SEC NEWS DIGEST


Issue 2003-183	     	    	   	 		September 25, 2003



COMMISSION ANNOUNCEMENTS


CHAIRMAN DONALDSON TO TESTIFY

Chairman William H. Donaldson will testify before the Senate Committee on Banking, 
Housing and Urban Affairs on Tuesday, September 30, concerning Recent Commission 
Activity to Enhance Investor Protections.  The hearing will begin at 10:00 a.m. in Room 
538 of the Dirksen Senate Office Building.


ENFORCEMENT PROCEEDINGS


SEC INSTITUTES SETTLED ADMINISTRATIVE PROCEEDING AGAINST 
CHARLES BAYNE

On September 24, the Commission filed a settled administrative proceeding against 
Charles Bayne a/k/a Charles Taylor (Bayne), an individual residing in Glendale, 
California.  Bayne was the President and Chief Executive Officer and a 50% owner of 
Pre-IPO Financial Group, LLC (Pre-IPO), a Nevada limited liability company located in 
Los Angeles, California, from February 2000 through March 2002.  The Commission 
found that Bayne, acting with and through Pre-IPO and its sales agents, engaged in the 
unregistered offer and sale of $4.6 million of the stock of two companies, 
IntellectExchange.com, Inc. (Intellect Exchange) and Medical Online, Inc. (Medical 
Online).  The Commission also found that Bayne purchased shares from Intellect 
Exchange and Medical Online for Pre-IPO's own account and sold those same shares to 
Pre-IPO's clients at a price higher than what Pre-IPO had paid for the shares, thus acting 
as an unlicensed broker-dealer.  In addition, the Commission found that Bayne made 
material misrepresentations to prospective investors concerning the likelihood that 
Intellect Exchange would be acquired or would conduct an initial public offering, and the 
expected value of such an acquisition or initial public offering.

Without admitting or denying the Commission's findings, Bayne consented to the entry of 
an order barring him from association with any broker or dealer.  (Rel. 34-48535; File 
No. 3-11266)

FORMER CFO OF NVIDIA CORPORATION, CHRISTINE HOBERG, SUSPENDED 
FROM APPEARING OR PRACTICING BEFORE THE SEC FOR HER ROLE IN 
FINANCIAL FRAUD  

On September 24, the Commission instituted, and simultaneously settled, an administrative 
proceeding against Christine B. Hoberg (Hoberg), former CFO of Nvidia Corporation 
(Nvidia or Company).  Without admitting or denying the Commission's allegations, Hoberg 
consented to the entry of the Order Instituting Administrative Proceedings Pursuant to Rule 
102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial 
Sanctions (Order), suspending her from appearing or practicing before the Commission as 
an accountant, with a right to request reinstatement after a period of five years.  

The Order finds that Hoberg, pursuant to a separately filed district court action, was 
permanently enjoined from violating Sections 10(b) and 13(b)(5) of the Securities Exchange 
Act of 1934, and was ordered to pay $494,332.84 in disgorgement of ill-gotten gains, and 
$75,000 in civil penalties.

The Commission's complaint in the separate district court action alleges that Hoberg 
engaged in actions that resulted in Nvidia filing a materially false financial statement in the 
Company's Form 10-Q for the quarter ended April 30, 2000.  The complaint alleged that 
Hoberg engaged in improper accounting practices that materially increased Nvidia's gross 
profit, net income and earnings per share for the quarter in a departure from generally 
accepted accounting principles.  As alleged, these practices included participating in 
structuring a transaction to conceal Nvidia's obligation to repay certain cost reductions from 
a supplier in future periods.  In addition, the complaint alleged that Hoberg failed to disclose 
material information regarding Nvidia's books and records to Nvidia's independent auditors.  

In a related matter, the Commission announced that it had instituted, and simultaneously 
settled, an administrative proceeding against Nvidia, ordering it to cease and desist from 
future violations of the books and records and internal control provisions of the Exchange 
Act.  (Rel. 34-48536; AAE Rel. 1869; File No. 3-11267)

SEC SUSPENDS FORMER CUTTER & BUCK CFO FROM PRACTICING AS AN 
ACCOUNTANT BEFORE THE COMMISSION

On September 25, the Commission announced that it has instituted, and simultaneously 
settled, administrative proceedings against Stephen Scott Lowber, the former Chief 
Financial Officer of Cutter & Buck Inc. (Cutter), an upscale sportswear company based 
in Seattle, Washington. Lowber consented, without admitting or denying the 
Commission's findings, to a Commission order suspending him from appearing or 
practicing before the Commission as an accountant.  The proceedings were based on a 
federal court injunction entered against Lowber, by consent, on Aug. 29, 2003.  

The Commission's complaint in the federal action had alleged that Lowber, a certified 
public accountant, engaged in actions that resulted in Cutter filing materially false 
financial statements for the fiscal years ended April 30, 2000 and April 30, 2001.  
According to the complaint, Cutter shipped $5.7 million in products to three distributors 
who had no obligation to pay for the goods unless Cutter found customers for the goods, 
improperly recognizing revenue in violation of Generally Accepted Accounting 
Principles (GAAP).   According to the complaint, Lowber knew or was reckless in not 
knowing that the distributors did not have the financial ability to pay for the products.  
The complaint further alleged that, when the distributors subsequently returned the 
products to Cutter, Lowber directed Cutter personnel to record the returns in a manner 
that would conceal them from the company's independent auditors.  (Rel. 34-48537; 
AAE Rel. 1870; File No. 3-11268)

SEC INSTITUTES PROCEEDINGS AGAINST THREE CURRENT AND FORMER 
ERNST & YOUNG AUDITORS FOR ALTERATION AND DESTRUCTION OF 
WORKING PAPERS

On September 25, the Commission instituted two administrative proceedings against 
three current and former Ernst & Young (E&Y) employees, alleging that the three 
engaged in unethical and improper professional conduct under Rule 102(e)(1) of the 
Commission's Rules of Practice.  The Commission's orders instituting the proceedings 
allege that former E&Y audit partner Thomas Trauger, assisted by senior manager Oliver 
Flanagan and manager Michael Mullen, altered the E&Y working papers for the fiscal 
year 2000 audit of E&Y client NextCard, Inc. The alterations and deletions were made 
months after the audit had been completed and the working papers had been signed and 
archived.  NextCard was a publicly-traded, San Francisco-based issuer of credit cards 
over the Internet.  The Orders allege that Trauger directed Flanagan and Mullen to alter 
the NextCard working papers as well as delete information from them.  He also instructed 
Flanagan to destroy documents inconsistent with the changes he was directing, and 
Flanagan complied in part.  The alterations and deletions made it appear as though E&Y 
had thoroughly considered all of the appropriate issues and available facts relating to 
NextCard's allowance for loan losses (allowance) and NextCard's securitization of 
receivables.  The Order further alleges that the alterations and deletions were in response 
to the October 2001 announcement by NextCard that the Office of the Comptroller of the 
Currency (OCC) and Federal Deposit Insurance Corporation (FDIC) were requiring 
NextCard's bank subsidiary, NextBank, to revise certain accounting treatments affecting 
the allowance and securitizations.  After altering the working papers for NextCard's 2000 
audit, Trauger, Flanagan, and Mullen provided the altered documents to E&Y's legal 
department for production in response to a subpoena from the OCC and later subpoenas 
from the FDIC and SEC. 

The SEC seeks an order denying Mr. Trauger and Mr. Mullen the privilege of appearing 
or practicing before the SEC.  Simultaneously with the institution of the separate 
administrative proceedings against him, Flanagan agreed to settle with the SEC.  Without 
admitting or denying the findings of the SEC, Flanagan, who resides in Ireland, 
consented to an order denying him the privilege of appearing or practicing before the 
Commission.  Pursuant to the order, Flanagan may request that the SEC consider his 
reinstatement after three (3) years.

In separate actions, the U.S. Attorney's Office for the Northern District of California filed 
criminal charges against. Trauger and Flanagan, accepting a guilty plea from Mr. 
Flanagan.  (Flanagan  Rel. 34-48542; AAE Rel. 1871; File No. 3-11269; Rels. 34-
48543; AAE Rel. 1872; File No. 3-11270; Press Rel. 2003-123)

U.S ATTORNEY FILES INSIDER TRADING CRIMINAL CHARGES AGAINST 
FORMER HIGH-RANKING ATTORNEY AT CAMBRIDGE BIOTECH COMPANY

The Commission announced today that on Sept. 9 the U.S. Attorney for the District of 
Massachusetts filed a one-count Information charging Andrew S. Marks, of Wayland, 
Massachusetts, with unlawful insider trading in connection with his September 2001 sale 
of stock in Vertex Pharmaceuticals, Inc., a Cambridge-based biotechnology company.  
The Information alleges that Marks, who at the time was Vertex's highest-ranking 
attorney, learned on Sept. 20, 2001, that Vertex planned to announce the suspension of 
clinical trials of one of its promising drugs on September 24.  According to the 
Information, on September 21, Marks liquidated all of his Vertex stock despite having 
previously acknowledged in writing that the impending release would not be viewed 
favorably by Wall Street and that he should not sell his Vertex shares.

According to the Information, at the time he traded, Marks was the designated attorney 
for employees to contact regarding compliance with Vertex's employee securities trading 
policy.  In that capacity, the Information alleges, Marks wrote Vertex's CEO an email on 
September 20, advising him to make sure that an employee who had requested 
permission to trade had no knowledge of the impending press release.  According to the 
Information, Marks' email went on to say:   

. . .  I guess I am troubled about any employee trading prior to that 
release because it is likely to have an effect on the stock (looks like I 
can't sell any shares) and, depending on the degree of that effect, 
could create the perception of insider trading. . .   . 
				
The Information alleges that, on September 21, less than 24 hours after writing this email 
to the CEO, Marks sold 20,900 shares of Vertex at an average price of $22.81 per share, 
receiving $476,765.  According to the Information, Marks traded in breach of a fiduciary 
duty not to trade in Vertex's stock while in possession of material, nonpublic information 
regarding Vertex.  As a result of the conduct described in the Information, the U.S. 
Attorney has charged Marks with violating the antifraud provisions of federal securities 
laws, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder.

On Dec. 3, 2002, the Commission filed a complaint against Marks in the U.S. District 
Court for the District of Massachusetts, alleging that Marks violated Section 10(b) of the 
Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Section 17(a) of the 
Securities Act of 1933 in connection with the same trades that are the subject of the 
Information.  The Commission's complaint seeks injunctive relief, disgorgement, plus 
prejudgment interest, and civil penalties and seeks an order barring Marks from acting as 
an officer or director of any publicly-traded company.  That litigation is currently 
pending.  [U.S. v. Andrew S. Marks, USDC, District of Massachusetts, No. 03-10297 
(DPW)] (LR-18360)

SEC FILES SETTLED INSIDER TRADING CASE AGAINST NORTH CAROLINA 
ATTORNEY 

On September 24, the Commission filed a settled insider trading case in the U.S. District 
Court for the Western District of North Carolina against Arthur K. Bartlett, an attorney in 
Charlotte, North Carolina.  The complaint alleges that in April 2003, Bartlett bought 
stock in LendingTree, Inc., a client of the law firm with which he was then associated, 
after learning that LendingTree would be acquired by another company.  Bartlett settled 
the charges without admitting or denying the Commission's allegations.

The Commission's complaint specifically alleges that on April 23, 2003, Bartlett was told 
by another attorney at his law firm that the firm was representing LendingTree in 
connection with a pending transaction in which LendingTree would be acquired by USA 
Interactive, another public company now known as InterActiveCorp.  According to the 
complaint, the other attorney also asked Bartlett to perform legal research concerning 
employment law issues relevant to the transaction.  The Commission alleges that Bartlett 
then bought 540 shares of LendingTree common stock at $13 per share.  The 
Commission further alleges that on May 5, 2003, after the acquisition agreement was 
announced, the price of LendingTree's stock rose by approximately 41%, and Bartlett 
realized illicit profits of $4,272 by selling his 540 shares that day.  The Commission 
noted that Bartlett's law firm terminated his employment in July 2003. 

Without admitting or denying the Commission's allegations, Bartlett agreed to the entry 
of a final judgment that would permanently enjoin him from violating Section 10(b) of 
the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, order him to disgorge 
$4,272 in illicit trading profits (plus $71 in prejudgment interest), and order him to pay a 
$4,272 civil penalty.

The Commission acknowledges the assistance of the NASD in its investigation of this 
matter.  [SEC v. Arthur K. Bartlett,No. 3:03CV463, WDNC] (LR-18361)

      
INVESTMENT COMPANY ACT RELEASES	
            
 	
BERGER INSTITUTIONAL PRODUCTS TRUST

An order has been issued under Section 8(f) of the Investment Company Act declaring 
that Berger Institutional Products Trust has ceased to be an investment company.  (Rel. 
IC-26182 - September 24)

DEREGISTRATIONS UNDER THE INVESTMENT COMPANY ACT

Orders have been issued under Section 8(f) of the Investment Company Act declaring 
that each of the following has ceased to be an investment company:

	Credit Suisse Strategic Value Fund, Inc. [File No. 811-7515]
			(Rel. IC-26183- September 24)
	PIC Balanced Portfolio [File No. 811-6497]
			(Rel. IC-26184- September 24)
	MW Capital Management Funds [File No. 811-10535]
			(Rel. IC-26185- September 24)
	DEVCAP Shared Return Fund [File No. 811-9070]
			(Rel. IC-26186- September 24)
	Mercury Large Cap Series Funds, Inc. [File No. 811-9697]
			(Rel. IC-26187- September 24)
	Khan Funds [File No. 811-7829]
			(Rel. IC-26188- September 24)
	United Services Insurance Funds [File No. 811-8766]
			(Rel. IC-26189- September 24)
	AFAC Equity, L.P. (formerly 52nd Street Associates, 
	L.P.) [File No. 811-10277]
			(Rel. IC-26190- September 24)
	CMG Investors Trust [File No. 811-10615]
			(Rel. IC-26191- September 24)

      
HOLDING COMPANY ACT RELEASES	
            
 	
ALLEGHENY ENERGY INC., ET AL.					

A notice has been issued giving interested persons until Oct. 17, 2003, to request a 
hearing on a proposal by Allegheny Energy Inc. (Allegheny), a registered holding 
company, and Allegheny Energy Supply Company LLC (AE Supply), a registered 
holding company and public utility subsidiary of Allegheny, for the Commission to 
release jurisdiction it reserved in a previous order over the authority of AE Supply to 
issue guarantees and to authorize certain subsidiaries of AE Supply to dividend to AE 
Supply out of capital up to the full amount of the proceeds of certain asset sales.  (Rel. 
35-27723)

INTERSTATE POWER AND LIGHT COMPANY			

An order has been issued authorizing Interstate Power and Light Company, a wholly-
owned, public-utility subsidiary of Alliant Energy Corporation, a registered holding 
company, to enter into an amendment of a nuclear fuel lease.  (Rel. 35-27724)

ENTERGY MISSISSIPPI						

A supplemental order has been issued authorizing a proposal by Entergy Mississippi 
(EM), an electric utility subsidiary of Entergy Corporation, a registered holding company.  
EM requests authority to increase the amount of first mortgage bonds or debentures it 
may issue through Dec. 31, 2003, from $540 million to $740 million. (Rel. 35-27725)

      
SELF-REGULATORY ORGANIZATIONS
            
 
PROPOSED RULE CHANGES 

The Pacific Exchange filed a proposed rule change (SR-PCX-2003-36) relating to the 
composition of its audit committee.  Publication of the notice is expected in the Federal 
Register during the week of September 29.  (Rel. 34-48500)

The National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock 
Market, filed a proposed rule change and Amendment Nos. 1 and 2 thereto (SR-NASD-
2003-128) relating to establishing a maximum ECN Access Fee in SuperMontage and 
elimination of SuperMontage's Price/Time With Fee Consideration and Price/Size 
Execution Algorithms.  Publication of the notice is expected in the Federal Register during 
the week of September 29.  (Rel. 34-48501)

The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx-2003-10) 
relating to adoption of a policy to permit primary specialist to trade from a remote 
location.  Publication of the notice is expected in the Federal Register during the week of 
September 29.  (Rel. 34-48515)

The Pacific Exchange filed a proposed rule change (SR-PCX-2003-31) and Amendment 
No. 1 thereto under Rule 19b-4 of the Exchange Act to make housekeeping changes to its 
Options Trading Rules.  Publication of the notice is expected in the Federal Register during 
the week of September 29.  (Rel. 34-48522)

The Chicago Board Options Exchange filed a proposed rule change (SR-CBOE-2003-34) 
relating to modifying the Designated Primary Market-Maker membership ownership 
requirement.  Publication of the notice is expected in the Federal Register during the week 
of September 29.  (Rel. 34-48524)

IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES

A proposed rule change (SR-CBOE-2003-38) filed by the Chicago Board Options 
Exchange relating to the firm quote rule has become immediately effective under Section 
19(b)(3)(A) of the Securities Exchange Act of 1934.   Publication of the notice is expected 
in the Federal Register during the week of September 29.  (Rel. 34-48525).

A proposed rule change (SR-PCX-2003-43) filed by the Pacific Exchange, Inc. relating to 
the elimination of the posting period for new ETP Holder applicants and to eliminate 
PCXE Rule 2.3(b) has become effective under Section 19(b)(3)(A) of the Securities 
Exchange Act of 1934.  .  Publication of the notice is expected in the Federal Register 
during the week of September 29.  (Rel. 34-48532)

A proposed rule change (SR-PCX-2003-44) filed by the Pacific Exchange relating to the 
posting period for membership applications has become effective under Section 
19(b)(3)(A) of the Securities Exchange Act of 1934.  Publication of the notice is expected 
in the Federal Register during the week of September 29.  (Rel. 34-48533)

APPROVAL OF A PROPOSED RULE CHANGES

The Commission approved a proposed rule change (SR-NSCC-2003-14) filed by the 
National Securities Clearing Corporation under Section 19(b)(1) of the Exchange Act.  
The order modifies NSCC's rules to accommodate the clearance and settlement of trades 
executed on a system that provides trading anonymity.  .  Publication of the notice is 
expected in the Federal Register during the week of September 29.  (Rel. 34-48526)

The Commission approved a proposed rule change (SR-NASD-2003-85), and issued 
notice of filing and granted accelerated approval to Amendment Nos. 3, 4, 5, and 7, to the 
proposed rule change submitted under Rule 19b-4 of the Securities Exchange Act of 1934 
by the National Association of Securities Dealers, through its subsidiary, the Nasdaq 
Stock Market, Inc, relating to a post-trade anonymity feature in SuperMontage.    
Publication of the notice is expected in the Federal Register during the week of September 
29.  (Rel. 34-48527)

The Commission approved a proposed rule change filed by the American Stock 
Exchange (SR-Amex-2003-10), relating to its After-Hours Trading Facility under Section 
19(b)(2) of the Securities Exchange Act of 1934.  (Rel. 34-48528)

The Commission approved a proposed rule change (SR-ISE-2003-15) filed by the 
International Securities Exchange relating to the limitation of liability for the Options 
Clearing Corporation to Exchange members.  (Rel. 34-48530)
The Commission approved a proposed rule change (SR-Phlx-2003-43) filed by the 
Philadelphia Stock Exchange relating to the limitation of liability for the Options 
Clearing Corporation to Exchange members.  (Rel. 34-48531)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE

The Commission granted accelerated approval to a proposed rule change submitted by 
the American Stock Exchange relating to eight series of the iShares Trust based on a 
specified fixed income index (SR-Amex-2003-75).  (Rel. 34-48534)

     
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:  <publicinfo@sec.gov>.  In most cases, this information is also available 
on the Commission's website: <www.sec.gov>.


S-3     QUEST DIAGNOSTICS INC, ONE MALCOLM AVE, TETERBORO, NJ, 07608, 
        2013935000 - 0 ($1,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-109062 - Sep. 24) (BR. 01)

S-4     WORLDSPAN L P, 300 GALLERIA PARKWAY NW, ATLANTA, GA, 30339-3196, 
        7705637400 - 0 ($280,000,000.00) Equity, (File 333-109064 - Sep. 24) 
        (BR. 03)

S-8     HAUPPAUGE DIGITAL INC, 91 CABOT COURT, HAUPPAUGE, NY, 11788, 
        5164341600 - 500,000 ($1,515,000.00) Equity, (File 333-109065 - 
        Sep. 24) (BR. 03)

S-8     GLOBAL DIVERSIFIED ACQUISITION CORP, 17025 E. FIRST AVENUE, SUITE 5, 
        SCOTTSDALE, AZ, 85251, 480-945-2232 - 5,010,000 ($1,999,000.00) Equity, 
        (File 333-109067 - Sep. 24) (BR. 09)

S-1     CENTRAL FREIGHT LINES INC/TX, 2547722120 - 0 ($138,000,000.00) Equity, 
        (File 333-109068 - Sep. 24) (BR. 05)

S-8     NORFOLK SOUTHERN CORP, THREE COMMERCIAL PL, NORFOLK, VA, 23510-2191, 
        7576292680 - 0 ($122,400,000.00) Equity, (File 333-109069 - Sep. 24) 
        (BR. 05)

S-1     CEL SCI CORP, 8229 BOONE BLVD ., SUITE 802, VIENNA, VA, 22182, 
        7035069460 - 0 ($11,660,538.00) Equity, (File 333-109070 - Sep. 24) 
        (BR. 01)

S-8     CIRCUIT CITY STORES INC, 9950 MAYLAND DR, RICHMOND, VA, 23233, 
        8045274000 - 0 ($56,491,601.00) Equity, (File 333-109071 - Sep. 24) 
        (BR. 02)

S-8     OHANA ENTERPRISES, 268 WEST 400 SOUTH SUITE 300, SALT LAKE CITY, X1, 
        84101, 801-575-8073 - 0 ($104,000.00) Equity, (File 333-109073 - 
        Sep. 24) (BR. 08)

S-8     ALTANA    AKTIENGESELLSCHAFT, HERBERT QUANDT HAUS AM PILGERRAIN 15, 
        BAD HOMBURG VD HOHE, GERMANY, M2, D61352, 49617217120 - 
        0 ($7,028,400.00) ADRs/ADSs, (File 333-109074 - Sep. 24) (BR. 01)

S-8     AVENTIS, 67917 STRASBOURG, CEDEX 9, STRASBOURG FRANCE, I0, 00000, 
        3314768123 - 0 ($272,870,000.00) Equity, (File 333-109076 - Sep. 24) 
        (BR. 01)

S-3     CHARTER MUNICIPAL MORTGAGE ACCEPTANCE CO, 625 MADISON AVENUE, NEW YORK, 
        NY, 10022, 2124215333 - 
        575,705 ($11,116,863.00) Unallocated (Universal) Shelf, 
        (File 333-109078 - Sep. 24) (BR. 08)

S-8     VIRGINIA COMMERCE BANCORP INC, 5350 LEE HIGHWAY, ARLINGTON, VA, 22207, 
        7035340700 - 150,000 ($3,441,000.00) Equity, (File 333-109079 - 
        Sep. 24) (BR. 07)

S-4     GROUP 1 AUTOMOTIVE INC, 950 ECHO LANE, STE 100, HOUSTON, TX, 77024, 
        7134676268 - 0 ($150,000,000.00) Non-Convertible Debt, 
        (File 333-109080 - Sep. 24) (BR. 02)

S-3     CORVIS CORP, 7015 ALBERT EINSTEIN DR, COLUMBIA, MD, 21046-9400, 
        4432594000 - 80,733,936 ($115,449,528.48) Equity, (File 333-109081 - 
        Sep. 24) (BR. 37)

S-8     ADVANCED PLANT PHARMACEUTICALS INC, 43 W 33RD STREET, NEW YORK, NY, 
        10001, 2124027878 - 19,500,000 ($663,000.00) Equity, (File 333-109082 - 
        Sep. 24) (BR. 04)

F-6     BRITISH LEAD CO PLC, 10 CORNWALL TERRACE, REGENT PARK, LONDON UK, X0, 
        NW1 4QP, 10,000,000 ($500,000.00) ADRs/ADSs, (File 333-109083 - 
        Sep. 24) (BR. )

S-8     KITTY HAWK INC, P O BOX 612787, 1515 W 20TH ST, DALLAS/FT WORTH INTN, 
        TX, 75261, 9724562200 - 0 ($2,925,000.00) Equity, (File 333-109084 - 
        Sep. 24) (BR. 05)

S-8     ADVANCED FIBRE COMMUNICATIONS INC, 1465 N. MCDOWELL BLVD., PETALUMA, 
        CA, 94954, 7077947700 - 2,531,296 ($57,890,739.52) Equity, 
        (File 333-109085 - Sep. 24) (BR. 37)

S-3     GARDNER DENVER INC, 1800 GARDNER EXPRESSWAY, P O BOX 528, QUINCY, IL, 
        62301, 2172225400 - 0 ($150,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-109086 - Sep. 24) (BR. 36)

F-6     HYPO RTEAL ESTATE HOLDING AG, HVB AG, 
        ARABELLASTRASSE 12 D 81925 MUNICH, GERMANY, 2M, 00000, 
        011 49 89 378 0 - 50,000,000 ($2,500,000.00) Equity, (File 333-109088 - 
        Sep. 24) (BR. )

N-2     UTILITY INCOME TRUST, 1625 BROADWAY, SUITE 2200, DENVER, CO, 80202, 
        3036232577 - 0 ($1,000,000.00) Equity, (File 333-109089 - Sep. 24) 
        (BR. 17)

S-8     TRINITY3 CORP, TRINITY3 CORPORATION, 1920 MAIN STREET, SUITE 980, 
        IRVINE, CA, 92614, 9499102383 - 1,040,000 ($10,400.00) Equity, 
        (File 333-109090 - Sep. 24) (BR. 09)

S-3     PTEK HOLDINGS INC, 3399 PEACHTREE RD NE, LENOX BLDG STE 400, ATLANTA, 
        GA, 30326, 4042628400 - 0 ($85,000,000.00) Equity, (File 333-109091 - 
        Sep. 24) (BR. 37)

S-3     PHOENIX FOOTWEAR GROUP INC, 5759 FLEET STREET, SUITE 220, CARLSBAD, CA, 
        92008, 760-602-9688 - 699,980 ($4,091,383.10) Equity, 
        (File 333-109092 - Sep. 24) (BR. 02)

S-8     ADVANTAGE MARKETING SYSTEMS INC/OK, 2601 NW EXPRWY STE 1210W, 
        OKLAHOMA CITY, OK, 73112, 4058420131 - 0 ($5,660,000.00) Equity, 
        (File 333-109093 - Sep. 24) (BR. 02)

S-1     METROPOLITAN HEALTH NETWORKS INC, 500 AUSTRALIAN AVE, SUITE 1000, 
        WEST PALM BEACH, FL, 33496, 5618058500 - 
        3,381,341 ($1,149,655.94) Debt Convertible into Equity, 
        (File 333-109094 - Sep. 24) (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:  <publicinfo@sec.gov>.  In 
most cases, this information is also available on the Commission's website: <www.sec.gov>.


                                       STATE     8K ITEM NO.
NAME OF ISSUER                         CODE   1 2 3 4 5 6 7 8 9 10 11 12 13     DATE     COMMENT
------------------------------------------------------------------------------------------------
ABLEAUCTIONS COM INC                    FL            X   X                  09/22/03

ADOLOR CORP                                           X   X                  09/22/03

AEHR TEST SYSTEMS                       CA                X           X      09/24/03

AMERICAN INSURED MORTGAGE INVESTORS     CA            X   X                  09/19/03

AMERICAN INSURED MORTGAGE INVESTORS L   DE            X   X                  09/19/03

AMERICAN INSURED MORTGAGE INVESTORS L   DE            X   X                  09/19/03

AMERICAN INSURED MORTGAGE INVESTORS S   CA            X   X                  09/19/03

AMERICAN TECHNOLOGY CORP /DE/           DE            X   X           X      09/24/03

AMERICAN UNITED GLOBAL  INC             DE                            X      09/17/03

AMIS HOLDINGS INC                                     X   X                  09/24/03

ANC RENTAL CORP                         DE                X   X              09/24/03

ANZ CAPEL COURT LTD                     C3                X                  09/22/03

APPLEBEES INTERNATIONAL INC             DE                    X              09/24/03

ARIAD PHARMACEUTICALS INC               DE            X   X                  09/24/03

ARTISOFT INC                            DE                    X              09/24/03

ASTROPOWER INC                          DE            X   X                  09/17/03

AUTHENTIDATE HOLDING CORP               DE            X   X                  09/22/03

BANC OF AMERICA MORTGAGE SECURITIES I   DE            X   X                  09/23/03

BANC OF AMERICA MORTGAGE SECURITIES I   DE            X   X                  09/24/03

BANK UNITED CORP LITIGATION CONTINGEN   DE            X   X                  09/23/03

BESTNET COMMUNICATIONS CORP             NV            X                      09/24/03

BIOSITE INC                             DE                X   X              09/23/03

BIOVEST INTERNATIONAL INC               MN            X   X                  09/22/03

BISYS GROUP INC                         DE                    X              09/24/03

BOTTOMLINE TECHNOLOGIES INC /DE/        DE      X         X                  09/18/03

BRESLER & REINER INC                    DE                X                  07/10/03    AMEND

BRIDGE BANCORP INC                      NY            X                      09/23/03

CACI INTERNATIONAL INC /DE/             DE            X                      09/24/03

CAVALCADE OF SPORTS MEDIA INC           NV      X     X   X                  09/23/03

CAVALCADE OF SPORTS MEDIA INC           NV      X     X   X                  09/23/03    AMEND

CENDANT MORTGAGE CAPITAL LLC            DE            X   X                  09/24/03

CHECKPOINT SYSTEMS INC                  PA            X   X                  09/23/03

CHEVY CHASE AUTO RECEIVABLES TRUST 20   MD            X                      08/31/03

CHEVY CHASE AUTO RECEIVABLES TRUST 20   MD            X                      08/31/03

CHEVY CHASE AUTO RECEIVABLES TRUST 20                 X                      08/31/03

CHEVY CHASE AUTO RECEIVABLES TRUST 20   MD            X                      08/31/03

CHEVY CHASE AUTO RECEIVABLES TRUST 20   MD            X                      08/31/03

CHEVY CHASE HOME LOAN TRUST 1996-1      MD            X                      08/31/03

CHEVY CHASE HOME LOAN TRUST 1997-1      MD            X                      08/31/03

CIT EQUIPMENT COLLATERAL 2002-VT1       DE            X                      09/18/03

CIT EQUIPMENT COLLATERAL 2003-VT1       DE            X                      09/18/03

CIT RV TRUST 1996-B                     DE            X                      09/23/03    AMEND

CIT RV TRUST 1997 A                     DE            X                      09/23/03    AMEND

CIT RV TRUST 1998-A                     DE            X                      09/23/03    AMEND

CIT RV TRUST 1999-A                     DE            X                      09/23/03    AMEND

CKE RESTAURANTS INC                     DE            X   X                  09/23/03

COGNOS INC                              CA                            X      09/24/03

COMDISCO HOLDING CO INC                 DE            X                      09/09/03

COMPUTER PROGRAMS & SYSTEMS INC         DE            X                      09/18/03

CONSOL ENERGY INC                                     X   X                  09/24/03

COX COMMUNICATIONS INC /DE/             DE            X   X                  09/09/03    AMEND

CREDIT ACCEPTANCE CORPORATION           MI                    X       X      09/24/03

DAIMLERCHRYSLER DEBENTURE-BACKED SERI   DE                X                  09/24/03

DARDEN RESTAURANTS INC                  FL            X   X                  09/24/03

DECRANE AIRCRAFT HOLDINGS INC           DE                    X              09/22/03

DECRANE HOLDINGS CO                     DE                    X              09/22/03

DORAL FINANCIAL CORP                    PR                X   X              09/23/03

EMULEX CORP /DE/                        DE            X   X                  09/24/03

ENDOCARE INC                            DE          X     X                  09/23/03

ENTERPRISE TECHNOLOGIES INC             DE                X   X              09/24/03

EQUITY ONE INC                          MD            X                      09/24/03

ESSEX PROPERTY TRUST INC                MD            X                      09/23/03

ESTEE LAUDER COMPANIES INC              DE            X                      09/23/03

EXEGENICS INC                           DE          X     X                  09/17/03    AMEND

EXPEDITORS INTERNATIONAL OF WASHINGTO   WA                    X              09/23/03

FIRST CHESAPEAKE FINANCIAL CORP         VA            X   X                  09/08/03

FIRST UNION COMM MORT TRUST COMM MOR    NY            X   X                  09/17/02

FIRST UNION LEH BRO BANK OF AMER COM    NY            X   X                  09/17/03

FIRSTENERGY CORP                        OH            X   X                  08/12/03

FLEET HOME EQUITY LOAN LLC              DE      X                            09/22/02    AMEND

FLOTEK INDUSTRIES INC/CN/               DE            X                      09/24/03

FRANKLIN COVEY CO                       UT                    X              09/24/03

FRIEDMANS INC                           DE            X   X                  09/18/03

FULLER H B CO                           MN                X   X              09/23/03

FX ENERGY INC                           NV                X   X              09/24/03

GE COMMERCIAL MORT CORP COM MORT PS T   DE            X   X                  09/19/03

GENE LOGIC INC                          DE            X                      09/23/03

GENERAL MILLS INC                       DE            X   X                  09/17/03

GEORGIA PACIFIC CORP                    GA                X   X              09/23/03

GK INTELLIGENT SYSTEMS INC              DE            X                      09/24/03

GS MORTGAGE SEC CORP II COMM MORT PAS   DE            X   X                  09/10/03

HARTMARX CORP/DE                        DE                            X      09/23/03

HARTMARX CORP/DE                        DE                            X      09/23/03    AMEND

HEALTH CARE REIT INC /DE/               DE            X   X                  08/26/03

HEI INC                                 MN            X   X                  09/17/03

HEMISPHERX BIOPHARMA INC                DE            X                      09/23/03

HILLENBRAND INDUSTRIES INC              IN                X   X              09/22/03

HOLLIS EDEN PHARMACEUTICALS INC /DE/    DE            X   X                  09/24/03

HOME PRODUCTS INTERNATIONAL INC         DE            X   X                  09/19/03

INSURANCE MANAGEMENT SOLUTIONS GROUP    FL            X   X                  09/24/03

INTERDIGITAL COMMUNICATIONS CORP        PA            X                      09/23/03

INTERNATIONAL SMART SOURCING INC        DE          X                        09/22/03

INTEVAC INC                             CA                X   X              09/24/03

IRONSTONE GROUP INC                     DE    X X     X                      09/17/03

JOURNAL CO                                            X   X                  09/24/03

JOURNAL COMMUNICATIONS INC              WI            X   X                  09/24/03

JP MORGAN CHASE COM MORT SEC CORP PAS   DE            X   X                  09/18/03

JUPITERMEDIA CORP                       DE      X         X                  07/11/03    AMEND

KERR MCGEE CORP /DE                     DE                    X              09/24/03

LASALLE HOTEL PROPERTIES                MD                X   X              09/24/03

LASALLE HOTEL PROPERTIES                MD                X                  09/23/03

LEHMAN ABS CORP                         DE            X                      09/24/03

LENNAR CORP /NEW/                       DE                    X              09/24/03

LIBERTY MEDIA CORP /DE/                 DE      X         X                  09/24/03    AMEND

LIFEPOINT INC                           DE            X                      09/24/03

LNR PROPERTY CORP                       DE                X   X              09/24/03

LOCATEPLUS HOLDINGS CORP                                              X      09/19/03

LODGENET ENTERTAINMENT CORP             DE                X   X              09/24/03

LUCENT TECHNOLOGIES INC                 DE            X                      09/23/03

LUNA GOLD CORP                          WY                X   X              09/24/03

M&I AUTO LOAN TRUST 2002-1              DE            X   X                  09/22/03

MAMMATECH CORP                          FL          X     X                  08/28/03

MAXIM PHARMACEUTICALS INC               DE            X   X                  09/22/03

MBNA CORP                               MD            X                      09/24/03

MDSI MOBILE DATA SOLUTIONS INC /CAN/    A1                    X              09/23/03

METAWAVE COMMUNICATIONS CORP            DE            X                      08/31/03

MICRON TECHNOLOGY INC                   DE                X           X      09/24/03

MID-STATE BANCSHARES                    CA            X   X                  09/17/03

MKTG SERVICES INC                       NV            X                      09/24/03    AMEND

MOHEGAN TRIBAL GAMING AUTHORITY                       X   X                  09/24/03

MONSANTO CO /NEW/                       DE            X                      09/24/03

MORGAN STANLEY ABS CAP I INC MORT PAS   DE            X   X                  08/01/03

MORTGAGE ASSET SECURITIZATION TRANSAC   DE            X   X                  09/22/03

MORTGAGE ASSET SECURITIZATION TRANSAC   DE            X                      09/24/03

MOTORCAR PARTS & ACCESSORIES INC        NY            X   X                  09/24/03

NATIONAL PENN BANCSHARES INC            PA            X                      09/24/03

NATIONSLINK FUNDING CORP 1999-LTL-1 C   DE                X                  09/01/03

NCT FUNDING CO LLC                      DE            X   X                  09/24/03

NEW CENTURY MORTGAGE SECURITIES INC     DE            X   X                  09/24/03

NEW PALTZ CAPITAL CORP                  NV      X                            09/19/03    AMEND

NEWPORT CORP                            NV                X           X      09/24/03

NORTHERN STATES POWER CO                MN            X   X                  09/24/03

ON SEMICONDUCTOR CORP                   DE            X   X                  09/23/03

ONEOK INC /NEW/                         OK            X   X                  09/22/03

PACIFIC CONTINENTAL CORP                OR            X                      09/17/03

PERMIAN BASIN ROYALTY TRUST             TX                X           X      09/19/03

PETRO HOLDINGS FINANCIAL CORP           DE            X   X                  09/23/03

PETRO STOPPING CENTERS HOLDINGS LP      DE            X   X                  09/23/03

PHARMACEUTICAL RESOURCES INC            NJ                X   X              09/24/03

PHIBRO ANIMAL HEALTH CORP                                 X   X              09/24/03

PLAINS ALL AMERICAN PIPELINE LP         DE                    X              09/24/03

POCKETSPEC TECHNOLOGIES INC             CO            X                      09/24/03

PRIVATEBANCORP INC                      DE                    X              09/24/03

PROJECT GROUP INC                       NV            X                      09/22/03

PURE WORLD INC                          DE            X                      09/24/03

PUROFLOW INC                            DE      X         X                  07/17/03    AMEND

QUOVADX INC                             DE      X         X                  09/19/03

RESIDENTIAL ASSET MORTGAGE PRODUCTS I   DE            X   X                  09/23/03

RESIDENTIAL ASSET MORTGAGE PRODUCTS I   DE            X   X                  09/24/03

RESIDENTIAL ASSET MORTGAGE PRODUCTS I   DE            X   X                  09/24/03

RESIDENTIAL ASSET SECURITIES CORP       DE            X   X                  09/24/03

RESIDENTIAL FUNDING MORTGAGE SECURITI   DE            X   X                  09/24/03

RESIDENTIAL FUNDING MORTGAGE SECURITI   DE            X   X                  09/24/03

RESIDENTIAL FUNDING MORTGAGE SECURITI   DE            X   X                  09/23/03

RICHARDSON ELECTRONICS LTD/DE           DE                    X              08/30/03

RIGHT MANAGEMENT CONSULTANTS INC        PA            X   X                  09/24/03

ROTONICS MANUFACTURING INC/DE           DE                X           X      09/24/03

SABRE HOLDINGS CORP                     DE                    X              09/24/03

SCICLONE PHARMACEUTICALS INC            CA            X   X                  09/23/03

SECURITISATION ADVISORY SERVICES PTY                  X   X                  09/22/03

SHALLBETTER INDUSTRIES INC              MN    X X         X                  08/14/03

SHELLS SEAFOOD RESTAURANTS INC          DE            X                      09/19/03

SKYWAY COMMUNICATIONS HOLDING CORP      FL            X   X                  09/24/03

SMITH A O CORP                          DE                X   X              09/24/03

SONEX RESEARCH INC                      MD            X                      09/24/03

SONUS NETWORKS INC                      DE            X   X                  09/23/03

STEELCASE INC                           MI                            X      09/24/03

STERION INC                             MN            X                      09/23/03

STERIS CORP                             OH                    X              09/23/03

STRATEGIKA INC                                X X   X   X X                  09/23/03

STRUCTURED ASSET SECURITIES CORP        DE            X                      09/24/03

STRUCTURED PROD CORP STEP UP TR CREDI   DE                X                  09/24/03

STRUCTURED PRODUCTS CORP                DE                X                  09/24/03

STRUCTURED PRODUCTS CORP                DE                X                  09/24/03

STRUCTURED PRODUCTS CORP CAST SM STEP   DE                X                  09/24/03

STRUCTURED PRODUCTS CORP MONTHLY PAY    DE                X                  09/24/03

SUITE 101 COM INC                       DE                X                  09/23/03

SUNOCO LOGISTICS PARTNERS LP            DE            X   X                  09/24/03

SUREBEAM CORP                           DE          X     X                  08/19/03    AMEND

TAIWAN FUND INC                         DE                    X              08/01/03

TECUMSEH PRODUCTS CO                    MI            X   X                  09/24/03

THISTLE GROUP HOLDINGS CO                             X   X                  09/22/03

TORCH OFFSHORE INC                      DE            X                      09/24/03

TOWN & COUNTRY TRUST                    MD            X   X                  09/24/03

TOYOTA AUTO FINANCE RECEIVABLES LLC     DE            X   X                  09/09/03

TRIARC COMPANIES INC                    DE                    X              09/23/03

TROPICAL SPORTSWEAR INTERNATIONAL COR   FL            X                      09/24/03

TRUE HEALTH INC                         UT                X                  09/24/03    AMEND

UAL CORP /DE/                           DE            X   X                  09/24/03

ULTRALIFE BATTERIES INC                 DE                X   X              09/24/03

UNITED COMMUNITY BANKS INC              GA                X   X              08/24/03

UNIVERSAL AUTOMOTIVE INDUSTRIES INC /   DE                X                  07/09/03    AMEND

USA TECHNOLOGIES INC                    PA      X         X                  07/11/03    AMEND

VARSITY BRANDS INC                      DE            X   X                  09/24/03

VIACOM INC                              DE                X   X              09/24/03

VICOM INC                               MN            X                      09/22/03

VISEON INC                              NV                X   X              09/22/03

WATLEY A B GROUP INC                    DE          X                        09/24/03

WCI COMMUNITIES INC                                   X   X                  09/24/03

WELLS FARGO ASSET SECURITIES CORP       DE            X   X                  09/23/03

WILMINGTON REXFORD INC                  DE          X                        08/28/03

WINTER SPORTS INC /NEW                  MT          X                        09/18/03

XCEL ENERGY INC                         MN            X   X                  09/24/03

XOMA LTD /DE/                           DE            X   X                  09/19/03