SEC NEWS DIGEST Issue 2006-248 December 27, 2006 RULES AND RELATED MATTERS SEC ISSUES PROPOSED RULE TO PROHIBIT FRAUD BY INVESTMENT ADVISERS TO CERTAIN POOLED INVESTMENT VEHICLES; ALSO PROPOSES REVISIONS TO CRITERIA FOR ACCREDITED INVESTORS IN CERTAIN PRIVATE INVESTMENT VEHICLES Today, the Commission issued a release proposing several new rules that are intended to provide additional protections to investors in hedge funds and other pooled investment vehicles. The Commission is proposing new rule 206(4)-8, an antifraud provision under the Investment Advisers Act of 1940. The proposed rule would make it a fraudulent, deceptive, or manipulative act, practice, or course of business for an investment adviser to a pooled investment vehicle to make false or misleading statements or to otherwise defraud investors or prospective investors in that pool. Proposed rule 206(4) 8 would apply to all investment advisers to pooled investment vehicles, regardless of whether the adviser is registered under the Advisers Act. Under the proposed rule, a pooled investment vehicle would include any investment company and any company that would be an investment company but for the exclusions in sections 3(c)(1) or 3(c)(7) of the Investment Company Act. The Commission is also proposing new rules 216 and 509 under the Securities Act of 1933, which would amend the private offering rules under that Act. The proposals would define a new category of accredited investor that would apply to offers and sales of securities issued by hedge funds and other private investment pools to natural persons. The proposed definition would include any natural person who (a) meets either the net worth test or income test specified in rule 501(a) or rule 215, as applicable, and (b) owns at least $2.5 million in investments, as defined in the proposed rules. Comments on these proposals should be received by the Commission by March 9, 2007. FOR FURTHER INFORMATION CONTACT: With respect to proposed rule 206(4)- 8, Daniel Kahl, Branch Chief, at 202-551-6787, and with respect to proposed rules 216 and 509, Tara R. Buckley, Senior Counsel, at 202- 551-6825, Division of Investment Management. (Rel. 33-8766; IA-2576; File No. S7-25-06) ENFORCEMENT PROCEEDINGS INITIAL DECISION AS TO AIC INTERNATIONAL, INC. AND MILLENNIUM SPORTS MANAGEMENT, INC. An Administrative Law Judge has issued an Initial Decision as to AIC International, Inc. (AIC), and Millennium Sports Management, Inc. (Millennium). AIC and Millennium failed to file annual or quarterly reports for any period after Feb. 28, 1998, and Sept. 30, 1999, respectively, while their securities were registered with the Securities and Exchange Commission. The Initial Decision concludes that both AIC and Millennium violated Section 13(a) of the Securities Exchange Act of 1934 and Rules 13a-1 and 13a-13 thereunder. It revokes the registrations of each class of the registered securities of AIC and Millennium, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Initial Decision Rel. No. 324; File No. 3-12408) INVESTMENT COMPANY ACT RELEASES PROSHARES TRUST, ET AL. A notice has been issued giving interested persons until Jan. 17, 2007, to request a hearing on an application filed by ProShares Trust, et al. for an order to amend an existing order that permits: (a) series of an open-end management investment company to issue shares of limited redeemability that would trade in the secondary market at negotiated prices; (b) dealers to sell shares of the series to purchasers in the secondary market unaccompanied by a prospectus, when prospectus delivery is not required by the Securities Act of 1933; and (c) affiliated persons of a 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 series described in the application for the prior order as well as certain new series to be offered using different equity securities indices. (Rel. IC-27609 - December 22) ZIEGLER EXCHANGE TRADED TRUST, ET AL. A notice has been issued giving interested persons until Jan. 17, 2007, to request a hearing on an application filed by Ziegler Exchange Traded Trust, et al. for an order to permit (a) series of registered open-end management investment companies, to issue shares that can be redeemed only in large aggregations, (b) secondary market transactions in shares of the series to occur at negotiated prices, (c) dealers to sell the series' shares to purchasers in the secondary market unaccompanied by a prospectus when prospectus delivery is not required by the Securities Act of 1933, and (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series. (Rel. IC-27610 - December 22) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES A proposed rule change (SR-NYSE-2006-61) and Amendment No. 1 thereto has been filed by the New York Stock Exchange to amend Rules 601, 607, 612 and 629 relating to single arbitrators for claims not exceeding $200,000. Publication is expected in the Federal Register during the week of December 25. (Rel. 34-54982) The Chicago Board Options Exchange filed a proposed rule change (SR- CBOE-2006-107) relating to a permit program for CBSX. Publication is expected in the Federal Register during the week of December 25. (Rel. 34-54987) The New York Stock Exchange filed a proposed rule change (SR-NYSE- 2006-75) and Amendment No. 1 thereto under Rule 19b-4 of the Securities Exchange Act of 1934 to list and trade four iSharesŪ GSŪ Commodity Indexed Trusts. Publication is expected in the Federal Register during the week of December 25. (Rel. 34-54992) The American Stock Exchange filed a proposed rule change and Amendment No. 1 thereto (SR-Amex-2006-77) to amend Rules 918 and 918-Ante regarding trading rotations, halts and suspensions. Publication is expected in the Federal Register during the week of December 25. (Rel. 34-54995) A proposed rule change was filed by New York Stock Exchange relating to NYSE Regulation, Inc. policies regarding exercise of power to fine NYSE Member Organizations and use of money collected as fines (SR- NYSE-2006-109). Publication is expected in the Federal Register during the week of December 25. (Rel. 34-55003) ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission granted accelerated approval of a proposed rule change (SR-Amex-2006-87) and Amendment Nos. 1 and 2 thereto submitted by the American Stock Exchange relating to the criteria for securities that underline options traded on the Exchange. Publication is expected in the Federal Register during the week of December 25. (Rel. 34-54983) The Commission granted accelerated approved to a proposed rule change (SR-Phlx-2006-34) as modified by Amendments No. 1, 2, and 3 thereto, submitted by the Philadelphia Stock Exchange relating to U.S. dollar- settled foreign currency options. Publication is expected in the Federal Register during the week of December 25. (Rel. 34-54989) The Commission granted accelerated approval to a proposed rule change (SR-NYSEArca-2006-32) submitted by the NYSE Arca to trade various iShares MSCI Index Funds pursuant to unlisted trading privileges. Publication is expected in the Federal Register during the week of December 25. (Rel. 34-55002) The Commission granted accelerated approval to a proposed rule change (SR-NYSEArca-2006-33) submitted by the NYSE Arca to trade iShares S&P Europe 350 Index Fund pursuant to unlisted trading privileges. Publication is expected in the Federal Register during the week of December 25. (Rel. 34-55004) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-NYSE-2006-113) filed by the New York Stock Exchange to extend the moratorium on the qualification and registration of new Registered Competitive Market Makers and new Competitive Traders, governed by Rules 107A and 110, respectively, for an additional six months 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. 34-54985) A proposed rule change (SR-NYSEArca-2006-77) filed by NYSE Arca to reflect the trading sessions and trading halt procedures for certain securities trading on NYSE Arca, LLC 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. 34-54997) A proposed rule change (SR-BSE-2006-47) and Amendment No. 1 thereto filed by the Boston Stock Exchange to eliminate fees on certain exchange traded funds and to establish fees on certain options on indexes 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. 34-55000) A proposed rule change (SR-CBOE-2006-35) filed by the Chicago Board Options Exchange to amend its trading rotation rules 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. 34-55001) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-NYSE-2006-98) and granted accelerated approval to Amendment No. 1 thereto submitted by the New York Stock Exchange regarding the amendment of NYSE Rule 300 relating to trading licenses and the deletion of NYSE Rule 300T. Publication is expected in the Federal Register during the week of December 25. (Rel. 34-54998) The Commission approved a proposed rule change (SR-NYSE-2006-30) and Amendments No. 1 amd 2 thereto filed by the New York Stock Exchange relating to the treasury share exception in NYSE Listed Company Manual Section 312.03, Section 312.04, Section 703.01(A), and Section 903.02. Publication is expected in the Federal Register during the week of December 25. (Rel. 34-54999) 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 SPACEDEV INC, 13855 STOWE DRIVE, PO BOX 2121, POWAY, CA, 92064, 8583752000 - 5,000,000 ($4,900,000.00) Equity, (File 333-139658 - Dec. 26) (BR. 05C) SB-2 Deerfield Resources, Ltd., 513 MARINERS WAY, COLLINGWOOD, A6, L9Y 5C7, 905-881-8920 - 2,000,000 ($80,000.00) Equity, (File 333-139660 - Dec. 26) (BR. ) S-8 Spectra Energy Corp., 5400 WESTHEIMER COURT, HOUSTON, TX, 77056, 704-382-8160 - 0 ($1,407,930,171.45) Other, (File 333-139661 - Dec. 26) (BR. 02A) S-3 WORLD HEART CORP, 7799 PARDEE LANE, OAKLAND, CA, 94621, 510-563-5000 - 0 ($16,521,688.00) Equity, (File 333-139662 - Dec. 26) (BR. 10C) S-3 SMART Modular Technologies (WWH), Inc., 4211 STARBOARD DRIVE, FREMONT, CA, 94538, 510-623-1231 - 14,375,000 ($176,525,000.00) Equity, (File 333-139663 - Dec. 26) (BR. 10) S-3 DYNAVAX TECHNOLOGIES CORP, 2929 SEVENTH STREET, SUITE 100, BERKELEY, CA, 94710, 5108485100 - 0 ($100,000,000.00) Equity, (File 333-139664 - Dec. 26) (BR. 01A) SB-2 eTwine Holdings, Inc, 366 NORTH BROADWAY, SUITE 41042, JERICHO, NY, 11753, (516)942-2030 - 4,660,630 ($2,330,315.00) Equity, (File 333-139665 - Dec. 26) (BR. 06) S-4 TRIMBLE NAVIGATION LTD /CA/, 935 STEWART DRIVE, SUNNYVALE, CA, 94085, 4084818000 - 0 ($179,645,585.00) Equity, (File 333-139666 - Dec. 26) (BR. 10C) S-8 ROCHESTER MEDICAL CORPORATION, ONE ROCHESTER MEDICAL DR, STEWARTVILLE, MN, 55976, 5075339600 - 0 ($11,685,000.00) Equity, (File 333-139667 - Dec. 26) (BR. 10C) F-6 BRAZILIAN PETROLEUM CORP, AVENIDA REPUBLICA DO CHILE 65, 55-21-534-4477 20035-900, RIO DE JANERIO RJ BR, D5, 00000, 600,000,000 ($30,000,000.00) Equity, (File 333-139668 - Dec. 26) (BR. 04B) F-6 BRAZILIAN PETROLEUM CORP, AVENIDA REPUBLICA DO CHILE 65, 55-21-534-4477 20035-900, RIO DE JANERIO RJ BR, D5, 00000, 600,000,000 ($30,000,000.00) Equity, (File 333-139669 - Dec. 26) (BR. 04B) S-8 G&K SERVICES INC, 6129125500 - 0 ($76,800,000.00) Equity, (File 333-139670 - Dec. 26) (BR. 11A) S-8 MICROFIELD GROUP INC, 1631 NW THURMAN, SUITE 310, PORTLAND, OR, 97209, 5034193580 - 0 ($11,546,521.00) Equity, (File 333-139671 - Dec. 26) (BR. 06A) S-8 L-1 IDENTITY SOLUTIONS, INC., 177 BROAD STREET, STAMFORD, CT, 06901, 203-504-1100 - 1,899,272 ($28,679,007.20) Equity, (File 333-139672 - Dec. 26) (BR. 03A) S-8 Pathogenics, Inc., 99 DERBY STREET, SUITE 200, HINGHAM, MA, 02043, 781-556-1090 - 999,999 ($99,999.90) Equity, (File 333-139673 - Dec. 26) (BR. 01) S-8 NETMANAGE INC, 10725 N DE ANZA BLVD, CUPERTINO, CA, 95014, 4089737171 - 375,575 ($1,928,577.56) Equity, (File 333-139674 - Dec. 26) (BR. 03B) S-8 BROOKE CORP, 205 F STREET 2ND FLOOR, PHILLIPSBURG, KS, 67661, 0 ($5,355,000.00) Equity, (File 333-139675 - Dec. 26) (BR. 01A) S-8 SUMMIT FINANCIAL SERVICES GROUP INC, 980 NORTH FEDERAL HIGHWAY, STE 310, BOCA RATON, FL, 33432, 5613382800 - 12,000,000 ($3,840,000.00) Equity, (File 333-139676 - Dec. 26) (BR. 06A) SB-2 Card Activation Technologies Inc, 33 WEST JACKSON BLVD., SUITE 1618, CHICAGO, IL, 60604-3749, 312-972-1662 - 44,431,613 ($11,107,903.00) Equity, (File 333-139677 - Dec. 26) (BR. ) S-8 DUCKWALL ALCO STORES INC, 401 COTTAGE STREET, ABILENE, KS, 67410-0129, 9132633350 - 120,000 ($4,359,600.00) Equity, (File 333-139678 - Dec. 26) (BR. 02A) S-1 CombiMatrix Corp, 6500 HARBOUR HEIGHTS PKWY #301, MUKILTEO, WA, 98275, 425-493-2300 - 0 ($52,365,810.00) Equity, (File 333-139679 - Dec. 26) (BR. ) S-3 NISSAN WHOLESALE RECEIVABLES CORP II, C/O NISSAN NORTH AMERICA, INC., 990 WEST 190TH STREET; MAILSTOP M8A, TORRANCE, CA, 90502, 3107198369 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-139682 - Dec. 26) (BR. 05D) 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 ------------------------------------------------------------------------------------------------------- ABLE ENERGY INC DE 4.02 12/19/06 ACHILLION PHARMACEUTICALS INC 1.01,5.02,9.01 12/19/06 Agfeed Industries, Inc NV 1.01,9.01 12/20/06 AIRSPAN NETWORKS INC WA 5.02,7.01,9.01 12/21/06 Aldabra Acquisition CORP DE 1.01,1.02,2.01,5.01,5.02, 12/26/06 5.03,5.06,9.01 ALLIANCE BANKSHARES CORP 8.01,9.01 12/14/06 Allis Chalmers Energy Inc. DE 5.02,7.01,9.01 12/19/06 AMERICAN SOIL TECHNOLOGIES INC NV 1.01,2.01,2.03,3.02 12/26/06 ASTA FUNDING INC DE 5.02,8.01 12/19/06 ATLANTIC COAST FEDERAL CORP X1 8.01,9.01 12/22/06 AVALON PHARMACEUTICALS INC 5.02 12/26/06 BANCTRUST FINANCIAL GROUP INC AL 2.03,5.02,9.01 12/20/06 Behringer Harvard Opportunity REIT I, MD 7.01,9.01 12/19/06 BEHRINGER HARVARD REIT I INC MD 7.01 12/20/06 Benjamin Franklin Bancorp, Inc. MA 1.01,9.01 12/19/06 BEST BUY CO INC MN 5.02,9.01 12/20/06 BINGO.COM LTD. 1A 5.05 12/21/06 BIOJECT MEDICAL TECHNOLOGIES INC OR 4.01 12/22/06 BITECH PHARMA, INC. 5.02,9.01 12/20/06 BRANDYWINE OPERATING PARTNERSHIP LP / DE 5.02,9.01 12/19/06 BRANDYWINE REALTY TRUST MD 5.02,9.01 12/19/06 CAL-BAY INTERNATIONAL INC NV 2.01 12/26/06 CAPITAL BANK CORP NC 8.01,9.01 12/26/06 CARDINAL HEALTH INC OH 7.01,8.01,9.01 12/26/06 CBCOM INC DE 1.01,2.01,5.02,9.01 12/20/06 CCI GROUP INC UT 8.01 12/20/06 CECO ENVIRONMENTAL CORP DE 1.01,9.01 12/21/06 CELEBRATE EXPRESS, INC. 5.02 12/26/06 Centale, Inc. NY 3.02,5.01,5.02 12/06/06 CenterStaging Corp. DE 1.01,2.03 12/22/06 CHAPEAU INC UT 7.01,9.01 12/22/06 Chardan North China Acquisition Corp DE 1.01,9.01 12/20/06 CHEESECAKE FACTORY INCORPORATED DE 8.01,9.01 12/20/06 CHINA SECURITY & SURVEILLANCE TECHNOL D8 2.01,9.01 12/19/06 CNET NETWORKS INC DE 5.02,8.01,9.01 12/20/06 Coley Pharmaceutical Group, Inc. DE 5.02 12/20/06 COLUMBIA LABORATORIES INC DE 1.01,1.02,2.03,3.02,9.01 12/21/06 COLUMBIA LABORATORIES INC DE 8.01,9.01 12/26/06 COMMUNITY FINANCIAL SHARES INC DE 1.01,5.02 12/20/06 COMPUTER SCIENCES CORP NV 7.01,9.01 12/21/06 CONCENTRA OPERATING CORP NV 8.01,9.01 12/26/06 Convergence Ethanol, Inc. 8.01 12/22/06 COUNTRYWIDE FINANCIAL CORP DE 5.02,9.01 12/22/06 CPAC INC NY 8.01,9.01 12/26/06 CRESTED CORP CO 8.01 12/20/06 CRITICAL THERAPEUTICS INC DE 5.02,8.01,9.01 12/19/06 CSK AUTO CORP DE 8.01 12/26/06 CURIS INC DE 5.02 12/20/06 DALRADA FINANCIAL CORP DE 5.02,9.01 12/22/06 DEAN FOODS CO DE 5.02,9.01 12/20/06 DEPOMED INC CA 1.01,8.01 12/18/06 DEXCOM INC 5.02 12/22/06 DIGITAL ANGEL CORP DE 7.01,9.01 12/19/06 DIGITAS INC DE 1.01,3.03,5.02,9.01 12/20/06 DITECH NETWORKS INC DE 3.01 12/19/06 DNB FINANCIAL CORP /PA/ PA 5.02 12/20/06 DPL INC OH 1.01,2.06,9.01 12/21/06 Duke Energy CORP DE 8.01 12/22/06 DUNE ENERGY INC DE 8.01,9.01 12/22/06 DURA AUTOMOTIVE SYSTEMS INC DE 1.01,5.02 12/20/06 DURECT CORP DE 1.01 12/20/06 EMAGIN CORP DE 5.02,9.01 12/19/06 Energy Transfer Equity, L.P. DE 1.01,9.01 12/19/06 EPICEPT CORP 1.01,9.01 12/20/06 EXCELSIOR LASALLE PROPERTY FUND INC 3.02 12/22/06 EXECUTE SPORTS INC NV 5.02,7.01,9.01 12/26/06 Federal Home Loan Bank of Chicago X1 2.03 12/20/06 Federal Home Loan Bank of Des Moines X1 2.03,9.01 12/20/06 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 12/20/06 Federal Home Loan Bank of Indianapoli X1 5.02 12/26/06 Federal Home Loan Bank of New York X1 2.03,9.01 12/21/06 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 12/20/06 Federal Home Loan Bank of San Francis X1 2.03 12/20/06 Federal Home Loan Bank of Seattle 2.03 12/26/06 Federal Home Loan Bank of Topeka 2.03 12/20/06 Fidelity National Financial, Inc. 5.02 12/22/06 FIFTH THIRD BANCORP OH 5.02,9.01 12/19/06 FIRST FINANCIAL BANCORP /OH/ OH 5.02 12/26/06 FIRST MARINER BANCORP MD 8.01,9.01 12/22/06 FRIEDMAN BILLINGS RAMSEY GROUP INC VA 8.01,9.01 12/20/06 Friendlyway CORP NV 5.02 12/20/06 FROZEN FOOD EXPRESS INDUSTRIES INC TX 1.01,8.01,9.01 12/22/06 GLIMCHER REALTY TRUST MD 1.01,9.01 12/22/06 Golf Galaxy, Inc. MN 8.01,9.01 12/22/06 GOODYEAR TIRE & RUBBER CO /OH/ OH 8.01,9.01 12/22/06 GREAT AMERICAN FAMILY PARKS INC NV 5.02 12/26/06 GREAT LAKES DREDGE & DOCK CORP DE 8.01,9.01 12/26/06 GREAT WEST GOLD, INC. WY 5.02,9.01 12/14/06 GRIFFON CORP DE 1.01,2.03,9.01 12/26/06 GS MORTGAGE SECURITIES CORP DE 8.01,9.01 12/07/06 GUESS INC DE 8.01 12/20/06 HARLAND JOHN H CO GA 8.01,9.01 12/26/06 HCC INSURANCE HOLDINGS INC/DE/ DE 4.02,9.01 12/19/06 HERITAGE BANKSHARES INC /VA VA 1.01,9.01 12/20/06 HINES REAL ESTATE INVESTMENT TRUST IN 2.01,9.01 11/21/06 AMEND HINES REAL ESTATE INVESTMENT TRUST IN 2.01,9.01 12/07/06 AMEND HINES REAL ESTATE INVESTMENT TRUST IN 9.01 11/21/06 AMEND HINES REAL ESTATE INVESTMENT TRUST IN 9.01 12/07/06 AMEND HOST AMERICA CORP DE 1.01,2.03,9.01 12/19/06 IDM PHARMA, INC. DE 8.01,9.01 12/26/06 IMERGENT INC DE 7.01 12/22/06 INNOVO GROUP INC DE 1.01,3.02,9.01 12/19/06 INSITE VISION INC DE 1.01,2.03,9.01 12/22/06 Integrated Healthcare Holdings Inc NV 1.01,9.01 12/22/06 INTEGRATED PHARMACEUTICALS INC 1.01 12/22/06 INTERNATIONAL SPEEDWAY CORP FL 7.01,8.01,9.01 12/21/06 IPARTY CORP DE 1.01,2.03,9.01 12/21/06 IRIDEX CORP DE 2.02,9.01 12/26/06 IRIS INTERNATIONAL INC DE 5.02,9.01 12/21/06 IRWIN FINANCIAL CORP IN 3.02,5.03,9.01 12/22/06 Israel Technology Acquisition Corp. DE 1.01,2.03,9.01 12/21/06 Ivivi Technologies, Inc. NJ 8.01 12/19/06 J P MORGAN ACCEPTANCE CORP I DE 8.01,9.01 12/26/06 J P MORGAN CHASE & CO DE 9.01 12/21/06 JACKSONVILLE BANCORP INC /FL/ FL 8.01 12/21/06 KENEXA CORP 2.01,9.01 11/13/06 AMEND KEY GOLD CORP NV 8.01,9.01 12/26/06 L-1 IDENTITY SOLUTIONS, INC. DE 9.01 09/11/06 AMEND LASALLE HOTEL PROPERTIES MD 5.02 12/20/06 LEMAITRE VASCULAR INC 5.02,9.01 12/22/06 LGL GROUP INC IN 5.02 12/19/06 LIONBRIDGE TECHNOLOGIES INC /DE/ DE 1.01,1.02 12/21/06 LSB CORP MA 5.02,9.01 12/22/06 MAD CATZ INTERACTIVE INC 5.02,9.01 12/21/06 MAGNITUDE INFORMATION SYSTEMS INC DE 1.01,9.01 12/15/06 Malibu Minerals Inc. NV 5.02,9.01 12/18/06 MARCO COMMUNITY BANCORP INC FL 5.02 12/20/06 MAXIMUS INC VA 8.01,9.01 12/21/06 MDC PARTNERS INC A6 5.02,9.01 12/19/06 MEDIS TECHNOLOGIES LTD DE 8.01,9.01 12/26/06 MEMC ELECTRONIC MATERIALS INC DE 1.01,1.02 12/20/06 MID-STATE BANCSHARES CA 8.01,9.01 12/20/06 ML-CFC Commercial Mortgage Trust 2006 DE 1.01,9.01 12/12/06 MONSTER WORLDWIDE INC DE 5.02,9.01 12/21/06 MSGI SECURITY SOLUTIONS, INC NV 9.01 12/19/06 NARA BANCORP INC DE 5.02 12/20/06 National Investment Managers Inc. FL 1.01,3.02,9.01 12/21/06 NATIONAL MERCANTILE BANCORP CA 2.04,9.01 12/22/06 NEOMEDIA TECHNOLOGIES INC DE 5.02,9.01 12/20/06 NEW CENTURY COMPANIES INC DE 1.01,3.02,9.01 12/19/06 NEW CENTURY FINANCIAL CORP MD 1.01,9.01 12/19/06 NEW ULM TELECOM INC MN 1.01,5.02 12/19/06 NewGen Technologies, Inc NV 4.01,9.01 12/21/06 NEWS CORP 1.01,9.01 12/22/06 NORD RESOURCES CORP DE 1.01,8.01,9.01 12/20/06 NORTHERN ETHANOL, INC. DE 4.02 11/21/06 AMEND Novelis Inc. A6 5.02,9.01 12/19/06 ORTEC INTERNATIONAL INC DE 4.02 12/26/06 PANDA ETHANOL, INC. NV 4.01,9.01 12/19/06 PATCH INTERNATIONAL INC/CN NV 1.01,2.01,3.02,5.01,5.02,5.03, 12/15/06 8.01,9.01 PATH 1 NETWORK TECHNOLOGIES INC DE 1.01,9.01 12/20/06 PAVILION BANCORP INC 8.01,9.01 12/26/06 PIONEER COMPANIES INC DE 1.01,9.01 12/21/06 PLM EQUIPMENT GROWTH FUND V CA 2.01,9.01 12/22/06 PLM EQUIPMENT GROWTH FUND V CA 8.01 12/22/06 POWER INTEGRATIONS INC CA 5.02 12/21/06 PPG INDUSTRIES INC PA 5.04,9.01 12/26/06 PREMIER COMMUNITY BANKSHARES INC VA 5.02,9.01 12/19/06 ProLink Holdings Corp. DE 5.02,9.01 12/19/06 PROVIDENT NEW YORK BANCORP DE 5.02,5.03,9.01 12/19/06 PSB HOLDINGS INC /WI/ WI 5.02 12/19/06 QI SYSTEMS INC 2.03,3.02,5.02 12/26/06 RALI Series 2006-QS16 Trust DE 8.01,9.01 11/01/06 AMEND RALI Series 2006-QS17 Trust DE 8.01,9.01 12/26/06 RURBAN FINANCIAL CORP OH 8.01,9.01 12/21/06 SENSE HOLDINGS INC FL 5.02 12/26/06 SITEL CORP MN 1.01,2.03,9.01 12/20/06 SKY FINANCIAL GROUP INC OH 5.02 12/26/06 SOUTHWESTERN PUBLIC SERVICE CO NM 8.01 12/15/06 Star Maritime Acquisition Corp. DE 1.01,1.02,8.01,9.01 12/19/06 STERLING FINANCIAL CORP /WA/ WA 5.02,9.01 12/20/06 TC PIPELINES LP DE 1.01,9.01 12/22/06 TEL OFFSHORE TRUST TX 7.01,9.01 12/26/06 TELIK INC DE 8.01,9.01 12/26/06 TOMPKINS TRUSTCO INC NY 5.02,9.01 12/19/06 Transforma Acquisition Group Inc. DE 8.01,9.01 12/26/06 UNITED PAN AM FINANCIAL CORP CA 8.01 12/21/06 UNITED RENTALS INC /DE DE 1.01,8.01,9.01 12/22/06 UNITEDHEALTH GROUP INC MN 8.01 12/19/06 UNITY BANCORP INC /NJ/ NJ 8.01,9.01 12/22/06 US DRY CLEANING CORP DE 1.01,3.02,9.01 12/21/06 US ENERGY CORP WY 8.01 12/20/06 WGL ENTERTAINMENT HOLDINGS, INC. DE 1.01,3.02,9.01 12/12/06 XCEL ENERGY INC MN 8.01 12/15/06 YARRAMAN WINERY, INC. NV 8.01,9.01 12/21/06 ZIOPHARM ONCOLOGY INC 1.01,9.01 12/21/06 ZUNICOM INC TX 1.01,2.01,5.02,9.01 12/20/06