SEC NEWS DIGEST Issue 2006-200 October 17, 2006 COMMISSION ANNOUNCEMENTS CHRISTOPHER CONTE, FREDRIC FIRESTONE AND CHERYL SCARBORO NAMED ASSOCIATE DIRECTORS OF THE SEC'S DIVISION OF ENFORCEMENT The Securities and Exchange Commission today announced the appointment of Christopher Conte, Fredric Firestone and Cheryl Scarboro as Associate Directors of the Division of Enforcement. The three will serve as senior officials in the Division and will assist in planning and directing the Commission's investigations and other enforcement efforts. Mr. Conte, Mr. Firestone and Ms. Scarboro have served as Assistant Directors in the Commission's Division of Enforcement since 2000, 2003 and 2001, respectively. Earlier, each served as a branch chief in the Division, after joining the Commission as a staff attorney. Ms. Scarboro also served as counsel to former SEC Chairman Arthur Levitt from 1996 to 1998. Linda Chatman Thomsen, the SEC's Director of Enforcement, said "We are very fortunate to have Chris, Rick and Cheryl take on these new roles and challenges. Each of them is an exceptional lawyer and an extremely skilled manager with an in-depth knowledge of the federal securities laws and SEC practice. We intend to take full advantage of their combined 37 years of experience at the Commission in order to protect investors." During his 14-year tenure at the Commission, Mr. Conte has overseen investigations in several major program areas. His work has contributed to significant Commission enforcement actions including option granting practices (former executives of Comverse Technologies, Inc.), abuses in connection with initial public offerings (J.P. Morgan Securities, Morgan Stanley Inc., and Robertson Stephens), public company accounting and disclosure (former executives of Waste Management, Inc.), e-mail retention and production (Morgan Stanley, Inc.), insider trading, fraud in the offer, sale, and promotion of the securities of micro-cap issuers, the Foreign Corrupt Practices Act, auditor independence and audit failures. Prior to joining the Commission in 1992, Mr. Conte was a litigation associate with the firm of Steptoe & Johnson LLP in Washington, D.C. Mr. Conte, 45, earned his undergraduate degree from Brown University in 1983 and law degree from Catholic University's Columbus School of Law in 1988. In his nine years at the Commission, Mr. Firestone has also overseen investigations in major program areas. His work contributed to significant enforcement actions involving, among other things, financial fraud (WorldCom, Peregrine Systems, Inc.), insider trading, investment advisers fraud, market manipulation, yield burning (BT Alex Brown, Inc.), registered representative misconduct (SEC v. Shen, et al.) and violations of Regulation M, Rule 105. Prior to joining the Commission in 1997, Mr. Firestone was a litigator in private practice in Washington, D.C., and Maryland. He previously served four years on active duty as a Judge Advocate in the United States Navy. Mr. Firestone, 46, received both his undergraduate degree and law degree from Washington University in St. Louis, in 1982 and 1986, respectively. During her 14-year tenure at the Commission, Ms. Scarboro has overseen the investigation of a number of cases in several major program areas. These matters include a recent financial fraud action against Doral Financial Corporation, a major Puerto Rican bank holding company, and a financial fraud action against Kmart's former chief executive officer and its former chief financial officer. Ms. Scarboro also oversaw the filing of insider trading charges against the former chief financial officer of Capital One Financial Corporation for trading in the company's stock in advance of adverse Federal Reserve action. Prior to joining the Commission in 1992, Ms. Scarboro was associated with the firm of Sutherland Asbill & Brennan in Washington, D.C. Ms. Scarboro, 42, earned her undergraduate degree from the University of Alabama in Huntsville in 1986 and her law degree from Duke University's School of Law in 1989. (Press Rel. 2006-176) ENFORCEMENT PROCEEDINGS SEC SETTLES CHARGES AGAINST FORMER i2 TECHNOLOGIES CFO WILLIAM BEECHER On October 12, the Commission settled civil charges against William M. Beecher, the former chief financial officer of Dallas-based i2 Technologies, Inc. and a defendant in the Commission's July 2005 enforcement action. The Commission's complaint had alleged that, over the four years ended Dec. 31, 2001, and the first three quarters of 2002, i2 misstated approximately $1 billion of software license revenue, including over $125 million of revenue it never should have recognized. The complaint further alleged that Beecher participated and assisted others in misstating these amounts. The proposed Judgment to which Beecher has consented, without admitting or denying the Commission's allegations, enjoins him from violating or aiding and abetting violations of Section 17(a) of the Securities Act of 1933 and Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B) and 13(b)(5) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 13a-1, 13a-13, 13a-14, 13b2-1 and 13b2-2 thereunder. The proposed Judgment also prohibits Beecher from serving as an officer or director of a public company for five years, and orders him to pay disgorgement and prejudgment interest of $1,929,336 and a third-tier civil penalty of $250,000. The settlement is subject to court approval. [SEC v. Gregory A. Brady, et al., Civil Action No. 3:05-CV-1416-D, USDC, NDTX, Dallas Division] (LR-19871; AAE Rel. No. 2494) SEC SETTLES WITH RONALD GOEDDE The Commission announced that on October 17 the Honorable Ronald M. Whyte entered an order of permanent injunction prohibiting Ronald J. Goedde, former Chief Financial Officer of Cornerstone Propane Partners, LLP, from future violations of the anti-fraud and reporting provisions of the federal securities laws. The order also requires Goedde to pay disgorgement of $82,717 plus prejudgment interest thereon in the amount of $20,630.00; and orders a civil money penalty of $35,000. In addition, the order prohibits Goedde from acting as an officer or director of a public company for five years. Goedde consented to the entry of the injunction and the administrative order without admitting or denying the allegations of the Commission's complaint. The complaint alleged generally that Goedde signed Cornerstone's fiscal year 2000 Form 10-K and three fiscal year 2001 Forms 20-Q that falsely represented that Cornerstone's financial statements complied with Generally Accepted Accounting Principles; that Goedde signed false management representation letters to Cornerstone's outside auditors; that Cornerstone's financial statements did not comply with GAAP because of a breakdown in accounting at a Cornerstone subsidiary which rendered the company's financial statements materially unreliable; that Cornerstone did not disclose the possibility of a write-down, and that Cornerstone failed to disclose that the company's inter-company accounts did not balance. The injunction prohibits future violations of Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5, 13b2-1 and 13b2-2 thereunder and aiding and abetting violations of Sections 13(a) and 13(b)(2) of the Exchange Act and Rules 12b-20, 13a-1, and 13a-13 thereunder. Goedde also consented to the entry of an Administrative Order, pursuant to Rule 102(e) of the Commission's Rules of Practice, barring him from appearing or practicing before the Commission as an accountant, with a right to reapply after five years. [SEC v. Keith G. Baxter, et al., Civil Action No. 05-3843 RMW, N.D. Cal.] (LR-19872; AAE Rel. No. 2495) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-NYSEArca-2006-21) submitted by NYSE Arca relating to fees for the receipt and use of certain market data that NYSE Arca makes available. Publication in the Federal Register is expected during the week of October 16. (Rel. 34- 54597) PROPOSED RULE CHANGE The International Securities Exchange filed a proposed rule change (SR-ISE-2006-62) to implement a penny pilot program to quote and to trade certain options in pennies under Section 19(b)(2) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of October 16. (Rel. 34-54603) 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-3 FTD Group, Inc., 3113 WOODCREEK DRIVE, DOWNERS GROVE, IL, 60515, 630 719-7800 - 0 ($253,516,301.55) Equity, (File 333-138007 - Oct. 16) (BR. 08B) N-2 GLADSTONE INVESTMENT CORPORATION\DE, 1521 WESTBRANCH ROAD, SUITE 200, MCLEAN, VA, 22102, 7032867000 - 0 ($100,000,000.00) Equity, (File 333-138008 - Oct. 16) (BR. 17) S-4 Hughes Network Systems, LLC, 11717 EXPLORATION LANE, GERMANTOWN, MD, 20876, 301-428-5500 - 0 ($450,000,000.00) Non-Convertible Debt, (File 333-138009 - Oct. 16) (BR. ) S-3ASR Macquarie Infrastructure CO Trust, 125 WEST 55TH STREET, 22ND FLOOR, NEW YORK, NY, 10019, 212-231-1000 - 0 ($0.00) Other, (File 333-138010 - Oct. 16) (BR. 04A) S-8 MIRACOR DIAGNOSTICS INC, 9191 TOWNE CENTRE DR, STE 400, SAN DIEGO, CA, 92122, 8584557127 - 1,000,000 ($200,000.00) Equity, (File 333-138014 - Oct. 16) (BR. 01B) SB-2 Bootie Beer CORP, 620 NORTH DENNING DRIVE, STE 100, WINTER PARK, FL, 32789, 4076225999 - 0 ($5,166,666.00) Equity, (File 333-138015 - Oct. 16) (BR. 02) F-6 GENERAL GEOPHYSICS CO, 1 RUE LEON MIGAUX, MASSY FRANCE, I0, 91341, 3316447300 - 100,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-138016 - Oct. 16) (BR. 04B) SB-2 WILSON HOLDINGS, INC., 8121 BEE CAVES ROAD, AUSTIN, TX, 78746, (512) 732-0932 - 4,000,000 ($10,000,000.00) Equity, (File 333-138017 - Oct. 16) (BR. 08B) S-8 SUMTOTAL SYSTEMS INC, 1808 N. SHORLINE BLVD., MOUNTAIN VIEW, CA, 94043, 6509349500 - 1,500,000 ($10,260,000.00) Equity, (File 333-138018 - Oct. 16) (BR. 03B) S-8 WESTERN GOLDFIELDS INC, 2 BLOOR STREET WEST, SUITE 2102, P.O. BOX 110, TORONTO, A6, M4W 3E2, (416) 324-6000 - 5,000,000 ($8,296,500.00) Equity, (File 333-138021 - Oct. 16) (BR. 04A) S-8 TRINTECH GROUP PLC, TRINTECH BUILDING, SOUTH COUNTY BUSINESS PARK LEOPARDSTOWN, DUBLIN 18 IRELAND, L2, 00000, 2,900,000 ($10,005,000.00) ADRs/ADSs, (File 333-138022 - Oct. 16) (BR. 03B) S-3 MICROVISION INC, 6222 185TH AVE NE, REDMOND, WA, 98052, 4254156847 - 0 ($2,868,814.71) Equity, (File 333-138023 - Oct. 16) (BR. 10B) SB-2 IsoRay, Inc., 350 HILLS STREET,, SUITE 106, RICHLAND, WA, 99354, (509) 375-1202 - 9,030,559 ($27,994,733.00) Equity, (File 333-138024 - Oct. 16) (BR. 10B) SB-2 DIGITAL ALLY INC, 4831 WEST 136TH ST #300, LEAWOOD, KS, 66224, 913-814-7774 - 6,753,750 ($14,520,563.00) Equity, (File 333-138025 - Oct. 16) (BR. ) S-4 PROSPERITY BANCSHARES INC, 4295 SAN FELIPE, N/A, HOUSTON, TX, 77027, 7136939300 - 0 ($378,791,338.00) Equity, (File 333-138026 - Oct. 16) (BR. 07B) SB-2 ID-CONFIRM, INC., SUITE 400, 1800 BOULDER STREET, DENVER, CO, 80211-6400, 303-458-5727 - 30,242,085 ($1,738,919.89) Equity, (File 333-138027 - Oct. 16) (BR. 03A) S-4 PARK NATIONAL CORP /OH/, 50 NORTH THIRD ST, NEWARK, OH, 43055, 6143498451 - 86,137 ($8,642,987.00) Equity, (File 333-138028 - Oct. 16) (BR. 07A) S-3 DIGI INTERNATIONAL INC, 11001 BREN ROAD EAST, MINNETONKA, MN, 55343, 6129123444 - 0 ($22,816,499.00) Equity, (File 333-138029 - Oct. 16) (BR. 03B) F-1 Kodiak Oil & Gas Corp, SUITE 330 1625 BROADWAY, DENVER, CO, 90202, 303-592-8070 - 9,937,568 ($31,502,090.00) Equity, (File 333-138030 - Oct. 16) (BR. 04) S-8 LOWES COMPANIES INC, 1000 LOWE'S BLVD., MOORESVILLE, NC, 28117, 7047581000 - 0 ($1,476,000,000.00) Equity, (File 333-138031 - Oct. 16) (BR. 06B) S-3ASR AMERICAN EXPRESS CO, 200 VESEY STREET, 50TH FLOOR, NEW YORK, NY, 10285, 2126402000 - 0 ($0.00) Debt, (File 333-138032 - Oct. 16) (BR. 07A) 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 ABERCROMBIE & FITCH CO /DE/ DE 1.01,9.01 10/16/06 ACTUANT CORP WI 1.01 10/12/06 ADVANCED BIOTHERAPY INC DE 1.01,2.01,5.03,9.01 10/11/06 AEROCENTURY CORP DE 4.01 10/16/06 AFFIRMATIVE INSURANCE HOLDINGS INC DE 5.02 10/10/06 AFFORDABLE RESIDENTIAL COMMUNITIES IN MD 1.01,3.02,9.01 10/13/06 AIR PRODUCTS & CHEMICALS INC /DE/ DE 7.01,9.01 10/16/06 ALEXANDER & BALDWIN INC HI 2.03 10/11/06 ALLEGHENY TECHNOLOGIES INC DE 8.01,9.01 10/16/06 ALTERA CORP DE 2.02,5.02,8.01,9.01 10/16/06 Alternative Loan Trust 2006-OA17 8.01,9.01 09/29/06 AMERALIA INC 8.01 10/12/06 American Express Issuance Trust DE 8.01,9.01 10/16/06 AMERISOURCEBERGEN CORP DE 8.01,9.01 10/13/06 ANALYSTS INTERNATIONAL CORP 8.01,9.01 10/16/06 Ancor Resources Inc. NV 4.01 09/25/06 ANDERSONS INC OH 8.01 10/13/06 ANTARES PHARMA INC MN 1.01 10/13/06 ANWORTH MORTGAGE ASSET CORP MD 2.02,9.01 10/13/06 Arran Funding LTD XX 8.01,9.01 10/16/06 ARTS WAY MANUFACTURING CO INC DE 9.01 08/31/06 Aspreva Pharmaceuticals CORP A1 2.02,9.01 10/13/06 ATLANTIC EXPRESS TRANSPORTATION CORP NY 1.01,9.01 10/12/06 AVALON PHARMACEUTICALS INC 5.02,9.01 10/11/06 AXM PHARMA INC 4.01,9.01 10/16/06 AMEND BA Master Credit Card Trust II 8.01,9.01 10/16/06 Banc of America Funding 2006-H Trust DE 8.01,9.01 09/29/06 BANKERS STORE INC NY 1.01,5.02,9.01 10/12/06 BEACON POWER CORP DE 5.02,9.01 10/12/06 Bear Stearns ALT-A Trust 2006-6 DE 8.01,9.01 09/29/06 Bear Stearns ALT-A Trust 2006-R1 DE 8.01,9.01 09/29/06 Bear Stearns Mortage Funding Trust 20 DE 8.01,9.01 09/29/06 BENCHMARK ELECTRONICS INC TX 5.03,9.01 10/16/06 BENIHANA INC DE 2.02,9.01 10/16/06 BERLINER COMMUNICATIONS INC DE 1.01,9.01 10/10/06 BLACK GARDENIA CORP NV 3.02,5.01 10/13/06 BPI Energy Holdings, Inc. 1.01,5.02,9.01 10/12/06 BreitBurn Energy Partners L.P. DE 1.01,2.01,2.03,3.02,5.02,5.03 10/10/06 Brownsville CO NV 1.01,9.01 10/13/06 C&D TECHNOLOGIES INC DE 5.02,9.01 10/13/06 CA, INC. DE 1.01,3.03,9.01 10/16/06 Calibre Energy, Inc. NV 5.02 10/03/06 CALLAWAY GOLF CO /CA DE 2.02,9.01 10/16/06 CALLWAVE INC 4.01,9.01 10/10/06 CALTON INC NJ 2.02,9.01 10/16/06 CANTEL MEDICAL CORP DE 2.02,9.01 10/12/06 Capital One Auto Receivables LLC DE 8.01,9.01 10/12/06 CAPITAL ONE FUNDING, LLC 8.01,9.01 10/05/06 CASCADE BANCORP OR 2.02,7.01,9.01 10/16/06 CASEYS GENERAL STORES INC IA 7.01 10/16/06 Castle Brands Inc 1.01,9.01 10/12/06 CENTRAL VALLEY COMMUNITY BANCORP CA 2.02,9.01 10/12/06 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 10/10/06 CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 10/16/06 CHESAPEAKE ENERGY CORP OK 8.01,9.01 10/16/06 CHICAGO MERCANTILE EXCHANGE HOLDINGS DE 1.01 10/13/06 CHILDRENS INTERNET INC NV 4.01,8.01,9.01 10/13/06 China Health Holding, Inc. NV 8.01,9.01 10/11/06 CITIBANK OMNI-S MASTER TRUST 8.01,9.01 10/16/06 CITIBANK SOUTH DAKOTA N A DE 8.01 09/26/06 CNB FINANCIAL SERVICES INC WV 2.02,9.01 10/16/06 COMMERCE BANCORP INC /NJ/ NJ 2.02,9.01 10/16/06 CONSTELLATION ENERGY GROUP INC MD 1.01 10/16/06 COPART INC CA 5.02,5.03,9.01 10/10/06 COPART INC CA 8.01 10/16/06 CPI CORP DE 5.02 10/12/06 CREE INC NC 1.01,3.03,9.01 10/16/06 CRYO CELL INTERNATIONAL INC DE 2.02,9.01 10/16/06 CSAB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 10/16/06 CSMC 2006-8 DE 8.01,9.01 10/16/06 CURTISS WRIGHT CORP DE 1.01 10/16/06 CWALT INC DE 8.01,9.01 10/12/06 CWHEQ Home Equity Loan Trust, Series 8.01,9.01 09/29/06 Cyberkinetics Neurotechnology Systems DE 8.01,9.01 10/14/06 DALRADA FINANCIAL CORP DE 5.02,9.01 10/16/06 DALRADA FINANCIAL CORP DE 5.02,9.01 10/16/06 DAYSTAR TECHNOLOGIES INC DE 5.02,9.01 10/10/06 DELTA APPAREL INC GA 2.02,9.01 10/16/06 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 10/16/06 DICON FIBEROPTICS INC CA 9.01 10/16/06 DIGI INTERNATIONAL INC DE 8.01,9.01 10/16/06 DPL INC OH 7.01,9.01 10/11/06 DREW INDUSTRIES INC DE 8.01,9.01 10/16/06 DURA AUTOMOTIVE SYSTEMS INC DE 8.01 10/16/06 EATON CORP OH 2.02,9.01 10/16/06 EAUTOCLAIMS, INC NV 8.01,9.01 10/10/06 ECC Capital CORP 1.01,9.01 10/10/06 EDISON MISSION ENERGY DE 8.01,9.01 10/12/06 EL PASO CORP/DE DE 1.01,5.02,9.01 10/16/06 EMERGE INTERACTIVE INC DE 8.01,9.01 10/16/06 EMERITUS CORP\WA\ WA 1.01,9.01 10/10/06 ENER1 INC FL 1.01,5.02 10/12/06 ENSCO INTERNATIONAL INC DE 2.02,9.01 10/16/06 Enterprise GP Holdings L.P. DE 7.01,9.01 10/12/06 ENTERPRISE PRODUCTS PARTNERS L P DE 5.02,7.01,9.01 10/12/06 ENVIRONMENTAL POWER CORP DE 1.01,9.01 10/11/06 ENVIRONMENTAL SERVICE PROFESSIONALS, NV 5.02,5.03,5.06,9.01 10/11/06 ERGO SCIENCE CORP /DE/ DE 1.01,8.01,9.01 10/10/06 ETERNAL TECHNOLOGIES GROUP INC DE 5.02,8.01 10/12/06 EVERGREEN HOLDINGS INC OR 8.01,9.01 10/16/06 EXCELSIOR LASALLE PROPERTY FUND INC 8.01 10/16/06 EXPONENT INC DE 2.02,7.01,9.01 10/16/06 EXPRESSJET HOLDINGS INC DE 5.02,9.01 10/16/06 EYI INDUSTRIES INC. 1.01 10/13/06 FAIRPOINT COMMUNICATIONS INC DE 8.01,9.01 10/16/06 Federal Home Loan Bank of Seattle 3.03,7.01,9.01 10/11/06 Federal Home Loan Bank of Topeka 5.02,7.01,9.01 10/16/06 FERMAVIR PHARMACEUTICALS, INC. FL 8.01 10/12/06 FFD FINANCIAL CORP/OH OH 2.01,2.03 10/10/06 FIRST FEDERAL BANC OF THE SOUTHWEST I 1.01,9.01 10/10/06 FIRST FRANKLIN CORP DE 2.02,9.01 10/13/06 FIRST NIAGARA FINANCIAL GROUP INC DE 2.02,9.01 10/13/06 FLOWSERVE CORP NY 2.02,9.01 10/10/06 FOAMEX INTERNATIONAL INC DE 1.01,8.01,9.01 10/13/06 FOREST CITY ENTERPRISES INC OH 1.01,2.03,3.02,9.01 10/10/06 FORWARD INDUSTRIES INC NY 8.01 10/03/06 FOSTER WHEELER LTD D0 7.01,9.01 10/13/06 Franklin Auto Trust 2006-1 DE 8.01,9.01 10/10/06 FX ENERGY INC NV 8.01,9.01 10/16/06 GABRIEL TECHNOLOGIES CORP DE 8.01 10/13/06 Gamma Pharmaceuticals Inc DE 4.01,9.01 10/16/06 GAP INC DE 7.01,9.01 10/16/06 GENERAL ELECTRIC CO NY 1.01,9.01 10/13/06 GERON CORP DE 1.01,5.02,9.01 10/16/06 GEVITY HR INC FL 5.02,9.01 10/16/06 GLADSTONE COMMERCIAL CORP MD 8.01,9.01 10/16/06 GLADSTONE INVESTMENT CORPORATION\DE DE 8.01 10/10/06 GLOBAL ENTERTAINMENT CORP NV 2.02,9.01 10/16/06 GOLDEN OVAL EGGS LLC DE 5.02 10/12/06 GRAINGER W W INC IL 2.02,9.01 09/30/06 GREAT CHINA MINING, INC NV 8.01,9.01 10/11/06 GREENBRIER COMPANIES INC DE 1.01,9.01 10/15/06 GREENBRIER COMPANIES INC DE 8.01,9.01 10/15/06 AMEND HALLADOR PETROLEUM CO CO 2.01,9.01 07/31/06 AMEND HAMPSHIRE GROUP LTD DE 1.01,9.01 10/11/06 Harbin Electric, Inc 5.02,8.01,9.01 10/12/06 HEALTH NET INC DE 2.02,8.01,9.01 10/16/06 HEALTH NET INC DE 5.02 10/14/06 HEALTH SCIENCES GROUP INC DE 8.01,9.01 10/12/06 HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 2.02,9.01 10/16/06 HERITAGE OAKS BANCORP CA 2.02,9.01 10/16/06 HEXION SPECIALTY CHEMICALS, INC. NJ 7.01 10/16/06 HOME SOLUTIONS OF AMERICA INC DE 2.01,9.01 07/31/06 AMEND HOST HOTELS & RESORTS L.P. DE 8.01,9.01 09/08/06 HOST HOTELS & RESORTS, INC. MD 8.01,9.01 09/08/06 IBT BANCORP INC PA 2.02,9.01 10/16/06 IKON OFFICE SOLUTIONS INC OH 1.01,9.01 10/11/06 IMPAC SECURED ASSETS CORP., MORTGAGE CA 9.01 09/29/06 IMPERIAL PETROLEUM INC NV 4.01,9.01 09/29/06 AMEND Indigo-Energy, Inc. NV 4.01,5.01,5.03,5.06 12/15/05 AMEND INFINITY ENERGY RESOURCES, INC 1.01,9.01 10/10/06 ING USA Global Funding Trust 1 IA 8.01,9.01 10/02/06 INOVIO BIOMEDICAL CORP 1.01,3.02,8.01,9.01 10/13/06 INTER TEL INC AZ 1.01,9.01 10/12/06 INTEREP NATIONAL RADIO SALES INC NY 5.02 10/10/06 INTERMOST CORP UT 5.02 10/11/06 INTERNATIONAL BARRIER TECHNOLOGY INC/ 8.01,9.01 10/11/06 INTERNATIONAL PAPER CO /NEW/ NY 5.03,9.01 10/10/06 INTERNET CAPITAL GROUP INC DE 1.01 10/16/06 INTERNET SECURITY SYSTEMS INC/GA DE 8.01,9.01 10/16/06 INVISA INC 1.01,3.02,9.01 10/16/06 IPSCO INC 7.01,9.01 10/16/06 ITC Holdings Corp. MI 1.01,2.01,3.02,8.01,9.01 10/10/06 iWorld Projects & Systems, Inc. NV 8.01 10/16/06 James River Coal CO VA 5.02 10/16/06 JANEL WORLD TRADE LTD NV 8.01,9.01 10/12/06 JLG INDUSTRIES INC PA 1.01,8.01,9.01 10/15/06 JLG INDUSTRIES INC PA 8.01,9.01 10/16/06 JLG INDUSTRIES INC PA 8.01,9.01 10/16/06 AMEND KAYNE ANDERSON ENERGY DEVELOPMENT CO MD 8.01,9.01 10/12/06 KONIGSBERG CORP 3.02 10/11/06 KRONOS INC MA 9.01 08/01/06 AMEND LABRANCHE & CO INC DE 2.02,9.01 10/16/06 LAKELAND FINANCIAL CORP IN 2.02,9.01 09/30/06 LEAR CORP DE 8.01,9.01 10/16/06 Liberty Global, Inc. 7.01 10/16/06 LIBERTY STAR GOLD CORP NV 1.01,9.01 10/06/06 LIFEPOINT HOSPITALS, INC. 5.03,9.01 10/13/06 LINN ENERGY, LLC DE 9.01 08/01/06 AMEND LITHIUM TECHNOLOGY CORP DE 5.02 10/10/06 LOJACK CORP MA 1.01 10/12/06 Long Beach Acceptance Auto Receivable 2.01,9.01 09/01/06 LONGVIEW FIBRE CO WA 5.02 10/12/06 LOUDEYE CORP DE 5.01 10/16/02 LOUDEYE CORP DE 5.01 10/16/02 AMEND LOUISVILLE GAS & ELECTRIC CO /KY/ KY 8.01 10/13/06 LSB INDUSTRIES INC DE 1.01,3.02,9.01 10/16/06 LSI INDUSTRIES INC OH 1.01 08/22/06 AMEND Macquarie Infrastructure CO Trust DE 9.01 10/13/06 Macquarie Infrastructure CO Trust DE 2.02,4.02,7.01,9.01 10/13/06 MAGELLAN HEALTH SERVICES INC DE 2.01,9.01 07/31/06 AMEND MAGNA ENTERTAINMENT CORP DE 1.01,5.02,8.01,9.01 10/13/06 MAGUIRE PROPERTIES INC MD 1.01,1.02,9.01 10/10/06 MANITOWOC CO INC WI 1.01,5.02,9.01 10/13/06 MARKWEST ENERGY PARTNERS L P 7.01,9.01 10/16/06 MARSHALL & ILSLEY CORP/WI/ WI 2.02,9.01 10/16/06 MASTR Asset Backed Securities Trust 2 DE 2.01,9.01 09/07/06 MATTEL INC /DE/ DE 2.02,7.01,9.01 10/13/06 MATTSON TECHNOLOGY INC DE 2.02,9.01 10/16/06 McAfee, Inc. DE 8.01,9.01 10/16/06 McAfee, Inc. DE 1.01 10/11/06 MCKENZIE BAY INTERNATIONAL LTD 1.02,8.01 10/16/06 MEDIANEWS GROUP INC DE 9.01 08/02/06 AMEND MEDICALCV INC MN 1.01,3.02,9.01 10/13/06 MEDTOX SCIENTIFIC INC DE 2.02,9.01 09/30/06 MEDTRONIC INC MN 8.01,9.01 10/13/06 MELLON BANK N A MA 8.01,9.01 10/10/06 Meritage Homes CORP MD 1.01,5.02,9.01 10/16/06 Merrill Lynch Mortgage Investors Trus DE 2.01,9.01 09/01/06 Merrill Lynch Mortgage Investors Trus DE 8.01,9.01 09/29/06 MERRILL MERCHANTS BANCSHARES INC ME 3.01,9.01 10/12/06 MESABI TRUST NY 2.02,9.01 10/13/06 METAL MANAGEMENT INC DE 1.01,9.01 10/13/06 MFC DEVELOPMENT CORP DE 2.01,9.01 08/01/06 AMEND MGI PHARMA INC MN 7.01,9.01 10/12/06 MGM MIRAGE DE 1.01,7.01,9.01 10/13/06 MICROMET, INC. DE 1.01,5.02,8.01,9.01 10/10/06 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 10/16/06 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 10/16/06 MILLER HERMAN INC MI 7.01 10/16/06 MISSION ENERGY HOLDING CO DE 8.01,9.01 10/12/06 MM2 GROUP, INC. NY 1.01,1.02,3.02,9.01 07/20/06 MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 10/16/06 MORGAN STANLEY SPECTRUM TECHNICAL LP DE 1.01,9.01 10/10/06 Morgan Stanley ABS Capital I Inc. IXI DE 2.01,9.01 09/01/06 MOTIVE INC DE 8.01 10/14/06 MSC SOFTWARE CORP DE 2.02,9.01 10/12/06 NATIONAL COAL CORP FL 1.01,2.03,9.01 10/12/06 National Health Partners Inc 2.02,9.01 10/10/06 NationsHealth, Inc. DE 1.01,1.02,9.01 10/13/06 NCT GROUP INC DE 1.01,2.03,3.02 10/10/06 NELNET INC NE 1.01,2.02,9.01 10/16/06 NETBANK INC GA 8.01,9.01 10/13/06 NETBANK INC GA 4.01,9.01 10/10/06 NEVADA GOLD & CASINOS INC NV 5.02,9.01 10/10/06 NEW YORK COMMUNITY BANCORP INC DE 1.01,9.01 10/12/06 NEWELL RUBBERMAID INC DE 5.02 10/12/06 NTN BUZZTIME INC DE 3.01,9.01 10/10/06 NUCO2 INC /FL FL 4.01,9.01 10/12/06 OAK HILL FINANCIAL INC OH 2.02,9.01 10/12/06 OCWEN FINANCIAL CORP FL 2.01,9.01 07/31/06 AMEND Omrix Biopharmaceuticals, Inc. DE 7.01,9.01 10/16/06 ONLINE HOLDINGS INC 5.02 10/10/06 ONVIA INC DE 1.01,9.01 10/16/06 OPENLIMIT INC FL 5.02 10/13/06 OptimumBank Holdings, Inc. FL 2.02,9.01 10/16/06 Orange 21 Inc. DE 1.01,5.02,9.01 10/12/06 OSHKOSH TRUCK CORP WI 8.01,9.01 10/16/06 OXIS INTERNATIONAL INC DE 1.02 10/12/06 PANTRY INC DE 1.01 10/11/06 PARK NATIONAL CORP /OH/ OH 2.02,8.01,9.01 10/16/06 PEGASUS COMMUNICATIONS CORP / DE 1.01,9.01 10/10/06 PEMCO AVIATION GROUP INC DE 1.01,2.03,9.01 10/10/06 PEOPLES FINANCIAL CORP /MS/ MS 2.02,9.01 10/16/06 PHARMACEUTICAL PRODUCT DEVELOPMENT IN NC 2.02,5.02,9.01 10/16/06 PHC INC /MA/ MA 9.01 10/16/06 AMEND PHYTOMEDICAL TECHNOLOGIES INC NV 7.01,9.01 10/11/06 PIERRE FOODS INC NC 2.02,9.01 10/15/06 PLURISTEM LIFE SYSTEMS INC NV 5.02 10/16/06 POPULAR INC 2.02,9.01 10/13/06 PRESIDENT CASINOS INC DE 1.01,9.01 10/10/06 PRICELINE COM INC DE 1.01,3.02,9.01 10/11/06 PRIVATEBANCORP, INC DE 2.02,8.01,9.01 10/16/06 Project Romania Inc. NV 1.01,5.02,8.01 10/12/06 PROSPERO MINERALS CORP. NV 5.02 10/13/06 PROVIDENT FINANCIAL SERVICES INC DE 1.01,9.01 10/15/06 QUOTESMITH COM INC DE 7.01,9.01 10/16/06 RELIANCE STEEL & ALUMINUM CO CA 8.01,9.01 10/12/06 Rockwood Holdings, Inc. DE 7.01,9.01 10/16/06 ROLLINS INC DE 5.04 10/16/06 ROTONICS MANUFACTURING INC/DE DE 2.02,9.01 10/13/06 SACO I Trust 2006-4 DE 9.01 10/16/06 SAGEMARK COMPANIES LTD NY 8.01 10/11/06 SALTON INC DE 1.01,9.01 10/10/06 SALTON INC DE 2.02,9.01 10/16/06 SCHWAB CHARLES CORP DE 2.02,9.01 10/16/06 SENESCO TECHNOLOGIES INC DE 1.01,3.02,8.01,9.01 10/10/06 SERVICE CORPORATION INTERNATIONAL TX 8.01,9.01 10/16/06 SHAW GROUP INC LA 1.01 10/12/06 SHEFFIELD PHARMACEUTICALS INC DE 5.02 10/16/06 Shire plc 8.01,9.01 10/13/06 SI INTERNATIONAL INC DE 1.01,8.01 10/11/06 SILVERADO GOLD MINES LTD A1 3.02,9.01 10/16/06 SKY PETROLEUM, INC. NV 7.01,9.01 10/10/06 Smart-tek Solutions Inc NV 8.01,9.01 10/16/06 Smart-tek Solutions Inc NV 8.01,9.01 10/16/06 SOLANEX MANAGEMENT INC 1.01,3.02,9.01 10/12/06 Solar Power, Inc. NV 5.03 10/04/06 AMEND Solo Cup CO DE 2.02,9.01 10/16/06 SONOSITE INC 2.02,9.01 10/16/06 STELLENT INC MN 9.01 07/31/06 AMEND STREICHER MOBILE FUELING INC FL 2.02,8.01,9.01 10/13/06 SUFFOLK BANCORP NY 2.02 10/16/06 SUMTOTAL SYSTEMS INC DE 2.02,9.01 10/16/06 SUMTOTAL SYSTEMS INC DE 2.02,9.01 10/16/06 AMEND SUN BANCORP INC /NJ/ NJ 2.02,9.01 09/30/06 SUN HEALTHCARE GROUP INC DE 1.01,9.01 10/12/06 SUN NEW MEDIA INC. MN 5.02,9.01 10/11/06 SUPERVALU INC DE 9.01 06/07/06 AMEND Sweet Success Enterprises, Inc NV 5.02 10/16/06 TARA GOLD RESOURCES CORP. NV 4.01,9.01 10/13/06 TARRAGON CORP NV 1.01 10/10/06 TEMPUR PEDIC INTERNATIONAL INC DE 5.02,7.01,9.01 10/10/06 TERCICA INC DE 5.02,8.01,9.01 10/13/06 TEREX CORP DE 1.01,9.01 10/13/06 TEXAS REGIONAL BANCSHARES INC TX 2.02,9.01 10/16/06 THERMODYNETICS INC DE 8.01,9.01 10/13/06 THORNBURG MORTGAGE INC MD 2.02,9.01 10/16/06 Titan Global Holdings, Inc. UT 1.01,2.01,3.02,9.01 10/10/06 TORVEC INC NY 8.01 10/16/06 TOWER AUTOMOTIVE INC DE 5.02 10/12/06 TRI-CONTINENTAL CORP MD 7.01,9.01 10/16/06 TRIAD AUTOMOBILE RECEIVABLES TRUST 20 8.01,9.01 10/13/06 TRIAD AUTOMOBILE RECEIVABLES TRUST 20 8.01,9.01 10/13/06 TRIBEWORKS INC DE 4.01,9.01 10/13/06 Trinsic, Inc. DE 5.02 10/10/06 UNION BANKSHARES INC VT 2.02,8.01,9.01 10/13/06 UNITED AMERICAN HEALTHCARE CORP MI 1.01,9.01 10/10/06 UNITED BANCORP INC /MI/ MI 2.02,8.01,9.01 10/16/06 UNITED TECHNOLOGIES CORP /DE/ DE 1.01,9.01 10/11/06 UNITEDHEALTH GROUP INC MN 1.01,5.02,8.01,9.01 10/15/06 UNIVERSAL HOSPITAL SERVICES INC MN 5.02 10/16/06 URANERZ ENERGY CORP. NV 8.01 10/12/06 US AIRWAYS GROUP INC DE 5.02,9.01 10/11/06 USG CORP DE 5.02 10/10/06 USI HOLDINGS CORP DE 1.01,2.03,9.01 10/10/06 UTEK CORP 8.01,9.01 10/09/06 UTSTARCOM INC DE 5.02,8.01,9.01 10/10/06 VECTREN UTILITY HOLDINGS INC IN 8.01,9.01 10/13/06 VECTREN UTILITY HOLDINGS INC IN 8.01,9.01 10/16/06 VIASAT INC CA 1.01,9.01 10/11/06 VIEWPOINT CORP DE 2.02,9.01 10/13/06 VITACUBE SYSTEMS HOLDINGS INC NV 5.02,8.01,9.01 10/16/06 VOIP INC 1.02 10/12/06 WACHOVIA CORP NEW NC 2.02,9.01 10/16/06 WALGREEN CO IL 5.02 10/01/06 AMEND WEST CORP DE 2.02,8.01,9.01 10/16/06 WORLD ENERGY SOLUTIONS, INC. FL 1.02 09/30/06 AMEND WVS FINANCIAL CORP PA 2.02,9.01 10/16/06 XPONENTIAL INC DE 1.01,9.01 10/11/06 YADKIN VALLEY FINANCIAL CORP NC 8.01,9.01 10/03/06 YOUNG INNOVATIONS INC MO 2.01,9.01 07/31/06 AMEND