SEC NEWS DIGEST Issue 2006-189 September 29, 2006 COMMISSION ANNOUNCEMENTS FEE RATE ADVISORY #3 FOR FISCAL YEAR 2007 When fiscal year 2007 starts on Oct. 1, 2006, the Securities and Exchange Commission will operate under a continuing resolution that will extend through Nov. 17, 2006. During this period, fees paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g) and 31 of the Securities Exchange Act of 1934 will remain at their current rates. Five days after the date of enactment of the Commission's regular fiscal year 2007 appropriation, the Section 6(b) fee rate applicable to the registration of securities, the Section 13(e) fee rate applicable to the repurchase of securities, and the Section 14(g) fee rate applicable to proxy solicitations and statements in corporate control transactions will decrease to $30.70 per million from the current rate of $107.00 per million, as previously announced. In addition, thirty days after the date of enactment of the Commission's regular appropriation, the Section 31 fee rate applicable to securities transactions on the exchanges and in the over-the-counter markets will decrease to $15.30 per million from the current rate of $30.70 per million. On that same date, the assessment on security futures transactions under Section 31(d) will decrease to $0.0042 for each round turn transaction from the current rate of $0.009 for each such transaction. Additional information on the transition to the new Section 31 fee rate will be available on the Internet websites of the New York Stock Exchange and NASD Regulation at http://www.nyse.com and http://www.nasdr.com, respectively. The Division of Market Regulation's Office of Interpretation and Guidance is also available to answer questions relating to Section 31. That office may be reached by phone at 202-551-5777 or by email at marketreg@sec.gov. A copy of the Commission's April 28, 2006 order regarding fee rates for fiscal year 2007 is available at http://www.sec.gov/rules/other/2006/33-8681.pdf. The Commission will issue further notices as appropriate to keep the public informed of developments relating to enactment of the Commission's regular appropriation and the effective dates for the above fee rate changes. These notices will be posted at the SEC's Internet web site at http://www.sec.gov. (Press Rel. 2006-168) SEC ANNOUNCES TIMETABLE FOR ENACTMENT OF FINAL RULES UNDER GRAMM- LEACH-BLILEY ACT Securities and Exchange Commission Chairman Christopher Cox announced today that, following this week's expected passage of the Financial Services Regulatory Relief Act of 2006 by both houses of Congress, he hopes to complete work by year end on proposed new rules to implement the bank broker provisions of the Gramm-Leach-Bliley Act. Under the provisions of the Regulatory Relief Act, the SEC and the Federal Reserve have 180 days from the date the President signs the bill into law to jointly propose final rules. The rules will define the circumstances under which a bank can engage in securities activities without registering as a broker. "I am very confident that we will meet the new legislative deadline," said Chairman Cox, "and it is our intention to do so by year end, well ahead of schedule. Over the past six months, the SEC, the Federal Reserve, the FDIC, and the Comptroller of the Currency have been working at the highest levels to put these needed clarifications in place. We are already well along in that process. "With the expectation that proposed new rules will be issued by December 31, 2006, the Commission today extended the current exemption from the definition of "broker" until January 15, 2007," Chairman Cox added. "This will give the Commission and the banking regulators time to complete the rule-writing and propose new rules before the exemption expires." If the new rules are proposed with a 90-day comment period beginning at year end, final rules could be expected in late spring or early summer 2007. "Because we recognize that banks will need time to implement systems to ensure compliance with the new bank broker provisions," Chairman Cox said, "we expect any final rules would have a delayed effective date." The Gramm-Leach- Bliley Act repealed an exception from broker-dealer registration requirements in the Securities Exchange Act of 1934. After passage of Gramm-Leach-Bliley, banks' ability to engage in securities activities without registering as a broker or dealer depends on their coming within more narrowly tailored exceptions. Those exceptions were to have become effective on May 12, 2001, but the Commission adopted interim rules that postponed full compliance, and through a series of orders extended banks' exemption from the definition of "broker" to Sept. 30, 2006. It is this exemption that today's action further extends until Jan. 15, 2007. In June 2004, the Commission proposed to replace its interim rules with new Regulation B. That effort was never completed. To resuscitate the effort, this year Chairman Cox has led a series of meetings with the leaders of the federal banking regulators aimed at resolving outstanding issues so that the bank broker provisions of the Gramm-Leach-Bliley Act can be fully implemented. The text of today's order and notice are available on the Commission's website at http://www.sec.gov. (Press Rel. 2006-169) COMMISSION MEETINGS CLOSED MEETING - THURSDAY, OCTOBER 5, 2006 - 2:30 P.M. The subject matter of the closed meeting scheduled for Thursday, October 5, will be: Formal orders of investigation; Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings of an enforcement nature; Adjudicatory matters; Regulatory matters regarding financial institutions; and Resolution of litigation matters. 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. SEC GOVERNMENT-BUSINESS FORUM ON SMALL BUSINESS CAPITAL FORMATION The Securities and Exchange Commission is providing for additional public input in connection with its annual Government-Business Forum on Small Business Capital Formation, held Friday, Sept. 29, 2006, at 9:00 a.m. EDT, at its Washington, D.C. headquarters. The public is invited to submit written statements in connection with the Forum. This year's Forum program included two roundtable discussions in the morning. The first roundtable discussed the advantages to smaller public companies of filing interactive data with the SEC. The second roundtable discussed current issues in capital raising techniques for small business, such as the status of the IPO (initial public offering) market and PIPE (private investment in public equity) offerings. The Commission expects that the Forum will develop recommendations for government and private action to facilitate small business capital formation. The afternoon sessions of the Forum, which will not be Webcast, will be devoted to breakout sessions to develop recommendations. For further information, please contact Johanna Vega Losert, Attorney- Adviser, at (202) 551-3325, or Anthony G. Barone, Special Counsel, at (202) 551-3260, Office of Small Business Policy, Division of Corporation Finance, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549-3628. (Rels. 33-8743; 34-54519; File No. 4- 526) ENFORCEMENT PROCEEDINGS COLUMBUS, OHIO, MAN SANCTIONED Bradley T. Smith (Smith) has been barred from association with any broker-dealer or investment adviser. The sanction was ordered in an administrative proceeding before an administrative law judge, following a court-ordered injunction against him. In December 2005 Smith was enjoined from committing further violations of the antifraud provisions of the securities laws based on misconduct that occurred during 2002 to 2004. The court also ordered him to pay a civil penalty of $120,000 and to disgorge ill-gotten gains of $2,095,517.93 plus prejudgment interest. Smith violated the antifraud provisions in connection with private securities offerings he conducted in Ohio for two businesses that he founded, Continental Midwest Financial, Inc., and Scioto National, Inc. The offering materials stated that most of the proceeds would be invested in bank stocks, but Smith used most of the money for his own personal expenses and the expenses of his other businesses. (Initial Decision No. 320; File No. 3-12267) ORDER MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS BY DEFAULT AS TO JOHN FIGLIOLINI, JR. An Administrative Law Judge has issued an Order Making Findings and Imposing Remedial Sanctions by Default as to John P. Figliolini, Jr., (Default Order) in the matter of John F. Helbock and John P. Figliolini, Jr. The Order Instituting Proceedings (OIP) alleged that Respondent John P. Figliolini, Jr. (Figliolini), as president of Phillip Louis Trading, Inc. (Phillip Louis), failed reasonably to supervise a registered representative with a view to detecting and preventing the representative's manipulative trading practices. During the period Figliolini was the direct supervisor, the OIP alleges, he ignored numerous red flags and failed to follow Phillip Louis's written supervisory procedures. The Default Order finds the allegations to be true and (1) bars Figliolini from associating with a broker dealer in a supervisory capacity, with a right to reapply after three years; and (2) orders him to pay a civil penalty in the amount of $50,000. (Rel. 34-54536; File No. 3-12312) COMMISSION INSTITUTES ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS AGAINST BROKER FOR FRAUD INVOLVING THINLY-TRADED MUNICIPAL BONDS On September 29, the Commission instituted administrative and cease- and-desist proceedings against Robert K. Malkin (Malkin) and Cantella & Company, Inc. (Cantella). Cantella is a registered broker-dealer headquartered in Boston, Massachusetts, and Malkin was a registered representative employed at Cantella's Ojai, California branch office. The Order finds that Malkin, while employed by Cantella, committed fraud in the purchase and sale of thinly-traded nonrated municipal bonds. From September 2000 through June 2002, Malkin purchased from, and sold to, his customers' accounts bonds at prices that were not related to the prevailing market prices for the bonds. In January 2003, after having received a letter from the Commission's examination staff in which the staff questioned many of the transactions, Malkin reversed many of the improper trades and credited funds to certain customer accounts to reduce losses from the trades at issue. After the reversed transactions and credits to certain customer accounts are taken into consideration, Malkin's net profit from the fraudulent transactions was $79,332. The order finds that, as a result of the improper trades, Malkin violated the antifraud provisions of the federal securities laws, and that he aided and abetted and caused Cantella's violations of certain bond pricing provisions of the federal securities laws and the Municipal Securities Rulemaking Board (MSRB) Rules. The Commission simultaneously accepted Cantella's and Malkin's Offers of Settlement wherein, without admitting or denying the Commission's findings: (1) Malkin agreed to cease and desist from committing or causing any violations of Section 17(a) of the Securities Act of 1933, Sections 10(b) and 15B(c)(1) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and MSRB Rule G-30; (2) Cantella agreed to cease and desist from committing or causing any violations of Section 15B(c)(1) of the Exchange Act and MSRB Rule G- 30; (3) Malkin agreed to pay disgorgement and prejudgment interest in the amount of $95,215, and a civil penalty of $80,000, for a total of $175,215; (4) Cantella agreed to pay a civil penalty of $50,000; and (5) Malkin agreed to be barred from association with any broker or dealer, or any municipal securities dealer, with the right to reapply for association after one year. (Rels. 33-8747; 34-54545; File No. 3- 12447) SEC v. U.S GAS & ELECTRIC, INC., ET AL. The Commission today announced the filing of securities fraud and registration charges against U.S. Gas & Electric, Inc. (U.S. Gas) and four current and former principals of the company. The Commission alleges that between March 2002 and August 2003, U.S. Gas, acting through Larry Webman and Mel Webman, its undisclosed principals, Donald E. Secunda, its former chief executive officer, and Douglas W. Marcille, its then-chief financial officer, raised more than $6.8 million from investors in a series of unregistered offerings of securities. The defendants used telemarketers to offer and sell securities to approximately180 investors throughout the United States, many of whom were senior citizens. U.S. Gas is a start-up company in the business of providing natural gas to customers in the New York metropolitan area. The Commission's complaint alleges that U.S. Gas, through the Webmans, Secunda and Marcille, made material misstatements and omissions to investors in the various offerings. More specifically, U.S. Gas, Larry Webman, Mel Webman, and Secunda misrepresented to investors in two of the offerings that U.S. Gas would register an initial public offering and that its stock would trade publicly, which would translate to generous returns for investors. In addition, they falsely represented to investors in three of the securities offerings that investors should expect to receive annual returns ranging from 25% to 50% for decades. Moreover, U.S. Gas, through the Webmans, Secunda, and Marcille, failed to disclose to investors that excessive commissions were being paid to the boiler room telemarketers out of the offering proceeds, and made misrepresentations to investors in one of the offerings regarding the amount of management fees that would be paid out. According to the complaint, Mel Webman, with the help of Larry Webman and Secunda, also misappropriated monies raised in one of the offerings. The Commission's complaint also alleges that the proposed defendants violated the registration provisions of the federal securities laws by failing to file registration statements in connection with the offerings. The complaint further alleges that Larry Webman and Mel Webman acted as unregistered brokers of securities, and that U.S. Gas committed issuer reporting violations for failing to make required periodic filings with the Commission. The Commission's complaint, filed in federal court in Miami, charges U.S. Gas with violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 (Securities Act), Sections 10(b) and 13(a) of the Securities Exchange Act of 1934 (Exchange Act), and Rules 10b-5, 13a-1 and 13a-13 thereunder; charges Larry Webman and Mel Webman with violating Sections 5(a), 5(c) and 17(a) of the Securities Act, Sections 10(b) and 15(a) of the Exchange Act, and Rule 10b-5 thereunder; charges Secunda with violations of Sections 5(a), 5(c) and 17(a) of the Securities Act, Section 10(b) of the Exchange Act, and Rule 10b-5 thereunder; and charges Marcille with violations of Sections 5(a), 5(c), 17(a)(2) and 17(a)(3) of the Securities Act. Without admitting or denying the Commission's allegations, U.S. Gas, Secunda and Marcille each have consented to the entry of a final judgment that permanently enjoins each from future violations of the above-mentioned provisions of the federal securities laws. U.S. Gas also has agreed to pay disgorgement of $771,673, plus prejudgment interest thereon, of which all but $167,000 is waived based upon U.S. Gas's sworn representations of its inability to pay. Secunda has also agreed to pay disgorgement and a civil money penalty in amounts to be determined by the court at a later date, and has consented to permanent officer and director, and penny stock bars. Finally, Marcille also has agreed to pay disgorgement of $1 and a civil money penalty of $40,000. Larry Webman and Mel Webman have not settled to the Commission's action. The Commission is seeking against the Webmans permanent injunctions from future violations of the above-mentioned provisions of the securities laws, disgorgement of ill-gotten gains, civil money penalties and orders barring them from participating in any offering or sale of a penny stock. In a separate action on Sept. 26, 2006, the Commission revoked the registration of U.S. Gas's securities based on its failure to make required periodic filings with the Commission. [SEC v. U.S. Gas & Electric, Inc., et al., USDC, SDFL, Civil Action No. C-06-22440-CIV- LENARD] (LR-19852) INVESTMENT COMPANY ACT RELEASES RIVERSOURCE DIVERSIFIED INCOME SERIES, INC., ET AL. A notice has been issued giving interested persons until Oct. 23, 2006, to request a hearing on an application filed by RiverSource Diversified Income Series, Inc., et al. for an order under Section 6(c) of the Investment Company Act for an exemption from Sections 18(f) and 21(b) of the Act, under Section 12(d)(1)(J) of the Act for an exemption from Section 12(d)(1) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Sections 17(a)(1) and 17(a)(3) of the Act, and under Section 17(d) of the Act and Rule 17d-1 under the Act to permit certain joint transactions. The order would permit certain registered open-end management investment companies to participate in a joint lending and borrowing facility. (Rel. IC-27506 - September 28) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-OCC-2006-05) filed by The Options Clearing Corporation to amend OCC Rule 805, Expiration Date Exercise Procedure, to reduce to $.05 the threshold amounts used to determine the equity options in all account types that are in the money for purposes of exercise by exception. Publication is expected in the Federal Register during the week of October 2. (Rel. 34-54514) The Commission approved a proposed rule change (SR-CBOE-2006-70), and issued notice of filing and granted accelerated approval to Amendment No. 1 thereto submitted by the Chicago Board Options Exchange to adopt rules relating to Regulation NMS. Publication is expected in the Federal Register during the week of October 2. (Rel. 34-54526) The Commission approved a proposed rule change (SR-ISE-2006-48) filed by the International Securities Exchange and granted accelerated approval to Amendment No. 1 thereto relating to the adoption of rules to govern its electronic trading system for equities. Publication is expected in the Federal Register during the week of October 2. (Rel. 34-54528) The Commission approved a proposed rule change (SR-NYSE-2006-49) and Amendment No.1 thereto submitted by the New York Stock Exchange relating to amending Rule 123D (Openings and Halts in Trading) and Rule 15 to shorten the minimum required time periods between tape indications and openings or reopenings. Publication is expected in the Federal Register during the week of October 2. (Rel. 34-54530) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-ISE-2006-52) filed by the International Securities Exchange relating to the Block Order Mechanism 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 October 2. (Rel. 34-54531) 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: . SB-2 JobsInSite, Inc., (646) 483-4386 - 179,000 ($17,900.00) Equity, (File 333-137624 - Sep. 28) (BR. 09) S-3 ALLSTATE LIFE INSURANCE CO, 3075 SANDERS RD, SUITE G4A, NORTHBROOK, IL, 60062, 8474025000 - 0 ($900,000,000.00) Other, (File 333-137625 - Sep. 28) (BR. 20) S-4 UGI UTILITIES INC, 100 KACHEL BOULEVARD SUITE 400, GREEN HILLS CORPORATE CENTER, VALLEY FORGE, PA, 19607, 6107963400 - 0 ($275,000,000.00) Non-Convertible Debt, (File 333-137626 - Sep. 28) (BR. 02B) S-8 Shamir Optical Industry Ltd., KIBBUTZ SHAMIR, UPPER GALILEE, L3, 12135, (011)97246947810 - 1,846,673 ($17,283,815.00) Equity, (File 333-137628 - Sep. 28) (BR. 10C) S-8 SMUCKER J M CO, STRAWBERRY LN, ORRVILLE, OH, 44667, 3306823000 - 2,500,000 ($120,975,000.00) Equity, (File 333-137629 - Sep. 28) (BR. 04C) S-8 Atlantic Bancshares, Inc., POST OFFICE BOX 3077, 1 SHERINGTON DRIVE, SUITE J, BLUFFTON, SC, 29910, 843.368.3607 - 250,315 ($2,503,150.00) Equity, (File 333-137630 - Sep. 28) (BR. 07) SB-2 EconoShare, Inc., 1510 51 ST., BROOKLYN, NY, 11219, 718-435-5291 - 3,705,000 ($2,445,300.00) Equity, (File 333-137631 - Sep. 28) (BR. 09) S-8 INDYMAC BANCORP INC, 888 EAST WALNUT STREET, PASADENA, CA, 91101-7211, 8006692300 - 0 ($20,060,000.00) Equity, (File 333-137632 - Sep. 28) (BR. 07B) S-8 MARTEK BIOSCIENCES CORP, 6480 DOBBIN RD, COLUMBIA, MD, 21045, 4107400081 - 0 ($21,930,000.00) Equity, (File 333-137633 - Sep. 28) (BR. 01B) S-8 First Business Financial Services, Inc., 608 232-5977 - 17,224 ($393,568.40) Equity, (File 333-137634 - Sep. 28) (BR. 07) S-8 First Business Financial Services, Inc., 608 232-5977 - 200,000 ($4,570,000.00) Equity, (File 333-137635 - Sep. 28) (BR. 07) SB-2 Black Tusk Minerals Inc., 4244 SUNSET BLVD., NORTH VANCOUVER, A1, V7R 3Y9, 604-833-5878 - 3,686,000 ($1,105,800.00) Equity, (File 333-137636 - Sep. 28) (BR. ) S-3 EVANS & SUTHERLAND COMPUTER CORP, 770 KOMAS DR, SALT LAKE CITY, UT, 84108, 8015881815 - 0 ($2,099,230.56) Equity, (File 333-137637 - Sep. 28) (BR. 10B) S-8 DISCOVERY LABORATORIES INC /DE/, 2600 KELLY ROAD, SUITE 100, WARRINGTON, PA, 18976, 2154889300 - 400,000 ($794,000.00) Equity, (File 333-137643 - Sep. 28) (BR. 01A) S-8 OPTIBASE LTD, P O BOX 2170, HERZLIYA ISRAEL, L3, H6120, 97299709288 - 138,300 ($407,985.00) Equity, (File 333-137644 - Sep. 28) (BR. 03B) S-8 Quest Minerals & Mining Corp, 3454 STATE HIGHWAY, 292 WEST, P.O. BOX 843, BELFRY, KY, 41514, 606-433-1926 - 30,000,000 ($600,000.00) Equity, (File 333-137645 - Sep. 28) (BR. 09B) S-1 DATAPATH INC, 3095 SATELLITE BLVD, DULUTH, GA, 30096, 6785970300 - 0 ($346,060,000.00) Equity, (File 333-137646 - Sep. 28) (BR. ) S-8 PAR TECHNOLOGY CORP, PAR TECHNOLOGY PARK, 8383 SENECA TURNPIKE, NEW HARTFORD, NY, 13413, 3157380600 - 1,000,000 ($9,200,000.00) Equity, (File 333-137647 - Sep. 28) (BR. 03A) S-8 Omni Financial Services, Inc., SIX CONCOURSE PARKWAY, SUITE 2300, ATLANTA, GA, 30328, (770)369-0000 - 0 ($10,962,000.00) Equity, (File 333-137648 - Sep. 28) (BR. 07) S-8 MEASUREMENT SPECIALTIES INC, 710 ROUTE 46 EAST, SUITE 206, FAIRFIELD, NJ, 07004, 973-808-3020 - 1,250,000 ($24,112,500.00) Equity, (File 333-137650 - Sep. 28) (BR. 10B) S-8 REUTERS GROUP PLC /ADR/, 85 FLEET STREET, 7TH FLOOR, LONDON, X0, EC4P 4AJ, 44 (0) 207 250 1122 - 40,741,813 ($315,467,268.06) Equity, (File 333-137651 - Sep. 28) (BR. 05C) S-8 CISCO SYSTEMS INC, 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706, 4085264000 - 290,850 ($401,373.00) Equity, (File 333-137653 - Sep. 28) (BR. 03C) S-8 CISCO SYSTEMS INC, 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706, 4085264000 - 270,431 ($2,501,486.75) Equity, (File 333-137654 - Sep. 28) (BR. 03C) S-8 Storm Cat Energy CORP, 1125 SEVENTEENTH STREET, SUITE 2310, DENVER, CO, 80202, 303-991-5070 - 0 ($13,791,747.00) Equity, (File 333-137655 - Sep. 28) (BR. 04A) S-1 Animal Health International, Inc., 7 VILLAGE CIRCLE, WESTLAKE, TX, 76262, 817-859-3000 - 0 ($155,250,000.00) Equity, (File 333-137656 - Sep. 28) (BR. ) S-8 SIX FLAGS INC, 11501 NE EXPWY, OKLAHOMA CITY, OK, 73131, 4054752500 - 2,500,000 ($13,475,000.00) Equity, (File 333-137657 - Sep. 28) (BR. 05C) S-1 AeroVironment Inc, 181 W HUNTINGTON DRIVE, SUITE 202, MONROVIA, CA, 91016, 626 357 9983 - 0 ($115,000,000.00) Equity, (File 333-137658 - Sep. 28) (BR. ) S-1 Mellanox Technologies, Ltd., 2900 STENDER WAY, SANTA CLARA, CA, 95054, 408-970-3400 - 0 ($86,250,000.00) Equity, (File 333-137659 - Sep. 28) (BR. ) 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 360 GLOBAL WINE CO NV 1.02,8.01 09/21/06 ACCELRYS, INC. DE 1.01,8.01,9.01 09/26/06 ACCENTURE LTD 2.02,8.01,9.01 09/28/06 ACCENTURE SCA 2.02,8.01,9.01 09/28/06 ACCESS WORLDWIDE COMMUNICATIONS INC DE 4.01,9.01 09/25/06 ACE Securities Corp. Home Equity Loan DE 9.01 09/28/06 ACG HOLDINGS INC DE 1.01,2.03 09/26/06 ACRO INC. NV 8.01 09/28/06 ACROSS AMERICA REAL ESTATE CORP CO 7.01,9.01 09/28/06 ADVANCED MEDICAL INSTITUTE INC. NV 5.02 09/26/06 AFFILIATED COMPUTER SERVICES INC DE 1.01,3.01,5.04,7.01,9.01 09/28/06 AFLAC INC GA 8.01,9.01 09/28/06 AIRGAS INC DE 2.04,9.01 09/27/06 AIRNET SYSTEMS INC OH 8.01 09/07/06 ALIGN TECHNOLOGY INC DE 1.01,8.01,9.01 09/27/06 ALLIANCE ONE INTERNATIONAL, INC. VA 7.01 09/28/06 ALLOY STEEL INTERNATIONAL INC 4.01,9.01 09/27/06 AMEND ALPHA INNOTECH CORP DE 5.02 09/27/06 AMBIENT CORP /NY DE 8.01,9.01 09/25/06 AMERICAN GREETINGS CORP OH 2.02,9.01 09/28/06 AMERICAN PHYSICIANS CAPITAL INC MI 7.01,9.01 09/26/06 AMISTAR CORP CA 1.01,1.02,2.03,9.01 09/21/06 AMPAL-AMERICAN ISRAEL CORP NY 1.01 09/28/06 ANADARKO PETROLEUM CORP DE 7.01 09/28/06 ANHEUSER-BUSCH COMPANIES, INC. DE 5.02,9.01 09/27/06 ANTS SOFTWARE INC DE 1.01 09/25/06 AP PHARMA INC /DE/ DE 1.01,5.02 09/27/06 APEX SILVER MINES LTD 1.01,2.01,9.01 09/25/06 ASHLAND INC. KY 1.01,9.01 09/25/06 ASTRALIS LTD CO 4.01 08/09/06 AMEND ATLANTIS PLASTICS INC FL 5.02,9.01 09/22/06 AUTO UNDERWRITERS OF AMERICA, INC. 8.01 09/15/06 AXONYX INC NV 7.01,8.01,9.01 09/28/06 BABYUNIVERSE, INC. FL 3.02,9.01 09/22/06 Banc of America Alternative Loan Trus DE 9.01 09/28/06 Banc of America Funding 2006-5 Trust DE 9.01 09/28/06 BANC OF AMERICA FUNDING CORP DE 9.01 09/28/06 Banc of America Mortgage 2006-3 Trust DE 9.01 09/28/06 BANCSHARES OF FLORIDA INC FL 1.01,1.02,5.02,8.01,9.01 09/26/06 BANK OF AMERICA CORP /DE/ DE 8.01,9.01 09/21/06 BankFinancial CORP 5.02,8.01 09/27/06 BANKUNITED FINANCIAL CORP FL 7.01,9.01 09/28/06 BARD C R INC /NJ/ NJ 8.01 09/28/06 BASSETT FURNITURE INDUSTRIES INC VA 2.02,9.01 09/26/06 BAUSCH & LOMB INC NY 7.01,9.01 09/27/06 Bear Stearns Mortage Funding Trust 20 DE 8.01,9.01 09/28/06 Behringer Harvard Opportunity REIT I, MD 2.02,8.01,9.01 09/26/06 Behringer Harvard Opportunity REIT I, MD 1.01,9.01 09/22/06 BEHRINGER HARVARD REIT I INC MD 2.02,8.01,9.01 09/27/06 BERKSHIRE HILLS BANCORP INC 7.01,9.01 09/28/06 BIOANALYTICAL SYSTEMS INC IN 1.01,5.02,5.03,9.01 09/25/06 Blackhawk Fund NV 1.01,3.02,9.01 09/26/06 BNC BANCORP NC 1.01,2.03,9.01 09/27/06 BOSTON LIFE SCIENCES INC /DE DE 8.01 09/25/06 BRADLEY PHARMACEUTICALS INC DE 1.01,9.01 09/25/06 BROWN FORMAN CORP DE 7.01,9.01 09/28/06 BSD MEDICAL CORP DE 7.01,9.01 09/28/06 BUCA INC /MN MN 1.01,9.01 09/22/06 CAMCO FINANCIAL CORP DE 5.03,7.01,9.01 09/26/06 CAPITALSOURCE INC DE 2.02,9.01 09/27/06 CAPSTONE TURBINE CORP DE 1.01,2.03 09/27/06 CARDIODYNAMICS INTERNATIONAL CORP CA 3.01,9.01 09/25/06 CATCHER HOLDINGS, INC DE 7.01,9.01 09/26/06 CELEBRATE EXPRESS, INC. 2.02,9.01 09/28/06 Centennial Bank Holdings, Inc. DE 5.02 09/26/06 CENTRAL EUROPEAN DISTRIBUTION CORP DE 1.01,7.01,9.01 09/28/06 CENTURION GOLD HOLDINGS INC FL 1.02,9.01 09/23/06 CHARTER COMMUNICATIONS INC /MO/ DE 7.01 09/28/06 CHENIERE ENERGY INC DE 7.01,9.01 09/26/06 China 3C Group NV 1.01,9.01 08/03/06 AMEND CHOICEPOINT INC GA 8.01,9.01 09/27/06 CHYRON CORP NY 2.04,3.02 09/22/06 CIB MARINE BANCSHARES INC WI 1.02 09/22/06 Cirracor Inc NV 5.03 09/27/06 Citicorp Residential Mortgage Trust S DE 9.01 09/28/06 Citigroup Mortgage Loan Trust 2006-AM 9.01 09/28/06 Citigroup Mortgage Loan Trust 2006-NC 9.01 09/06/06 CITIZENS COMMUNICATIONS CO DE 8.01,9.01 09/28/06 CMALT (CitiMortgage Alternative Loan DE 9.01 09/28/06 Colonial Bankshares Inc X1 5.03,9.01 09/21/06 COMMONCACHE INC FL 8.01,9.01 09/20/06 Community Bancorp NV 1.01,2.03,9.01 09/21/06 CONCENTRA OPERATING CORP NV 1.01,9.01 09/27/06 COREL CORP A6 2.02,9.01 09/28/06 CRA INTERNATIONAL, INC. MA 2.02,9.01 09/28/06 Crawford Lake Mining Inc. NV 4.01 07/17/06 AMEND CRC Health CORP DE 1.01,9.01 09/22/06 Crusade Global Trust No. 2 of 2006 8.01,9.01 09/21/06 CSAB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 09/28/06 CSK AUTO CORP DE 7.01,9.01 09/28/06 CTS CORP IN 7.01,9.01 09/28/06 CWABS Asset-Backed Certificates Trust DE 9.01 09/28/06 CWABS Asset-Backed Certificates Trust DE 9.01 09/28/06 CWALT INC DE 9.01 09/28/06 CWALT INC DE 9.01 09/28/06 CWALT INC DE 9.01 09/28/06 CWHEQ Home Equity Loan Trust, Series 8.01,9.01 09/26/06 CWHEQ Home Equity Loan Trust, Series 9.01 09/28/06 CWHEQ, Inc. 8.01,9.01 09/28/06 CWHEQ, Inc. 8.01,9.01 09/27/06 CWMBS INC DE 9.01 09/28/06 DAILY JOURNAL CORP SC 5.02 09/20/06 DANA CORP VA 7.01,9.01 09/28/06 DANKA BUSINESS SYSTEMS PLC 8.01,9.01 09/28/06 DATA I/O CORP WA 2.03 09/26/06 DAYBREAK OIL & GAS INC WA 8.01,9.01 09/22/06 DECKERS OUTDOOR CORP DE 5.02,7.01,9.01 09/26/06 DECODE GENETICS INC DE 7.01 09/26/06 DELPHAX TECHNOLOGIES INC MN 8.01,9.01 09/28/06 DENNYS CORP DE 2.01,9.01 09/26/06 Deutsche Alt-B Securities Mortgage Lo 8.01,9.01 09/28/06 DEWEY ELECTRONICS CORP NY 2.02 09/28/06 DG FastChannel, Inc DE 2.02,9.01 09/26/06 Digifonica International Corp FL 5.02 09/21/06 DIGITAL RECORDERS INC NC 1.01,3.03,5.03,9.01 09/22/06 DIRECT RESPONSE FINANCIAL SERVICES IN CO 5.02,9.01 09/25/06 DISCOVER CARD MASTER TRUST I DE 1.01,8.01,9.01 09/28/06 DISCOVERY LABORATORIES INC /DE/ DE 8.01,9.01 09/28/06 Dividend Capital Total Realty Trust I MD 2.01,9.01 09/28/06 DOR BIOPHARMA INC DE 5.02 09/25/06 Dorman Products, Inc. PA 1.01,2.03,9.01 09/27/06 DREW INDUSTRIES INC DE 8.01,9.01 09/27/06 DSLA 2006-AR2 DE 8.01,9.01 09/12/06 DUNE ENERGY INC DE 1.01,9.01 09/26/06 DYNTEK INC DE 1.01,7.01,9.01 09/26/06 Eagle Hospitality Properties Trust, I MD 9.01 07/21/06 AMEND EASTERN CO CT 3.03,7.01,8.01 09/28/06 ECHOSTAR COMMUNICATIONS CORP NV 7.01,9.01 09/28/06 EFJ INC DE 1.02,9.01 09/28/06 EFJ INC DE 9.01 07/10/06 AMEND EFUNDS CORP DE 1.01 09/22/06 ELECTRO SCIENTIFIC INDUSTRIES INC OR 2.02,9.01 09/28/06 EMC INSURANCE GROUP INC IA 7.01 09/28/06 ENERGY PARTNERS LTD DE 8.01,9.01 09/27/06 ENERGY PARTNERS LTD DE 8.01,9.01 09/28/06 EQUITY OFFICE PROPERTIES TRUST MD 1.01,1.02,2.03,9.01 09/22/06 EVOLUTION PETROLEUM CORP NV 2.02,9.01 09/28/06 EXABYTE CORP /DE/ DE 1.01 09/22/06 EXTREME NETWORKS INC DE 3.01,9.01 09/22/06 FAMILY DOLLAR STORES INC DE 2.02,9.01 09/28/06 Federal Home Loan Bank of Boston X1 2.03 09/25/06 Federal Home Loan Bank of Chicago X1 2.03 09/25/06 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 09/25/06 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 09/25/06 Federal Home Loan Bank of New York X1 2.03,9.01 09/26/06 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 09/25/06 Federal Home Loan Bank of San Francis X1 2.03 09/25/06 Federal Home Loan Bank of Seattle 2.03 09/27/06 Federal Home Loan Bank of Topeka 2.03 09/25/06 FEDERAL NATIONAL MORTGAGE ASSOCIATION 7.01,9.01 09/28/06 Federal Services Acquisition CORP DE 4.02,9.01 09/27/06 FERMAVIR PHARMACEUTICALS, INC. FL 1.01,2.03,3.02,9.01 09/22/06 FERRELLGAS PARTNERS L P DE 7.01 09/28/06 FERRO CORP OH 7.01,9.01 09/28/06 FIBERSTARS INC /CA/ CA 1.01 09/25/06 First Franklin Mortgage Loan Trust 20 8.01,9.01 09/06/06 AMEND First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 09/26/06 First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 09/26/06 First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 09/26/06 First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 09/26/06 FIRST MONTAUK FINANCIAL CORP NJ 1.01,9.01 09/25/06 FIRST REAL ESTATE INVESTMENT TRUST OF NJ 8.01 09/25/06 FOCUS ENHANCEMENTS INC DE 8.01 09/21/06 FORCE PROTECTION INC NV 1.01,9.01 09/28/06 FOXHOLLOW TECHNOLOGIES, INC. DE 1.01,9.01 09/26/06 FRANKLIN BANK CORP 1.01,9.01 09/26/06 FREEPORT MCMORAN COPPER & GOLD INC DE 1.01,9.01 09/22/06 FREQUENCY ELECTRONICS INC DE 8.01 09/27/06 FRIENDLY ICE CREAM CORP MA 5.02,9.01 09/28/06 FTS GROUP, INC. NV 1.01,2.01,2.03,9.01 09/27/06 AMEND FUEGO ENTERTAINMENT, INC. NV 1.01,9.01 09/27/06 FX ENERGY INC NV 7.01,9.01 09/28/06 GANNETT CO INC /DE/ DE 5.02 09/22/06 GENAERA CORP DE 8.01 09/26/06 GLOBETEL COMMUNICATIONS CORP DE 5.02,8.01 09/25/06 GRACO INC MN 5.02,9.01 07/22/06 GS MORTGAGE SECURITIES CORP DE 8.01,9.01 09/28/06 GSAA Home Equity Trust 2006-15 DE 9.01 09/28/06 GSAA Home Equity Trust 2006-16 DE 9.01 09/28/06 GULF ISLAND FABRICATION INC LA 8.01,9.01 09/27/06 HARTE HANKS INC DE 7.01,9.01 09/28/06 Health Fitness Corp /MN/ MN 5.02,9.01 09/22/06 HEARTLAND, INC. MD 5.02 09/27/06 HEIDRICK & STRUGGLES INTERNATIONAL IN DE 1.01,8.01,9.01 09/26/06 HELIX ENERGY SOLUTIONS GROUP INC MN 5.03,7.01,9.01 09/25/06 HEMCURE INC NV 8.01,9.01 09/22/06 HEWLETT PACKARD CO DE 1.01,8.01,9.01 09/28/06 HOLOGIC INC DE 1.01,2.03,9.01 09/25/06 HOME DIAGNOSTICS INC DE 8.01,9.01 09/25/06 HOME PROPERTIES INC MD 1.01,9.01 09/20/06 HONDA AUTO REC 2003-3 OWNER TRUST DE 8.01,9.01 09/21/06 HONDA AUTO REC 2003-4 OWNER TRUST DE 8.01,9.01 09/15/06 HONDA AUTO REC 2003-5 OWNER TRUST DE 8.01,9.01 09/18/06 HONDA AUTO RECEIVABLES 2004-1 OWNER T DE 8.01,9.01 09/21/06 Honda Auto Receivables 2004-2 Owner T 8.01,9.01 09/15/06 Honda Auto Receivables 2004-3 Owner T CA 8.01,9.01 09/18/06 Honda Auto Receivables 2005-1 Owner T CA 8.01,9.01 09/21/06 Honda Auto Receivables 2005-2 Owner T 8.01,9.01 09/15/06 Honda Auto Receivables 2005-3 Owner T CA 8.01,9.01 09/18/06 Honda Auto Receivables 2005-4 Owner T CA 8.01,9.01 09/21/06 Honda Auto Receivables 2005-5 Owner T CA 8.01,9.01 09/15/06 Honda Auto Receivables 2005-6 Owner T CA 8.01,9.01 09/18/06 HONDA RECEIVABLES CORP AUTO REC 2003 DE 8.01,9.01 09/21/06 HORTON D R INC /DE/ DE 1.01,2.03,9.01 09/22/06 Huntsman CORP DE 1.01,2.05,2.06,8.01,9.01 09/27/06 HUTTIG BUILDING PRODUCTS INC DE 5.02,9.01 09/27/06 HYDROGEN POWER INTERNATIONAL INC DE 5.03,9.01 09/25/06 HYPERDYNAMICS CORP DE 1.01,9.01 09/22/06 IA GLOBAL INC DE 8.01 09/25/06 ICONIX BRAND GROUP, INC. DE 1.01,2.01,8.01,9.01 09/22/06 IDS MANAGED FUTURES II L P DE 4.01,5.02,9.01 09/28/06 IDS MANAGED FUTURES L P DE 4.01,5.02,9.01 09/28/06 IMCLONE SYSTEMS INC DE 5.02 09/26/06 IMMUNICON CORP 7.01,9.01 09/28/06 INCYTE CORP DE 1.01,2.03,3.02,8.01,9.01 09/26/06 Index Oil & Gas Inc. NV 5.03,9.01 09/25/06 IndyMac Home Equity Mortgage Loan Ass 9.01 09/27/06 IndyMac INDX Mortgage Loan Trust 2006 9.01 09/28/06 IndyMac INDX Mortgage Loan Trust 2006 9.01 09/28/06 INDYMAC MBS INC 8.01,9.01 09/27/06 INFRASOURCE SERVICES INC DE 1.01 09/27/06 INSIGHT HEALTH SERVICES HOLDINGS CORP 2.02,9.01 09/28/06 INSYNQ INC DE 4.01 09/26/06 INTEGRATED SURGICAL SYSTEMS INC DE 4.01,5.02,8.01,9.01 08/15/05 AMEND International American Technologies, NV 5.02 09/28/06 INTERNATIONAL BARRIER TECHNOLOGY INC/ 8.01,9.01 09/27/06 iPCS, INC DE 1.01,9.01 09/28/06 IROBOT CORP DE 5.02,9.01 09/25/06 iVoice Technology, Inc. NJ 1.01,5.02,9.01 08/31/06 iWorld Projects & Systems, Inc. NV 8.01 09/28/06 IXYS CORP /DE/ DE 8.01 09/28/06 J P MORGAN CHASE & CO DE 9.01 09/26/06 J P MORGAN CHASE & CO DE 8.01,9.01 09/28/06 J.P. Morgan Alternative Loan Trust 20 DE 8.01,9.01 09/28/06 J.P. Morgan Chase Commercial Mortgage 8.01,9.01 09/28/06 J.P. Morgan Mortgage Trust 2006-A6 DE 8.01,9.01 09/28/06 JABIL CIRCUIT INC DE 2.05,2.06 07/20/06 AMEND JACO ELECTRONICS INC NY 2.02,9.01 09/28/06 JANUS CAPITAL GROUP INC DE 1.01,9.01 09/27/06 JCM PARTNERS LLC DE 1.01,5.02,9.01 09/22/06 JOURNAL REGISTER CO DE 1.01,9.01 09/27/06 K TEL INTERNATIONAL INC MN 5.02 09/22/06 KOMAG INC /DE/ DE 1.01,5.02,7.01 09/26/06 KONA GRILL INC DE 1.01,9.01 09/26/06 LASALLE HOTEL PROPERTIES MD 3.02,7.01,8.01,9.01 09/22/06 LASER MASTER INTERNATIONAL INC NY 2.01 09/19/06 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01,9.01 09/22/06 LEHMAN ABS CORP BCKD TR CRTS CORN DB DE 8.01,9.01 09/21/06 LESCO INC/OH OH 1.01,2.03,9.01 09/22/06 LIFECORE BIOMEDICAL INC MN 8.01 09/20/06 LIGHTPATH TECHNOLOGIES INC DE 2.02,9.01 09/27/06 LITE KING CORP NY 5.02 06/21/06 Marathon Acquisition Corp. DE 8.01,9.01 09/27/06 MARATHON OIL CORP DE 5.02,9.01 09/27/06 MARGO CARIBE INC PR 3.01,9.01 09/22/06 MARSH & MCLENNAN COMPANIES, INC. DE 1.01,5.02,9.01 09/25/06 MARTIN MARIETTA MATERIALS INC NC 1.01,3.03,9.01 09/27/06 MASTR Asset Backed Securities Trust 2 DE 9.01 09/27/06 MASTR Asset Backed Securities Trust 2 DE 9.01 09/07/06 MEDIACOM BROADBAND LLC DE 7.01,8.01,9.01 09/28/06 MEDIACOM COMMUNICATIONS CORP DE 7.01,8.01,9.01 09/28/06 MEDIACOM LLC NY 7.01,8.01,9.01 07/12/06 MEDICOR LTD DE 2.02,9.01 09/28/06 MEDICOR LTD DE 8.01 09/28/06 MEDIVATION, INC. DE 8.01,9.01 09/28/06 MEMORY PHARMACEUTICALS CORP 8.01 09/28/06 Mercantile Bancorp, Inc. DE 5.02,9.01 09/21/06 Mercator Partners Acquisition Corp. DE 8.01,9.01 04/15/05 AMEND Merrill Lynch Mortgage Investors Trus DE 8.01,9.01 09/28/06 Merrill Lynch Mortgage Investors Trus DE 8.01,9.01 09/27/06 METRIS MASTER TRUST DE 9.01 09/20/06 MGN TECHNOLOGIES, INC. A1 8.01,9.01 09/25/06 MHI Hospitality CORP MD 1.01,2.03,9.01 09/25/06 MODERN TECHNOLOGY CORP NV 4.01,9.01 09/26/06 AMEND MOMENTA PHARMACEUTICALS INC DE 1.01,9.01 09/25/06 MOMENTA PHARMACEUTICALS INC DE 1.01,9.01 09/25/06 MORGAN CREEK ENERGY CORP NV 5.02 09/26/06 MOTIVE INC DE 7.01,9.01 09/28/06 MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 09/25/06 MTR GAMING GROUP INC DE 2.03,9.01 09/22/06 NATURAL ALTERNATIVES INTERNATIONAL IN DE 1.01,2.03 09/22/06 NAVISTAR FINANCIAL CORP DE 4.01 04/06/06 AMEND NCT GROUP INC DE 1.01,2.03,3.02 09/22/06 NEAH POWER SYSTEMS, INC. NV 1.01,9.01 09/28/06 Neiman Marcus, Inc. DE 2.02,9.01 09/28/06 NELNET INC NE 1.01,2.03,8.01,9.01 09/22/06 NET PERCEPTIONS INC DE 1.01,3.02,3.03,5.02,9.01 09/22/06 NEWMARKET CORP VA 1.01 09/28/06 NEWTEK BUSINESS SERVICES INC NY 8.01 09/22/06 NEXIA HOLDINGS INC NV 3.02,9.01 09/26/06 NORD RESOURCES CORP DE 5.02,9.01 09/28/06 NOVASTAR MORTGAGE FUNDING CORP DE 8.01,9.01 09/28/06 NT HOLDING CORP. DE 1.01,9.01 09/27/06 NUVASIVE INC DE 7.01,9.01 09/27/06 OCM HoldCo, LLC 8.01,9.01 09/28/06 OFFICE DEPOT INC DE 7.01,8.01,9.01 09/28/06 OLD LINE BANCSHARES INC 1.01,2.03 08/25/06 OMEGA FINANCIAL CORP /PA/ PA 5.03,9.01 09/25/06 OPTICAL CABLE CORP VA 1.01,1.02 09/25/06 Organetix NJ 1.01 09/28/06 ORIENTAL FINANCIAL GROUP INC PR 2.02,9.01 09/22/06 OSI SYSTEMS INC CA 5.02,5.03,9.01 09/27/06 OwnIt Mortgage Loan Trust Series 2006 DE 8.01,9.01 09/28/06 OXFORD INDUSTRIES INC GA 1.01,9.01 09/26/06 PAC-WEST TELECOMM INC 1.01 09/25/06 PACIFIC BIOMETRICS INC DE 2.02 09/28/06 PARTNERS TRUST FINANCIAL GROUP INC 1.01,5.02 09/27/06 PEOPLENET INTERNATIONAL CORP DE 2.01,3.02,9.01 09/22/06 PEREGRINE INDUSTRIES INC FL 5.02,9.01 09/25/06 PETCO ANIMAL SUPPLIES INC DE 1.01,5.02,9.01 09/25/06 PHARMACOPEIA DRUG DISCOVERY INC DE 1.01,9.01 09/25/06 PHARMACOPEIA DRUG DISCOVERY INC DE 7.01,8.01,9.01 09/28/06 PHH CORP MD 2.06,8.01,9.01 09/28/06 PHHMC Series 2006-3 Trust DE 9.01 09/28/06 PILGRIMS PRIDE CORP DE 1.01,2.03,9.01 09/22/06 PLM EQUIPMENT GROWTH & INCOME FUND VI CA 1.01 09/27/06 PLM EQUIPMENT GROWTH FUND VI CA 1.01 09/27/06 PNC FINANCIAL SERVICES GROUP INC PA 2.06,8.01 09/22/06 POOL CORP DE 7.01,9.01 09/28/06 Popular ABS Mortgage Pass-Through Tru DE 9.01 09/28/06 POWER ONE INC DE 7.01,9.01 09/28/06 PRICELINE COM INC DE 1.01,2.01,9.01 09/27/06 PRO PHARMACEUTICALS INC NV 7.01,9.01 09/27/06 PROFESSIONAL LEASE MANAGEMENT INCOME DE 1.01 09/27/06 PROLIANCE INTERNATIONAL, INC. DE 2.05 09/22/06 PULASKI FINANCIAL CORP MO 8.01,9.01 09/26/06 QUANTA CAPITAL HOLDINGS LTD 1.01,9.01 09/27/06 Quintana Maritime LTD 1T 2.01,9.01 09/25/06 REDDY ICE HOLDINGS INC DE 7.01,9.01 09/28/06 Renaissance Home Equity Loan Trust 20 9.01 08/09/06 RESOURCES CONNECTION INC DE 8.01 09/27/06 RFMSI Series 2006-S8 Trust DE 8.01,9.01 09/27/06 SAFENET INC DE 4.02 09/12/06 AMEND SAIL 2006-BNC3 DE 8.01,9.01 08/25/06 AMEND SAIL 2006-BNC3 DE 8.01,9.01 08/25/06 AMEND SCOLR Pharma, Inc. DE 1.01,9.01 09/22/06 SCORES HOLDING CO INC UT 1.01,9.01 09/25/06 SEASONS BANCSHARES INC GA 1.01,2.06,5.02,9.01 09/22/06 SECURE COMPUTING CORP DE 3.01,8.01,9.01 09/26/06 Securitized Asset Backed Receivables 8.01,9.01 09/28/06 SKYTERRA COMMUNICATIONS INC DE 1.01,2.01,8.01,9.01 09/22/06 SLM Private Credit Student Loan Trust DE 9.01 09/28/06 SLS INTERNATIONAL INC DE 8.01,9.01 09/28/06 SMART Modular Technologies (WWH), Inc 1.01,2.02,9.01 09/28/06 SOLUTIA INC DE 1.01,9.01 09/25/06 Sound Revolution Inc. DE 1.01,9.01 09/28/06 Sound Revolution Inc. DE 1.01,9.01 09/28/06 Sovereign Exploration Associates Inte UT 8.01,9.01 09/25/06 SPACEDEV INC CO 5.02,9.01 09/28/06 STOCKGROUP INFORMATION SYSTEMS INC CO 3.02,9.01 09/26/06 STRATS SM TRUST FOR DAIMLERCHRYSLER N 8.01,9.01 09/15/06 STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 09/15/06 STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 09/15/06 STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 09/15/06 STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 09/15/06 STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 09/15/06 STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 09/15/06 STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 09/15/06 STRATUS SERVICES GROUP INC DE 1.01 09/18/06 SYMS CORP NJ 8.01 08/28/06 Synova Healthcare Group Inc 1.01,2.03,3.02 09/08/06 SYNTROLEUM CORP DE 5.02 09/22/06 SYS CA 2.02,9.01 09/28/06 TAPESTRY PHARMACEUTICALS, INC DE 7.01,9.01 09/28/06 TASKER PRODUCTS CORP NV 1.01,5.02 09/22/06 TEL OFFSHORE TRUST TX 7.01,9.01 09/28/06 TELECOM COMMUNICATIONS INC 5.02 09/28/06 TENET HEALTHCARE CORP NV 1.01 09/27/06 TENET HEALTHCARE CORP NV 8.01 09/27/06 TEXAS INDUSTRIES INC DE 2.02,9.01 09/28/06 TheRetirementSolution.com, Inc. UT 5.02 09/25/06 TIB FINANCIAL CORP. FL 7.01,9.01 09/26/06 TIBCO SOFTWARE INC DE 2.02,9.01 09/28/06 Tim Hortons Inc. DE 8.01,9.01 09/26/06 Timberline Resources Corp 1.01,8.01,9.01 09/22/06 TOPPS CO INC DE 2.02,9.01 09/28/06 TOTAL LUXURY GROUP INC IN 9.01 09/26/06 TRANS LUX CORP DE 8.01 09/25/06 TransDigm Group INC DE 8.01,9.01 09/28/06 TRANSWITCH CORP /DE DE 7.01,9.01 09/28/06 TRESTLE HOLDINGS INC DE 1.01,5.02 09/28/06 TRI-CONTINENTAL CORP MD 8.01 09/28/06 Triple Crown Media, Inc. DE 2.02,9.01 09/28/06 TRUMP ENTERTAINMENT RESORTS, INC. DE 1.01,1.02,8.01,9.01 09/22/06 TXU CORP /TX/ TX 1.01 09/21/06 U S PHYSICAL THERAPY INC /NV NV 7.01 09/28/06 UC Hub Group Inc NV 1.01,2.01,2.03,3.02,9.01 09/27/06 UMPQUA HOLDINGS CORP OR 7.01,9.01 09/28/06 UNION DRILLING INC DE 1.01,9.01 09/27/06 UNITED BANCORPORATION OF ALABAMA INC DE 1.01,2.03 09/27/06 UNITED MEDICORP INC DE 5.02 09/27/06 UNITED NATIONAL FILM CORP CO 4.01,8.01 09/28/06 UNITED STATES STEEL CORP DE 1.01,9.01 09/27/06 UNUMPROVIDENT CORP DE 5.02,9.01 09/27/06 USA VIDEO INTERACTIVE CORP WY 8.01,9.01 09/28/06 UTIX GROUP INC DE 5.02 09/22/06 uWink, Inc. UT 1.01,9.01 09/22/06 VALENTIS INC DE 2.02,9.01 09/28/06 VERIZON COMMUNICATIONS INC DE 8.01 09/27/06 VINEYARD NATIONAL BANCORP CA 2.02,9.01 09/28/06 Visiphor CORP A1 1.01,5.02,9.01 09/21/06 WASHINGTON GAS LIGHT CO DC 5.03,9.01 09/27/06 WELLS FARGO & CO/MN DE 5.02,5.03,9.01 09/26/06 Wells Fargo Mortgage Backed Securitie DE 9.01 09/28/06 Wells Fargo Mortgage Backed Securitie DE 9.01 09/28/06 Wells Fargo Mortgage Backed Securitie DE 9.01 09/28/06 Wells Fargo Mortgage Backed Securitie DE 9.01 09/28/06 Wells Fargo Mortgage Backed Securitie DE 9.01 09/28/06 WENDYS INTERNATIONAL INC OH 8.01 09/26/06 WESTPAC SECURITISATION MGT PTY LTD SE 9.01 12/05/05 AMEND Westpac Securitisation Mgt Pty Ltd Se 9.01 03/23/06 AMEND Westpac Securitisation Mgt Pty Ltd Se 9.01 06/23/05 AMEND WHERIFY WIRELESS INC DE 8.01 09/27/06 WHOLE FOODS MARKET INC TX 8.01,9.01 09/27/06 WNC Housing Tax Credit Fund VI, L.P., CA 8.01,9.01 08/30/06 WNC Housing Tax Credit Fund VI, L.P., CA 8.01,9.01 08/30/06 WORLD AIR HOLDINGS, INC. 1.01,9.01 09/27/06 XFONE INC NV 3.02 09/28/06 YOUNG INNOVATIONS INC MO 3.01,9.01 09/25/06 ZIONS BANCORPORATION /UT/ UT 8.01,9.01 09/28/06