SEC NEWS DIGEST Issue 2007-55 March 22, 2007 COMMISSION ANNOUNCEMENTS SEC ANNOUNCES $38 MILLION FAIR FUND DISTRIBUTION IN THE VERAS HEDGE FUNDS SETTLEMENT On March 21, the Commission announced the distribution of approximately $38 million in Fair Funds to approximately 810 mutual funds that were victims of fraudulent market timing and late trading by the Veras hedge funds. The funds distributed reflect the entirety of the disgorgement and civil penalties paid by the Veras hedge funds and their principals to settle charges of unlawful market timing and late trading brought by the SEC. The Sarbanes-Oxley Act of 2002 gave the SEC authority to increase the amount of money returned to harmed investors by allowing civil penalties to be included in Fair Fund distributions. Prior to SOX, only disgorgement could be returned to harmed investors. To date, the SEC has distributed over $1 billion in Fair Funds. Linda Chatman Thomsen, Director of the Division of Enforcement, said, "Today's distribution marks another significant step in the Commission's vigorous program to return money to investors injured by mutual fund trading abuses." On Dec. 22, 2005, the SEC brought settled administrative proceedings against the Veras Capital Master Fund, VEY Partners Master Fund, Veras Investment Partners, LLC, Kevin D. Larson, and James R. McBride for their participation in a fraudulent market timing and late trading scheme. Respondents consented to entry of the settlement order without admitting or denying the SEC's findings. The settlement order found that from January 2002 through September 2003, respondents used deceptive techniques to continue market timing in mutual funds that previously had detected and restricted, or that otherwise would not have permitted, the Veras hedge funds' trading. The settlement order also found that respondents traded mutual fund shares after 4:00 pm Eastern Time and received the same day's price, and that, by virtue of their conduct, respondents caused violations of and willfully violated and aided and abetted violations of the antifraud and mutual fund pricing provisions of the federal securities laws. The settlement order provided for distribution of the Fair Fund directly to the mutual funds affected by Veras' misconduct. The settlement funds are being distributed by the U.S. Treasury directly to the affected mutual funds pursuant to the distribution plan approved by the SEC on Oct. 4, 2006. The plan administrator responsible for distributing the settlement funds is Peter J. Henning, Esq., Wayne State University Law School, 471 W. Palmer, Detroit, MI 48202. Questions regarding the distribution may be directed to Mr. Henning at (313) 577-3906. For further information contact: Robert J. Burson, Senior Associate Regional Director, Midwest Regional Office, (312) 353-7428. Distribution Plan: http://www.sec.gov/litigation/admin/2006/34-54299-pdp.pdf Settlement Order: http://www.sec.gov/litigation/admin/33-8646.pdf (Press Rel. 2007-50) ENFORCEMENT PROCEEDINGS IN THE MATTER OF IMPERIUM ADVISORS, LLC On March 15, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934 and Section 203(e) of the Investment Advisors Act of 1940 against Imperium Advisors, LLC (Imperium). The Order finds that on three occasions from August 2004 through November 2004, Imperium violated Rule 105 of Regulation M by selling securities short within five business days before the pricing of public offerings and then covering the short positions with securities purchased in the offerings. Based on the above, the Order censures Imperium and requires it to pay to the United States Treasury (1) $82,368 in disgorgement and prejudgment interest and (2) $37,596 in a civil money penalty. Imperium consented to the issuance of the Order without admitting or denying the findings therein. (Rel. 34-55483A; IA-2597A; File No. 3- 12593) SEC CHARGES AMERICAN STOCK EXCHANGE AND FORMER CHAIRMAN AND CEO SALVATORE SODANO WITH FAILING TO EXERCISE REGULATORY OVERSIGHT RESPONSIBILITIES The Commission today issued a settled cease-and-desist order against American Stock Exchange LLC for failing to enforce compliance with securities laws and rules and failing to comply with its record keeping obligations. In the order, the Commission found that from at least 1999 through June 2004, the Amex failed adequately to surveil for violations of order handling rules by Amex members and failed to keep and furnish surveillance and other records. In addition, the Commission instituted contested administrative proceedings against Salvatore F. Sodano, the Amex's former chairman and chief executive officer, alleging that he failed to enforce compliance with federal securities laws and Exchange rules by Amex members and persons associated with those members. In its order against the Amex, the Commission found that, from at least 1999, the Amex was on notice that its surveillance, investigatory, and enforcement programs were inadequate. The Amex previously had consented to the issuance of a Sept. 11, 2000 order that, in part, directed the Amex to enhance and improve its regulatory programs for surveillance, investigation, and enforcement of the options order handling rules. The Commission found that, notwithstanding the September 2000 order, the Amex's surveillance programs for options order handling remained inadequate to detect violations of firm quote, customer priority, limit order display, and trade reporting, and other rules. When the Amex's surveillance programs detected rule violations, the Amex failed to investigate violations properly, improperly excused violations, and failed to pursue adequately disciplinary actions for rule violations. The Commission also found that as late as June 2004, the Amex had similar deficiencies in its surveillance for equity order handling and floor broker violations. In addition to the deficiencies in the Amex's surveillance, investigatory, and enforcement programs, the Commission found that the Amex failed to keep and furnish certain records relating to its surveillance, investigatory, and enforcement activities and further furnished the Commission with inaccurate documents. Pursuant to the order, the Commission censured the Amex and ordered it to cease and desist from violating Sections 17(a)(1) and 19(g)(1) of the Exchange Act and Exchange Act Rule 17a-1. The Commission further ordered the Amex to comply with undertakings (1) to file a rule proposal with the Commission to enhance its trading systems so that specialists systemically will be prevented from violating the Amex's customer priority rules, (2) to enhance the Amex's training programs so that floor members and members of the Amex's regulatory staff responsible for surveillance, investigation, and regulation will be required to receive annual training related to compliance with federal securities laws and Amex rules, and (3) to retain an auditor to conduct three biennial audits of the Amex's surveillance, examination, and disciplinary programs related to trading. Without admitting or denying the Commission's findings, the Amex consented to the issuance of the Commission's order. In the separate, related proceeding against Salvatore Sodano, the former chairman and CEO of the Amex, the Division of Enforcement alleged that the Amex's regulatory failures resulted in large part from Sodano's failures to make regulation an Amex priority, to pay adequate attention to regulation, to put in place an oversight structure to monitor compliance, to ensure that regulatory staff was properly trained, and to dedicate sufficient resources to regulation. These failures were particularly significant with respect to the Amex's options market because Sodano knew the Amex had been previously sanctioned by the Commission for its inadequate options regulation in the September 2000 order and that the Commission had ordered the Amex to enhance and improve its regulatory programs for surveillance, investigation, and enforcement of the options order handling rules. The proceedings instituted today against Sodano, pursuant to Section 19(h) of the Exchange Act, will determine whether Sodano failed, without reasonable justification or excuse, to enforce compliance with the federal securities laws, rules, and regulations, and Amex rules, by members of the Amex and persons associated with those members. In a third, related proceeding, the Commission issued an order against a former Amex vice president responsible for overseeing the Amex's regulatory surveillance programs for the derivatives and options markets, Richard Robinson. The Commission found that Robinson was a cause of the Amex's violations by failing to oversee properly the Amex's surveillance program for derivatives and options, by failing to maintain properly Amex investigative files, and by signing and submitting an affirmation to the Commission on behalf of the Amex that contained inaccurate representations relating to the Amex's regulatory program. Without admitting or denying the Commission's findings, Robinson consented to the issuance of an order directing him to cease- and-desist from causing violation of Sections 17(a)(1) and 19(g)(1) of the Exchange Act and Exchange Act Rule 17a-1. (Rels. 34-55507, File No. 3-12594 (American Stock Exchange); 34-55508, File No. 3-12595 (Richard Robinson); 34-55509, File No. 3-12596 (Salvatore F. Sodano); (Press Rel. 2007-51) IN THE MATTER OF PAUL JOHNSON On March 22, the Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Order) against Paul E. Johnson (Johnson). The Order finds that from 1994 until June 2002, Johnson was a managing director and senior equity analyst at Robertson Stephens, Inc., a broker-dealer registered with the Commission pursuant to Section 15(b) of the Exchange Act. On July 24, 2006, a final judgment was entered against Johnson in the civil action entitled Securities and Exchange Commission v. Paul E. Johnson, Civil Action Number 03- 0177, by the U.S. District Court for the Southern District of New York, enjoining him for a period of five years from violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission's complaint alleged that, in 1999, 2000, and 2001, Johnson failed to properly disclose his financial interest in three companies that he covered as a research analyst. Based on the above, the Order bars Johnson from association with any broker or dealer with the right to reapply for association after five (5) years to the appropriate self-regulatory organization, or if there is none, to the Commission. Johnson consented to the issuance of the Order. (Rel. 34-55510; File No. 3-12392) COMMISSION REVOKES REGISTRATION OF SECURITIES OF AMERICA'S SPORTS VOICE, INC. ((N/K/A MILAGRO HOLDINGS, INC.) FOR VIOLATING PERIODIC REPORTING REQUIREMENTS The Commission has revoked the registration of the securities of America's Sports Voice, Inc. (n/k/a Milagro Holdings, Inc.) for violating periodic reporting requirements, in violation of Exchange Act Section 13(a) and Commission Rules 13a-1 and 13a-13. The Commission found that America's Sports Voice had failed to file annual or quarterly reports for any period since June 30, 2001. The Commission concluded that, as America's Sports Voice's violations were very serious, recurrent, and evidenced a high degree of culpability, and as its filing history and current "highly troubling attitude towards Commission reporting requirements" suggest the strong likelihood of continuing or future violations, revoking the registration of its common stock was warranted for the protection of investors. (Rel. 34-55511; File No. 3-12329) INVESTMENT COMPANY ACT RELEASES BLDRS INDEX FUNDS TRUST, ET AL. An order has been issued on an application filed by BLDRS Index Funds Trust, et al. The order permits: (a) BLDRS Index Funds Trust, a unit investment trust with multiple series (each series, a Trust) whose portfolios will consist of the component stocks of various specified indices (Benchmark Indices) to issue shares (Trust Shares) that are only redeemable in large aggregations; (b) secondary market transactions in Trust Shares to occur at negotiated prices; (c) dealers to sell Trust Shares to purchasers in the secondary market unaccompanied by a prospectus when prospectus delivery is not required by the Securities Act of 1933; (d) the Trusts, rather than PowerShares Capital Management LLC (Sponsor), to bear certain expenses associated with maintaining the Trusts; (e) certain affiliated persons of the Trusts to deposit securities into, and receive securities from, the Trusts in connection with the purchase and redemption of Trust Shares; and (f) the Trusts to reimburse the Sponsor for payment of an annual licensing fee to the provider of the Benchmark Indices. (Rel. IC-27768 - March 21) 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 ALANCO TECHNOLOGIES INC, 15575 N 83RD WAY, SUITE 3, SCOTTSDALE, AZ, 85260, 4806071010 - 4,000,000 ($937.32) Equity, (File 333-141451 - Mar. 21) (BR. 03B) S-4 Belvedere SoCal, 1 MARITIME PLAZA, SUITE 825, SAN FRANCISCO, CA, 94546, 415-434-1236 - 1,339,000 ($26,438,555.80) Equity, (File 333-141453 - Mar. 21) (BR. 07) S-3 MICROVISION INC, 6222 185TH AVE NE, REDMOND, WA, 98052, 4254156847 - 0 ($35,000,000.00) Equity, (File 333-141454 - Mar. 21) (BR. 10B) S-3 MICROVISION INC, 6222 185TH AVE NE, REDMOND, WA, 98052, 4254156847 - 0 ($35,695,643.75) Equity, (File 333-141455 - Mar. 21) (BR. 10B) N-2 FIRST TRUST/GALLATIN SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUND, 1001 WARRENVILLE ROAD, SUITE 300, LISLE, IL, 60532, 630-241-4141 - 1,000 ($20,000.00) Equity, (File 333-141457 - Mar. 21) (BR. 18) S-8 MICROVISION INC, 6222 185TH AVE NE, REDMOND, WA, 98052, 4254156847 - 0 ($1,372,000.00) Equity, (File 333-141458 - Mar. 21) (BR. 10B) S-1 Aegerion Pharmaceuticals, Inc., 1140 ROUTE 22 EAST, SUITE 304, BRIDGEWATER, NJ, 08807, (908) 704-1300 - 0 ($86,250,000.00) Equity, (File 333-141459 - Mar. 21) (BR. 01) S-4 NEW HAMPSHIRE THRIFT BANCSHARES INC, 9 MAIN ST, THE CARRAIG HOUSE, NEWPORT, NH, 03257, 6038630886 - 0 ($16,094,492.30) Equity, (File 333-141460 - Mar. 21) (BR. 07B) S-8 GOLD STANDARD INC, 514 NO. 18 BUILDING, HIGH NEW TECHNOLOGY DEVELOPMENT, HARBIN, HEILONGJIANG, F4, 150000, 850451-82695010 - 6,000,000 ($2,400,000.00) Equity, (File 333-141461 - Mar. 21) (BR. 04B) S-8 INFINEON TECHNOLOGIES AG, AM CAMPEON 1-12, NEUBIBERG, MUNICH, 2M, D-85579, 01149892340 - 0 ($7,355,000.00) Equity, (File 333-141462 - Mar. 21) (BR. 10B) S-8 QUIKSILVER INC, 15202 GRAHAM STREET, HUNTINGTON BEACH, CA, 92649, 714-889-2200 - 0 ($33,669,000.00) Equity, (File 333-141463 - Mar. 21) (BR. 02A) S-3 GLOBECOMM SYSTEMS INC, 45 OSER AVENUE, HAUPPAUGE, NY, 11788, 5162319800 - 0 ($50,000,000.00) Equity, (File 333-141464 - Mar. 21) (BR. 11C) S-1 LOUISIANA BANCORP INC, 1600 VETERANS MEMORIAL BOULEVARD, METARIE, LA, 70005, 504-834-1190 - 0 ($70,092,500.00) Equity, (File 333-141465 - Mar. 21) (BR. ) S-4 CITIZENS COMMUNICATIONS CO, HIGH RIDGE PK BLDG 3, STAMFORD, CT, 06905, 2036145600 - 0 ($400,000,000.00) Non-Convertible Debt, (File 333-141466 - Mar. 21) (BR. 11A) S-8 Diabetic Treatment Centers of America, Inc., 5401 S KIRKMAN RD, SUITE 310, ORLANDO, FL, 32819, 407-926-6180 - 0 ($135,000.00) Equity, (File 333-141467 - Mar. 21) (BR. 01A) S-8 GOODYEAR TIRE & RUBBER CO /OH/, 1144 E MARKET ST, AKRON, OH, 44316, 2167962121 - 5,000,000 ($138,705,000.00) Equity, (File 333-141468 - Mar. 21) (BR. 06A) S-8 BAKERS FOOTWEAR GROUP INC, 2815 SCOTT AVE, ST LOUIS, MO, 63103, 3146210699 - 0 ($5,252,458.00) Equity, (File 333-141469 - Mar. 21) (BR. 02A) S-8 COVER ALL TECHNOLOGIES INC, 18 01 POLLITT DR, FAIR LAWN, NJ, 07410, 2017944800 - 5,000,000 ($5,800,000.00) Equity, (File 333-141470 - Mar. 21) (BR. 03B) S-8 AGREE REALTY CORP, 31850 NORTHWESTERN HGWY, FARMINGTON HILLS, MI, 48334, 8107374190 - 0 ($32,860,000.00) Equity, (File 333-141471 - Mar. 21) (BR. 08A) S-3 IDM PHARMA, INC., 9 PARKER, SUITE 100, IRVINE, CA, 92618-1605, 949-470-4751 - 5,349,563 ($15,941,698.00) Equity, (File 333-141472 - Mar. 21) (BR. 01A) S-8 NOVATEL INC, 1120 - 68 AVENUE NE, CALGARY ALBERTA CANA, A0, 00000, 4032954500 - 380,000 ($13,984,000.00) Equity, (File 333-141473 - Mar. 21) (BR. 10B) SB-2 QUAINT OAK BANCORP INC, 607 LAKESIDE DRIVE, SOUTHAMPTON, PA, 18966, 215 364 4059 - 1,388,625 ($13,886,250.00) Equity, (File 333-141474 - Mar. 21) (BR. ) S-3 KENDLE INTERNATIONAL INC, 441 VINE ST, STE 1200, CINCINNATI, OH, 45202, 5137631414 - 0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-141475 - Mar. 21) (BR. 01B) S-8 INVICTA GROUP INC, 9553 HARDING AVE, SUITE 301, MIAMI BEACH, FL, 33154, 3058666525 - 8,500,000 ($170,000.00) Equity, (File 333-141476 - Mar. 21) (BR. 05B) S-4 American Railcar Industries, Inc./DE, 100 CLARK STREET, ST. CHARLES, MO, 63301, 636-940-6000 - 0 ($275,000,000.00) Non-Convertible Debt, (File 333-141477 - Mar. 21) (BR. 05B) 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 21ST CENTURY HOLDING CO FL 1.02 03/15/07 AAR CORP DE 2.02,9.01 03/21/07 ABIOMED INC DE 8.01,9.01 03/21/07 Accredited Mortgage Loan REIT Trust MD 1.01,9.01 03/19/07 ACME COMMUNICATIONS INC DE 2.02 03/21/07 ACORDA THERAPEUTICS INC 5.03,9.01 03/21/07 ADVANCED MEDICAL OPTICS INC DE 7.01,8.01,9.01 03/20/07 AGILYSYS INC OH 1.01,2.03,9.01 03/16/07 Aircastle LTD D0 8.01,9.01 03/19/07 AKESIS PHARMACEUTICALS, INC. NV 1.01,3.02,5.02,8.01,9.01 03/15/07 ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 1.01,8.01,9.01 03/15/07 Aleris International, Inc. DE 1.01 03/16/07 ALLOS THERAPEUTICS INC DE 5.02,8.01,9.01 03/19/07 ALLSTATE CORP DE 5.02 03/16/07 AMERICAN EXPRESS RECEIVABLES FINANCIN DE 8.01,9.01 03/21/07 AMERICAN MEDIA OPERATIONS INC DE 2.02,2.06 03/15/07 AMERICAN TOWER CORP /MA/ DE 5.02,9.01 03/21/07 AMERIGROUP CORP 7.01,9.01 03/21/07 AMISTAR CORP CA 8.01,9.01 03/15/07 AMREP CORP. OK 5.02 03/20/07 AMTECH SYSTEMS INC AZ 1.01 03/15/07 AON CORP DE 5.02 03/15/07 APACHE CORP DE 5.02 03/16/07 APPLEBEES INTERNATIONAL INC DE 2.05,2.06 03/20/07 AQUILA INC DE 1.01,1.02,5.02,9.01 03/16/07 ASCENDIA BRANDS, INC. DE 1.01,3.02,9.01 03/15/07 ASHLAND INC. KY 7.01,9.01 03/21/07 ASIAMART, INC. DE 7.01,9.01 03/19/07 ASSISTED LIVING CONCEPTS INC NV 7.01,9.01 03/21/07 ASSURANT INC 2.02 03/21/07 ATLANTIC COAST ENTERTAINMENT HOLDINGS NJ 3.03,8.01,9.01 03/16/07 ATS CORP DE 5.02,9.01 03/19/07 AURORA GOLD CORP DE 8.01,9.01 03/20/07 AUTOBYTEL INC DE 2.02,9.01 03/15/07 AUTOMATIC DATA PROCESSING INC DE 1.01,2.02,9.01 03/20/07 AUTONATION INC /FL DE 5.02 03/20/07 AVALON PHARMACEUTICALS INC 2.02,9.01 03/21/07 AVENTINE RENEWABLE ENERGY HOLDINGS IN 1.01 03/14/07 BAKBONE SOFTWARE INC 5.02 02/28/07 BAKERS FOOTWEAR GROUP INC MO 5.02,9.01 03/15/07 BALCHEM CORP MD 1.01,2.01,2.03,9.01 03/16/07 BEIJING MED PHARM CORP 1.01,9.01 03/15/07 BERKELEY TECHNOLOGY LTD 2.02,7.01 03/21/07 BH RE LLC NV 5.02 11/15/06 BIOFIELD CORP \DE\ DE 4.01 03/21/07 BIRNER DENTAL MANAGEMENT SERVICES INC CO 2.02,9.01 03/21/07 BLACKBAUD INC 5.02,9.01 03/15/07 Boardwalk Pipeline Partners, LP DE 1.01,7.01,9.01 03/19/07 BOOTS & COOTS INTERNATIONAL WELL CONT DE 2.02,9.01 03/20/07 BORLAND SOFTWARE CORP DE 2.02,9.01 03/15/07 AMEND BOSTON COMMUNICATIONS GROUP INC MA 5.02 03/15/07 BOSTON PROPERTIES INC DE 5.02,9.01 03/21/07 BOSTON PROPERTIES LTD PARTNERSHIP 5.02,9.01 03/21/07 BROADCAST INTERNATIONAL INC UT 3.02 12/28/06 BROADRIDGE FINANCIAL SOLUTIONS, LLC DE 1.01,7.01,9.01 03/20/07 BROOKE CORP KS 7.01,9.01 03/16/07 BUILDING MATERIALS CORP OF AMERICA DE 1.01,8.01,9.01 03/15/07 BULLION RIVER GOLD CORP 1.01,2.03,9.01 03/12/07 BULLION RIVER GOLD CORP 3.02 03/20/07 CABLEVISION SYSTEMS CORP /NY DE 8.01 03/20/07 CACI INTERNATIONAL INC /DE/ DE 5.03,9.01 03/21/07 CALGON CARBON CORPORATION DE 8.01 03/21/07 CALLIDUS SOFTWARE INC 5.02,9.01 03/16/07 CAMBREX CORP DE 4.01,9.01 03/16/07 CAPITAL CITY BANK GROUP INC FL 4.01 03/15/07 AMEND CAPSTEAD MORTGAGE CORP MD 7.01,9.01 03/21/07 Cardium Therapeutics, Inc. 5.02 03/16/07 CAREMARK RX INC DE 8.01,9.01 03/20/07 CASEYS GENERAL STORES INC IA 5.02,9.01 03/21/07 CBOT HOLDINGS INC DE 8.01,9.01 03/20/07 CENTRUE FINANCIAL CORP DE 2.02,9.01 03/21/07 CERTO GROUP CORP. DE 1.01,2.03,3.02,9.01 03/15/07 CHARMING SHOPPES INC PA 2.02,9.01 03/21/07 CHENIERE ENERGY INC DE 7.01,9.01 03/20/07 CHINA PROPERTIES DEVELOPMENTS INC 4.01,9.01 03/19/07 CHINA YOU TV CORP. NV 5.02 03/21/07 CHINA YOU TV CORP. NV 5.02 03/21/07 CHIPOTLE MEXICAN GRILL INC 1.01,5.02,9.01 03/15/07 CINTEL CORP NV 1.01,9.01 03/15/07 CISCO SYSTEMS INC CA 1.01,9.01 03/15/07 CLEARCOMM L P DE 8.01 03/07/07 CLEVELAND CLIFFS INC OH 1.01 03/19/07 CNB BANCORP INC/VA VA 7.01 03/21/07 CNH CAPITAL RECEIVABLES LLC DE 1.01,9.01 03/16/07 Coconut Palm Acquisition Corp. DE 7.01,8.01,9.01 03/20/07 Cogdell Spencer Inc. MD 1.01,9.01 03/19/07 COMPUDYNE CORP NV 5.02 03/21/07 CONOLOG CORP DE 2.02,9.01 03/16/07 CORN PRODUCTS INTERNATIONAL INC DE 5.03,9.01 03/21/07 CREDIT ACCEPTANCE CORPORATION MI 5.02,9.01 03/21/07 CREDIT ACCEPTANCE CORPORATION MI 5.02,7.01,9.01 03/15/07 AMEND CRONOS GROUP 8.01,9.01 03/21/07 CSP INC /MA/ MA 4.01 03/15/07 CTC Media, Inc. 5.02 03/19/07 CWHEQ Home Equity Loan Trust, Series 8.01,9.01 02/28/07 CYTYC CORP DE 8.01,9.01 03/16/07 DAVE & BUSTERS INC MO 5.02 03/16/07 DAYTON SUPERIOR CORP DE 5.02,9.01 03/15/07 Deep Down, Inc. NV 3.02,5.02 03/20/07 DELPHAX TECHNOLOGIES INC MN 7.01,9.01 03/21/07 Deutsche Alt-A Securities Mortgage Lo 8.01,9.01 03/21/07 AMEND DEXCOM INC 1.01 03/15/07 Diamond Foods Inc DE 1.01,9.01 03/16/07 DIOMED HOLDINGS INC NV 5.02 03/16/07 DOLLAR TREE STORES INC VA 7.01 03/15/07 DORAL FINANCIAL CORP PR 7.01,8.01,9.01 03/15/07 DOTRONIX INC WI 1.01,9.01 03/20/07 DTE ENERGY CO MI 7.01,9.01 03/21/07 Dujour Products, Inc. NV 5.02,9.01 03/19/07 DVL INC /DE/ DE 1.01,2.03 03/16/07 EAGLE MATERIALS INC DE 7.01,9.01 03/21/07 EDIETS COM INC DE 2.02,9.01 03/21/07 EDIETS COM INC DE 8.01 03/14/07 AMEND EGL INC TX 8.01,9.01 03/21/07 ELECTROGLAS INC DE 5.02,9.01 03/20/07 EMERITUS CORP\WA\ WA 1.02,2.03,8.01,9.01 03/15/07 ENCYSIVE PHARMACEUTICALS INC DE 8.01 03/21/07 ENERGY WEST INC MT 7.01,9.01 03/21/07 ENTERPRISE PRODUCTS PARTNERS L P DE 8.01,9.01 12/31/06 EQUINIX INC DE 2.03 03/15/07 ESB FINANCIAL CORP PA 8.01,9.01 03/21/07 ev3 Inc. DE 1.01,2.03,9.01 03/15/07 Extra Space Storage Inc. MD 8.01,9.01 03/20/07 EZENIA INC DE 2.02,9.01 03/21/07 FEDEX CORP DE 2.02,9.01 03/21/07 FINISAR CORP DE 3.01,9.01 03/15/07 FIRST AMERICAN CAPITAL CORP /KS KS 7.01,9.01 03/20/07 FIRST CHARTER CORP /NC/ NC 3.01,9.01 03/21/07 FLORIDA PUBLIC UTILITIES CO FL 1.01 03/16/07 FLUSHING FINANCIAL CORP DE 7.01,9.01 03/19/07 FLYI INC DE 1.03 03/15/07 FOREST OIL CORP NY 7.01,8.01,9.01 03/21/07 Fortunet, Inc. NV 2.02,9.01 03/21/07 FOUNDRY NETWORKS INC DE 5.02 03/15/07 FREMONT GENERAL CORP NV 8.01,9.01 03/21/07 GCI INC AK 1.01 03/21/07 GENERAL COMMUNICATION INC AK 1.01 03/21/07 GENERAL ENVIRONMENTAL CORP/NH 8.01 03/01/07 GENTEK INC DE 2.02,9.01 03/20/07 GLOBETEL COMMUNICATIONS CORP DE 5.02 03/13/07 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 03/16/07 GREATER COMMUNITY BANCORP NJ 8.01,9.01 03/20/07 GREEN MOUNTAIN COFFEE ROASTERS INC DE 5.02,5.03,9.01 03/15/07 Greenpoint Mortgage Funding Trust 200 DE 9.01 03/06/07 GROUP 1 AUTOMOTIVE INC DE 1.01,2.03,9.01 03/19/07 GRUBB & ELLIS CO DE 1.01,9.01 03/16/07 GSAMP Trust 2007-HE1 DE 8.01,9.01 02/23/07 GTREX CAPITAL, INC. DE 5.02 03/19/07 H&R BLOCK INC MO 1.01,2.03 03/15/07 H&R BLOCK INC MO 1.01,2.03 03/15/07 HANOVER COMPRESSOR CO / DE 5.02,9.01 03/15/07 Harbor Acquisition Corp. DE 8.01,9.01 03/21/07 HARRINGTON WEST FINANCIAL GROUP INC/C 7.01,9.01 03/21/07 HARRIS & HARRIS GROUP INC /NY/ NY 5.02 03/20/07 HEARTLAND OIL & GAS CORP NV 4.01,8.01 03/16/07 HIRSCH INTERNATIONAL CORP NY 2.02,9.01 03/21/07 Home Equity Mortgage Loan Asset-Backe DE 8.01,9.01 03/13/07 Home Loan Trust 2007-HI1 DE 8.01,9.01 03/21/07 HYDROGEN POWER INC DE 5.02,9.01 03/15/07 I-LEVEL MEDIA GROUP INC NV 1.01,2.01,5.01,5.02,8.01,9.01 03/20/07 IDENIX PHARMACEUTICALS INC 5.02,9.01 03/20/07 IHS Inc. DE 2.02,9.01 03/21/07 IMERGENT INC DE 7.01 03/19/07 INFOSONICS CORP 7.01,9.01 03/21/07 INFOUSA INC DE 1.01,9.01 03/16/07 INNOFONE COM INC NV 1.01,2.03,3.02,9.01 03/18/07 Innova Robotics & Automation, Inc. NV 1.01,2.01,2.03,3.02,9.01 03/16/07 INTEGRA LIFESCIENCES HOLDINGS CORP DE 5.02,9.01 03/21/07 INTEGRAMED AMERICA INC DE 7.01 03/19/07 INTERCARE DX INC CA 8.01 03/18/07 INTERNATIONAL BUSINESS MACHINES CORP NY 9.01 03/19/07 INTERNATIONAL FOOD & WINE CONSULTANTS NV 5.02 03/16/07 INTERSTATE BAKERIES CORP/DE/ DE 5.03,9.01 03/16/07 J.P. Morgan Mortgage Trust 2006-A7 DE 8.01,9.01 01/08/07 AMEND JAMBA, INC. DE 5.03,9.01 03/15/07 JETBLUE AIRWAYS CORP DE 7.01,9.01 03/21/07 JMAR TECHNOLOGIES INC DE 5.02,9.01 03/15/07 Joystar Inc CA 5.02 03/19/07 KAPSTONE PAPER & PACKAGING CORP DE 9.01 12/29/06 AMEND KELLWOOD CO DE 5.02,5.03,9.01 03/15/07 KENDLE INTERNATIONAL INC OH 9.01 11/01/06 AMEND KEY TECHNOLOGY INC OR 5.02 03/16/07 KIMCO REALTY CORP MD 5.02 03/08/07 KINDER MORGAN ENERGY PARTNERS L P DE 9.01 12/31/06 KLONDIKE STAR MINERAL CORP DE 2.02,7.01,8.01 03/02/07 L-1 IDENTITY SOLUTIONS, INC. DE 7.01,9.01 03/21/07 LAIDLAW INTERNATIONAL INC DE 7.01,9.01 03/21/07 LEAP WIRELESS INTERNATIONAL INC DE 1.01,2.03,9.01 03/15/07 LECG CORP DE 5.02 03/15/07 LEGACY RESERVES L P 7.01,9.01 03/21/07 LEGACY RESERVES L P 1.01,3.02,7.01,9.01 03/20/07 LEHMAN BROTHERS HOLDINGS INC DE 9.01 03/16/07 LENNOX INTERNATIONAL INC DE 3.02,9.01 03/16/07 LONGVIEW FIBRE CO WA 1.01 03/19/07 LORAL SPACE & COMMUNICATIONS INC. DE 1.01,8.01,9.01 03/20/07 LSI INDUSTRIES INC OH 1.01,2.03,9.01 03/21/07 LTV CORP DE 8.01,9.01 03/21/07 MACK CALI REALTY CORP MD 1.01,9.01 03/15/07 MANITOWOC CO INC WI 1.01,3.03,9.01 03/21/07 MARINE GROWTH VENTURES INC 1.01,9.01 03/15/07 Marketing Acquisition CORP NV 1.01,5.01,5.02,9.01 03/21/07 MATERIAL SCIENCES CORP DE 2.02,9.01 03/19/07 MAX & ERMAS RESTAURANTS INC DE 2.02,5.03,9.01 03/16/07 MCMORAN EXPLORATION CO /DE/ DE 8.01,9.01 03/21/07 MEDIS TECHNOLOGIES LTD DE 8.01,9.01 03/20/07 MELO BIOTECHNOLOGY HOLDINGS INC. A6 4.01 03/21/07 MERIDIAN HOLDINGS INC CO 8.01 03/18/07 Merisant Worldwide, Inc. DE 5.02 03/15/07 MERRILL LYNCH & CO INC DE 3.03,5.03,8.01,9.01 03/16/07 MERRILL LYNCH & CO INC DE 8.01,9.01 03/21/07 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 03/15/07 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 03/15/07 METALICO INC 5.02,9.01 03/21/07 MIDDLEBURG FINANCIAL CORP VA 5.02 03/15/07 MIDWAY GAMES INC DE 5.03,9.01 03/21/07 MILLER HERMAN INC MI 2.02,9.01 03/21/06 MONMOUTH CAPITAL CORP NJ 2.02,9.01 03/21/07 MORGAN STANLEY DE 2.02,9.01 03/21/07 Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 02/28/07 MOTOROLA INC DE 5.02,7.01,8.01,9.01 03/21/07 MSX INTERNATIONAL INC DE 7.01,9.01 03/20/07 MYMETICS CORP DE 1.01,1.02,3.02,8.01,9.01 03/19/07 NACCO INDUSTRIES INC DE 2.02,7.01,9.01 03/21/07 National Health Partners Inc 5.02 03/15/07 NATIONAL MERCANTILE BANCORP CA 2.02,9.01 03/12/07 NATURAL ALTERNATIVES INTERNATIONAL IN DE 8.01,9.01 03/16/07 NB&T FINANCIAL GROUP INC OH 8.01 03/20/07 Neiman Marcus, Inc. DE 4.01,9.01 03/19/07 NEOSE TECHNOLOGIES INC DE 8.01,9.01 03/21/07 NETBANK INC GA 7.01,9.01 03/20/07 NETBANK INC GA 5.02,9.01 03/15/07 NEUROLOGIX INC/DE DE 7.01,9.01 03/21/07 NEWPOWER HOLDINGS INC DE 8.01,9.01 03/21/07 NORTEL NETWORKS CORP 5.02 03/15/07 NORTEL NETWORKS LTD 5.02 03/15/07 North Atlantic Holding Company, Inc. DE 8.01,9.01 03/20/07 NORTH ATLANTIC TRADING CO INC NY 8.01,9.01 03/20/07 NT HOLDING CORP. DE 4.01 03/19/07 NUVELO INC DE 8.01 03/19/07 NYMEX HOLDINGS INC DE 8.01,9.01 03/21/07 OLD SECOND BANCORP INC DE 8.01 03/20/07 OMNI ENERGY SERVICES CORP LA 2.02,9.01 03/15/07 ON ASSIGNMENT INC DE 9.01 01/03/07 AMEND ONEOK Partners LP DE 8.01,9.01 03/21/07 ONLINE VACATION CENTER HOLDINGS CORP 1.01,2.01,3.02,9.01 01/03/07 AMEND OSTEOTECH INC DE 1.01 03/15/07 PANHANDLE EASTERN PIPE LINE CO LP DE 1.01,2.03,9.01 03/15/07 PATAPSCO BANCORP INC MD 1.01,9.01 03/19/07 PC TEL INC DE 5.02 03/16/07 PENNICHUCK CORP NH 2.02,9.01 03/16/07 PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 03/20/07 PetroHunter Energy Corp MD 1.01,2.03,7.01,9.01 01/09/07 AMEND Pharma-Bio Serv, Inc. 2.02,9.01 03/20/07 PHARMOS CORP NV 2.02,9.01 03/15/07 PHH CORP MD 3.01,9.01 03/19/07 Phinder Technologies Inc FL 1.01,2.03,9.01 03/13/07 PLC SYSTEMS INC 1.01,1.02,2.02,9.01 03/20/07 POWER 3 MEDICAL PRODUCTS INC NY 1.01,3.02,9.01 03/15/07 PPLUS Trust Series JPM-1 DE 8.01,9.01 03/15/07 PRIDE INTERNATIONAL INC DE 5.02,9.01 03/15/07 PRINCIPAL LIFE INCOME FUNDINGS TRUST 8.01,9.01 04/03/06 PRINCIPAL LIFE INCOME FUNDINGS TRUST 8.01,9.01 10/02/06 PRINCIPAL LIFE INSURANCE CO IA 9.01 03/16/07 PRINCIPAL LIFE INSURANCE CO IA 9.01 03/16/07 PRINCIPAL LIFE INSURANCE CO IA 9.01 03/16/07 PRO PHARMACEUTICALS INC NV 1.01,3.02,9.01 03/20/07 PROSPERO MINERALS CORP. NV 5.02 03/18/07 QPC Lasers NV 2.02,9.01 03/16/07 QUADRAMED CORP DE 2.02,8.01,9.01 03/15/07 QUEST OIL CORP NV 8.01,9.01 03/20/07 RADIO ONE INC DE 2.02,3.01,9.01 03/19/07 RAINING DATA CORP DE 5.02 03/16/07 RALI Series 2006-QH1 Trust DE 8.01,9.01 03/21/07 AMEND RAMBUS INC DE 8.01,9.01 03/19/07 RCM TECHNOLOGIES INC NV 2.02,9.01 12/30/06 READING INTERNATIONAL INC NV 5.02 03/15/07 ROO GROUP INC DE 2.02,9.01 03/15/07 ROSS STORES INC DE 2.02,9.01 03/21/07 ROWAN COMPANIES INC DE 7.01,9.01 03/21/07 RTG VENTURES INC FL 1.01,9.01 03/20/07 RURAL/METRO CORP /DE/ DE 8.01,9.01 03/20/07 SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 03/20/07 Santander Drive Auto Receivables Trus DE 6.01,8.01,9.01 03/19/07 SaVi Media Group, Inc. NV 3.02,5.02,8.01,9.01 03/21/07 SCANTEK MEDICAL INC DE 1.01,7.01,9.01 03/07/07 SCM MICROSYSTEMS INC DE 5.02 03/17/07 SEACOR HOLDINGS INC /NEW/ DE 7.01,9.01 03/20/07 SENSUS METERING SYSTEMS BERMUDA 2 LTD 5.02 03/16/07 SERVICEMASTER CO DE 8.01,9.01 03/19/07 Shire plc 8.01,9.01 03/20/07 Shire plc 8.01,9.01 03/21/07 SHUFFLE MASTER INC MN 3.01,9.01 03/15/07 SIGMA DESIGNS INC CA 2.02,9.01 03/21/07 SIMTROL INC DE 3.02,5.02,5.03,9.01 03/16/07 Sinoenergy CORP NV 1.01,8.01,9.01 03/16/07 SIRICOMM INC DE 1.01,9.01 03/15/07 SIRICOMM INC DE 4.01,9.01 03/07/07 AMEND SIRIUS SATELLITE RADIO INC DE 8.01,9.01 03/20/07 SL GREEN REALTY CORP MD 7.01,8.01,9.01 03/20/07 SMITH & WESSON HOLDING CORP NV 7.01,9.01 03/21/07 SONA MOBILE HOLDINGS CORP DE 1.01,9.01 03/15/07 SOUNDVIEW HOME LOAN TRUST 2007-WMC1 DE 9.01 03/13/07 SOUNDVIEW HOME LOAN TRUST 2007-WMC1 DE 7.01 03/13/07 SOUTH STREET FINANCIAL CORP NC 8.01,9.01 03/20/07 SOUTHERN UNION CO DE 1.01,2.03,9.01 03/15/07 SOUTHRIDGE ENTERPRISES INC. NV 4.01,9.01 02/22/07 SOUTHWEST WATER CO DE 8.01,9.01 03/21/07 SPARK NETWORKS PLC X0 7.01 03/15/07 SPECTRALINK CORP CO 5.01,9.01 03/20/07 Spectrum Brands, Inc. WI 7.01,9.01 03/21/07 SPIRE CORP MA 5.02,9.01 03/15/07 STAAR SURGICAL CO DE 1.01,7.01 03/14/07 STANDARD MOTOR PRODUCTS INC NY 1.01,1.02,8.01,9.01 03/20/07 STANLEY WORKS CT 7.01,9.01 03/21/07 STERLING BANCORP NY 5.02 03/15/07 Storm Cat Energy CORP 2.02,9.01 03/19/07 SUPERGEN INC DE 5.02 03/15/07 SYNTHETECH INC OR 7.01 03/21/07 TARGET RECEIVABLES CORP MN 8.01,9.01 03/21/07 TARGET RECEIVABLES CORP MN 8.01,9.01 03/21/07 TECUMSEH PRODUCTS CO MI 2.04,7.01,9.01 03/15/07 TELEPHONE & DATA SYSTEMS INC /DE/ DE 3.01,9.01 03/19/07 TELESTONE TECHNOLOGIES CORP CO 2.02,9.01 03/21/07 TESSERA TECHNOLOGIES INC DE 5.03,8.01,9.01 03/15/07 THEGLOBE COM INC DE 2.05,8.01 03/15/07 Tia V,Inc DE 1.02,3.02 03/14/07 TITAN INTERNATIONAL INC IL 8.01,9.01 03/21/07 TRANSOCEAN INC E9 7.01,9.01 03/21/07 TRIMERIS INC DE 2.02,8.01,9.01 03/15/07 TRIMERIS INC DE 2.02,8.01,9.01 03/15/07 TRIPOS INC UT 7.01,9.01 03/20/07 Triton Petroleum Group Inc 5.02,9.01 03/19/07 TYCO INTERNATIONAL LTD /BER/ D0 4.01 03/16/07 TYCO INTERNATIONAL LTD /BER/ D0 4.01 03/16/07 UAP HOLDING CORP DE 4.01,9.01 03/19/07 UBS Managed Futures LLC (Aspect Serie 3.02 03/15/07 ULTRALIFE BATTERIES INC DE 7.01,9.01 03/21/07 UNITED AUTO GROUP INC DE 1.02,9.01 03/21/07 UNITED COMPONENTS INC DE 2.02,9.01 03/21/07 UNITED STATES CELLULAR CORP DE 3.01,9.01 03/19/07 UNIVERSAL HEALTH SERVICES INC DE 4.01,9.01 03/16/07 UNIVERSAL HEALTH SERVICES INC DE 5.02 03/15/07 Uranium Hunter CORP NV 5.02 03/05/07 US HOME SYSTEMS INC DE 2.02,5.02,9.01 03/19/07 US WIRELESS ONLINE INC NV 4.01,9.01 03/21/07 USANA HEALTH SCIENCES INC UT 8.01,9.01 03/19/07 UTi WORLDWIDE INC 5.02,7.01,9.01 03/19/07 VALUEVISION MEDIA INC MN 2.02,9.01 03/20/07 VCG HOLDING CORP CO 2.01,2.03,8.01,9.01 03/20/07 VEECO INSTRUMENTS INC DE 1.01,9.01 03/21/07 VILLAGE SUPER MARKET INC NJ 7.01,9.01 03/21/07 VIROPHARMA INC DE 7.01,9.01 03/20/07 VMS NATIONAL PROPERTIES JOINT VENTURE IL 1.01,9.01 03/15/06 VMS NATIONAL PROPERTIES JOINT VENTURE IL 1.01,9.01 03/15/06 VNUS MEDICAL TECHNOLOGIES INC 1.01,9.01 03/15/07 Vyteris Holdings (Nevada), Inc. NV 3.02 03/15/07 WACCAMAW BANKSHARES INC NC 8.01,9.01 03/21/07 WCI COMMUNITIES INC 8.01 03/19/07 Wells Fargo Mortgage Backed Securitie DE 9.01 03/21/07 WELLS REAL ESTATE FUND IX LP GA 7.01,9.01 03/21/07 WELLS REAL ESTATE FUND X L P GA 7.01,9.01 03/21/07 WELLS REAL ESTATE FUND XI L P GA 7.01,9.01 03/21/07 WELLS REAL ESTATE FUND XIII L P 7.01,9.01 03/21/07 WELLS REAL ESTATE FUND XIV LP GA 7.01,9.01 03/21/07 WESTBOROUGH FINANCIAL SERVICES INC MA 8.01,9.01 03/20/07 WHOLE FOODS MARKET INC TX 8.01 03/21/07 WIDEPOINT CORP DE 2.02,9.01 03/15/07 WIRELESS AGE COMMUNICATIONS INC NV 2.04,8.01 03/15/07 World Energy Solutions, Inc. DE 2.02,9.01 03/21/07 WSI INDUSTRIES, INC. MN 2.02,8.01,9.01 03/20/07 XECHEM INTERNATIONAL INC DE 4.01,9.01 03/15/07 XM SATELLITE RADIO HOLDINGS INC DE 8.01,9.01 03/20/07 XPONENTIAL INC DE 5.02,9.01 01/01/07 Zagg INC 4.01,9.01 03/19/07