SEC NEWS DIGEST Issue 2006-46 March 9, 2006 COMMISSION ANNOUNCEMENTS SECURITIES AND EXCHANGE COMMISSION SUSPENDS TRADING IN THREE COMPANIES THAT FAILED TO MAKE REQUIRED PERIODIC FILINGS The Commission announced the temporary suspension of trading of the securities of the following issuers, commencing at 9:30 a.m. EDT on March 9, 2006, and terminating at 11:59 p.m. EDT on March 22, 2006: * Gary Player Direct, Inc. (GPLY) * First Chesapeake Financial Corp. (FCFK) * North Lily Mining Co. (NLMC) The Commission temporarily suspended trading in the securities of these companies due to a lack of current and accurate information about these companies because they are delinquent in their periodic filing obligations under Securities Exchange Act of 1934 (Exchange Act) Section 13(a). These orders were entered pursuant to Exchange Act Section 12(k). The Commission cautions broker-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 companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of the companies that have been subject to trading suspensions until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, D.C. at (202) 551- 5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551- 5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-53457) COMMISSION ANNOUNCES ROUNDTABLE SERIES ON GIVING INVESTORS AND ANALYSTS BETTER FINANCIAL DATA VIA INTERNET The Securities and Exchange Commission announced today a series of roundtables to be held throughout 2006 at its headquarters in Washington, D.C., focused on speeding the implementation of new Internet tools that will help provide investors and analysts with better financial information about companies and funds. The roundtables will review the experiences from the first year of a pilot program to use so-called interactive data for company filings with the SEC. Interactive data permits Internet users to search for and use individual items of information from financial reports, such as net income, executive compensation, or mutual fund expenses. Today, even computer-based financial information is generally presented in the form of entire pages of data that can't easily be separated. Approximately a dozen companies participated in the voluntary program in its initial year. The roundtables will also use the lessons learned from the pilot program in order to develop new ways to get analysts and investors significantly better information. Topics will include what investors and analysts are looking for in the new world of interactive data; how to accelerate the use of new software that permits the dissemination of interactive financial data; and how to best design the SEC's requirements for company disclosures to take maximum advantage of the potential of interactive data. Representatives from investors, issuers, auditors, analysts, technology professionals, regulators, and others will be invited to the roundtable discussions. The first roundtable in the series will be held on Monday, June 12, from 10:00 a.m.-noon, and will focus on how best to serve the needs of analysts and investors with interactive data. Subsequent roundtable discussions will be held later in the summer and fall. "It is now within our reach to get dramatically more useful information in the hands of investors," said SEC Chairman Christopher Cox. "We look forward to these discussions on implementing interactive data initiatives that can benefit investors as quickly as possible, and we welcome the opportunity to learn from investors and other users of financial information how the SEC can improve our own disclosure program." The Commission also announced that it is seeking written feedback from investors, registrants, auditors and others on their experiences with interactive data and XBRL The Commission welcomes feedback on any aspect of the use of interactive data. The information that is submitted will become part of the public record of the interactive data roundtables. Members of the public are encouraged to provide feedback throughout the year as the roundtable topics and dates are announced. Submissions to the Commission may be provided by any of the following methods: Electronic submissions: * Use the Commission's Internet submission form at www.sec.gov/news/press.shtml; or * Send an e-mail to rule-comments@sec.gov. Please include File Number 4-515 on the subject line. Paper submissions: * Send paper submissions in triplicate to Nancy M. Morris, Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549-1090. All submissions should refer to File Number 4-515. This file number should be included on the subject line if e-mail is used. To help process and review your submissions more efficiently, please use only one method. The Commission will post all submissions on the Commission's Internet Web site at (http://www.sec.gov/news/press/4- 515.shtml). Please note that all submissions received will be posted without change; the SEC does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. (Press Rel. 2006-34) CHANGE IN THE MEETING: DELETION OF ITEM The following item was not considered during the closed meeting on March 9 at 2:00 p.m.: Consideration of amicus participation. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGS COMMISSION BARS FORMER HEDGE FUND MANAGER FROM INVESTMENT ADVISER BUSINESS On March 8, the Commission issued a settled administrative order barring Michael K.C. Tom, of Waltham, Massachusetts, from associating with an investment adviser based on his criminal conviction for securities fraud pursuant to Section 203(f) of the Investment Advisers Act of 1940. On Feb. 15, 2006, Tom pled guilty to five counts of securities fraud in violation of Title 15, United States Code, Sections 78j(b) and 78ff(a) before the United States District Court for the District of Massachusetts, in United States v. Michael K.C. Tom, Crim. No. 05-10361RCL. The counts of the criminal information to which Tom pled guilty alleged, inter alia, that Tom engaged in a scheme to purchase the securities of Charter One Financial, Inc., personally and through a hedge fund, while in possession of material, non-public information concerning an impending acquisition of Charter One by Citizens Bank. During the relevant period, Tom managed a hedge fund called GTC Growth Fund, L.P. and was associated with Global Time Capital Management, LLC, an investment adviser that was not registered with the Commission. The criminal action was based on conduct similar to that alleged in a complaint filed by the Commission on Sept. 29, 2005. The Commission's complaint alleges that, Tom purchased numerous Charter One call options for his personal account and for his hedge fund, GTC Growth Fund, L.P. According to the complaint, Michael Tom's trading in Charter One securities resulted in total imputed profits of approximately $743,000. The Commission's action is pending. For further information, please see Litigation Release Number 19404 (Sept. 29, 2004). [SEC v. Michael K.C. Tom, et al., United States District Court for the District of Massachusetts, C.A. No. 05-CV- 11966-NMG, filed Sept. 29, 2005]. (Rel. IA-2494; File No. 3-12233) COMMISSION INSTITUTES ADMINISTRATIVE PROCEEDINGS AGAINST SIX DELINQUENT COMPANIES FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS The Commission today issued public administrative proceedings against a total of six companies to determine whether the registration of each class of their securities should be revoked or suspended for failure to file required periodic reports: o Gary Player Direct, Inc. o Gary Player Golf, Inc. o Cross Media Marketing Corp. o First Chesapeake Financial Corp. o North Lily Mining Co. o QuadraComm, Inc. In this Order, the Division of Enforcement alleges that the six issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Securities Exchange Act of 1934 (Exchange Act) Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division of Enforcement and the respondents to determine whether the allegations of the Division of Enforcement contained in the Order, which the Division alleges constitute violations of Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of the securities of these respondents should be revoked, or in the alternative, suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. See also the Order Instituting Administrative Proceedings, In the Matter of Gary Player Direct, Inc., et al. (In the Matter of Gary Player Direct, Inc., Gary Player Golf, Inc., Cross Media Marketing Corp., First Chesapeake Financial Corp., North Lily Mining Co., and QuadraComm, Inc. - Rel. 34-53456; File No. 3-12234) JUDGMENT OF PERMANENT INJUNCTION AND OTHER RELIEF ENTERED AGAINST DEFENDANT KAUTILYA "TONY" SHARMA The Commission announced that on Feb. 9, 2006, the U.S. District Court for the Southern District of Florida entered a Judgment of Permanent Injunction and Other Relief against Defendant Kautilya (Tony) Sharma. The Judgment, entered with the consent of Sharma, without admitting or denying the allegations of the SEC's complaint, enjoins him from violations of Section 17(a) of the Securities Act of 1934, Sections 15(c)(1) and 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. In addition to injunctive relief, the Judgment provides for disgorgement, prejudgment interest and the imposition of a civil penalty in amounts to be reached by agreement of the parties and/or by the Court upon the SEC's motion. The SEC commenced this action by filing its complaint on June 4, 2004, against Sharma, among others. The complaint alleged that defendants engaged in pervasive market timing and late trading on behalf of their institutional clients. According to the complaint, the defendants defrauded mutual funds and their shareholders by engaging in a series of activities designed to circumvent the restrictions on market timing by those mutual funds and systematically engaged in late trading in those mutual funds. [SEC v. Geek Securities, Inc., Geek Advisors, Inc., Kautilya "Tony" Sharma, and Neal R. Wadhwa, Case No. 04-80525- CIV-PAINE/JOHNSON (SD Fla.)] (LR-19597) JUDGMENT OF PERMANENT INJUNCTION AND OTHER RELIEF ENTERED AGAINST DEFENDANTS CHARLES DOUGLAS YORK, VIATICAL CAPITAL, INC. AND LIFE INVESTMENT FUNDING ENTERPRISES, INC. The Commission announced that on Feb. 9, 2006, the Honorable Steven D. Merryday, United States District Judge for the Middle District of Florida entered a Final Judgment of Permanent Injunction and Other Relief against Defendants Charles Douglas York, Viatical Capital, Inc. and Life Investment Funding Enterprises (collectively, the defendants). The Final Judgment, entered with the consent of the defendants, enjoins them from violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities and Exchange Act of 1934 and Rule 10b-5 thereunder. The Final Judgment also bars defendant York from acting as an officer or director of a public company. Based on York's financial statement and other information submitted to the Commission, and his agreement to disgorge other specified assets, the Final Judgment does not order further disgorgement or civil penalty. Additionally, it dismisses the remaining monetary claims for disgorgement and civil penalties against Viatical Capital, Inc. and Life Investment Enterprises, Inc. [SEC v. Viatical Capital, Inc., et al., Civil Action No. 8:03-cv-01895-SDM- TGW] (LR-19598) JUDGMENT OF PERMANENT INJUNCTION AND OTHER RELIEF ENTERED AGAINST DEFENDANT JOHN M.R. JACOBS The Commission announced that on Jan. 9, 2006, the Honorable Adalberto Jordan of the U.S. District Court for the Southern District of Florida entered a Judgment of Permanent Injunction and Other Relief against Defendant John M.R. Jacobs. The Judgment, entered with consent of Jacobs, without admitting or denying the allegations of the SEC's complaint, enjoins him from violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, aiding and abetting in violation of Section 13(a) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder, violation of Sections 13(b)(2)(A), 13(b)(2)(B) and 13(b)(2) of the Exchange Act and Rule 13b2-2 thereunder. In addition to injunctive relief, the Judgment permanently bars Jacobs from acting as an officer or director of any issuer registered with the Commission pursuant to Section 12 of the Exchange Act. The Judgment also provides for disgorgement and civil penalty in amounts to be determined by the Court upon the SEC's motion. The SEC commenced this action by filing its complaint on Sept. 25, 2003, against Jacobs, among others, alleging they violated the federal securities laws. [SEC v. Eduardo A. Masferrer, Juan Carlos Bernace and John M.R. Jacobs, Civil Action No. 03-22524-CIV-Jorda/Brow (S.D. Fla.)] (LR-19599) COMMISSION CHARGES MICHAEL LIBERTY AND INVESTMENT ADVISERS WITH FRAUD INVOLVING PUBLIC PENSION FUNDS The Commission announced that on March 8 it filed a civil action in the U.S. District Court for the Eastern District of Pennsylvania against Michael A. Liberty, Kieran J. Dale, and Keystone V Partners, L.P. (Keystone Partners), Keystone Venture Management Holdings, Inc. (Keystone Holdings), Keystone V Management Co., Inc. (KVMC) (collectively, the Corporate Defendants), and John R. Regan and Peter E. Ligeti. The Commission's Complaint alleges that from 1997 through February 2002, Liberty, Dale and the Corporate Defendants engaged in a fraudulent scheme to misappropriate more than $9 million from Keystone Venture V, L.P. (Keystone V or the Fund), a Philadelphia-based private venture capital fund whose largest investors were public pension funds, including the City of Philadelphia Board of Pensions and Retirement, the Pennsylvania State Employees Retirement System, and the State of Connecticut Retirement Plans and Trust Funds. The funds were diverted to Liberty and others associated with him. Without admitting or denying the allegations of the complaint, each of the defendants except Liberty agreed to the settlements described below. The complaint alleges that Dale, a resident of Downingtown, Pennsylvania, and the Corporate Defendants, all of whom were investment advisers to Keystone V, and Liberty, of Gray, Maine, who was a representative of two limited partners, concealed the misappropriation of funds by creating false and misleading financial statements that reflected the funds as legitimate investments and that were then disseminated to existing and prospective limited partners of the Fund. The complaint further alleges that Regan, of Clarendon Hills, Illinois and Ligeti, of Princeton Junction, New Jersey, also investment advisers to Keystone V, discovered evidence of Dale's misconduct in 2000, but failed to disclose it to the limited partners of the Fund until late 2001. Furthermore, along with Dale and the Corporate Defendants, Regan and Ligeti entered into a settlement agreement with Liberty in or around March 2001 releasing Liberty from any liability to the Fund. Regan and Ligeti did not disclose the existence of this settlement agreement until February 2002. While failing to disclose this material information, Dale, Regan, Ligeti and the Corporate Defendants issued capital calls and continued to solicit and sell limited partnership interests. The complaint alleges that Dale and the Corporate Defendants violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940; that Liberty violated Section 17(a) of the Securities Act, and violated, or aided and abetted violations of, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and aided and abetted violations of Sections 206(1) and 206(2) of the Advisers Act; and that Regan and Ligeti violated Section 17(a)(2) of the Securities Act and Section 206(2) of the Advisers Act. The Complaint seeks permanent injunctions, disgorgement together with prejudgment interest, and civil penalties. Without admitting or denying the allegations of the complaint, all of the defendants except Liberty have consented to the entry of a final judgment permanently enjoining them from engaging in the violations set forth above. Dale will be ordered to pay disgorgement of $1,365,711, together with prejudgment interest, but payment will be waived, and a civil penalty will not be imposed, based on Dale's sworn financial statements submitted to the Commission. Regan and Ligeti will be ordered to pay disgorgement in the amount of $1.00 each, and a civil penalty of $50,000 each. The Commission's action against Liberty is continuing. Dale has also consented to a Commission Order, based on the entry of the permanent injunction, which bars him from association with any investment adviser. [SEC v. Michael A. Liberty, et al., Civil Action No. 06-cv-1030 (E.D. Pa.)] (LR-19601) COMMISSION SUES FORMER REGISTERED REPRESENTATIVE TO COLLECT DISGORGEMENT AND PENALTY OWED UNDER SEC ORDER The Commission announced on March 8 that it filed a complaint against former registered representative Delano N. Sta.Ana to collect disgorgement, prejudgment interest and a penalty previously ordered in a settled public Commission administrative and cease-and-desist proceeding against him. The complaint, filed pursuant to Section 21(e) of the Securities Exchange Act of 1934, Section 209(d) of the Investment Advisers Act of 1940, and Section 42(d) of the Investment Company Act of 1940, seeks a federal court order compelling Sta.Ana to pay the remaining $150,000 in disgorgement, prejudgment interest and penalty owed by him under the Commission's Order. The complaint charges that Sta.Ana failed to comply with the terms of the Commission's Order imposing remedial sanctions issued In the Matter of Lawrence S. Powell and Delano N. Sta.Ana, Administrative Proceeding File No. 3-11794 issued on Jan. 11, 2005. [SEC v. Delano N. Sta.Ana, Case No. 06-80202-CIV-Middlebrooks, S.D. Fla.] (LR-19602) COURT ORDERS DEFENDANTS TO PAY OVER $5 MILLION IN DISGORGEMENT AND CIVIL PENALTIES FOR FRAUDULENT STOCK OFFERING On Feb. 22, 2006, the Honorable Jose E. Martinez, U.S. District Judge for the Southern District of Florida, issued a Final Judgment as to Defendants Michael Kordich and Venture Capital Holdings LLC (VCH) in Securities and Exchange Commission v. Opsis Technologies Int'l, Inc., et al., Case No. 03-62251-Civ.-Martinez/Bandstra. The Commission's complaint alleges that Kordich and VCH spearheaded a fraudulent offering of the securities of Opsis Technologies International, Inc. that caused over 100 investors to lose nearly $4.6 million. The Final Judgment requires Kordich and VCH to disgorge a total of $4,808,953, which includes the full amount of the proceeds raised from investors through the fraudulent offering and prejudgment interest on that amount. Kordich and VCH are jointly and severally liable for the full amount. The Court also imposed civil money penalties on both defendants. Kordich was ordered to pay a $110,000 penalty, and VCH was ordered to pay a $550,000 penalty. Both defendants had previously consented, without admitting or denying the allegations in the complaint, to the issuance of partial judgments imposing "penny stock" bars and permanent injunctions against future violations of Sections 5 and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), and Rule 10b-5 thereunder. In a related administrative proceeding commenced pursuant to Section 15(b) of the Exchange Act, the Commission previously issued an order, to which Kordich consented without admitting or denying the Commission's findings that barred Kordich on the basis of the federal court injunction, from association with any broker or dealer. In addition to Kordich and VCH, the Commission's complaint also charged defendants Opsis Technologies, M&T Consulting, Joseph Catapano and Aaron Andrzejewski with violating the federal securities laws as a result of their roles in the fraudulent offering of Opsis securities. The Court previously imposed a range of injunctive relief against those other defendants and ordered them to pay disgorgement as well as civil penalties. For additional information, see Litigation Release Nos. 18518 (Dec. 22, 2003); 19140 (March 17, 2005); and Rel. No 34-52272 (Aug. 16, 2005). [SEC v. Opsis Technologies Int'l, Inc., et al., Case No. 03- 62251-Civ.-Martinez/Bandstra] (LR-19603) COURT ADOPTS MAGISTRATE'S REPORT AND RECOMMENDATION IN FULL AND ENTERED FINAL JUDGMENT OF DISGORGEMENT AND CIVIL PENALTIES AGAINST VECTOR MEDICAL TECHNOLOGIES, INC. MICHAEL SALIT, JAMES FARNELL AND MICHAEL FARNELL The Commission announced that on Feb. 1, 2006, the Honorable Daniel T.K. Hurley, U.S. District Court for the Southern District of Florida, adopted the Magistrate's Report and Recommendation in full and entered Final Judgment of disgorgement and civil penalties against Vector Medical Technologies, Inc., Michael Salit, James Farnell and Michael Farnell. On December 20, 2005, Magistrate Judge Frank J. Lynch, Jr., conducted an evidentiary hearing, and thereafter filed his Report and Recommendation. By adopting the Magistrate's Report and Recommendation in full, the District Court entered a Final Judgment that ordered Vector Medical to pay $14,208,718 in disgorgement and prejudgment interest; Salit to pay a $486,000 civil penalty; James Farnell to pay $1,127,796 in disgorgement and prejudgment interest and a $100,000 civil penalty; and Michael Farnell to pay $715,320 in disgorgement and prejudgment interest, and a $100,000 civil penalty. [SEC v. Vector Medical Technologies, Inc., Michael H. Salit, James P. Farnell, Michael J. Farnell, David A. Zimmerman and Stanley B. Wasser, Civil Action No. 03-80858-CIV-HURLEY (S.D. Fla.)] (LR-19604) FINAL JUDGMENT ENTERED AGAINST CHIEF OPERATING OFFICER IN DURUS FRAUD ACTION On Feb. 28, 2006, the Honorable Stefan R. Underhill of the U.S. District Court for the District of Connecticut entered a final judgment by consent against J. Douglas Schmidt in connection with a civil enforcement action the Commission filed against Schmidt, Scott R. Sacane, Durus Capital Management, LLC, and Durus Capital Management (N.A.), LLC, on Oct. 12, 2005. The final judgment permanently enjoins Schmidt from violating various provisions of the federal securities laws and orders him to pay a total of $185,591 in disgorgement, prejudgment interest, and penalties. In related administrative proceedings, Schmidt consented to an Order issued by the Commission on Feb. 28, 2006, that bars him from association with any investment adviser, with the right to reapply after five years. The Commission's complaint in this matter charged the defendants for their involvement during 2002 and 2003 in fraudulent schemes concerning the purchase and sale of the common stock of two biotechnology companies: Esperion Therapeutics, Inc. and Aksys Ltd. The complaint alleged that the defendants manipulated the price of both Esperion and Aksys stock by making regular and substantial purchases of both stocks through the hedge funds that they managed and concealing these purchases by failing to file various forms and schedules with the Commission as required by the federal securities laws and making false filings with the Commission. The Commission's action remains pending against the other defendants. Without admitting or denying the allegations in the Commission's complaint, Schmidt consented to the entry of the judgment enjoining him from violating Sections 10(b), 13(d), 13(f), and 13(g) of the Securities Exchange Act of 1934 and Rules 10b-5, 13d-1, 13d-2, and 13f-1 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. The judgment further orders Schmidt to pay disgorgement of $110,000, representing profits gained as a result of the conduct alleged in the complaint, together with prejudgment interest thereon in the amount of $10,591, and a civil penalty of $65,000. In related criminal proceedings, the U.S. Attorney's Office for the District of Connecticut announced on March 6, 2006, that Schmidt was sentenced to one year of probation and a fine in the amount of $10,000 in connection with Schmidt's Oct.12, 2006 guilty plea to one count of aiding and abetting the filing of false SEC statements. [SEC v. Scott R. Sacane, et al., Civil Action No. 3:05cv1575-SRU, D. Conn.] (LR- 19605) INVESTMENT COMPANY ACT RELEASES MCG CAPITAL CORPORATION A notice has been issued giving interested persons until April 3, 2006, to request a hearing on an application filed by MCG Capital Corporation for an order to permit applicant to adopt equity-based employee compensation plans. (Rel. IC-27258 - March 8) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The American Stock Exchange filed a proposed rule change and Amendment Nos. 1 and 2 thereto (SR-Amex-2005-107) relating to amending Exchange delisting rules to conform to recent amendments to Commission rules regarding removal from listing and withdrawal from registration. Publication of the proposal is expected in the Federal Register during the week of March 6. (Rel. 34-53398) The Chicago Board Options Exchange filed a proposed rule change and Amendment Nos. 1 and 2 thereto (SR-CBOE-2005-87) relating to amending Exchange delisting rules to conform to recent amendments to Commission rules regarding removal from listing and withdrawal from registration. Publication of the proposal is expected in the Federal Register during the week of March 6. (Rel. 34-53399) The Chicago Stock Exchange filed a proposed rule change (SR-CHX-2006- 08) and Amendment No. 1 thereto relating to specialist participant fees and credits. Publication of the proposal is expected in the Federal Register during the week of March 13. (Rel. 34-53433) The Depository Trust Company filed a proposed rule change (SR-DTC- 2006-03) that would allow DTC to amend the criteria it uses to place participants on surveillance status. Publication of the proposal is expected in the Federal Register during the week of March 13. (Rel. 34-53435) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-CBOE-2006-20) filed by the Chicago Board Options Exchange relating to an extension of the dividend, merger, and short stock interest strategies fee cap pilot program has become effective immediately under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of March 6. (Rel. 34-53412) A proposed rule change (SR-PCX-2006-06) filed by the Pacific Exchange relating to its fees and charges has become effective immediately under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of March 6. (Rel. 34-53413) A proposed rule change filed by the Chicago Board Options Exchange amending its Rule 8.4 to extend for an additional year a pilot program relating to RMM Multiple Aggregation Units (SR-CBOE-2006-25) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of March 6. (Rel. 34-53414) A proposed rule change (SR-Amex-2006-10) and Amendment No. 1 thereto filed by the American Stock Exchange relating to its fee cap program for certain options spread trades has become effective immediately under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of March 6. (Rel. 34-53415) A proposed rule change filed by the New York Stock Exchange (SR-NYSE- 2006-15) relating to technical amendments to the restated certificate of incorporation of NYSE Regulation, Inc. has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of March 13. (Rel. 34-53426) A proposed rule change (SR-CHX-2006-07) and Amendment No. 1 thereto filed with the Commission by the Chicago Stock Exchange relating to specialist participant fees and credits have become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of March 13. (Rel. 34-53429) A proposed rule change and Amendment No. 1 thereto (SR-BSE-2006-08) filed by the Boston Stock Exchange to authorize entry into regulatory services agreements has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of March 13. (Rel. 34-53436) A proposed rule change (SR-NYSE-2006-14) filed by the New York Stock Exchange relating to the establishment of a trading license fee for 2006 and the creation of certain other fees for trading license holders has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of March 6. (Rel. 34- 53443) APPROVAL OF PROPOSED RULE CHANGE A proposed rule change (SR-ISE-2005-50) and Amendment No. 1 thereto filed by the International Securities Exchange to amend ISE Rule 803 to provide for a Back-Up Primary Market Maker has been granted approval under Section 19(b)(2) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of March 6. (Rel. 34-53419) WITHDRAWAL GRANTED An order has been issued granting the application of Tasty Baking Company to withdraw its common stock, $.50 par value, and common stock purchase rights from listing and registration on the New York Stock Exchange, effective at the opening of business on March 8, 2006. (Rel. 34-53434) 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 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-3 AMERICAN HONDA RECEIVABLES CORP, 700 VAN NESS AVENUE, C/O AMERICAN HONDA RECIEVABLES CORP, TORRANCE, CA, 90501, 3107814318 - 15,000,000,000 ($15,000,000,000.00) Asset-Backed Securities, (File 333-132264 - Mar. 8) (BR. 05) S-11 DiamondRock Hospitality Co, 6903 ROCKLEDGE DRIVE, SUITE 800, BETHESDA, MD, 20817, 240-744-1150 - 0 ($215,740,000.00) Equity, (File 333-132266 - Mar. 8) (BR. 08B) F-1 Saifun Semiconductors Ltd., 45 HAMELACHA STREET, SAPPIR INDUSTRIAL PARK, NETANYA, L3, 42504, 01197298928444 - 0 ($150,000,000.00) Equity, (File 333-132267 - Mar. 8) (BR. 10) S-8 INTERNATIONAL FOOD PRODUCTS GROUP INC, 180 NEWPORT CENTER DRIVE, SUITE 180, NEWPORT BEACH, CA, 92660, 9497208470 - 12,000,000 ($999,600.00) Equity, (File 333-132268 - Mar. 8) (BR. 02B) S-8 RAVEN MOON ENTERTAINMENT INC, 120 INTERNATIONAL PARKWAY, SUITE 220, HEATHROW, FL, 32746, 600,000,000 ($420,000.00) Equity, (File 333-132271 - Mar. 8) (BR. 05C) S-8 WALGREEN CO, 200 WILMOT RD, DEERFIELD, IL, 60015, 8479402500 - 9,000,000 ($261,233,304.00) Equity, (File 333-132272 - Mar. 8) (BR. 01C) S-3 NYER MEDICAL GROUP INC, 1292 HAMMOND ST, BANGOR, ME, 04401, 207-942-5273 - 150,000 ($399,000.00) Equity, (File 333-132273 - Mar. 8) (BR. 09B) SB-2 ENERGAS RESOURCES INC, 800 NE 63RD STREET, THIRD FLOOR, OKLAHOMA CITY, OK, 73105, 4058791752 - 3,206,578 ($1,667,420.00) Equity, (File 333-132276 - Mar. 8) (BR. 04B) S-3 FIRST NLC SECURITIZATION, INC., 1001 NINETEENTH STREET NORTH, ARLINGTON, VA, 22209, (703) 312-1880 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-132277 - Mar. 8) (BR. 05) S-8 SUB SURFACE WASTE MANAGEMENT OF DELAWARE INC, 5922-B FARNSWORTH COURT, CARLSBAD, CA, 92008, 760-918-1860 - 10,000,000 ($700,000.00) Equity, (File 333-132278 - Mar. 8) (BR. 06B) S-8 RELIANT HOME WARRANTY CORP, SUITE 700, 200 YORKLAND BLVD, TORONTO, A6, M2J 5C1, 416-445-9500 - 8,000,000 ($1,440,000.00) Equity, (File 333-132279 - Mar. 8) (BR. 09A) S-8 NU HORIZONS ELECTRONICS CORP, 70 MAXESS RD, MELVILLE, NY, 11747, 5163965000 - 200,000 ($1,724,000.00) Equity, (File 333-132281 - Mar. 8) (BR. 10B) S-1 SUMMIT BANK CORP, 4360 CHAMBLEE-DUNWOODY RD, ATLANTA, GA, 30341, 7704540400 - 0 ($23,000,000.00) Equity, (File 333-132282 - Mar. 8) (BR. 07C) S-8 RUDOLPH TECHNOLOGIES INC, PO BOX 1000, ONE RUDOLPH RD, FLANDERS, NJ, 07836, 9736911300 - 0 ($31,719,402.90) Equity, (File 333-132283 - Mar. 8) (BR. 10C) S-8 NYSE Group, Inc., 11 WALL STREET, NEW YORK, X1, 10005, (212) 656-2062 - 0 ($818,551,692.00) Equity, (File 333-132284 - Mar. 8) (BR. 07) S-1 ELEC COMMUNICATIONS CORP, 75 SOUTH BROADWAY, SUITE 302, WHITE PLAINS, NY, 10601, 914-682-0214 - 9,617,320 ($4,327,796.00) Other, (File 333-132285 - Mar. 8) (BR. 11C) S-3ASR AMGEN INC, ONE AMGEN CENTER DRIVE, THOUSAND OAKS, CA, 91320-1799, 805-447-1000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-132286 - Mar. 8) (BR. 01A) S-3 INERGY L P, TWO BRUSH CREEK, SUITE 200, KANSAS CITY, MO, 64112, 8168428181 - 0 ($1,000,000,000.00) Equity, (File 333-132287 - Mar. 8) (BR. 02C) 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 450 Fifth Street, N.W., Washington, D.C. 20549 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 2.02,9.01 03/07/06 4 KIDS ENTERTAINMENT INC NY 1.01,9.01 03/02/06 724 SOLUTIONS INC 8.01,9.01 03/06/06 ACCELLENT INC 2.02,9.01 03/08/06 ADAMS RESOURCES & ENERGY, INC. DE 4.02 09/30/05 ADVANCED MATERIALS GROUP INC NV 5.02 03/06/06 ADVENT SOFTWARE INC /DE/ DE 5.05,9.01 03/02/06 AEP INDUSTRIES INC DE 8.01,9.01 03/07/06 AFFORDABLE RESIDENTIAL COMMUNITIES IN MD 3.03,8.01,9.01 03/02/06 AGL RESOURCES INC GA 1.01,5.02,9.01 03/02/06 AKAMAI TECHNOLOGIES INC DE 1.01 03/03/06 ALABAMA POWER CO AL 8.01,9.01 03/08/06 ALBANY INTERNATIONAL CORP /DE/ DE 8.01,9.01 03/07/06 ALLIANCE SEMICONDUCTOR CORP /DE/ DE 5.02,5.03,7.01,9.01 03/02/06 ALLIANT TECHSYSTEMS INC DE 7.01,9.01 03/06/06 ALLIANT TECHSYSTEMS INC DE 7.01,8.01,9.01 03/06/06 AMEND ALLSCRIPTS HEALTHCARE SOLUTIONS INC DE 2.01,3.02,5.02,9.01 03/02/06 ALMOST FAMILY INC DE 2.02,9.01 12/31/05 Alternative Loan Trust 2006-4CB 9.01 02/27/06 AMERIANA BANCORP IN 8.01 03/03/06 AMERIANA BANCORP IN 8.01,9.01 03/08/06 AMERICA FIRST APARTMENT INVESTORS INC MD 8.01 03/06/06 American Caresource Holdings, Inc. DE 3.02,9.01 03/08/06 AMERICAN ITALIAN PASTA CO DE 1.01,3.02,9.01 03/03/06 AMERICAN OIL & GAS INC NV 4.01,9.01 03/06/06 AMERICAN PHYSICIANS CAPITAL INC MI 7.01,9.01 03/08/06 AMERICAN RIVER BANKSHARES CA 7.01,9.01 03/07/06 AMERICAN ROCK SALT CO LLC 1.01,2.03,7.01,9.01 03/07/06 AMERICAN SPECTRUM REALTY INC MD 4.01,9.01 03/02/06 AMERICAN VANGUARD CORP DE 2.02,9.01 03/07/06 AMERICHIP INTERNATIONAL INC 8.01,9.01 02/27/06 AmeriCredit Automobile Receivables Tr DE 1.01,9.01 03/02/06 ANSYS INC DE 1.01,9.01 03/02/06 ANZA CAPITAL INC NV 1.01,2.01,5.01,5.02 03/03/06 ARTFEST INTERNATIONAL INC 5.02 03/02/06 ASHFORD HOSPITALITY TRUST INC MD 2.02,9.01 03/08/06 ASV INC /MN/ MN 2.02,9.01 03/08/06 ATWOOD OCEANICS INC TX 7.01 03/08/06 AVANT IMMUNOTHERAPEUTICS INC DE 2.02,9.01 03/08/06 AVAYA INC DE 7.01 03/08/06 AVID TECHNOLOGY INC DE 1.01,5.02 03/06/06 AXM PHARMA INC 3.01 03/08/06 BANCSHARES OF FLORIDA INC FL 1.01,8.01,9.01 03/07/06 BANCWEST CORP/HI DE 2.03 03/03/06 BankFinancial CORP 1.01,9.01 03/03/06 BASIC ENERGY SERVICES INC 1.01 03/02/06 BIDVILLE INC NV 5.02 03/01/06 BIG CAT MINING CORP 1.02,9.01 03/01/06 BISYS GROUP INC DE 1.01,2.01,9.01 03/03/06 BlackRock Kelso Capital CORP DE 7.01 03/08/06 BOSTON BEER CO INC MA 2.02,9.01 03/07/06 BOSTON FINANCIAL QUALIFIED HOUSING TA DE 8.01,9.01 03/08/06 BOSTON SCIENTIFIC CORP DE 8.01 03/08/06 BRISTOL WEST HOLDINGS INC 5.02 03/08/06 BROWN SHOE CO INC NY 1.01,5.02,5.03,8.01 03/08/06 C&D TECHNOLOGIES INC DE 1.02 03/02/06 C-BASS MORTGAGE LOAN ASSET-BACKED CER DE 8.01,9.01 03/25/04 AMEND C-BASS MORTGAGE LOAN ASSET-BACKED CER DE 8.01,9.01 03/25/04 AMEND C-BASS MORTGAGE LOAN ASSET-BACKED CER DE 8.01,9.01 03/25/04 AMEND C-BASS MORTGAGE LOAN ASSET-BACKED CER DE 8.01,9.01 03/25/04 AMEND CANARGO ENERGY CORP DE 1.01,2.03,3.02,7.01,9.01 03/03/06 CAPITAL SENIOR LIVING CORP DE 2.02,9.01 03/07/06 CAPITAL SENIOR LIVING CORP DE 7.01,9.01 03/08/06 CAPITALSOURCE INC DE 2.02,8.01,9.01 03/08/06 CAPITALSOURCE INC DE 8.01 03/08/06 CARRAMERICA REALTY CORP MD 1.01,9.01 03/05/06 CARROLLTON BANCORP MD 1.02 03/08/06 CARTOON ACQUISITION, INC. DE 8.01 03/06/06 CASEYS GENERAL STORES INC IA 2.02,9.01 03/08/06 CEDAR SHOPPING CENTERS INC MD 9.01 12/22/05 CEDAR SHOPPING CENTERS INC MD 2.02,7.01,9.01 03/08/06 Centerplate, Inc. DE 2.02,9.01 03/08/06 CENTERPOINT ENERGY INC 7.01,9.01 03/08/06 CENTRAL GARDEN & PET CO DE 1.01,9.01 03/03/06 CEPHEID CA 1.01,8.01,9.01 03/07/06 CepTor CORP 1.01,9.01 03/08/06 CHARLES & COLVARD LTD NC 1.01,9.01 03/02/06 CHECKERS DRIVE IN RESTAURANTS INC /DE DE 8.01 03/03/06 CHECKPOINT SYSTEMS INC PA 2.01,9.01 01/29/06 AMEND CHESAPEAKE ENERGY CORP OK 8.01,9.01 03/06/06 CHILDRENS PLACE RETAIL STORES INC 5.02,8.01,9.01 03/08/06 CHINA EXPERT TECHNOLOGY, INC. NV 1.01,9.01 03/02/06 CHL Mortgage-Pass Through Trust 2006- 9.01 02/28/06 CHUBB CORP NJ 1.01,9.01 03/02/06 CITIBANK CREDIT CARD MASTER TRUST I DE 8.01,9.01 03/07/06 CITIBANK CREDIT CARD MASTER TRUST I DE 8.01,9.01 03/07/06 CLINICAL DATA INC DE 9.01 12/20/05 AMEND CNA FINANCIAL CORP DE 4.02,9.01 03/06/06 CNB Financial Corp. MA 2.02 03/08/06 COEUR D ALENE MINES CORP ID 2.02,9.01 03/07/06 COLDWATER CREEK INC DE 2.02,9.01 03/08/06 COMMSCOPE INC DE 7.01 03/08/06 COMMUNITY BANKS INC /PA/ PA 5.03,9.01 03/03/06 COMPUTER TASK GROUP INC NY 2.02,9.01 03/08/06 Comstock Homebuilding Companies, Inc. DE 2.02,9.01 03/08/06 COMTECH TELECOMMUNICATIONS CORP /DE/ DE 2.02,9.01 03/08/06 CONEXANT SYSTEMS INC DE 1.01,2.03,3.02,9.01 03/02/06 CONTINENTAL AIRLINES INC /DE/ DE 7.01,9.01 03/08/06 COOPER COMPANIES INC DE 1.01,9.01 03/07/06 COPART INC CA 2.02,9.01 03/07/06 CORCEPT THERAPEUTICS INC 1.01,2.02,9.01 03/02/06 CORUS BANKSHARES INC MN 7.01,9.01 03/08/06 COTHERIX INC 2.02,9.01 03/08/06 COVAD COMMUNICATIONS GROUP INC DE 1.01,9.01 03/03/06 CUTTER & BUCK INC WA 1.01,5.02,5.03,7.01,9.01 03/07/06 CYTRX CORP DE 3.02 03/07/06 DaimlerChrysler Auto Trust 2006-A 8.01,9.01 03/07/06 DCP Midstream Partners, LP DE 7.01 03/08/06 DEAN FOODS CO/ DE 1.01 03/03/06 DECODE GENETICS INC DE 2.02,9.01 03/06/06 DELTA PETROLEUM CORP/CO CO 2.02,9.01 03/07/06 DEVCON INTERNATIONAL CORP FL 1.01,2.01,7.01,9.01 03/06/06 DIEBOLD INC OH 1.01,2.03,9.01 03/02/06 DIGITAL ANGEL CORP DE 2.02,9.01 03/08/06 DOT HILL SYSTEMS CORP NY 1.01,9.01 03/02/06 DOWNEY FINANCIAL CORP DE 1.01,5.02,9.01 03/08/06 DYNAMIC LEISURE CORP MN 1.01,2.01,3.02,9.01 03/06/06 DYNEGY INC /IL/ IL 2.02,9.01 03/08/06 Eagle Bulk Shipping Inc. 2.02 03/06/06 EASY GARDENER PRODUCTS LTD 8.01,9.01 03/08/06 EDWARDS LIFESCIENCES CORP DE 2.02,9.01 03/08/06 ELDERWATCH INC 4.01 11/10/05 AMEND EMC INSURANCE GROUP INC IA 1.01 03/06/06 EMCOR GROUP INC DE 1.01 03/07/06 ENCYSIVE PHARMACEUTICALS INC DE 1.01 03/02/06 ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 03/07/06 Energy Transfer Partners, L.P. DE 7.01,9.01 03/08/06 ENGELHARD CORP DE 8.01,9.01 03/07/06 Enterprise GP Holdings L.P. DE 7.01,9.01 03/08/06 ENTERPRISE PRODUCTS PARTNERS L P DE 7.01,9.01 03/08/06 ENXNET INC OK 7.01,9.01 03/07/06 EQUITY LIFESTYLE PROPERTIES INC MD 8.01 03/07/06 ESSENTIAL INNOVATIONS TECHNOLOGY CORP NV 1.01,2.03,3.02 03/02/06 ESSEX PROPERTY TRUST INC MD 7.01 03/07/06 Eternal Energy Corp. 1.01,3.02,9.01 03/02/06 EXECUTE SPORTS INC NV 1.01,9.01 03/08/06 FINLAY ENTERPRISES INC /DE DE 1.01,9.01 03/06/06 FINLAY FINE JEWELRY CORP DE 1.01,9.01 03/06/06 FIRST PLACE FINANCIAL CORP /DE/ DE 7.01,9.01 03/08/06 FISHER SCIENTIFIC INTERNATIONAL INC DE 2.02,7.01,9.01 03/08/06 FLYI INC DE 7.01 02/15/06 FOOTSTAR INC DE 1.01 02/14/06 FOREST OIL CORP NY 2.01,7.01,9.01 03/02/06 FOSTER L B CO PA 1.01,9.01 03/03/06 FUELCELL ENERGY INC DE 2.02,9.01 03/06/06 FUSION TELECOMMUNICATIONS INTERNATION 8.01,9.01 03/07/06 GANDER MOUNTAIN CO MN 1.01,2.02,9.01 03/03/06 GEMSTAR TV GUIDE INTERNATIONAL INC DE 2.02,9.01 12/31/05 GENWORTH FINANCIAL INC DE 8.01,9.01 03/08/06 GLOBAL POWER EQUIPMENT GROUP INC/ DE 1.01,4.02,5.02,9.01 03/06/06 GLOBALSANTAFE CORP 1.01,9.01 03/02/06 GOLDEN STAR RESOURCES LTD 2.02,9.01 12/21/05 AMEND GOLDTECH MINING CORP NV 8.01 03/08/06 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 02/28/06 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 03/03/06 GREAT PEE DEE BANCORP INC DE 8.01,9.01 03/08/06 GREAT PLAINS ETHANOL LLC SD 1.01,1.02 03/01/06 GROEN BROTHERS AVIATION INC /UT/ UT 4.01,9.01 03/01/06 AMEND GSAMP Trust 2006-HE1 DE 8.01,9.01 02/17/06 GSE SYSTEMS INC DE 8.01 03/08/06 HANSEN NATURAL CORP DE 5.03,9.01 03/06/06 HAROLDS STORES INC OK 2.02,9.01 01/28/06 HAWAIIAN ELECTRIC INDUSTRIES INC HI 5.03,9.01 03/07/06 HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 1.01,2.03,3.02,9.01 03/02/06 HIGHLAND HOSPITALITY CORP MD 8.01 03/08/06 HOLLINGER INTERNATIONAL INC DE 1.01 03/02/06 HOLLY ENERGY PARTNERS LP DE 7.01,9.01 03/08/06 HOOPER HOLMES INC NY 5.02,9.01 03/04/06 HOST AMERICA CORP DE 7.01,9.01 03/08/06 HOTEL OUTSOURCE MANAGEMENT INTERNATIO DE 1.01 03/06/06 HOTEL OUTSOURCE MANAGEMENT INTERNATIO DE 3.02 03/06/06 Hughes Communications, Inc. DE 5.02 03/07/06 ICONIX BRAND GROUP, INC. DE 2.02,9.01 03/01/06 IDT CORP DE 2.02,9.01 03/08/06 IGATE CORP PA 5.02,9.01 03/07/06 ILINC COMMUNICATIONS INC DE 2.02,9.01 03/08/06 IMPART MEDIA GROUP INC NV 5.02,7.01,9.01 02/22/06 INDUS INTERNATIONAL INC DE 1.01 03/02/06 INFINITY ENERGY RESOURCES, INC 2.02,9.01 03/08/06 INFOSONICS CORP 2.02,9.01 03/08/06 Inland American Real Estate Trust, In MD 2.03,9.01 03/03/06 INNKEEPERS USA TRUST/FL MD 8.01,9.01 03/08/06 AMEND INNOVEX INC MN 1.01,5.02,9.01 03/02/06 INSPIRE PHARMACEUTICALS INC DE 1.01,9.01 03/02/06 INTEGRA LIFESCIENCES HOLDINGS CORP DE 2.01,9.01 03/08/06 INTER TEL INC AZ 5.02,9.01 03/06/06 INTERSTATE BAKERIES CORP/DE/ DE 8.01 03/07/06 INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 03/08/06 IRWIN FINANCIAL CORP IN 8.01,9.01 03/08/06 ISECURETRAC CORP DE 2.02,9.01 03/08/06 ISONICS CORP CA 2.02,9.01 03/07/06 ITT INDUSTRIES INC IN 7.01,9.01 03/08/06 JACOBS FINANCIAL GROUP, INC. DE 4.01 03/08/06 K TRON INTERNATIONAL INC NJ 2.01,9.01 03/03/06 K2 INC DE 2.02,9.01 03/08/06 KINDER MORGAN ENERGY PARTNERS L P DE 7.01 03/07/06 KINDER MORGAN INC KS 7.01 03/07/06 KINDER MORGAN MANAGEMENT LLC DE 7.01 03/07/06 KRISPY KREME DOUGHNUTS INC NC 1.01,5.02,9.01 03/06/06 KSW INC NY 1.01 03/06/06 KUHLMAN COMPANY, INC MN 1.01,3.02 03/03/06 KUSHI NATURAL FOODS CORP 4.02 03/08/06 KUSHI NATURAL FOODS CORP 1.01,2.01,7.01 01/18/06 AMEND LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 03/08/06 LEAR CORP DE 2.02,9.01 03/08/06 AMEND LEUCADIA NATIONAL CORP NY 8.01,9.01 03/08/06 LEVI STRAUSS & CO DE 2.02,7.01,8.01,9.01 03/07/06 LEVI STRAUSS & CO DE 8.01,9.01 03/08/06 LEXAR MEDIA INC CA 1.01,9.01 03/08/06 LIBERTY MEDIA CORP /DE/ DE 2.02 03/08/06 LIFETIME BRANDS, INC DE 1.01,9.01 03/08/06 LISKA BIOMETRY INC FL 5.02,9.01 03/07/06 LOEWS CORP DE 4.02 03/08/06 LONGVIEW FIBRE CO WA 7.01,9.01 03/08/06 LOUNSBERRY HOLDINGS I INC 4.01,9.01 02/15/06 LPATH INC NV 1.01,5.02,9.01 03/02/06 LUMENIS LTD 7.01,9.01 03/07/06 LUMERA CORP 2.02,7.01 03/08/06 LUNA TECHNOLOGIES INTERNATIONAL INC 5.02 03/02/06 MADISON GAS & ELECTRIC CO WI 2.02,9.01 03/08/06 MAGELLAN HEALTH SERVICES INC DE 2.02,4.02,9.01 03/06/06 MAINSTREET BANKSHARES INC VA 4.02,9.01 03/03/06 MAJESTIC STAR CASINO LLC IN 2.01,9.01 03/03/06 AMEND MARKEL CORP VA 1.01 03/02/06 MARTHA STEWART LIVING OMNIMEDIA INC DE 1.01,5.02 03/07/06 MARTIN MIDSTREAM PARTNERS LP DE 7.01,9.01 03/08/06 MARTIN MIDSTREAM PARTNERS LP DE 2.02,7.01,9.01 03/08/06 MATRIA HEALTHCARE INC DE 1.01,1.02,5.02,9.01 03/02/06 MCF CORP DE 2.03,3.02,9.01 03/07/06 MEADOW VALLEY CORP NV 2.02,4.02,9.01 03/08/06 MECHANICAL TECHNOLOGY INC NY 1.01,9.01 03/06/06 MEDICALCV INC MN 4.02 03/07/06 MEDICINES CO /DE DE 1.01,5.02 03/03/06 MEDSOLUTIONS INC TX 9.01 11/30/05 AMEND MERRILL LYNCH MORTGAGE INVESTORS INC DE 2.01,9.01 03/08/06 METROLOGIC INSTRUMENTS INC NJ 2.02,9.01 03/08/06 METROMEDIA INTERNATIONAL GROUP INC DE 7.01,8.01,9.01 03/06/06 MGE ENERGY INC WI 2.02,9.01 03/08/06 MICRON ENVIRO SYSTEMS INC NV 8.01 03/07/06 MIDAS INC DE 5.02 03/07/06 MIDCAROLINA FINANCIAL CORP NC 1.01 03/07/06 MILLENNIUM PHARMACEUTICALS INC DE 1.01 03/03/06 MONTANA ACQUISITION CORP DE 8.01 03/07/06 MortgageIT Holdings, Inc. MD 2.02,7.01,9.01 03/07/06 MOVENTIS CAPITAL, INC. DE 3.02,8.01 02/24/06 MRV COMMUNICATIONS INC DE 1.01 03/03/06 NASDAQ STOCK MARKET INC DE 8.01,9.01 03/08/06 NATIONAL BANKSHARES INC VA 8.01 03/08/06 NATIONAL RESEARCH CORP WI 1.01,9.01 03/03/06 NATURAL GAS SERVICES GROUP INC 1.01,7.01,9.01 03/02/06 NATURAL GAS SYSTEMS INC/NEW NV 1.01,2.03,3.02,9.01 03/08/06 NAVISTAR FINANCIAL CORP DE 1.01,9.01 10/31/05 NAVISTAR INTERNATIONAL CORP DE 2.03,3.03,8.01,9.01 10/31/05 NEKTAR THERAPEUTICS DE 1.01,1.02,9.01 01/19/06 AMEND NEOPROBE CORP DE 2.02,8.01,9.01 03/06/06 NEPHROS INC DE 1.01,5.02,8.01,9.01 02/28/06 NESTOR INC DE 1.01,8.01,9.01 03/08/06 NET2PHONE INC DE 9.01 03/08/06 NEUROBIOLOGICAL TECHNOLOGIES INC /CA/ DE 4.01,9.01 03/03/06 NEW HORIZONS WORLDWIDE INC DE 7.01 03/08/06 NEW MEXICO SOFTWARE, INC NV 8.01,9.01 03/08/06 NEW YORK MORTGAGE TRUST INC MD 2.02,7.01,9.01 03/06/06 AMEND NewMarket Technology Inc NV 1.01,5.02,9.01 02/22/06 NEWS CORP 8.01,9.01 03/08/06 NORTH VALLEY BANCORP CA 8.01,9.01 03/07/06 NORTH VALLEY BANCORP CA 5.02,9.01 03/08/06 NORTHERN STATES POWER CO MN 8.01 03/02/06 NOVELOS THERAPEUTICS, INC. DE 3.02,9.01 03/07/06 NT HOLDING CORP. DE 8.01 03/07/06 NYER MEDICAL GROUP INC FL 8.01 03/08/06 NYMAGIC INC NY 2.02,9.01 03/06/06 OCEAN WEST HOLDING CORP DE 8.01,9.01 03/01/06 OI CORP OK 5.02 03/07/06 OI CORP OK 1.01 03/02/06 ONEOK INC /NEW/ OK 2.02,9.01 03/08/06 ORMAT TECHNOLOGIES, INC. DE 2.02,9.01 03/08/06 OSCIENT PHARMACEUTICALS CORP MA 2.02,9.01 03/06/06 OSI PHARMACEUTICALS INC DE 2.02,9.01 03/07/06 PAC-WEST TELECOMM INC 5.02,9.01 03/07/06 PAC-WEST TELECOMM INC 2.02,9.01 03/08/06 PACIFIC CAPITAL BANCORP /CA/ CA 1.01,5.02,9.01 03/08/06 PANERA BREAD CO DE 7.01,9.01 03/08/06 PATIENT INFOSYSTEMS INC DE 5.02,7.01,8.01,9.01 01/25/06 AMEND Patient Safety Technologies, Inc DE 1.01,2.03,8.01,9.01 03/06/06 PAYCHEX INC DE 5.04 03/08/06 PEGASYSTEMS INC MA 2.02 03/07/06 PEOPLES LIBERATION INC DE 2.02,9.01 03/06/06 PIONEER NATURAL RESOURCES CO DE 2.02,7.01,9.01 03/08/06 PLAINS ALL AMERICAN PIPELINE LP DE 7.01 03/08/06 PLANETOUT INC DE 1.02,8.01,9.01 03/04/06 PLATO LEARNING INC DE 1.01,9.01 03/02/06 POLARIS INDUSTRIES INC/MN MN 7.01 03/08/06 PRB Gas Transportation, Inc. NV 8.01,9.01 03/03/06 PRB Gas Transportation, Inc. NV 8.01,9.01 03/03/06 PREMIERWEST BANCORP OR 7.01,9.01 03/08/06 PRINCIPAL LIFE INSURANCE CO IA 2.02 03/08/06 PRINCIPAL LIFE INSURANCE CO IA 9.01 03/03/06 PRINCIPAL LIFE INSURANCE CO IA 9.01 03/03/06 PRINCIPAL LIFE INSURANCE CO IA 9.01 03/03/06 PROLIANCE INTERNATIONAL, INC. DE 1.01 03/02/06 PRUDENTIAL FINANCIAL INC NJ 8.01 03/08/06 PXRE GROUP LTD 1.01 03/06/06 QUADRAMED CORP DE 8.01,9.01 03/07/06 QUANTA CAPITAL HOLDINGS LTD 2.02,9.01 03/02/06 QUANTA SERVICES INC DE 1.01 03/02/06 QUINTILES TRANSNATIONAL CORP NC 2.02,9.01 03/08/06 RAVEN INDUSTRIES INC SD 2.02,9.01 03/08/06 RCN CORP /DE/ DE 1.01,7.01,9.01 03/08/06 Ready Mix, Inc. NV 2.02,9.01 03/08/06 RED ROBIN GOURMET BURGERS INC DE 8.01,9.01 03/07/06 REUNION INDUSTRIES INC DE 2.01,5.02,9.01 03/08/06 RIVIERA HOLDINGS CORP NV 8.01,9.01 03/07/06 RIVIERA HOLDINGS CORP NV 2.02,9.01 03/08/06 Rockville Financial Inc. 8.01 03/02/06 RURAL CELLULAR CORP MN 1.01 03/02/06 SALEM COMMUNICATIONS CORP /DE/ DE 2.02,7.01,9.01 03/08/06 SALISBURY BANCORP INC CT 2.02,8.01,9.01 03/06/06 SAN HOLDINGS INC CO 1.01,1.02,3.02, 03/02/06 5.03,7.01,8.01,9.01 SAXON CAPITAL INC MD 7.01,9.01 03/08/06 SCHEID VINEYARDS INC DE 2.02,9.01 03/08/06 SCHICK TECHNOLOGIES INC DE 5.03,8.01,9.01 03/07/06 SCO GROUP INC DE 2.02,9.01 03/08/06 SEACOAST BANKING CORP OF FLORIDA FL 1.01,2.03,9.01 02/17/06 SEACOR HOLDINGS INC /NEW/ DE 1.01 03/02/06 Searchlight Minerals Corp. NV 7.01,9.01 03/07/06 SECURED DIVERSIFIED INVESTMENT LTD NV 3.02,5.01,5.02,5.03,9.01 12/14/05 SEROLOGICALS CORP DE 1.01,9.01 03/06/06 SHURGARD STORAGE CENTERS INC WA 1.01,8.01,9.01 03/06/06 SIERRA BANCORP CA 7.01 03/07/06 SILVER LEGACY CAPITAL CORP 1.01,9.01 03/02/06 SILVERLEAF RESORTS INC 1.01,7.01,9.01 03/02/06 SIRVA INC DE 2.02,9.01 03/08/06 SIX FLAGS INC DE 2.02,5.02 03/08/06 SKY FINANCIAL GROUP INC OH 1.01,5.02,9.01 03/06/06 SMITH & WESSON HOLDING CORP NV 2.02,9.01 03/08/06 SMURFIT STONE CONTAINER CORP DE 1.01 03/02/06 Somaxon Pharmaceuticals, Inc. DE 1.01,9.01 03/02/06 SONTRA MEDICAL CORP MN 1.01,3.02,8.01,9.01 03/08/06 SOTHEBYS HOLDINGS INC MI 2.02,9.01 03/07/06 SOURCECORP INC DE 1.01,3.03,8.01,9.01 03/07/06 SOUTHWEST GAS CORP CA 2.02 03/08/06 SOYODO GROUP HOLDINGS INC DE 4.02,9.01 03/08/06 SPORTSMANS GUIDE INC MN 2.02,9.01 03/07/06 STAAR SURGICAL CO DE 2.02 03/02/06 STANDARD MANAGEMENT CORP IN 8.01,9.01 03/08/06 STANDARD MOTOR PRODUCTS INC NY 1.01 03/08/06 STERLING FINANCIAL CORP /PA/ PA 1.01 03/02/06 STONEPATH GROUP INC DE 8.01 03/07/06 STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01 03/03/06 STRATS(SM) Trust For Goldman Sachs Ca 8.01 03/03/06 STRATS(SM) Trust For Morgan Stanley S 8.01 03/03/06 SUNOCO LOGISTICS PARTNERS LP DE 7.01,9.01 03/08/06 SUNRISE SENIOR LIVING INC DE 7.01 03/08/06 SUPERGEN INC DE 1.01 03/03/06 Swank, Inc. DE 1.01,9.01 03/07/06 SYSTEMAX INC DE 8.01 03/06/06 TAKE TWO INTERACTIVE SOFTWARE INC DE 2.02,9.01 03/07/06 TARGETED GENETICS CORP /WA/ WA 1.01 02/10/06 TECH DATA CORP FL 1.01,2.02,9.01 03/08/06 TEJON RANCH CO DE 2.02,8.01,9.01 03/08/06 TEREX CORP DE 8.01,9.01 03/07/06 TESSERA TECHNOLOGIES INC DE 2.01,9.01 10/31/05 AMEND TEXOLA ENERGY CORP NV 1.01 02/28/06 TIVO INC DE 2.02,9.01 03/08/06 TIVO INC DE 8.01 03/08/06 TJX COMPANIES INC /DE/ DE 1.01,8.01,9.01 03/07/06 TransMontaigne Partners L.P. DE 2.02,9.01 03/02/06 TREX CO INC DE 1.01,9.01 03/06/06 TRI-ISTHMUS GROUP, INC. DE 4.01,9.01 03/03/06 TRI-S SECURITY CORP GA 1.01,3.02,9.01 03/02/06 Trinsic, Inc. DE 2.05 03/08/06 U S GOLD CORP CO 7.01,9.01 03/07/06 UAP HOLDING CORP DE 1.01,9.01 03/06/06 UMPQUA HOLDINGS CORP OR 7.01,9.01 03/07/06 UNIFIRST CORP MA 1.01,9.01 03/07/06 UNITED RENTALS INC /DE DE 7.01 03/08/06 UNITED SECURITY BANCSHARES CA 8.01,9.01 03/07/06 UNITED WISCONSIN GRAIN PRODUCERS LLC WI 2.02,9.01 03/08/06 UTi WORLDWIDE INC 8.01,9.01 03/07/06 VASOMEDICAL INC DE 5.02 03/03/06 VECTREN CORP IN 5.03,9.01 03/01/06 Venoco, Inc. DE 1.01,1.02 03/02/06 VERITAS DGC INC DE 2.02,9.01 03/08/06 VILLAGEEDOCS INC CA 7.01,9.01 03/08/06 VISHAY INTERTECHNOLOGY INC DE 1.01 03/08/06 WABASH NATIONAL CORP /DE DE 1.01,9.01 03/02/06 WaMu Mortgage Pass-Through Certificat DE 9.01 03/07/06 Washington Mutual Mortgage Pass-Throu DE 9.01 03/07/06 Washington Mutual Mortgage Pass-Throu DE 9.01 02/27/06 Washington Mutual Mortgage Pass-Throu DE 9.01 03/07/06 WATCHGUARD TECHNOLOGIES INC DE 5.02 03/06/06 WEST PHARMACEUTICAL SERVICES INC PA 7.01,9.01 03/06/06 WESTERN PLAINS ENERGY LLC KS 7.01,9.01 03/08/06 WESTPAC SECURITISATION MGT PTY LTD SE 9.01 05/12/05 WILLIAMS CONTROLS INC DE 8.01,9.01 03/02/06 WIND RIVER SYSTEMS INC DE 2.02,9.01 03/08/06 WINNEBAGO INDUSTRIES INC IA 7.01,9.01 03/08/06 WJ COMMUNICATIONS INC DE 2.02,9.01 03/08/06 WYNN RESORTS LTD 8.01,9.01 03/05/06 WYNN RESORTS LTD 1.01 03/04/06 XCEL ENERGY INC MN 8.01 03/02/06