SEC NEWS DIGEST Issue 2006-222 November 17, 2006 COMMISSION ANNOUNCEMENTS SECURITIES AND EXCHANGE COMMISSION SUSPENDS TRADING IN DIGITAL GAS, INC. The Securities and Exchange Commission today announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act), of trading in the securities of Digital Gas, Inc. (Digital) (stock symbol DIGG) at 9:30 a.m. EST on Nov.17, 2006, and terminating at 11:59 p.m. EST on Dec. 4, 2006. The Commission temporarily suspended trading in the securities of Digital because of questions raised regarding the accuracy and adequacy of publicly disseminated information concerning, among other things, Digital's announced agreement with Techno Rubber, Inc. and Digital's assets. The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company. Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not it has complied with the rule, it should not enter any quotation but immediately contact the staff of the Securities and Exchange Commission in Washington, D.C. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, it should refrain from entering quotations relating to Digital's securities until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation that is in violation of the rule, the Commission will consider the need for prompt enforcement action. For questions related to the operation of Rule 15c2-11, please contact the Division of Market Regulation, Office of Interpretation and Guidance, at (202) 551-5760. Any broker, dealer or other person with information relating to this matter is invited to call Gerald A. Gross, Assistant Regional Director, in the Northeast Regional Office of the Securities and Exchange Commission, at (212) 336-0085 or grossg@sec.gov. (Rel. 34- 54772) JOHN MCCARTHY, ASSOCIATE DIRECTOR OF OCIE, TO LEAVE COMMISSION The Securities and Exchange Commission announced today that John McCarthy, Associate Director in the Office of Compliance Inspections and Examinations (OCIE), will leave the Commission later this month. Mr. McCarthy is joining a privately-held proprietary trading firm with offices in New York, London and Chicago. Lori Richards, the Director of OCIE, said, "John has played a key role in many important inspection and examination initiatives, and his expertise in trading and markets has been enormously valuable to the SEC in its oversight of firms and self-regulatory organizations. His work has led to significant and lasting improvements in the markets' surveillance, compliance and other regulatory programs. Ultimately, his work served to better protect investors and the integrity of our markets. He is known for his calm leadership, perseverance, collegiality, and unwavering commitment to investor protection." Mr. McCarthy said, "My tenure at the Commission was an extremely rewarding experience because I was able to work on a daily basis with dedicated professionals who are truly committed to protecting investors." Mr. McCarthy, 42, joined the Commission's staff in 1992 as a staff attorney and became an Associate Director of OCIE's market oversight unit in 2000. As Associate Director, Mr. McCarthy supervised the Commission's oversight inspection program which is responsible for regulatory oversight of trading on the securities exchanges. During his tenure, Mr. McCarthy supervised and conducted inspections and examinations that involved a wide range of issues. These issues included best execution, order handling, research analyst conflicts, market timing and late trading, fixed-income trading, floor trading and ATS compliance. Mr. McCarthy received the Commission's 2000 and 2004 Capital Markets Award for leading inspections that assisted in reforming the options markets, and for leading OCIE's examinations of investment banking/research analysts' conflicts of interest. Mr. McCarthy also received the Chairman's Award of Excellence in 1998 for his role in improving the Commission's oversight of the self-regulatory organizations. Mr. McCarthy received his B.S. in Engineering and A.B. in Economics from the University of Michigan, his M.Sc. in Finance from the London School of Economics and his JD from the University of Maryland. (Press Rel. 2006-193) RULES AND RELATED MATTERS ORDER GRANTING AN APPLICATION OF THE NEW YORK STOCK EXCHANGE LLC FOR AN EXEMPTION PURSUANT TO SECTION 36 OF THE SECURITIES EXCHANGE ACT OF 1934 The Commission has granted an application submitted by the New York Stock Exchange LLC that requests an exemption pursuant to Section 36 of the Securities Exchange Act of 1934. The order exempts NYSE members, brokers and dealers from Section 12(a) of the Exchange Act to allow them to trade certain debt securities on NYSE facilities that are not registered under Section 12(b) of the Exchange Act. The exemption is conditioned, among other things, on: the issuer of the debt securities having a class of equity securities registered under Section 12(b) of the Exchange Act and listed on the NYSE; the transfer agent of the debt security being registered under Section 17A of the Exchange Act; and the debt security being registered under the Securities Act of 1933. In connection with the exemption order, the Commission also has approved an NYSE rule change, SR-NYSE-2004-69, that establishes rules for the trading of unlisted debt securities on the NYSE, as well as a rule change relating to trade reporting for transactions in unregistered debt securities submitted by the National Association of Securities Dealers, Inc, SR-NASD-2006-110. These rule changes are available on the Commission's website at http://www.sec.gov/rules/sro.shtml. The exemption order and NYSE's application for the exemption are available on the Commission's website at http://www.sec.gov/rules/exorders.shtml. (Rel. 34-54766; File No. S7-06-05) ENFORCEMENT PROCEEDINGS IN THE MATTER OF CHARLES SPADONI The Commission announced the issuance of an Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice (Order) against Charles B. Spadoni (Spadoni). The Order finds that on Oct. 27, 2006, a judgment of conviction was entered against Spadoni, in U.S. v. Triumph Capital Group, Inc., et al., Criminal No. 3:00CR-217 (EBB), in the U.S. District Court for the District of Connecticut, finding him guilty of: (a) one count of racketeering in violation of 18 U.S.C. § 1962(c) concerning acts of bribery and obstruction of justice; (b) one count of racketeering conspiracy in violation of 18 U.S.C. § 1962(d) concerning acts of bribery and obstruction of justice; (c) one count of theft/bribery concerning programs receiving federal funds in violation of 18 U.S.C. § § 666(a)(2) and 2; (d) four counts of wire fraud/theft of honest services in violation of 18 U.S.C. § § 1343, 1436, and 2; and (e) one count of obstruction of justice in violation of 18 U.S.C. § 1503. As a result of this conviction, Spadoni was sentenced to 36 months imprisonment in a federal penitentiary and ordered to pay a fine in the amount of $50,000. Based on the above, the Order found that Spadoni has been convicted of a felony within the meaning of Rule 102(e)(2) of the Commission's Rules of Practice. As a result, the Order forthwith suspended Spadoni from appearing or practicing before the Commission pursuant to Rule 102(e)(2) of the Commission's Rules of Practice. (Rel. 34-54774; File No. 3-12480) IN THE MATTER OF BRUCE PERRY On November 17, the Commission issued an Order Instituting Cease-and- Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934 (Order) against Bruce M. Perry (Perry), the former Chief Executive Officer of Mount Sinai Medical Center of Florida, Inc. (Mount Sinai or the hospital). The Order finds that Perry made material misrepresentations and omissions in the Official Statements and other documents disseminated to investors in connection with a series of three bonds issued by Mount Sinai in May 2001, through the City of Miami Beach Health Facilities Authority, totaling approximately $184 million (the 2001 bond offerings). Specifically, the Order finds that Mount Sinai, through Perry, made material misrepresentations and omissions in connection with the 2001 bond offerings because it failed to disclose in the Official Statements that the hospital was experiencing a significant deterioration in its cash position, was in the midst of a severe liquidity problem and that the Official Statements contained misleading projections of the hospital's anticipated revenue. Further, the Order finds that the Official Statements misrepresented that eight of Mount Sinai's high volume managed care contracts had been renegotiated, and that the renegotiated contracts were expected to contribute approximately $10 million annually of additional revenue for the hospital beginning in 2001. The Order also finds that Perry reiterated the above misrepresentations to institutional investors and bond rating agencies prior to the 2001 bond issue. Moreover, the Order finds that Mount Sinai, through Perry, made additional misrepresentations and omissions in its second quarter report for the quarter ended June 30, 2001, which was filed with various repositories in accordance with the terms of the bond covenants. Based on the above, the Order commands Perry to cease and desist from committing or causing any violations and any future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act, and Rule 10b-5 thereunder. Perry consented to the issuance of the Order without admitting or denying any of its findings. Perry has also consented, without admitting or denying, to the entry of a Final Judgment imposing a civil money penalty of $40,000 against him in related district court action, SEC v. Perry, Case no. 05-21525- Civ-Martinez. (Rels. 33-8755; 34-54776; AAE Rel. 2516; File No. 3- 12481) INVESTMENT COMPANY ACT RELEASES THE GMS GROUP, LLC, ET AL. A notice has been issued giving interested persons until Dec. 11, 2006, to request a hearing on an application filed by The GMS Group, LLC (Sponsor), et al. for an order: (a) under Section 6(c) of the Investment Company Act for exemptions from Sections 2(a)(32), 2(a)(35), 22(d) and 26(a)(2)(C) of the Act and Rule 22c-1 thereunder to permit certain unit investment trusts to impose sales charges on a deferred basis and waive the deferred sales charge in certain cases; (b) under Sections 11(a) and 11(c) of the Act to approve certain exchange and rollover privileges; (c) under Section 6(c) of the Act for exemptions from Sections 14(a) and 19(b) of the Act and Rule 19b-1 thereunder to permit the unit investment trust series to publicly offer their units without the Sponsor having to take for its own account or place with others $100,000 worth of units, and to permit the trust series to distribute capital gains resulting from the sale of portfolio securities within a reasonable time after receipt; and (d) under Sections 6(c) and 17(b) of the Act to permit the trust series to sell portfolio securities of a terminating series of the trust to a new series of the trust. (Rel. IC-27554 - November 16) SELF-REGULATORY ORGANIZATIONS NOTICE OF FILING OF CORRECTION AND EXTENSION OF COMMENT PERIOD The Fixed Income Clearing Corporation filed a correction and extension of comment period for a proposed rule change (SR-FICC-2006-15) that would modify its rules to diversify and standardize Clearing Fund collateral requirements across the division to improve liquidity and minimize risk for its members. Publication is expected in the Federal Register during the week of November 20. (Rel. 34-54682A) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-ISE-2006-56) and Amendment No. 1 filed by the International Securities Exchange that establishes customer fees for certain complex orders. Publication is expected in the Federal Register during the week of November 20. (Rel. 34-54751) The Commission approved a proposed rule change (SR-NYSE-2004-69) and Amendment No. 1 thereto filed by the New York Stock Exchange to establish rules for the trading of unregistered corporate debt securities. Publication is expected in the Federal Register during the week of November 20. (Rel. 34-54767) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES The Commission issued notice of immediate effectiveness of a proposed rule change (SR-NSX-2006-14) and Amendment No. 1 thereto filed by the National Stock Exchange to implement a fee schedule under NSX Rule 16.1(a) and 16.1(c) for transactions executed through NSTS and to modify a fee schedule for ITS transactions. Publication is expected in the Federal Register during the week of November 20. (Rel. 34-54753) The Stock Clearing Corporation of Philadelphia filed a proposed rule change (SR-SCCP-2006-03), which became effective upon filing, to extend SCCP's trade recording fee and value fee to outbound NMS linkage orders. Publication is expected in the Federal Register during the week of November 20. (Rel. 34-54756) The Commission issued notice of immediate effectiveness of a proposed rule change (SR-NYSEArca-2006-81) filed by NYSE Arca amending rules related to complex order trading. Publication is expected in the Federal Register during the week of November 20. (Rel. 34-54758) The Commission issued notice of immediate effectiveness of a proposed rule change (SR-NYSEArca-2006-80) filed by NYSE Arca relating to the procedures for executing complex options orders in open outcry. Publication is expected in the Federal Register during the week of November 20. (Rel. 34-54759) A proposed rule change (SR-Phlx-2006-76) filed by the Philadelphia Stock Exchange to adopt Rule 185A, Intermarket Sweep Orders - Temporary, 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 November 20. (Rel. 34-54760) A proposed rule change filed by the Chicago Board Options Exchange relating to the definition of Quarterly Index Expiration or QIX (SR- CBOE-2006 85) 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 November 20. (Rel. 34-54761) ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission granted accelerated approval to a proposed rule change, as amended by Amendment No. 1, (SR-NASD-2006-007) submitted by the National Association of Securities Dealers relating to option position and exercise limits and position reporting obligations. Publication is expected in the Federal Register during the week of November 20. (Rel. 34-54755) The Commission granted accelerated approval to a proposed rule change (SR-CBOE-2006-93) filed by the Chicago Board Options Exchange regarding Quarterly Options Series. Publication is expected in the Federal Register during the week of November 20. (Rel. 34-54762) The Commission granted accelerated approval to a proposed rule change (SR-Nasdaq-2006-009) and Amendments No. 1 and 2 thereto filed by The NASDAQ Stock Market to permit trading pursuant to unlisted trading privileges of streetTRACKS Gold Shares and to establish trading rules to trade, pursuant to unlisted trading privileges, certain securities whose value is linked to the value of one or more commodities. Publication is expected in the Federal Register during the week of November 20. (Rel. 34-54765) The Commission granted accelerated approval to a proposed rule change (SR-NASD-2006-110) and Amendment No. 1 thereto filed by the National Association of Securities Dealers to establish a two-year pilot program exempting from TRACE reporting transactions in bonds traded on a facility of NYSE. Publication is expected in the Federal Register during the week of November 20. (Rel. 34-54768) 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 Novelis Inc., 3399 PEACHTREE ROAD NE, SUITE 1500, ATLANTA, GA, 30326, 404-814-4210 - 7,000,000 ($172,200,000.00) Equity, (File 333-138743 - Nov. 16) (BR. 06C) S-3ASR MARKWEST ENERGY PARTNERS L P, 1515 ARAPAHOE STREET, TOWER 2, SUITE 700, DENVER, CO, 80202-2126, 303-925-9200 - 0 ($0.00) Other, (File 333-138744 - Nov. 16) (BR. 04A) S-8 LUNA INNOVATIONS INC, 2851 COMMERCE ST, BLACKSBURG, VA, 24060, 540-552-5128 - 0 ($32,140,630.19) Equity, (File 333-138745 - Nov. 16) (BR. 01C) S-1 Targa Resources Partners LP, 1000 LOUISIANA, SUITE 4300, HOUSTON, TX, 77002, (713)584-1000 - 0 ($405,720,000.00) Equity, (File 333-138747 - Nov. 16) (BR. 02) S-3 EVERGREEN SOLAR INC, 259 CEDAR HILL STREET, MARLBORO, MA, 01752, 508-357-2221 - 0 ($250,000,000.00) Equity, (File 333-138748 - Nov. 16) (BR. 10B) S-3 Tower Group, Inc., 120 BROADWAY, 14TH FLOOR, NEW YORK, NY, 10271, (212) 655-2000 - 0 ($60,008,710.00) Equity, (File 333-138749 - Nov. 16) (BR. 01C) S-1 Coleman Cable, Inc., 1530 SHIELDS DRIVE, WAUKEGAN, IL, 60085, (847) 672-2300 - 16,786,895 ($251,803,425.00) Equity, (File 333-138750 - Nov. 16) (BR. 06A) S-3 Arlington Tankers Ltd., FIRST FLOOR, THE HAYWARD BUILDING, 22 BERMUDIANA ROAD, HAMILTON, D0, HM11, 441-292-7405 - 0 ($150,000,000.00) Equity, (File 333-138752 - Nov. 16) (BR. 05A) S-8 CLINICAL DATA INC, ONE GATEWAY CENTER, SUITE 411, NEWTON, MA, 02158, 6172619933 - 0 ($15,350,000.00) Equity, (File 333-138754 - Nov. 16) (BR. 10A) S-3ASR TEXTRON FINANCIAL CORP, 40 WESTMINSTER ST, P O BOX 6687, PROVIDENCE, RI, 02901, 4016214200 - 0 ($0.00) Debt, (File 333-138755 - Nov. 16) (BR. 11B) S-8 BankGreenville Financial CORP, 116 SOUTH PLEASANTBURG DRIVE, GREENVILLE, SC, 29607, 864-271-1245 - 212,400 ($2,124,000.00) Equity, (File 333-138757 - Nov. 16) (BR. 07) S-8 SUNESIS PHARMACEUTICALS INC, 341 OYSTER POINT BOULEVARD, SOUTH SAN FRANCISCO, CA, 94080, 650-266-3500 - 0 ($5,195,284.00) Equity, (File 333-138758 - Nov. 16) (BR. 01C) S-8 MPS GROUP INC, 1 INDEPENDENT DR, JACKSONVILLE, FL, 32202, 9043602000 - 0 ($7,250,000.00) Equity, (File 333-138759 - Nov. 16) (BR. 11A) S-8 GOLDCORP INC, SUITE 1560, 200 BURRARD STREET, VANCOUVER, A1, V6C 3L6, 604-696-3000 - 0 ($53,307,285.96) Equity, (File 333-138760 - Nov. 16) (BR. 04A) S-3ASR NEW RIVER PHARMACEUTICALS INC, 1881 GROVE AVENUE, RADFORD, VA, 24141, 5406337900 - 0 ($137,750,000.00) Equity, (File 333-138761 - Nov. 16) (BR. 01C) S-8 ETHAN ALLEN INTERIORS INC, ETHAN ALLEN DR, PO BOX 1966, DANBURY, CT, 06811, 2037438000 - 997,270 ($34,535,460.00) Equity, (File 333-138763 - Nov. 16) (BR. 06B) S-8 TORVEC INC, 11 POND VIEW DRIVE, PITTSFORD, NY, 14534, 7162488549 - 4,900,000 ($19,355,000.00) Equity, (File 333-138764 - Nov. 16) (BR. 05C) S-8 SONY CORP, 7-35 KITASHINAGAWA, 6-CHOME SHINAGAWA-KU, TOKYO 141 JAPAN, M0, 0354482180 - 0 ($59,195,234.00) Equity, (File 333-138765 - Nov. 16) (BR. 11B) S-8 EXIDE TECHNOLOGIES, 13000 DEERFIELD PARKWAY, BUILDING 200, ALPHARETTA, GA, 30004, 6785669000 - 4,000,000 ($16,540,000.00) Equity, (File 333-138766 - Nov. 16) (BR. 10B) S-8 Calumet Specialty Products Partners, L.P., 2780 WATERFRONT, PARKWAY E. DRIVE, SUITE 200, INDIANAPOLIS, IN, 46214, 317-328-5660 - 783,960 ($26,419,452.00) Equity, (File 333-138767 - Nov. 16) (BR. 04B) S-1 IOMAI CORP, 20 FIRSTFIELD ROAD, SUITE 250, GAITHERSBURG, MD, 20878, 301-556-4537 - 0 ($18,609,945.90) Equity, (File 333-138768 - Nov. 16) (BR. 01C) S-3 SONIC FOUNDRY INC, 222 W. WASHINGTON AVENUE, SUITE 775, MADISON, WI, 53703, 6084431600 - 12,000,000 ($42,600,000.00) Equity, (File 333-138769 - Nov. 16) (BR. 03C) F-6 ALCATEL, 54 RUE LA BOETIE, 2288 BH, PARIS FRANCE, I0, 75008, 3314076101 - 1,500,000,000 ($75,000,000.00) ADRs/ADSs, (File 333-138770 - Nov. 16) (BR. 11A) S-8 AIR METHODS CORP, 3037927400 - 600,000 ($15,378,000.00) Equity, (File 333-138771 - Nov. 16) (BR. 05A) S-3 EXIDE TECHNOLOGIES, 13000 DEERFIELD PARKWAY, BUILDING 200, ALPHARETTA, GA, 30004, 6785669000 - 28,160,234 ($105,882,479.84) Equity, (File 333-138772 - Nov. 16) (BR. 10B) S-8 ONELINK CORP, ONE MARKET PLAZA, SPEAR TOWER, SUITE 3600, SAN FRANCISCO, CA, 94105, 415-293-8277 - 45,000,000 ($720,000.00) Equity, (File 333-138773 - Nov. 16) (BR. 08C) S-3ASR LEXINGTON CORPORATE PROPERTIES TRUST, 355 LEXINGTON AVE, NEW YORK, NY, 10017, 2126927260 - 416,230 ($8,661,746.30) Equity, (File 333-138774 - Nov. 16) (BR. 08B) S-3 SIRENZA MICRODEVICES INC, 303 S TECHNOLOGY COURT, BROOMFIELD, CO, 80021, 3033273030 - 7,000,000 ($52,080,000.00) Equity, (File 333-138776 - Nov. 16) (BR. 10C) 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 ------------------------------------------------------------------------------------------------------ 1 800 CONTACTS INC DE 8.01,9.01 11/10/06 24/7 REAL MEDIA INC DE 1.01,8.01 11/16/06 A.C. Moore Arts & Crafts, Inc. PA 1.01,9.01 11/15/06 ABERCROMBIE & FITCH CO /DE/ DE 2.02,5.02,8.01,9.01 11/14/06 ABIOMED INC DE 8.01 11/10/06 ACA Capital Holdings Inc 2.02,9.01 11/15/06 ACE Securities Corp. Home Equity Loan DE 2.01,9.01 10/30/06 Acquicor Technology Inc DE 8.01,9.01 11/15/06 ADOBE SYSTEMS INC DE 5.02,9.01 11/13/06 ADS MEDIA GROUP INC UT 2.02,9.01 11/14/06 ADSTAR INC DE 8.01 11/13/06 ADVO INC DE 2.02,9.01 11/16/06 AeroGrow International, Inc. NV 1.01,2.01,3.02,3.03,5.01, 02/24/06 5.02,5.03,5.06,8.01 AGCO CORP /DE DE 5.02 11/16/06 ALCOA INC PA 5.02,9.01 11/15/06 ALDERWOODS GROUP INC DE 2.02,9.01 11/15/06 ALR TECHNOLOGIES INC 7.01,9.01 11/16/06 AMERICAN EAGLE OUTFITTERS INC DE 2.02,7.01,9.01 11/14/06 AMERICAN FINANCIAL GROUP INC OH 8.01,9.01 11/15/06 AMERICAN FINANCIAL REALTY TRUST 1.01 11/10/06 AMERICAN FINANCIAL REALTY TRUST 8.01,9.01 06/09/06 AMERICAN GENERAL FINANCE CORP IN 8.01,9.01 11/16/06 AMERICAN GENERAL FINANCE INC IN 8.01,9.01 11/16/06 AMERICAN REALTY INVESTORS INC NV 2.02,9.01 09/30/06 AMERIGROUP CORP 5.05 11/16/06 Amtrust Financial Services, Inc. DE 2.02,7.01,9.01 11/14/06 ANALYSTS INTERNATIONAL CORP 7.01,9.01 11/16/06 ANTIGENICS INC /DE/ DE 7.01,9.01 11/16/06 APOLLO RESOURCES INTERNATIONAL INC UT 5.02 11/09/06 APPLIED MICRO CIRCUITS CORP DE 2.02,9.01 11/09/06 ARBIOS SYSTEMS INC DE 5.02,9.01 11/09/06 ARCH COAL INC DE 5.02,9.01 11/10/06 ARENA PHARMACEUTICALS INC DE 1.01,3.03,9.01 11/16/06 Armitage Mining Corp 4.01,9.01 11/01/06 AMEND Arran Funding LTD XX 8.01,9.01 11/15/06 ARRIS GROUP INC DE 1.01,2.03,9.01 11/13/06 ARTIFICIAL LIFE INC DE 3.02 11/14/06 ASHLAND INC. KY 5.02 11/16/06 ATLANTIS PLASTICS INC FL 2.02,9.01 11/14/06 AMEND AURIGA LABORATORIES, INC. DE 1.01,1.02,9.01 11/14/06 AURIGA LABORATORIES, INC. DE 1.01,1.02,9.01 11/15/06 AUTODESK INC DE 2.02,9.01 11/16/06 AVANEX CORP DE 5.02,9.01 11/09/06 AVEROX INC. NV 4.01,9.01 11/13/06 AMEND AVERY DENNISON CORPORATION DE 8.01,9.01 11/15/06 Aviza Technology, Inc. DE 2.02,9.01 11/16/06 AVOCENT CORP DE 7.01,9.01 11/16/06 AVON PRODUCTS INC NY 8.01,9.01 11/16/06 AVON PRODUCTS INC NY 2.05 11/15/05 AMEND AXS ONE INC DE 2.03,9.01 11/11/06 BARNES & NOBLE INC DE 2.02,8.01,9.01 11/16/06 Basin Water, Inc. CA 2.02,9.01 11/14/06 BCAP LLC Trust 2006-AA1 8.01,9.01 08/31/06 AMEND BEA SYSTEMS INC DE 5.02 11/14/06 Bear Stearns Asset Backed Securities DE 9.01 11/09/06 Bear Stearns Commercial Mortgage Secu DE 8.01,9.01 10/31/06 BERKSHIRE INCOME REALTY INC 1.01 11/10/06 BETTER BIODIESEL, INC 4.01,5.03,9.01 10/27/06 AMEND BOISE CASCADE HOLDINGS, L.L.C. DE 1.01,5.02,5.03,9.01 11/10/06 BOMBAY COMPANY INC DE 2.02,9.01 11/16/06 BOWLIN TRAVEL CENTERS INC NV 4.01,9.01 11/16/06 BRISTOL WEST HOLDINGS INC 5.02,7.01,9.01 11/08/06 AMEND BROADCOM CORP CA 3.01 11/10/06 BUCKEYE PARTNERS L P DE 1.01,2.03,9.01 11/13/06 BUCKLE INC NE 2.02,9.01 11/16/06 BV Financial, Inc. X1 8.01,9.01 11/16/06 C&D TECHNOLOGIES INC DE 1.01,2.03,7.01,9.01 11/15/06 CabelTel International Corp NV 2.02,9.01 11/15/06 CABOT CORP DE 5.02 11/10/06 CADENCE FINANCIAL CORP MS 5.02 11/15/06 CALGON CARBON CORPORATION DE 8.01 11/15/06 CAMERON INTERNATIONAL CORP DE 7.01,9.01 11/16/06 CANO PETROLEUM, INC 2.02,7.01,9.01 11/14/06 CAPITAL LEASE FUNDING INC 5.02 11/16/06 CAPITOL BANCORP LTD MI 5.02 11/16/06 CASCADE NATURAL GAS CORP WA 2.02,9.01 11/15/06 CASUAL MALE RETAIL GROUP INC DE 2.02,5.02,9.01 11/15/06 CATO CORP DE 2.02,9.01 11/14/06 CBRL GROUP INC TN 7.01,9.01 11/15/06 CELLEGY PHARMACEUTICALS INC CA 2.02,9.01 11/16/06 CENTRA FINANCIAL HOLDINGS INC WV 8.01,9.01 11/16/06 CENTURY REALTY TRUST IN 5.02,8.01 11/13/06 CHEESECAKE FACTORY INCORPORATED DE 2.02 11/14/06 CHEESECAKE FACTORY INCORPORATED DE 8.01,9.01 11/14/06 CHEMUNG FINANCIAL CORP NY 8.01,9.01 11/16/06 CHENIERE ENERGY INC DE 1.01,1.02,2.03,9.01 11/09/06 CHESAPEAKE UTILITIES CORP DE 1.01,8.01,9.01 11/15/06 CHINA CLEAN ENERGY INC DE 5.02,9.01 11/13/06 CHINA SECURITY & SURVEILLANCE TECHNOL D8 2.02,8.01,9.01 11/16/06 CIB MARINE BANCSHARES INC WI 5.02 11/16/06 CINCINNATI FINANCIAL CORP OH 7.01,9.01 11/16/06 CINEMARK USA INC /TX TX 2.02,7.01,9.01 11/14/06 CIPHERGEN BIOSYSTEMS INC DE 7.01,9.01 11/16/06 CISCO SYSTEMS INC CA 5.03,8.01,9.01 11/14/06 Citi Trends Inc 5.02,9.01 11/16/06 CKE RESTAURANTS INC DE 2.02,9.01 11/15/06 CLAIRES STORES INC DE 2.02,9.01 11/16/06 CLEAR CHANNEL COMMUNICATIONS INC TX 1.01,5.02,7.01,9.01 11/16/06 CLEVELAND CLIFFS INC OH 8.01,9.01 11/14/06 CNS INC /DE/ DE 1.01,9.01 11/13/06 Coleman Cable, Inc. DE 2.05,8.01 11/14/06 COLLAGENEX PHARMACEUTICALS INC DE 8.01,9.01 11/15/06 COLLECTORS UNIVERSE INC DE 7.01,9.01 11/16/06 COLONIAL BANCGROUP INC DE 7.01,9.01 11/16/06 COMMUNITY HEALTH SYSTEMS INC DE 8.01,9.01 11/16/06 CONEXANT SYSTEMS INC DE 1.01,2.03,9.01 11/13/06 CORCEPT THERAPEUTICS INC 1.01,3.02,9.01 11/14/06 CORDIA CORP NV 8.01 11/16/06 CORVU CORP MN 5.02,9.01 11/15/06 COST PLUS INC/CA/ CA 2.02,9.01 11/16/06 COVANSYS CORP MI 2.02,3.01 11/14/06 CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 11/14/06 CROWN CASTLE INTERNATIONAL CORP DE 8.01,9.01 11/15/06 Crystal River Capital, Inc. MD 2.02,9.01 11/14/06 CULLEN FROST BANKERS INC TX 7.01,9.01 11/16/06 CYPRESS SEMICONDUCTOR CORP /DE/ DE 1.01,9.01 11/15/06 DEB SHOPS INC PA 2.02,9.01 11/16/06 DELL INC DE 2.02,9.01 11/15/06 DELTA NATURAL GAS CO INC KY 8.01 11/16/06 DENDREON CORP DE 1.01,8.01,9.01 11/15/06 DESIGN WITHIN REACH INC DE 2.02,9.01 11/14/06 DHB INDUSTRIES INC DE 5.02,8.01,9.01 11/09/06 Diagnostic CORP of America DE 1.01 11/15/06 DIGITAL RECORDERS INC NC 7.01,8.01,9.01 11/16/06 DIME COMMUNITY BANCSHARES INC DE 7.01,9.01 11/15/06 DITECH NETWORKS INC DE 2.02,9.01 11/16/06 Dolby Laboratories, Inc. DE 3.02 11/08/06 DOWNEY FINANCIAL CORP DE 7.01,9.01 10/31/06 DreamWorks Animation SKG, Inc. 7.01,9.01 11/15/06 DUKE REALTY CORP IN 7.01,8.01,9.01 11/15/06 DUKE REALTY LIMITED PARTNERSHIP/ IN 7.01,8.01,9.01 11/15/06 DURA AUTOMOTIVE SYSTEMS INC DE 1.01,1.03,2.03,2.04 10/30/06 AMEND Eagle Test Systems, Inc. IL 2.02,9.01 11/16/06 EARTH BIOFUELS INC DE 8.01 11/15/06 EDGAR ONLINE INC DE 8.01,9.01 11/14/06 ELKCORP DE 7.01,9.01 11/16/06 EMPIRE ENERGY CORP UT 8.01,9.01 11/15/06 EMPIRE FINANCIAL HOLDING CO FL 2.01,9.01 11/10/06 ENCISION INC CO 1.01,2.03,9.01 11/10/06 ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 11/16/06 ENER1 INC FL 8.01,9.01 11/08/06 Energy Transfer Partners, L.P. DE 7.01,9.01 11/16/06 ENOVA SYSTEMS INC CA 2.02,9.01 11/13/06 ETHAN ALLEN INTERIORS INC DE 5.02,9.01 11/14/06 EVANS BOB FARMS INC DE 5.02,5.03,7.01,9.01 11/10/06 EXCHANGE NATIONAL BANCSHARES INC MO 8.01,9.01 11/15/06 EXELIXIS INC DE 8.01,9.01 11/16/06 ExlService Holdings, Inc. DE 2.02,9.01 11/16/06 EXTREME NETWORKS INC DE 3.01,9.01 11/15/06 FAIRPOINT COMMUNICATIONS INC DE 8.01,9.01 11/15/06 FAMILYMEDS GROUP, INC. NV 7.01,9.01 11/14/06 FC FINANCIAL SERVICES INC 9.01 11/16/06 AMEND Federal Home Loan Bank of Atlanta X1 2.03 11/13/06 Federal Home Loan Bank of Boston X1 2.03 11/13/06 Federal Home Loan Bank of Chicago X1 2.03 11/13/06 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 11/13/06 Federal Home Loan Bank of Dallas 2.03 11/14/06 Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/14/06 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/14/06 Federal Home Loan Bank of New York X1 2.03,9.01 11/14/06 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/13/06 Federal Home Loan Bank of San Francis X1 2.03 11/13/06 Federal Home Loan Bank of Seattle 2.03 11/15/06 Federal Home Loan Bank of Topeka 2.03 11/13/06 FelCor Lodging LP DE 1.01,1.02,2.03,8.01,9.01 11/10/06 FelCor Lodging Trust Inc MD 1.01,1.02,2.03,8.01,9.01 11/10/06 FIBERSTARS INC /CA/ CA 5.02 11/13/06 FINANCIAL SECURITY ASSURANCE HOLDINGS NY 8.01,9.01 11/16/06 FINLAY ENTERPRISES INC /DE DE 2.02,9.01 11/16/06 FINLAY FINE JEWELRY CORP DE 2.02,9.01 11/16/06 FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 11/16/06 FIRST MIDWEST BANCORP INC DE 7.01,9.01 11/16/06 FMC TECHNOLOGIES INC DE 7.01,9.01 11/14/06 FORCE PROTECTION INC NV 4.01,9.01 11/10/06 Fortissimo Acquisition Corp. DE 8.01,9.01 11/16/06 FORWARD INDUSTRIES INC NY 5.02,8.01,9.01 11/16/06 FRANKLIN COVEY CO UT 2.02,9.01 11/14/06 FREEPORT MCMORAN COPPER & GOLD INC DE 1.01 11/14/06 FREESCALE SEMICONDUCTOR INC DE 8.01,9.01 11/16/06 FUSION TELECOMMUNICATIONS INTERNATION 2.02,9.01 11/14/06 GAINSCO INC TX 2.02,9.01 11/13/06 GALAXY ENERGY CORP CO 2.03,9.01 11/13/06 GAMETECH INTERNATIONAL INC DE 5.02,9.01 11/13/06 GAP INC DE 2.02,9.01 11/16/06 GARDNER DENVER INC DE 5.02,9.01 11/15/06 GASTAR EXPLORATION LTD 2.02,9.01 11/14/06 GateHouse Media, Inc. DE 2.02,9.01 11/15/06 GENENTECH INC DE 1.01,9.01 11/09/06 GENERAL CABLE CORP /DE/ DE 1.01,2.03,3.02,8.01,9.01 11/09/06 GENERAL ELECTRIC CO NY 8.01,9.01 11/16/06 GENERAL MOTORS CORP DE 5.02,9.01 11/16/06 GENESIS ENERGY LP DE 7.01 11/16/06 GEOKINETICS INC DE 2.02,8.01,9.01 11/15/06 GeoPharma, Inc. FL 7.01,9.01 11/14/06 GNC CORP DE 8.01,9.01 11/15/06 Gold Kist Inc. DE 2.02,8.01,9.01 11/16/06 GOLDEN GRAIN ENERGY 1.01,2.02,9.01 11/14/06 GOLDEN PATRIOT CORP NV 8.01,9.01 11/15/06 GONDWANA ENERGY LTD / NY NV 5.02 11/14/06 GOUVERNEUR BANCORP INC DE 2.02,9.01 11/16/06 GREAT SOUTHERN BANCORP INC MD 8.01,9.01 11/15/06 GREAT WESTERN LAND RECREATION INC NV 5.02 11/01/06 GREAT WESTERN LAND RECREATION INC NV 5.02 11/03/06 GREEN MOUNTAIN COFFEE ROASTERS INC DE 2.02,9.01 09/30/06 GREENVILLE FIRST BANCSHARES INC SC 7.01,9.01 11/16/06 GREYSTONE LOGISTICS, INC. 5.02 11/09/06 HALLWOOD GROUP INC DE 2.02,9.01 11/14/06 HANDHELD ENTERTAINMENT, INC. DE 7.01,9.01 11/14/06 HARVEY ELECTRONICS INC NY 8.01,9.01 11/10/06 HAVERTY FURNITURE COMPANIES INC MD 5.02 11/16/06 HCA INC/TN DE 1.01,9.01 11/14/06 HCA INC/TN DE 8.01,9.01 11/16/06 HEARTLAND, INC. MD 9.01 12/27/04 AMEND HELMERICH & PAYNE INC DE 2.02,9.01 11/16/06 HERBALIFE LTD. E9 1.01,9.01 11/14/06 HERCULES OFFSHORE, INC. DE 8.01 11/15/06 HERZFELD CARIBBEAN BASIN FUND INC MD 8.01,9.01 11/16/06 HEWLETT PACKARD CO DE 2.02,8.01,9.01 11/16/06 HI/FN INC DE 1.01,5.02,9.01 11/10/06 HINES REAL ESTATE INVESTMENT TRUST IN 1.01 11/14/06 HIRSCH INTERNATIONAL CORP NY 5.02 11/13/06 HNI CORP IA 5.02,5.03,9.01 11/10/06 Horizon Lines, Inc. 8.01,9.01 11/15/06 HUB INTERNATIONAL LTD A6 5.02,7.01 11/13/06 IBERIABANK CORP LA 1.01,9.01 11/10/06 ICO INC TX 3.03,5.02,9.01 11/14/06 Icon Development, Inc. NV 8.01,9.01 11/14/06 iCURIE, INC. NV 7.01,8.01,9.01 11/11/06 IDLEAIRE TECHNOLOGIES CORP DE 2.02,9.01 11/14/06 IGI INC DE 2.02,9.01 11/14/06 IMPAC SECURED ASSETS CORP., MORTGAGE CA 9.01 11/16/06 INCENTRA SOLUTIONS, INC. NV 2.02,7.01,9.01 11/14/06 INCOME OPPORTUNITY REALTY INVESTORS I NV 2.02,9.01 09/30/06 INFERX CORP DE 8.01,9.01 11/15/06 INLAND REAL ESTATE CORP MD 1.01,2.03,3.02,8.01,9.01 11/16/06 INNOFONE COM INC NV 8.01,9.01 11/04/06 INSTEEL INDUSTRIES INC NC 5.02,8.01,9.01 11/14/06 INTEL CORP DE 5.02,7.01 11/15/06 Intermec, Inc. DE 2.05,7.01,9.01 11/15/06 INTROGEN THERAPEUTICS INC 1.01,9.01 11/13/06 INTUIT INC DE 2.02,9.01 11/16/06 ITEX CORP NV 7.01,9.01 11/16/06 JACLYN INC DE 2.02,8.01,9.01 11/07/06 JETBLUE AIRWAYS CORP DE 5.02 11/15/06 JMAR TECHNOLOGIES INC DE 2.02,7.01,9.01 11/14/06 JOY GLOBAL INC DE 1.01,2.03,5.02 11/16/06 Joystar Inc CA 1.01,3.02 11/16/06 KBL Healthcare Acquisition Corp. II DE 1.01,8.01,9.01 09/01/06 AMEND KELLOGG CO DE 5.02 11/14/06 KIMBERLY CLARK CORP DE 5.02,9.01 11/16/06 KLA TENCOR CORP DE 3.01,9.01 11/14/06 KLEVER MARKETING INC DE 5.02,9.01 11/10/06 KONA GRILL INC DE 7.01,9.01 11/16/06 KULICKE & SOFFA INDUSTRIES INC PA 2.02,9.01 11/16/06 L-1 IDENTITY SOLUTIONS, INC. DE 1.01,7.01,9.01 11/15/06 LECG CORP DE 5.02 11/10/06 LegalPlay Entertainment Inc FL 5.02,5.03,9.01 10/31/06 Liberty Global, Inc. 7.01 11/16/06 Lincolnway Energy, LLC IA 8.01 11/15/06 LIONS PETROLEUM, INC DE 7.01 11/15/06 LOJACK CORP MA 5.02,9.01 11/15/06 LSB BANCSHARES INC /NC/ NC 1.01,9.01 11/14/06 LTX CORP MA 2.02,9.01 11/16/06 LUBRIZOL CORP OH 1.01,9.01 11/14/06 MACKINAC FINANCIAL CORP /MI/ MI 5.02,9.01 11/09/06 MARINER ENERGY INC DE 1.01,2.02,9.01 11/09/06 MARVELL TECHNOLOGY GROUP LTD D0 2.02,9.01 11/16/06 MASSEY ENERGY CO DE 1.01,5.02,9.01 11/12/06 MASTR Asset Backed Securities Trust 2 DE 2.01,9.01 10/17/06 MAXXAM INC DE 8.01 11/15/06 MB FINANCIAL INC /MD MD 7.01 11/16/06 MCMORAN EXPLORATION CO /DE/ DE 1.01 11/14/06 MD TECHNOLOGIES INC 3.02 11/16/06 MED-TECH SOLUTIONS, INC. 4.01,9.01 11/10/06 MEDCATH CORP DE 2.02,9.01 11/15/06 MEDIS TECHNOLOGIES LTD DE 1.01,3.02,5.03,8.01,9.01 11/09/06 MEMRY CORP DE 2.02,9.01 11/09/06 MENTOR CORP /MN/ MN 5.02 11/16/06 MERCHANTS BANCSHARES INC DE 5.02,9.01 11/16/06 METABOLIX, INC. DE 3.02 11/15/06 METALDYNE CORP DE 7.01 11/15/06 METROMEDIA INTERNATIONAL GROUP INC DE 8.01,9.01 11/10/06 MICROSEMI CORP DE 2.02,9.01 11/16/06 MICROTUNE INC DE 3.01,9.01 11/14/06 MIDAS INC DE 5.02 11/16/06 MIDDLEFIELD BANC CORP OH 1.01,7.01,9.01 11/15/06 Millstream II Acquisition CORP DE 1.01,9.01 11/15/06 MINERA ANDES INC /WA 5.02,8.01,9.01 11/10/06 MIRANT CORP DE 5.02,9.01 11/13/06 MMC ENERGY, INC. DE 2.02,7.01,9.01 11/15/06 MONEY CENTERS OF AMERICA, INC. DE 5.02,9.01 08/22/06 MONMOUTH CAPITAL CORP NJ 2.02,9.01 11/14/06 MOTORCAR PARTS AMERICA INC NY 1.01,9.01 11/10/06 MOTORCAR PARTS AMERICA INC NY 4.02 11/12/06 MPS GROUP INC FL 1.01,1.02,2.03 11/10/06 MTS SYSTEMS CORP MN 2.02,9.01 11/15/06 MWI Veterinary Supply, Inc. DE 7.01,9.01 11/16/06 N-VIRO INTERNATIONAL CORP DE 5.02,8.01,9.01 11/13/06 NATIONAL OILWELL VARCO INC DE 1.01,9.01 11/15/06 NEW CENTURY FINANCIAL CORP MD 1.01,9.01 11/10/06 New York & Company, Inc. 2.02,7.01,9.01 11/16/06 NEW YORK MORTGAGE TRUST INC MD 1.01 11/13/06 NPS PHARMACEUTICALS INC DE 5.02 11/10/06 NUVASIVE INC DE 5.02,9.01 11/07/06 NYMEX HOLDINGS INC DE 5.02 11/13/06 NYSE Group, Inc. DE 8.01,9.01 11/15/06 OccuLogix, Inc. DE 2.01,9.01 09/01/06 AMEND OCEANEERING INTERNATIONAL INC DE 7.01 11/16/06 OGE ENERGY CORP OK 8.01 11/16/06 OHIO CASUALTY CORP OH 1.01,8.01,9.01 11/15/06 ORTHOVITA INC 8.01 11/16/06 PAC-WEST TELECOMM INC 1.01,2.03,3.02,3.03,5.01, 11/15/06 5.02,5.03,7.01,9.01 Pacific Ethanol, Inc. DE 2.02,9.01 11/15/06 PANTRY INC DE 2.02,9.01 11/16/06 PAR PHARMACEUTICAL COMPANIES, INC. DE 1.01 11/10/06 PARTICLE DRILLING TECHNOLOGIES INC/NV NV 2.02,9.01 11/15/06 PEERLESS MANUFACTURING CO TX 2.02,9.01 11/13/06 PEGASYSTEMS INC MA 3.01 11/13/06 PENWEST PHARMACEUTICALS CO WA 1.01 11/10/06 PEOPLES COMMUNITY BANCORP INC /MD/ MD 2.02,9.01 11/14/06 PERKINS & MARIE CALLENDER'S INC DE 2.02,9.01 08/07/06 PHARMION CORP 1.01,2.01,9.01 11/15/06 PHOENIX FOOTWEAR GROUP INC DE 1.01,2.03,9.01 11/16/06 Pike Electric CORP 1.01,9.01 11/13/06 PINNACLE AIRLINES CORP DE 8.01 11/10/06 PINNACLE ENTERTAINMENT INC DE 2.01,9.01 11/09/06 PITNEY BOWES INC /DE/ DE 8.01,9.01 11/10/06 PLACER SIERRA BANCSHARES CA 8.01,9.01 11/16/06 PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 11/16/06 Point Center Mortgage Fund I, LLC DE 4.01,9.01 11/16/06 PONIARD PHARMACEUTICALS, INC. WA 2.02,9.01 11/14/06 PORTA SYSTEMS CORP DE 2.02,9.01 11/14/06 POSSIS MEDICAL INC MN 7.01,9.01 11/16/06 POWERWAVE TECHNOLOGIES INC DE 1.01,9.01 11/13/06 PPG INDUSTRIES INC PA 8.01,9.01 11/16/06 PRE PAID LEGAL SERVICES INC OK 8.01 11/13/06 PRECISION CASTPARTS CORP OR 1.01 11/14/06 PRECISION OPTICS CORPORATION INC MA 2.02,9.01 11/15/06 PREMIER COMMUNITY BANKSHARES INC VA 8.01,9.01 11/16/06 PREMIER COMMUNITY BANKSHARES INC VA 2.01,5.02,8.01,9.01 07/01/06 AMEND PRIDE BUSINESS DEVELOPMENT HOLDINGS, 4.01,9.01 11/16/06 PRIMEDEX HEALTH SYSTEMS INC NY 2.01,5.03,8.01,9.01 11/15/06 PROCENTURY CORP 7.01,9.01 11/15/06 PROVIDENT FINANCIAL SERVICES INC DE 7.01,9.01 11/16/06 PRUDENTIAL FINANCIAL INC NJ 2.03 11/15/06 PUREDEPTH, INC. CO 5.02,9.01 11/10/06 PYRAMID BREWERIES INC WA 1.01,5.02,9.01 11/09/06 QAD INC DE 5.02 11/13/06 QSGI INC. DE 2.02,9.01 11/14/06 QUEPASA CORP NV 5.02 11/11/06 QUIPP INC FL 1.01,5.02,9.01 11/14/06 RADIATION THERAPY SERVICES INC FL 1.01,2.01,9.01 11/14/06 RALCORP HOLDINGS INC /MO MO 2.01,8.01,9.01 11/10/06 RAVEN INDUSTRIES INC SD 2.02,9.01 11/16/06 READERS DIGEST ASSOCIATION INC DE 8.01,9.01 11/16/06 REFLECT SCIENTIFIC INC UT 1.01,7.01,9.01 11/15/06 REGENERON PHARMACEUTICALS INC NY 1.01,9.01 11/13/06 REGIONS FINANCIAL CORP DE 7.01,9.01 11/16/06 RELIANCE STEEL & ALUMINUM CO CA 8.01,9.01 11/15/06 RENTECH INC /CO/ CO 1.01,9.01 11/15/06 REPUBLIC BANCORP INC /KY/ KY 7.01,9.01 11/16/06 Rotoblock CORP NV 6.01,9.01 11/09/06 SALTON INC DE 1.01,9.01 11/15/06 SANMINA-SCI CORP DE 2.02,9.01 11/16/06 SATELLITE SECURITY CORP NV 4.02 09/09/06 SAXON CAPITAL INC MD 2.02,7.01,9.01 11/16/06 SEARS HOLDINGS CORP DE 2.01,9.01 11/16/06 Security Capital Assurance Ltd D0 8.01,9.01 11/15/06 SELIGMAN NEW TECHNOLOGIES FUND, INC 7.01 11/16/06 SELIGMAN QUALITY MUNICIPAL FUND INC MD 7.01,9.01 11/16/06 SELIGMAN SELECT MUNICIPAL FUND INC MD 7.01,9.01 11/16/06 SEMOTUS SOLUTIONS INC NV 1.01,2.03,3.02,9.01 11/10/06 SENIOR OPTICIAN SERVICE INC MN 4.01,9.01 11/15/06 SERVICE BANCORP INC MA 5.02,9.01 11/13/06 SES SOLAR INC. 1.01,2.01,3.02,5.01, 09/27/06 AMEND 5.02,5.06,9.01 SHOE CARNIVAL INC IN 2.02,9.01 11/16/06 SIGMA ALDRICH CORP DE 8.01,9.01 11/14/06 SIGMA ALDRICH CORP DE 5.02,9.01 11/14/06 SILICON GRAPHICS INC DE 7.01,9.01 11/16/06 SILICON GRAPHICS INC DE 2.02,9.01 11/13/06 AMEND SILVERSTAR HOLDINGS LTD B0 2.02,9.01 11/13/06 SIRENZA MICRODEVICES INC DE 9.01 10/31/06 AMEND SJW CORP CA 7.01 11/13/06 SKY FINANCIAL GROUP INC OH 8.01,9.01 11/15/06 SKY FINANCIAL GROUP INC OH 8.01,9.01 11/15/06 SKY FINANCIAL GROUP INC OH 7.01,9.01 11/16/06 SNAP ON INC DE 1.01,2.03,9.01 11/10/06 Sockeye Seafood Group Inc 5.02 11/07/06 Solo Cup CO DE 2.02,9.01 11/16/06 SONESTA INTERNATIONAL HOTELS CORP NY 8.01 11/16/06 SOUTHWESTERN ENERGY CO AR 7.01 11/16/06 SPEAR & JACKSON INC 5.02,9.01 11/08/06 SPECTRUM PHARMACEUTICALS INC DE 1.01,9.01 11/10/06 SPECTRUM PHARMACEUTICALS INC DE 1.01,9.01 11/10/06 STAR ENERGY CORP NV 5.02,9.01 11/16/06 STARBUCKS CORP WA 2.02,9.01 11/16/06 State National Bancshares, Inc. TX 8.01,9.01 11/16/06 STEN CORP MN 1.01 11/14/06 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 11/15/06 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 11/15/06 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 11/15/06 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 11/15/06 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 11/15/06 STRUCTURED OBLIGATIONS CORP TRUST SPR DE 8.01,9.01 11/15/06 SUBURBAN PROPANE PARTNERS LP DE 2.02,9.01 11/16/06 SUNGARD DATA SYSTEMS INC DE 5.02 09/12/06 AMEND SUNPOWER CORP CA 1.01,9.01 11/15/06 SUNTRUST BANKS INC GA 1.01,5.03,9.01 11/13/06 SUPERIOR BANCORP DE 7.01,9.01 11/16/06 SUPERTEL HOSPITALITY INC VA 1.01,9.01 11/10/06 Susser Holdings CORP DE 2.02,9.01 11/15/06 TANOX INC DE 1.01,3.03,5.02,8.01,9.01 11/09/06 Tejas Inc DE 5.02,9.01 11/09/06 TELESTONE TECHNOLOGIES CORP CO 2.02,9.01 11/15/06 TETRA TECH INC DE 2.02,5.02,9.01 11/13/06 TEXAS REGIONAL BANCSHARES INC TX 5.03,8.01,9.01 11/10/06 TEXAS REGIONAL BANCSHARES INC TX 4.01,9.01 11/10/06 TIFFANY & CO DE 5.03,9.01 11/16/06 Tower Group, Inc. DE 7.01,9.01 11/16/06 TRANSCONTINENTAL REALTY INVESTORS INC NV 2.02,9.01 09/30/06 TREATY OAK BANCORP INC TX 2.01 11/15/06 TRI-CONTINENTAL CORP MD 7.01,9.01 11/16/06 TRI-CONTINENTAL CORP MD 7.01,9.01 11/16/06 TRIARC COMPANIES INC DE 5.02,9.01 11/09/06 TRM CORP OR 5.02,9.01 11/14/06 Tube Media Corp. CO 1.01,2.03,3.02,9.01 11/10/06 TULLYS COFFEE CORP 2.02,9.01 11/15/06 ULTICOM INC NJ 7.01,9.01 11/15/06 UMH PROPERTIES, INC. MD 7.01,9.01 11/09/06 UNITED FUEL & ENERGY CORP NV 2.02,9.01 11/13/06 UNITED STATIONERS INC DE 1.01,2.03,9.01 11/10/06 US ENERGY CORP WY 7.01,9.01 11/16/06 UTSTARCOM INC DE 3.01,8.01,9.01 11/10/06 VALLEY NATIONAL BANCORP NJ 7.01,9.01 11/16/06 VALUEVISION MEDIA INC MN 2.02,9.01 11/15/06 Veri-Tek International, Corp. MI 1.01,3.02,7.01,9.01 11/15/06 VERISIGN INC/CA DE 3.01,9.01 11/10/06 VFINANCE INC DE 2.02,9.01 11/15/06 VIASPACE Inc. NV 2.02,9.01 11/16/06 VICON INDUSTRIES INC /NY/ NY 1.01,9.01 09/27/06 Visiphor CORP A1 1.02,5.02,9.01 11/10/06 VITA FOOD PRODUCTS INC NV 2.02,9.01 11/14/06 VYYO INC DE 5.02,9.01 11/09/06 VYYO INC DE 5.02 11/09/06 WASTE MANAGEMENT INC DE 3.03,5.03,9.01 11/10/06 WATTS WATER TECHNOLOGIES INC DE 8.01,9.01 11/15/06 WEALTHCRAFT SYSTEMS INC. NV 4.01,9.01 11/13/06 AMEND WEATHERFORD INTERNATIONAL LTD D0 1.01,9.01 11/14/06 WEBSIDESTORY INC CA 5.02 11/13/06 WELLCO ENTERPRISES INC NC 2.02 11/16/06 WELLCO ENTERPRISES INC NC 5.02 11/16/06 WET SEAL INC DE 2.02,9.01 11/16/06 WHEELING PITTSBURGH CORP /DE/ DE 8.01,9.01 11/15/06 WHEELING PITTSBURGH CORP /DE/ DE 8.01,9.01 11/16/06 WILLIAMS COMPANIES INC DE 7.01,9.01 11/16/06 Williams Partners L.P. 7.01,9.01 11/16/06 WILLIAMS SONOMA INC CA 2.02,9.01 11/16/06 WORLD FINANCIAL NETWORK CREDIT CARD M DE 8.01,9.01 11/15/06 WYNN RESORTS LTD 8.01,9.01 11/15/06 XETHANOL CORP CO 5.02,9.01 11/09/06 XL CAPITAL LTD 8.01 11/15/06 ZALE CORP DE 2.02 11/16/06 ZAP CA 5.02 11/10/06 ZEOLITE EXPLORATION CO 1.01,2.01,3.02,5.01,5.02, 03/31/06 5.03,5.06,9.01 ZEOLITE EXPLORATION CO 2.02,9.01 11/15/06 ZEROS & ONES INC NV 1.01,2.01,2.03,3.02,5.02,9.01 11/16/06 ZOLL MEDICAL CORP MA 2.02,9.01 11/16/06 Zumiez Inc 7.01,9.01 11/15/06