SEC NEWS DIGEST Issue 2007-14 January 23, 2007 RULES AND RELATED MATTERS NOTICE OF AMENDMENT TO PLAN The Commission issued notice of an amendment to the plan for the allocation of regulatory responsibilities submitted pursuant to Rule 17d-2 of the Securities Exchange Act of 1934 by the American Stock Exchange, the Boston Stock Exchange, the Chicago Board Options Exchange, the International Securities Exchange, the National Association of Securities Dealers, the New York Stock Exchange, the NYSE Arca, and the Philadelphia Stock Exchange. Publication is expected in the Federal Register during the week of January 22. (Rel. 34-55145; File No. S7-966) ENFORCEMENT PROCEEDINGS IN THE MATTER OF PACIFIC GROWTH EQUITIES, LLC On January 23, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 (Order) against Pacific Growth Equities, LLC (PGE), a San Francisco-based securities broker, Stephen J. Massocca and Robert Katz. The Order finds that PGE defrauded certain customers by secretly double-charging them for stock trades. Without admitting or denying the Commission's findings, PGE agreed to pay a $425,000 penalty and to undertake several remedial actions, while PGE's co-Chief Executive Officer, Stephen Massocca, and PGE's head trader, Robert Katz, have agreed to pay penalties of $75,000 and $20,000, respectively. The Commission finds that PGE, a Nasdaq market maker, had historically been compensated by adding a trading profit (sometimes known as a markup or markdown) to the price at which it bought or sold shares for its customers in the marketplace. According to the Order, by early 2002, as part of a general industry trend, PGE's customers began requesting they instead be charged a fixed commission on their stock trades, requests to which PGE agreed. According to the Order, PGE continued to add trading profits to certain transactions on top of the commissions. The Order finds that PGE's dual charges were inconsistent with the understandings between PGE and its customers, and PGE's customers did not expect to be double-charged for their trades. The Order further finds that Massocca, 47, of San Francisco, authorized PGE's unlawful conduct. The Order also finds that Katz, 42, of San Francisco, maintained a deficient order ticket time-stamping system that facilitated PGE's improper conduct. The Commission finds that PGE willfully violated Section 15(c)(1) of the Securities Exchange Act of 1934, and that Massocca willfully aided and abetted and caused PGE's violation. The Order also finds that PGE violated Section 17(a) and Rule 17a-3 of the Securities Exchange Act of 1934, and that Massocca and Katz aided and abetted and caused PGE's violation. In addition, PGE, Massocca and Katz were censured by the Commission and ordered to cease and desist from violating these provisions. The Commission's Order requires PGE to undertake certain compliance reforms, and requires PGE, Massocca and Katz to pay penalties of $425,000, $75,000 and $20,000, respectively. (Rel. 34- 55148; File No. 3-12543) IN THE MATTER OF SUZANNE BROWN, CPA On January 23, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions (Order) against Suzanne Brown. The Commission found, among other things, that on Jan. 11, 2007, the U.S. District Court for the District of Columbia entered a final judgment, permanently enjoining Brown from future violations of Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5 and 13b2-1 thereunder, and aiding and abetting violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b- 20, 13a-1 and 13b2-2 thereunder. The Commission ordered that Brown be suspended from appearing or practicing before the Commission as an accountant, with a right to reapply after five years. Brown consented to the issuance of the Order without admitting or denying the findings in the Order. The Commission's investigation is continuing. The Commission acknowledges the assistance and cooperation of the Office of the United States Attorney for the Southern District of New York and the New York Office of the Federal Bureau of Investigation. (Rel. 34- 55149; AAE Rel. 2545; File No. 3-12544) IN THE MATTER OF DOUGLAS MILLER On January 23, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b), 17A(c)(4)(C) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 (Order) against Douglas P. Miller. The Order finds that between April 2005 and February 2006, Miller, age 32, a resident of Minot, North Dakota, willfully violated Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The Order more specifically finds that from April 2005 through February 2006, Miller was secretary and treasurer of a North Dakota limited liability company that was dually registered with the Commission as a transfer agent and investment adviser (Adviser), and was also a registered representative, secretary and treasurer of a North Dakota limited liability company registered with the Commission as a broker-dealer and vice president, secretary and an interested trustee of a Delaware business trust registered with the Commission as an investment company. The investment company contained mutual funds managed by the Adviser. During that time, Miller made unauthorized charges totaling $19,250 on a credit card owned by the Adviser and wrote checks and otherwise diverted $27, 318 from the Adviser's bank accounts, without the knowledge or permission of the Adviser and for his personal use. The Order further finds that on or about November 25, 2005, Miller redeemed the shares in one of the investment company's mutual fund accounts totaling $51,161, without the knowledge or permission of the shareholder who owned the account. Miller then made the redemption check out to himself, forged the required second signature on the check, and deposited the check in his personal checking account. On or about November 30, 2005, Miller used $49,027 of the misappropriated proceeds from the Fund account to repay the money he had improperly taken from the Adviser. Finally, the Order finds that on or about Feb. 22, 2006, after the Adviser became aware of the unauthorized use of the credit card, the misappropriation of bank account funds and the unauthorized redemption of the mutual fund account, Miller repaid the victimized shareholder in total. Based on the above, the Order bars Miller from association with any broker, dealer, transfer agent or investment adviser and prohibits him from serving or acting as an employee, officer, director, member of any advisory board, investment adviser or depositor of or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter, and further orders Miller to cease and desist from committing or causing any violations or future violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. Miller consented to the issuance of the Order without admitting or denying the findings in the Order. (Rels. 34-55150; IA-2582; IC-27674; File No. 3-12545) SEC v. INTERNATIONAL FIDUCIARY CORPORATION, S.A., ET AL. On January 19, acting on the Commission's motion, Judge Gerald Bruce Lee of the U.S. District Court for the Eastern District of Virginia, appointed Roy M. Terry, Jr., Esq. as Receiver over International Fiduciary Corporation, S.A. (IFC). IFC is one of four defendants in an alleged Prime Bank, pyramid scheme case that the Commission filed on an emergency basis on Dec. 4, 2006. The Court ordered that Mr. Terry shall, among other things, possess the power to take custody, control and possession of all records, assets, funds, or property premises under the direct or indirect control of IFC or that are attributable to funds provided by an investor in an investment contract offered by any of the defendants. Further, the Court ordered that Mr. Terry shall conduct any business operations of IFC and any entities that it controls. In addition, with respect to the existing asset freeze in this matter, the Court ordered that Mr. Terry is authorized to administer, manage, and direct the marshaling, disbursement and/or transfer of monies or other assets held by third parties that are subject to the freeze. The Commission has alleged that IFC and the three other defendants in the case -- Preston David Pinkett, Daniel Eric Byer, and Malcolm Cameron Boyd Stevenson -- defrauded over 180 investors in a fraudulent "Prime Bank" scheme which appears to have raised at least $18.2 million to date. IFC is a Virginia corporation with offices in Arlington, Virginia. Pinkett, who also lists an Arlington, Virginia address, is IFC's chairman and CEO. Byer and Stevenson are Canadians. For additional information on the SEC's pleadings in this matter, see Litigation Release No. 19934 (Dec. 5, 2006). On Dec. 4, 2006, the Court issued an order, among other things, temporarily restraining defendants from violating the antifraud provisions of the federal securities laws and freezing' investor funds wherever located and all assets of the defendants. On December 11, 2006, the Court entered a preliminary injunction which extended the temporary restraining order and asset freeze. Mr. Terry, a partner at the Richmond, Virginia law firm DuretteBradshaw PLC, also serves as Chapter 7 Panel Trustee of the U.S. Bankruptcy Court for the Eastern District of Virginia. Mr. Terry has 28 years of practice experience in representing both businesses and individuals as debtors and creditors. [SEC v. International Fiduciary Corp., S.A., et al., U.S. District Court for Eastern District of Virginia (Civil Action No. 1:06CV1354)] (LR-19976) SEC v. EDWARD KILEY, ET AL. On January 22, Judge Benson Everett Legg of the U.S. District Court for the District of Maryland entered final judgments by consent against the two defendants in the Commission's case: Edward A. Kiley, 55, of Bel Air, Maryland and Richard N. Orzechowski, 66, of Trafford, Pennsylvania. The final judgments permanently enjoin Kiley and Orzechowski from future violations of Sections 10(b) and 13(b)(5) of the Exchange Act, and Exchange Act Rules 10b-5, 13b2-1, and 13b2-2. In addition, Kiley is also enjoined from any future violation of Section 17(a) of the Securities Act. Finally, the Court imposed officer and director bars against Kiley and Orzechowski pursuant to Exchange Act Section 21(d)(2). Kiley and Orzechowski neither admitted nor denied the allegations in the Commission's complaint. Kiley consented to a final judgment that orders him to pay $25,531 in disgorgement of his stock trading profits and $12,903.73 in prejudgment interest but that waives payment in excess of $25,000 and does not impose a civil penalty based on Kiley's financial condition. Orzechowski consented to a final judgment that orders him to pay a $20,000 civil penalty. On July 23, 2001, the Commission charged Kiley, the former CEO of Alcore, Inc.-a subsidiary of Advanced Technical Products (ATP)-and Orzechowski, the former CFO of Alcore, with securities fraud and falsification of books and records. According to the SEC's complaint, this action arose out of the defendants' roles in misleading auditors and knowingly falsifying Alcore's books and records as well as Kiley's sales of ATP stock during the period of the ongoing fraud. See Litigation Release No. 17074. [SEC v. Edward A. Kiley, et al., Civil Action No. L-01-2146 (USDC D. Md.)] (LR-19977; AAE Rel. 2526) INVESTMENT COMPANY ACT RELEASES AMERICAN CAPITAL STRATEGIES, LTD. A notice has been issued giving interested persons until Feb. 15, 2007, to request a hearing on an application filed by American Capital Strategies, Ltd. for an order under Section 61(a)(3)(B) of the Investment Company Act approving applicant's proposal to grant certain stock options to non-employee directors under applicant's 2006 stock option plan. (Rel. IC-27669 - January 19) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the Philadelphia Stock Exchange relating to fees for U.S. dollar-settled foreign currency options (SR- Phlx-2007-02) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 22. (Rel. 34-55126) A proposed rule change filed by National Association of Securities Dealers to modify pricing for NASD members using ITS/CAES System and Inet facility (SR-NASD-2006-137) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 22. (Rel. 34-55129) A proposed rule change filed by The NASDAQ Stock Market to reduce Risk Management Service fees (SR-NASDAQ-2006-066) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 22. (Rel. 34-55131) A proposed rule change (SR-NASDAQ-2006-062) filed by The NASDAQ Stock Market regarding fees for TradeInfo as modified by Amendments No. 1 and 2 has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 22. (Rel. 34-55135) A proposed rule change (SR-ISE-2006-71) filed by the International Securities Exchange relating to Rule 2113 (Long and Short Sales) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 22. (Rel. 34-55140) A proposed rule change (SR-ISE-2007-05) filed by the International Securities Exchange relating to a directed orders system change has become effective under Section 19(b)(3)(A) under the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 22. (Rel. 34-55144) PROPOSED RULE CHANGE The NASDAQ Stock Market filed a proposed rule change (SR-NASDAQ-2006- 067) to retroactively reduce fees for Nasdaq's Risk Management Service. Publication is expected in the Federal Register during the week of January 22. (Rel. 34-55130) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-NYSE-2006-57) filed by the New York Stock Exchange under Section 19(b)(1) of the Exchange Act. The approved rule change amends Rule 180 to mandate that NYSE member organizations utilize the automated liability notification system of a clearing agency registered pursuant to Section 17A of the Exchange Act when issuing liability notifications in connection with certain securities transactions. Publication is expected in the Federal Register during the week of January 22. (Rel. 34-55132) The Commission approved a proposed rule change submitted by the Fixed Income Clearing Corporation (SR-FICC-2006-14) providing for the return of members' excess clearing fund collateral on a more frequent basis. Publication is expected in the Federal Register during the week of January 22. (Rel. 34-55134) The Commission approved a proposed rule change submitted by the Fixed Income Clearing Corporation (SR-FICC-2006-17) that will adjust the deadline for satisfying a clearing fund deficiency call from 10:30 a.m. to 9:30 a.m. in the Schedule of Timeframes in FICC's Government Securities Division rulebook. Publication is expected in the Federal Register during the week of January 22. (Rel. 34-55136) ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission granted accelerated approval to a proposed rule change to NYSE Arca Rule 12 (SR-NYSEArca-2006-55) filed by NYSE Arca relating to arbitration. Publication is expected in the Federal Register during the week of January 22. (Rel. 34-55141) The Commission granted accelerated approval to a proposed rule change to NYSE Arca Equities Rule 12 (SR-NYSEArca-2006-54) filed by NYSE Arca relating to arbitration. Publication is expected in the Federal Register during the week of January 22. (Rel. 34-55142) 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 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-4 TITAN INTERNATIONAL INC, 2701 SPRUCE ST, QUINCY, IL, 62301, 2172286011 - 0 ($132,793,668.00) Equity, (File 333-140121 - Jan. 22) (BR. 06C) SB-2 Candev Resource Exploration, Inc., SUITE 2200-1177 WEST HASTINGS STREET, VANCOUVER, A1, V6E 2K3, 604 688-7256 - 3,800,000 ($1,140,000.00) Equity, (File 333-140122 - Jan. 22) (BR. ) S-8 IMPART MEDIA GROUP INC, 1300 N. NORTHLAKE WAY, SEATTLE, WA, 98103-8919, 2066331852 - 3,000,000 ($1,290,000.00) Equity, (File 333-140123 - Jan. 22) (BR. 08B) F-6 3SBio Inc., NO.3 A1, ROAD 10 SHENYANG, ECONOMY & TECHNOLOGY DEVELOPMENT ZONE, SHENYANG, F4, 110027, 86-24-2581-1820 - 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-140124 - Jan. 22) (BR. ) S-8 CHINA IVY SCHOOL, INC., ANLIAN BUILDING,, SUITE #A 1501, FUTIAN DISTRICT, SHENZHEN, F4, 00000, 852-2511-1665 - 5,000,000 ($3,250,000.00) Equity, (File 333-140125 - Jan. 22) (BR. 11A) S-8 TRIMAX CORP, 2929 EAST COMMERCIAL BOULEVARD, SUITE 610, FT. LAUDERDALE, FL, 33308, 416-368-4060 - 1,369,286 ($219,085.76) Equity, (File 333-140126 - Jan. 22) (BR. 09A) S-1 Neutral Tandem Inc, ONE SOUT WACKER DR, SUITE 200, CHAICAGO, IL, 60606, 312-384-8040 - 0 ($75,000,000.00) Equity, (File 333-140127 - Jan. 22) (BR. ) S-8 ASPECT MEDICAL SYSTEMS INC, 141 NEEDHAM STREET, NEWTON, MA, 02464-1505, (617) 559-7857 - 150,000 ($2,643,000.00) Equity, (File 333-140128 - Jan. 22) (BR. 10A) SB-2 USTELEMATICS INC, 335 RICHERT ROAD, WOOD DALE, IL, 60191, 630 595 0049 - 11,489,724 ($8,617,293.00) Equity, (File 333-140129 - Jan. 22) (BR. 03A) S-8 UNIVERSAL TRAVEL GROUP, 9664 TAPESTRY PINE STREET, LAS VEGAS, NV, 89178, 702-498-7365 - 3,770,000 ($3,204,500.00) Equity, (File 333-140130 - Jan. 22) (BR. 09) SB-2 Reel Estate Services Inc., 1575 WEST 10TH AVENUE SUITE 103, VANCOUVER, A1, V6J 5L1, 604-714-5959 - 1,650,000 ($33,000.00) Equity, (File 333-140131 - Jan. 22) (BR. ) SB-2 CHINA CLEAN ENERGY INC, FUJIAN ZHONGDE TECHNOLOGY CO., LTD., LONGTIAN TOWN FUQING CITY, FUJIAN, CHINA 35013, F4, 35013, 865-918-5773387 - 2,905,000 ($6,652,450.00) Equity, (File 333-140132 - Jan. 22) (BR. 02A) SB-2 CHINA BIOPHARMA, INC., 31 AIRPARK ROAD, PRINCETON, NJ, 08540, 732-632-9896 - 32,400,000 ($12,406,200.00) Equity, (File 333-140133 - Jan. 22) (BR. 11B) S-3 TRIZETTO GROUP INC, 567 NICHOLAS DRIVE SUITE 360, NEWPORT BEACH, CA, 92660, 9497192200 - 1,578,445 ($29,580,059.30) Equity, (File 333-140134 - Jan. 22) (BR. 03C) S-8 RENOVIS INC, TWO CORPORATE DR, SOUTH SAN FRANCISCO, CA, 94080, 650-266-1400 - 0 ($5,161,608.79) Other, (File 333-140136 - Jan. 22) (BR. 01B) S-3 UPFC Auto Financing CORP, 421 W. HARWOOD ROAD, SUITE 110, HURST, TX, 76054, 817-282-9451 - 0 ($500,000,000.00) Asset-Backed Securities, (File 333-140138 - Jan. 22) (BR. 05) SB-2 VIRTRA SYSTEMS INC, 440 NORTH CENTER, ARLINGTON, TX, 76011, 8172650440 - 34,083,741 ($1,363,349.64) Equity, (File 333-140139 - Jan. 22) (BR. 05C) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ------------------------------------------------------------------------------------------------------- 1ST CENTENNIAL BANCORP CA 5.03,9.01 01/19/07 ADVO INC DE 5.02 01/16/07 AFLAC INC GA 5.02,9.01 01/16/07 AK STEEL HOLDING CORP DE 7.01,9.01 01/22/07 AKAMAI TECHNOLOGIES INC DE 5.02,9.01 01/16/07 AKSYS LTD DE 4.01,9.01 01/16/07 ALLEGHENY TECHNOLOGIES INC DE 8.01,9.01 01/22/07 ALLSTATE LIFE GLOBAL FUNDING DE 9.01 01/16/07 ALTEON INC /DE DE 1.01,9.01 01/19/07 Alternative Loan Trust 2006-37R 8.01,9.01 10/30/06 AMEND Alternative Loan Trust 2006-HY13 DE 9.01 12/29/06 AMERICAN EXPRESS CO NY 2.02,7.01 01/22/07 AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 2.01,9.01 01/16/07 American Railcar Industries, Inc./DE DE 1.01,5.02 01/16/07 AMERICAN TOWER CORP /MA/ DE 8.01,9.01 01/22/07 AMERISERV FINANCIAL INC /PA/ PA 1.01 01/22/07 AMES NATIONAL CORP IA 2.02,9.01 01/19/07 ANALOGIC CORP MA 8.01,9.01 01/22/07 ANNAPOLIS BANCORP INC MD 8.01,9.01 01/22/07 ANTARES PHARMA INC DE 5.02 01/16/07 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 01/19/07 ASSET ACCEPTANCE CAPITAL CORP 5.05 01/17/07 Atlas Energy Resources, LLC DE 1.01,9.01 01/22/07 AURELIO RESOURCE CORP NV 1.01,3.02,9.01 01/03/07 Aurora Oil & Gas CORP UT 5.02,9.01 01/19/07 AUTOZONE INC NV 5.02,9.01 01/19/07 AXM PHARMA INC 4.01 01/22/07 AMEND AZZ INC TX 8.01,9.01 01/19/07 BANK ONE AUTO SECURITIZATION TRUST 20 DE 8.01,9.01 01/22/07 BANKUNITED FINANCIAL CORP FL 2.02,9.01 01/22/07 BEACH FIRST NATIONAL BANCSHARES INC SC 2.02,9.01 01/22/07 Bear Stearns Alt-A Trust 2006-8 DE 8.01,9.01 12/28/06 AMEND BEESTON ENTERPRISES LTD NV 1.01,9.01 09/15/06 BEHRINGER HARVARD MID TERM VALUE ENHA TX 2.02,9.01 01/22/07 BIO KEY INTERNATIONAL INC MN 8.01,9.01 01/19/07 BioMETRX DE 1.01,9.01 01/17/07 BIONOVO INC DE 3.02,9.01 01/19/07 BLAST ENERGY SERVICES, INC. CA 1.03,8.01 01/19/07 BRAINTECH INC NV 3.02 01/16/07 BROWN FORMAN CORP DE 1.01,2.01,7.01,9.01 01/18/07 BUCKEYE VENTURES, INC. MI 2.01,9.01 09/28/06 AMEND CADIZ INC DE 5.02 01/19/07 CALLAWAY GOLF CO /CA DE 5.02,9.01 01/16/07 CARBO CERAMICS INC DE 1.01,5.02,9.01 01/16/07 CARDIMA INC DE 1.01,2.03,9.01 01/16/07 CAREER EDUCATION CORP DE 8.01,9.01 01/22/07 CBOT HOLDINGS INC DE 5.02 01/16/07 CELL GENESYS INC DE 5.02 01/17/06 CenterStaging Corp. DE 1.01,3.02,9.01 01/16/07 CENTRAL EUROPEAN DISTRIBUTION CORP DE 1.01,2.03,9.01 01/16/07 CENTRAL GARDEN & PET CO DE 2.02,9.01 01/22/07 CEPHEID CA 1.01 01/17/07 CERADYNE INC DE 2.02,9.01 01/17/07 CERIDIAN CORP /DE/ DE 8.01,9.01 01/22/07 CHARTER FINANCIAL CORP/GA 2.02,3.01,8.01,9.01 01/18/07 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 01/18/07 CHECKFREE CORP \GA\ DE 5.02 01/19/07 CHEMOKINE THERAPEUTICS CORP DE 8.01,9.01 01/22/07 CHEVIOT FINANCIAL CORP 2.02,9.01 01/22/07 CHILCO RIVER HOLDINGS INC 8.01,9.01 01/18/07 CHINA AUTOMOTIVE SYSTEMS INC DE 3.02 01/17/07 CHINA DIGITAL MEDIA CORP NV 5.02,7.01 01/22/07 CLAYTON WILLIAMS ENERGY INC /DE DE 7.01,9.01 01/22/07 CLEARONE COMMUNICATIONS INC UT 8.01 01/22/07 CNL INCOME PROPERTIES INC MD 2.01,9.01 01/19/07 COACTIVE MARKETING GROUP INC DE 5.02,9.01 01/18/07 Cole Credit Property Trust II Inc MD 1.01,2.01,2.03,9.01 01/17/07 Coley Pharmaceutical Group, Inc. DE 2.02,2.05,9.01 01/18/07 COLONIAL COMMERCIAL CORP NY 5.02 01/22/07 COLOURED (US) INC. NV 4.01,9.01 01/16/07 COMBINATORX, INC DE 5.02,9.01 01/17/07 COMERICA INC /NEW/ DE 8.01,9.01 01/22/07 Community Bancorp NV 8.01,9.01 01/22/07 CommunitySouth Bancshares Inc SC 5.02 01/18/07 COMPASS BANCSHARES INC DE 2.02,9.01 01/22/07 CONCEPT VENTURES CORP UT 1.01,9.01 01/22/07 COOPER COMPANIES INC DE 7.01,8.01,9.01 01/22/07 COOPER COMPANIES INC DE 7.01 01/22/07 Copano Energy, L.L.C. DE 7.01,9.01 01/22/07 Cord Blood America, Inc. FL 1.01,9.01 01/22/07 CSX CORP VA 2.02,9.01 01/22/07 CURRENCYSHARES AUSTRALIAN DOLLAR TRUS 4.02 01/16/07 CURRENCYSHARES BRITISH POUND STERLING 4.02 01/16/07 CURRENCYSHARES CANADIAN DOLLAR TRUST 4.02 01/16/07 CURRENCYSHARES EURO TRUST 4.02 01/16/07 CURRENCYSHARES MEXICAN PESO TRUST 4.02 01/16/07 CURRENCYSHARES SWEDISH KRONA TRUST 4.02 01/16/07 CURRENCYSHARES SWISS FRANC TRUST 4.02 01/16/07 CYTOKINETICS INC 5.02,9.01 01/22/07 DARLING INTERNATIONAL INC DE 5.02,5.03,9.01 01/16/07 DAYTON SUPERIOR CORP DE 5.02 01/16/07 DISCOVERY LABORATORIES INC /DE/ DE 8.01,9.01 01/22/07 DISPATCH AUTO PARTS, INC. 5.02 01/15/07 DOVER SADDLERY INC 7.01,8.01,9.01 01/20/07 DREAM MEDIA INC. DE 4.01,9.01 01/22/07 EAGLE FINANCIAL SERVICES INC VA 5.02,9.01 01/22/07 EARTHSHELL CORP DE 1.01,1.02,1.03,2.04,5.02,9.01 01/19/07 EAST PENN FINANCIAL CORP 8.01,9.01 01/18/07 EASYLINK SERVICES CORP DE 8.01,9.01 01/19/07 EATON CORP OH 2.02,9.01 01/22/07 EDEN ENERGY CORP NV 7.01,9.01 01/22/07 EMERSON RADIO CORP DE 8.01 01/18/07 ENDOCARE INC DE 7.01,9.01 01/22/07 ENTERCOM COMMUNICATIONS CORP PA 1.01 01/17/07 ENTRUST FINANCIAL SERVICES INC CO 8.01,9.01 01/11/07 EQUITY OFFICE PROPERTIES TRUST MD 1.01,3.03,8.01,9.01 01/16/07 EQUITY OFFICE PROPERTIES TRUST MD 8.01,9.01 01/19/07 EXACT SCIENCES CORP DE 2.02,9.01 01/22/07 EXELIXIS INC DE 8.01 01/19/07 FIDELITY SOUTHERN CORP GA 5.02,9.01 01/18/07 FIFTH THIRD AUTO TRUST 2004-A 8.01,9.01 01/22/07 FIFTH THIRD BANCORP OH 5.05,9.01 01/16/07 FIRST CAPITAL INC IN 5.03,9.01 01/16/07 FIRST CITIZENS BANCSHARES INC /DE/ DE 2.02,7.01,9.01 01/22/07 FIRST FINANCIAL CORP /IN/ IN 2.02,9.01 01/19/07 FIRST HORIZON NATIONAL CORP TN 5.02,5.03,9.01 01/16/07 FIRST M&F CORP/MS MS 2.02,7.01,9.01 01/19/07 FirstBank Financial Services, Inc. GA 5.02 01/18/07 FLUSHING FINANCIAL CORP DE 7.01,9.01 01/16/07 Freedom Acquisition Holdings, Inc. DE 8.01,9.01 01/19/07 GCO Education Loan Funding Trust-I DE 8.01,9.01 01/16/07 GENCO SHIPPING & TRADING LTD 8.01,9.01 01/22/07 GENCORP INC OH 2.02,7.01,9.01 01/22/07 GENERAL DATACOMM INDUSTRIES INC DE 1.01,8.01,9.01 01/17/07 GEOGLOBAL RESOURCES INC DE 7.01,9.01 01/22/07 Georgia Exploration, Inc. NV 4.01 01/18/07 GLACIER BANCORP INC DE 8.01,9.01 01/22/07 Global Developments Inc. DE 8.01 01/22/07 GLOBAL TRAFFIC NETWORK, INC. DE 5.02 01/16/07 GOLDEN PATRIOT CORP NV 8.01,9.01 01/19/07 GREATER ATLANTIC FINANCIAL CORP DE 5.02 01/18/07 GREENE COUNTY BANCORP INC DE 8.01 01/16/07 GS Cleantech Corp DE 5.02 01/17/07 GULF POWER CO ME 3.02 01/19/07 HANDHELD ENTERTAINMENT, INC. DE 1.01 01/17/07 AMEND HANDHELD ENTERTAINMENT, INC. DE 1.01 01/17/07 AMEND HANOVER CAPITAL MORTGAGE HOLDINGS INC MD 2.01,9.01 01/17/07 Hawaiian Telcom Communications, Inc. DE 5.02,9.01 11/07/06 HEADWATERS INC DE 1.01,2.03,3.02,9.01 01/22/07 HEALTH CARE PROPERTY INVESTORS INC MD 8.01,9.01 01/17/07 HEALTHCARE ACQUISITION CORP DE 1.01,5.01,7.01,8.01,9.01 01/19/07 HI/FN INC DE 2.02,9.01 12/31/06 HOKU SCIENTIFIC INC DE 1.01 01/17/07 HOKU SCIENTIFIC INC DE 1.01 01/21/07 HOUSERAISING, INC. NC 1.01,3.02,5.02,5.03 01/11/07 HSBC PRIVATE LABEL CREDIT CARD MASTER DE 9.01 01/16/07 HYDROGEN ENGINE CENTER, INC. NV 9.01 01/19/07 iBroadband, Inc. NV 2.01,9.01 01/22/07 AMEND IMMUNICON CORP 8.01,9.01 01/18/07 Impac Secured Assets Corp., Mortgage 8.01,9.01 12/21/06 Impac Secured Assets Corp., Mortgage 9.01 12/21/06 INFOCROSSING INC DE 7.01,9.01 01/22/07 INFRABLUE (US) INC. NV 4.01,9.01 01/16/07 InPlay Technologies, Inc. NV 4.01,9.01 01/17/07 INSPIRE PHARMACEUTICALS INC DE 9.01 01/22/07 INTEGRA BANK CORP IN 2.02,9.01 01/22/07 INTEGRITY BANCSHARES INC GA 2.02,9.01 01/22/07 INTELLI CHECK INC DE 5.02 01/21/07 InZon CORP NV 8.01 01/18/06 IRIDEX CORP DE 1.01,2.01,2.03,9.01 01/16/07 ISIS PHARMACEUTICALS INC DE 8.01,9.01 01/22/07 ITONIS INC. NV 4.01,9.01 01/22/07 ITRONICS INC TX 2.02,9.01 01/16/07 J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 12/21/06 AMEND JOHNSON CONTROLS INC WI 2.02,7.01,9.01 01/19/07 Juniper Partners Acquisition Corp. DE 8.01,9.01 01/19/07 KINDRED HEALTHCARE, INC DE 1.01,9.01 01/19/07 KUHLMAN COMPANY, INC MN 5.02 01/16/07 LESCARDEN INC NY 8.01,9.01 01/22/07 LIQUIDITY SERVICES INC 8.01,9.01 01/22/07 LODGIAN INC DE 7.01,9.01 01/22/07 LTV CORP DE 8.01,9.01 01/22/07 LYONDELL CHEMICAL CO DE 8.01 01/22/07 MAIR HOLDINGS INC MN 8.01,9.01 01/22/07 MARTIN MIDSTREAM PARTNERS LP DE 7.01,9.01 01/22/07 MARVELL TECHNOLOGY GROUP LTD D0 8.01 12/28/06 MASTEC INC FL 2.02,7.01,9.01 01/22/07 MAXXAM INC DE 8.01 01/19/07 MedaSorb Technologies CORP 5.02 01/16/07 MEDTRONIC INC MN 5.02 01/18/07 MERCARI COMMUNICATIONS GROUP LTD CO 1.01,3.02,9.01 01/19/07 MERIDIAN BIOSCIENCE INC OH 2.02,9.01 01/18/07 METLIFE INC DE 5.02,7.01,8.01,9.01 01/16/07 MFB CORP IN 5.02 01/22/07 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 01/22/07 MID WISCONSIN FINANCIAL SERVICES INC WI 2.06 01/22/07 MIDDLETON DOLL CO WI 8.01,9.01 01/19/07 MIDWEST BANC HOLDINGS INC DE 2.06,7.01,9.01 01/17/07 MINDSPEED TECHNOLOGIES, INC DE 2.02,9.01 01/22/07 MISCOR GROUP, LTD. 1.01,1.02,3.02,8.01,9.01 01/18/07 MOBILEMAIL (US) INC. 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