SEC NEWS DIGEST Issue 2006-170 September 1, 2006 RULES AND RELATED MATTERS ORDER GRANTING AN EXEMPTION FOR QUALIFIED CONTINGENT TRADES FROM CERTAIN PROVISIONS OF RULE 611 OF REGULATION NMS The Commission issued an order exempting each NMS stock component of qualified contingent trades from Rule 611(a) of Regulation NMS under the Securities Exchange Act of 1934. (Rel. 34-54389) APPROVAL OF PROPOSED PLAN FOR ALLOCATION OF REGULATORY RESPONSIBILITIES PURSUANT TO RULE 17d-2 BETWEEN NYSE ARCA, INC. AND THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. The Commission approved and declared effective a proposed plan for allocation of regulatory responsibilities pursuant to Rule 17d-2 under the Securities Exchange Act of 1934 (File No. 4-523) submitted by the NYSE Arca and the National Association of Securities Dealers. Publication is expected in the Federal Register during the week of September 4. (Rel. 34-54394) ENFORCEMENT PROCEEDINGS COMMISSION DECLARES DECISION AS TO PAUL FLYNN FINAL The decision of an administrative law judge dismissing proceedings against Paul A. Flynn has become final. The law judge found that there was insufficient evidence to demonstrate that Flynn aided and abetted or was a cause of violations by Security Trust Company N.A. and two of its hedge fund clients involving late trading and deceptive market timing of mutual fund shares. (Rels. 33-8787; 34-54390; IA-2543; IC- 27474; File No. 3-11390) JUDGMENT OF PERMANENT INJUNCTION AND OTHER RELIEF ENTERED AGAINST DEFENDANT DAVID SMITH, JR. The Commission announced that on Aug. 7, 2006, the Honorable Gregory A. Presnell U.S. District Judge for the Middle District of Florida entered a Judgment of Permanent Injunction and Other Relief against Defendant David L. Smith (Smith). The Judgment, entered with the consent of Smith, without admitting or denying the allegations of the SEC's complaint, enjoins him from violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Sections 10(b), 13(d) and 16(a) of the Securities Exchange Act of 1934, and Rules 10b-5, 13a-14, 13d-2 and 16a-3(a) thereunder, and aiding and abetting in violation of Section 13(a) of the Exchange Act and Rules 13a-13 and 12b-20 thereunder. The Judgment also bars Smith from participating in an offer or sale of a penny and prohibits him from acting as an officer or director of any issuer that has securities registered pursuant to Section 12 of the Exchange Act. In addition, the Judgment provides for disgorgement and the imposition of a civil penalty in amounts to be determined by the Court upon the SEC's motion. The SEC commenced this action by filing its complaint against Smith, among others, alleging the defendants violated the registration, antifraud, and reporting provisions of the federal securities laws. [SEC v. Roanoke Technology Corp., et al., Case No. 6:05-cv-1880-Orl- 31KRS (M.D.Fla.)] (LR-19818) INVESTMENT COMPANY ACT RELEASES PRINCIPAL LIFE INSURANCE COMPANY, ET AL. A notice has been issued giving interested persons until September 25 to request a hearing on an application filed by Principal Life Insurance Company (Principal), Principal Life Insurance Company Variable Life Separate Account (Account), and Princor Financial Services (collectively, Applicants). Applicants seek an order under Section 11(a) of the Investment Company Act approving the terms of a proposed offer of exchange of certain new flexible variable universal life insurance policies issued by Principal and participating in the Account for certain outstanding flexible variable universal life insurance policies issued by Principal and participating in the Account. (Rel. IC-27471 - August 29) ADVISORONE FUNDS, ET AL. A notice has been issued giving interested persons until September 25 to request a hearing on an application filed by AdvisorOne Funds and Dunham & Associates Investment Counsel, Inc. for an order granting an exemption from Section 15(a) of the Investment Company Act and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval. (Rel. IC-27472 - August 29) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-OCC-2005-23) filed by The Options Clearing Corporation to amend OCC's By-Laws and Rules to eliminate certain restrictions on and to clarify the use of margin in the liquidation of a suspended Clearing Member. Publication is expected in the Federal Register during the week of September 4. (Rel. 34-54382) The Commission approved a proposed rule change (SR-NSX-2006-08) and Amendment No. 1 thereto and granted accelerated approval to Amendment No. 2 to the proposed rule change submitted by the National Stock Exchange to amend its trading rules to provide for a strict price-time priority market and other related changes. Publication is expected in the Federal Register during the week of September 4. (Rel. 34-54391) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-CBOE-2006-75) filed by the Chicago Board Options Exchange relating to the extension of its dividend, merger, and short stock interest strategies fee cap pilot program 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 September 4. (Rel. 34-54383) A proposed rule change (SR-Amex-2006-75) filed by the American Stock Exchange relating to the extension of a pilot program that increases position and exercise limits for equity options and options on the Nasdaq-100 Tracking Stock 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 September 4. (Rel. 34-54386) A proposed rule change (SR-Phlx-2006-48) filed by the Philadelphia Stock Exchange relating to the extension of a pilot program concerning option position limits 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 September 4. (Rel. 34-54387) A proposed rule change (SR-BSE-2006-32) filed by the Boston Stock Exchange relating to its Boston Options Exchange trading rules regarding the extension of a pilot program that increases the standard position and exercise limits for certain options traded 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 September 4. (Rel. 34-54388) 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-8 BISYS GROUP INC, 105 EISENHOWER PARKWAY, ROSELAND, NJ, 07068, 973-461-2500 - 0 ($16,192,000.00) Equity, (File 333-137005 - Aug. 31) (BR. 07C) S-3 Stereotaxis, Inc., 4041 FOREST PARK AVENUE, ST.LOUIS, MO, 63108, 314-615-6940 - 0 ($12,705,373.00) Equity, (File 333-137006 - Aug. 31) (BR. 10C) S-3 Stereotaxis, Inc., 4041 FOREST PARK AVENUE, ST.LOUIS, MO, 63108, 314-615-6940 - 0 ($66,000,000.00) Other, (File 333-137007 - Aug. 31) (BR. 10C) SB-2 Ascent Solar Technologies, Inc., 8120 SHAFFER PARKWAY, LITTLETON, CO, 80127, 303 420 1141 - 0 ($3,929,977.94) Other, (File 333-137008 - Aug. 31) (BR. 10A) S-3ASR CLEAR CHANNEL COMMUNICATIONS INC, 200 E BASSE RD, SAN ANTONIO, TX, 78209, 2108222828 - 0 ($0.00) Other, (File 333-137009 - Aug. 31) (BR. 11B) S-8 CONCEPTUS INC, 1021 HOWARD AVE, SAN CARLOS, CA, 94070, 4158027240 - 0 ($28,303,000.00) Equity, (File 333-137010 - Aug. 31) (BR. 10A) S-4 STERLING FINANCIAL CORP /WA/, 111 N WALL ST, SPOKANE, WA, 99201, 509-354-8165 - 0 ($172,590,435.00) Equity, (File 333-137011 - Aug. 31) (BR. 07A) S-4 AMERICAN PHYSICIANS SERVICE GROUP INC, 1301 CAPITAL OF TEXAS HWY, C-300, AUSTIN, TX, 78746, 5123280888 - 0 ($36,920,000.00) Equity, (File 333-137012 - Aug. 31) (BR. 08B) S-4 UNIONBANCORP INC, 321 WEST MAIN STREET, --, OTTAWA, IL, 61350, 815-431-2720 - 0 ($53,073,544.00) Equity, (File 333-137013 - Aug. 31) (BR. 07A) S-8 TRUDY CORP, 353 MAIN AVE, PO BOX 679, NORWALK, CT, 06851, 2038462274 - 12,500,000 ($131,250.00) Equity, (File 333-137014 - Aug. 31) (BR. 05B) S-8 MARSHALL & ILSLEY CORP/WI/, ATTN: OFFICE OF THE GENERAL COUNSEL, 770 NORTH WATER STREET, MILWAUKEE, WI, 53202, 4147657801 - 250,000 ($11,587,500.00) Equity, (File 333-137016 - Aug. 31) (BR. 07A) S-8 MONACO COACH CORP /DE/, 91320 COBURG INDUSTRIAL WY, COBURG, OR, 97408, 5416868011 - 0 ($22,308,000.00) Equity, (File 333-137017 - Aug. 31) (BR. 05C) S-3 FIRST HORIZON ASSET SECURITIES INC, 4000 HORIZON WAY, IRVING, TX, 75063, 9724845600 - 1,000,000 ($1,000,000.00) Mortgage Backed Securities, (File 333-137018 - Aug. 31) (BR. 05D) S-1 SORL Auto Parts Inc, NO. 1169 YUMENG ROAD, RUIAN ECONOMIC DEVELOPMENT ZONE, RUIAN CITY, ZHEJIANG, F4, 325200, 86-577-65817720 - 0 ($34,500,000.00) Equity, (File 333-137019 - Aug. 31) (BR. 02B) S-8 GREAT AMERICAN FINANCIAL RESOURCES INC, 250 EAST FIFTH STREET, CINCINNATI, OH, 45202, 513-333-5300 - 500,000 ($10,205,000.00) Equity, (File 333-137020 - Aug. 31) (BR. 01A) S-8 KRAFT FOODS INC, THREE LAKES DRIVE, NORTHFIELD, IL, 60093, 8476462000 - 0 ($3,613,500,000.00) Equity, (File 333-137021 - Aug. 31) (BR. 04C) S-8 OMNI ENERGY SERVICES CORP, 4500 NE INTERSTATE 49, CARENCRO, LA, 70520, 3188966664 - 250,000 ($2,257,500.00) Equity, (File 333-137022 - Aug. 31) (BR. 04A) SB-2 BEDMINSTER NATIONAL CORP, 90 WASHINGTON VALLEY ROAD, BEDMINSTER, NJ, 07921, 908-719-8940 - 101,100,000 ($1,110,000.00) Equity, (File 333-137023 - Aug. 31) (BR. 08C) S-1 WESTFIELD FINANCIAL INC, 141 ELM STREET, WESTFIELD, MA, 01085, 4135681911 - 0 ($344,115,990.00) Equity, (File 333-137024 - Aug. 31) (BR. 07C) S-8 COLDWATER CREEK INC, ONE COLDWATER CREEK DRIVE, SANDPOINT, ID, 83864, 2082632266 - 0 ($124,875,000.00) Equity, (File 333-137025 - Aug. 31) (BR. 02C) S-3ASR DOMINION RESOURCES INC /VA/, 120 TREDEGAR STREET, RICHMOND, VA, 23219, 8048192000 - 0 ($0.00) Equity, (File 333-137026 - Aug. 31) (BR. 02A) S-8 AVICI SYSTEMS INC, 101 BILLERICA AVENUE, NORTH BILLERICA, MA, 01862, 9789642000 - 46,396 ($365,136.52) Equity, (File 333-137028 - Aug. 31) (BR. 03C) S-3 ARENA PHARMACEUTICALS INC, 6166 NANCY RIDGE DR, SAN DIEGO, CA, 92121, 8584537200 - 0 ($148,250,000.00) Equity, (File 333-137030 - Aug. 31) (BR. 01C) S-3ASR CORPORATE OFFICE PROPERTIES TRUST, 8815 CENTRE PARK DR, SUITE 400, COLUMBIA, MD, 21045, 6105381800 - 0 ($0.00) Equity, (File 333-137031 - Aug. 31) (BR. 08A) SB-2 INNOVATIVE CARD TECHNOLOGIES INC, 11601 WILSHIRE BOULEVARD, SUITE 2150, LOS ANGELES, CA, 90025, 310-312-0700 - 5,300,974 ($24,822,548.65) Equity, (File 333-137032 - Aug. 31) (BR. 10) S-8 INNOVATIVE CARD TECHNOLOGIES INC, 11601 WILSHIRE BOULEVARD, SUITE 2150, LOS ANGELES, CA, 90025, 310-312-0700 - 2,215,000 ($4,208,700.00) Equity, (File 333-137033 - Aug. 31) (BR. 10) S-1 SMART VIDEO TECHNOLOGIES INC, 3505 KOGER BOULEVARD, SUITE 400, DELUTH, GA, 30093, 7072793100 - 15,560,000 ($14,344,400.00) Equity, (File 333-137034 - Aug. 31) (BR. 08C) F-3 CANADIAN SUPERIOR ENERGY INC, 3300 400 3RD AVENUE SW, CALGARY, A0, 00000, 0 ($16,324,000.00) Equity, (File 333-137035 - Aug. 31) (BR. 04B) S-8 RENASANT CORP, 209 TROY ST, P O BOX 709, TUPELO, MS, 38802, 6016801001 - 975,000 ($29,152,500.00) Equity, (File 333-137037 - Aug. 31) (BR. 07B) S-1 WSB Financial Group, Inc., 607 PACIFIC AVENUE, BREMERTON, WA, 98337, (360) 405-1200 - 0 ($35,000,000.00) Equity, (File 333-137038 - Aug. 31) (BR. 07) SB-2 YUKON GOLD CORP INC, SUITE 408 747 BAY ST, TORONTO ONTARIO, A6, 00000, 8,993,364 ($12,141,041.00) Equity, (File 333-137039 - Aug. 31) (BR. 09B) S-8 FIRST AVENUE NETWORKS INC, 230 COURT SQUARE, SUITE 202, CHARLOTTESVILLE, VA, 22902, 434 220 4988 - 0 ($127,426,706.52) Equity, (File 333-137040 - Aug. 31) (BR. 11C) 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 ----------------------------------------------------------------------------------------------------- 360 GLOBAL WINE CO NV 5.02 08/25/06 ABERCROMBIE & FITCH CO /DE/ DE 7.01,9.01 08/31/06 ABFC 2006-OPT1 Trust DE 2.01 08/30/06 ACE Securities Corp. Home Equity Loan DE 9.01 08/30/06 ACR GROUP INC TX 7.01,9.01 08/31/06 ACTIVIDENTITY CORP DE 1.01 08/31/06 ADVANCED NUTRACEUTICALS INC/TX TX 7.01,8.01,9.01 08/31/06 ADVO INC DE 8.01,9.01 08/30/06 AEROPOSTALE INC 7.01,9.01 08/31/06 AFFYMETRIX INC DE 2.02,9.01 08/30/06 Aftersoft Group DE 2.01,3.02,8.01,9.01 08/25/06 Akeena Solar, Inc. DE 2.02,9.01 08/30/06 ALIGN TECHNOLOGY INC DE 8.01,9.01 08/30/06 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 08/31/06 ALLIANCE ONE INTERNATIONAL, INC. VA 4.02 08/31/06 ALLIED WASTE INDUSTRIES INC DE 5.02 08/25/06 AMARU INC NV 5.02 08/31/06 AMEREN CORP MO 5.02 08/25/06 AMERICAN COMMUNITY PROPERTIES TRUST MD 1.01,9.01 08/30/06 AMERICAN OIL & GAS INC NV 1.01,9.01 07/12/06 American Telecom Services Inc 2.02,9.01 08/31/06 American Telecom Services Inc 2.02,9.01 08/31/06 ANDRESMIN GOLD CORP MT 5.02 03/29/06 ANDREW CORP DE 7.01,9.01 08/30/06 ANNTAYLOR STORES CORP DE 7.01,9.01 08/31/06 ANTS SOFTWARE INC DE 8.01 08/31/06 ARCH CAPITAL GROUP LTD. 1.01,2.03,9.01 08/30/06 Arch Management Services Inc. NV 5.01,9.01 08/22/06 ARGENTA SYSTEMS INC NV 1.01,3.02,5.01,5.02,5.03,9.01 08/25/06 ASSOCIATED BANC-CORP WI 8.01 08/31/06 ASSURANT INC 8.01,9.01 08/30/06 AUTO DATA NETWORK DE 8.01 08/29/06 AVATAR HOLDINGS INC DE 2.03 08/28/06 AVON PRODUCTS INC NY 1.01,2.03,9.01 08/28/06 BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 08/31/06 BAUSCH & LOMB INC NY 1.01 08/28/06 BCAP LLC Trust 2006-AA1 8.01,9.01 08/31/06 Bear Stearns Mortgage Funding Trust 2 DE 9.01 08/30/06 BEBE STORES INC CA 2.02,9.01 08/26/06 Behringer Harvard Opportunity REIT I, MD 9.01 07/13/06 AMEND BENIHANA INC DE 1.01,9.01 08/28/06 BIOACCELERATE HOLDINGS INC NV 1.01,9.01 08/25/06 BIODELIVERY SCIENCES INTERNATIONAL IN DE 7.01,8.01,9.01 08/30/06 BIODELIVERY SCIENCES INTERNATIONAL IN DE 1.02,7.01,9.01 08/30/06 BIRNER DENTAL MANAGEMENT SERVICES INC CO 8.01 08/31/06 BLYTH INC DE 2.02 08/31/06 BON TON STORES INC PA 2.05,7.01,9.01 08/25/06 Brand Energy & Infrastructure Service DE 8.01,9.01 08/31/06 BRIGGS & STRATTON CORP WI 5.02 08/31/06 BRISTOL MYERS SQUIBB CO DE 2.02,9.01 08/31/06 BROOKE CORP KS 2.03,9.01 08/29/06 BROWN FORMAN CORP DE 2.02,9.01 08/31/06 CALLWAVE INC 5.02,9.01 08/25/06 CANO PETROLEUM, INC 1.01,3.02,9.01 08/25/06 AMEND CAPITAL ONE FINANCIAL CORP DE 8.01,9.01 08/29/06 CardioVascular BioTherapeutics, Inc. DE 5.02 08/28/06 CARMIKE CINEMAS INC DE 4.01,9.01 08/29/06 CENTENE CORP 1.02,2.02,9.01 08/25/06 CENTRA FINANCIAL HOLDINGS INC WV 2.01,9.01 08/25/06 CENTRUE FINANCIAL CORP DE 8.01,9.01 08/31/06 CERUS CORP DE 8.01,9.01 08/31/06 CHARLES RIVER LABORATORIES INTERNATIO 3.01 08/25/06 CHEMOKINE THERAPEUTICS CORP DE 8.01 08/29/06 China Mineral Acquisition CORP 1.02,9.01 08/31/06 CIENA CORP DE 2.02,9.01 08/31/06 CIROND CORP NV 5.03,9.01 08/31/06 CITIGROUP INC DE 8.01,9.01 08/31/06 Citigroup Mortgage Loan Trust 2006-AR 9.01 08/31/06 CLAIMSNET COM INC DE 1.01,2.03,9.01 08/29/06 CLAIRES STORES INC DE 2.02,9.01 08/31/06 CLARION TECHNOLOGIES INC/DE/ DE 5.02 08/25/06 CLEARONE COMMUNICATIONS INC UT 8.01 08/31/06 CNL RETIREMENT PROPERTIES INC MD 8.01,9.01 08/31/06 COMERICA INC /NEW/ DE 5.02,9.01 08/31/06 COMMUNITY CAPITAL BANCSHARES INC 1.01,5.05,9.01 08/28/06 CONCURRENT COMPUTER CORP/DE DE 1.01,9.01 08/31/06 CONNS INC DE 1.01,9.01 08/28/06 CONSORTIUM SERVICE MANAGEMENT GROUP I TX 8.01 08/24/06 COOPER TIRE & RUBBER CO DE 1.01,9.01 08/30/06 COREL CORP A6 1.01,9.01 08/28/06 CORPORATE OFFICE PROPERTIES TRUST MD 8.01,9.01 08/31/06 CORPORATE REALTY INCOME FUND I L P DE 1.02 08/25/06 CORUS BANKSHARES INC MN 1.01,5.05,8.01,9.01 08/29/06 CRUSADE MANAGEMENT LTD 8.01,9.01 08/30/06 CRUSADE MANAGEMENT LTD 8.01,9.01 08/30/06 DANKA BUSINESS SYSTEMS PLC 2.01,9.01 08/31/06 DEBT RESOLVE INC DE 5.03,9.01 08/25/06 DEL GLOBAL TECHNOLOGIES CORP NY 1.01,1.02,5.02,9.01 08/27/06 DEL MONTE FOODS CO DE 2.02,7.01,9.01 08/31/06 DELPHI CORP DE 7.01,9.01 08/31/06 DETTO DE 1.01,3.02,5.02 07/27/06 DIASENSE INC/PA PA 5.02 08/31/06 DILLARDS INC DE 7.01,9.01 08/31/06 DIRT MOTOR SPORTS, INC. DE 5.02,9.01 08/31/06 DIVERSIFAX INC DE 5.01,5.02,9.01 08/25/06 DOLLAR GENERAL CORP TN 2.02,7.01,9.01 08/31/06 DOW CHEMICAL CO /DE/ DE 2.05,2.06,8.01 08/29/06 DRESS BARN INC CT 2.02,9.01 08/31/06 DTE ENERGY CO MI 8.01,9.01 08/31/06 DYCOM INDUSTRIES INC FL 1.01,2.02,9.01 08/25/06 DYNAVAX TECHNOLOGIES CORP DE 1.01,9.01 08/31/06 E ENERGY ADAMS LLC 1.01,2.03 08/25/06 EARTH BIOFUELS INC DE 1.01,9.01 08/31/06 EDGE PETROLEUM CORP DE 2.02,9.01 08/31/06 ELECTRONIC DATA SYSTEMS CORP /DE/ DE 1.01,9.01 08/25/06 EMAGIN CORP DE 8.01,9.01 08/31/06 EMC INSURANCE GROUP INC IA 7.01 08/31/06 ENTEGRIS INC MN 1.01,7.01,9.01 08/30/06 EOG RESOURCES INC DE 3.01,7.01 08/31/06 EQUITY ONE, INC. 1.01 08/31/06 ESTERLINE TECHNOLOGIES CORP DE 2.02,9.01 08/31/06 ETHAN ALLEN INTERIORS INC DE 7.01,9.01 08/31/06 EUROWEB INTERNATIONAL CORP DE 1.01,9.01 08/30/06 EXELON CORP PA 8.01,9.01 08/29/06 FACTORY CARD & PARTY OUTLET CORP DE 2.02,9.01 08/31/06 FAMILY DOLLAR STORES INC DE 2.02,9.01 08/31/06 FBL FINANCIAL GROUP INC IA 7.01 08/31/06 Federal Home Loan Bank of Atlanta X1 2.03 08/28/06 Federal Home Loan Bank of Boston X1 2.03 08/28/06 Federal Home Loan Bank of Chicago X1 2.03 08/28/06 Federal Home Loan Bank of Dallas 2.03 08/28/06 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/28/06 Federal Home Loan Bank of New York X1 2.03,8.01,9.01 08/17/06 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/28/06 Federal Home Loan Bank of San Francis X1 2.03 08/28/06 Federal Home Loan Bank of San Francis X1 5.02 08/31/06 Federal Home Loan Bank of Seattle 2.03 08/30/06 Federal Home Loan Bank of Topeka 2.03 08/29/06 FINISH LINE INC /IN/ IN 2.02,9.01 08/31/06 FIRST MIDWEST BANCORP INC DE 5.02 08/31/06 FIRST NATIONAL FUNDING LLC NE 8.01,9.01 08/15/06 FIRST UNITED ETHANOL LLC 7.01,9.01 08/30/06 FLUSHING FINANCIAL CORP DE 1.01 08/15/06 FORD CREDIT AUTO OWNER TRUST 2006-B DE 1.01,9.01 08/29/06 FORD MOTOR CO DE 8.01,9.01 08/31/06 FORD MOTOR CREDIT CO DE 8.01,9.01 08/31/06 FREZER, INC. NV 4.02 08/10/06 AMEND GALLAGHER ARTHUR J & CO DE 8.01,9.01 08/30/06 GAMETECH INTERNATIONAL INC DE 1.01,7.01,9.01 08/30/06 GAP INC DE 7.01,9.01 08/31/06 GATX CORP NY 8.01,9.01 08/31/06 Gener8xion Entertainment, Inc. NY 1.01,9.01 08/28/06 GENIUS PRODUCTS INC DE 8.01,9.01 08/31/06 GENSYM CORP DE 2.05,8.01,9.01 08/30/06 GIFT LIQUIDATORS INC OK 1.01,3.02,9.01 08/31/06 GILEAD SCIENCES INC DE 8.01,9.01 08/29/06 GLOBAL ENTERTAINMENT HOLDINGS/EQUITIE CO 5.03,9.01 08/28/06 GOLF TRUST OF AMERICA INC MD 8.01,9.01 08/23/06 GREAT LAKES DREDGE & DOCK CORP DE 1.01,9.01 08/31/06 GREAT WALL ACQUISITION CORP DE 2.02,4.02,9.01 08/10/06 GREATER BAY BANCORP CA 1.02 08/31/06 GRUBB & ELLIS CO DE 2.02,9.01 08/30/06 GUESS INC DE 7.01,9.01 08/31/06 H&R BLOCK INC MO 2.02,9.01 08/31/06 HANDLEMAN CO /MI/ MI 5.02,9.01 08/26/06 HANOVER INSURANCE GROUP, INC. DE 8.01 08/31/06 Harbin Electric, Inc 8.01,9.01 08/31/06 HARRIS CORP /DE/ DE 1.01,9.01 08/25/06 HARTE HANKS INC DE 7.01,8.01,9.01 08/29/06 HEINZ H J CO PA 2.02 08/31/06 HELMERICH & PAYNE INC DE 8.01,9.01 08/30/06 HINES REAL ESTATE INVESTMENT TRUST IN 8.01 08/31/06 HOLLY ENERGY PARTNERS LP DE 1.01 08/28/06 HOME FEDERAL BANCORP IN 8.01,9.01 08/31/06 HUDSON HIGHLAND GROUP INC DE 5.02,9.01 08/30/06 HYPERFEED TECHNOLOGIES INC DE 1.01,9.01 08/25/06 Icon Development, Inc. NV 8.01,9.01 08/22/06 ILX RESORTS INC AZ 7.01,9.01 08/21/06 AMEND IMAGE ENTERTAINMENT INC DE 1.01,3.02,9.01 08/30/06 IMMTECH PHARMACEUTICALS, INC. DE 3.02 08/31/06 India Globalization Capital, Inc. MD 9.01 03/08/06 AMEND INFRASOURCE SERVICES INC DE 1.01,5.02,9.01 08/28/06 Ingen Technologies, Inc. 1.01,2.03,3.02,9.01 08/29/06 INTERGRAPH CORP DE 1.01,3.03,7.01,9.01 08/31/06 INTERNET SECURITY SYSTEMS INC/GA DE 1.01 08/23/06 INTERVIDEO INC CA 1.01,9.01 08/28/06 IONATRON, INC. DE 8.01 08/23/06 IRWIN FINANCIAL CORP IN 8.01,9.01 08/31/06 ITLA CAPITAL CORP CA 7.01 08/31/06 J P MORGAN ACCEPTANCE CORP I DE 8.01,9.01 08/31/06 J P MORGAN CHASE & CO DE 9.01 08/29/06 JO-ANN STORES INC OH 7.01,9.01 08/31/06 JONES FINANCIAL COMPANIES LP LLP MO 1.01,7.01,9.01 08/29/06 JONES SODA CO WA 5.02 08/28/06 JUPITER MARINE INTERNATIONAL HOLDINGS FL 1.01,9.01 08/31/06 JWH GLOBAL TRUST 4.01,5.02,9.01 08/31/06 KIRKLANDS INC 2.02,9.01 08/29/06 KOHLS CORPORATION WI 7.01,9.01 08/31/06 KRISPY KREME DOUGHNUTS INC NC 8.01 08/25/06 LAKELAND INDUSTRIES INC DE 2.02 08/31/06 LAND O LAKES INC 8.01 08/29/06 Lawson Software, Inc. MN 2.02,9.01 08/29/06 LEHMAN ABS CORP GEN ELEC CAP SERVICES DE 8.01,9.01 08/21/06 Lehman GPMF Trust Series 2006-AR4 DE 8.01,9.01 08/31/06 Lehman XS 2006-13 DE 8.01 08/31/06 Lehman XS Trust Series 2006-14N DE 8.01,9.01 08/31/06 LEVITT CORP FL 1.01 08/28/06 LIGHTPATH TECHNOLOGIES INC DE 2.02,9.01 08/30/06 Lincoln Park Bancorp 5.02,9.01 08/29/06 LINN ENERGY, LLC DE 7.01,9.01 08/31/06 LION-GRI INTERNATIONAL, INC CO 5.03 08/31/06 LITTLEFIELD CORP DE 4.02 08/14/06 AMEND LOCKHEED MARTIN CORP MD 8.01,9.01 08/30/06 LONGS DRUG STORES CORP MD 7.01,9.01 08/31/06 M WAVE INC DE 1.01,5.02 08/25/06 MANNATECH INC TX 8.01,9.01 08/28/06 MATTEL INC /DE/ DE 7.01,9.01 08/31/06 MB FINANCIAL INC /MD MD 1.01,2.01,5.02,9.01 08/25/06 MBT FINANCIAL CORP MI 8.01,9.01 08/29/06 MDU RESOURCES GROUP INC DE 8.01 08/31/06 MEADE INSTRUMENTS CORP DE 3.01,9.01 08/29/06 MEDAREX INC NJ 2.04,9.01 08/25/06 MEDIMMUNE INC /DE DE 1.01,9.01 08/31/06 MERITAGE HOSPITALITY GROUP INC MI 2.01,2.03,9.01 08/25/06 MERIX CORP OR 9.01 08/31/06 MERRILL LYNCH & CO INC DE 8.01,9.01 08/25/06 MICROMET, INC. DE 1.01,3.02,9.01 08/30/06 MIDDLEBY CORP DE 8.01,9.01 08/31/06 MILLS CORP DE 1.01 08/25/06 MIPS TECHNOLOGIES INC DE 8.01,9.01 08/30/06 MISCOR GROUP, LTD. 1.01,9.01 08/31/06 MORGAN STANLEY DE 9.01 08/31/06 MQ ASSOCIATES INC 5.02 08/28/06 MWI Veterinary Supply, Inc. DE 5.02,8.01 08/29/06 NATIONAL COAL CORP FL 4.01,9.01 08/25/06 NATIONAL PENN BANCSHARES INC PA 8.01 08/30/06 NATROL INC DE 1.01,2.03,9.01 08/25/06 NCI BUILDING SYSTEMS INC DE 2.02,9.01 08/30/06 Neiman Marcus, Inc. DE 2.02,7.01,9.01 08/31/06 NEOMEDIA TECHNOLOGIES INC DE 8.01,9.01 08/30/06 NET 1 UEPS TECHNOLOGIES INC 1.01,9.01 08/29/06 New York & Company, Inc. 7.01,9.01 08/31/06 Nomura Asset Acceptance Corporation, DE 9.01 08/30/06 Nomura Home Equity Loan, Inc., Home E DE 9.01 08/31/06 NORDSTROM INC WA 7.01 08/31/06 NORTHWEST AIRLINES CORP DE 7.01,9.01 08/31/06 NOVADEL PHARMA INC DE 8.01 08/31/06 NOVASTAR FINANCIAL INC MD 2.03,9.01 08/29/06 Novelis Inc. A6 5.02,8.01,9.01 08/25/06 NYFIX INC DE 1.01,2.01,9.01 08/25/06 O REILLY AUTOMOTIVE INC MO 7.01,9.01 08/30/06 Oakmont Acquisition Corp. DE 5.02,8.01,9.01 08/29/06 OFFICE DEPOT INC DE 7.01,8.01,9.01 08/31/06 Oliver Creek Resources Inc. 4.01,9.01 08/04/06 AMEND OMNIVISION TECHNOLOGIES INC DE 2.02,9.01 08/31/06 ONEIDA LTD NY 8.01 08/30/06 ONSCREEN TECHNOLOGIES INC CO 5.02 08/31/06 OPEN TEXT CORP A6 2.02,9.01 08/31/06 OPENWAVE SYSTEMS INC DE 1.01,1.02,2.05,2.06,5.02,9.01 08/25/06 OSI RESTAURANT PARTNERS, INC. DE 7.01,9.01 08/31/06 OTTER TAIL CORP MN 1.01,9.01 08/25/06 OXFORD RESIDENTIAL PROPERTIES I LTD P MD 1.01,9.01 08/29/06 P&F INDUSTRIES INC DE 1.01,9.01 08/31/06 PALIGENT INC DE 1.01,8.01,9.01 08/25/06 PAPA JOHNS INTERNATIONAL INC DE 1.01,9.01 08/25/06 PEOPLENET INTERNATIONAL CORP DE 1.01,9.01 08/25/06 PEOPLES BANCORP INC OH 8.01 08/31/06 PEOPLES BANCORP INC OH 8.01 08/31/00 AMEND PEP BOYS MANNY MOE & JACK PA 1.01,5.02,9.01 08/30/06 PERFORMANCE TECHNOLOGIES INC \DE\ DE 1.01 08/31/06 PEROT SYSTEMS CORP DE 1.01,9.01 08/28/06 PFF BANCORP INC DE 8.01,9.01 08/28/06 PIER 1 IMPORTS INC/DE DE 8.01,9.01 08/31/06 PLATO LEARNING INC DE 2.02,7.01,9.01 08/31/06 PNM RESOURCES INC NM 8.01,9.01 08/31/06 PPL CORP PA 7.01 08/31/06 PREMIER FINANCIAL BANCORP INC KY 7.01,9.01 08/31/06 PREMIERWEST BANCORP OR 7.01,9.01 08/31/06 PROCERA NETWORKS INC NV 1.01,2.01,3.02,5.02,9.01 08/18/06 PROGINET CORP DE 2.02 08/31/06 PROGRESS ENERGY INC NC 7.01 08/31/06 PROGRESS ENERGY INC NC 3.01,9.01 08/28/06 PSB BANCORP INC PA 1.01,9.01 08/31/06 QUICKSILVER RESOURCES INC DE 1.01,9.01 08/29/06 QUOVADX INC DE 1.01,7.01,9.01 08/28/06 R&G FINANCIAL CORP PR 7.01,9.01 08/31/06 RADYNE CORP DE 1.01,5.02,9.01 08/28/06 REGIONS FINANCIAL CORP DE 5.02 08/31/06 RENT WAY INC PA 8.01,9.01 08/31/06 REWARDS NETWORK INC DE 7.01 08/30/06 RICHARDSON ELECTRONICS LTD/DE DE 2.02,8.01 08/30/06 Riverbank Resources Inc. NV 5.02,5.03,9.01 08/17/06 RIVIERA TOOL CO MI 1.01 08/31/06 ROYAL CARIBBEAN CRUISES LTD 7.01,9.01 08/31/06 ROYAL GOLD INC DE 8.01,9.01 08/31/06 SACO I Trust 2006-6 DE 9.01 05/30/06 SAKS INC TN 8.01,9.01 08/31/06 SCHNITZER STEEL INDUSTRIES INC OR 8.01,9.01 08/30/06 SCHOOL SPECIALTY INC WI 1.01 08/31/06 Securitized Asset Backed Receivables 8.01,9.01 08/31/06 SEQUIAM CORP CA 2.04,9.01 08/31/06 SEW CAL LOGO INC NV 1.01,2.03,3.02,9.01 07/31/06 Shire plc 8.01,9.01 08/31/06 SILVERLEAF RESORTS INC 1.01,2.03,9.01 08/31/06 SIMMONS CO DE 2.01,9.01 08/30/06 Smart Energy Solutions, Inc. UT 8.01 08/31/06 SMART VIDEO TECHNOLOGIES INC 1.01,5.02 08/25/06 SMITHTOWN BANCORP INC NY 8.01 08/29/06 SOLAR ENERGY LTD DE 4.02 08/17/06 Solexa, Inc. DE 1.01,5.02,9.01 08/28/06 Soundview Home Loan Trust 2006-3 2.01,9.01 08/09/06 Spectrum Brands, Inc. WI 2.01,2.02,9.01 07/25/06 AMEND Spectrum Brands, Inc. WI 2.02,9.01 02/01/06 AMEND Spectrum Brands, Inc. WI 2.02,9.01 05/02/06 AMEND Spectrum Brands, Inc. WI 2.02,8.01,9.01 08/03/06 AMEND Spectrum Brands, Inc. WI 2.01,2.02,9.01 07/25/06 AMEND Spectrum Brands, Inc. WI 2.02,9.01 02/01/06 AMEND Spectrum Brands, Inc. WI 2.02,9.01 05/02/06 AMEND Spectrum Brands, Inc. WI 2.02,8.01,9.01 08/03/06 AMEND SPORTSMANS GUIDE INC MN 1.01,2.03,3.01,5.01,5.02, 08/28/06 5.03,8.01,9.01 ST JUDE MEDICAL INC MN 2.05,7.01,9.01 08/27/06 STARMED GROUP INC AZ 1.02,9.01 08/31/06 STILLWATER MINING CO /DE/ DE 8.01 08/30/06 STRATUS SERVICES GROUP INC DE 8.01 08/30/06 Structured Adjustable Rate Mortgage L DE 8.01,9.01 08/31/06 SUNBURST ACQUISITIONS VII INC CO 5.01,5.02 08/28/06 Sutura, Inc. 1.01,2.03,3.02,8.01,9.01 08/25/06 Swank, Inc. DE 1.01,9.01 08/28/06 Sweet Success Enterprises, Inc NV 5.02,9.01 08/25/06 SWS GROUP INC DE 2.02,9.01 08/30/06 TELEX COMMUNICATIONS INC DE 8.01,9.01 08/31/06 TELEX COMMUNICATIONS INTERMEDIATE HOL 8.01,9.01 08/31/06 TEXAS INDUSTRIES INC DE 7.01,9.01 08/30/06 TEXOLA ENERGY CORP NV 7.01,9.01 08/31/06 THERMADYNE HOLDINGS CORP /DE DE 2.02,9.01 08/31/06 THERMOENERGY CORP AK 5.02,7.01,9.01 08/28/06 Thomas Equipment, Inc. DE 2.04 08/28/06 THORATEC CORP CA 5.02,9.01 08/30/06 TIFFANY & CO DE 2.02,9.01 07/31/06 TIFFANY & CO DE 8.01,9.01 08/31/06 TOMPKINS TRUSTCO INC NY 7.01 08/31/06 TOPPS CO INC DE 5.03,9.01 08/28/06 TOWER AUTOMOTIVE INC DE 7.01,9.01 08/31/06 TRANSMONTAIGNE INC DE 8.01,9.01 08/31/06 TRANSOCEAN INC E9 1.01,2.03,9.01 08/30/06 TRB SYSTEMS INTERNATIONAL INC DE 4.01 08/31/06 TRICELL INC 1.01,3.02,9.01 08/25/06 TRICELL INC 5.02 08/22/06 TRIZEC PROPERTIES INC DE 1.01,8.01,9.01 08/31/06 TULLYS COFFEE CORP 1.01,9.01 08/28/06 UGI CORP /PA/ PA 5.02 08/30/06 UNITED DOMINION REALTY TRUST INC MD 7.01,9.01 08/31/06 UNITED RETAIL GROUP INC/DE DE 9.01 08/31/06 URANIUM ENERGY CORP NV 5.02 08/23/06 USIP COM INC UT 3.02 08/24/06 VAIL BANKS INC CO 8.01,9.01 08/31/06 VALUECLICK INC/CA DE 1.01 08/25/06 Venoco, Inc. DE 1.01,8.01,9.01 08/18/06 VeriFone Holdings, Inc. DE 2.02,9.01 08/31/06 VERSO TECHNOLOGIES INC MN 9.01 06/15/06 AMEND VIASPACE Inc. NV 8.01,9.01 08/30/06 VITA FOOD PRODUCTS INC NV 5.02,9.01 08/25/06 VONAGE HOLDINGS CORP DE 1.01 08/25/06 Warner Music Group Corp. DE 8.01,9.01 08/31/06 WENDYS INTERNATIONAL INC OH 5.04,7.01,9.01 08/31/06 WESTERN GOLDFIELDS INC ID 7.01,9.01 08/28/06 WHEELING PITTSBURGH CORP /DE/ DE 8.01,9.01 08/31/06 WIND RIVER SYSTEMS INC DE 2.02,9.01 08/31/06 WINDSTREAM CORP DE 8.01,9.01 08/31/06 WORLD WRESTLING ENTERTAINMENTINC DE 2.02,9.01 08/31/06 WWA GROUP INC NV 2.01,9.01 07/10/06 AMEND WYNDHAM WORLDWIDE CORP DE 1.01 08/30/06 XENOMICS INC FL 5.02 08/30/06 XETHANOL CORP CO 1.01,9.01 08/24/06 YOUTHSTREAM MEDIA NETWORKS INC DE 9.01 03/09/05 AMEND ZALE CORP DE 1.01,2.02 08/31/06