sec news digest, october 26, 2001communications and the maxwell school of citizenship at syracuse...

SEC NEWS DIGESTIssue 2001-207 October 26 2001

COMMISSION ANNOUNCEMENTS

SEC APPROVES PROPOSAL TO ESTABLISH THE ARCHIPELAGO EXCHANGE AS

THE EQUITIES TRADING FACILITY OF THE PACIFIC EXCHANGE INC

The PCXs Archipelago Exchange Becomes the First Fully Electronic National Securities

Exchange for Trading Equity Securities since 1976

On October 25 the Securities and Exchange Commission approved the proposal of the

Pacific Exchange Inc PCX to establish the Archipelago Exchange ArcaEx as its new

electronic communications and trading facilityThe all-electronic ArcaEx facility will

operate in place of the trading floor of the PCXs subsidiary PCX Equities Inc with

ArcaEx market makers replacing the traditional floor specialists The ArcaEx facility is

the first fully electronic national securities exchange for the trading of equity securities

since the Cincinnati Stock Exchange developed its trading system in 1976

ArcaEx will feature three trading sessions each day an early trading session core

trading session and late trading session Members and other users of ArcaEx will

submit orders to an electronic file of orders known as the Arca Book where all trades

will be executed at prices equal to or better than the national best bid or offer

The Archipelago Exchange LLC wholly owned subsidiary of Archipelago Holdings

LLC owns and operates ArcaEx The PCX currently has 10% ownership interest in

Archipelago Holdings As self-regulatory organization under the Exchange Act the

PCX is fully responsible for the trading that will take place through ArcaEx and is

obligated to conduct all necessary surveillance and to maintain an audit trail of trading

through ArcaEx In addition the PCX board must approve all rule changes relating to

ArcaEx Finally the PCX and its ArcaEx facility are also subject to the Commissions

oversight and examination Press Rd 200 1-122

FINAL RULE AMENDMENTS TO BOOKS AND RECORDS REQUIREMENTS FOR

BROKERS AND DEALERS UNDER THE SECURITIES EXCHANGE ACTOF 1934

On October 25 the Commission adopted final rule amendments to the broker-dealer

books and records rules Rule 7a-3 and Rule 7a-4 under the Securities Exchange Act

of 1934 The amendments clarify and expand recordkeeping requirements including those

for purchase and sale documents customer records associated person records customer

complaints communications with the public and supervisory procedures In addition the

amendments require broker-dealers to maintain or promptly produce certain records at each

office to which those records relate These amendments are specifically designed to assist

securities regulators when conducting sales practice examinations of broker-dealers

particularlyexaminations of local offices

The amended rules contain the following general provisions among others

broker-dealer must create record containing certain minimum information as to

each customer and furnish that information to the customer on periodic basis

broker-dealer does not have this requirement for an account for which the firm is not

required under any federal or SRO rules to make suitability determination

broker-dealer must create and maintain certain records for each office of the

broker-dealer and these records must either be maintained at that office or delivered

to that office promptly upon request

broker-dealer must include additional information on each order ticket including

the identity of the associated person if any responsible for the account and any other

person who entered or accepted the order on behalf of the customer

The final rules will become effective 18 months after the date of publication in the

Federal Register Press Rel.2001-123

SEC CHAIRMAN HARVEY PITT ANNOUNCES THE SELECTION OF MICHAEL

ROBINSON AS DIRECTOR OF PUBLIC AFFAIRS

Securities and Exchange Commission Chairman Harvey Pitt today announced the

selection of Michael Robinson as Director of the Office of Public Affairs Policy

Evaluation and Research Mr Robinson 37 will serve as the SEC principal

spokesperson and raise public awareness of the Commission mission and actions

Prior to joining the Commission Mr Robinson was Vice President of Corporate

Communications at the Arlington Va.- based investment firm of Friedman Billings

Ramsey Previously he was spokesman for Mobil Corporation and the National

Association of Securities Dealers Mr Robinson also served at the Department of Justice

and the White House from 1989-199

Chairman Pitt said We are delighted that Michael has joined the SEC His experience

in the securities industry coupled with his ability to understand complicated issues and

create clear explanations will be tremendous asset to us

Mr Robinson received his B.A degree from the S.I Newhouse School of Public

Communications and the Maxwell School of Citizenship at Syracuse University Press

Rel 2001-124

NEWS DIGEST October 26 2001

SEC SEEKS TO IMPROVE PUBLIC ACCESS TO FREE REAL-TIME CORPORATE

FILINGS

The SEC is considering whether to add hyperlinks from its website to sites that provide

freereal-time access to annual and quarterly reports and other companydocuments- filed-

on EDGAR the Electronic Data Gathering Analysis and Retrieval system EDGAR

enhances the efficiency and fairness of the securities markets for the benefit of investors

publicly traded companies and the capital markets

Since 1995 the SEC has posted EDGAR filings on its website The SEC website

provides access to these filings at least 24 hours after receipt This delay was designed

into the SECs website in response to Congressional objectives that we balance the

competing public policy interests of promoting private-sector competition in the

dissemination of EDGAR filings and of providing free public access to EDGAR

filings

Some private websites offer free real-time access to EDGAR filings To facilitate public

access the SEC is considering whether to provide hyperlinks to these sites from the

Commissions website

In conjunction with our internal review we are seeking public comment on providing

hyperlinks from the Commissions website We are also interested in receiving

preliminary indications of interest Please submit your comments and indications of

interest to Jonathan Katz Secretary U.S Securities and Exchange Commission 450

Fifth Street NW Washington DC 20549-0609 You also may submit your comments

and indications of interest electronically at the following e-mail address EDGARcommentssec.gov

ENFORCEMENT PROCEEDINGS

COMMISSION CENSURES AND SUSPENDS DALE FREY FORMER CHIEF

EXECUTIVE OFFICER OF D.E FREY CO

The Commission announced today that it had entered an order finding that Dale Frey

failed reasonably to supervise three registered representatives who were subject to Freys

supervision Frey the former chief executive officer of D.E Frey Co was censured

suspended from association with any broker or dealer for period of three months and

suspended from association with any broker or dealer in any supervisory or proprietary

capacity for 12 months thereafter

See National Securities Markets Improvement Act of 1996 P.L 104-290 107 1996NEWS DIGEST October 26 2001

According to the order between 1995 and 1999 three registered representatives at D.E

Frey each of whom had disciplinary history or history of customer complaints engaged

in one or more sales practice abuses including unsuitable trading unauthorized trading or

churning in customer accounts Dale Frey failed reasonably to supervise those registered

representatives to prevent or detect violations of thesecurities laws by them He failed to

develop procedures at D.E Frey for imposing heightened supervision where appropriate

and failed to develop system and commit adequate resources for implementing the

supervisory procedures the firm did have in place

The order concluded that Frey failed reasonably to supervise within the meaning of

Section 15b of the Securities Exchange Act of 1934 individuals subject to his

supervision with view to preventing and detecting violations of the federal securities

laws Frey was censured suspended from association with any broker or dealer for three-

months and suspended from association in supervisory or proprietary capacity with any

broker or dealer for 12 months but was not assessed civil penalty because of his

demonstrated inability to pay Frey consented to entry of the order and the suspensions

from association without admitting or denying the Commissions findings Re 34-

44982 File No 3-10310

TEMPORARY RESTRAINING ORDER ASSET FREEZE AND APPOINTMENT OFRECEIVER ORDERED AGAINST ROBERT BENTLEY ENTRUST GROUP ANDBENTLEY FINANCIAL SERVICES INC

On October 24 United States District Court Judge Jay Waldman issued temporary

restraining order against Robert Bentley Bentley Financial Services Inc and Entrust

Group prohibiting violations of the antifraud and broker-dealer registrations provisions

set forth in Section 17a of the Securities Act of 1933 and Sections 10b and 15a of

the Securities Exchange Act of 1934 and Rule lOb-S thereunder The order also freezes

the defendants assets and appoints David Marion of the Philadelphia law firm

Montgomery McCracken Walker Rhoads LLP as receiver to take control of their

assets The defendants consented to the entry of the order without admitting or denying

the Commissions allegations in the action The Commissions motion for preliminary

injunction against the defendants is pending

The Commissions complaint alleged that the defendants claimed to be selling bank-

issued federally insured certificates of deposit CD5 but that the defendants were in

fact selling uninsured securities Although the defendants were using at least some

investor funds to buy CDs the terms of the CDs often varied substantially from those of

the securities defendants were selling The Commission also alleged that in many cases

investors had to rely on the defendants ability to attract new investors in order for

previous investors to receive repayment of their principal Accordingly investors were

not buying the low-risk federally-insured CDs that they were promised Rather they

were buying higher risk securities issued by defendants whose business was uninsured

unaudited and unregulated When the Commission filed the action hundreds of financial

institutions and individual investors located nationwide had over $300 million invested


with the defendants Robert Bentley Entrust Group and Bentley Financial

Services Inc Civ Action No 53-66 USDC EDPA LR-17206

SEC FILES CIVIL FRAUD CHARGES IN UNREGISTERED INTERNET OFFERING

OF PRE-IPO STOCK VOUCHERS

The Commission today filed civil fraud charges in federal district court in Dallas Texas

against Steven Goldsborough and William Goldsborough individually and d/b/a The

Liquibuyers Group Defendants claiming that the Defendants violated the antifraud and

registration provisions of the Securities Act of 1933 and the Securities Exchange Act of

1934 According to the Commissions complaint the Defendants operated an Internet

website soliciting investors to purchase vouchers redeemable for The Liquibuyers

Group Liquibuyers stock upon purportedly upcoming initial public offering

The Commission alleges that the Defendants defrauded over 30 investors throughout the

United States raising approximately $750 in the offering of pre-IPO stock vouchers

The Commission alleges that the Defendants made numerous misrepresentations and

omissions of material facts in connection with the offering including that the

Commission had approved the offering that Liquibuyers would conduct an IPO in

January 2001 and that Liquibuyers stock would be valued at $17.50 to $35 per share at

the time of its IPO According to the complaint however the Commission never

approved the offering and Liquibuyers never undertook any meaningful steps to conduct

an IPO Moreover Liquibuyers never established offices never acquired any inventory

and never offered any products or services via an Internet website or otherwise The

Commission further claims that the Defendants misappropriated all of the fees generated

in the offering

In its complaint the Commission alleged that the Defendants violated the following

provisions of the federal securities laws the antifraud provisions at Section 17a of

the Securities Act of 1933 Securities Act Section 10b of the Securities Exchange Act

of 1934 and Rule lOb-S thereunder and the registration provisions at Sections 5aand 5c of the Securities Act The complaint sought permanent injunction against the

Defendants from future violations of the foregoing provisions of the federal securities

laws The Defendants have agreed to all relief sought by the Commission in its

complaint Steven Goldsborough and William Goldsborough individually and

doing business as The Liquibuyers Group Case No 301-CV-2134-G USDC Northern

District of Texas Dallas Division LR-17207

SEC SUES SAN FRANCISCO STOCKBROKER FOR DEFRAUDING CLIENTS OUT

OF $6 MILLION

The Commission announced today that it has sued San Francisco stockbroker Daniel

Patrick OConnell 37 for misappropriating $6 million in client funds The Commission

alleges OConnell fraudulently transferred the money from his clients accounts into his

own trading account in the hopes of generating quick personal profit but instead lost

nearly all the money in four-week spree of securities speculation


In complaint filed in the United States District Court for the Northern District of

California the Commission alleges that OConnell working alone in the San Francisco

branch of New York brokerage firm acted as the broker for wealthy Silicon Valley

family In March 2001 OConnell informed his clients that he was using $2 million from

their accounts to purchase low-risk bonds on their behalf Instead OConnell transferred

the $2 million to an account he had opened in the name of fictitious company

OConnell invested the funds in the stock market hoping to generate quick personal

profit but lost most of the money Over the following weeks OConnell misappropriated

an additional $4 million from his clients accounts again losing much of the money in

highly speculative trading By the time OConnells theft was detected in mid-April

OConnell had lost approximately $4.3 million in client funds

OConnell without admitting or denying the allegations has agreed to settlement

permanently barring him from the brokerage industry and enjoining him from future

violations of Section 10b of the Securities Exchange Act of 1934 and Rule lOb-5

thereunder

In separate matter the Office of the United States Attorney for the Northern District of

California has announced the filing of criminal charges against OConnell for his

misconduct The Commission has declined to seek disgorgement or civil penalties in its

settlement with OConnell based on an anticipated restitution order in the criminal

proceeding and OConnells demonstrated inability to pay Daniel Patrick

OConnell USDC NDCA Civil Action No C-01-3980 LR-17209

RECEIVERAPPOINTED IN PRIME BANK CASE

The Commission announced that on October 19 the Honorable Judge David Hamilton

of the United States District Court for the Southern District of Indiana appointed James

Knauer partner at the law firm of Kroger Gardis Regas LLP in Indianapolis

Indiana as the receiver in the matter of SEC James Harrold et

On September 2001 the Commission filed complaint alleging that James Harrold

Harrold and the Entity Defendants were violating the registration and antifraud

provisions of the federal securities laws by operating prime-bank scheme On the same

day Judge Hamilton entered Temporary Restraining Order freezing three accounts

controlled by Harrold On September 10 2001 Judge Hamilton entered Temporary

Restraining Order freezing all of Harrold and the Entity Defendants assets On

September 14 2001 Harrold and the Entity Defendants consented to the entry of an

Order of Permanent Injunction which continued the asset freeze and permanently

enjoined Harrold and the Entity Defendants from further violations of the registration and

antifraud provisions of the federal securities laws Harrold and the Entity Defendants

consented to the entry of the Order of Permanent Injunction without admitting or

denying the allegations of the complaint


Under the Courts Receiver Order Mr Knauer is empowered to take possession of all of

Harrold and the Entity Defendants assets and to search for any hidden or undisclosed

assets Mr Knauer is required to file an inventory and appraisal of all property and assets

of Harrold and the Entity Defendants within thirty 30 days or such longer time as the

Court may approve of his appointment

Investors or other interested parties should direct any questions to Mr Knauer at Kroger

Gardis Regas LLP 111 Monument Circle Suite 900 Indianapolis Indiana 46204-

5125 telephone 317 692-9000 fax 317 264-6832 The firms website is

http//www.kgrlaw.com James Harrold Franklin Management and

Consulting LLC Accipter LLC Franklin Asset Management and Consulting LLC

Franklin Management and Consulting Inc and Concord Development Group LLCU.S District Court for the Southern District of Indiana Cause No IP 01-1318-C H/K

S.D Indiana 2001 LR-17208

SELF-REGULATORY ORGANIZATIONS

PROPOSED RULE CHANGE

proposed rule change SRAmex-2001-19 and Amendment No and were filed

by the American Stock Exchange relating to Performance Evaluation and Allocation

Procedures Publication of the proposal is expected in the Federal Register during the

week of October 29 Re 34-44972

APPROVAL OF PROPOSED RULE CHANGES

The Commission approved proposed rule change SR-Amex-2001-67 by the American

Stock Exchange to codify certain audit trail and trade comparison requirements and to

make other technical amendments to the Exchanges audit trail rules Rd 34-44974

The Commission approved proposed rule change SR-NYSE-2001-17 by the New

York Stock Exchange amending the Exchanges allocation policy and procedures Re34-44975

DELISTINGS GRANTED

An order has been issued granting the application of the New York Stock Exchange to

strike from listing and registration the 1/5% Convertible Subordinate Debentures due

May 15 2011 of National Education Corporation effective at the opening of business on

October 26 2001 Re 34-44984


An order has been issued granting the application of the New York Stock Exchange to

strike from listing and registration the 1/8% Senior Notes due May 2011 of

DONCASTERS plc effective at the opening of business on October 26 2001 Re 34-

44985

An order has been issued granting the application of the American Stock Exchange to

strike from listing and registration the Common Stock $0.01 par value 6% Convertible

Subordinated Notes due 11/1/2001 and 5.625% Convertible Subordinated Notes due

5/1/2003 of Assisted Living Concepts Inc effective at the opening of business on

October 26 2001 Re 34-44986

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 ifavailable 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 designation if the statement

is New Issue

Registration statements may be obtained in person or by writing to the Commissions Public

Reference Branch at 450 Fifth Street N.W Washington D.C 20549 or at the following

mail box address publicinfosec.gov In most cases this information is also available

on the Commissions website www.sec.gov

F9 CANADIAN PACIFIC RAILWAY LTD/CAN PLACE DU CANADA STE 800P0 BOX 6042 STATION MONTREAL QUEBEC CANADA H3C 3E4 A8 514 395-

5151

1000000000 $1000000000 STRAIGHT BONDS FILE 33314014

OCT 17 BR

S8 HANSON PLC GROSVENOR PLACE LONDON WS1X 7JH ENGL X0 071 245-

1245

141535 $999944.77 FOREIGN COMMON STOCK FILE 33314022 OCT

18BR

58 HANSON PLC GROSVENOR PLACE LONDON WS1X 7JH ENGL X0 071 245-

1245

141535 $999944.77 FOREIGN COMMON STOCK FILE 33314024 OCT

18BR

S-3 CREDIT SUISSE FIRST BOSTON USA INC ELEVEN MADISON AyE NEW YORK NY

10010 212 8923000 10500000000 $500000000 STRAIGHT BONDS

FILE 33371850 OCT 19 BR


S8 MYERS INDUSTRIES INC 1293 MAIN ST AKRON OH 44301 216 2535592

72600 $873015 COMMON STOCK FILE 33371852 OCT 19 BR

S8 NOVA COMMUNICATIONS LTD 6033 WEST CENTURY BLVD SUITE 280 LOS

CA 90045 310 6420200 125000 $11250 COMMON STOCK FILE 33371854

OCT 19 BR

SB ENGELHARD CORP 101 WOOD AVENUE ISELIN NJ 08830 908 205-5000


S8 ENDOCARDIAL SOLUTIONS INC 1350 ENERGY LANE STE 110 ST PAUL MN

55108

612 6447890 1050000 $6630750 COMMON STOCK FILE 33371858

OCT 19 BR

S8 TOO INC 3885 MORSE ROAD COLUMBUS OH 43219 614 4793810

1400000$34461000 COMMON STOCK FILE 33371860 OCT 19 BR

S8 TOO INC 3885 MORSE ROAD COLUMBUS OH 43219 614 4793810

200 000

$4923000 COMMON STOCK FILE 33371862 OCT 19 BR

S-8 CORONADO INDUSTRIES INC 16929 EAST ENTERPRISE DRIVE SUITE 202FOUNTAIN HILLS AZ 85268 602 8376810 800000 $320000 COMMON

STOCK

FILE 33371864 OCT 19 BR

SB TRANSGENOMIC INC 12325 EMMET ST OMAHA NE 68164 402 7385480


SB VALCOM INC /CA/ 26030 AVENUE HALL STUDIO VALENCIA CA 91355


OCT 19 BR

S8 EQUINIX INC 901 MARSHALL ST REDWOOD CITY CA 94063 650 2980400


S8 ASPEN TECHNOLOGY INC /DE/ TEN CANAL PARK CAMBRIDGE MA 02141


OCT 19 BR

SB ASPEN TECHNOLOGY INC IDE TEN CANAL PARK CAMBRIDGE MA 02141


OCT 19 BR


S-3 MORGAN CHASE CO 270 PARK AVE1 39TH FL NEW YORK NY 10017

212 2706000 20000000000 STRAIGHT BONDS FILE 33371876 OCT

19BR

S8 APPLIED MICRO CIRCUITS CORP 6290 SEQUENCE DR- SAN DIEGO- CA 92121


OCT 19 BR

51 MMCA AUTO OWNER TRUST 2001-4 P0 BOX 6038 CYPRESS CA 90630

714 2368157 1000000 $1000000 EQUIPMENT TRUST CERTIFICATES

FILE 33371884 OCT 19 NEW ISSUE

S-3 FEDERAL SIGNAL CORP IDE 1415 22ND ST STE 1100 OAK BROOK IL

60523


OCT 19 BR

S8 LIGHTBRIDGE INC 67 BEDFORD ST BURLINGTON MA 01803 617 359-

4000


S-8 RADIANT SYSTEMS INC 3925 BROOKSIDE PARKWAY STE ALPHARETTA GA

30202


OCT 19 BR

S-4 SOVEREIGN BANCORP INC 2000 MARKET ST PHILADELPHIA PA 19103


OCT 19 BR

S-3 LABORATORY CORP OF AMERICA HOLDINGS 358 MAIN ST BURLINGTON NC

27215

336 2291127 744000000 $544518720 STRAIGHT BONDS FILE33371896 OCT 19 BR

S-8 LSI LOGIC CORP 1551 MCCARTHY BLVD1 MS 106 MILPITAS CA 95035


OCT 19 BR

S-8 EMMIS COMMUNICATIONS CORP ONE EMMIS PLAZA

40 MONUMENT CIRCLE SUITE 700 INDIANAPOLIS IN 46204 317 2660100


S3 CONTINENTAL AIRLINES INC IDE 1600 SMITH STREET 3303D DEPT HQSEO

HOUSTON TX 77002 713 3245000 500000000 $500000000STRAIGHT BONDS FILE 333-71906 OCT 19 BR

S8 TEC TECHNOLOGIES INC 37 IRONICA ROAD FLANDERS NJ 07836


OCT 19 BR

10 NEWS DIGEST October 26 2001

S8 SOUTH ALABAMA BANCORPORATION INC 100 ST JOSEPH ST BOX 3067

MOBILE AL 36602 251 4317800 250000 $2530000 COMMON STOCK

FILE 33371910 OCT 19 BR

S8 RED HAT INC 2600 MERIDIAN PARKWAY DURHAM NC 27713 i919 5470012


S3 COPART INC 5500 SECOND ST BENICIA CA 94510 707 7485000


S-8 GLOBAL INDUSTRIAL SERVICES INC 200-1311 HOWE ST VANCOUVER BC

CANADAV6Z 509 8918373 1108334 $166250.10 COMMON STOCK FILE33371920 OCT 19 BR

S-i VANGUARD HEALTH SYSTEMS INC 20 BURTON HILLS BLVD1 615-665-6000

NASHVILLE TN 37215 615 6656000 300000000 $300000000STRAIGHT BONDS FILE 333-71934 OCT 19

S8 INHALE THERAPEUTIC SYSTEMS INC 150 INDUSTRIAL RD SAN CARLOS CA

94070


OCT 19 BR

S8 HYBRIDON INC 345 VASSAR STREET CAMBRIDGE MA 02139 617 6795500


S3 NOTIFY TECHNOLOGY CORP 1054 DE ANZA BLVD STE 105 SAN JOSE CA

95129 408 7777920 8132820 $3985082 COMMON STOCK FILE

33371940 OCT -19 BR

S4 AMERISOURCEBERGEN CORP 1800 MORRIS DRIVE SUITE 100 CHESTERBROOK

PA

19087 610 7277000 500000000 $500000000 STRAIGHT BONDS

FILE33371942 OCT 19 BR

S-8 VA LINUX SYSTEMS INC 47071 BAYSIDE PARKWAY FREMONT CA 94538

408 5428000 3401816 $3859106.56 COMMON STOCK FILE 33371944

OCT 19 BR

S4 SOUTHTRUST CORP 420 20TH ST BIRMINGHAM AL 35203 205 2545000

4532646 $100843240.40 COMMON STOCK FILE 33371946 OCT 19BR

S8 UNITED TENNESSEE BANKSHARES INC 344 BROADWAY NEWPORT TN 37821



OCT 19 BR

S3 FGIC SECURITIES PURCHASE INC 115 BROADWAY NEW YORK NY 10006

212 3123000 2000000000 $500000 STRAIGHT BONDS FILE 3337195O--

OCT 19 BR

S-3 MARKEL CORP 4521 HIGHWOODS PARKWAY GLEN ALLEN VA 23060 804 747-

0136

456018605 $456018605 OTHER SECURITIES INCLUDING VOTING TRUST


S-3 SAFESCIENCE INC 31 ST JAMES AVENUE 8TH FLOOR BOSTON MA 02116

617 422-0674 723556 $745262.68 COMMON STOCK FILE 33371954

OCT 22 BR

S-3 SUPERCONDUCTOR TECHNOLOGIES INC 460 WARD DR STE SANTA BARBARACA

93111 805 6837646 1986780 $7996790 COMMON STOCK FILE33371958 OCT 22 BR

S8 PEN INTERCONNECT INC 1601 ALTON PARKWAY IRVINE CA 92606

949 2613131 9160000 $183200 COMMON STOCK FILE 33371960OCT 19 BR

S-3 VNB CAPITAL TRUST I1455 VALLEY ROAD WAYNE NJ 07470 973 3058800

7000000 $175000000 PREFERRED STOCK FILE 33371964 OCT 22NEW ISSUE

RECENT 8K FILINGS

Form 8-K is used by companies to file current reports on the following events

Item Changes in Control of Registrant

Item Acquisition or Disposition of AssetsItem Bankruptcy or ReceivershipItem Changes in Registrants Certifying AccountantItem Other Materially Important EventsItem Resignations of Registrants Directors

Item Financial Statements and Exhibits

Item Change in Fiscal YearItem Regulation FD Disclosure

The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports

previously filed responding to the items of the form specified 8-K reports may be obtained in personor by writing to the Commissions Public Reference Branch at 450 Fifth Street N.W Washington D.C20549 or at the following e-mail box address pub1icinfosec.gov In most cases this information is

also available on the Commissions website www.sec.gov

STATE 8K ITEM NONAME OF ISSUER CODE DATE COMMENT


ABN ANRO

ABN AMRO

ABN AMRO

ABN AMRO

ABN ANRO

ABN ANRO

AEN ANRO

ABN ANRO

ABN ANRO

AEN AMRO

AEN ANRO

ABN ANRO

ABN ANRO

ABN ANRO

ABN ANRO1A

ABN AMRO

ABN ANRO

ABN ANRO

ABN ANRO MORTGAGE CORP

ACACIA RESEARCH CORP

ACE LTD

ACE LTD

ACE SECURITIES CORP HO

2001AQ1 AS BA PA TH

ACE SECURITIES CORP HO

2001NC1 AS BA PA TH

ADEN ENTERPRISES INC

ADVANTA CORP

EQ LO TR SE

CE

EQ LO TR SE

CE

08/31/01

10/23/01

10/01/01

10/01/01

10/01/01

AAMES FINANCIAL CORP/DE DE

AAVID THERMAL TECHNOLOGIES INC DE

ABN ANRO MORTGAGE CORP DE

ABN ANRO MORTGAGE CORP SERIES 1998- DE

ABN ANRO MORTGAGE CORP SERIES 1998- DE

MORTGAGE

MORTGAGE

MORTGAGE

MORTGAGE

MORTGAGE

MORTGAGE

MORTGAGE

MORTGAGE

MORTGAGE

MORTGAGE

MORTGAGE

MORTGAGE

MORTGAGE

MORTGAGE

MORTGAGE

MORTGAGE

MORTGAGE

MORTGAGE

CORP SERIES 1998

CORP SERIES 1998

CORP SERIES 1999

CORP SERIES 1999

CORP SERIES 1999

CORP SERIES 1999

CORP SERIES 1999

CORP SERIES 1999

CORP SERIES 1999

CORP SERIES 1999-

CORP SERIES 2000

CORP SERIES 2000

CORP SERIES 2000

CORP SERIES 2000

CORP SERIES 2001

CORP SERIES 2001

CORP SERIES 2001

CORP SERIES 2001

SERIES 2001

DE 10/01/01

DE 10/01/01

DE 10/01/01

DE 10/01/01

DE 10/01/01

DE 10/01/01

DE 10/01/01

DE 10/01/01

DE 10/01/01

DE 10/01/01

DE 10/01/01

DE 10/01/01

DE 10/01/01

DE 10/01/01

DE 10/25/01

DE 10/01/01

DE 10/01/01

DE 10/01/01

DE 10/01/01

DE 10/24/01

DO 10/24/01

DO 10/25/01

DE 09/25/01

DE 09/25/01

CA 10/16/01

DE 10/23/01


AK STEEL HOLDING CORP DE

ALLIANCE FINANCIAL CORP /NY/ NY

ALLIED RISER COMMUNICATIONS CORP DE

ALTEON INC IDE DE

AMB FINANCIAL CORP DE

AMERPiDA HESS CORP DE

AMERICAN RETIREMENT VILLAS PROPERTI CA

ES III LTD PARTNERSHIP

AMERICAN SOUTHWEST FINANCIAL SECURI AZ

TIES CORP

AMERICAN TISSUE INC DE

AMYLIN PHARMACEUTICALS INC DE

APCO ARGENTINA INC/NEW

APO HEALTH INC /NV/ NV

APPLEBEES INTERNATIONAL INC DE

APPLERA CORP DE

ARV ASSISTED LIVING INC DE

ASSET HACKED FUND CORP MORT LN ASSE DE

BCKD CERT SER 2001-AQ1

ASSET BACKED FUND CORP MORT LN ASSE DE

BCKD CERT SER 2001-AQ1

ASSET BACKED FUND CORP MORT LN ASSE DE

BCKD CERT SER 2001-AQ1ASV INC /MN/ MN

AT HOME CORP DE

AUTOBYTEL INC DE

AVANI INTERNATIONAL GROUP INC// NV

AVAYA INC DE

AVNET INC NY

AVNET INC NY

BAIRNCO CORP IDE DE

BANC ONE HELOC TRUST 1998-1 OH

BANC ONE HELOC 1999-1 OH

BANC ONE HELOC 1999-1 OH

BAY VIEW SECURITIZATION CORP DE

BE AEROSPACE INC DE

BEAR STEARNS COMMERCIAL MORTGAGE SE DE

CURITIES INC

BEAR STEARNS COMMERCIAL MORTGAGE SE DE

CURITIES INC

BELLSOUTH CORP GA

BMC INDUSTRIES INC/MN/ MN

BOWATER INC DE

BROWN BROWN INC FL

BUCA INC INN MN

CADIZ INC DE

CALPINE CORP DE

CAPITAL ONE FINANCIAL CORP VA

CAPITAL ONE MASTER TRUST VA

CARDIAC SCIENCE INC DE

CARNIVAL CORP DE

CD WAREHOUSE INC DE

CDX COM INC CO

CEDAR INCOME FUND LTD /MD/ MD

CENTURYTEL INC LA

10/01/01

10/24/01 AMEND

10/12/01

10/25/01

06/13/01 AMEND

10/24/01

10/24/01

10/08/01

09/25/01

09/25/01

09/25/01

10/24/01

10/18/01

10/25/01

09/26/01 AMEND

10/24/01

10/22/01

10/25/01

10/25/01

05/21/01

05/21/01

05/21/01

10/15/01

10/23/01

10/01/01

10/23/01

10/22/01

10/12/01

04/02/01 AMEND

10/23/01

10/23/01

10/22/01

09/30/01

10/24/01

10/18/01

09/26/01 AMEND

10/25/01

10/04/01

10/09/01

10/24/01

10/22/01

XXX10/23/01

10/19/0

10/25/01

10 /23/0

10/24/01

08/14/01

10/05/01

AMEND


CHASE MANHATTAN AUTO OWNER TRUST 20 DE 10/05 /0

01

CHASE MANHATTAN AUTO OWNER TRUST 20 DE

01BCHASE MORTGAGE FINANCE CORP

----CHESAPEAKE-ENERGYCORPCHESAPEAKE ENERGY CORP

CHICAGO MERCANTILE EXCHANGE INC

CHINA BROADBAND CORP

CHINA FUND INC

CHURCHILL DOWNS INC

CIT EQUIPMENT COLLATERAL 2001-1

CLARENT CORP/DE

CLARITI TELECOMMUNICATIONS INTERNAT

IONAL LTD

COBRA ELECTRONICS CORP

COMMONWEALTH BANCORP INC

COMMONWEALTH EDISON CO

COMMSCOPE INC

COMMUNITY BANCORP /VT

COMMUNITY BANK SYSTEM INC

COMMUNITY HEALTH SYSTEMS INC/

COMPAQ COMPUTER CORP

CONCURRENT COMPUTER CORP/DE

CONSOLIDATED FREIGHTWAYS CORP

CONSOLIDATED GRAPHICS INC /TX/

CONSTELLATION 3D INC

CORILLIAN CORP

CORONADO EXPLORATIONS LTD

CORPORATE OFFICE PROPERTIES TRUST

COX COMMUNICATIONS INC JDE/

CREDIT SUISSE FIRST BOSTON MORTGAGE

SECURITIES CORP

CSFB ABS TRUST SERIES 2001-S13

CSFB MORTGAGE PASS THROUGH CERTIFIC

ATES SERIES 2001 HE2O

CWMBS INC

CYTOCLONAL PHARMACEUTICS INC IDE

DALEEN TECHNOLOGIES INC

DIANONDCLUSTER INTERNATIONAL INC

DIGEX INC/DE

DISTINCTIVE DEVICES INC

DOLLAR TREE STORES INC

DOW CHEMICAL CO /DE/

DRUGMAX CON INC

DSI TOYS INC

DST SYSTEMS INC

DUPONT DE NEMOURS CO

EDUCATION LOANS INC IDE

EFUNDS CORP

EL PASO ENERGY PARTNERS LP

ELECTRO SENSORS INC

ELINE ENTERTAINMENT GROUP INC

EMCEE BROADCAST PRODUCTS INC

ENERGY EAST CORP

10/05/01

DE 10/18/01

OK -X --1-0/-2-3/01--

OK 10/25/01

IL 10/24/01

NV 10/19/01

MD 09/30/01

KY 09/30/01

10/18/01

DE 10/23/01

DE 10/24/01

10/24/01

10/24/01

10/23/01

10/25/01

10/05/01

08/31/01 AMEND

10/24/01

10/23/01

10/25/01

10/24/01

10/24/01

10/24/01

10/24/01

10/18/01

10/24/01

10/22/01

10/23/01

10/25/01

10/25/01

10/25/01

10/24/01

10/24/01

10/24/01

10/24/01

10/23/01

09/30/01

10/25/01

10/24/01

10/12/01

10/25/01

09/30/01

10/23/01

10/10/01

10/25/01

03/26/01

10/22/01 AMEND

10/24/01

10/25/01

DE

PA

IL

DE

VT

DE

DE

DE

DE

DE

TX

FL

OR

DE

MD

DE

DE

DE

DE

DE

DE

DE

DE

DE

NY

VA

DE

NV

TX

DE

DE

DE

DE

DE

MN

NV

DE

NY


ENHERENT CORP

ENTERPRISES SOLUTIONS INC

EQUALNET COMMUNICATIONS CORP

ESTEE LAUDER COMPANIES INC

ETOYS INC

EVOLVE SOFTWAREINC

EXELON CORP

FAIRCHILD SEMICONDUCTOR INTERNATION

AL INC

FAIRWOOD CORP

FARADAY FINANCIAL INC

FARNSTEAD TELEPHONE GROUP INC

FBR ASSET INVESTMENT CORP/VA

FGIC SECURITIES PURCHASE INC

FIRST AMERICAN FINANCIAL CORP

FIRST COMMUNITY BANCORP /CA/

FIRST FINANCIAL HOLDINGS INC /DE/

FIRST SECURITY BANCORP INC /KY/

FIRST UNION COMMERCIAL MORTGAGE PAS

THR CER SER 2001-C3

FIRST UNION COMMERCIAL MORTGAGE SEC

URITIES INC

FORD IOTOR CO

FORD MOTOR CREDIT CO

FRANKLIN RESOURCES INC

FREESTAR TECHNOLOGIES

FRESH AMERICA CORP

FRIEDMAN BILLINGS RAMSEY GROUP INC

FRONTIER FINANCIAL CORP /WA/

GL REALTY CORP

GENERAL MAGIC INC

GENERAL MOTORS ACCEPTANCE CORP



GENERAL MOTORS CORP

GENERAL MOTORS CORP

GENESEE CORP

GENESIS REALTY GROUP INC

GIANT GROUP LTD

GL ENERGY EXPLORATION INC

GLOBAL ENERGY GROUP INC

GLOBAL TELESYSTEMS EUROPE

GLOBAL TELESYSTEMS INC

GO RACHELS CON CORP

GOODRICH CORP

GRAHAM CORP

GRANITE BROADCASTING CORP

GREATER BAY BANCORP

GREENWICH CAPITAL ACC INC HARBORVW

MOR LN TR 2000-2

GREENWICH CAPITAL ACC INC HARBORVW

MOR LN TR 2000-2

GSE SYSTEMS INC

H-ENTERTAINMENT INC

HALLIBURTON CO

10/23/01

10/21/01

10/10/01

10/25/01

DE 10/19/01

DE --XX -- -10/09/01

10/23/01

10/23/01

10/09/01

08/08/01 AMEND

10/17/01

09/30/01

10/24/01

10/25/01

10/08/01 AMEND

10/23/01

09/30/01

10/01/01

NC 10/01/01

10/24/01

10/24/01

10/25/01

10/18/01

10/15/01

09/30/01

10/18/01

10/22/01

10/24/01

10/23/01

10/23/01

10/23/01

10/23/01

10/23/01

10/10/01

10/05/01

10/18/01

10/01/01

10/22/01

10/18/01 AMEND

10/18/01 AMEND

10/24/01

10/25/01

10/24/01

10/23/01

10/23/01

09/19/01

10/19/01

10/24/01

10/04/01

10/23/01

DE

NV

TX

DE

PA

DE

DE

DE

DE

VA

DE

CA

CA

DE

KY

NC

DE

DE

DE

NV

TX

VA

WA

MD

DE

DE

DE

DE

DR

DE

NY

DE

DE

P7

DE

MN

NY

DE

DE

CA

DE

DE

DR

NV

DR


HCA INC/TN

HEALTHCARE REALTY TRUST INC

HEALTHY PLANET PRODUCTS INC

HERSHEY FOODS CORP

HEXCEL CORP IDEHONDA AUTO LEASE TRUST 1999A

HONDA AUTO RECEIVABLES 1999-1 OWNER

TRUST


TRUST


TRUST


TRUST

HONEYWELL INTERNATIONAL INC

HORTON INC IDEHOUSEHOLD AUTOMOBILE REVOLVING TRUS

TIHOUSEHOLD AUTOMOTIVE TRUST III SERI

ES 19991HOUSEHOLD AUTOMOTIVE TRUST IV SERIE

20001HOUSEHOLD AUTOMOTIVE TRUST SERIES

00 12HOUSEHOLD AUTOMOTIVE TRUST SERIES

2000

HOUSEHOLD AUTOMOTIVE TRUST VISERIE2000

HOUSEHOLD AUTOMOTIVE TRUST 2001-1

HOUSEHOLD CREDIT CARD MASTER NOTE

RUST

HOUSEHOLD FINANCE CORP HOUSEHOLD AF

CRE CAR MAS TR

HOUSEHOLD FINANCE CORP HOUSEHOLD AF

CRE CAR MAS TR

HRSI FUNDING INC II

HUNT CORP

IBIS TECHNOLOGY CORP

IGOHEALTHY CON INC

II-VI INC

1MB ASSETS CORP

INH ASSETS CORP IMPAC CMB TRUST SER

IES 19991INPAC SECURED ASSETS CORP

INS HEALTH INC

INHALE THERAPEUTIC SYSTEMS INC

INTERLIANT INC

INTERNETSTUDIOS CON INC

INVESTMENT PROPERTIES ASSOCIATES

ION NETWORKS INC

ISEMPLOYMENT CON INC

IVILLAGE INC

IXYS CORP IDEJANESON INNS INC

JDS UNIPHASE CORP /CA/

10/24/01

10/25/01

10/22/01

10/24/01

10/25/01

09/30/01

09/30/01

DE 09/30/01

DE 09/30/01

DE 09/30/01

10/24/01

10/22/01

10/17/01

NV 10/17/01

DE 10/17/01

DE 10/17/01

DE 10/17/01

NV 10/17/01

10/17/01

10/15/01

DE 10/15/01

DE 10/15/01

10/15/01

10/09/01

10/24/01

10/17/01

06/30/02

10/25/01

10/01/01

10/24/01

10/23/01

10/24/01

10/19/01

10/09/01 AMEND

10/24/01

10/24/01

10/25/01 AMEND

10/25/01

10/18/01

10/25/01

10/25/01

DE

ND

DE

DE

DE

DE

DE

DE

DE

NV

DE

DE

DE

PA

MA

CO

PA

DE

CA

CA

DE

DE

DE

NV

NY

DE

DE

DE

GA

DE


JOHNSON CONTROLS INC WI

J2 GLOBAL COMMUNICATIONS INC DE

KEANE INC MA

KEYSPAN CORP NY

KIEWIT MATERIALS CO DE

KING--POWER INTERNATIONAL GROUP CO --NV

TD

LA-Z-BOY INC

LABRANCHE CO INC

LACLEDE GROUP INC

LANDEC CORP \CA\

LANTRONIX INC

LEAP WIRELESS INTERNATIONAL INC

LEAP WIRELESS INTERNATIONAL INC

LEHMAN ABS CORP

LEHMAN ABS CORPLEVEL COMMUNICATIONS INC

LIGHTPATH TECHNOLOGIES INC

LINCOLN NATIONAL CORP

LIQUID AUDIO INC

LOWES COMPANIES INC

LSI LOGIC CORP

MACC PRIVATE EQUITIES INC

MAJOR AUTOMOTIVE COMPANIES INC

MALACOLOGY INC

MARKWEST HYDROCARBON INC

MATLACK SYSTEMS INC

MAXCOR FINANCIAL GROUP INC

MEDIX RESOURCES INC

MEDQUIST INC

MERCK CO INC

METASOLV INC

MFB CORP

MID STATE RACEWAY INC

MIDWAY GAMES INC

MMCA AUTO OWNER TRUST 1999-2



MMCA AUTO OWNER TRUST 2001


MONEY STORE COMMERCIAL MORTGAGE INC

MONEY STORE INVESTMENT CORP

MONEY STORE SBA ADJUSTABLE RATE CER

TIFICATES 19981MOORE CORPORATION LTD

MORGAN STANLEY DEAN WITTER CAPITAL

INC

MOTHERS WORK INC

NATIONAL CITY CREDIT CARD MASTER TR

UST

NATIONSLINK FUNDING CORP 1999-LTL-1

COMMER LOAN PAS THR CER

NATIONWIDE FINANCIAL SERVICES INC/

NBT FINANCIAL GROUP INC

NEOSE TECHNOLOGIES INC

10/25/01

10/22/01

10/25/01

10/25/01

10/18/01

10/24/01

10/24/01 AMEND

10/19/01

10/22/01

10/25/01

10/25/01

10/23/01

10/25/01

10/16/01

10/23/01

10/24/01

10/19/01

10/23/01

08/10/01 AMEND

10/24/01

09/18/01

10/22/01

10/24/01

10/24/01

10/24/01

09/30/01

10/19/01

10/24/01

10/15/01

10/15/01

10/15/01

10/15/01

10/15/01

10/15/01

10/15/01

10/15/01

10/24/01

DE 10/25/01

DE 10/24/01

10/15/01

DE 10/01/01

10/24/01

10/24/01

10/24/01

10/23/01

10/22/01

10/24/01

10/24/01

10/24/01

-iO/15/01

MI

DE

MO

CA

DE

DE

DE

DE

DE

DE

DE

IN

DE

NC

DE

DE

NV

NV

DE

DE

DE

CO

NJ

NJ

DE

IN

NY

DE

DE

DE

DE

DE

DE

NJ

NJ

NJ

DE

01-i

DE


NEOTHERAPEUTICS INC

NETDIGEST COM INC

NEUBERGER BERMAN INC

NEXTEL COMMUNICATIONS INC

NEXTEL INTERNATIONAL INC

NOBLE DRiLLINGCORP------------NORTH BAY BANCORP/CA

NORTHEAST INDIANA BANCORP INC

NORTHEAST UTILITIES SYSTEM

OAKWOOD MORTGAGE INVESTORS INC OMI

TRUST 2000-D

OAKWOOD MORTGAGE INVESTORS INC OMI

TRUST 2001

OAKW000 MORTGAGE INVESTORS INC OMI

TRUST 2001COBIE MEDIA CORP

OMI TRUST 2000CONYX SOFTWARE CORP/WA

OUTSOURCE INTERNATIONAL INC

PACIFIC GAS ELECTRIC CO

P.C MALL INC

PECO ENERGY CO

PENNFED FINANCIAL SERVICES INC

PEPPERMILL CAPITAL CORP

PFIZER INC

PGE CORP

PHILIPS INTERNATIONAL REALTY CORP

PLAINS ALL AMERICAN PIPELINE LP

POGO PRODUCING CO

PORTLAND BREWING CO /OR/

PORTLAND GENERAL ELECTRIC CO /OR/

POTOMAC ELECTRIC POWER CO

PPL CORP

PREMIERWEST BANCORP

PROGRESS ENERGY INC

PROGRESS FINANCIAL CORP

PROSOFTTRAINING COM

PROXYMED INC /FT LAUDERDALE/

PUBLIC SERVICE CO OF NEW MEXICO

PUBLIC SERVICE ENTERPRISE GROUP INC

QUADRACOMN INC

REGENCY AFFILIATES INC

REGIONS FINANCIAL CORP

RESTORATION HARDWARE INC

RETRACTABLE TECHNOLOGIES INC

RFS HOTEL INVESTORS INC

RSA SECURITY INC/DE/

SALIX PHARMACEUTICALS LTD

SALOMON BROTHERS COMMERCIAL MORT TR

200 0C3SCHULER HOMES INC

SEARS ROEBUCK CO

SEMPRA ENERGY

SEPARATE ACCOUNT NY-B OF FIRST GOLD

EN AMER LIFE INS CO OF NY

10/19/01

09/25/01

10/22/01

10/24/01

10./24/01

-X

10/25/01

09/30/01

10/23/01

10/15/01

NC 10/15/01

NV 10/15/01

08/27/01 AMEND

10/15/01

10/01/01

10/18/01

10/25/01

10/25/01

10/23/01

10/24/01

08/22/01 AMEND

10/24/01

10/25/01

06/30/01

06/22/01 AMEND10/24/01

10/12/01

10/25/0

10/25/01

10/24/01

10/24/01

10/24/01

10/24/01

10/16/01

10/12/01

10/25/01

10/23/01

08/21/01

10/15/01

10/18/01

10/10/01

10/23/01

10/23/01

10/23/01

10/25/01

10/01/01

10/22/01

10/24/01

10/25/01

10/23/0

XXXDE

DE

DE

DE

DEDE

CA

DE

MA

NV

OR

NC

WAFL

CA

DE

PA

DE

NV

DE

CA

MD

DE

DE

OR

OR

VA

PA

OR

NC

DE

NV

FL

NM

NJ

CO

DE

DE

CA

TX

TN

DE

DE

DE

NY

CA


SIERRA HEALTH SERVICES INC

SILGAN HOLDINGS INC

SIMON PROPERTY GROUP /DESL GREEN REALTY CORP

SL GREEN REALTY CORP

SOUTHWESTERN PUBLIC SERVICE CO

STERLING FINANCIAL CORP /PA/

STRATEGIC DIAGNOSTICS INC/DEl

STRUCTURED ASS MO INV INC WSH HUT

OLTMOPTHCESEO1-1STRUCTURED ASSET SEC CORP COMM MORT

PAS THR CERT SER 2000 C5

STRUCTURED ASSET SEC CORP MORT PASS

THR CERT SER 2001-SB1

STYLECLICK INC

SUNDEW INTERNATIONAL INC

SUSSEX BANCORP

TELEX COMMUNICATIONS INC

TELLIUM INC

TENDER LOVING CARE HEALTH CARE SERV

ICES INC/ NY

TERADYNE INC

TESORO PETROLEUM CORP /NEW/

TESORO PETROLEUM CORP /NEW/

THORATEC CORP

TITAN CORP

TRANS PRO INC

TREMONT CORPORATION

TREMONT CORPORATION

TXU CORP /TX/

TXU ELECTRIC CO

UGLY DUCKLING CORP

UNITED AUTO GROUP INC

UNITED DOMINION REALTY TRUST ItC

UNIVERSAL COMPRESSION HOLDINGS INC

UNIVERSAL COMPRESSION INC

UNIVERSAL CORP /VA/

URECOATS INDUSTRIES INC

US DATA AUTHORITY INC

USA NETWORKS INC

USX CORP

TWIN HOLDINGS INC

VALLEY COMMUNITY BANCSHARES INC

VALUE CITY DEPARTMENT STORES INC /0

VANDERBILT MOR Fl INC HO CO SE TN

SU PS THR CER SER 2001-B

VANDERBILT MORTGAGE Fl IN MA HO TN

SR SU PA TH SE 2001A

VIDEO NETWORK COMMUNICATIONS INC DE

VINA TECHNOLOGIES INC DE

VSOURCE INC DE

WALT DISNEY CO/ DE

WASHINGTON MUTUAL INC WA

WASHINGTON MUTUAL MORTGAGE SECURITI DE

10/26/01

10/24/01

10/23/01

10/24/01

10/25/01

10/23/01

10/23/01

10/24/01

09/25/01

10/01/01

10/25/01

10/24/01

10/24/0

10/18/01

10/19/01

10/24/01

10/18/01

10/24/01

08/27/01 AMEND

10/24/01

10/24/01

10/24/01

10/24/01

10/23/01

10/24/01

10/25/01

10/25/01

10/25/01

10/24/01

10/22/01

10/21/01

10/21/01

10/23/01

09/30/01

10/23/01

10/24/01

10/25/01

11/27/00 AMEND

10/17/01

08/23/01 AMEND

10/08/01

10/08/01

10/24/0

10/17/0

10/19/01

10/24/0

10/17/01

10/23/01

NV

DE

DE

MD

MD

NM

PA

DE

DE

DE

DE

DE

DE

NJ

DE

DE

DE

NA

DE

DE

CA

DE

DE

DE

DE

TX

TX

DE

DE

VA

DE

TX

VA

DE

FL

DE

DE

DC

OH


ES CORP

WASHINGTON MUTUAL MORTGAGE SECURITI DE

ES CORP

WEBMETHODS INC DE

WELLS FARGO ASSET SECURITIES CORP DE

FARGO ASSET SECURITIES CORP DE

WESCO INTERNATIONAL INC DE

WESTERN DIGITAL CORP DE

WESTMORELAND COAL CO DE

WESTPORT RESOURCES CORP /NV/ NV

WEYERHAEUSER CO WA

WOLFPACK CORP DE

XEROX CREDIT CORP DE

10/18/01

10/24/01

0-/-24/C-1----------10/24/01

10/25/01

10/24/01

10/25/01

09/30/01

10/15/01 ANEND

10/25/01

10/25/01


sec news digest, october 26, 2001communications and the maxwell school of citizenship at syracuse...

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