200 SW KARL BRAUN DRIVE, BEAVERTON, OR, 97077, 503-627-7111 - 0 ($74,659,727.00) Equity, (File 333-119460 - Oct. 1) (BR. 36) S-8 NationsHealth, Inc., 13650 N.W. 8TH STREET, SUITE 109, SUNRISE, FL, 33325, 6102932511 - 1,900,000 ($12,768,000.00) Equity, (File 333-119462 - Oct. 1) (BR. 01) S-8 PROGENICS PHARMACEUTICALS INC, 777 OLD SAW MILL RIVER ROAD, TARRYTOWN, NY, 10591, 9147892800 - 1,100,000 ($13,552,000.00) Equity, (File 333-119463 - Oct. 1) (BR. 01) S-8 FIRST INDIANA CORP, 135 N PENNSYLVANIA ST, INDIANAPOLIS, IN, 46204, 3172691200 - 1,762,730 ($34,355,608.00) Equity, (File 333-119465 - Oct. 1) (BR. 07) S-8 NANOPHASE TECHNOLOGIES CORPORATION, 453 COMMERCE ST, BURR RIDGE, IL, 60521, 6303231200 - 0 ($5.25) Equity, (File 333-119466 - Oct. 1) (BR. 06) S-4 BERKSHIRE HATHAWAY FINANCE CORP, 1440 KIEWITT PLAZA, OMAHA, NE, 68131, 4023461400 - 1,100,000,000 ($1,100,000,000.00) Non-Convertible Debt, (File 333-119467 - Oct. 1) (BR. 01) SB-2 INYX INC, 825 THIRD AVENUE, 40TH FLOOR, NEW YORK, NY, 10022, 212-838-0065 - 19,240,088 ($19,817,291.00) Equity, (File 333-119468 - Oct. 1) (BR. 01) S-3 HEALTH CARE PROPERTY INVESTORS INC, 3760 KILROY AIRPORT WAY, SUITE 300, LONG BEACH, CA, 90806, 562-733-5100 - 2,129,078 ($54,355,361.34) Equity, (File 333-119469 - Oct. 1) (BR. 08) S-3 GENERAL MOTORS ACCEPTANCE CORP, MAIL CODE: 482-B08-B82, 200 RENAISSANCE CENTER, DETROIT, MI, 48265, 3136654353 - 0 ($3,000,000,000.00) Non-Convertible Debt, (File 333-119470 - Oct. 1) (BR. 07) SB-2 RPM TECHNOLOGIES INC, 21061 WEST BRAXTON, SUITE 800, PLAINFIELD, IL, 60544, 815-293-1190 - 17,500,000 ($5,399,375.00) Equity, (File 333-119471 - Oct. 1) (BR. 06) S-8 BEST BUY CO INC, 7601 PENN AVE SOUTH, RICHFIELD, MN, 55423, 6122911000 - 0 ($851,040,000.00) Equity, (File 333-119472 - Oct. 1) (BR. 02) S-3 ACT TELECONFERENCING INC, 1658 COLE BLVD, STE 130, GOLDEN, CO, 80401, 3032359000 - 0 ($2,813,823.00) Equity, (File 333-119473 - Oct. 1) (BR. 37) S-8 KEYSPAN CORP, 175 EAST OLD COUNTRY ROAD, HICKSVILLE, NY, 11801, 5167556650 - 7,500,000 ($288,525,000.00) Equity, (File 333-119474 - Oct. 1) (BR. 02) S-8 NOVARTIS AG, LICHSTRASSE 35, BASEL SWITZERLAND, V8, CH 4056, 0 ($697,500,000.00) Equity, (File 333-119475 - Oct. 1) (BR. 01) S-4 MONMOUTH COMMUNITY BANCORP, 627 SECOND AVE, LONG BRANCH, NJ, 07740, 7325711300 - 1,973,361 ($46,630,520.00) Other, (File 333-119476 - Oct. 1) (BR. 07) S-8 BWC FINANCIAL CORP, 1400 CIVIC DR, WALNUT CREEK, CA, 94596, 5109325353 - 500,000 ($10,725,000.00) Equity, (File 333-119477 - Oct. 1) (BR. 07) SB-2 Riverside Therapeutics Inc, 787 7TH AVENUE, 48TH FLOOR, NEW YORK, NY, 10019, 212-554-4300 - 4,000,000 ($4,000.00) Equity, (File 333-119478 - Oct. 1) (BR. ) S-8 SIRIUS SATELLITE RADIO INC, 1221 AVENUE OF THE AMERICAS, 36TH FLOOR, NEW YORK, NY, 10020, 2128995000 - 500,000 ($1,415,000.00) Equity, (File 333-119479 - Oct. 1) (BR. 37) S-1 Nalco CO, 1601 WEST DIEHL ROAD, NAPERVILLE, IL, 60563, 630-305-1000 - 0 ($1.00) Debt Convertible into Equity, (File 333-119480 - Oct. 1) (BR. 06) S-8 NORTH FORK BANCORPORATION INC, 275 BROAD HOLLOW RD, PO BOX 8914, MELVILLE, NY, 11747, 6318441004 - 0 ($262,710,654.80) Equity, (File 333-119481 - Oct. 1) (BR. 07) S-8 UNICORP INC /NEW, 3122 WHITE OAK DRIVE, HOUSTON, TX, 77007, 713 547 8900 - 6,000,000 ($2,700,000.00) Equity, (File 333-119483 - Oct. 1) (BR. 04) S-8 CRIIMI MAE INC, 11200 ROCKVILLE PIKE, ROCKVILLE, MD, 20852, 3018162300 - 0 ($825,600.00) Equity, (File 333-119484 - Oct. 1) (BR. 08) S-1 WH HOLDINGS CAYMAN ISLANDS LTD, PO BOX 309GT UGLAND HOUSE, SOUTH CHURCH STREET GEORGETOWN, GRAND CAYMAN, E9, 00000, 0 ($345,000,000.00) Equity, (File 333-119485 - Oct. 1) (BR. 01) S-8 NEUROBIOLOGICAL TECHNOLOGIES INC /CA/, 5102158000 - 0 ($5,340,000.00) Equity, (File 333-119486 - Oct. 1) (BR. 01) S-3 FEDERAL REALTY INVESTMENT TRUST, 1626 EAST JEFFERSON STREET, ROCKVILLE, MD, 20852-4041, 3019988100 - 0 ($1,857,366.00) Equity, (File 333-119487 - Oct. 1) (BR. 08) N-2 COHEN & STEERS ADVANTAGE INCOME REALTY FUND INC, 757 THIRD AVE, NEW YORK, NY, 10017, 2128323232 - 40 ($1,000,000.00) Equity, (File 333-119488 - Oct. 1) (BR. 22) S-8 RENAISSANCERE HOLDINGS LTD, RENAISSANCE HOUSE, 8-12 EAST BROADWAY, PEMBROKE BERMUDA, D0, HM 19, 4412954513 - 6,000,000 ($308,580,000.00) Equity, (File 333-119489 - Oct. 1) (BR. 01) SB-2 FIRSTBINGO COM, 488 HURON STREET, -, TORONTO, O0, M5R 2R3, (416) 281-3335 - 41,372,376 ($14,705,646.48) Equity, (File 333-119490 - Oct. 1) (BR. 05) S-3 KEYSPAN CORP, 175 EAST OLD COUNTRY ROAD, HICKSVILLE, NY, 11801, 5167556650 - 0 ($3,000,000,000.00) Other, (File 333-119491 - Oct. 1) (BR. 02) S-3 NEUROBIOLOGICAL TECHNOLOGIES INC /CA/, 5102158000 - 0 ($16,996,626.00) Equity, (File 333-119492 - Oct. 1) (BR. 01) 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 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 ------------------------------------------------------------------------------------------------ @ROAD, INC CA 5.02,7.01 10/01/04 8X8 INC /DE/ DE 8.01,9.01 09/29/04 AAIPHARMA INC DE 8.01 09/30/04 ACCESS PHARMACEUTICALS INC DE 8.01,9.01 10/01/04 ACE LTD D0 7.01,9.01 09/30/04 ACURA PHARMACEUTICALS, INC NY 3.02 09/30/04 ADSERO CORP 3.02,9.01 09/27/04 ADVO INC DE 8.01,9.01 10/01/04 AEGIS ASSET BACKED SECURITIES TRUST M DE 8.01,9.01 09/25/04 AGL RESOURCES INC GA 7.01 10/01/04 AIMCO PROPERTIES LP DE 1.01,3.02,9.01 09/29/04 AIRGATE PCS INC /DE/ DE 2.02,9.01 09/30/04 AIRNET COMMUNICATIONS CORP DE 7.01 09/28/04 ALPHA TECHNOLOGIES GROUP INC DE 3.01 09/29/04 Alternative Loan Trust 2004-10CB 9.01 08/25/04 Alternative Loan Trust 2004-12CB 9.01 08/25/04 Alternative Loan Trust 2004-12CB 9.01 08/25/04 Alternative Loan Trust 2004-12CB 9.01 08/25/04 Alternative Loan Trust 2004-12CB 9.01 08/25/04 Alternative Loan Trust 2004-12CB 9.01 08/25/04 Alternative Loan Trust 2004-12CB 9.01 08/25/04 Alternative Loan Trust 2004-12CB 9.01 08/25/04 Alternative Loan Trust 2004-12CB 9.01 08/25/04 Alternative Loan Trust 2004-13CB 9.01 08/25/04 Alternative Loan Trust 2004-13CB 9.01 08/25/04 Alternative Loan Trust 2004-13CB 9.01 08/25/04 Alternative Loan Trust 2004-13CB 9.01 08/25/04 Alternative Loan Trust 2004-13CB 9.01 08/25/04 Alternative Loan Trust 2004-13CB 9.01 08/25/04 Alternative Loan Trust 2004-14T2 9.01 08/25/04 Alternative Loan Trust 2004-14T2 9.01 08/25/04 Alternative Loan Trust 2004-14T2 9.01 08/25/04 Alternative Loan Trust 2004-14T2 9.01 08/25/04 Alternative Loan Trust 2004-14T2 9.01 08/25/04 Alternative Loan Trust 2004-14T2 9.01 08/25/04 Alternative Loan Trust 2004-14T2 9.01 08/25/04 ALTERNATIVE LOAN TRUST 2004-15 9.01 09/25/04 ALTERNATIVE LOAN TRUST 2004-15 9.01 09/25/04 Alternative Loan Trust 2004-16CB 9.01 08/25/04 Alternative Loan Trust 2004-16CB 9.01 08/25/04 Alternative Loan Trust 2004-16CB 9.01 08/25/04 ALTERNATIVE LOAN TRUST 2004-17CB 9.01 08/25/04 ALTERNATIVE LOAN TRUST 2004-17CB 9.01 08/25/04 Alternative Loan Trust 2004-18CB 9.01 08/25/04 Alternative Loan Trust 2004-18CB 9.01 08/25/04 Alternative Loan Trust 2004-18CB 9.01 08/25/04 ALTERNATIVE LOAN TRUST 2004-20T1 9.01 08/25/04 ALTERNATIVE LOAN TRUST 2004-20T1 9.01 08/25/04 ALTERNATIVE LOAN TRUST 2004-20T1 9.01 08/25/04 ALTERNATIVE LOAN TRUST 2004-22CB 9.01 08/25/04 Alternative Loan Trust 2004-7T1 9.01 09/25/04 Alternative Loan Trust 2004-8CB 9.01 08/25/04 Alternative Loan Trust 2004-8CB 9.01 08/25/04 Alternative Loan Trust 2004-8CB 9.01 09/25/04 ALTERNATIVE LOAN TRUST 2004-9T1 9.01 09/25/04 Alternative Loan Trust 2004-J7 9.01 09/25/04 Alternative Loan Trust 2004-J7 9.01 09/25/04 Alternative Loan Trust 2004-J7 9.01 09/25/04 Alternative Loan Trust 2004-J8 9.01 09/25/04 AMEDISYS INC DE 8.01,9.01 09/28/04 AMEREN CORP MO 1.01,2.03,2.04,5.01,5.02,5.03 10/01/04 AMERICAN AXLE & MANUFACTURING INC DE 5.02,9.01 09/30/04 AMERICAN BUSINESS FINANCIAL SERVICES DE 1.01,5.03,8.01 09/17/04 AMERICAN FINANCIAL REALTY TRUST 2.03,3.02,9.01 10/01/04 AMERICAN OIL & GAS INC NV 8.01,9.01 10/01/04 AMERICAN SOFTWARE INC GA 1.01,2.01,9.01 09/30/04 AMERITYRE CORP NV 8.01 09/30/04 AMISTAR CORP CA 2.03,9.01 09/27/04 AMPHENOL CORP /DE/ DE 5.02 09/30/04 ANDRESMIN GOLD CORP MT 4.01,9.01 05/11/04 APARTMENT INVESTMENT & MANAGEMENT CO MD 1.01,3.02,5.03,8.01,9.01 09/29/04 ARABIAN AMERICAN DEVELOPMENT CO DE 5.02 09/30/04 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 09/30/04 Asset Backed Funding Corp C-BASS Mort DE 8.01,9.01 09/27/04 ASSET BACKED SEC CORP FIELDSTONE MORT DE 8.01,9.01 09/25/04 ASSET BACKED SECURITIES CORP DE 8.01,9.01 10/01/04 ASSURETEC HOLDINGS INC DE 4.01,9.01 10/01/04 AULT INC MN 5.05,9.01 09/28/04 AVADO BRANDS INC GA 1.01,5.02,7.01,9.01 10/01/04 AVALON CORRECTIONAL SERVICES INC NV 7.01 09/28/04 AXA EQUITABLE LIFE INSURANCE CO NY 1.01,9.01 09/27/04 AXA FINANCIAL INC DE 1.01,9.01 09/27/04 BALCHEM CORP MD 4.01 10/01/04 BALDWIN & LYONS INC IN 8.01,9.01 09/30/04 Banc of America Alternative Loan Trus DE 8.01,9.01 09/25/04 Banc of America Mortgage Securities M DE 8.01,9.01 09/25/04 BANK OF THE OZARKS INC AR 1.01,2.03,7.01,9.01 09/28/04 BAXTER INTERNATIONAL INC DE 1.01,2.03,5.03,9.01 09/28/04 BAY NATIONAL CORP 1.01,2.03 09/28/04 BEAR STEARNS ARM TRUST, MORTGAGE PASS DE 8.01,9.01 09/25/04 Bear Stearns Asset Backed Securities DE 8.01,9.01 09/25/04 BIG DOG HOLDINGS INC DE 4.01 09/28/04 BLUEGREEN CORP MA 2.03 09/29/04 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 1.01,8.01,9.01 09/29/04 BRANDPARTNERS GROUP INC DE 1.01,1.02,3.02,9.01 09/29/04 BRANDPARTNERS GROUP INC DE 7.01,9.01 09/29/04 C&D TECHNOLOGIES INC DE 8.01,9.01 09/30/04 C&D TECHNOLOGIES INC DE 8.01,9.01 10/01/04 CACI INTERNATIONAL INC /DE/ DE 5.02,7.01,8.01 09/30/04 CALGON CARBON CORPORATION DE 8.01 09/30/04 CALIFORNIA PIZZA KITCHEN INC CA 3.01,5.02,9.01 09/28/04 CALPINE CORP DE 8.01 09/30/04 CAP ROCK ENERGY CORP 1.01,2.03,7.01,9.01 09/29/04 CARDINAL MINERALS INC NV 1.01,3.02,3.03,5.01,9.01 09/28/04 CAREADVANTAGE INC DE 1.01,9.01 09/29/03 CASCADE FINANCIAL CORP DE 8.01,9.01 10/01/04 CATHAY GENERAL BANCORP DE 8.01,9.01 10/01/04 CDKNET COM INC FL 2.01,5.01,5.03,9.01 05/24/04 CENTENE CORP 1.01 09/28/04 CENTER BANCORP INC NJ 1.01,3.02,7.01,9.01 09/29/04 CHANNELL COMMERCIAL CORP DE 2.01,9.01 08/03/04 AMEND CHARTWELL INTERNATIONAL INC CO 4.01,9.01 08/18/04 AMEND CHECKPOINT SYSTEMS INC PA 8.01,9.01 09/30/04 CHESTERFIELD FINANCIAL CORP 7.01,9.01 09/30/04 CHL Mortgage Pass Through Trust 2004- DE 9.01 09/25/04 CHL Mortgage Pass Through Trust 2004- DE 9.01 09/25/04 CHL Mortgage Pass-Through Trust 2004- DE 9.01 09/25/04 CHL Mortgage Pass-Through Trust 2004- DE 9.01 09/25/04 CHL MORTGAGE PASS-THROUGH TRUST 2004- DE 9.01 09/25/04 CHL MORTGAGE PASS-THROUGH TRUST 2004- DE 9.01 09/25/04 CHL MORTGAGE PASS-THROUGH TRUST 2004- DE 9.01 09/25/04 CHL Mortgage Pass-Through Trust 2004- DE 9.01 09/25/04 CHYRON CORP NY 5.02 10/01/04 CITY HOLDING CO WV 5.02,8.01,9.01 09/30/04 COLLEGE PARTNERSHIP INC NV 4.01,9.01 08/18/04 AMEND COMMONWEALTH BIOTECHNOLOGIES INC VA 8.01,9.01 09/29/04 CONCEPTUS INC DE 8.01 10/01/04 CONSOLIDATED GRAPHICS INC /TX/ TX 8.01,9.01 09/28/04 COORS ADOLPH CO CO 8.01 09/29/04 CORE MOLDING TECHNOLOGIES INC DE 8.01,9.01 09/27/04 CORILLIAN CORP OR 5.02,9.01 09/28/04 COST U LESS INC WA 2.02,9.01 09/30/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 10/01/04 CSFB Home Equity Pass-Through Certifi DE 8.01,9.01 09/25/04 CSFB MORTGAGE-BACKED TRUST SERIES 200 DE 8.01,9.01 09/25/04 CWABS Asset Backed Certificates Trust DE 9.01 09/25/04 CWABS INC ASSET-BACKED CERTIFICATES DE 9.01 09/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 09/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 09/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 09/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 09/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 09/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 08/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 08/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 08/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 08/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 08/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 08/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 08/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 08/25/04 CWABS INC ASSET-BACKED CERTIFICATES S DE 9.01 09/25/04 CWABS INC ASSET-BACKED CERTIFICATES S DE 9.01 09/25/04 CWALT 2004-J3 9.01 09/25/04 CWALT INC 8.01,9.01 09/20/04 CWALT INC ALTERNATIVE LOAN TRUST 2004 9.01 08/25/04 CWALT INC ALTERNATIVE LOAN TRUST 2004 9.01 09/25/04 CWALT INC ALTERNATIVE LOAN TRUST 2004 9.01 09/25/04 CWALT INC ALTERNATIVE LOAN TRUST 2004 9.01 09/25/04 CWALT INC ALTERNATIVE LOAN TRUST 2004 9.01 09/25/04 CWALT INC MORTGAGE PASS THR CERTS SER 9.01 09/25/04 CWALT INC MORTGAGE PASS THR CERTS SER 9.01 09/25/04 CWALT INC MORTGAGE PASS THR CERTS SER DE 9.01 09/25/04 CWALT INC MORTGAGE PASS-THROUGH CERTI 9.01 09/25/04 CWMBS 2004-HYB2 DE 9.01 09/25/04 CWMBS CHL Mortgage Pass-Through Trust DE 9.01 09/25/04 CWMBS CHL Mortgage Pass-Through Trust DE 9.01 09/25/04 CWMBS INC CHL MORTGAGE PASS THROUGH T DE 9.01 09/25/04 CWMBS INC MORTGAGE PASS THROUGH TRUST DE 9.01 09/25/04 CWMBS Mortgage Pass-Through Trust 200 DE 9.01 09/25/04 CWMBS Mortgage Pass-Through Trust 200 DE 9.01 09/25/04 CWMBS Mortgage Pass-Through Trust 200 DE 9.01 09/25/04 CYPRESS SEMICONDUCTOR CORP /DE/ DE 2.02,9.01 09/28/04 DELTA PETROLEUM CORP/CO CO 5.02 09/29/04 Deutsche Mortgage Securities Inc. Mor 8.01,9.01 09/25/04 DEVON ENERGY CORP/DE DE 3.01,9.01 09/27/04 DEWEY ELECTRONICS CORP NY 2.02,8.01,9.01 10/01/04 DIAMOND OFFSHORE DRILLING INC DE 8.01,9.01 10/01/04 DIVIDEND CAPITAL TRUST INC MD 2.01,9.01 09/28/04 DOBI MEDICAL INTERNATIONAL INC NV 5.02 09/30/04 DONNKENNY INC DE 2.04,8.01 09/30/04 E CENTIVES INC DE 4.01 09/27/04 EACCELERATION CORP DE 1.01,9.01 09/27/04 ECHOSTAR COMMUNICATIONS CORP NV 1.01,2.03,8.01,9.01 10/01/04 EL PASO CORP/DE DE 2.02,9.01 10/01/04 EL PASO CORP/DE DE 2.02,9.01 10/01/04 ELECTRO SCIENTIFIC INDUSTRIES INC OR 1.01,9.01 09/27/04 EMERSON ELECTRIC CO MO 8.01,9.01 10/01/04 ENCORE MEDICAL CORP DE 7.01,9.01 09/29/04 ENGLOBAL CORP NV 1.02,9.01 09/28/04 ENRON CORP/OR/ OR 5.02 09/30/04 ENTEGRIS INC MN 2.02,9.01 09/30/04 ENTERGY CORP /DE/ DE 7.01,9.01 10/01/04 ENTERPRISE PRODUCTS PARTNERS L P DE 8.01,9.01 09/30/04 EOG RESOURCES INC DE 7.01 10/01/04 EP GLOBAL COMMUNICATIONS INC 7.01 10/01/04 EQUITY ONE ABS INC MORTGAGE PASS-THRO 8.01 09/27/04 EQUITY ONE MORTGAGE PASS-THROUGH TRUS 8.01 09/27/04 Equity One Mortgage Pass-Through Trus 8.01 09/27/04 ERESEARCHTECHNOLOGY INC /DE/ DE 2.02,9.01 10/01/04 ERF Wireless, Inc. NV 1.01,3.02,9.01 09/30/04 ESSENTIAL GROUP INC DE 1.01,1.02,9.01 09/27/04 EVANS BANCORP INC NY 1.01,2.03,9.01 10/01/04 EVEREST RE GROUP LTD C8 7.01,9.01 10/01/04 EVERGREENBANCORP INC WA 8.01,9.01 09/29/04 EXACT SCIENCES CORP DE 1.01,5.02,7.01,9.01 09/28/04 EXCELLIGENCE LEARNING CORP DE 7.01 10/01/04 EXCHANGE NATIONAL BANCSHARES INC MO 7.01,9.01 09/29/04 EXULT INC DE 1.01,3.01,5.01,5.02,9.01 10/01/04 FINOVA GROUP INC DE 8.01 10/01/04 FIRST HORIZON ABS NOTES SERIES 2004-H TN 9.01 09/25/04 First Horizon ABS Notes Series 2004-H DE 9.01 09/25/04 FIRST HORIZON ASSET SEC MORT PAS THR DE 9.01 09/25/04 FIRST HORIZON ASSET SEC MORT PAS THR DE 9.01 09/25/04 FIRST HORIZON ASSET SEC MORT PAS THR DE 9.01 09/25/04 First Horizon Asset Sec Mort Pas Thr DE 9.01 09/25/04 First Horizon Asset Sec Mort Pas Thr DE 9.01 09/25/04 FIRST HORIZON ASSET SEC MORT PAS THR DE 9.01 09/25/04 FIRST HORIZON ASSET SEC MORT PAS THR DE 9.01 09/25/04 FIRST HORIZON ASSET SEC MORT PAS THR DE 9.01 09/25/04 First Horizon Asset Sec Mort Pas Thr DE 9.01 09/25/04 First Horizon Asset Sec Mort Pas Thr DE 9.01 09/25/04 First Horizon Asset Sec Mort Pas Thr DE 9.01 09/25/04 First Horizon Asset Sec Mort Pas Thr DE 9.01 09/25/04 First Horizon Asset Sec Mort Pas Thr DE 9.01 09/25/04 First Horizon Asset Sec Mort Pas Thr DE 9.01 09/25/04 First Horizon Asset Sec Mort Pas Thr DE 9.01 09/25/04 First Horizon Asset Sec Mort Pas Thr DE 9.01 09/25/04 First Horizon Asset Sec Mort Pas Thr DE 9.01 09/25/04 FIRST HORIZON ASSET SECURITIES INC MO NY 9.01 09/25/04 FIRST HORIZON ASSET SECURITIES INC MO DE 9.01 09/25/04 FIRST HORIZON ASSET SECURITIES MORTGA DE 9.01 09/25/04 First National Power Corp. DE 5.02 09/29/04 FIRST UNION COMMERCIAL MORTGAGE SECUR NC 8.01,9.01 09/18/04 FIRST VIRTUAL COMMUNICATIONS INC DE 1.01 09/29/04 FOOTSTAR INC DE 8.01,9.01 10/01/04 FORD MOTOR CO DE 8.01,9.01 10/01/04 FORD MOTOR CREDIT CO DE 8.01,9.01 10/01/04 FOSTER WHEELER LTD D0 5.02,9.01 10/01/04 FOSTER WHEELER LTD D0 1.01,9.01 09/24/04 FRESH CHOICE INC DE 8.01 09/30/04 FRESH CHOICE INC DE 8.01 09/30/04 FRISCHS RESTAURANTS INC OH 1.01,9.01 10/01/04 FULLER H B CO MN 5.02,9.01 09/29/04 GALTECH SEMICONDUCTOR MATERIALS CO UT 8.01 09/16/04 GENERAL MOTORS CORP DE 8.01 10/01/04 GERBER SCIENTIFIC INC CT 5.02 10/01/04 GLADSTONE CAPITAL CORP MD 1.01,8.01,9.01 09/28/04 GLADSTONE CAPITAL CORP MD 1.01,8.01,9.01 09/27/04 GLOBAL ASSETS & SERVICES INC FL 1.01,3.02,5.02 09/29/04 GREAT LAKES CHEMICAL CORP DE 1.01,9.01 09/30/04 GREENWICH CAPITAL ACCEPTANCE INC DE 8.01 09/30/04 GS Mortgage GSAMP Trust 2004-SEA2 DE 8.01,9.01 09/27/04 GS MORTGAGE SECURITIES CORP GSAMP TRU DE 8.01,9.01 09/27/04 GSAMP TRUST 2004-SD1 DE 8.01,9.01 09/27/04 GSV INC DE 1.01 09/28/04 GULFTERRA ENERGY PARTNERS L P DE 5.01,9.01 09/30/04 HAUPPAUGE DIGITAL INC DE 5.02 09/27/04 HCC INSURANCE HOLDINGS INC/DE/ DE 8.01,9.01 09/30/04 HEARTLAND FINANCIAL USA INC DE 8.01,9.01 09/29/04 HEARTLAND FINANCIAL USA INC DE 8.01,9.01 10/01/04 HERITAGE PROPERTY INVESTMENT TRUST IN MD 8.01,9.01 09/15/04 AMEND HESKA CORP DE 1.01 10/01/04 HEWITT ASSOCIATES INC DE 1.01,2.01,2.03,5.02,9.01 10/01/04 HOLLYWOOD CASINO SHREVEPORT LA 1.01,9.01 09/28/04 HOLLYWOOD ENTERTAINMENT CORP OR 2.02,8.01 10/01/04 HOLLYWOOD MEDIA CORP FL 1.01,3.02 09/28/04 Home Equity Loan Asset-Backed Notes, DE 8.01,9.01 09/27/04 HORACE MANN EDUCATORS CORP /DE/ DE 7.01,9.01 09/30/04 HUTTIG BUILDING PRODUCTS INC DE 5.02,8.01,9.01 09/28/04 IBERIABANK CORP LA 1.01,7.01,9.01 09/29/04 IDEX CORP /DE/ DE 8.01 09/29/04 IMC GLOBAL INC DE 8.01,9.01 10/01/04 IMPAC CMB TRUST SERIES 2004-2 DE 8.01,9.01 09/25/04 IMPAC SECURED ASSETS CORP MORTGAGE PA CA 2.01,8.01,9.01 08/31/04 INLAND REAL ESTATE CORP MD 5.03 10/01/04 INN OF THE MOUNTAIN GODS RESORTS & CA 4.01,9.01 10/01/04 Integrated Healthcare Holdings NV 7.01,9.01 09/30/04 INTELLIGROUP INC NJ 9.01 10/01/04 INTERNATIONAL FLAVORS & FRAGRANCES IN NY 5.02,9.01 10/01/04 INTERNATIONAL SMART SOURCING INC DE 8.01 09/29/04 INTERWAVE COMMUNICATIONS INTERNATIONA 8.01,9.01 09/30/04 Irwin Home Equity Loan Trust 2004-1 DE 8.01,9.01 09/24/04 IRWIN WHOLE LOAN HOME EQUITY TRUST 20 DE 8.01,9.01 09/27/04 ITRON INC /WA/ WA 2.03,9.01 10/01/04 IVILLAGE INC DE 5.02,9.01 09/28/04 J JILL GROUP INC DE 1.01,2.02,9.01 09/30/04 J P MORGAN CHASE & CO DE 7.01,9.01 10/01/04 J.P. Morgan Mortgage Trust 2004-A2 DE 8.01,9.01 09/25/04 JONES LANG LASALLE INC MD 1.01,2.05 09/27/04 JOY GLOBAL INC DE 1.01 08/24/04 JP MORGAN MORTGAGE TRUST 2004-A1 MORT DE 8.01,9.01 09/25/04 K SWISS INC DE 5.02,5.03,9.01 09/27/04 KANSAS CITY SOUTHERN DE 5.02,8.01 09/28/04 KMART HOLDING CORP DE 5.02 09/29/04 KRUPP INSURED PLUS III LIMITED PARTNE MA 8.01 09/29/04 KYPHON INC DE 5.02,9.01 09/30/04 LABOR READY INC WA 7.01 09/13/04 LEXINGTON RESOURCES INC NV 5.03,9.01 10/01/04 LOGILITY INC GA 1.01,2.01,9.01 09/30/04 LOYALTYPOINT INC DE 5.02,5.03,9.01 09/27/04 MAGELLAN MIDSTREAM PARTNERS LP DE 1.01,2.01,2.03 10/01/04 MAI SYSTEMS CORP DE 3.02,5.01,5.03,9.01 10/01/04 MAIN STREET BANKS INC /NEW/ GA 8.01,9.01 10/01/04 MANOR CARE INC DE 5.02 10/01/04 MAPINFO CORP DE 1.01,2.03 09/29/04 MASTR ASSET SECURITIZATION TRUST 2003 DE 8.01,9.01 09/25/04 MASTR ASSET SECURITIZATION TRUST 2004 DE 8.01,9.01 09/25/04 MASTR ASSET SECURITIZATION TRUST 2004 DE 8.01,9.01 09/25/04 MCG CAPITAL CORP DE 2.03,9.01 09/30/04 MERCK & CO INC NJ 8.01,9.01 09/30/04 MERCK & CO INC NJ 5.03,9.01 09/28/04 MERRILL LYNCH MORT INV FIELDSTONE MO DE 8.01,9.01 09/25/04 MERRILL LYNCH MORT INV INC MORT LN AS DE 8.01,9.01 09/27/04 MERRILL LYNCH MORTGAGE ASSET BACK CER DE 8.01,9.01 09/27/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01 09/27/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 09/29/04 METALDYNE CORP DE 1.01,7.01,9.01 09/30/04 METROPOLITAN HEALTH NETWORKS INC FL 8.01,9.01 10/01/04 MGE ENERGY INC WI 1.01 10/01/04 MGI PHARMA INC MN 2.01,9.01 09/28/04 MGI PHARMA INC MN 7.01,9.01 09/27/04 MICREL INC CA 8.01 10/01/04 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 10/01/04 MIDAMERICAN FUNDING LLC IA 8.01,9.01 10/01/04 MOBIUS MANAGEMENT SYSTEMS INC DE 2.02,9.01 10/01/04 MODTECH HOLDINGS INC CA 1.01,5.02 09/28/04 MOLIRIS CORP FL 5.02 09/23/04 MONDAVI ROBERT CORP CA 8.01,9.01 09/30/04 MONTPELIER RE HOLDINGS LTD D0 8.01,9.01 09/30/04 Morgan Stanley ABS Capital I Inc CDC DE 8.01,9.01 09/27/04 MORTGAGE ASSET SEC TRANS INC MASTR AS DE 8.01,9.01 09/25/04 MORTGAGE ASSET SEC TRANS INC MASTR AS DE 8.01,9.01 09/25/04 MORTGAGE ASSET SEC TRANS INC MORT PAS DE 8.01,9.01 09/25/04 MORTGAGE ASSET SEC TRANS INCMASTR ASS DE 8.01,9.01 09/25/04 MORTGAGE ASSET SEC TRANS MORT PASS TH DE 8.01,9.01 09/25/04 MORTGAGE ASSET SECURITIZATION TRANSAC DE 8.01,9.01 10/01/04 MORTGAGE ASSET SECURITIZATION TRANSAC DE 8.01,9.01 10/01/04 MORTGAGE ASSET SECZT TRANS INC MORT P DE 8.01,9.01 09/25/04 Mortgage Pass-Through Certificates, S 9.01 09/25/04 Mortgage Pass-Through Certificates, S 9.01 08/25/04 Mortgage Pass-Through Certificates, S 9.01 09/25/04 MortgageIT Holdings, Inc. MD 8.01,9.01 09/30/04 MortgageIT Holdings, Inc. MD 1.01,9.01 10/01/04 MPW INDUSTRIAL SERVICES GROUP INC OH 4.01 09/30/04 MYOGEN INC DE 1.01,9.01 04/15/04 N-VIRO INTERNATIONAL CORP DE 1.01,9.01 09/27/04 Naugatuck Valley Financial Corp X1 8.01,9.01 09/29/04 NCR CORP MD 8.01,9.01 10/01/04 NETFLIX INC DE 5.02 09/29/04 NETWOLVES CORP NY 7.01,9.01 09/29/04 NEW CENTURY FINANCIAL CORP MD 1.01,2.01,5.03,8.01,9.01 09/30/04 NEW CENTURY TRS HOLDINGS INC DE 1.01,2.01,3.01,5.01,5.02,5.03 09/30/04 NEW COMMERCE BANCORP SC 2.06,5.02 09/29/04 NEW YORK COMMUNITY BANCORP INC DE 7.01 10/01/04 NEWMONT MINING CORP /DE/ DE 1.01 09/27/04 NEXSTAR BROADCASTING GROUP INC DE 1.01,9.01 09/29/04 NIC INC CO 7.01,9.01 10/01/04 NOBLE CORP 7.01,9.01 10/01/04 NORCROSS SAFETY PRODUCTS LLC DE 1.01,1.02,5.02,9.01 09/30/04 NORFOLK SOUTHERN CORP VA 5.02,8.01 09/17/04 NORTH FORK BANCORPORATION INC DE 2.01,5.02,9.01 10/01/04 NORTHWEST AIRLINES CORP DE 5.02,9.01 10/01/04 NOTIFY TECHNOLOGY CORP CA 1.01,5.02,9.01 10/01/04 NUCO2 INC /FL FL 1.01,2.01,2.03,9.01 10/01/04 ON THE GO HEALTHCARE INC DE 7.01 10/01/04 OPSWARE INC DE 8.01 10/01/04 OptimumBank Holdings, Inc. FL 7.01,9.01 10/01/04 OSHKOSH TRUCK CORP WI 2.03,9.01 09/29/04 PACIFIC SUNWEAR OF CALIFORNIA INC CA 5.02 10/01/04 PARALLEL PETROLEUM CORP DE 2.03,9.01 09/27/04 PARALLEL PETROLEUM CORP DE 2.01,9.01 09/27/04 PARK OHIO HOLDINGS CORP OH 1.01,9.01 09/30/04 PARTY CITY CORP DE 8.01 09/27/04 PDS GAMING CORP MN 8.01,9.01 10/01/04 PEAK ENTERTAINMENT HOLDINGS INC NV 3.02,9.01 09/30/04 PENNSYLVANIA COMMERCE BANCORP INC 1.01,3.02,9.01 09/29/04 PERVASIVE SOFTWARE INC DE 2.02,9.01 10/01/04 PHOSPHATE RESOURCE PARTNERS LIMITED P DE 8.01,9.01 10/01/04 PIER 1 IMPORTS INC/DE DE 5.02 09/27/04 PILGRIMS PRIDE CORP DE 5.02 09/29/04 PINNACLE SYSTEMS INC CA 1.01,9.01 10/01/04 PIONEER NATURAL RESOURCES CO DE 1.01,2.01,2.03,5.02,9.01 09/28/04 PLM EQUIPMENT GROWTH & INCOME FUND VI CA 4.01,9.01 09/27/04 PLM EQUIPMENT GROWTH FUND V CA 4.01,9.01 09/27/04 PLM EQUIPMENT GROWTH FUND VI CA 4.01,9.01 09/27/04 PMC COMMERCIAL TRUST /TX TX 1.01,9.01 09/27/04 POLYMEDICA CORP MA 1.01,1.02,5.02,8.01,9.01 09/27/04 PORTEC RAIL PRODUCTS INC WV 8.01,9.01 10/01/04 PORTLAND GENERAL ELECTRIC CO /OR/ OR 5.02 10/01/04 PRESIDENTIAL REALTY CORP/DE/ DE 1.01,2.01,9.01 09/24/04 PRIMEDEX HEALTH SYSTEMS INC NY 7.01,9.01 09/30/04 PROFESSIONAL LEASE MANAGEMENT INCOME DE 4.01,9.01 09/27/04 PTEK HOLDINGS INC GA 1.01,9.01 09/30/04 PW EAGLE INC MN 2.01,9.01 09/27/04 QUANTA SERVICES INC DE 1.01,9.01 09/30/04 RADIOSHACK CORP DE 8.01 10/01/04 RAIT INVESTMENT TRUST MD 1.01,5.03,9.01 09/29/04 RAYMOND JAMES FINANCIAL INC FL 8.01 09/30/04 REDBACK NETWORKS INC DE 2.02,7.01,9.01 10/01/04 RESIDENTIAL ASSET SECURITIZATION TRUS 8.01 09/27/04 RESIDENTIAL ASSET SECURITIZATION TRUS 8.01 09/27/04 AMEND RESIDENTIAL ASSET SECURITIZATION TRUS 8.01 09/27/04 AMEND RESIDENTIAL ASSET SECURITIZATION TRUS 8.01 09/27/04 AMEND RETAIL HIGHWAY COM INC NV 1.01,3.02,5.01,5.02,9.01 09/30/04 ROBOTIC VISION SYSTEMS INC DE 8.01,9.01 09/27/04 SAKS INC TN 2.05,2.06,9.01 10/01/04 SalesTactix, Inc. 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