SEC NEWS DIGEST Issue 2006-191 October 3, 2006 ENFORCEMENT PROCEEDINGS IN THE MATTER OF GLOBAL EXPRESS SECURITIES, INC. On October 2, the Commission issued an Order Instituting Administrative Proceeding Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Global Express Securities, Inc., for its role in the offer and sale of interests in Global Express Real Estate Investment Fund I, LLC (Fund) through fraudulent misrepresentations and omissions of material fact. A judgment was entered against Global Express Securities permanently enjoining it from future violations of Section 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(c) of the Securities Exchange Act of 1934, in the civil action entitled SEC v. Global Express Real Estate Investment Fund I, LLC, et al., Civil Action Number 2:03-cv-1514, in the United States District Court for the District of Nevada. The Commission's complaint alleged that from late 2001 through December of 2003, Respondent, through its principals, offered and sold interests in the Fund through fraudulent misrepresentations and omissions of material fact. The complaint also alleged that contrary to Respondent's representations to investors, however, the Fund did not generate sufficient interest income to pay monthly distributions and, instead, operated as a Ponzi-like investment scheme. Without admitting or denying any of the findings, except as to the Commission's jurisdiction, the subject matter of the proceeding, and that a final order was entered by consent in the civil action, Global Express Securities, Inc. consented to the issuance of the Order, which revokes Global Express Securities' registration as a broker-dealer. (Rel. 34-54557; File No. 3-12449) COMMISSION SETTLES CHARGES AGAINST FORMER PRUDENTIAL BRANCH MANAGER IN CONNECTION WITH HIS AIDING AND ABETTING SECURITIES FRAUD The Commission announced that on Sept. 22, 2006, a Massachusetts federal court entered a final judgment by consent against Robert E. Shannon of Annapolis, Maryland, a defendant in a civil injunctive action filed by the Commission on Nov. 4, 2003. The Commission alleged that Shannon, a former branch manager of broker-dealer Prudential Securities, Inc., aided and abetted others' securities fraud in connection with their market timing trades in dozens of mutual funds. The final judgment enjoined Shannon from future violations of the antifraud provisions of the Securities Exchange Act of 1934 and ordered him to pay a $60,000 civil monetary penalty. The Commission filed its complaint against Shannon and five former Prudential Securities registered representatives on Nov. 4, 2003, and amended its complaint on July 14, 2004. The amended complaint alleged that several registered representatives supervised by Shannon defrauded mutual funds that were trying to restrict their trading by disguising their and their customers' identities through the use of multiple broker identification numbers and customer accounts. The amended complaint alleged that Shannon substantially assisted the registered representatives in evading the mutual funds' restrictions on the registered representatives' market timing of those mutual funds by, among other things, approving new broker identification numbers and new customer accounts for the registered representatives. Without admitting or denying the allegations in the Commission's amended complaint, Shannon consented to the judgment entered by the U.S. District Court for the District of Massachusetts, which permanently enjoins him from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The judgment also orders Shannon to pay a $60,000 civil monetary penalty. In addition, on July 12, 2006, as a result of a guilty plea in a case prosecuted by the United States Attorney's Office in Boston, Massachusetts, concerning the same conduct that formed the basis of the Commission's civil injunctive action against him, an administrative law judge issued an order, based on the plea, barring Shannon from association with any broker, dealer, or investment adviser. [SEC v. Martin J. Druffner, et. al., USDC, District of Massachusetts,Civil Action No. 03-12154-NMG)] (LR-19856) COMMISSION CHARGES FORMER WALL STREET ACCESS BROKER WITH LATE TRADING AND DECEPTIVE MARKET TIMING OF MUTUAL FUNDS The Commission announced that it filed an enforcement action on Oct. 2, 2006, in the U.S. District Court against Gene T. Mancinelli, a former broker at Wall Street Access, a registered broker-dealer. In its complaint, the Commission alleges that Mancinelli permitted his hedge fund customers to late trade and deceptively market time mutual funds. Specifically, from April 2001 through October 2001, Mancinelli accepted and executed more than 2,000 late trades in mutual funds for one hedge fund customer. Mancinelli permitted this customer routinely to place orders to purchase, redeem or exchange mutual fund shares well after 4:00 p.m. ET, the time as of which funds calculate their net asset value (NAV). Mancinelli was aware that the late trades would receive that day's NAV as opposed to the next trading day's NAV. Additionally, Mancinelli utilized deceptive tactics, such as using multiple accounts and multiple broker numbers, to hide the identity of his market timing customers from mutual funds, and otherwise to facilitate his customers' market timing strategies. The Commission's complaint charges Mancinelli with violating Section 17(a) of the Securities Act of 1933, and violating and/or aiding and abetting violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. The Commission's complaint also charges Mancinelli with aiding and abetting violations of Section 15(c) of the Exchange Act and Rule 10b-3. [SEC v. Gene T. Mancinelli, Action No. 06 CV 7885 (JGK) SDNY] (LR-19857) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-CBOE-2006-79) filed by the Chicago Board Options Exchange to include DXL options on the Hybrid 2.0 Platform 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 October 2. (Rel. 34-54533) The Commission issued a notice of immediate effectiveness of a proposed rule change (SR-ISE-2006-58) filed by the International Securities Exchange relating to its exercise of options contracts. Publication is expected in the Federal Register during the week of October 2. (Rel. 34-54540) A proposed rule change (SR-ISE-2006-57) filed by the International Securities Exchange extending a pilot relating to directed orders 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 October 2. (Rel. 34-54542) The Commission issued a notice of immediate effectiveness of a proposed rule change (SR-Amex-2006-92) filed by the American Stock Exchange relating to its Quarterly Options Series. Publication is expected in the Federal Register during the week of October 2. (Rel. 34-54543) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change and Amendment No. 2 thereto and granted accelerated approval to Amendment No. 3 to the proposed rule change (SR-NASD-2006-091) submitted by the National Association of Securities Dealers to align NASD rules with Regulation NMS. Publication is expected in the Federal Register during the week of October 2. (Rel. 34-54537) The Commission approved a proposed rule change (SR-Phlx-2006-43) and Amendment Nos. 1 and 2 thereto submitted by the Philadelphia Stock Exchange relating to the Exchange's new equity trading system, XLE, and has granted accelerated approval to Amendment No. 3 thereto. Publication is expected in the Federal Register during the week of October 2. (Rel. 34-54538) The Commission approved a proposed rule change (SR-BSE-2006-30) and granted accelerated approval to amendment No. 2 thereto submitted by the Boston Stock Exchange to implement the second phase Boston Equities Exchange (BeX) trading system. Publication is expected in the Federal Register during the week of October 2. (Rel. 34-54546) ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission granted accelerated approval to proposed rule changes (SR-Amex-2006-85; SR-BSE-2006-41; SR-CBOE-2006-80; SR-CHX-2006-28; SR- NASDAQ-2006-038; SR-NSX-2006-11; SR-NYSEArca-2006-69; SR-Phlx-2006-58) submitted by the American Stock Exchange; Boston Stock Exchange.; Chicago Board Options Exchange; Chicago Stock Exchange; NASDAQ Stock Market; National Stock Exchange; NYSE Arca; and Philadelphia Stock Exchange relating to exchange to exchange billing under the Linkage Plan. Publication is expected in the Federal Register during the week of October 2. (Rel. 34-54548) The Commission granted accelerated approval to a proposed rule change (SR-NYSEArca-2006-59) and Amendment No. 1 thereto submitted by NYSE Arca relating to adoption of Regulation NMS. Publication is expected in the Federal Register during the week of October 2. (Rel. 34-54549) ORDER APPROVING NMS LINKAGE PLAN The Commission has approved, pursuant to Rule 608 under the Securities Exchange Act of 1934, a national market system plan (File No. 4-524) to create and operate an intermarket communications linkage called the NMS Linkage Plan filed by the American Stock Exchange; Boston Stock Exchange.; Chicago Board Options Exchange; Chicago Stock Exchange; NASDAQ Stock Market; National Stock Exchange; New York Stock Exchange; NYSE Arca; and Philadelphia Stock Exchange. Publication is expected in the Federal Register during the week of October 2. (Rel. 34-54551) 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: . SB-2 US GEOTHERMAL INC, 1509 TYRELL LANE, SUITE B, BOISE, ID, 83706, 208-424-1027 - 32,537,079 ($31,723,652.02) Equity, (File 333-137722 - Oct. 2) (BR. 02C) S-3 ENZON PHARMACEUTICALS INC, 685 ROUTE 202/206, BRIDGEWATER, NJ, 08807, 908 541 8671 - 0 ($275,000,000.00) Debt Convertible into Equity, (File 333-137723 - Oct. 2) (BR. 01A) F-6 HBOS PLC, 100,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-137733 - Oct. 2) (BR. ) S-1 LEAF Equipment Leasing Income Fund III, L.P., 110 S. POPLAR STREET, SUITE 101, WILMINGTON, DE, 19801, 800-819-5556 - 1,200,000 ($120,000,000.00) Equity, (File 333-137734 - Oct. 2) (BR. ) S-8 FUEL TECH N V, CASTORWEG 22-24, CURACAO NETHERLANDS, P7, 4,843,430 ($69,188,397.55) Equity, (File 333-137735 - Oct. 2) (BR. 06C) SB-2 SIGNATURE LEISURE INC, 100 CANDACE DRIVE, SUITE 100, MAITLAND, FL, 32751, 407-599-2886 - 50,000,000 ($1,250,000.00) Equity, (File 333-137736 - Oct. 2) (BR. 02A) F-6 TOMRA SYSTEMS AS /FI, DRAMMENSVN 915 ASKER, PO BOX 278, N 1371 ASKER NORWAY, Q8, 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-137737 - Oct. 2) (BR. ) S-8 IRIS INTERNATIONAL INC, 9162 ETON AVE, CHATSWORTH, CA, 91311, 8187091244 - 51,879 ($585,713.91) Equity, (File 333-137738 - Oct. 2) (BR. 10B) S-8 CONAGRA FOODS INC /DE/, ONE CONAGRA DR, OMAHA, NE, 68102, 4025954000 - 30,000,000 ($716,850,000.00) Equity, (File 333-137739 - Oct. 2) (BR. 04A) S-8 STERLING GROUP VENTURES INC, SUITE 900, 789 WEST PENDER STREET, VANCOUVER, A1, V6C 1H2, 6048938891 - 3,000,000 ($480,000.00) Equity, (File 333-137740 - Oct. 2) (BR. 04A) S-8 WESTAFF INC, 298 NORTH WIGET LANE, WALNUT CREEK, CA, 94598-2453, 9259305300 - 0 ($6,022,500.00) Equity, (File 333-137743 - Oct. 2) (BR. 11C) S-8 Bridge Capital Holdings, 55 ALMADEN BLVD., SUITE 200, SAN JOSE, CA, 95113, 408-423-8500 - 500,000 ($20.90) Equity, (File 333-137745 - Oct. 2) (BR. 07C) S-3 ABIOMED INC, 22 CHERRY HILL DR, DANVERS, MA, 01923, 9787775410 - 7,500,000 ($112,950,000.00) Equity, (File 333-137746 - Oct. 2) (BR. 10A) S-8 CHINA BAK BATTERY INC, BAK INDUSTRIAL PARK, NO. 1 BAK STREET, KUICHONG TOWN, LONGGANG DISTRICT, SHENZHEN PEOPLE, F4, 518119, 86-755-8977-0093 - 4,000,000 ($21,620,000.00) Equity, (File 333-137747 - Oct. 2) (BR. 10A) S-8 RAE SYSTEMS INC, 3775 NORTH FIRST STREET, SAN JOSE, CA, 95134, 408-952-8200 - 0 ($1,618,720.00) Equity, (File 333-137748 - Oct. 2) (BR. 10C) S-4 FLEXTRONICS INTERNATIONAL LTD., ONE MARINA BOULEVARD, #28-00, SINGAPORE, U0, 018989, (65) 6890 7188 - 0 ($298,341,824.00) Equity, (File 333-137749 - Oct. 2) (BR. 10B) S-3ASR LOWES COMPANIES INC, 1000 LOWE'S BLVD., MOORESVILLE, NC, 28117, 7047581000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-137750 - Oct. 2) (BR. 06B) SB-2 SPECTRE GAMING INC, 800 NICOLLET MALL, SUITE 2690, MINNEAPOLIS, MN, 55402, 612-279-2005 - 37,433,213 ($38,463,069.00) Equity, (File 333-137751 - Oct. 2) (BR. 05C) S-8 WEBEX COMMUNICATIONS INC, 3979 FREEDOM CIRCLE, 11TH FLOOR, SANTA CLARA, CA, 95054, 408-566-5663 - 0 ($19,390,000.00) Equity, (File 333-137753 - Oct. 2) (BR. 08C) 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 ABRAXAS PETROLEUM CORP NV 7.01,9.01 10/02/06 ACCENTIA BIOPHARMACEUTICALS INC 1.01,2.03,3.02,7.01,9.01 09/29/06 ACCESS INTEGRATED TECHNOLOGIES INC DE 2.03 09/27/06 ACTEL CORP CA 7.01,9.01 10/02/06 ADELPHIA COMMUNICATIONS CORP DE 5.02 09/26/06 ADMIRALTY HOLDING CO CO 1.01 09/29/06 ADVENTRX PHARMACEUTICALS INC DE 1.01,5.02 09/27/06 AMEND AETNA INC /PA/ PA 1.01,5.02 09/27/06 AETNA INC /PA/ PA 5.02 09/29/06 AMEND AFFIRMATIVE INSURANCE HOLDINGS INC DE 5.02 09/26/06 AIR PRODUCTS & CHEMICALS INC /DE/ DE 7.01,9.01 09/29/06 AIRGUIDE, INC. OK 4.01,9.01 07/07/06 AMEND AIRNET SYSTEMS INC OH 1.02,2.01,8.01,9.01 09/26/06 ALASKA PACIFIC BANCSHARES INC AK 5.02 09/29/06 ALLEGHENY TECHNOLOGIES INC DE 7.01,9.01 10/02/06 ALLIANCE DATA SYSTEMS CORP DE 1.01,1.02,2.03,9.01 09/29/06 AMANASU ENVIRONMENT CORP NV 8.01,9.01 09/29/06 AMCON DISTRIBUTING CO DE 2.02,9.01 10/02/06 AMEREN CORP MO 8.01,9.01 10/02/06 AMERICAN SAFETY INSURANCE HOLDINGS LT 8.01 10/02/06 AmeriCredit Automobile Receivables Tr 1.01,9.01 09/26/06 AMERIGAS PARTNERS LP DE 5.02,9.01 09/30/06 AMERIPRISE FINANCIAL INC DE 5.02 09/28/06 AMGEN INC DE 1.01,9.01 09/28/06 AMH Holdings, Inc. DE 1.01,1.02,9.01 10/01/06 APOLLO GROUP INC AZ 7.01 10/02/06 APPLIED DNA SCIENCES INC NV 4.02 09/29/06 ARBINET THEXCHANGE INC DE 4.02,9.01 10/01/06 ARCADIA RESOURCES, INC NV 1.01,8.01,9.01 09/26/06 ARKADOS GROUP, INC. DE 1.01,2.03,3.02,9.01 09/26/06 ARMOR HOLDINGS INC DE 8.01 09/26/06 ARMSTRONG WORLD INDUSTRIES INC PA 1.01,2.03,3.02,3.03, 10/02/06 5.01,5.02,8.01,9.01 ART TECHNOLOGY GROUP INC DE 8.01,9.01 10/02/06 ASPEN TECHNOLOGY INC /DE/ DE 1.01 09/26/06 ASSOCIATED MATERIALS INC DE 1.01,1.02,9.01 10/01/06 ATLANTIC BANCGROUP INC FL 4.01 09/29/06 AURIGA LABORATORIES, INC. DE 1.01,2.03,3.02,9.01 09/29/06 Bear Stearns Mortgage Funding Trust 2 DE 9.01 09/29/06 BECKMAN COULTER INC DE 1.01,8.01 09/29/06 BELO CORP DE 8.01,9.01 09/29/06 BIG 5 SPORTING GOODS CORP DE 8.01,9.01 10/02/06 BIG LOTS INC OH 7.01 09/28/06 BILL BARRETT CORP 7.01,9.01 09/22/06 BRAVO FOODS INTERNATIONAL CORP DE 1.01,9.01 09/25/06 CANO PETROLEUM, INC 8.01 09/26/06 CANO PETROLEUM, INC 7.01,9.01 10/02/06 CAPITAL ONE FINANCIAL CORP DE 8.01 09/29/06 CAPITAL RESOURCE FUNDING INC NC 2.01,3.02,5.01,5.02 09/30/06 CENVEO, INC CO 2.02 10/02/06 CERIDIAN CORP /DE/ DE 5.02,9.01 10/02/06 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 10/02/06 CHEMED CORP DE 2.02,2.05,9.01 09/28/06 CHESAPEAKE ENERGY CORP OK 8.01,9.01 09/27/06 CHESAPEAKE UTILITIES CORP DE 8.01 09/26/06 CHESTATEE BANCSHARES INC 5.02 09/26/06 CHINA BAK BATTERY INC NV 1.01,1.02,9.01 10/02/06 CLEVELAND CLIFFS INC OH 8.01 09/30/06 CNL INCOME PROPERTIES INC MD 8.01 10/02/06 Coastal Bancshares Acquisition Corp. 1.01 10/02/06 Cole Credit Property Trust II Inc MD 8.01,9.01 10/02/06 COLLECTORS UNIVERSE INC DE 7.01 09/29/06 COMBINATORX, INC DE 1.01 09/28/06 COMMONWEALTH EDISON CO IL 1.01,2.03,9.01 10/02/06 COMPUSONICS VIDEO CORP CO 8.01 09/30/06 Con-way Inc. DE 1.01 09/29/06 CONEXANT SYSTEMS INC DE 1.01,9.01 09/26/06 CONSOLIDATED WATER CO LTD E6 5.02,9.01 09/27/06 CONTINUCARE CORP FL 1.01,2.01,2.03,5.02,9.01 09/26/06 Cord Blood America, Inc. FL 2.02,7.01,9.01 10/02/06 Cougar Biotechnology, Inc. 1.01,9.01 09/28/06 CRAFTMADE INTERNATIONAL INC DE 7.01,9.01 10/02/06 CV THERAPEUTICS INC DE 5.03,8.01,9.01 09/26/06 CWABS Asset-Backed Certificates Trust DE 8.01,9.01 09/28/06 CYTOKINETICS INC 8.01,9.01 10/02/06 CYTYC CORP DE 8.01,9.01 09/29/06 DaimlerChrysler Auto Trust 2006-C 9.01 10/02/06 DEERE & CO DE 7.01 10/02/06 DEVELOPERS DIVERSIFIED REALTY CORP OH 5.02 09/28/06 DHB INDUSTRIES INC DE 1.01 08/24/06 DIAMOND HILL INVESTMENT GROUP INC OH 8.01,9.01 10/02/06 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 10/02/06 DIGITAL IMAGING RESOURCES INC. DE 1.02,8.01,9.01 10/02/06 DIGITAL RECORDERS INC NC 1.01,3.03,5.03,9.01 09/22/06 AMEND DILLARDS INC DE 7.01,9.01 09/25/06 DOMINION HOMES INC OH 1.01,9.01 09/29/06 DOR BIOPHARMA INC DE 8.01,9.01 09/29/06 DREW INDUSTRIES INC DE 8.01,9.01 09/15/06 ECHOSTAR COMMUNICATIONS CORP NV 8.01,9.01 10/01/06 EDENTIFY, INC. NV 1.01 10/03/05 AMEND EDENTIFY, INC. NV 1.01 04/13/06 AMEND ELANDIA, INC. DE 9.01 09/18/06 ELKCORP DE 1.01 09/27/06 EMULEX CORP /DE/ DE 2.01,8.01,9.01 10/02/06 ENERGY PARTNERS LTD DE 7.01,9.01 10/02/06 Energy Transfer Equity, L.P. DE 5.02 09/29/06 ENGLOBAL CORP NV 8.01,9.01 10/02/06 ENTERPRISE FINANCIAL SERVICES CORP DE 5.02,9.01 09/28/06 EQUINIX INC DE 2.03 09/26/06 ESCALA GROUP INC NY 3.01,9.01 09/29/06 EXCELSIOR LASALLE PROPERTY FUND INC 5.02 09/26/06 EXCHANGE NATIONAL BANCSHARES INC MO 5.02,9.01 10/02/06 EXCO RESOURCES INC TX 1.01,2.01,2.03,7.01,9.01 07/22/06 AMEND EXPRESSJET HOLDINGS INC DE 8.01,9.01 09/30/06 FAMILY HOME HEALTH SERVICES, INC. NV 1.01,9.01 09/27/06 FARMERS CAPITAL BANK CORP KY 8.01,9.01 10/02/06 FEDERAL REALTY INVESTMENT TRUST MD 5.02 10/02/06 FERRO CORP OH 7.01,9.01 09/29/06 FINISAR CORP DE 8.01 09/28/06 FINOVA GROUP INC DE 8.01 10/02/06 FIRST ADVANTAGE CORP DE 5.02 10/02/06 FIRST DATA CORP DE 1.01,2.01,5.02,8.01,9.01 09/26/06 FIRST INDIANA CORP IN 8.01,9.01 10/02/06 FIRST NATIONAL COMMUNITY BANCORP INC PA 1.01,9.01 09/27/06 First Source Data, Inc. NV 5.03 09/27/06 FISHER COMMUNICATIONS INC WA 2.01,2.03,9.01 09/26/06 Fitmedia Inc. DE 7.01,9.01 10/02/06 FLIGHT SAFETY TECHNOLOGIES INC NV 8.01,9.01 10/02/06 FLOWSERVE CORP NY 8.01,9.01 09/29/06 Foundation Coal Holdings, Inc. DE 1.01,9.01 09/27/06 FPIC INSURANCE GROUP INC FL 1.01,1.02,2.01,7.01,9.01 09/29/06 FTI CONSULTING INC MD 1.01,2.03,9.01 09/29/06 FTI CONSULTING INC MD 9.01 09/27/06 AMEND G REIT INC MD 8.01,9.01 09/29/06 G REIT INC MD 7.01,9.01 10/02/06 GATEWAY FINANCIAL HOLDINGS INC NC 1.01 10/01/06 GENERAL CABLE CORP /DE/ DE 4.02,7.01,9.01 10/02/06 GeoMet, Inc. DE 7.01,9.01 10/02/06 GIGABEAM CORP DE 1.01,5.02,9.01 09/26/06 GLACIER BANCORP INC DE 8.01,9.01 10/01/06 GLENBOROUGH REALTY TRUST INC MD 5.02 09/26/06 GMX RESOURCES INC OK 7.01,9.01 10/02/06 GOLDFIELD CORP DE 1.01,2.03,9.01 09/28/06 GOLF TRUST OF AMERICA INC MD 1.01,9.01 09/29/06 GREAT CHINA INTERNATIONAL HOLDINGS, I NV 1.01,3.02,5.02,9.01 09/30/06 GREAT PLAINS ENERGY INC MO 1.01,8.01 09/29/06 GREENS WORLDWIDE INC AZ 1.02 09/15/06 GREENS WORLDWIDE INC AZ 1.02 09/15/06 GSAMP Trust 2006-HE6 DE 8.01,9.01 09/14/06 HARMAN INTERNATIONAL INDUSTRIES INC / DE 1.01 09/30/06 HEALTHBRIDGE INC TX 2.01,3.02,5.03,5.06,9.01 09/29/06 HEALTHSTREAM INC TN 7.01,9.01 09/29/06 HEIDRICK & STRUGGLES INTERNATIONAL IN DE 2.01,9.01 10/02/06 HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 8.01,9.01 10/02/06 HOLLY CORP DE 7.01,9.01 10/02/06 HOMEBANC CORP 1.01,9.01 09/28/06 IBIS TECHNOLOGY CORP MA 8.01,9.01 10/02/06 IBSG INTERNATIONAL INC FL 4.02 08/23/06 IDS MANAGED FUTURES II L P DE 8.01,9.01 10/02/06 IDS MANAGED FUTURES L P DE 8.01,9.01 10/02/06 IEC ELECTRONICS CORP DE 2.03,9.01 10/02/06 INSWEB CORP DE 1.01,8.01 09/29/06 INTERFACE INC GA 1.01,9.01 09/29/06 INTERMAGNETICS GENERAL CORP DE 8.01 09/26/06 INTERNATIONAL BANCSHARES CORP TX 8.01 10/02/06 INTERNATIONAL SMART SOURCING INC DE 2.01,5.01,5.02,9.01 09/28/06 Intersearch Group Inc FL 7.01 09/26/06 INVACARE CORP OH 1.01,9.01 09/28/06 IPALCO ENTERPRISES, INC. IN 8.01 10/02/06 IRVINE SENSORS CORP/DE/ DE 2.04,5.02,8.01,9.01 09/26/06 IRWIN FINANCIAL CORP IN 2.01,8.01,9.01 10/02/06 iVOW, Inc. DE 5.02,9.01 09/28/06 J P MORGAN CHASE & CO DE 9.01 09/29/06 James River Coal CO VA 5.02 08/22/06 AMEND JL HALSEY CORP 2.02,9.01 09/29/06 KANBAY INTERNATIONAL INC 1.01,9.01 09/26/06 Keewatin Windpower Corp. NV 4.01,9.01 08/10/06 AMEND KFORCE INC FL 1.01,2.01,7.01,8.01,9.01 10/01/06 KFORCE INC FL 5.02,9.01 09/30/06 KNIGHT CAPITAL GROUP, INC. DE 7.01,9.01 10/02/06 KORN FERRY INTERNATIONAL DE 1.01 10/02/06 KUHLMAN COMPANY, INC MN 3.01,9.01 09/26/06 L-1 IDENTITY SOLUTIONS, INC. DE 2.01,9.01 08/16/06 AMEND LARREA BIOSCIENCES CORP NV 4.02 09/29/06 LASERSIGHT INC /DE DE 8.01 09/25/06 LEHMAN BROTHERS HOLDINGS INC DE 9.01 09/27/06 LIBERTY MEDIA CORP 7.01 09/29/06 LIBERTY MEDIA LLC 7.01 09/29/06 LIFELINE THERAPEUTICS, INC. CO 1.01,1.02,9.01 09/26/06 LIGAND PHARMACEUTICALS INC DE 5.02,9.01 09/27/06 LINCOLN EDUCATIONAL SERVICES CORP NJ 1.01,9.01 09/26/06 M&F BANCORP INC /NC/ NC 8.01,9.01 10/02/06 Macquarie Infrastructure CO Trust DE 1.01,1.02,9.01 10/02/06 Marathon Acquisition Corp. DE 8.01,9.01 09/27/06 MAX RE CAPITAL LTD 8.01,9.01 09/29/06 MEADE INSTRUMENTS CORP DE 1.01 09/29/06 MEDIFAST INC DE 5.02,9.01 10/02/06 MERCK & CO INC NJ 1.01,9.01 09/26/06 Meritage Homes CORP MD 1.01,9.01 09/26/06 MERRILL LYNCH & CO INC DE 8.01,9.01 09/29/06 MERRILL LYNCH & CO INC DE 5.02,9.01 10/01/06 METROMEDIA INTERNATIONAL GROUP INC DE 1.01,8.01,9.01 09/28/06 METROMEDIA INTERNATIONAL GROUP INC DE 2.02,9.01 10/02/06 MFA MORTGAGE INVESTMENTS MD 7.01,9.01 10/02/06 MFB CORP IN 1.01,3.03,9.01 10/02/06 MICROHELIX INC OR 4.01,9.01 09/21/06 AMEND MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 10/02/06 MIDNIGHT HOLDINGS GROUP INC DE 4.01,5.05,9.01 09/15/06 AMEND MILLENNIUM PHARMACEUTICALS INC DE 1.01,8.01,9.01 09/26/06 MILLER HERMAN INC MI 8.01 09/26/06 MILLS CORP DE 1.01,1.02,5.02,8.01,9.01 09/29/06 MINERALS TECHNOLOGIES INC DE 8.01,9.01 10/02/06 MINGHUA GROUP INTERNATIONAL HOLDINGS NY 5.02 09/22/06 NASDAQ STOCK MARKET INC DE 8.01,9.01 10/02/06 NATIONAL BEVERAGE CORP DE 8.01,9.01 09/29/06 NELNET INC NE 8.01,9.01 09/29/06 NOBEL LEARNING COMMUNITIES INC DE 1.01 10/02/06 NORD RESOURCES CORP DE 1.01,5.02,9.01 09/27/06 NORTHWEST AIRLINES CORP DE 2.02,9.01 09/29/06 NTL INC DE 1.01 09/26/06 ODYSSEY HEALTHCARE INC DE 7.01,9.01 10/02/06 OLD STONE CORP RI 8.01,9.01 09/29/06 OPTIMAL GROUP INC 7.01 10/02/06 ORASURE TECHNOLOGIES INC DE 7.01,9.01 10/02/06 PACIFIC BIOMETRICS INC DE 2.02 10/02/06 PACIFIC SUNWEAR OF CALIFORNIA INC CA 1.01,5.02,7.01,9.01 09/29/06 PAR PHARMACEUTICAL COMPANIES, INC. DE 5.02,9.01 09/26/06 PATHFINDER BANCORP INC DE 8.01 09/30/06 PAULA FINANCIAL DE 4.01 09/26/06 PEABODY ENERGY CORP DE 8.01,9.01 10/02/06 PERFICIENT INC DE 8.01 09/26/06 Permanent Funding (No. 2) LTD X0 8.01,9.01 10/02/06 PIER 1 IMPORTS INC/DE DE 5.02,9.01 09/30/06 PIONEER COMPANIES INC DE 8.01,9.01 09/27/06 PLY GEM HOLDINGS INC DE 7.01 10/02/06 PNM RESOURCES INC NM 1.01,9.01 10/02/06 PORTLAND GENERAL ELECTRIC CO /OR/ OR 5.02 10/01/06 POWER ONE INC DE 1.01,2.03,9.01 09/28/06 POWER2SHIP INC NV 5.02,9.01 09/26/06 PRECISION AUTO CARE INC VA 4.01,9.01 09/28/06 PRECISION OPTICS CORPORATION INC MA 2.02,9.01 09/29/06 PREMIER EXHIBITIONS, INC. 4.02 09/29/06 PRIDE INTERNATIONAL INC DE 7.01,9.01 10/02/06 PROSPECT ENERGY CORP MD 2.02,9.01 09/02/06 PROVIDENTIAL HOLDINGS INC NV 1.01,9.01 08/29/06 PUBLIC STORAGE INC /CA CA 8.01 09/29/06 PURE BIOFUELS CORP NV 1.01,2.01,5.01,5.02, 09/15/06 5.03,5.06,9.01 RALI Series 2006-QO7 Trust DE 8.01,9.01 10/02/06 RASER TECHNOLOGIES INC UT 1.01 09/02/06 AMEND Red Mile Entertainment Inc 5.02 09/28/06 REYNOLDS AMERICAN INC 1.01,3.03,9.01 09/30/06 REYNOLDS AMERICAN INC 8.01,9.01 10/02/06 RFS HOLDING LLC 1.01,9.01 09/27/06 Riverbed Technology, Inc. DE 1.01,2.03,9.01 09/26/06 Rockville Financial Inc. 5.04,9.01 09/27/06 RONSON CORP NJ 1.01,2.03,9.01 09/27/06 SACO I Trust 2006-8 DE 9.01 09/15/06 SAFECO CORP WA 1.01 09/27/06 SECURED FINANCIAL NETWORK, INC. NV 1.01,9.01 09/26/06 SELIGMAN NEW TECHNOLOGIES FUND II INC MD 8.01 10/02/06 SELIGMAN NEW TECHNOLOGIES FUND, INC 8.01 10/02/06 SELIGMAN QUALITY MUNICIPAL FUND INC MD 8.01 10/02/06 SELIGMAN SELECT MUNICIPAL FUND INC MD 8.01 10/02/06 Shire plc 8.01,9.01 09/25/06 SHORE BANCSHARES INC MD 1.01,9.01 09/29/06 SI INTERNATIONAL INC DE 1.01,9.01 09/11/06 AMEND SIRVA INC DE 1.01 09/25/06 AMEND SIX FLAGS INC DE 1.01,9.01 09/26/06 SKYE INTERNATIONAL, INC NV 5.02 09/29/06 SKYLYNX COMMUNICATIONS INC DE 9.01 07/26/06 SKYNET TELEMATICS INC NV 4.01,9.01 10/02/06 SKYWORKS SOLUTIONS INC DE 2.02,2.05,2.06,9.01 10/02/06 SLM Private Credit Student Loan Trust DE 1.01,2.01,9.01 09/28/06 SOUTHRIDGE ENTERPRISES INC. NV 5.03,7.01 10/02/06 SOUTHWEST WATER CO DE 8.01,9.01 10/02/06 Spansion Inc. DE 1.01,9.01 09/28/06 SPARTA COMMERCIAL SERVICES, INC. NV 1.01,3.02,9.01 09/22/06 SPECTRUM PHARMACEUTICALS INC DE 1.01,3.03 09/26/06 STERLING GROUP VENTURES INC NV 3.02 09/25/06 STREICHER MOBILE FUELING INC FL 1.01,9.01 09/26/06 STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 09/25/06 Synovics Pharmaceuticals NV 5.02,8.01 09/21/06 TECHNICAL OLYMPIC USA INC DE 2.02,2.06,7.01,9.01 09/29/06 TERRA INDUSTRIES INC MD 5.02 09/29/06 TESSERA TECHNOLOGIES INC DE 9.01 07/18/06 AMEND TheRetirementSolution.com, Inc. UT 9.01 08/30/06 AMEND THERMA WAVE INC DE 1.01,9.01 10/02/06 Tim Hortons Inc. DE 5.01,5.05,9.01 09/26/06 TIMBERLAND BANCORP INC WA 1.01 09/26/06 TIMKEN CO OH 7.01 09/29/06 TNS INC 5.02,9.01 09/28/06 TORA TECHNOLOGIES INC 8.01 09/28/06 TOREADOR RESOURCES CORP DE 4.02 10/02/06 AMEND TRANS ENERGY INC NV 2.01,9.01 09/28/06 TRANSACTION SYSTEMS ARCHITECTS INC DE 1.01,2.01,2.02,2.03, 09/29/06 5.02,7.01,9.01 TRANSCOMMUNITY FINANCIAL CORP VA 1.01,9.01 09/27/06 TRANSOCEAN INC E9 7.01,9.01 10/02/06 TRI-CONTINENTAL CORP MD 8.01 10/02/06 Triangle Petroleum Corp NV 1.01,9.01 09/19/06 TRIZEC PROPERTIES INC DE 1.01,9.01 09/26/06 TRONOX INC DE 7.01,9.01 10/02/06 TRONOX INC DE 7.01,9.01 10/02/06 TRUSTREET PROPERTIES INC MD 1.01,2.03,8.01,9.01 09/28/06 United Development Funding III, LP DE 1.01 09/27/06 UNITED FUEL & ENERGY CORP NV 2.02,7.01,9.01 10/02/06 UNITED NATURAL FOODS INC DE 1.01,1.02,2.02,9.01 09/26/06 UNITIL CORP NH 1.01,9.01 09/29/06 UNIVERSAL CITY DEVELOPMENT PARTNERS L 5.02 10/02/06 Universal City Florida Holding Co. I FL 5.02 10/02/06 UROLOGIX INC MN 5.02,9.01 09/29/06 US DATAWORKS INC NV 1.01 09/26/06 US GLOBAL NANOSPACE INC DE 8.01,9.01 09/27/06 VA SOFTWARE CORP DE 5.02 09/27/06 VITRAN CORP INC 8.01,9.01 10/02/06 VIVA INTERNATIONAL INC DE 5.02,8.01,9.01 09/28/06 WACHOVIA CORP NEW NC 2.01,5.02,9.01 09/29/06 WALTER INDUSTRIES INC /NEW/ DE 8.01 10/02/06 WEBSIDESTORY INC CA 1.01,9.01 09/28/06 WEBSITE PROS INC DE 1.01,8.01,9.01 09/30/06 WEBSITE PROS INC DE 1.01,3.02,8.01,9.01 09/30/06 WELLCO ENTERPRISES INC NC 2.02 10/02/06 WENDYS INTERNATIONAL INC OH 7.01,9.01 09/29/06 Western Union CO DE 2.03,8.01,9.01 09/29/06 WHITE ELECTRONIC DESIGNS CORP ID 1.01 09/28/06 WHITNEY HOLDING CORP LA 5.03,9.01 09/27/06 WHOLE FOODS MARKET INC TX 1.01 09/26/06 WINLAND ELECTRONICS INC MN 1.01,5.02,9.01 09/26/06 WORLD ENERGY SOLUTIONS, INC. FL 8.01 09/30/06 WORLDSPAN L P DE 1.01,9.01 09/29/06 WORTHINGTON INDUSTRIES INC OH 1.01,8.01,9.01 09/26/06 WYETH DE 5.02,5.03,8.01,9.01 09/28/06 ZIX CORP TX 4.01,8.01,9.01 09/26/06