SEC NEWS DIGEST Issue 2007-19 January 30, 2007 ENFORCEMENT PROCEEDINGS IN THE MATTER OF ENERGY VISION INTERNATIONAL, INC. An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default (Default Order) in the matter of Energy Vision International, Inc. The Order Instituting Proceedings alleged that Respondent Energy Vision International, Inc., failed repeatedly to file required annual and quarterly reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of registered securities of Energy Vision International, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-55183; File No. 3-12504) FORMER SG COWEN MANAGING DIRECTOR AGREES TO A PERMANENT INJUNCTION AND PAYS $150,000 IN CIVIL PENALTIES TO SETTLE CHARGES OF INSIDER TRADING AND FRAUD IN CONNECTION WITH "PIPE" OFFERINGS On January 26, the Honorable Sandra L. Townes, U.S. District Court Judge for the Eastern District of New York, entered a final judgment against Guillaume Pollet (Pollet), a former managing director of SG Cowen & Co., LLC (SG Cowen). The final judgment orders Pollet to pay a civil penalty in the amount of $150,000. Previously, on Nov. 21, 2006, Judge Townes had entered a partial judgment permanently enjoining Pollet from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rule 10b-5. Pollet consented to the entry of the judgments without admitting or denying any of the allegations in the Commission's Complaint. In addition, Pollet consented to the issuance of a Dec. 12, 2006, Commission Order barring him from association with any broker or dealer. On April 21, 2005, the Commission filed its action against Pollet in the U.S. District Court for the Eastern District of New York. The Commission's complaint alleged that, during 2001, Pollet traded in the securities of ten public companies after receiving confidential non- public information that these entities were either engaged in, or were contemplating engaging in, "PIPE" financings. A "PIPE" is a private investment in public equity. Specifically, the complaint alleged that Pollet routinely sold short the publicly traded securities of the PIPE issuers prior to the close of the PIPE transaction in order to lock in gains for SG Cowen's proprietary account. The complaint further alleged that, in several instances, Pollet's short selling was directly contrary to specific representations in securities purchase agreements that no short selling would take place or had taken place, and that the PIPE shares were being purchased with investment intent. At the time Pollet made these representations on behalf of SG Cowen, he had already started to short sell the securities of these PIPE issuers. The staff acknowledges the assistance of the U.S. Attorney's Office for the Eastern District of New York and the Federal Bureau of Investigation in this matter. For further information, please see Litigation Release No. 19199 (April 21, 2005) and Release No. 34-54924, Admin. Proc. File No. 3- 12503 (Dec.12, 2006). [SEC v. Guillaume Pollet, USDC EDNY, No. 05-CV- 1937 (SLT) (JO) (E.D.N.Y.)] (LR-19984) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The American Stock Exchange proposes to establish a Passive Price Improvement order for Specialists and Registered Traders (SR-Amex-2007-08). Publication is expected in the Federal Register during the week of January 29. (Rel. 34-55179) The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2007-004) to amend NASD Rule 7010(k) relating to Transaction Reporting and Compliance Engine transaction data. Publication is expected in the Federal Register during the week of January 29. (Rel. 34-55180) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-NASD-2007-005) submitted by the National Association of Securities Dealers to operate the Alternative Display Facility on a permanent basis. Publication is expected in the Federal Register during the week of January 29. (Rel. 34-55181) 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 ACA Capital Holdings Inc, 140 BROADWAY, NEW YORK, NY, 10004, 212-375-2000 - 0 ($7,920.81) Equity, (File 333-140269 - Jan. 29) (BR. 07A) SB-2 OXFORD MEDIA, INC., ONE TECHNOLOGY DRIVE, BUILDING H, IRVINE, CA, 92618, (949) 341-0050 - 13,714,174 ($6,857,087.00) Equity, (File 333-140270 - Jan. 29) (BR. 11C) S-4 INDEVUS PHARMACEUTICALS INC, 33 HAYDEN AVENUE, LEXINGTON, MA, 02421, 6178618444 - 87,981,920 ($298,963,594.00) Equity, (File 333-140271 - Jan. 29) (BR. 01A) S-3ASR SUNPOWER CORP, 3939 NORTH FIRST STREET, SAN JOSE, CA, 95134, 408-240-5500 - 0 ($0.00) Other, (File 333-140272 - Jan. 29) (BR. 10C) S-3 FIRST NATIONAL FUNDING LLC, 0 ($1,000,000.00) Non-Convertible Debt, (File 333-140273 - Jan. 29) (BR. 05D) F-3ASR CGG VERITAS, TOUR MAINE MONTPARNASSE, 33 AVENUE DU MAINE - BP 191, PARIS, I0, 75015, 33164474500 - 0 ($0.00) Non-Convertible Debt, (File 333-140274 - Jan. 29) (BR. 04B) S-3ASR CGG VERITAS, TOUR MAINE MONTPARNASSE, 33 AVENUE DU MAINE - BP 191, PARIS, I0, 75015, 33164474500 - 0 ($0.00) Non-Convertible Debt, (File 333-140275 - Jan. 29) (BR. 04B) SB-2 WHITE DENTAL SUPPLY, INC., 11677 N. 91ST PLACE, SCOTTSDALE, AZ, 85260, 480-330-1922 - 3,000,000 ($150,000.00) Equity, (File 333-140276 - Jan. 29) (BR. 02) S-3 GREENWICH CAPITAL ACCEPTANCE INC, C/O NORWEST BANK MINNESOTA NA, 11000 BROKEN LAND PARKWAY, COLUMBIA, MD, 21044, 2036222700 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-140279 - Jan. 29) (BR. 05D) S-8 ACACIA RESEARCH CORP, 500 NEWPORT CENTER DRIVE, 7TH FLOOR, NEWPORT BEACH, CA, 92660, 9494808300 - 1,100,000 ($7,208,500.00) Equity, (File 333-140280 - Jan. 29) (BR. 10A) S-8 ISOTIS INC, 2 GOODYEAR, IRVINE, CA, 92618, 9495958710 - 0 ($2,598,000.00) Equity, (File 333-140281 - Jan. 29) (BR. 01) S-8 ENZON PHARMACEUTICALS INC, 685 ROUTE 202/206, BRIDGEWATER, NJ, 08807, 908 541 8671 - 0 ($8,720,000.00) Equity, (File 333-140282 - Jan. 29) (BR. 01A) SB-2 Across America Real Estate Exchange Inc, PO BOX 700, DENVER, CO, 80202, 303-893-1003 - 0 ($18,104.63) Equity, (File 333-140284 - Jan. 29) (BR. ) S-8 SLM CORP, 12061 BLUEMONT WAY, RESTON, VA, 20190, 7038103000 - 0 ($22,596,825.00) Equity, (File 333-140285 - Jan. 29) (BR. 11C) S-3 SUPER VISION INTERNATIONAL INC, 8210 PRESIDENTS DRIVE, ORLANDO, FL, 32809, 4078579900 - 7,636,017 ($27,107,860.35) Equity, (File 333-140286 - Jan. 29) (BR. 06B) S-4 MIDDLEFIELD BANC CORP, 15985 E HIGH ST, P O BOX 35, MIDDLEFILED, OH, 44062-9263, 4406321666 - 100,000 ($1,553,301.00) Equity, (File 333-140287 - Jan. 29) (BR. 07C) S-8 LoopNet, Inc., 185 BERRY STREET, SUITE 4000, SAN FRANCISCO, CA, 94107, (415) 243-4200 - 1,515,885 ($25,209,167.55) Equity, (File 333-140288 - Jan. 29) (BR. 08B) S-4 TIB FINANCIAL CORP., 599 9TH STREET NORTH, SUITE 101, NAPLES, FL, 34102-5624, 239-263-3344 - 0 ($8,508,499.00) Equity, (File 333-140289 - Jan. 29) (BR. 07C) S-3 PRICESMART INC, 9740 SCRANTON ROAD, SAN DIEGO, CA, 92121, 8584048800 - 0 ($257,142,924.00) Equity, (File 333-140290 - Jan. 29) (BR. 02B) S-3 STOCKERYALE INC, 32 HAMPSHIRE ROAD, SALEM, NH, 03079, 6038938778 - 5,680,311 ($8,463,664.00) Equity, (File 333-140291 - Jan. 29) (BR. 10C) S-8 EPIC CAPITAL GROUP, INC., 21 WATERWAY, SUITE 300, THE WOODLANDS, TX, 77380, 2813622730 - 0 ($16,860,000.00) Equity, (File 333-140292 - Jan. 29) (BR. 11B) S-8 ADVO INC, ONE TARGETING CENTRE, WINDSOR, CT, 06095-2639, 8602856100 - 1,500,000 ($49,065,000.00) Equity, (File 333-140293 - Jan. 29) (BR. 11C) S-1 ISOTIS INC, 2 GOODYEAR, IRVINE, CA, 92618, 9495958710 - 0 ($45,000,000.00) Equity, (File 333-140294 - Jan. 29) (BR. 01) SB-2 SILVER DRAGON RESOURCES, INC., 1121 STEELES AVENUE WEST, SUITE 803, TORONTO, A6, M2R 3W7, 416-661-4989 - 2,534,500 ($5,246,415.00) Equity, (File 333-140295 - Jan. 29) (BR. 04B) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE DATE COMMENT 5 G WIRELESS COMMUNICATIONS INC NV 8.01 01/04/07 ABM INDUSTRIES INC /DE/ DE 1.01,9.01 01/22/07 ACE Securities Corp. Home Equity Loan DE 9.01 01/29/07 Acquicor Technology Inc DE 8.01,9.01 01/29/07 ACTUATE CORP DE 2.02,9.01 01/29/07 ADC TELECOMMUNICATIONS INC MN 8.01 01/26/07 ADMAX RESOURCES INC. NV 8.01 01/29/07 Airbee Wireless, Inc. DE 8.01 01/26/07 ALABAMA POWER CO AL 5.03,9.01 01/26/07 ALGODYNE ETHANOL ENERGY CORP. NV 5.02 01/26/07 Alliance Holdings GP, L.P. DE 2.02,9.01 01/29/07 ALLIANCE RESOURCE PARTNERS LP DE 1.01 01/24/07 ALLIANCE RESOURCE PARTNERS LP DE 2.02,9.01 01/29/07 Allis Chalmers Energy Inc. DE 1.01,2.03,7.01,9.01 01/24/07 Allis Chalmers Energy Inc. DE 7.01,9.01 01/29/07 Allis Chalmers Energy Inc. DE 8.01,9.01 01/29/07 ALLOS THERAPEUTICS INC DE 5.02,9.01 01/29/07 AMEND Alphatec Holdings, Inc. DE 1.01,1.02 01/23/07 Alternative Loan Trust 2006-43CB 8.01,9.01 12/29/06 Alternative Loan Trust 2006-45T1 8.01,9.01 12/28/06 Alternative Loan Trust 2006-HY13 DE 8.01,9.01 12/29/06 Alternative Loan Trust 2006-OA19 8.01,9.01 11/30/06 ALTIGEN COMMUNICATIONS INC 5.02 01/23/07 ALTIRIS INC DE 1.01,2.02,9.01 01/29/07 AMB PROPERTY CORP MD 7.01 01/29/07 AMBIENT CORP /NY DE 2.02,9.01 01/24/07 AMCON DISTRIBUTING CO DE 2.02,9.01 12/31/06 AMERICA SERVICE GROUP INC /DE DE 8.01,9.01 01/29/07 AMERICAN AIRLINES INC DE 8.01 01/26/07 AMERICAN BANCORP OF NEW JERSEY INC NJ 2.02,9.01 01/26/07 AMERICAN BANK INC PA 2.02,9.01 01/26/07 AMR CORP DE 8.01 01/26/07 ANAREN INC NY 2.02,4.02,9.01 01/22/07 ANGIODYNAMICS INC DE 2.01,5.02,9.01 01/29/07 APPLIED MATERIALS INC /DE DC 1.01,1.02,2.03,5.02 01/23/07 ARCADIA RESOURCES, INC NV 7.01,9.01 01/29/07 ARI NETWORK SERVICES INC /WI WI 1.01,2.01,3.02,7.01,9.01 01/26/07 ARKANSAS BEST CORP /DE/ DE 5.02 01/23/07 ASI TECHNOLOGY CORP NV 1.01,3.02,9.01 01/26/07 ASIA 4 SALE COM INC NV 5.03,9.01 01/22/07 Asia Electrical Power International G NV 9.01 12/31/06 AMEND ASSOCIATED BANC-CORP WI 5.02 01/26/07 AT&T INC. DE 5.02 12/29/06 AMEND ATHEROS COMMUNICATIONS INC DE 2.02,9.01 01/29/07 ATS MEDICAL INC MN 2.02,9.01 01/25/07 AURA SYSTEMS INC DE 5.02 01/19/07 BALL CORP IN 5.02 01/23/07 BANDAG INC IA 8.01,9.01 01/29/07 BANK OF KENTUCKY FINANCIAL CORP KY 7.01,9.01 01/29/07 Bank of the Carolinas CORP NC 2.02,9.01 01/25/07 Baseline Oil & Gas Corp. NV 8.01,9.01 01/26/07 BASIC ENERGY SERVICES INC 5.02,9.01 01/23/07 BEACON POWER CORP DE 8.01 01/29/07 BERMAN CENTER, INC. DE 5.02 01/23/07 BETTER BIODIESEL, INC 5.02,9.01 01/24/07 BIOMARIN PHARMACEUTICAL INC DE 8.01,9.01 01/29/07 BJS WHOLESALE CLUB INC DE 5.02 01/29/07 BLACK GARDENIA CORP NV 5.02 01/26/07 BLUE COAT SYSTEMS INC DE 8.01,9.01 01/29/07 BLUE RIVER BANCSHARES INC IN 8.01,9.01 01/29/07 BOWATER INC DE 1.01,8.01,9.01 01/29/07 BROADCOM CORP CA 8.01,9.01 01/24/07 BRYN MAWR BANK CORP PA 2.02,7.01,9.01 01/26/07 AMEND BSML INC UT 5.02,9.01 01/23/07 BUFFETS HOLDINGS, INC. DE 2.02,9.01 01/29/07 BUTLER NATIONAL CORP DE 8.01,9.01 01/26/07 CACI INTERNATIONAL INC /DE/ DE 5.02 01/29/07 CALIFORNIA STEEL INDUSTRIES INC 2.02,9.01 01/29/07 CALYPSO FINANCIAL SERVICES INC DE 4.01,9.01 01/22/07 CAMCO FINANCIAL CORP DE 2.02,5.02,9.01 01/23/07 CANEUM INC NV 4.01 01/24/07 CAPITAL BANK CORP NC 8.01 01/25/07 CAPITAL GOLD CORP NV 3.02,9.01 01/23/07 CAPITAL MINERAL INVESTORS INC 5.02 12/31/06 CapitalSouth Bancorp DE 2.02,9.01 01/25/07 CAPRIUS INC DE 5.02 01/25/07 CARDINAL COMMUNICATIONS, INC NV 2.01,9.01 01/23/07 CARDINAL FINANCIAL CORP VA 2.02,8.01,9.01 01/24/07 CDW CORP IL 5.02 01/24/07 CELL THERAPEUTICS INC WA 8.01 01/17/07 CENTERSTATE BANKS OF FLORIDA INC FL 2.02,9.01 01/29/07 CENTRAL JERSEY BANCORP NJ 2.02,9.01 01/25/07 CEPHEID CA 1.01,5.02,9.01 01/24/07 Chase Mortgage Finance Trust Series 2 DE 8.01,9.01 01/29/07 CHINA NORTH EAST PETROLEUM HOLDINGS L NV 1.01,9.01 01/26/07 CIRTRAN CORP NV 5.02,9.01 01/29/07 CITADEL BROADCASTING CORP DE 7.01,9.01 01/29/07 CITIZENS FIRST CORP KY 2.01,9.01 01/26/07 AMEND CMALT (CitiMortgage Alternative Loan DE 9.01 01/29/07 CMALT (CitiMortgage Alternative Loan DE 9.01 01/29/07 CNET NETWORKS INC DE 2.02,7.01,9.01 01/29/06 COACH INC MD 2.02,9.01 01/23/07 CODORUS VALLEY BANCORP INC PA 5.02 01/23/07 COMERICA INC /NEW/ DE 7.01,9.01 01/29/07 COMPASS BANCSHARES INC DE 5.02,9.01 01/23/07 COMPETITIVE TECHNOLOGIES INC DE 1.01,8.01,9.01 01/24/07 CONVERGYS CORP OH 8.01 01/29/07 CONVERSION SERVICES INTERNATIONAL INC DE 3.01,9.01 01/29/07 COOPER COMPANIES INC DE 7.01 01/26/07 CORN PRODUCTS INTERNATIONAL INC DE 5.02,9.01 01/23/07 CRANE CO /DE/ DE 2.02,8.01,9.01 01/29/07 CRDENTIA CORP DE 1.01,3.02,9.01 01/29/07 CROWN CASTLE INTERNATIONAL CORP DE 1.01,2.03,9.01 01/26/07 CUMMINS INC IN 2.02,7.01,9.01 01/29/07 CURAGEN CORP DE 5.02,9.01 01/24/07 CYTYC CORP DE 5.02 01/23/07 DAWSON GEOPHYSICAL CO TX 1.01,7.01,9.01 01/23/07 DEER VALLEY CORP 2.02,9.01 01/24/07 DELCATH SYSTEMS INC DE 5.02,9.01 01/26/07 DELTIC TIMBER CORP DE 5.02,9.01 01/29/07 DESIGN WITHIN REACH INC DE 8.01,9.01 01/24/07 Diamond Foods Inc DE 7.01,9.01 01/29/07 DOMINION HOMES INC OH 1.01,9.01 01/26/07 DOUBLE EAGLE PETROLEUM CO MD 7.01,9.01 01/29/07 DOV PHARMACEUTICAL INC DE 1.01,2.04,3.03,8.01 01/24/07 DOV PHARMACEUTICAL INC DE 8.01,9.01 01/29/07 DREAMS INC UT 5.03,9.01 01/25/07 DURECT CORP DE 8.01,9.01 01/29/07 Eagle Hospitality Properties Trust, I MD 8.01,9.01 01/29/07 Eagle Rock Energy Partners, L.P. DE 8.01,9.01 01/26/07 EATON CORP OH 1.01 01/23/07 EDGE PETROLEUM CORP DE 1.01,8.01,9.01 01/24/07 EDUCATE INC DE 1.01,9.01 01/28/07 ELEPHANT TALK COMMUNICATIONS INC CA 4.01 01/29/07 ENBRIDGE ENERGY PARTNERS LP DE 2.02,9.01 12/31/06 ENERGEN CORP AL 5.02,9.01 01/25/07 Epic Bancorp 5.02 01/29/07 EPLUS INC DE 8.01 01/29/07 EQUITY OFFICE PROPERTIES TRUST MD 8.01,9.01 01/28/07 EUPA INTERNATIONAL CORP /NV/ NV 8.01,9.01 01/26/07 EVEREST RE GROUP LTD D0 2.02,9.01 12/31/06 Federal Home Loan Bank of New York X1 5.03,9.01 12/21/06 FEDERAL TRUST CORP FL 8.01,9.01 01/26/07 FIELDSTONE INVESTMENT CORP 7.01,9.01 01/29/07 FIELDSTONE INVESTMENT CORP 1.01,9.01 01/26/07 FIRST FINANCIAL HOLDINGS INC /DE/ DE 5.02,7.01,9.01 01/29/07 FIRST INDUSTRIAL REALTY TRUST INC MD 5.02 01/26/07 FIRST MERCHANTS CORP IN 8.01,9.01 01/29/07 FIRST NATIONAL COMMUNITY BANCORP INC PA 2.02,9.01 12/31/06 FIRST NORTHERN COMMUNITY BANCORP CA 8.01,9.01 01/26/07 FLUSHING FINANCIAL CORP DE 5.02,9.01 01/24/07 FNB CORP \VA\ VA 2.02,5.02,8.01,9.01 01/04/07 FNB CORP/FL/ FL 5.02 01/24/07 Fox Chase Bancorp Inc X1 5.02 01/23/07 FreightCar America, Inc. DE 5.02,9.01 01/29/07 FRESH IDEAS MEDIA INC NV 4.01,9.01 01/25/07 FULTON FINANCIAL CORP PA 7.01,8.01,9.01 01/29/07 FUSHI INTERNATIONAL INC NV 8.01,9.01 01/29/07 GAMETECH INTERNATIONAL INC DE 2.02,9.01 01/26/07 GEMINI EXPLORATIONS, INC. NV 5.03,9.01 01/29/07 GENELABS TECHNOLOGIES INC /CA CA 5.03,9.01 01/25/07 GENELINK INC 3.02 01/26/07 GENESIS CAPITAL CORP OF NEVADA NV 3.02,3.03 01/25/07 GENESIS HEALTHCARE CORP PA 1.01,9.01 01/25/07 GENESIS MICROCHIP INC /DE DE 2.02,9.01 01/29/07 GENTEX CORP MI 2.02,9.01 01/29/07 GETTY IMAGES INC DE 2.02,2.05,9.01 01/29/07 Global Developments Inc. DE 8.01 01/24/07 GLOBAL INNOVATIVE SYSTEMS INC NV 5.02 01/26/07 GMX RESOURCES INC OK 2.02,9.01 01/29/07 GRANDSOUTH BANCORPORATION SC 2.02,9.01 01/25/07 Granite Falls Energy, LLC MN 1.02,5.02 01/23/07 Granite Master Issuer plc X0 9.01 01/24/07 GREENE COUNTY BANCORP INC DE 2.02,9.01 01/26/07 GRYPHON GOLD CORP NV 7.01,9.01 01/29/07 GYMBOREE CORP DE 8.01,9.01 01/23/07 HARTMARX CORP/DE DE 2.02,9.01 01/29/07 HARTMARX CORP/DE DE 5.02,9.01 01/24/07 HCA INC/TN DE 2.02,7.01,9.01 01/29/07 HEARTLAND EXPRESS INC NV 8.01,9.01 12/31/06 HEARTLAND FINANCIAL USA INC DE 2.02,9.01 01/29/07 HINES HORTICULTURE INC DE 5.02 01/26/07 HOME SOLUTIONS OF AMERICA INC DE 2.02,7.01,9.01 01/29/07 HYTHIAM INC DE 1.01,9.01 01/11/07 AMEND IA GLOBAL INC DE 1.01,9.01 01/24/07 ICP Solar Technologies Inc. 5.02,9.01 01/29/07 IElement CORP NV 1.01,2.02,9.01 01/29/07 Ignis Petroleum Group, Inc. 1.01,9.01 01/22/07 IMERGENT INC DE 7.01 01/25/07 INCENTRA SOLUTIONS, INC. NV 5.02 01/26/07 INTEGRITY MUTUAL FUNDS INC ND 1.01,1.02,5.02,9.01 01/24/07 INTEGRITY MUTUAL FUNDS INC ND 1.01,1.02,5.02,9.01 01/24/07 International Stem Cell CORP 8.01,9.01 01/29/07 AMEND INTERSTATE HOTELS & RESORTS INC DE 1.01,2.01,5.02,9.01 01/26/07 Irish Mag, Inc. 4.01 01/25/07 Irish Mag, Inc. 5.02 01/29/07 IROBOT CORP DE 7.01,9.01 01/29/07 IRWIN FINANCIAL CORP IN 8.01,9.01 01/29/07 ISONICS CORP CA 3.03,8.01,9.01 01/26/07 JACOBS ENGINEERING GROUP INC /DE/ DE 5.02,5.03,8.01,9.01 01/25/07 JARDEN CORP DE 2.02,8.01,9.01 01/29/07 JDA SOFTWARE GROUP INC DE 2.02,9.01 01/29/07 JOHNSON CONTROLS INC WI 5.02,9.01 01/24/07 JPM CAPITAL TRUST I CERTIFICATES SERI DE 8.01,9.01 01/15/07 Juniper Partners Acquisition Corp. DE 8.01,9.01 01/29/07 KANSAS CITY SOUTHERN DE 8.01,9.01 01/29/07 KANSAS CITY SOUTHERN DE 8.01,9.01 01/25/07 KINDRED HEALTHCARE, INC DE 8.01,9.01 01/26/07 KOMAG INC /DE/ DE 5.02 01/23/07 KRAFT FOODS INC VA 5.02 01/29/07 KRONOS INC MA 2.02 01/29/07 L-1 IDENTITY SOLUTIONS, INC. DE 1.01,7.01,9.01 01/25/07 LANGER INC NY 1.01,2.01,3.02,5.02,8.01,9.01 01/23/07 LASALLE HOTEL PROPERTIES MD 7.01,9.01 12/19/06 LAUREATE EDUCATION, INC. MD 1.01,5.03,9.01 01/28/07 LEGG MASON INC MD 5.03,9.01 01/23/07 LENOX GROUP INC DE 5.02 01/24/07 LEXINGTON REALTY TRUST MD 1.01,2.03,3.02,9.01 01/23/07 LINCARE HOLDINGS INC DE 5.02 01/23/07 LITHIA MOTORS INC OR 7.01,9.01 01/29/07 LoopNet, Inc. CA 5.02 01/24/07 LSB INDUSTRIES INC DE 8.01,9.01 01/29/07 LUNA INNOVATIONS INC 1.01,9.01 01/23/07 LYONDELL CHEMICAL CO DE 1.01,9.01 01/24/07 MAF BANCORP INC DE 2.02,8.01 01/27/07 Magyar Bancorp, Inc. DE 2.02,9.01 01/26/07 Maidenform Brands, Inc. DE 1.01 01/23/07 MANGAPETS, INC. DE 1.01,9.01 01/29/07 MARKWEST HYDROCARBON INC DE 8.01,9.01 01/26/07 MARTEN TRANSPORT LTD DE 2.02,9.01 01/25/07 MASTR Alternative Loan Trust 2007-1 DE 8.01,9.01 01/29/07 MATTEL INC /DE/ DE 2.02,7.01,9.01 01/26/07 MCCLATCHY CO DE 5.02 01/26/07 MedAire, Inc. NV 4.01,9.01 01/29/07 MEDICINOVA INC DE 1.01,9.01 01/29/07 MEMORY PHARMACEUTICALS CORP 5.02 01/23/07 MERCANTILE BANK CORP MI 5.02,9.01 01/25/07 MICROS SYSTEMS INC MD 2.02 01/25/07 MID WISCONSIN FINANCIAL SERVICES INC WI 2.02,9.01 01/29/07 MID-STATE BANCSHARES CA 2.02,9.01 01/25/07 MILLS CORP DE 3.01 01/29/07 MODERN TECHNOLOGY CORP NV 7.01,9.01 11/30/06 MOLECULAR DEVICES CORP DE 1.01,3.03,9.01 01/28/07 MOOG INC NY 2.02,9.01 01/29/07 MOSAIC CO 2.02,9.01 01/29/07 MS STRUCTURED SATURNS SERIES 2001-3 DE 8.01,9.01 01/16/07 NATIONAL CITY AUTO RECEIVABLES TRUST 8.01,9.01 01/16/07 NATIONAL CITY CREDIT CARD MASTER TRUS 8.01,9.01 01/16/07 NATIONAL DENTEX CORP /MA/ MA 5.02,8.01,9.01 01/24/07 NB&T FINANCIAL GROUP INC OH 8.01 01/26/07 NBOG BANCORPORATION INC GA 1.01,7.01,9.01 01/23/07 NBTY INC DE 7.01,9.01 01/25/07 NCT GROUP INC DE 1.01,2.03,3.02 01/23/07 NEOMEDIA TECHNOLOGIES INC DE 1.01,3.02,9.01 01/23/07 NEPHROS INC DE 8.01,9.01 01/29/07 NETMANAGE INC DE 2.02 01/29/07 NEW MEXICO SOFTWARE, INC NV 9.01 01/26/07 NEW RIVER PHARMACEUTICALS INC VA 1.01,9.01 01/25/07 NEW YORK COMMUNITY BANCORP INC DE 7.01,9.01 01/29/07 NEWCASTLE INVESTMENT CORP MD 8.01,9.01 01/23/07 NEXTPHASE WIRELESS, INC. NV 5.02 01/25/07 NICHOLAS FINANCIAL INC FL 2.02,9.01 01/29/07 NIGHTHAWK SYSTEMS INC NV 5.02 01/23/07 NISOURCE INC/DE DE 7.01,9.01 01/28/07 NOVA BIOSOURCE FUELS, INC. NV 5.02 01/23/07 NOVASTAR FINANCIAL INC MD 7.01,9.01 01/28/07 Novori Inc. DE 8.01 01/26/07 OLD NATIONAL BANCORP /IN/ IN 2.02,9.01 01/29/07 OLD REPUBLIC INTERNATIONAL CORP DE 2.02,9.01 12/31/06 OLIN CORP VA 7.01,9.01 01/26/07 OMNIVISION TECHNOLOGIES INC DE 1.02,9.01 01/23/07 ON SEMICONDUCTOR CORP DE 5.02 01/23/07 OPEN SOLUTIONS INC DE 3.01,3.03,5.01,8.01,9.01 01/23/07 ORIGINALLY NEW YORK INC 3.02,5.02 01/26/07 ORION HEALTHCORP INC DE 7.01,9.01 01/29/07 ORMAT TECHNOLOGIES, INC. DE 5.02,9.01 01/29/07 OSI PHARMACEUTICALS INC DE 5.02,8.01,9.01 01/25/07 Outback Energy CORP NV 3.01,5.03,9.01 01/29/07 PARALLEL PETROLEUM CORP DE 7.01,9.01 01/26/07 PARLUX FRAGRANCES INC DE 8.01,9.01 01/29/07 PEERLESS SYSTEMS CORP DE 7.01,9.01 01/29/07 PERRY ELLIS INTERNATIONAL INC FL 1.01,2.01,9.01 01/25/07 PHARMOS CORP NV 8.01 01/24/07 PHELPS DODGE CORP NY 2.02,8.01,9.01 01/29/07 PINNACLE AIRLINES CORP DE 8.01 01/23/07 PIZZA INN INC /MO/ MO 1.01 01/23/07 PLACER SIERRA BANCSHARES CA 5.02,9.01 01/23/07 PLUM CREEK TIMBER CO INC DE 2.02,9.01 01/29/07 Popular ABS Mortgage Pass-Through Tru DE 8.01,9.01 01/10/07 PRECIS INC OK 7.01,9.01 01/29/07 PREMIER COMMUNITY BANKSHARES INC VA 1.01,9.01 01/26/07 PRICESMART INC DE 1.01,5.05 01/23/07 PRINTRONIX INC DE 8.01 01/25/07 ProLink Holdings Corp. DE 1.01,3.02,9.01 01/23/07 PROTECTIVE LIFE INSURANCE CO TN 9.01 01/25/07 PSB Holdings, Inc. 2.02,9.01 01/26/07 QUADRAMED CORP DE 5.02 01/23/07 QUALITY DISTRIBUTION INC FL 2.02,9.01 01/26/07 Quintana Maritime LTD 1T 2.01,9.01 01/24/07 RALI Series 2007-QH1 Trust DE 8.01,9.01 01/29/07 RALI Series 2007-QS1 Trust DE 8.01,9.01 01/29/07 READERS DIGEST ASSOCIATION INC DE 8.01 01/27/07 REALOGY CORP DE 8.01,9.01 01/29/07 REGIONS FINANCIAL CORP DE 7.01,9.01 01/29/07 REINSURANCE GROUP OF AMERICA INC MO 2.02,5.02,9.01 01/25/07 RENAISSANCE LEARNING INC WI 1.01,2.02,9.01 01/23/07 RESPIRONICS INC DE 2.02 01/25/07 Restaurant Acquisition Partners, Inc. DE 5.02 01/09/07 RFMSI Series 2007-S1 Trust DE 8.01,9.01 01/29/07 RFMSI Series 2007-SA1 Trust DE 8.01,9.01 01/26/07 RIDGEWOOD ELECTRIC POWER TRUST V DE 1.01 01/23/07 Ridgewood Energy P Fund LLC 2.06 01/24/07 RIDGEWOOD POWER GROWTH FUND /NJ DE 1.01 01/23/07 ROLLINS INC DE 5.02 01/23/07 ROLLINS INC DE 8.01 01/23/07 ROYAL GOLD INC DE 8.01,9.01 01/24/07 RURBAN FINANCIAL CORP OH 2.02,9.01 01/25/07 SALISBURY BANCORP INC CT 5.05,9.01 01/26/07 Sally Beauty Holdings, Inc. 5.02,9.01 01/24/07 SANDERSON FARMS INC MS 5.02,9.01 01/25/07 Sara Lee Corp MD 2.05,2.06 01/23/07 SAVVIS, Inc. DE 2.02,9.01 01/29/07 SCHERING PLOUGH CORP NJ 2.02,9.01 01/29/07 SECURITY BANK CORP GA 2.02,9.01 01/24/07 SENIOR HOUSING PROPERTIES TRUST MD 5.01,8.01 01/24/07 SENTO CORP UT 5.02,7.01,9.01 01/23/07 SEQUENOM INC DE 1.01 01/24/07 SIENA TECHNOLOGIES, INC. NV 1.01,3.02 01/23/07 SLM Student Loan Trust 2007-1 DE 1.01,2.01,9.01 01/25/07 SMARTIRE SYSTEMS INC 1.01,2.03,3.02,9.01 01/23/07 SMARTIRE SYSTEMS INC 1.01,2.03,9.01 01/23/07 SMITH & WESSON HOLDING CORP NV 7.01,9.01 01/29/07 Somaxon Pharmaceuticals, Inc. DE 1.01,9.01 01/29/07 SOUTHWEST BANCORP INC OK 2.02,7.01,9.01 01/26/07 Spansion Inc. DE 2.02,9.01 01/29/07 SPARE BACKUP, INC. DE 1.01,8.01 01/26/07 SRKP 9 INC DE 1.01,2.01,2.02,3.02,5.01,5.02, 01/23/07 5.03,5.06,9.01 ST JOSEPH CAPITAL CORP 8.01 01/29/07 ST JUDE MEDICAL INC MN 1.01,9.01 01/29/07 STAGE STORES INC NV 5.03,9.01 01/23/07 STALLION GROUP NV 5.02 01/25/07 Stargold Mines, Inc. 4.01 01/24/07 STERLING FINANCIAL CORP /WA/ WA 2.02,9.01 01/29/07 Sterling Mining CO ID 2.01,9.01 01/23/07 STOCKERYALE INC MA 1.01,3.02,9.01 01/26/07 STONEPATH GROUP INC DE 2.01,7.01,9.01 01/23/07 STRATS SM TRUST FOR DAIMLERCHRYSLER N 8.01,9.01 01/16/07 STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 01/16/07 STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 01/16/07 STRATS SM TRUST FOR JPMORGAN CHASE & 8.01 01/16/07 STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 01/16/07 STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 01/16/07 STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 01/16/07 STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 01/16/07 STURM RUGER & CO INC DE 8.01,9.01 01/23/07 SUN MICROSYSTEMS, INC. DE 1.01,2.03,3.02,8.01,9.01 01/23/07 SUN NEW MEDIA INC. MN 5.02 01/26/07 SUNESIS PHARMACEUTICALS INC 8.01,9.01 01/29/07 SUNOCO LOGISTICS PARTNERS LP DE 2.02,7.01,9.01 01/26/07 SUPERIOR BANCORP DE 2.02,9.01 01/29/07 SUREWEST COMMUNICATIONS CA 1.01,9.01 01/28/07 SVB FINANCIAL GROUP 5.03,9.01 01/25/07 SYBASE INC DE 2.02,9.01 01/25/07 SYMANTEC CORP DE 1.01,9.01 01/26/07 SYMANTEC CORP DE 5.02,9.01 01/23/07 SYNAGRO TECHNOLOGIES INC DE 1.01,9.01 01/29/07 SYNERGX SYSTEMS INC DE 5.02,9.01 01/29/07 SYSCO CORP DE 2.02,9.01 01/29/07 TACTICAL AIR DEFENSE SERVICES, INC. NV 1.01,2.01,2.03,3.02,4.01,5.01, 12/15/06 AMEND 5.02,5.06,9.01 TALX CORP MO 5.02,9.01 01/23/07 TANOX INC DE 8.01,9.01 01/25/07 TASKER PRODUCTS CORP NV 1.01 01/23/07 TEAM FINANCIAL INC /KS KS 1.01,1.02,5.02,5.03 01/23/07 TEMECULA VALLEY BANCORP INC CA 8.01 01/26/07 TERRA INDUSTRIES INC MD 8.01,9.01 01/26/07 TESORO CORP /NEW/ DE 2.02,7.01,9.01 01/29/07 TESSCO TECHNOLOGIES INC DE 1.01,9.01 01/23/07 TIERONE CORP 2.02,9.01 01/25/07 TJX COMPANIES INC /DE/ DE 5.02 01/24/07 TOLLGRADE COMMUNICATIONS INC \PA\ PA 5.02,9.01 01/23/07 TORVEC INC NY 8.01 01/29/07 TOUCHSTONE APPLIED SCIENCE ASSOCIATES DE 2.02,9.01 01/29/07 TOWN SPORTS INTERNATIONAL HOLDINGS IN DE 8.01,9.01 01/29/07 TransDigm Group INC DE 2.02,7.01,9.01 01/23/07 TRICO MARINE SERVICES INC DE 5.02,9.01 01/29/07 TRICO MARINE SERVICES INC DE 2.02,9.01 01/29/07 AMEND TWC Holding LLC DE 1.01,5.02,9.01 01/23/07 TYSON FOODS INC DE 2.02,9.01 01/29/07 UNIGENE LABORATORIES INC DE 1.01,9.01 01/26/07 UNITED BANKSHARES INC/WV WV 1.01,8.01,9.01 01/26/07 UNITED HERITAGE CORP UT 3.01,9.01 01/24/07 United States Oil Fund, LP DE 9.01 01/29/07 UNITED STATES STEEL CORP DE 2.02,9.01 01/29/07 UNIVERSAL ENERGY CORP. 7.01,9.01 01/25/07 UpSnap, Inc. 4.01,9.01 01/18/07 AMEND USA REAL ESTATE INVESTMENT TRUST /CA CA 8.01 01/26/07 USG CORP DE 2.02,9.01 01/29/07 UTIX GROUP INC DE 1.01,3.02,3.03,9.01 01/23/06 VALASSIS COMMUNICATIONS INC DE 8.01,9.01 01/29/07 VALERO GP HOLDINGS LLC DE 2.02,9.01 01/29/07 VALERO L P DE 2.02,9.01 01/29/07 Valley Commerce Bancorp CA 2.02,9.01 01/26/07 VALUEVISION MEDIA INC MN 7.01,9.01 01/29/07 VASCULAR SOLUTIONS INC DE 2.02,9.01 01/29/07 VERIZON COMMUNICATIONS INC DE 2.02 01/29/07 VIASAT INC CA 5.02,7.01,9.01 01/26/07 VISION BANCSHARES INC AL 1.01,2.02,7.01,9.01 01/25/07 VIVA INTERNATIONAL INC DE 1.01,9.01 01/24/07 VOIP INC 5.03,9.01 01/24/07 VOLTERRA SEMICONDUCTOR CORP 2.02,9.01 01/29/07 VS HOLDINGS, INC. DE 2.02,9.01 01/29/07 W R GRACE & CO DE 2.02,9.01 01/24/07 WACCAMAW BANKSHARES INC NC 2.02 01/26/07 WARWICK VALLEY TELEPHONE CO NY 5.02,9.01 01/29/07 Washington Mutual Mortgage Pass-Throu DE 6.01 01/29/07 Washington Mutual Mortgage Pass-Throu DE 6.01 01/29/07 WAYNE SAVINGS BANCSHARES INC /DE/ DE 2.02,9.01 01/29/07 Wayside Technology Group, Inc. DE 2.02,9.01 01/25/07 WEBSENSE INC DE 5.02 01/23/07 Wells Fargo Mortgage Backed Securitie DE 9.01 01/29/07 WHERIFY WIRELESS INC DE 1.01,2.03 01/22/07 WIDEPOINT CORP DE 4.01,9.01 01/22/07 AMEND WINDSTREAM CORP DE 5.04 01/29/07 WIZZARD SOFTWARE CORP /CO CO 5.02 01/29/07 WJ COMMUNICATIONS INC DE 1.01,9.01 01/23/07 Wornick CO DE 1.01,5.02,9.01 01/23/07 WWA GROUP INC NV 7.01,9.01 01/29/07 X-CHANGE CORP 5.02,7.01,9.01 01/05/07 X-CHANGE CORP 5.02,7.01,9.01 01/24/07 ZAP CA 1.01,3.03 01/26/07 ZIMMER HOLDINGS INC DE 2.02,9.01 01/29/07