SEC NEWS DIGEST Issue 2006-246 December 22, 2006 COMMISSION ANNOUNCEMENTS $83 MILLION DISTRIBUTION BEGINS FOR DEFRAUDED SHAREHOLDERS OF GEMSTAR- TV GUIDE The Securities and Exchange Commission today announced that shareholders who were harmed by fraudulent accounting and disclosure practices at Gemstar-TV Guide International, Inc. will begin receiving approximately $83 million in cash and stock to compensate them for their losses. These funds include $22.3 million recovered by the SEC as a result of enforcement actions it brought against Gemstar, four former Gemstar executives, and the audit firm KPMG. The funds also comprise payments by Gemstar and KPMG to settle a related private class action lawsuit. In its various enforcement actions involving the widespread fraud at Gemstar-TV Guide, the SEC obtained both civil money penalties and disgorgement of ill-gotten gains from certain defendants. The "Fair Funds" provision of the Sarbanes-Oxley Act of 2002 authorizes the SEC to take civil penalties collected in enforcement cases and add them to disgorgement funds, making it possible to provide greater compensation to harmed investors. Before the Sarbanes-Oxley Act, civil penalties obtained by the SEC were deposited in the general fund of the U.S. Treasury. "Today's distribution reflects our commitment to use the Fair Funds authority given to us by Congress to return money directly to injured investors," said SEC Chairman Christopher Cox. "No lawyers' fees will be deducted from the $22.3 million recovered for investors in the form of penalties and disgorgement. That is exactly what this important feature of the Sarbanes-Oxley Act intended." The SEC previously filed and settled actions against Gemstar and its former CFO, co-president, general counsel, and a divisional CFO, as well as against KPMG and four members of the KPMG audit engagement team. The SEC also filed charges against Henry C. Yuen, the former CEO and chairman of the board of Gemstar. After a three week federal court trial in December 2005, the Honorable Mariana R. Pfaelzer, United States District Judge for the Central District of California, found in favor of the Commission and against Yuen on all claims. The court ordered Yuen to pay a total of over $22.3 million in disgorgement, penalties, and interest, and also entered a permanent injunction against future securities law violations and a permanent bar from serving as an officer or director of a public company. The money judgment against Yuen remains outstanding. The settlement funds from the SEC enforcement actions and the private class action lawsuit were consolidated under the jurisdiction of Judge Pfaelzer and are being administered by a single claims administrator pursuant to a single plan of distribution. The consolidation of the SEC and private class action settlement funds into a single distribution plan resulted in substantially reduced administrative costs and a more efficient distribution to investors. Although the funds were consolidated, the SEC ensured that no portion of the SEC funds was deducted for attorneys' fees. The claims administrator is The Garden City Group, 105 Maxess Road, Melville, NY 11747-3836. Questions regarding the distribution may be directed to The Garden City Group at 1-800-327-3664. For further information contact: Michele Wein Layne, Associate Regional Director, Pacific Regional Office, Los Angeles, at (323) 965- 3850. (Press Rel. 2006-218) RULES AND RELATED MATTERS SEC REPROPOSES TO AMEND THE RULES ALLOWING A FOREIGN PRIVATE ISSUER TO EXIT THE EXCHANGE ACT REPORTING SYSTEM Today the Commission issued a release reproposing to amend the rules that allow a foreign private issuer to exit the Exchange Act reporting system. The Commission is reproposing new Exchange Act Rule 12h-6, which would permit the termination of Exchange Act reporting regarding a class of equity securities under either Section 12(g) or Section 15(d) of the Exchange Act by a foreign private issuer that meets a quantitative benchmark designed to measure relative U.S. market interest for that class of securities, which does not depend on a head count of the issuer's U.S. security holders, as do the current rules. Reproposed Rule 12h-6 would permit a foreign private issuer, regardless of size, to terminate its Exchange Act registration and reporting obligations regarding a class of equity securities, assuming it meets the rule's other conditions, if the U.S. average daily trading volume of the subject class of securities has been no greater than 5 percent of the average daily trading volume of that class of securities in the issuer's primary trading market during a recent 12 month period. Because the Commission did not fully address this trading volume-based approach when it originally proposed Rule 12h-6 last December, and because of other proposed changes to Rule 12h-6 not fully discussed in the original rule proposal, it has reproposed Rule 12h-6 and the accompanying rule amendments. Due to the advanced stage of this rule-making, the Commission has established a 30 day comment period for the rule reproposal. FOR FURTHER INFORMATION CONTACT: Elliot Staffin, Special Counsel, Office of International Corporate Finance, (202) 551-3450. (Rel. 34- 55005; International Series Rel. No. 1300; File No. S7-12-05) INVESTMENT COMPANY ACT RELEASES FORUM FUNDS, ET AL. A notice has been issued giving interested persons until Jan. 16, 2007, to request a hearing on an application filed by Forum Funds, et al. for an order exempting applicants from Section 15(a) of the Investment Company Act of and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grant relief from certain disclosure requirements. (Rel. IC-.27605 - December 20) BARCLAYS GLOBAL FUND ADVISORS, ET AL. A notice has been issued giving interested persons until Jan. 16, 2007, to request a hearing on an application filed by Barclays Global Fund Advisors, iShares Trust, iShares, Inc. and SEI Investments Distribution Co. for an order to amend an existing order that permits: (a) an open-end management investment company, that includes series based on certain fixed-income securities indices, to issues shares of limited redeemability; (b) secondary market transactions in the shares of the series to occur at negotiated prices; and (c) affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of aggregations of the series' shares. The amended order would permit the open-end management company in the prior order to offer an additional series based on a specified high-yield bond index. In addition, the amended order would modify the future relief in the prior order and certain other prior orders relating to exchange-traded funds offered by the applicants. (Rel. IC-27608 - December 21) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES A proposed rule change (SR-NYSE-2006-45) has been filed by the New York Stock Exchange to amend NYSE Rule 638 concerning mediation. Publication is expected in the Federal Register during the week of December 25. (Rel. 34-54917) The New York Stock Exchange filed a proposed rule change (SR-NYSE- 2006-116) to amend its annual report timely filing requirements. Publication is expected in the Federal Register during the week of December 25. (Rel. 34-54977) The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx-2006-63) and Amendments No. 1 and 2 thereto relating to a Philadelphia Board of Trade Enterprise License Fee for dissemination of certain market data. Publication is expected in the Federal Register during the week of December 25. (Rel. 34- 54978) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-NASD-2006-039) and Amendment Nos. 1 and 2 thereto filed by the by the National Association of Securities Dealers to amend NASD rules to modify and expand NASD's authority to initiate trading and quotation halts in OTC Equity Securities. Publication is expected in the Federal Register during the week of December 25. (Rel. 34-54952) The Commission approved a proposed rule change (SR-NYSEArca-2006-58) and Amendment No. 1 thereto, submitted by NYSE Arca relating to its Regulatory Oversight Committee. Publication is expected in the Federal Register during the week of December 25. (Rel. 34-54986) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the New York Stock Exchange (SR-NYSE- 2006-114) to amend Exchange Rule 123A.30 to eliminate the two tick rule to allow for the execution of CAP-DI orders at consecutive destabilizing prices without Floor Official approval has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of December 25. (Rel. 34-54970) A proposed rule change filed by the International Securities Exchange (SR-ISE-2006-65) relating to fee changes 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 December 25. (Rel. 34-54971) A proposed rule change (SR-Phlx-2006-82) filed by the Philadelphia Stock Exchange relating to addition of the Hapoalim Israeli American Index to Rule 1101A 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 December 25. (Rel. 34-54973) A proposed rule change (SR-Phlx-2006-86) filed by Philadelphia Stock Exchange relating to imposing a license fee in connection with the firm-related equity option and index option fee cap 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 December 25. (Rel. 34-54981) The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2006-135) relating to implementation of certain approved rule changes reflecting the complete separation of Nasdaq from NASD. The proposed rule change 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 December 25. (Rel. 34-54984) JOINT INDUSTRY PLAN RELEASES SOLICITATION OF COMMENTS AND ORDER GRANTING TEMPORARY SUMMARY EFFECTIVENESS The American Stock Exchange, the Boston Stock Exchange, the Chicago Stock Exchange, the Chicago Board Options Exchange, the International Securities Exchange, the National Association of Securities Dealers, the National Stock Exchange, the Nasdaq Stock Market, NYSE Arca, and the Philadelphia Stock Exchange filed a request to extend the operation of the reporting plan for Nasdaq-listed securities traded on exchanges on an Unlisted Trading Privilege basis and to request permanent approval of the Plan (S7-24-89). Publication is expected in the Federal Register during the week of December 25. (Rel. 34-54988) 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 ENERGY EAST CORP, 52 FARM VIEW DRIVE, NEW GLOUCESTER, ME, 04260, 2076886300 - 500,000 ($12,705,000.00) Equity, (File 333-139529 - Dec. 21) (BR. 02A) S-8 GS FINANCIAL CORP, 5044576220 - 50,000 ($980,000.00) Equity, (File 333-139530 - Dec. 21) (BR. 07A) S-8 UNION DENTAL HOLDINGS, INC., 1700 UNIVERSITY DRIVE SUITE 200, CORAL SPRINGS, FL, 33701, 9545752252 - 5,000,000 ($250,000.00) Equity, (File 333-139531 - Dec. 21) (BR. 01B) S-8 NETTEL HOLDINGS INC, 2500 COLUMBIA HOUSE, BOULEVARD, VANCOUVER, WA, 98661, 360-696-3412 - 3,400,000 ($408,000.00) Equity, (File 333-139532 - Dec. 21) (BR. 11C) SB-2 Driver Select, Inc., 1112 SOUTH 48TH SUITE B, SPRINGDALE, AR, 72796, 479-751-3248 - 1,190,000 ($1,190,000.00) Equity, (File 333-139533 - Dec. 21) (BR. 08) SB-2 RESPONSE GENETICS INC, 4175 VETERANS HIGHWAY THIRD FL, RONKONKOMA, NY, 11779, 0 ($28,175,000.00) Equity, (File 333-139534 - Dec. 21) (BR. 01) S-3D ENERGY EAST CORP, 52 FARM VIEW DRIVE, NEW GLOUCESTER, ME, 04260, 2076886300 - 0 ($76,230,000.00) Equity, (File 333-139535 - Dec. 21) (BR. 02A) S-4 NAVTEQ CORP, 222 MERCHANDISE MART PLAZA, THE MERCHANDISE MART STE. 900, CHICAGO, IL, 60654, 312-894-7000 - 0 ($149,167,000.00) Equity, (File 333-139536 - Dec. 21) (BR. 03A) S-4 CHICAGO MERCANTILE EXCHANGE HOLDINGS INC, 20 S. WACKER DR., CHICAGO, IL, 60606, 3129303011 - 16,226,101 ($8,450,149,600.00) Equity, (File 333-139538 - Dec. 21) (BR. 06B) S-8 Neenah Paper Inc, 3460 PRESTON RIDGE ROAD, ALPHARETTA, GA, 30005, 678-566-6500 - 0 ($5,000,000.00) Other, (File 333-139539 - Dec. 21) (BR. 03A) S-8 Legacy Bancorp, Inc., 99 NORTH STREET, PITTSFIELD, MA, 01202, 413-443-4421 - 0 ($23,134,560.00) Equity, (File 333-139540 - Dec. 21) (BR. 07A) S-8 Triton Petroleum Group Inc, 14 GARRISON INN LANE, GARRISON, NY, 10524, (845) 424-4100 - 20,000,000 ($900,000.00) Equity, (File 333-139541 - Dec. 21) (BR. 04C) S-3 DYADIC INTERNATIONAL INC, 140 INTRACOASTAL POINTE DRIVE, SUITE 404, JUPITER, FL, 33477, 561-743-8333 - 5,581,484 ($37,898,276.00) Equity, (File 333-139542 - Dec. 21) (BR. 01C) S-8 Neenah Paper Inc, 3460 PRESTON RIDGE ROAD, ALPHARETTA, GA, 30005, 678-566-6500 - 0 ($5,000,000.00) Other, (File 333-139543 - Dec. 21) (BR. 03A) S-8 PACCAR INC, PACCAR BUILDING, 777 106TH AVENUE NE, BELLEVUE, WA, 98004, 425 468 7383 - 0 ($787,980,000.00) Equity, (File 333-139544 - Dec. 21) (BR. 05C) S-8 Wauwatosa Holdings, Inc., 11200 WEST PLANK ROAD, WAUWATOSA, WI, 53226, 414-258-5880 - 1,494,298 ($26,949,664.00) Equity, (File 333-139545 - Dec. 21) (BR. 07C) S-8 CONEXANT SYSTEMS INC, 4000 MACARTHUR BLVD. K10-171, NEWPORT BEACH, CA, 92660-3095, 9494839920 - 363,900 ($764,190.00) Equity, (File 333-139546 - Dec. 21) (BR. 10A) S-8 CONEXANT SYSTEMS INC, 4000 MACARTHUR BLVD. K10-171, NEWPORT BEACH, CA, 92660-3095, 9494839920 - 4,000,000 ($8,400,000.00) Equity, (File 333-139547 - Dec. 21) (BR. 10A) S-8 CONEXANT SYSTEMS INC, 4000 MACARTHUR BLVD. K10-171, NEWPORT BEACH, CA, 92660-3095, 9494839920 - 2,500,000 ($5,250,000.00) Equity, (File 333-139548 - Dec. 21) (BR. 10A) N-2 FIRST TRUST STRATEGIC HIGH INCOME FUND III, 1001 WARRENVILLE ROAD, SUITE 300, LISLE, IL, 60532, (630) 241-4141 - 1,000 ($20,000.00) Equity, (File 333-139549 - Dec. 21) (BR. ) S-8 OIL DRI CORPORATION OF AMERICA, 410 N MICHIGAN AVE STE 400, CHICAGO, IL, 60611, 3123211515 - 1,060,000 ($16,536,000.00) Equity, (File 333-139550 - Dec. 21) (BR. 06C) S-8 CNA SURETY CORP, CNA PLAZA, CHICAGO, IL, 60685, 3128225000 - 0 ($50,495,047.00) Equity, (File 333-139551 - Dec. 21) (BR. 01C) SB-2 ROYAL EQUINE ALLIANCE CORP, 269 SOUTH BEVERLY DRIVE, #1122, BEVERLY HILLS, CA, 96212, 4154207347 - 1,100,000 ($55,000.00) Equity, (File 333-139552 - Dec. 21) (BR. ) S-8 NCR CORP, 1700 S PATTERSON BLVD, CORP POLICIES WHQ-3, DAYTON, OH, 45479, 9374455000 - 0 ($166,920,000.00) Equity, (File 333-139553 - Dec. 21) (BR. 03B) S-8 BIO IMAGING TECHNOLOGIES INC, 826 NEWTOWN-YARDLEY ROAD, NEWTOWN, PA, 18940-1721, 2677571360 - 750,000 ($5,493,750.00) Equity, (File 333-139554 - Dec. 21) (BR. 09B) S-8 SANOFI-AVENTIS, 174 AVENUE DE FRANCE, PARIS, I0, 75013, 33153774400 - 0 ($266,047,315.60) Equity, (File 333-139555 - Dec. 21) (BR. 01C) S-1 Pinnacle Gas Resources, Inc., 1 E. ALGER STREET, SHERIDAN, WY, 82801, (307) 673-9710 - 0 ($61,607,160.00) Equity, (File 333-139556 - Dec. 21) (BR. 04B) S-8 AUTOZONE INC, 123 SOUTH FRONT ST, MEMPHIS, TN, 38103, 9014956500 - 0 ($536,268,000.00) Equity, (File 333-139559 - Dec. 21) (BR. 02B) N-2 COHEN & STEERS REIT & UTILITY INCOME FUND INC, 280 PARK AVENUE, 10TH FLOOR, NEW YORK, NY, 10017, 2128323232 - 20 ($500,000.00) Equity, (File 333-139560 - Dec. 21) (BR. 22) S-8 MERCK & CO INC, ONE MERCK DR, P O BOX 100, WHITEHOUSE STATION, NJ, 08889-0100, 9084231688 - 0 ($43,600,000.00) Equity, (File 333-139561 - Dec. 21) (BR. 01B) S-8 MERCK & CO INC, ONE MERCK DR, P O BOX 100, WHITEHOUSE STATION, NJ, 08889-0100, 9084231688 - 0 ($6,758,000,000.00) Equity, (File 333-139562 - Dec. 21) (BR. 01B) N-2 COHEN & STEERS SELECT UTILITY FUND INC, 280 PARK AVENUE, 10TH FLOOR, NEW YORK, NY, 10017, 2128323232 - 20 ($500,000.00) Equity, (File 333-139563 - Dec. 21) (BR. 22) SB-2 BEST CARE INC, 811 CHICAGO AVENUE, SUITE 803, EVANSTON, IL, 60202, 841 224 6999 - 1,250,000 ($62,500.00) Equity, (File 333-139564 - Dec. 21) (BR. ) SB-2 Lexington Energy Services Inc., SUITE 1209 - 207 WEST HASTINGS STREET, VANCOUVER, A1, V6B1H7, 6048994550 - 6,753,064 ($6,405,064.00) Equity, (File 333-139565 - Dec. 21) (BR. 04C) S-3ASR Brookdale Senior Living Inc., 330 NORTH WABASH, SUITE 1400, CHICAGO, IL, 60611, (312) 977-3700 - 0 ($0.00) Equity, (File 333-139566 - Dec. 21) (BR. 11C) S-3ASR Brookdale Senior Living Inc., 330 NORTH WABASH, SUITE 1400, CHICAGO, IL, 60611, (312) 977-3700 - 0 ($0.00) Equity, (File 333-139567 - Dec. 21) (BR. 11C) S-1 EXCO RESOURCES INC, 12377 MERIT DR, SUITE 1700, DALLAS, TX, 75251, 2143682084 - 0 ($259,166,045.00) Equity, (File 333-139568 - Dec. 21) (BR. 04C) SB-2 AXCESS INTERNATIONAL INC/TX, 3208 COMMANDER DR, DALLAS, TX, 75006, 9724076080 - 0 ($11,866,912.00) Equity, (File 333-139569 - Dec. 21) (BR. 03B) S-8 CHINA WORLD TRADE CORP, GOLDION DIGITAL NETWORK CENTER, 138 TI YU RD. E. 4TH FL, TIAN HE GUANGZHOU, K3, 00000, 01185298826818 - 5,000,000 ($1,525,000.00) Equity, (File 333-139570 - Dec. 21) (BR. 08A) S-8 PaperFree Medical Solutions, Inc., 121 WEST SYCAMORE ST, KOKOMO, IN, 46901, 765-456-1089 - 10,000,000 ($200,000.00) Other, (File 333-139571 - Dec. 21) (BR. 08A) S-1 Cheniere Energy Partners, L.P., 717 TEXAS AVENUE, SUITE 3100, HOUSTON, TX, 77002, (713) 659-1361 - 0 ($301,875,000.00) Limited Partnership Interests, (File 333-139572 - Dec. 21) (BR. ) S-3 WASTE SERVICES, INC., 1122 INTERNATIONAL BLVD., SUITE 601, BURLINGTON, A6, L7L 6Z8, 9053191237 - 0 ($164,669,980.00) Equity, (File 333-139573 - Dec. 21) (BR. 06A) S-8 SANTARUS INC, 10590 W OCEAN AIR DR, STE 200, SAN DIEGO, CA, 92130, 8583145700 - 0 ($34,534,053.03) Equity, (File 333-139574 - Dec. 21) (BR. 01A) S-3 ICONIX BRAND GROUP, INC., 1450 BROADWAY, 4TH FL, NEW YORK, NY, 10018, 212-730-0030 - 650,000 ($12,798,500.00) Equity, (File 333-139575 - Dec. 21) (BR. 02C) S-3 Veri-Tek International, Corp., 50120 PONTIAC TRAIL, WIXOM, MI, 48393, 248-560-1000 - 0 ($21,021,000.00) Equity, (File 333-139576 - Dec. 21) (BR. 10C) S-4 CITADEL BROADCASTING CORP, 7201 W LAKE MEAD BLVD, SUITE 400, LAS VEGAS, NV, 89128, 7028048204 - 0 ($1,246,005,255.00) Equity, (File 333-139577 - Dec. 21) (BR. 11B) S-4 PROVIDENT FINANCIAL SERVICES INC, 830 BERGEN AVENUE, JERSEY CITY, NJ, 07306, 2013331000 - 0 ($151,493,313.00) Equity, (File 333-139578 - Dec. 21) (BR. 07B) S-8 HARLEYSVILLE NATIONAL CORP, 483 MAIN ST, P O BOX 195, HARLEYSVILLE, PA, 19438, 2152568851 - 227,907 ($4,549,023.72) Equity, (File 333-139579 - Dec. 21) (BR. 07B) S-3 DOLLAR FINANCIAL CORP, DOLLAR FINANCIAL CORP., 1436 LANCASTER AVENUE, BERWYN, PA, 19312-1288, 6102963400 - 0 ($153,549,895.00) Equity, (File 333-139580 - Dec. 21) (BR. 11B) S-3ASR POST PROPERTIES INC, 4401 NORTHSIDE PARKWAY, SUITE 800, ATLANTA, GA, 30327, 4048465000 - 0 ($0.00) Equity, 0 ($0.00) Non-Convertible Debt, (File 333-139581 - Dec. 21) (BR. 08C) S-8 ORBCOMM Inc., 2115 LINWOOD AVENUE, SUITE 100, FORT LEE, NJ, 07024, 201-363-4900 - 1,464,374 ($11,722,314.00) Equity, (File 333-139582 - Dec. 21) (BR. 11A) S-8 ORBCOMM Inc., 2115 LINWOOD AVENUE, SUITE 100, FORT LEE, NJ, 07024, 201-363-4900 - 4,658,207 ($37,288,948.00) Equity, (File 333-139583 - Dec. 21) (BR. 11A) S-4 BANCORPSOUTH INC, ONE MISSISSIPPI PL, TUPELO, MS, 38804, 6626802000 - 0 ($101,574,736.00) Equity, (File 333-139584 - Dec. 21) (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 NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ------------------------------------------------------------------------------------------------------- 155 East Tropicana, LLC NV 1.01,9.01 12/15/06 4 KIDS ENTERTAINMENT INC NY 5.02,9.01 12/15/06 ABIOMED INC DE 8.01,9.01 12/20/06 ACCELLENT INC 5.02,9.01 12/19/06 ACCURIDE CORP DE 5.02,9.01 12/19/06 ADEZA BIOMEDICAL CORP DE 5.02 12/15/06 Advanced Life Sciences Holdings, Inc. 1.02,8.01 12/20/06 ADVANCED PHOTONIX INC DE 4.02,9.01 11/10/06 AMEND ADVANCED PHOTONIX INC DE 2.02,9.01 11/13/06 AMEND AERO GROUP INCORPORATED UT 4.01 09/16/06 AMEND AIRTRAN HOLDINGS INC NV 8.01,9.01 12/20/06 ALABAMA POWER CO AL 3.02 12/21/06 ALBANY INTERNATIONAL CORP /DE/ DE 3.01,9.01 12/21/06 ALEXANDER & BALDWIN INC HI 2.03 12/20/06 Alexza Pharmaceuticals Inc. DE 7.01,9.01 12/21/06 ALLETE INC MN 8.01 12/19/06 ALLIANCE FINANCIAL CORP /NY/ NY 2.01,9.01 10/06/06 AMEND ALLIANCE ONE INTERNATIONAL, INC. VA 7.01 12/21/06 ALTERNATIVE ENERGY SOURCES INC 9.01 09/01/06 AMEND AMB FINANCIAL CORP DE 7.01,9.01 12/21/06 AMEDISYS INC DE 1.02 12/20/06 AMEREN CORP MO 1.01,8.01,9.01 12/18/06 AMERICA SERVICE GROUP INC /DE DE 8.01,9.01 12/21/06 AMERICAN CAPITAL STRATEGIES LTD 5.05,8.01 12/21/06 AMERICAN FINANCIAL GROUP INC OH 8.01 12/15/06 AMERICAN FINANCIAL REALTY TRUST 7.01 12/20/06 AMERICAN GREETINGS CORP OH 2.02,9.01 12/21/06 AMERICAN PHYSICIANS SERVICE GROUP INC TX 8.01 12/21/06 AMERICAN RIVER BANKSHARES CA 8.01,9.01 12/21/06 AMERICAN VANGUARD CORP DE 8.01 12/19/06 AMPAL-AMERICAN ISRAEL CORP NY 8.01,9.01 12/21/06 APOGEE ENTERPRISES INC MN 2.02,9.01 12/20/06 APPLICA INC FL 8.01,9.01 12/20/06 APPLIED MATERIALS INC /DE DC 5.02 12/15/06 ARBITRON INC DE 1.01,2.03,9.01 12/20/06 ARCADIA RESOURCES, INC NV 5.05,9.01 12/15/06 ARCHER DANIELS MIDLAND CO DE 5.02,9.01 12/15/06 ARCHON CORP NV 1.01,9.01 12/15/06 ARGAN INC DE 1.01,2.03,9.01 12/15/06 AMEND ARGON ST, Inc. DE 5.02 12/13/06 ARKONA INC DE 1.01,9.01 12/19/06 Assured Pharmacy, Inc. NV 5.02,8.01 12/15/06 ASTORIA FINANCIAL CORP DE 5.02 12/20/06 ASV INC /MN/ MN 8.01,9.01 12/21/06 AVAYA INC DE 5.02,9.01 12/21/06 AMEND AVI BIOPHARMA INC OR 1.01,7.01,9.01 12/19/06 Aviza Technology, Inc. DE 1.01,5.02,9.01 12/15/06 BAKBONE SOFTWARE INC 8.01,9.01 12/21/06 BANCINSURANCE CORP OH 5.02,9.01 12/15/06 BANCSHARES OF FLORIDA INC FL 8.01,9.01 12/20/06 BANKUNITED FINANCIAL CORP FL 5.02 12/15/06 BARD C R INC /NJ/ NJ 2.06 12/19/06 BARNES & NOBLE INC DE 1.01,9.01 12/21/06 Baseline Oil & Gas Corp. NV 1.01,5.02,8.01,9.01 12/20/06 BASSETT FURNITURE INDUSTRIES INC VA 2.02,4.02,9.01 12/18/06 BAYLAKE CORP WI 5.02 12/18/06 BB&T CORP NC 7.01,9.01 12/20/06 Bear Stearns Commercial Mortgage Secu DE 8.01,9.01 12/19/06 AMEND BECTON DICKINSON & CO NJ 7.01,9.01 12/20/06 BEHRINGER HARVARD REIT I INC MD 7.01,9.01 12/21/06 BEIJING MED PHARM CORP 1.01,3.02,9.01 12/20/06 BELL MICROPRODUCTS INC CA 1.01,3.03,9.01 12/20/06 BENACQUISTA GALLERIES INC NV 3.03 12/19/06 BENCHMARK ELECTRONICS INC TX 8.01,9.01 12/20/06 BIODELIVERY SCIENCES INTERNATIONAL IN DE 5.02 12/15/06 BLONDER TONGUE LABORATORIES INC DE 1.01,2.01,8.01,9.01 12/15/06 Boardwalk Pipeline Partners, LP DE 5.02 12/21/06 BOISE CASCADE HOLDINGS, L.L.C. DE 5.02 12/19/06 BOSTON BEER CO INC MA 5.02 12/19/06 BRINKS CO VA 8.01,9.01 12/20/06 BROADCOM CORP CA 5.02 12/17/06 BUCYRUS INTERNATIONAL INC DE 1.01,3.02,9.01 12/16/06 BUTLER INTERNATIONAL INC /MD/ MD 1.01,3.02,9.01 12/15/06 CALAIS RESOURCES INC 1.01 12/15/06 CALLISTO PHARMACEUTICALS INC DE 5.02,8.01,9.01 12/19/06 CANYON COPPER CORP. 3.02,9.01 12/20/06 CAPTEC FRANCHISE CAPITAL PARTNERS L P DE 1.01,9.01 12/18/06 CARAUSTAR INDUSTRIES INC NC 7.01,9.01 12/20/06 CAREER EDUCATION CORP DE 5.02,9.01 12/20/06 CAREMARK RX INC DE 8.01,9.01 12/20/06 CARNIVAL PLC 2.02,9.01 12/21/06 CARRIAGE SERVICES INC DE 1.01 12/15/06 CARROLS CORP DE 1.01,5.05,8.01,9.01 11/21/06 CBRE Realty Finance Inc 1.01,9.01 12/15/06 CELL THERAPEUTICS INC WA 1.01,8.01,9.01 12/15/06 CELLEGY PHARMACEUTICALS INC CA 4.01,9.01 12/21/06 CELSION CORP MD 1.01,5.02,9.01 12/21/06 CENTERPOINT ENERGY INC 8.01,9.01 12/21/06 CENTRUE FINANCIAL CORP DE 5.02,9.01 12/18/06 Cereplast Inc 1.01,9.01 12/19/06 CFS BANCORP INC IN 7.01,9.01 12/21/06 CHEMOKINE THERAPEUTICS CORP DE 8.01,9.01 12/21/06 CHENIERE ENERGY INC DE 8.01,9.01 12/21/06 CHUBB CORP NJ 7.01,9.01 12/21/06 CINTAS CORP WA 2.02,9.01 12/19/06 CIT GROUP INC DE 8.01 12/19/06 CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 12/21/06 CITIZENS & NORTHERN CORP PA 1.01,9.01 12/21/06 CITY HOLDING CO WV 8.01,9.01 12/21/06 CLAIMSNET COM INC DE 1.01,1.02 12/18/06 CLUBCORP INC DE 5.02,9.01 12/15/06 CMALT (CitiMortgage Alternative Loan DE 9.01 12/21/06 COBALT CMBS Commercial Mortgage Trust DE 9.01 12/21/06 COCA COLA BOTTLING CO CONSOLIDATED /D DE 2.03,9.01 12/18/06 COLLINS & AIKMAN CORP DE 8.01 12/20/06 COLONY BANKCORP INC GA 2.02,7.01,9.01 12/21/06 Columbia Equity Trust, Inc. MD 5.02,7.01,8.01,9.01 12/15/06 COMERICA INC /NEW/ DE 5.02 12/20/06 COMM 2006-C8 Mortgage Trust DE 8.01,9.01 12/21/06 COMMERCIAL METALS CO DE 2.02,7.01,9.01 12/18/06 CONAGRA FOODS INC /DE/ DE 2.02,9.01 12/21/06 CONSECO INC DE 7.01,9.01 12/21/06 CONSECO INC DE 1.01,5.02,9.01 12/20/06 Copano Energy, L.L.C. DE 8.01,9.01 12/19/06 COPART INC CA 5.02 12/20/06 COPART INC CA 8.01,9.01 12/18/06 CORPORATE REALTY INCOME FUND I L P DE 1.01,9.01 12/15/06 CORVEL CORP DE 1.01,2.03,9.01 12/15/06 COVENANT TRANSPORT INC NV 1.01,2.01,9.01 09/14/06 AMEND Craft College Inc UT 9.01 12/07/06 AMEND CREDENCE SYSTEMS CORP DE 1.01,2.03,3.02,9.01 12/20/06 CROWN HOLDINGS INC PA 5.02 12/21/06 CROWN MEDIA HOLDINGS INC DE 2.01,9.01 12/15/06 CTI INDUSTRIES CORP DE 1.01,9.01 12/18/06 CUBIC ENERGY INC TX 1.01,3.02,9.01 12/15/06 CuraTech Industries, Inc. UT 2.01,5.01,5.06,7.01,9.01 10/26/06 CV THERAPEUTICS INC DE 8.01,9.01 12/20/06 CVS CORP DE 1.01,9.01 12/19/06 CYBER DEFENSE SYSTEMS INC FL 5.02,8.01,9.01 12/16/06 DANA CORP VA 1.01,8.01,9.01 12/18/06 DANA CORP VA 1.01,9.01 12/19/06 DELCATH SYSTEMS INC DE 1.01,1.02,9.01 12/15/06 DELPHAX TECHNOLOGIES INC MN 2.02,9.01 12/21/06 DELTA & PINE LAND CO DE 8.01,9.01 12/21/06 DELUXE CORP MN 1.01,3.03,9.01 12/20/06 Dhanoa Minerals Ltd. NV 1.01,3.02,7.01,9.01 12/18/06 DIAMOND OFFSHORE DRILLING INC DE 5.02,8.01,9.01 12/15/06 DiamondRock Hospitality Co 9.01 12/08/06 AMEND DIASENSE INC/PA PA 4.01,9.01 12/21/06 Digital Learning Management CO DE 3.02 12/14/06 DIVALL INSURED INCOME PROPERTIES 2 LI WI 4.01,9.01 11/27/06 AMEND DOLLAR FINANCIAL CORP DE 2.05,9.01 12/19/06 Dresser-Rand Group Inc. DE 2.02,9.01 12/21/06 DTE ENERGY CO MI 1.01,9.01 12/15/06 DUQUESNE LIGHT HOLDINGS INC PA 1.01,2.03,9.01 12/20/06 EARTH BIOFUELS INC DE 7.01,8.01,9.01 12/15/06 EARTH BIOFUELS INC DE 1.01 12/20/06 EASTON-BELL SPORTS, INC. DE 5.02 12/20/06 EDAC TECHNOLOGIES CORP WI 8.01,9.01 12/20/06 Education Realty Trust, Inc. MD 7.01,9.01 12/21/06 EDWARDS A G INC DE 2.02 12/21/06 EGL INC TX 1.01 12/14/06 EGL INC TX 5.02,9.01 12/18/06 ELEC COMMUNICATIONS CORP NY 1.01,8.01,9.01 12/14/06 ELECTRO RENT CORP CA 2.02,9.01 12/21/06 ELECTROGLAS INC DE 2.02,9.01 12/21/06 ELOYALTY CORP DE 8.01,9.01 12/21/06 EMBREX INC /NC/ NC 1.01 12/18/06 ENBRIDGE ENERGY PARTNERS LP DE 1.01,9.01 12/21/06 ENCORIUM GROUP INC NV 9.01 11/01/06 AMEND Energy Transfer Equity, L.P. DE 8.01,9.01 12/19/06 ENNIS, INC. TX 2.02,9.01 12/21/06 ENTERTAINMENT PROPERTIES TRUST MD 1.01,3.03,5.03,8.01,9.01 12/19/06 EQUITABLE FINANCIAL CORP 4.01 12/19/06 ERF Wireless, Inc. NV 1.01,2.01,9.01 12/15/06 Evercore Partners Inc. DE 1.01,2.01,9.01 12/19/06 EXCELSIOR LASALLE PROPERTY FUND INC 5.02,5.03 12/21/06 EXCO RESOURCES INC TX 8.01,9.01 12/20/06 EXPRESS SCRIPTS INC DE 1.01,7.01 12/20/06 EXPRESS SCRIPTS INC DE 7.01 12/21/06 FAMILY ROOM ENTERTAINMENT CORP NM 4.01,9.01 12/20/06 FAMILYMEDS GROUP, INC. NV 1.01,3.02 12/15/06 FARMERS & MERCHANTS BANCORP DE 8.01,9.01 12/21/06 FASTENTECH INC DE 2.02,9.01 12/21/06 FASTFUNDS FINANCIAL CORP NV 5.02 12/15/06 Federal Home Loan Bank of Atlanta X1 2.03 12/18/06 Federal Home Loan Bank of Boston X1 2.03 12/18/06 Federal Home Loan Bank of Chicago X1 2.03 12/18/06 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 12/18/06 Federal Home Loan Bank of Dallas 2.03 12/19/06 Federal Home Loan Bank of Des Moines X1 2.03,9.01 12/19/06 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 12/18/06 Federal Home Loan Bank of New York X1 2.03,9.01 12/18/06 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 12/18/06 Federal Home Loan Bank of San Francis X1 2.03 12/18/06 Federal Home Loan Bank of Seattle 2.03 12/20/06 Federal Home Loan Bank of Topeka 2.03 12/18/06 Feldman Mall Properties, Inc. MD 1.02,9.01 12/17/06 FIRST FINANCIAL BANCORP /OH/ OH 7.01,9.01 12/21/06 FIRST FRANKLIN FINANCIAL CORP GA 1.01 12/21/06 FIRST HORIZON NATIONAL CORP TN 5.02,8.01,9.01 12/19/06 FIRST MONTAUK FINANCIAL CORP NJ 8.01,9.01 12/21/06 FIRST NATIONAL LINCOLN CORP /ME/ ME 8.01 12/21/06 First Valley Bancorp, Inc. CT 5.02,9.01 12/18/06 FLOTEK INDUSTRIES INC/CN/ DE 5.02 12/21/06 FLYI INC DE 7.01 12/20/06 FONAR CORP DE 3.01 12/19/06 FOOTHILLS RESOURCES INC 5.02,9.01 12/15/06 FORCE PROTECTION INC NV 1.01,3.02,9.01 12/20/06 FORCE PROTECTION INC NV 1.01 12/15/06 FORRESTER RESEARCH INC DE 5.02 12/19/06 FOUR OAKS FINCORP INC NC 1.01,5.02,9.01 12/16/06 FPL GROUP INC FL 2.03,5.02,7.01,8.01,9.01 12/15/06 FRANKLIN ELECTRIC CO INC IN 1.01,2.04,9.01 12/21/06 GAINSCO INC TX 1.01,9.01 12/15/06 GAINSCO INC TX 1.01,2.03,9.01 12/21/06 GE Capital Credit Card Master Note Tr DE 8.01,9.01 12/15/06 GE Capital Credit Card Master Note Tr DE 1.01,9.01 12/21/06 GENE LOGIC INC DE 1.01,2.01,9.01 12/15/06 GENENTECH INC DE 5.02 12/15/06 GENERAL MILLS INC DE 2.02,9.01 12/21/06 Gentor Resources, Inc. FL 8.01 12/21/06 GENZYME CORP MA 1.01,9.01 12/15/06 GEOKINETICS INC DE 1.01,1.02,2.03,3.02,9.01 12/15/06 George Foreman Enterprises Inc DE 4.02 12/19/06 GIBRALTAR INDUSTRIES, INC. DE 5.02,9.01 12/21/06 GLATFELTER P H CO PA 8.01,9.01 12/20/06 Global Developments Inc. DE 8.01 12/18/06 GLOBAL GOLD CORP DE 1.01,2.01 12/19/06 GMACM Home Equity Loan Trust 2006-HE5 DE 8.01,9.01 12/21/06 AMEND GMACM Home Equity Loan Trust 2006-HE5 DE 8.01,9.01 12/21/06 AMEND GMH Communities Trust MD 2.02,7.01,9.01 12/20/06 GOLDEN PHOENIX MINERALS INC /MN/ MN 5.02,9.01 12/18/06 GPS INDUSTRIES, INC. NV 3.02 12/20/06 AMEND GREENVILLE FIRST BANCSHARES INC SC 5.02,9.01 11/08/06 AMEND GRUBB & ELLIS CO DE 1.01,9.01 12/15/06 GS CARBON CORP DE 1.01,3.02 12/19/06 GSAA Home Equity Trust 2006-14 DE 8.01,9.01 08/25/06 AMEND GUITAR CENTER INC DE 1.01 12/15/06 HALLMARK FINANCIAL SERVICES INC NV 5.02,7.01,9.01 12/18/06 HALOZYME THERAPEUTICS INC NV 1.01,9.01 12/15/06 HANMI FINANCIAL CORP DE 8.01,9.01 12/21/06 HARLAND JOHN H CO GA 5.02,8.01,9.01 12/18/06 HARMONIC INC DE 1.01,9.01 12/15/06 HARRAHS ENTERTAINMENT INC DE 3.01,9.01 12/20/06 HARTMAN COMMERCIAL PROPERTIES REIT TX 7.01,9.01 12/18/06 HASBRO INC RI 1.01 12/18/06 HAUPPAUGE DIGITAL INC DE 2.02,9.01 12/21/06 HEARTLAND OIL & GAS CORP NV 4.01,9.01 12/18/06 HERITAGE BANKSHARES INC /VA VA 3.02 12/21/06 Heritage Financial Group DC 8.01,9.01 12/19/06 HERTZ GLOBAL HOLDINGS INC 5.02,7.01,9.01 12/21/06 HINES REAL ESTATE INVESTMENT TRUST IN 1.01 12/15/06 HORIZON BANCORP /IN/ IN 2.03,9.01 12/15/06 HORIZON HEALTH CORP /DE/ DE 1.01,3.03,9.01 12/20/06 HORIZON OFFSHORE INC DE 5.02,5.04,9.01 12/15/06 HOST AMERICA CORP DE 2.02,9.01 12/21/06 HYBRID FUELS INC NV 1.01,9.01 12/16/06 HYDROGEN ENGINE CENTER, INC. NV 9.01 12/21/06 ICON CASH FLOW PARTNERS L P SEVEN DE 8.01,9.01 12/20/06 ICON INCOME FUND EIGHT /DE DE 8.01,9.01 12/20/06 ICON INCOME FUND EIGHT B LP 8.01,9.01 12/20/06 ICON INCOME FUND TEN LLC DE 8.01,9.01 12/19/06 ICON Leasing Fund Eleven, LLC DE 8.01,9.01 12/19/06 ICONIX BRAND GROUP, INC. DE 2.01 12/15/06 ICONIX BRAND GROUP, INC. DE 1.02 12/15/06 AMEND IDEXX LABORATORIES INC /DE DE 1.01,9.01 12/15/06 IDM PHARMA, INC. DE 2.05 12/15/06 IMAGE SENSING SYSTEMS INC MN 5.02,9.01 12/14/06 IMMUCELL CORP /DE/ DE 5.02,9.01 12/20/06 Impac Secured Assets Corp., Mortgage 9.01 12/21/06 IMS HEALTH INC DE 1.01,5.02,5.03,9.01 12/15/06 INCENTRA SOLUTIONS, INC. NV 5.02,9.01 12/18/06 IndyMac Residential Mortgage-Backed T DE 8.01,9.01 12/14/06 INERGY HOLDINGS, L.P. 8.01,9.01 12/18/06 INERGY L P DE 8.01,9.01 12/18/06 INFOSPACE INC DE 8.01,9.01 12/21/06 INNKEEPERS USA TRUST/FL MD 9.01 10/04/06 AMEND INNOVEX INC MN 1.01,2.03,9.01 12/20/06 INOVIO BIOMEDICAL CORP 5.02 12/19/06 INTEGRATED ALARM SERVICES GROUP INC DE 1.01,8.01,9.01 12/20/06 Integrated Healthcare Holdings Inc NV 5.03 12/21/06 INTEGRATED PHARMACEUTICALS INC 3.02 12/19/06 Intrepid Holdings, Inc. NV 1.01,3.02,9.01 12/21/06 Intrepid Holdings, Inc. NV 1.01,3.02,5.02,9.01 12/21/06 INTROGEN THERAPEUTICS INC 1.01,8.01,9.01 12/18/06 INTUIT INC DE 1.01,9.01 12/15/06 INVESTMENT TECHNOLOGY GROUP INC DE 1.01,9.01 12/20/06 IOMAI CORP 2.03 12/20/06 JACK IN THE BOX INC /NEW/ DE 2.03,8.01,9.01 12/19/06 JOHN D. OIL & GAS CO 5.02 12/18/06 JOHNSON & JOHNSON NJ 8.01 12/20/06 JOHNSONDIVERSEY INC DE 5.02,9.01 12/21/06 JOY GLOBAL INC DE 5.02 10/21/06 KENTEX PETROLEUM INC NV 7.01 12/19/06 KODIAK ENERGY, INC. DE 1.01,3.02,9.01 12/20/06 Kraton Polymers LLC DE 1.01,9.01 12/15/06 LANDSTAR SYSTEM INC DE 1.01 12/20/06 LANGER INC NY 1.01 12/15/06 LB-UBS Commercial Mortgage Trust 2006 1.01,9.01 12/05/06 LEHMAN BROTHERS HOLDINGS INC DE 9.01 12/18/06 Lehman XS Trust 2006-19 DE 8.01,9.01 12/20/06 LIFETIME BRANDS, INC DE 7.01,9.01 12/21/06 LILLY ELI & CO IN 1.01,2.05,2.06,5.02,9.01 12/15/06 Live Nation, Inc. DE 1.01,2.03,9.01 12/18/06 LODGENET ENTERTAINMENT CORP DE 3.02 12/14/06 AMEND LORAL SPACE & COMMUNICATIONS INC. DE 1.01,9.01 12/16/06 LTV CORP DE 8.01,9.01 12/21/06 LUCAS ENERGY, INC. NV 1.01,2.01,9.01 12/20/06 MAGNETEK INC DE 8.01 12/20/06 Magnum dOr Resources Inc 5.01 12/20/06 MAINSOURCE FINANCIAL GROUP IN 7.01,9.01 12/21/06 MAINSTREET BANKSHARES INC VA 5.02 12/20/06 MAKEMUSIC, INC. MN 5.02,9.01 12/19/06 MANATRON INC MI 8.01,9.01 12/20/06 MARKEL CORP VA 5.02,9.01 12/19/06 MARLIN BUSINESS SERVICES CORP 5.02,9.01 12/20/06 MAXIM INTEGRATED PRODUCTS INC DE 5.02,7.01,9.01 12/15/06 MAXXAM INC DE 8.01 12/21/06 MEDALLION FINANCIAL CORP DE 1.01,2.03,8.01,9.01 12/19/06 Merchandise Creations, Inc. 5.02,5.03,9.01 12/19/06 MERCK & CO INC NJ 8.01,9.01 12/20/06 METROLOGIC INSTRUMENTS INC NJ 8.01 12/12/06 MGE ENERGY INC WI 5.02 12/15/06 MGM MIRAGE DE 2.03,8.01,9.01 12/21/06 MICROISLET INC NV 8.01,9.01 12/21/06 MICRON TECHNOLOGY INC DE 2.02,9.01 12/21/06 MICROTEK MEDICAL HOLDINGS, INC GA 1.01,3.03,9.01 12/20/06 MIDWEST AIR GROUP INC WI 8.01,9.01 12/13/06 Millstream II Acquisition CORP DE 8.01,9.01 12/21/06 MOMENTA PHARMACEUTICALS INC DE 5.02 12/15/06 MONSTER WORLDWIDE INC DE 5.02,9.01 12/15/06 Morgan Stanley Capital I Trust 2006-I DE 9.01 12/21/06 MORGAN STANLEY CHARTER ASPECT L.P. DE 1.01,9.01 12/20/06 MORTGAGEBROKERS.COM HOLDINGS, INC. DE 4.02 09/25/06 MTS SYSTEMS CORP MN 7.01,9.01 12/21/06 MUNICIPAL MORTGAGE & EQUITY LLC DE 1.01,9.01 12/15/06 MYLAN LABORATORIES INC PA 8.01,9.01 12/21/06 Nalco Holding CO 8.01,9.01 12/21/06 NASDAQ STOCK MARKET INC DE 1.01,1.02,3.03,9.01 12/20/06 NASH FINCH CO DE 1.01,5.02,9.01 12/21/06 NATIONAL FINANCIAL PARTNERS CORP 3.02,7.01,9.01 12/21/06 NATIONAL PENN BANCSHARES INC PA 5.02,8.01,9.01 12/20/06 NATUREWELL INC CA 1.01,2.03,9.01 12/15/06 NAVISTAR INTERNATIONAL CORP DE 3.01,8.01,9.01 12/20/06 NCT GROUP INC DE 1.01,2.03,3.02 12/15/06 Neenah Paper Inc DE 9.01 10/11/06 AMEND NEOPROBE CORP DE 5.02,9.01 12/15/06 NETRATINGS INC DE 5.02,9.01 12/21/06 NETWORK CN INC DE 1.01,9.01 12/21/06 NEUROCRINE BIOSCIENCES INC CA 8.01,9.01 12/20/06 NexCen Brands, Inc. DE 1.01,8.01,9.01 12/19/06 NEXMED INC NV 1.01,3.02,9.01 12/20/06 NextWave Wireless Inc. DE 2.01,7.01,9.01 12/18/06 NISOURCE INC/DE DE 7.01,9.01 12/21/06 NORTH POINTE HOLDINGS CORP 7.01,9.01 12/21/06 NORTHWEST AIRLINES CORP DE 8.01 12/21/06 NOVA PHARMACEUTICAL INC NV 8.01 12/16/06 NOVADEL PHARMA INC DE 2.02,7.01,8.01,9.01 12/21/06 NOVASTAR FINANCIAL INC MD 5.02,9.01 12/20/06 Novelis Inc. A6 8.01 12/21/06 NOVELLUS SYSTEMS INC CA 5.02 12/15/06 NTELOS HOLDINGS CORP 5.02,9.01 12/21/06 NUCRYST Pharmaceuticals Corp. A0 5.02 05/30/06 AMEND NUWAY MEDICAL INC DE 1.01,9.01 12/20/06 OCEANEERING INTERNATIONAL INC DE 5.02,9.01 12/21/06 OGE ENERGY CORP OK 1.01,9.01 12/21/06 OKLAHOMA GAS & ELECTRIC CO OK 1.01,9.01 12/21/06 OLD DOMINION ELECTRIC COOPERATIVE VA 5.02 12/18/06 OLD NATIONAL BANCORP /IN/ IN 1.01,2.03 12/21/06 OMEGA FINANCIAL CORP /PA/ PA 5.02 12/18/06 ONE LIBERTY PROPERTIES INC MD 2.01,9.01 12/20/06 ONEOK INC /NEW/ OK 5.02 12/21/06 AMEND Opteum Inc. MD 1.01,7.01,9.01 12/21/06 ORTHOVITA INC 5.02 12/19/06 OSAGE BANCSHARES, INC. MD 8.01,9.01 12/21/06 PAC-WEST TELECOMM INC 8.01,9.01 12/21/06 PACEL CORP NV 5.02 12/21/06 Pantheon China Acquisition Corp. DE 8.01,9.01 12/20/06 PAR PHARMACEUTICAL COMPANIES, INC. DE 2.02,4.02,7.01,9.01 12/08/06 AMEND PARKWAY PROPERTIES INC MD 1.01,9.01 12/19/06 PATAPSCO BANCORP INC MD 8.01,9.01 12/20/06 PATRIOT NATIONAL BANCORP INC CT 8.01,9.01 12/21/06 PEMSTAR INC MN 8.01,9.01 12/20/06 PERCEPTRON INC/MI MI 1.01,5.02,9.01 12/21/06 PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 12/18/06 PFIZER INC DE 5.02,9.01 12/21/06 PHC INC /MA/ MA 1.01 12/20/06 PHOENIX TECHNOLOGIES LTD DE 5.02 12/19/06 PIER 1 IMPORTS INC/DE DE 5.02 12/20/06 PLM EQUIPMENT GROWTH & INCOME FUND VI CA 2.01,9.01 12/21/06 POINT THERAPEUTICS INC DE 8.01,9.01 12/21/06 POWER INTEGRATIONS INC CA 5.02 12/15/06 POZEN INC /NC 5.02 12/20/06 PRAECIS PHARMACEUTICALS INC DE 1.01,3.03,8.01,9.01 12/20/06 Precision Aerospace Components, Inc. DE 4.02 12/20/06 PREMIERE GLOBAL SERVICES, INC. GA 5.02 12/20/06 PRIMUS GUARANTY LTD 1.01,9.01 12/19/06 PROTECTION ONE INC DE 1.01,8.01,9.01 12/18/06 PROTECTIVE LIFE CORP DE 2.03 12/21/06 PROTECTIVE LIFE INSURANCE CO TN 2.03 12/21/06 PRUDENTIAL BANCORP INC OF PENNSYLVANI 7.01,9.01 12/21/06 PRUDENTIAL BANCORP INC OF PENNSYLVANI 5.02,9.01 01/01/06 PS BUSINESS PARKS INC/CA CA 7.01,9.01 12/20/06 AMEND PSYCHIATRIC SOLUTIONS INC DE 1.01,7.01,9.01 12/20/06 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 8.01,9.01 12/20/06 PUBLIC STORAGE INC /CA CA 2.03 12/21/06 PURADYN FILTER TECHNOLOGIES INC DE 5.02 12/19/06 QUADRAMED CORP DE 5.02 12/15/06 QUEST OIL CORP NV 3.01 12/21/06 Quintana Maritime LTD 1T 2.01,9.01 12/15/06 Quintana Maritime LTD 1T 2.01,9.01 12/15/06 AMEND QUOTESMITH COM INC DE 7.01 12/21/06 RAAC Series 2006-SP4 Trust DE 8.01,9.01 12/20/06 RALI Series 2006-QA11 Trust DE 8.01,9.01 12/21/06 RAYMOND JAMES FINANCIAL INC FL 7.01,9.01 12/21/06 REALOGY CORP DE 5.02 12/15/06 RED HAT INC DE 2.02,9.01 12/21/06 REFAC OPTICAL GROUP DE 8.01,9.01 12/20/06 REGENERATION TECHNOLOGIES INC FL 1.01,9.01 12/15/06 REGENT COMMUNICATIONS INC DE 2.01,9.01 12/15/06 REPROS THERAPEUTICS INC. DE 8.01,9.01 12/20/06 Republic Property Trust MD 1.02 12/18/06 RES CARE INC /KY/ KY 2.02,9.01 12/19/06 RESOLVE STAFFING INC NV 8.01,9.01 12/21/06 RESOURCES CONNECTION INC DE 2.02,9.01 12/21/06 REVLON CONSUMER PRODUCTS CORP DE 1.01,8.01,9.01 12/20/06 REVLON INC /DE/ DE 1.01,8.01,9.01 12/20/06 Ridgewood Energy L Fund LLC 4.02 12/18/06 Ridgewood Energy M Fund LLC 4.02 12/19/06 RITE AID CORP DE 2.02,9.01 12/21/06 ROCKY BRANDS, INC. OH 5.02,7.01,9.01 12/15/06 RR Donnelley & Sons Co DE 8.01,9.01 12/20/06 S1 CORP /DE/ DE 1.01,2.05,5.02,9.01 12/18/06 Saint James CO NC 2.01 12/21/06 Saint James CO NC 1.01,2.01 12/21/06 SALAMON GROUP INC 5.06 12/20/06 SALIX PHARMACEUTICALS LTD 8.01,9.01 12/20/06 SANFILIPPO JOHN B & SON INC DE 9.01 12/15/06 SANTARUS INC DE 1.01,9.01 12/18/06 SANTARUS INC DE 1.01,9.01 12/19/06 SCHERING PLOUGH CORP NJ 5.02,9.01 12/20/06 SCHWEITZER MAUDUIT INTERNATIONAL INC DE 1.02,2.05 12/19/06 SCOTIA PACIFIC CO LLC DE 8.01 12/21/06 SEAGATE TECHNOLOGY E9 8.01,9.01 12/20/06 SEDONA CORP PA 1.01,9.01 12/14/06 Seneca Gaming Corp XX 5.02,9.01 12/15/06 AMEND SERENA SOFTWARE INC DE 5.02 12/20/06 SEVERN BANCORP INC MD 7.01,9.01 12/21/06 SGS International, Inc. DE 8.01 12/15/06 SHELLS SEAFOOD RESTAURANTS INC DE 5.02 12/21/06 SHELLS SEAFOOD RESTAURANTS INC DE 1.01,9.01 12/20/06 SHELRON GROUP INC DE 5.02 12/18/06 SHILOH INDUSTRIES INC DE 2.02,9.01 12/21/06 Shire plc 8.01,9.01 12/19/06 Siberian Energy Group Inc. NV 1.01,3.02,9.01 12/13/06 SIERRA BANCORP CA 5.02 12/18/06 SKY FINANCIAL GROUP INC OH 8.01,9.01 12/20/06 SL INDUSTRIES INC NJ 2.01,9.01 10/31/06 AMEND SMART ONLINE INC 1.01 12/15/06 SoftBrands, Inc. DE 2.02,9.01 12/20/06 Solar Thin Films, Inc. DE 1.01,9.01 12/19/06 SOLECTRON CORP DE 2.02,5.02,9.01 12/16/06 SONGZAI INTERNATIONAL HOLDING GROUP I NV 3.03,5.03,9.01 12/19/06 Soundview Home Loan Trust 2006-WF2 DE 9.01 12/08/06 SOURCE INTERLINK COMPANIES INC DE 1.01,2.03,9.01 12/21/06 SOUTH DAKOTA SOYBEAN PROCESSORS LLC 7.01,9.01 12/21/06 SOUTH TEXAS OIL CO NV 2.01,8.01,9.01 12/21/06 SOUTHWEST CASINO CORP 1.01,8.01,9.01 12/18/06 SOVEREIGN BANCORP INC PA 2.05,5.02,9.01 12/15/06 SPARTECH CORP DE 5.02,9.01 12/15/06 SPECTRX INC DE 1.01,2.03 12/21/06 STANDARD MICROSYSTEMS CORP DE 2.02,9.01 12/21/06 STAR SCIENTIFIC INC DE 5.02,5.03,9.01 12/15/06 STARRETT L S CO MA 8.01 12/21/06 STONERIDGE INC OH 5.02 12/18/06 AMEND STRONGHOLD TECHNOLOGIES INC NV 1.01,2.03,3.02,9.01 12/15/06 STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 12/15/06 STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 12/15/06 STRUCTURED PRODUCTS CORP CORTS TR II DE 8.01,9.01 12/15/06 STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 12/15/06 SUNOCO LOGISTICS PARTNERS LP DE 1.01,7.01,9.01 12/15/06 SUNTRUST BANKS INC GA 2.03,9.01 12/20/06 SYMS CORP NJ 1.01,2.01,9.01 12/21/06 TACTICAL AIR DEFENSE SERVICES, INC. NV 1.01,2.01,2.03,3.02,4.01, 12/15/06 AMEND 5.01,5.02,5.06,9.01 TBW Mortgage-Backed Trust Series 2006 DE 8.01,9.01 12/21/06 TECHNOLOGY INVESTMENT CAPITAL CORP MD 2.02,9.01 12/20/06 TEKELEC CA 1.01,2.03,9.01 12/15/06 TERAYON COMMUNICATION SYSTEMS DE 7.01,9.01 12/20/06 TEXOLA ENERGY CORP NV 7.01,9.01 12/13/06 TEXOLA ENERGY CORP NV 7.01,9.01 12/19/06 THOMAS & BETTS CORP TN 1.01,9.01 12/18/06 THQ INC DE 1.01 12/15/06 TIBCO SOFTWARE INC DE 2.02,9.01 12/21/06 TII NETWORK TECHNOLOGIES, INC. DE 1.01,1.02,5.02,9.01 12/15/06 TITAN INTERNATIONAL INC IL 8.01,9.01 12/21/06 TITAN INTERNATIONAL INC IL 8.01,9.01 12/21/06 TITANIUM METALS CORP DE 7.01,9.01 12/21/06 TOREADOR RESOURCES CORP DE 2.04 12/15/06 TOWER AUTOMOTIVE INC DE 1.01,9.01 12/20/06 TOWN SPORTS INTERNATIONAL HOLDINGS IN DE 1.01,9.01 12/20/06 TRANSACTION SYSTEMS ARCHITECTS INC DE 1.01,9.01 12/12/06 TRANSCAT INC OH 8.01 12/21/06 TRIAD HOSPITALS INC DE 5.02 12/15/06 TRIPATH IMAGING INC DE 5.01 12/20/06 TUFCO TECHNOLOGIES INC DE 2.02,7.01,9.01 12/19/06 TUT SYSTEMS INC DE 1.01,8.01,9.01 12/20/06 TXP CORP NV 5.02,9.01 12/19/06 UNITY BANCORP INC /NJ/ NJ 5.02 12/18/06 US AIRWAYS GROUP INC DE 7.01,9.01 12/21/06 USA TECHNOLOGIES INC PA 3.02,9.01 12/15/06 USG CORP DE 3.03,7.01,9.01 12/21/06 UTSTARCOM INC DE 5.02,9.01 12/17/06 VALMONT INDUSTRIES INC DE 5.02 12/17/06 VARSITY GROUP INC 1.01 12/20/06 VENTURE CATALYST INC UT 2.01,5.01 12/21/06 Veri-Tek International, Corp. MI 1.01,9.01 12/21/06 VISION BANCSHARES INC AL 5.02 12/18/06 VOIP INC 2.03,3.02,9.01 12/15/06 Volkswagen Auto Lease Trust 2004-A DE 5.03,9.01 12/15/06 Volkswagen Auto Lease Trust 2005-A 5.03,9.01 12/15/06 VOLKSWAGEN AUTO LEASE TRUST 2006-A 5.03,9.01 12/15/06 VOLT INFORMATION SCIENCES, INC. NY 8.01,9.01 12/20/06 WASHINGTON TRUST BANCORP INC RI 8.01,9.01 12/21/06 WATAIRE INTERNATIONAL, INC. WA 5.02 12/20/06 WATERSIDE CAPITAL CORP VA 5.02,9.01 12/06/06 Web2 Corp DE 3.03,8.01,9.01 12/20/06 WebMD Health Corp. DE 2.01,3.02,9.01 12/15/06 WEIGHT WATCHERS INTERNATIONAL INC VA 1.01,8.01,9.01 12/17/06 Wells Fargo Home Equity Asset-Backed DE 9.01 12/21/06 WELLS REAL ESTATE FUND IV L P GA 7.01,9.01 12/21/06 WELLS REAL ESTATE FUND V L P GA 7.01,9.01 12/21/06 WELLS REAL ESTATE FUND XI L P GA 1.01 12/21/06 WELLSFORD REAL PROPERTIES INC MD 5.03,9.01 12/20/06 WET SEAL INC DE 8.01,9.01 12/20/06 WGL HOLDINGS INC VA 5.02,9.01 12/15/06 WHITNEY HOLDING CORP LA 5.02 12/21/06 AMEND WHITNEY INFORMATION NETWORK INC CO 8.01,9.01 12/20/06 Wilber CORP 8.01,9.01 12/19/06 WILD OATS MARKETS INC DE 1.02,5.02,9.01 12/19/06 WINN DIXIE STORES INC FL 5.02,9.01 12/21/06 WOLVERINE TUBE INC DE 1.01,2.03,9.01 12/15/06 Worldwide Biotech & Pharmaceutical CO DE 1.01,5.02,9.01 12/18/06 WORTHINGTON INDUSTRIES INC OH 2.02,7.01,8.01,9.01 12/21/06 WSB Financial Group, Inc. WA 8.01,9.01 12/21/06 WYNDHAM WORLDWIDE CORP DE 8.01,9.01 12/21/06 XACT AID INC NV 5.03 12/15/06 XL CAPITAL LTD 1.01,2.03,9.01 12/19/06 XSTREAM BEVERAGE NETWORK, INC. NV 1.01,8.01,9.01 12/15/06 YOUBET COM INC DE 1.01,2.04,8.01,9.01 12/15/06 Yukon Resources Corp. NV 3.02 12/15/06