SEC NEWS DIGEST Issue 2007-56 March 23, 2007 COMMISSION ANNOUNCEMENTS SEC CONDUCTS TRAINING PROGRAM ON INVESTMENT COMPANY REGULATION, EXAMINATION AND ENFORCEMENT IN MUMBAI, INDIA The Commission today announced the completion of its first-ever foreign regulator training program focused primarily on regulating and examining investment companies and investment advisors. The four-day program in Mumbai, India was attended by more than 60 officials from the Securities and Exchange Board of India (SEBI) and securities exchanges and securities depositories in India. The Mumbai program was conducted through the Commission's technical assistance and training program and was co-sponsored by the U.S. Agency for International Development/India Mission, which funded the program. M. Damodaran, Chairman, Securities and Exchange Board of India, said, "SEBI is a relatively young regulator compared to the U.S. SEC and looks forward to benefiting from the considerable experience and expertise that the U.S. SEC has gained over the years -- especially in matters relating to regulatory oversight, monitoring and examining of investment advisers and investment companies." Christopher Cox, Chairman of the SEC, said, "This program benefits investors in each of our countries. In today's increasingly global securities marketplace, sharing views among regulators is essential to effective, forward-thinking regulation that protects investors and promotes healthy, fair and efficient capital markets." Ethiopis Tafara, Director of SEC's Office of International Affairs said, "The Indian securities market has had tremendous growth and development in the past several years. The SEC staff is extremely pleased to have the opportunity to provide technical assistance that focuses on the regulatory challenges involving investment companies and investment advisers and that may serve to contribute to the protection of all investors seeking investment opportunities in India." The Mumbai program included sessions on registration of an investment company's securities, regulation of advertising and sales literature, the responsibilities of an investment company's board of directors, and issues concerning valuation of portfolios of investment companies, portfolio management, and internal operations of investment companies. The SEC has provided technical assistance and training to the SEBI since 2002 under an agreement between the SEC and the USAID/India Mission. Such technical assistance and training has focused on such areas as broker-dealer regulatory oversight, issuer disclosure, inspection of broker-dealers, oversight of exchanges and self regulatory organizations, enforcement, and anti-money laundering regulations. In the past 18 months, the SEC has provided training to over 300 officials in India. The SEC's technical assistance training programs last year provided training for more than 1,000 foreign officials from 107 foreign jurisdictions, including programs in China, India, Malaysia, the Philippines, Thailand, Vietnam, Ecuador, Peru, Trinidad and Tobago, Bahrain, Saudi Arabia, Kuwait and Iraq. The SEC's flagship training programs are its International Enforcement Institute held in the fall of each year, and its International Institute for Market Development held in the Spring. Last year, the Institute for Market Development audience totaled 148 senior securities officials from 68 emerging market countries. The technical assistance program includes regional training programs such as bilateral training programs, reviews of foreign statutes and regulations, and responses to specific technical assistance inquiries. For more information on SEC's technical assistance program, contact Dr. Robert M. Fisher or Ester Saverson, Jr. at the Office of International Affairs at 202-551-6690 or by e-mail at OIA@SEC.gov. (Press Rel. 2007-52) ENFORCEMENT PROCEEDINGS IN THE MATTER OF BARRY HERTZ On March 22, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Barry Hertz (Hertz). The Order finds that Hertz was the chairman and chief executive officer of Track Data Corporation (Track Data), a financial services company that supplies electronically delivered financial information to institutional and individual investors. Hertz, who was a registered options principal, a general securities representative, a general securities principal, and an equity trader limited representative, was also the president of Track Data Securities Corp., a registered broker-dealer and wholly-owned subsidiary of Track Data. The Order finds that, on March 16, 2007, a final judgment was entered by consent against Hertz, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Barry Hertz, Civil Action Number 05-2848, filed on June 14, 2005, in the U.S. District Court for the Eastern District of New York. The Commission's complaint in that case alleged that Hertz illegally traded in Track Data stock while he possessed material, nonpublic information concerning (i) Track Data's negative financial results prior to the company's public announcement of its revenues and earnings for the second and third quarters of 2003; and (ii) the company's intention to award a first-time dividend to the company's stockholders. Based on the above, the Order bars Hertz from association with any broker or dealer, with the right to reapply for association after two years to the appropriate self-regulatory organization, or if there is none, to the Commission. Hertz consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-55512; File No. 3-12597) IN THE MATTER OF ONE PRICE CLOTHING STORES, INC. On March 23, the Commission issued an Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Order) against One Price Clothing Stores, Inc. (One Price) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the order, except as to jurisdiction, which it admitted, One Price consented to the entry of the Order finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of One Price's securities pursuant to Section 12(j) of the Exchange Act. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . (Rel. 34-55516; File No. 3-12598) THOMAS GERBASIO AND BEACON ROCK CAPITAL CRIMINALLY CHARGED FOR DECEPTIVE MARKET TIMING First U.S. Criminal Action against a Hedge Fund for Deceptive Market Timing The Commission announced today that Beacon Rock Capital LLC (Beacon Rock), a hedge fund located in Portland, Oregon, and Thomas J. Gerbasio (Gerbasio), a former securities registered representative with a registered broker-dealer based in Philadelphia, were criminally charged in connection with a scheme to defraud mutual funds and their shareholders of approximately $2.4 million. In an Information filed on March 20, 2007, the U.S. Attorney for the Eastern District of Pennsylvania (U.S. Attorney) charged that Beacon Rock and Gerbasio engaged in a scheme to evade and circumvent controls implemented by mutual funds seeking to restrict market timing, or a mutual fund trading strategy generally involving short-term purchases and sales of mutual fund shares. This is the first U.S. criminal case against a hedge fund for deceptive market timing. According to the Information, from December 1999 through November 2003, Gerbasio, while associated with two brokers registered with the Commission, provided brokerage services to Beacon Rock. The Information charges that the primary purpose of this relationship was to permit Beacon Rock, whose primary trading strategies involved market timing, to evade and circumvent controls implemented by mutual funds seeking to restrict market timing or other excessive trading. In particular, the Information alleges that Beacon Rock and Gerbasio were aware that market timing was unwanted and potentially harmful to mutual fund shareholders, and that the mutual funds would not permit such trades. Nevertheless, Gerbasio and others at his direction, engaged in a number of deceptive and fraudulent practices designed to conceal the identity of Beacon Rock and the nature of its trading activity. The Information charges that Beacon Rock made in excess of 26,000 market timing trades, resulting in approximately $2.4 million in net trading profits; and that Gerbasio earned approximately $215,000 in compensation as a direct result of the illegal trading. The U.S. Attorney charged Beacon Rock and Gerbasio with securities fraud in violation of Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) [15 U.S.C. §78j(b)], and Rule 10b-5 thereunder [17 C.F.R. 240.10b-5]. In the civil injunctive action filed by the Commission on April 21, 2005, against Gerbasio and another defendant, the Commission alleged that from at least August 2002 until October 2003, Gerbasio defrauded hundreds of mutual funds and their shareholders by engaging in deceptive market timing practices for two hedge fund customers, with the result that thousands of market timing trades were placed that would otherwise have been rejected by the fund companies. The civil complaint alleged that Gerbasio employed a variety of deceptions on behalf of the hedge fund customers, including misrepresenting the nature of their trades to the funds, opening dozens of accounts under different names to conceal the customers' identities from the funds, entering trades in amounts designed to avoid the funds' detection triggers, trading in funds less likely to detect the market timing, and advising the customers on strategies to conceal their market timing from funds that objected to and/or prohibited this trading. On March 30, 2006, the federal district court for the Eastern District of Pennsylvania entered a Final Judgment by consent in the civil action, permanently enjoining Gerbasio from violations of Section 10(b) of the Exchange Act [15 U.S.C. §78j(b)] and Rule 10b-5 thereunder [17 C.F.R. 240.10b-5], and ordering Gerbasio to pay disgorgement together with prejudgment interest in the amount of $540,044, but waiving payment of all but $100,000. The Court did not impose a civil penalty, based on Gerbasio's sworn financial statements submitted to the Commission. On April 10, 2006, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions barring Gerbasio from association with any broker or dealer. This administrative order was based on the permanent injunction entered in the civil action. For further information, see Litigation Release Nos. 19647 (April 10, 2006) and 19197 (April 21, 2005); and Administrative Proceeding No. 3- 11908, Release No. 34-53622 (April 10, 2006). [U.S. v. Beacon Rock Capital, LLC and Thomas Gerbasio, Criminal Action No. 07-00142 (E.D. Pa.); SEC v. Gerbasio, Civil Action No. 05 1833 (E.D. Pa.)] (LR-20051) SEC AMENDS CHARGES TO INCLUDE NOGA DELSHAD The Commission today announced the filing of an amended complaint in this matter to add Noga Delshad as a defendant, alleging that she violated the antifraud provisions of the federal securities laws by trading on material, nonpublic information about Taro Pharmaceuticals Industries, Ltd. (Taro) that she obtained from her father-in-law, Zvi Rosenthal (Zvi), or her husband, Amir Rosenthal (Amir). In its initial complaint, the Commission alleged that the other defendants violated the antifraud provisions of the federal securities laws by trading in Taro securities while in possession of material nonpublic information that originated from Zvi, a former vice president at Taro. As alleged in the amended complaint, the insider trading ring generated more than $4 million in profits for the defendants. In addition to the civil case against them, on Feb. 8, 2007, four of the Defendants in this matter, Zvi, Amir, Ayal Rosenthal, and David Heyman, each pled guilty to conspiracy to commit securities fraud in the U.S. District Court for the Eastern District of New York. For further information, see Litigation Release No. 19995A (Feb. 13, 2007). [SEC v. ARAGON CAPITAL MANAGEMENT LLC, ARAGON PARTNERS LP, ZVI ROSENTHAL, AMIR ROSENTHAL, AYAL ROSENTHAL, OREN ROSENTHAL, NOGA DELSHAD, DAVID HEYMAN, HEYMAN & SON INVESTMENT PARTNERSHIP LP, YOUNG KIM, AND BAHRAM DELSHAD, 07 CV 00919 (KMK) (SDNY)] (LR-20053) ADDITIONS AND CORRECTIONS A summary in the March 21st issue do the Digest entitled "GARY MCNAUGHTON PLEADS GUILTY TO CRIMINAL CHARGES FOR RUNNING $17 MILLION PONZI SCHEME" should have read as follows: GARY MCNAUGHTON PLEADS GUILTY TO CRIMINAL CHARGES FOR RUNNING $17 MILLION PONZI SCHEME On March 5, Gary L. McNaughton, a resident of Amherst and Elyria Ohio, pled guilty to 10 counts of securities fraud, unlawful sale of unregistered securities, mail fraud and attempted tax evasion. McNaughton is scheduled to be sentenced on these charges on May 22, 2007. The charges stemmed from McNaughton's role in a Ponzi scheme in which he fraudulently raised at least $17 million from approximately 200 investors and which was the subject of a prior Commission action. In the criminal case, filed in a Cleveland federal court by the U.S. Attorney's Office for the Northern District of Ohio, the indictment charged that McNaughton raised at least $17 million from approximately 200 investors through the sale of unregistered securities in the form of notes under the name of The Haven Equity Company. The indictment further charged that McNaughton fraudulently guaranteed an annual return of 10% to 35% on the investment and told investors that they would receive their returns in the form of monthly interest payments. According to the indictment, McNaughton also told investors that he would send their money to a trader and friend in Ontario, Canada, who would use a trading strategy to generate the guaranteed returns. However, rather than investing the funds, McNaughton used investor funds to, among other things, pay purported interest and principal to existing investors and pay his personal expenses. On June 23, 2003, the Commission filed a complaint against McNaughton and obtained a temporary restraining order and asset freeze against him. On December 4, 2003, the Commission obtained an order of permanent injunction against McNaughton, pursuant to his consent, enjoining him from further violations of the registration and antifraud provisions of the federal securities laws. On Aug. 23, 2004, the Commission obtained a Final Judgment and Order of Disgorgement against McNaughton. [U.S. v. Gary L. McNaughton, Criminal Action No. 1:06cr531 (U.S.D.C. N.D. OH.) (Judge Dan A. Polster); SEC v. Gary L. McNaughton, Individually and d/b/a The Haven Equity Company, and Andrew K. Lech, Civil Action No. 1:03cv1249 (U.S.D.C. N.D. OH.) (Judge Dan A. Polster)] (LR-20050) INVESTMENT COMPANY ACT RELEASES NASDAQ-100 TRUST, SERIES 1, ET AL. An order has been issued to Nasdaq-100 Trust, Series 1, et al. The order permits (a) Nasdaq-100 Trust, Series 1 (Trust), a unit investment trust whose portfolio consists of the component stocks of the Nasdaq-100 Index, to issue shares (Nasdaq-100 Shares) that are only redeemable in large aggregations; (b) secondary market transactions in Nasdaq-100 Shares to occur at negotiated prices; (c) dealers to sell Nasdaq-100 Shares to purchasers in the secondary market unaccompanied by a prospectus when prospectus delivery is not required by the Securities Act of 1933; (d) the Trust, rather than PowerShares Capital Management LLC (Sponsor), to bear certain expenses associated with the maintenance of the Trust; (e) certain affiliated persons of the Trust to deposit securities into, and receive securities from, the Trust in connection with the purchase and redemption of Nasdaq-100 Shares; and (f) the Trust to reimburse the Sponsor for payment of an annual licensing fee to The Nasdaq Stock Market, Inc. (Rel. IC-27753 - March 20) ORDERS OF DEREGISTRATION 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: Eagle Growth Shares Investing Programs [File No. 811-2018] [Rel. No. IC-27757] March 21, 2007 Credit Suisse Institutional Fixed Income Fund, Inc. [File No. 811-8917] [Rel. No. IC-27758] March 21, 2007 Credit Suisse Small Cap Growth Fund, Inc. [File No. 811-7909] [Rel. No. IC-27759] March 21, 2007 Credit Suisse Fixed Income Fund [File No. 811-5039] [Rel. No. IC- 27760] March 21, 2007 Federated Municipal High Yield Advantage Fund, Inc. [File No. 811-4533] [Rel. No. IC-27761] March 21, 2007 Pioneer Tax Qualified Dividend Fund [File No. 811-21459] [Rel. No. IC-27762] March 21, 2007 Pioneer International Income and Growth Trust [File No. 811- 21535] [Rel. No. IC-27763] March 21, 2007 Pioneer Municipal High Yield Trust [File No. 811-21717] [Rel. No. IC-27764] March 21, 2007 Liberty All-Star Mid-Cap Fund [File No. 811-21733] [Rel. No. IC- 27765] March 21, 2007 Ameritrade Automatic Common Exchange Security Trust [File No. 811-9319] [Rel. No. IC-27766] March 21, 2007 Pioneer AllWeather Fund LLC [File No. 811-21408] [Rel. No. IC- 27767] March 21, 2007 SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES A proposed rule change (SR-Phlx-2006-61) and Amendment No. 2 thereto have been filed by the Philadelphia Stock Exchange relating to order and decorum regulations. Publication is expected in the Federal Register during the week of March 26. (Rel. 34-55492) A proposed rule change has been filed by the International Securities Exchange (SR-ISE-2006-77) relating to penny increments for Block Mechanism Orders under Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 26. (Rel. 34-55493) The American Stock Exchange filed a proposed rule change (SR-Amex- 2007-22) and Amendment No. 1 thereto pursuant to Rule 19b-4 of the Securities Exchange Act of 1934 to amend its Minor Rule Violation Fine Systems. Publication is expected in the Federal Register during the week of March 26. (Rel. 34-55500) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change, as modified by Amendment No. 1 thereto, filed by the Philadelphia Stock Exchange relating to odd lot fees for XLE transactions (SR-Phlx-2007-19) 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 March 26. (Rel. 34-55494) A proposed rule change filed by the Philadelphia Stock Exchange (SR- Phlx-2007-15) to delete the Exchange's Auto-Quote options pricing functionality has become immediately 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 March 26. (Rel. 34-55498) A proposed rule change (SR-Amex-2007-27), as modified by Amendment No. 1 thereto, filed by the American Stock Exchange relating to an amendment to the options marketing fee 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 March 26. (Rel. 34-55499) A proposed rule change (SR-Phlx-2007-22) filed by the Philadelphia Stock Exchange relating to orders with two-day delivery 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 March 26. (Rel. 34-55501) A proposed rule change (SR-ISE-2007-20) filed by the International Securities Exchange relating to Intermarket Sweep Orders 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 March 26. (Rel. 34-55503) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission provided notice of Amendment No. 3 to and granted accelerated approval of a proposed rule change (SR-NYSE-2006-37) as amended, filed by the New York Stock Exchange relating to the establishment of NYSE Bonds. Publication is expected in the Federal Register during the week of March 26. (Rel. 34-55496) 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: . F-10 ENBRIDGE INC, 3000 425 - 1ST STREET SW, CALGARY ALBERTA CANA, A0, T2P 3L8, 4032313900 - 0 ($2,000,000,000.00) Unallocated (Universal) Shelf, (File 333-141478 - Mar. 22) (BR. 04B) S-8 QUADRAMED CORP, 12110 SUNSET HILLS ROAD, SUITE 600, RESTON, VA, 20190, 7037092300 - 0 ($3,475,500.00) Equity, (File 333-141479 - Mar. 22) (BR. 03B) SB-2 Las Rocas Mining Corp., 111 W. GUTIERREZ STREET, SANTA BARBARA, CA, 93101, (805) 259-9707 - 1,000,000 ($25,000.00) Equity, (File 333-141480 - Mar. 22) (BR. 04) S-8 CVS CORP, ONE CVS DR., WOONSOCKET, RI, 02895, 4017651500 - 0 ($4,088,459,092.00) Equity, (File 333-141481 - Mar. 22) (BR. 01C) SB-2 Princeton Security Technologies, Inc., 303 COLLEGE ROAD EAST, PRINCETON, NJ, 08540, 805-708-8418 - 750,000 ($300,000.00) Equity, (File 333-141482 - Mar. 22) (BR. 10) S-3 WHOLESALE AUTO RECEIVABLES LLC, CORPORATE TRUST CENTER, 1209 ORANGE STREET, WILMINGTON, DE, 19801, 3026587851 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-141483 - Mar. 22) (BR. 05D) F-10 GREAT BASIN GOLD LTD, SUITE 1020, 800 WEST PENDER STREET, VANCOUVER, A1, V6C 2V6, 604-684-6365 - 0 ($90,000,000.00) Equity, (File 333-141484 - Mar. 22) (BR. 04A) F-1 ULTRAPETROL BAHAMAS LTD, C/O H&J CORPORATE SVCS LTD, OCEAN CENTER, MONTAGU FORESHORE, EAST BAY ST, PO BOX SS-19084, NASSAU, C5, 00000, 242-364-4755 - 0 ($20,125,000.00) Equity, (File 333-141485 - Mar. 22) (BR. 05C) S-3ASR WYETH, 5 GIRALDA FARMS, MADISON, NJ, 07940, 9736605000 - 0 ($0.00) Non-Convertible Debt, (File 333-141486 - Mar. 22) (BR. 01C) S-8 GLU MOBILE INC, 1800 GATEWAY DR SUITE 200, SAN MATEO, CA, 94404, 650-571-1550 - 0 ($50,470,555.03) Equity, (File 333-141487 - Mar. 22) (BR. 03A) S-3ASR TC PIPELINES LP, 110 TURNPIKE ROAD SUITE 203, WESTBOROUGH, MA, 01581, 5088717046 - 0 ($637,662,599.64) Limited Partnership Interests, (File 333-141488 - Mar. 22) (BR. 02B) F-3 PROGEN INDUSTRIES LTD, 2806 IPSWICH RD, DARRA QUEENSLAND, C3, 4076, 61732739100 - 0 ($60,000,000.00) Other, (File 333-141489 - Mar. 22) (BR. 01B) S-1 MCLEODUSA INC, ONE MARTHA'S WAY, HIAWATHA, IA, 52233, 319 790-7800 - 0 ($172,500,000.00) Equity, (File 333-141490 - Mar. 22) (BR. 11A) S-3 KINDER MORGAN ENERGY PARTNERS L P, 370 VAN GORDON STREET, LAKEWOOD, CO, 80228, 3039144752 - 0 ($4,000,000,000.00) Other, (File 333-141491 - Mar. 22) (BR. 02C) S-8 SE FINANCIAL CORP, 1901-03 E PASSYUNK AVENUE, PHILADELPHIA, PA, 19148, 2154681700 - 320,092 ($4,030,242.00) Equity, (File 333-141492 - Mar. 22) (BR. 07C) S-8 ENTERCOM COMMUNICATIONS CORP, 401 CITY AVENUE, SUITE 809, BALA CYNWYD, PA, 19004, 610-660-5610 - 0 ($103,235,267.52) Equity, (File 333-141493 - Mar. 22) (BR. 11A) S-8 WALT DISNEY CO/, 500 SOUTH BUENA VISTA ST, BURBANK, CA, 91521, 8185601000 - 0 ($1,052,915,000.00) Equity, (File 333-141494 - Mar. 22) (BR. 05C) S-8 RASER TECHNOLOGIES INC, 941 E 3665 S, SLC, UT, 84106, 8012316735 - 3,053,798 ($15,116,300.10) Equity, (File 333-141495 - Mar. 22) (BR. 10C) S-8 SIRENZA MICRODEVICES INC, 303 S TECHNOLOGY COURT, BROOMFIELD, CO, 80021, 3033273030 - 1,850,000 ($14,349,000.00) Equity, (File 333-141496 - Mar. 22) (BR. 10C) N-2 Iron Leaf Capital CORP, 5 EDEN LANE, TIBURON, CA, 94920, (415) 627-8870 - 0 ($115,000,000.00) Equity, (File 333-141497 - Mar. 22) (BR. 16) S-8 American Racing Capital, Inc., 5600 BELL STREET, SUITE 111, AMARILLO, TX, 79106, 8063529599 - 5,000,000 ($1,150,000.00) Equity, (File 333-141500 - Mar. 22) (BR. 05A) S-8 GRAND TOYS INTERNATIONAL LTD, R-UG202 FL-UG2 CHIMACHEN GP, 77 MODY RD. TSIMSHATSUI E., KOWLOON HONG KONG, F4, 00000, 01185227387878 - 2,908,024 ($2,820,783.00) Equity, (File 333-141502 - Mar. 22) (BR. 02C) S-1 CAPELLA EDUCATION CO, 225 SOUTH 6TH STREET, 9TH FLOOR, MINNEAPOLIS, MN, 55402, (612) 659-5360 - 0 ($115,506,000.00) Equity, (File 333-141503 - Mar. 22) (BR. 08A) S-1 Blackstone Group L.P., 345 PARK AVENUE, NEW YORK, NY, 10154, (212) 583-5000 - 0 ($4,000,000,000.00) Equity, (File 333-141504 - Mar. 22) (BR. 06) SB-2 Dunn Mining Inc., 9867 OKANAGAN CENTRE ROAD, LAKE COUNTRY, A1, V4V 2J3, 250-766-0036 - 0 ($81,000.00) Equity, (File 333-141505 - Mar. 22) (BR. 04) F-10 Central Gold-Trust, P.O. BOX 10106, MEADOWLANDS, ANCASTER, A6, L9K 1P3, 905-304-4653 - 0 ($24,999,977.80) Other, (File 333-141506 - Mar. 22) (BR. 04A) S-1 ASIAN FINANCIAL INC, 69930 HIGHWAY 111, SUITE 100, RANCHO MIRAGE, CA, 92270, 760-219-2776 - 19,947,019 ($16,157,085.39) Equity, (File 333-141507 - Mar. 22) (BR. 09A) S-8 ZIX CORP, 2711 NORTH HASKELL AVENUE, SUITE 2300, LB 36, DALLAS, TX, 75204-2960, 214-370-2000 - 1,250,000 ($1,925,000.00) Equity, (File 333-141508 - Mar. 22) (BR. 03C) S-8 LUMINENT MORTGAGE CAPITAL INC, ONE MARKET, SPEAR TOWER, 30TH FLOOR, SAN FRANCISCO, CA, 94105, 415-978-3000 - 0 ($8,765,000.00) Equity, (File 333-141509 - Mar. 22) (BR. 08C) S-3ASR IHS Inc., 15 INVERNESS WAY EAST, ENGLEWOOD, CO, 80112, 303-790-0600 - 0 ($0.00) Other, (File 333-141512 - Mar. 22) (BR. 03B) S-1 TIAA REAL ESTATE ACCOUNT, 730 THIRD AVE, NEW YORK, NY, 10017, 2124909000 - 0 ($4,000,000,000.00) Other, (File 333-141513 - Mar. 22) (BR. 29) S-1 GENWORTH LIFE & ANNUITY INSURANCE CO, 6610 WEST BROAD STREET, RICHMOND, VA, 23230, 804-281-6000 - 0 ($1,000,000,000.00) Other, (File 333-141514 - Mar. 22) (BR. 01B) S-8 VisualMED Clinical Solutions Corp., 1035 LAURIER STREET WEST, MONTREAL, A8, H2V 2L1, (514) 274-1115 - 2,000,000 ($1,900,000.00) Equity, (File 333-141515 - Mar. 22) (BR. 03C) S-1 Limelight Networks, Inc., 2220 W. 14TH STREET, TEMPE, AZ, 85281, 602-850-5000 - 0 ($201,250,000.00) Equity, (File 333-141516 - Mar. 22) (BR. ) S-3 LADENBURG THALMANN FINANCIAL SERVICES INC, 590 MADISON AVENUE 34TH FLOOR, NEW YORK, NY, 10022, 5164701000 - 0 ($8,027,778.42) Equity, (File 333-141517 - Mar. 22) (BR. 06B) S-3 ARCADIA RESOURCES, INC, 26777 CENTRAL PARK BLVD., SUITE 200, SOUTHFIELD, MI, 48076, 248-352-7530 - 0 ($42,800,000.00) Equity, (File 333-141518 - Mar. 22) (BR. 11C) SB-2 CenterStaging Corp., 3407 WINONE AVENUE, BURBANK, CA, 91504, 310-275-4290 - 8,900,000 ($5,429,000.00) Equity, (File 333-141519 - Mar. 22) (BR. 08A) S-1 GATEWAY COMMUNITY FINANCIAL CORP, 381 EGG HARBOR ROAD, SEWELL, NJ, 08080, (856) 589-6600 - 3,570,750 ($35,707,500.00) Equity, (File 333-141520 - Mar. 22) (BR. ) SB-2 CITY LANGUAGE EXCHANGE INC, 2114 ROBIE STREET, SUITE ONE, HALIFAX, A5, B3H 3P4, 902 478 5065 - 189,000 ($18,900.00) Equity, (File 333-141521 - Mar. 22) (BR. ) S-1 NETEZZA CORP, 6 NEW ENGLAND EXECUTIVE PARK, BURLINGTON, MA, 01803, 0 ($100,000,000.00) Equity, (File 333-141522 - Mar. 22) (BR. ) S-1 EVERLAST WORLDWIDE INC, 1350 BROADWAY, FLOOR 23, NEW YORK, NY, 10018, 2122390990 - 0 ($37,950,000.00) Equity, (File 333-141523 - Mar. 22) (BR. 02A) 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 8K ITEM NO. NAME OF ISSUER CODE DATE COMMENT 3COM CORP DE 2.02,5.02,8.01,9.01 03/20/07 AAA Energy Inc. NV 3.02 03/21/07 ACE Securities Corp. Home Equity Loan DE 1.01,9.01 03/22/07 ACE Securities Corp. Home Equity Loan DE 9.01 03/22/07 ACE Securities Corp. Home Equity Loan DE 2.01,9.01 03/02/07 ACTEL CORP CA 1.01,7.01,9.01 03/16/07 ACTIVANT SOLUTIONS INC /DE/ DE 1.01,5.02,9.01 03/19/07 ACTUANT CORP WI 2.02,9.01 03/22/07 Adams Respiratory Therapeutics, Inc. DE 1.01,8.01,9.01 03/21/07 Advanced Life Sciences Holdings, Inc. 2.02,5.05,9.01 03/20/07 AEOLUS PHARMACEUTICALS, INC. DE 7.01,9.01 03/22/07 AEROPOSTALE INC 5.02 03/19/07 AETHLON MEDICAL INC NV 1.01,2.03,3.02,9.01 03/21/07 AFFILIATED COMPUTER SERVICES INC DE 8.01 03/20/07 AGL RESOURCES INC GA 7.01,9.01 03/21/07 AHERN RENTALS INC 8.01,9.01 03/21/07 AIR BROOK AIRPORT EXPRESS INC NJ 1.02,9.01 03/12/07 AIRTRAN HOLDINGS INC NV 7.01,9.01 03/21/07 ALDILA INC DE 7.01,9.01 03/21/07 ALLIANCE IMAGING INC /DE/ DE 1.01,5.02,9.01 03/16/07 AMAZON COM INC DE 5.02 03/19/07 AMC ENTERTAINMENT INC DE 5.02,9.01 03/22/07 AMERICAN ACHIEVEMENT CORP DE 5.02 03/22/07 AMERICAN COMMUNITY PROPERTIES TRUST MD 2.02,9.01 03/22/07 AMERICAN RIVER BANKSHARES CA 8.01,9.01 03/22/07 AMERICAN RIVER BANKSHARES CA 5.02 02/21/07 AMEND AMERIGROUP CORP 7.01 03/22/07 AMERON INTERNATIONAL CORP DE 1.01,2.02 03/21/07 AMERON INTERNATIONAL CORP DE 8.01 03/22/07 AMP PRODUCTIONS LTD NV 5.02 03/22/07 ARGON ST, Inc. DE 8.01 03/22/07 Arkanova Energy Corp NV 5.02 03/19/07 ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 2.02,9.01 12/31/06 ARTES MEDICAL INC 2.02,9.01 03/22/07 ASTRALIS LTD CO 5.02 03/22/07 ATLAS AIR WORLDWIDE HOLDINGS INC DE 5.02 03/22/07 AUTOBYTEL INC DE 5.02,9.01 03/16/07 AVENTINE RENEWABLE ENERGY HOLDINGS IN 8.01,9.01 03/21/07 AVON PRODUCTS INC NY 5.02 03/16/07 B2Digital, Inc. DE 1.01,2.01,3.02,9.01 03/13/07 BAKER HUGHES INC DE 5.02,7.01,8.01,9.01 03/21/07 BANCORPSOUTH INC MS 8.01,9.01 03/21/07 BARNES & NOBLE INC DE 2.02,9.01 03/22/07 Baseline Oil & Gas Corp. NV 5.02 03/21/07 BCSB BANKCORP INC 8.01,9.01 03/21/07 BEAZER HOMES USA INC DE 1.02,5.02,9.01 03/21/07 BELLACASA PRODUCTIONS INC NV 2.01,3.02,5.01,5.02,9.01 03/05/07 BERMAN CENTER, INC. DE 5.02 03/19/07 BERRY PETROLEUM CO DE 1.01,9.01 03/19/07 BIOSTEM, INC. NV 1.01,9.01 03/20/07 BIRNER DENTAL MANAGEMENT SERVICES INC CO 5.02 03/22/07 BLUE NILE INC DE 5.02 03/16/07 BNCCORP INC DE 5.02 03/20/07 BOMBAY COMPANY INC DE 2.02,9.01 03/22/07 BORDERS GROUP INC MI 2.02,9.01 02/03/07 BROADCASTER INC CA 4.01,9.01 03/16/07 BROADVIEW INSTITUTE INC MN 1.01,2.01,9.01 03/16/07 BROWN FORMAN CORP DE 7.01,9.01 03/22/07 BROWN FORMAN CORP DE 5.02 03/22/07 AMEND Bunge LTD 8.01,9.01 03/19/07 CALPINE CORP DE 5.02,9.01 03/19/07 CAMDEN PROPERTY TRUST TX 5.02,9.01 03/16/07 CAPITAL CITY BANK GROUP INC FL 7.01,9.01 03/22/07 CAPTECH FINANCIAL GROUP, INC FL 1.01,5.02,5.03,9.01 10/09/06 CASH AMERICA INTERNATIONAL INC TX 1.01,9.01 03/16/07 CCH II LLC 8.01,9.01 03/19/07 CCO HOLDINGS LLC 8.01,9.01 03/19/07 Cellu Tissue Holdings, Inc. DE 2.01,9.01 03/21/07 Centerplate, Inc. DE 8.01,9.01 03/21/07 CenterStaging Corp. DE 1.01,3.02,9.01 03/19/07 CENVEO, INC CO 8.01,9.01 03/19/07 CHAMPION INDUSTRIES INC WV 2.03 03/20/07 CHARTER COMMUNICATIONS HOLDINGS LLC DE 8.01,9.01 03/19/07 CHARYS HOLDING CO INC 1.01,2.03,9.01 03/06/07 CHATTEM INC TN 2.02,9.01 03/22/07 CHEMUNG FINANCIAL CORP NY 5.02,5.03,9.01 03/22/07 China Junlian Integrated Surveillance NV 5.03,8.01,9.01 03/16/07 CINTAS CORP WA 2.02,9.01 02/28/07 CIT Equipment Collateral 2004-EF1 DE 7.01,9.01 12/31/06 CIT EQUIPMENT COLLATERAL 2004-VT1 DE 7.01,9.01 12/31/06 CIT Equipment Collateral 2005-EF1 7.01,9.01 12/31/06 CIT Equipment Collateral 2005-VT1 7.01,9.01 12/31/06 CIT Equipment Collateral 2006-VT1 7.01,9.01 12/31/06 CIT EQUIPMENT COLLATERAL 2006-VT2 7.01,9.01 12/31/06 CIT HOME EQUITY LOAN TRUST 2002-1 DE 7.01,9.01 12/31/06 CIT HOME EQUITY LOAN TRUST 2003-1 DE 7.01,9.01 12/31/06 CIT HOME EQUITY TRUST 2002-2 DE 7.01,9.01 12/31/06 CIT RV TRUST 1998-A DE 7.01,9.01 12/31/06 CIT RV TRUST 1999-A DE 7.01,9.01 12/31/06 CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 03/22/07 CLAIRES STORES INC DE 1.01,9.01 03/20/07 CLARCOR INC DE 2.02,9.01 03/21/07 COACH INDUSTRIES GROUP INC NV 1.01,9.01 03/16/07 Cobalis Corp NV 1.01,2.03,3.02,5.02,8.01,9.01 03/16/07 Cogdell Spencer Inc. MD 1.01,9.01 03/19/07 AMEND COGNOS INC CA 5.02 03/22/07 COLOMBIA GOLDFIELDS LTD 3.02 03/21/07 COMMSCOPE INC DE 5.02 03/22/07 COMMUNITY BANCORP /VT VT 8.01,9.01 03/22/07 CONAGRA FOODS INC /DE/ DE 2.02,9.01 03/22/07 CORTS TRUST FOR WEYERHAEUSER DEBENTUR DE 8.01,9.01 03/15/07 CRA INTERNATIONAL, INC. MA 2.02,9.01 03/22/07 CRC Health CORP DE 2.02,9.01 03/22/07 CROSSTEX ENERGY INC DE 7.01,9.01 03/20/07 CROSSTEX ENERGY LP DE 7.01,9.01 03/20/07 Crystal River Capital, Inc. MD 2.02,9.01 03/21/07 Crystal River Capital, Inc. MD 1.01,3.02,8.01,9.01 03/20/07 Dekania Corp. DE 8.01,9.01 03/21/07 DELPHAX TECHNOLOGIES INC MN 5.03,9.01 03/22/07 DELTA AIR LINES INC /DE/ DE 1.01,9.01 03/20/07 DEVCON INTERNATIONAL CORP FL 2.01,2.06,7.01,9.01 03/21/07 DIGITAL POWER CORP CA 2.02,9.01 03/21/07 DIVERSA CORP DE 5.02 02/11/07 AMEND DOVER SADDLERY INC 2.02,9.01 03/22/07 DYNATEM INC CA 8.01 03/22/07 DYNATRONICS CORP UT 1.01 03/15/07 E ENERGY ADAMS LLC 1.01,5.02,9.01 03/19/07 EATON VANCE CORP MD 7.01,9.01 03/22/07 ECB BANCORP INC NC 8.01,9.01 03/21/07 ELANDIA, INC. DE 1.01,2.03,9.01 02/16/07 ELECTROGLAS INC DE 8.01,9.01 03/22/07 ELECTROGLAS INC DE 2.02,9.01 03/22/07 EMERGE INTERACTIVE INC DE 2.01,9.01 03/22/07 Emergent BioSolutions Inc. DE 2.02,5.02,9.01 03/22/07 ENER1 INC FL 7.01,9.01 03/19/07 ENER1 INC FL 7.01,9.01 03/21/07 ENERGY XXI (BERMUDA) LTD D0 2.02,9.01 03/21/07 ENPRO INDUSTRIES, INC NC 5.02 03/19/07 ENSCO INTERNATIONAL INC DE 7.01,9.01 03/22/07 Enterprise GP Holdings L.P. DE 8.01,9.01 12/31/06 Enterra Systems Inc. A1 5.02 03/19/07 EPICEPT CORP 2.02,9.01 03/12/07 EQUINIX INC DE 5.02 03/16/07 ESCHELON TELECOM INC 8.01,9.01 03/22/07 EXPRESS SCRIPTS INC DE 8.01 03/22/07 Federal Home Loan Bank of Atlanta X1 2.03 03/20/07 Federal Home Loan Bank of Boston X1 2.03 03/20/07 Federal Home Loan Bank of Chicago X1 2.03 03/20/07 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 03/19/07 Federal Home Loan Bank of Dallas 2.03 03/16/07 Federal Home Loan Bank of Des Moines X1 2.03,9.01 03/20/07 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 03/19/07 Federal Home Loan Bank of New York X1 2.03,9.01 03/19/07 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 03/19/07 Federal Home Loan Bank of San Francis X1 2.03 03/19/07 Federal Home Loan Bank of Seattle 2.03 03/21/07 Federal Home Loan Bank of Topeka 2.03 03/20/07 FEDERAL SIGNAL CORP /DE/ DE 1.01 03/19/07 FENTURA FINANCIAL INC MI 5.02,9.01 03/16/07 FIBERNET TELECOM GROUP INC\ DE 1.01,2.03 03/21/07 FIELDSTONE INVESTMENT CORP 1.01,9.01 03/16/07 FIRST FEDERAL BANKSHARES INC DE 2.01,9.01 03/19/07 FIRST HORIZON NATIONAL CORP TN 5.02,9.01 03/21/07 FIRST NATIONAL LINCOLN CORP /ME/ ME 8.01 03/22/07 FIRSTGOLD CORP. DE 1.01,2.03,3.02,9.01 03/16/07 FLIGHT SAFETY TECHNOLOGIES INC NV 8.01,9.01 03/22/07 FNB United Corp. NC 5.02 03/19/07 FORRESTER RESEARCH INC DE 3.01,9.01 03/19/07 FREDS INC TN 2.02,9.01 03/22/07 Fuel Systems Solutions, Inc. DE 3.01,9.01 03/20/07 G III APPAREL GROUP LTD /DE/ DE 2.02,9.01 03/22/07 GENERAL CABLE CORP /DE/ DE 1.01,2.03,3.03,8.01,9.01 03/21/07 GENERAL METALS CORP DE 1.01,3.02,9.01 03/13/07 GENERAL MILLS INC DE 2.02,9.01 03/22/07 GFR PHARMACEUTICALS INC NV 2.01 03/22/07 GLADSTONE INVESTMENT CORPORATION\DE DE 8.01 03/21/07 GLOBAL PARTNERS LP 4.02 03/16/07 GLOBETEL COMMUNICATIONS CORP DE 5.02 03/21/07 GOLDEN TELECOM INC DE 8.01,9.01 03/22/07 Google Inc. DE 5.02,9.01 03/16/07 GREENE COUNTY BANCORP INC DE 5.02,9.01 03/20/07 GSAMP Trust 2007-NC1 DE 8.01,9.01 02/20/07 GULFMARK OFFSHORE INC DE 1.01,5.02,9.01 03/22/07 GULFMARK OFFSHORE INC DE 7.01,9.01 03/22/07 GULFMARK OFFSHORE INC DE 7.01,9.01 03/22/07 AMEND HANOVER CAPITAL MORTGAGE HOLDINGS INC MD 2.02,8.01,9.01 03/19/07 HARLAND JOHN H CO GA 5.02 03/16/07 HARMONIC INC DE 1.01,9.01 03/21/07 HARVEY ELECTRONICS INC NY 2.02,9.01 03/21/07 Healthsport, Inc. DE 1.01,9.01 03/15/07 AMEND HEARTLAND PAYMENT SYSTEMS INC DE 5.02,9.01 03/16/07 HERBST GAMING INC NV 2.01,9.01 03/22/07 AMEND HERCULES OFFSHORE, INC. DE 1.01,9.01 03/18/07 HICKORY TECH CORP MN 4.01 03/19/07 HIGHWOODS PROPERTIES INC MD 1.01,2.03,5.02,9.01 03/16/07 Home Equity Mortgage Loan Asset-Backe DE 9.01 03/13/07 HOSPIRA INC DE 8.01,9.01 03/20/07 HSI Asset Securitization CORP Trust 2 8.01,9.01 03/08/07 Hyde Park Acquisition CORP DE 8.01,9.01 03/22/07 IBT BANCORP INC /MI/ MI 5.02 03/16/07 ICOP DIGITAL, INC CO 2.02,9.01 03/22/07 IMERGENT INC DE 7.01 03/21/07 IMPLANT SCIENCES CORP MA 5.02 03/20/07 INDUSTRIAL MINERALS INC DE 5.02,9.01 03/19/07 INDYMAC ABS INC DE 9.01 03/22/07 INDYMAC ABS INC DE 8.01 03/21/07 Infosmart Group, Inc. CA 5.02 03/16/07 INNOFONE COM INC NV 8.01 03/19/07 INSITUFORM TECHNOLOGIES INC DE 7.01,9.01 03/16/07 INTAC INTERNATIONAL INC NV 8.01,9.01 03/22/07 INTELLIGENTIAS, INC. 3.02 03/21/07 INTELLIGENTIAS, INC. 3.02,9.01 03/16/07 INTELLIGROUP INC NJ 2.01,9.01 03/22/07 INTER PARFUMS INC DE 2.02 03/22/07 Intermec, Inc. DE 5.02,9.01 03/20/07 INTERMUNE INC DE 8.01 03/22/07 INTERNAP NETWORK SERVICES CORP DE 8.01,9.01 03/21/07 INTERNATIONAL BARRIER TECHNOLOGY INC/ 7.01,9.01 03/19/07 INTERNET COMMERCE CORP DE 8.01,9.01 03/21/07 INTUIT INC DE 1.01,2.03,9.01 03/22/07 J P MORGAN CHASE & CO DE 9.01 03/20/07 JABIL CIRCUIT INC DE 2.02,7.01,9.01 03/22/07 JMAR TECHNOLOGIES INC DE 1.01 03/16/07 JOHNSON CONTROLS INC WI 5.02,9.01 03/21/07 Karver International, Inc. NY 8.01 03/16/07 KB HOME DE 2.02,9.01 03/22/07 KBS Real Estate Investment Trust, Inc MD 8.01 03/15/07 Kentucky First Federal Bancorp 5.02,9.01 03/16/07 Key Hospitality Acquisition CORP DE 1.01,3.02,7.01,8.01,9.01 03/22/07 KILROY REALTY CORP MD 5.02,9.01 03/20/07 KLONDIKE STAR MINERAL CORP DE 2.02,7.01,8.01 03/02/07 AMEND KOMAG INC /DE/ DE 7.01,9.01 03/21/07 KOMAG INC /DE/ DE 8.01,9.01 03/21/07 KOPIN CORP DE 3.01,7.01,9.01 03/22/07 KUHLMAN COMPANY, INC MN 5.02 03/16/07 Lab123, Inc. DE 5.02 03/17/07 LAMSON & SESSIONS CO OH 1.02,5.02,9.01 03/16/07 LANCASTER COLONY CORP OH 2.05,9.01 03/20/07 LEINER HEALTH PRODUCTS INC DE 8.01 03/22/07 LGL GROUP INC IN 8.01,9.01 03/21/07 LHC Group, Inc 8.01,9.01 03/21/07 LINDSAY CORP DE 2.02,5.02,9.01 03/20/07 LogSearch, Inc. NV 1.01,5.01,5.02,9.01 03/21/07 Loma Verde Inc 5.02,5.03,7.01,9.01 03/16/07 M WAVE INC DE 8.01,9.01 03/22/07 MACERICH CO MD 1.01,2.03,3.02,8.01,9.01 03/16/07 MAINSOURCE FINANCIAL GROUP IN 8.01,9.01 03/22/07 MAJESCO ENTERTAINMENT CO DE 3.01 03/16/07 MARCUS CORP WI 1.01,9.01 03/21/07 MARLIN BUSINESS SERVICES CORP 5.02 03/16/07 Marquee Holdings Inc. DE 5.02,9.01 03/22/07 MASTR ASSET BACKED SECURITIES TRUST 2 DE 2.01,9.01 02/06/07 McNab Creek Gold Corp. NV 5.02 03/08/07 MECHANICAL TECHNOLOGY INC NY 5.02,9.01 03/20/07 MEDIA GENERAL INC VA 1.01 03/21/07 MEDICAL SOLUTIONS MANAGEMENT INC. NV 1.01,2.03,3.02 03/16/07 MERCARI COMMUNICATIONS GROUP LTD CO 3.02,5.01 03/21/07 MICROWAVE FILTER CO INC /NY/ NY 3.01 03/22/07 MID AMERICA APARTMENT COMMUNITIES INC TN 5.02 03/22/07 MINERALS TECHNOLOGIES INC DE 8.01 03/22/07 MODINE MANUFACTURING CO WI 2.02,9.01 03/22/07 MONMOUTH CAPITAL CORP NJ 7.01,9.01 03/22/07 MORRIS PUBLISHING FINANCE CO GA 2.02,9.01 12/31/06 MORRIS PUBLISHING GROUP LLC GA 2.02,9.01 12/31/06 MOTHERS WORK INC DE 8.01 03/16/07 MUTUALFIRST FINANCIAL INC MD 8.01,9.01 03/22/07 NATIONAL HEALTHCARE TECHNOLOGY INC CO 5.02 03/14/07 NATIONAL RURAL UTILITIES COOPERATIVE DC 5.02 03/21/07 NEOMEDIA TECHNOLOGIES INC DE 1.01,3.02,9.01 03/16/07 NEW CENTURY FINANCIAL CORP MD 8.01 03/16/07 New York & Company, Inc. 2.02,7.01,9.01 03/22/07 NEWPOWER HOLDINGS INC DE 8.01,9.01 03/20/07 NIKE INC OR 2.02,9.01 03/22/07 NITROMED INC DE 5.02,9.01 03/16/07 NOCOPI TECHNOLOGIES INC/MD/ MD 9.01 03/22/07 NORCROSS SAFETY PRODUCTS LLC DE 2.02,9.01 03/22/07 NORTEL NETWORKS CORP 8.01 03/22/07 NORTEL NETWORKS LTD 8.01 03/22/07 NORTEL NETWORKS LTD 5.02 03/15/07 AMEND NORTHWEST PIPE CO OR 2.02,9.01 03/21/07 NOVADEL PHARMA INC DE 1.02,5.02 03/16/07 Novelis Inc. A6 8.01,9.01 03/22/07 Nuance Communications, Inc. DE 1.01 03/22/07 Nugget Resources Inc. NV 5.02 02/16/07 NUWAY MEDICAL INC DE 3.02,8.01,9.01 03/15/07 O REILLY AUTOMOTIVE INC MO 8.01 03/20/07 OLIN CORP VA 7.01,9.01 03/22/07 OMNIVISION TECHNOLOGIES INC DE 1.01,2.03 03/16/07 ONEOK Partners LP DE 8.01,9.01 03/22/07 ONLINE VACATION CENTER HOLDINGS CORP 1.01,2.01,3.02,9.01 01/05/07 AMEND ONYX PHARMACEUTICALS INC DE 5.02,9.01 03/06/07 AMEND optionsXpress Holdings, Inc. DE 5.02 03/21/07 Pacific Copper Corp. DE 3.02 03/20/07 PACIFICNET INC DE 4.02 03/16/07 PAETEC Holding Corp. 5.02 03/19/07 PALADIN REALTY INCOME PROPERTIES INC MD 8.01 03/20/07 PALM INC DE 2.02,9.01 03/22/07 PDI INC 8.01,9.01 03/22/07 PDL BIOPHARMA, INC. DE 8.01,9.01 03/22/07 PEAPACK GLADSTONE FINANCIAL CORP NJ 4.01,9.01 11/10/06 AMEND PEDIATRIX MEDICAL GROUP INC FL 3.01 03/19/07 PEDIATRIX MEDICAL GROUP INC FL 2.02,4.02 02/27/07 AMEND PEPCO HOLDINGS INC DE 7.01,9.01 03/22/07 PERFICIENT INC DE 4.01,9.01 03/16/07 PetroHunter Energy Corp MD 1.01,7.01,9.01 03/21/07 PIEDMONT NATURAL GAS CO INC NC 7.01,9.01 03/22/07 PIER 1 IMPORTS INC/DE DE 5.02 03/21/07 PILOT THERAPEUTICS HOLDINGS INC DE 8.01,9.01 03/22/07 PIONEER COMPANIES INC DE 1.01,2.03,3.02,7.01,9.01 03/19/07 PIZZA INN INC /MO/ MO 3.01,9.01 03/19/07 PLATINA ENERGY GROUP INC. DE 5.01 03/22/07 PRINCIPAL LIFE INSURANCE CO IA 9.01 03/22/07 PROQUEST CO DE 1.02,3.01,5.02 03/19/07 ProUroCare Medical Inc. 1.01 03/14/07 PRUDENTIAL BANCORP INC OF PENNSYLVANI 7.01,9.01 03/22/07 PSB Holdings, Inc. 8.01,9.01 03/21/07 QMED INC DE 5.02 03/19/07 QUANTUM CORP /DE/ DE 1.01,5.02,9.01 03/17/07 QUEST RESOURCE CORP NV 5.02,9.01 03/16/07 QUICKSILVER RESOURCES INC DE 5.02 03/19/07 RADIATION THERAPY SERVICES INC FL 5.02,9.01 03/20/07 RALCORP HOLDINGS INC /MO MO 8.01,9.01 03/19/07 REMINGTON ARMS CO INC/ DE 1.01 03/16/07 REMINGTON ARMS CO INC/ DE 1.01 03/16/07 AMEND RENHUANG PHARMACEUTICALS INC NV 7.01,9.01 03/20/07 RF MONOLITHICS INC /DE/ DE 2.02,9.01 03/22/07 RGC RESOURCES INC VA 1.01,9.01 03/20/07 RIMAGE CORP MN 5.02 03/19/07 ROCKFORD CORP AZ 7.01,9.01 03/21/07 Ruby Creek Resources Inc A1 5.02 03/16/07 RURAL/METRO CORP /DE/ DE 2.02,7.01,9.01 03/22/07 RUSH ENTERPRISES INC \TX\ TX 1.01,5.02,9.01 03/20/07 Safety Products Holdings, Inc. DE 2.02,9.01 03/22/07 Saxon Asset Securities Trust 2007-1 VA 8.01,9.01 03/07/07 SCHIMATIC CASH TRANSACTIONS NETWORK C FL 5.03,9.01 12/22/06 SCHNITZER STEEL INDUSTRIES INC OR 5.02,9.01 03/22/07 SCHOLASTIC CORP DE 2.02,9.01 03/22/07 SCHULMAN A INC DE 7.01,9.01 03/22/07 SECURED DIGITAL APPLICATIONS INC DE 5.02 03/22/07 SELIGMAN QUALITY MUNICIPAL FUND INC MD 7.01,9.01 03/22/07 SEPRACOR INC /DE/ DE 5.02 02/21/07 SERENA SOFTWARE INC DE 2.02,9.01 03/22/07 SI Financial Group, Inc. X1 5.02,5.03,9.01 03/21/07 SIMTROL INC DE 3.02 03/16/07 AMEND SOLAR ENERTECH CORP NV 1.01,3.02,9.01 03/07/07 AMEND SOUNDVIEW HOME LOAN TRUST 2007-1 DE 2.01 02/16/07 SOURCEFIRE INC DE 8.01,9.01 03/22/07 SOVEREIGN BANCORP INC PA 5.02 03/16/07 Spansion Inc. DE 5.02 03/16/07 Spectrum Brands, Inc. WI 7.01,9.01 03/22/07 SPSS INC DE 2.03,3.02,9.01 03/19/07 SRS LABS INC DE 2.02,9.01 03/22/07 STARTEK INC DE 5.02,9.01 03/19/07 STEC, INC. CA 5.02,9.01 03/20/07 STEWARDSHIP FINANCIAL CORP NJ 3.01,9.01 03/20/07 STRUCTURED PROD CORTS TR II FOR PROVI DE 8.01,9.01 03/15/07 STRUCTURED PRODUCTS CORP CORTS FOR PR DE 8.01,9.01 03/15/07 STRUCTURED PRODUCTS CORP CORTS TR III DE 8.01,9.01 03/15/07 STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 03/15/07 Sugar Creek Financial Corp X1 8.01,9.01 03/21/07 Summer Infant, Inc. DE 7.01 03/21/07 Sun Cal Energy , Inc. NV 1.01,2.01,3.02,9.01 03/12/07 SUN-TIMES MEDIA GROUP INC DE 1.01,9.01 03/16/07 SUNTERRA CORP MD 2.02,9.01 03/21/07 Surfect Holdings, Inc NV 1.01,5.02,9.01 03/16/07 SYNNEX CORP DE 2.02,9.01 03/22/07 TAKE TWO INTERACTIVE SOFTWARE INC DE 5.03,9.01 03/16/07 TARGET LOGISTICS INC DE 1.01,1.02,2.03,9.01 03/19/07 TECHNOLOGY SOLUTIONS COMPANY DE 5.02 03/19/07 TENNECO INC DE 2.03,9.01 03/16/07 TERAYON COMMUNICATION SYSTEMS DE 2.02,9.01 03/22/07 TESSCO TECHNOLOGIES INC DE 7.01,9.01 03/21/07 THERMOENERGY CORP AK 1.01,3.02,9.01 03/21/07 TIDELANDS ROYALTY TRUST B TX 7.01,9.01 03/20/07 TIFFANY & CO DE 8.01,9.01 03/21/07 TIFFANY & CO DE 8.01,9.01 03/21/07 TODCO DE 1.01,3.03,9.01 03/18/07 TOR MINERALS INTERNATIONAL INC DE 1.01,2.03,9.01 03/20/07 TOREADOR RESOURCES CORP DE 1.01,3.02,3.03,9.01 03/21/07 TOREADOR RESOURCES CORP DE 8.01,9.01 03/22/07 TOTAL LUXURY GROUP INC IN 9.01 03/21/07 TOUCHSTONE APPLIED SCIENCE ASSOCIATES DE 5.02,5.03 03/16/07 TOUCHSTONE SOFTWARE CORP /CA/ DE 2.02 03/21/07 TRANSACTION SYSTEMS ARCHITECTS INC DE 5.02,9.01 03/15/07 TRANSNATIONAL FINANCIAL NETWORK INC CA 5.02 03/19/07 TRICO BANCSHARES / CA 4.01 03/15/07 TRICO BANCSHARES / CA 5.02,9.01 03/20/07 Triple Crown Media, Inc. DE 5.02 03/22/07 TRIPOS INC UT 1.01,1.02,2.01,2.04,5.02,8.01 03/20/07 TRUEYOU.COM DE 1.01,2.03 03/16/07 TSB Financial CORP NC 5.02 03/16/07 AMEND U S GOLD CORP CO 7.01,8.01,9.01 03/22/07 U S GOLD CORP CO 7.01,8.01,9.01 03/22/07 U S GOLD CORP CO 7.01,8.01,9.01 03/22/07 uBid.com Holdings, Inc. DE 2.02,9.01 03/22/07 UDR, Inc. MD 8.01,9.01 03/20/07 ULTICOM INC NJ 2.02,7.01,9.01 03/22/07 UNIVERSAL INSURANCE HOLDINGS, INC. DE 1.01,5.02,9.01 03/21/07 UNIVERSAL TRAVEL GROUP NV 2.02,7.01 03/19/07 UTEK CORP 5.02,9.01 03/20/07 VERAMARK TECHNOLOGIES INC DE 5.02 03/19/07 VERINT SYSTEMS INC 2.02,5.02,7.01,9.01 03/22/07 VERTRUE INC DE 1.01,9.01 03/22/07 VITA EQUITY INC 5.03,7.01,9.01 03/07/07 Voyager Petroleum, Inc. NV 1.01,5.02,9.01 03/16/07 Voyager Petroleum, Inc. NV 1.01,5.02,9.01 03/16/07 AMEND WASTE INDUSTRIES USA INC NC 8.01,9.01 03/22/07 WAYNE SAVINGS BANCSHARES INC /DE/ DE 7.01,9.01 03/22/07 WEB.COM, INC. MN 8.01 03/14/07 AMEND WESBANCO INC WV 8.01,9.01 03/22/07 WHEELING PITTSBURGH CORP /DE/ DE 8.01,9.01 03/16/07 WHEELING PITTSBURGH CORP /DE/ DE 1.01,9.01 03/16/07 WHERIFY WIRELESS INC DE 1.01,2.03,5.02 03/02/07 Willdan Group, Inc. DE 2.02,9.01 03/22/07 WILLIAMS SONOMA INC CA 2.02,7.01,9.01 03/22/07 WIZZARD SOFTWARE CORP /CO CO 2.01,2.03,3.02,5.02,7.01,9.01 03/16/07 WYETH DE 8.01 03/22/07 YELLOWCAKE MINING INC. NV 1.01,3.02 03/16/07 Zagg INC 4.01,9.01 03/22/07 AMEND ZIFF DAVIS HOLDINGS INC DE 2.02,9.01 03/22/07