SEC NEWS DIGEST Issue 2006-234 December 6, 2006 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS Following is a schedule of Commission meetings, which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration. Open meetings will be held in the Auditorium, Room LL-002 at the Commission's headquarters building, 100 F Street, N.E., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting. Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact Rochelle Franks, Office of Human Resources, to make arrangements. Ms. Franks can be reached at TTY number (202) 551-4106. In the event Ms. Franks cannot be reached, you may call the interpreter directly at (202) 551-4158. If you are calling from a non TTY number, please call the Relay Service at 1 866 377 8642. OPEN MEETING – WEDNESDAY, DECEMBER 13, 2006 – 10:00 A.M. An Open Meeting will be held on Wednesday, December 13, 2006, at 10:00 a.m. in Room L-002, the Auditorium. The subject matters of the open meeting scheduled will be 1. The Commission will consider whether to propose, jointly with the Board of Governors of the Federal Reserve System, new rules under the Securities Exchange Act of 1934 (“Exchange Act”) to implement the Gramm-Leach-Bliley Act bank exceptions to the definition of “broker.” The Commission will also consider extending the temporary exemption of banks from the definition of “broker.” In addition, the Commission will consider whether to propose additional related rules, including rules exempting banks from the definition of “dealer” under the Exchange Act. 2. The Commission will consider whether to repropose a new rule that would enable a foreign private issuer meeting specified conditions to terminate permanently its Exchange Act registration and reporting obligations under Section 12(g) regarding a class of equity securities and its Section 15(d) reporting obligations regarding a class of equity or debt securities. The Commission will also consider whether to repropose a rule amendment that would apply the exemption from Exchange Act registration under Rule 12g3-2(b) to a class of equity securities immediately upon the effective date of the issuer's termination of registration and reporting obligations under the reproposed new exit rule. 3. The Commission will consider whether to propose interpretive guidance to assist the management of an Exchange Act reporting company, other than an investment company registered under Section 8 of the Investment Company Act of 1940, in planning and performing its annual evaluation of internal control over financial reporting. The Commission will also consider whether to propose amendments to Rules 13a-15 and 15d-15 under the Exchange Act that would make it clear that a company choosing to perform an evaluation of internal control in accordance with the interpretive guidance would satisfy the annual evaluation required by those rules. 4. The Commission will consider whether to adopt amendments to the proxy rules under Section 14 of the Exchange Act. The amendments would provide an alternative for Internet-based disclosure. Companies conducting proxy solicitations could satisfy the Rule 14a-3 requirement to furnish proxy materials by posting those proxy materials on an Internet website and providing shareholders with notice of the Internet availability of the materials. Other soliciting persons also would be permitted to follow the Internet alternative. The Commission also will consider whether to propose mandating Internet disclosure of proxy materials. 5. The Commission will consider whether to propose a new antifraud rule under Section 206 of the Investment Advisers Act of 1940. The Commission will also consider whether to propose a new rule under the Securities Act of 1933 to revise the criteria for natural persons to be considered “accredited investors” for purposes of investing in certain privately offered investment vehicles. 6. The Commission will consider whether to re-open the comment period on proposed Rule 0-1(a)(7) under the Investment Company Act of 1940 to enhance the independence and effectiveness of investment company directors, and in connection therewith, to publish economic analyses of mutual fund governance and independence issues by the Office of Economic Analysis. 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. RULES AND RELATED MATTERS 2007 PCAOB BUDGET AND ACCOUNTING SUPPORT FEES The Commission issued an order approving the budget and annual accounting support fee of the Public Company Accounting Oversight Board under Section 109 of the Sarbanes-Oxley Act of 2002. (Rels. 33- 8757; 34-54865) ENFORCEMENT PROCEEDINGS COMMISSION ORDERS HEARINGS ON REGISTRATION REVOCATION AGAINST FOUR DELINQUENT COMPANIES FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On December 6, the Commission today instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of four companies for failure to make required periodic filings with the Commission: * Antares Resources Corp.. (ANRR) * East Coast Beverage Corp. (n/k/a North American Food & Beverage Corp.) (NFBC) * Hatco Holdings, Ltd. * V Formation, Inc. In this Order, the Division of Enforcement (Division) alleges that the four issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of the securities of these respondents should be revoked, or in the alternative, suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-54877; File No. 3-12499) IN THE MATTER OF UTILITYNETCOM, INC. On December 6, the Commission filed a civil complaint in the U.S. District Court for the Northern District of Texas against Lindsey P. Vinson, a Fort Worth attorney, and Clyde R. Parks, a Dallas attorney, for their roles in a fraudulent scheme involving the common stock of Moliris Corp. (Moliris), now known as Digifonica International, Corp. Vinson, who was enjoined in a previous SEC action (See LR-17011, May 21, 2001), has consented to full relief. According to the SEC’s complaint, after Vinson and Parks gained control of Moliris in October 2003, then a dormant public shell, Vinson embarked upon a scheme to enrich himself at the expense of Moliris’s shareholders. The SEC alleges in its complaint that Vinson publicly represented, and fostered the impression, that he had transferred his ownership in Moliris to Parks -- Vinson’s personal lawyer and periodic business partner -- resigned as president and a director of Moliris, and installed Parks as Moliris’s chief executive officer, when, in fact, neither Vinson nor Parks had carried through on any of these actions. According to the complaint, Vinson’s aim in orchestrating the scheme was to benefit from an artificially inflated price for Moliris stock, and that to secure that benefit, Vinson concealed his continuing control of Moliris, his SEC disciplinary background and his prior bankruptcies. Specifically, the SEC alleges that Vinson was responsible for Moliris’s filing Commission reports and issuing press releases that fraudulently concealed his control of the company and fraudulently inflated Moliris’s business prospects, and that Vinson provided false and misleading information to market makers to induce them to quote Moliris’s stock on the OTC Bulletin Board. According to the complaint, Parks, in contrast, had little or no involvement with Moliris other than his signing and certifying, through August 2005, each of Moliris’s Commission filings. The SEC alleges that the scheme enabled Vinson to misappropriate funds from Moliris’s bank accounts, and facilitated Vinson’s and Parks’s unjust enrichment upon sales of their Moliris stock. Without admitting or denying the allegations in the complaint, Vinson consented to a final judgment permanently enjoining him from violating Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5, 13b2-1 and 13b2-2 thereunder, and from aiding or abetting violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act, and Rules 12b-20, 13a-1 and 13a-13, imposing on him an officer-and-director bar and a penny stock bar, and directing him to pay disgorgement of $200,597, plus $29,321 in prejudgment interest, and a civil penalty of $200,000. Vinson also consented to the issuance of a Commission order pursuant to Rule 102(e) of the Commission's Rules of Practice, suspending Vinson from appearing or practicing before the Commission. The SEC alleges in its complaint that Parks violated Sections 10(b) and 13(b)(5) of the Exchange Act and Rules 10b-5, 13a-14, 13b2-1 and 13b2-2 thereunder, and aided and abetted violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act, and Rules 12b-20, 13a-1 and 13a-13 thereunder. The SEC seeks a judgment against Parks: (i) enjoining him from violating or aiding and abetting violations of the above-referenced provisions; (ii) imposing on him officer-and- director and penny stock bars; (iii) ordering him to pay disgorgement, plus prejudgment interest; and (iv)ordering him to pay a civil penalty. In a related action, on December 6, Vinson consented, on behalf of Utilitynetcom, Inc., a company he controls, to an order issued pursuant to Section 12(j) of the Exchange Act, revoking the Commission registration of the company’s securities for failing to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13. [SEC v. Lindsey P. Vinson and Clyde R. Parks, Civil Action No. 3:06CV2240-D. (JSF), USDC, Northern District of Texas (Dallas Division)] (LR-19937); Administrative Proceeding In the Matter of Utilitynetcom, Inc. (Rel. 34-54878; File No. 3-12500) IN THE MATTER OF CHINA ENERGY SAVINGS TECHNOLOGY, INC. An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default (Default Order) in the matter of China Energy Savings Technology, Inc. The Order Instituting Proceedings alleged that Respondent China Energy Savings Technology, Inc., failed repeatedly to file required 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 it has with the Commission, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-54881; File No. 3-12430) ADDITIONS AND CORRECTIONS A summary in yesterday’s Digest entitled “IN THE MATTER OF HEALTH ENHANCEMENT PRODUCTS, INC.” omitted the following litigation cite: [SEC v. Howard R. Baer and Kevin C. Baer, Civil Action No. CV06-2792- PHX-EHC (D. Ariz.)] (LR-19936). INVESTMENT COMPANY ACT RELEASES ANNUITY INVESTORS LIFE INSURANCE COMPANY, ET AL. An order has been issued to Annuity Investors Life Insurance Company and Annuity Investors Variable Account A, Annuity Investors Variable Account B, and Annuity Investors Variable Account C (Separate Accounts) pursuant to Section 26(c) of the Investment Company Act permitting the substitution of securities issued by certain registered investment companies and held by the Separate Accounts for shares of certain other registered investment companies. (Rel. IC-27589 – December 4) PUTNAM DIVERSIFIED INCOME TRUST, ET AL. An order has been issued on an application filed by Putnam Diversified Income Trust, et al., under Section 12(d)(1)(J) of the Investment Company Act for an exemption from Sections 12(d)(1)(A) and (B) of the Act, and under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act. The order permits certain registered open- and closed-end management investment companies to acquire shares of other registered open-end management investment companies that are within the same group of investment companies and to invest in other securities and financial instruments. (Rel. IC-27590 - December 4) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGE The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx- 2006-51) relating to performance evaluations for Streaming Quote Traders and Remote Streaming Quote Traders pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of December 4. (Rel. 34-54859) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-Amex-2006-111) filed by the American Stock Exchange relating to odd-lot rejections by away markets in the AEMI- One Pilot has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of December 4. (Rel. 34-54866) A proposed rule change (SR-NASD-2006-123) and Amendment No. 1 thereto filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., regarding guidance for adjudicating clearly erroneous transactions under NASD Rule 11890 has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of December 4. (Rel. 34-54873) JOINT INDUSTRY PLANS NOTICE OF FILING OF PROPOSED AMENDMENT TO THE PLAN FOR REPORTING OF CONSOLIDATED OPTIONS LAST SALE REPORTS AND QUOTATION INFORMATION The Options Price Reporting Authority filed a proposed Plan amendment pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608 thereunder (SR-OPRA-2006-02) to provide that classes of Foreign Currency Options newly introduced for trading by any of the parties to the Plan be treated under the provision “Special Temporary Provision for Newly Traded FCO Securities” during a temporary period ending on Dec. 31, 2007. Publication is expected in the Federal Register during the week of December 4. (Rel. 34-54870) 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 BDC Capital, Inc., 11974 PORTLAND AVENUE, BURNSVILLE, MN, 55337, 952 890-2362 - 5,000,000 ($12,250,000.00) Equity, (File 333-139122 - Dec. 5) (BR. 18) S-4 Level 3 Financing, Inc., 1025 ELDORADO BLVD., BROOMFIELD, CO, 80021, 720-888-1000 - 0 ($600,000,000.00) Non-Convertible Debt, (File 333-139123 - Dec. 5) (BR. 11C) S-3 ANADIGICS INC, 141 MT. BETHEL ROAD, WARREN, NJ, 07059, 9086685000 - 0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-139124 - Dec. 5) (BR. 10A) S-3 WorldSpace, Inc, 2400 N STREET, NW, WASHINGTON, DC, 20037, (202)969-6000 - 3,008,026 ($10,437,850.22) Equity, (File 333-139125 - Dec. 5) (BR. 11C) S-3 I MANY INC, 537 CONGRESS STREET, 5TH FLOOR, PORTLAND, ME, 04101, 2077743244 - 4,596,229 ($8,617,930.00) Equity, (File 333-139126 - Dec. 5) (BR. 03A) S-8 Willdan Group, Inc., 2401 EAST KATELLA AVENUE, SUITE 300, ANAHEIM, CA, 92806, 800-424-9144 - 0 ($6,060,000.00) Equity, (File 333-139127 - Dec. 5) (BR. 06C) S-8 JAMBA, INC., 1700 17TH STREET, SAN FRANCISCO, CA, 94103, (415) 865-1100 - 0 ($59,681,526.84) Equity, (File 333-139128 - Dec. 5) (BR. 09B) SB-2 Border Management, Inc., 968 - 240TH STREET, LANGLEY, A1, V2Z 2Y3, 604 539-9680 - 17,050,000 ($1,705,000.00) Equity, (File 333-139129 - Dec. 5) (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 ACTIVIDENTITY CORP DE 2.02,9.01 12/05/06 ADVANCE DISPLAY TECHNOLOGIES INC CO 5.02,9.01 12/04/06 ADVANCED TECHNOLOGIES GROUP LTD NV 1.01,7.01,9.01 12/05/06 ADVANTA BUSINESS RECEIVABLES CORP 8.01,9.01 12/05/06 Advaxis, Inc. DE 8.01 11/29/06 Affinia Group Intermediate Holdings I DE 2.05,2.06,9.01 11/30/06 AMEND AGILE SOFTWARE CORP DE 2.02,8.01,9.01 12/05/06 AKSYS LTD DE 3.01,9.01 12/04/06 Alliance Holdings GP, L.P. DE 7.01,9.01 12/01/06 ALLIANCE RESOURCE PARTNERS LP DE 7.01,9.01 12/01/06 Allis Chalmers Energy Inc. DE 7.01,9.01 12/05/06 ALPHATRADE COM NV 1.01,9.01 07/19/06 AMEND Alternative Loan Trust 2006-42 DE 9.01 11/29/06 Alternative Loan Trust 2006-OA16 8.01,9.01 08/30/06 Alternative Loan Trust 2006-OC10 DE 9.01 11/30/06 Altra Industrial Motion, Inc. DE 5.02,9.01 12/05/06 AMEREN CORP MO 5.02,9.01 11/29/06 AMERIANA BANCORP IN 8.01,9.01 12/04/06 AMERICAN BANCORP OF NEW JERSEY INC NJ 8.01,9.01 12/04/06 AMERICAN ELECTRIC POWER CO INC NY 7.01 12/05/06 AMERICAN FINANCIAL REALTY TRUST 9.01 12/05/06 American Natural Energy Corp OK 5.02 11/28/06 AMERICAN SUPERCONDUCTOR CORP /DE/ DE 5.02 12/01/06 American Telecom Services Inc 8.01,9.01 12/05/06 AMERIGROUP CORP 8.01 11/29/06 AMS HEALTH SCIENCES INC OK 5.02,9.01 12/01/06 ARKADOS GROUP, INC. DE 1.01,2.03,3.02,9.01 11/30/06 ARROW FINANCIAL CORP NY 5.02 11/29/06 ASHLAND INC. KY 8.01 12/05/06 ASIAMART, INC. DE 5.02,9.01 11/30/06 ATS MEDICAL INC MN 3.02,9.01 11/29/06 AUTOZONE INC NV 2.02 12/05/06 AVANIR PHARMACEUTICALS CA 5.02,8.01 11/30/06 BANCFIRST CORP /OK/ OK 7.01 12/05/06 BANDAG INC IA 8.01,9.01 12/05/06 BASIC EARTH SCIENCE SYSTEMS INC DE 5.02 12/05/06 Bear Stearns Mortgage Funding Trust 2 DE 6.03 11/28/06 BEVERLY HILLS BANCORP INC DE 2.03 11/30/06 BFC FINANCIAL CORP FL 7.01 12/04/06 Blue Wireless & Data, Inc. DE 5.02 12/01/06 BPZ ENERGY INC CO 7.01,9.01 11/29/06 BRESLER & REINER INC DE 7.01,9.01 12/01/06 BRIGHAM EXPLORATION CO DE 7.01,9.01 12/04/06 BRIGHAM EXPLORATION CO DE 1.01,9.01 11/29/06 BROADVISION INC DE 8.01 11/28/06 CabelTel International Corp NV 1.01,2.01 12/01/06 CAMPBELL FUND TRUST MD 3.02 12/01/06 CAPITAL GOLD CORP NV 1.01,5.02 11/30/06 CARDIODYNAMICS INTERNATIONAL CORP CA 1.01,9.01 11/29/06 CAREY W P & CO LLC DE 2.01,9.01 12/01/06 CARROLS CORP DE 8.01,9.01 11/29/06 CATO CORP DE 5.02,9.01 12/04/06 CHARTERMAC DE 7.01,9.01 12/05/06 CHESAPEAKE UTILITIES CORP DE 5.02 11/29/06 CHS INC MN 5.02,5.03,9.01 12/01/06 CIT GROUP INC DE 8.01,9.01 12/04/06 Citicorp Mortgage Securities Trust, S DE 8.01,9.01 12/05/06 CITIGROUP DIVERSIFIED FUTURES FUND LP 3.02 12/01/06 CITIGROUP FAIRFIELD FUTURES FUND LP I 3.02 12/01/06 CITY NETWORK INC NV 3.01 11/22/06 CLARKSTON FINANCIAL CORP 5.02 11/28/06 CLEAN DIESEL TECHNOLOGIES INC DE 5.02 11/29/06 CMALT (CitiMortgage Alternative Loan DE 8.01,9.01 12/05/06 CMS ENERGY CORP MI 4.01,9.01 11/30/06 COACH INDUSTRIES GROUP INC NV 5.02,9.01 11/29/06 COLLECTORS UNIVERSE INC DE 7.01,9.01 12/05/06 COMERICA INC /NEW/ DE 7.01,9.01 12/05/06 COMMUNITY BANK SYSTEM INC DE 8.01,9.01 12/01/06 COMMUNITY CAPITAL BANCSHARES INC 5.02 11/30/06 CommunitySouth Bancshares Inc SC 8.01,9.01 12/05/06 CONAGRA FOODS INC /DE/ DE 8.01,9.01 12/04/06 CONCORD MILESTONE PLUS L P DE 1.01,9.01 11/21/06 CORGENIX MEDICAL CORP/CO NV 1.01,2.03,9.01 11/30/06 CORONADO INDUSTRIES INC NY 5.02 12/04/06 COWLITZ BANCORPORATION WA 5.02,5.03,9.01 12/05/06 CPI AEROSTRUCTURES INC NY 5.02,9.01 12/01/06 CRANE CO /DE/ DE 5.02,9.01 12/04/06 CROWN CASTLE INTERNATIONAL CORP DE 1.01,7.01,9.01 11/29/06 Crystal River Capital, Inc. MD 7.01,9.01 12/05/06 CSMC 2006-8 DE 6.02 12/01/06 CSMC Mortgage-Backed Trust 2006-9 DE 6.02 12/01/06 CUBIC CORP /DE/ DE 5.02 12/05/06 CYGNE DESIGNS INC DE 4.02 12/01/06 DaimlerChrysler Auto Trust 2006-D 9.01 12/05/06 DAYTON SUPERIOR CORP OH 1.01,7.01,9.01 11/30/06 DEL TACO INCOME PROPERTIES IV CA 4.01,9.01 11/30/06 DEL TACO RESTAURANT PROPERTIES I CA 4.01,9.01 11/30/06 DEL TACO RESTAURANT PROPERTIES II CA 4.01,9.01 11/30/06 DEL TACO RESTAURANT PROPERTIES III CA 4.01,9.01 11/30/06 Delek Resources, Inc. FL 4.02,9.01 11/30/06 DENTAL PATIENT CARE AMERICA INC UT 1.01,9.01 12/04/06 DEVELOPERS DIVERSIFIED REALTY CORP OH 8.01 12/05/06 DIGENE CORP DE 8.01 12/04/06 DIRECT GENERAL CORP 1.01,5.02,7.01,8.01,9.01 12/04/06 DIVERSIFIED FUTURES FUND L.P. DE 1.01,1.02,8.01,9.01 12/04/06 DIVERSIFIED FUTURES TRUST I DE 1.01,1.02,8.01,9.01 12/04/06 E TRADE FINANCIAL CORP DE 5.02 12/01/06 EAGLE BROADBAND INC TX 1.01,9.01 11/29/06 ECOTALITY, INC. NV 5.02,9.01 12/01/06 EDAC TECHNOLOGIES CORP WI 8.01,9.01 12/04/06 EDWARDS LIFESCIENCES CORP DE 2.05,2.06,9.01 11/29/06 EFUNDS CORP DE 5.02 12/01/06 EL PASO CORP/DE DE 7.01,9.01 12/05/06 EL PASO EXPLORATION & PRODUCTION CO DE 7.01,9.01 12/05/06 EMCORE CORP NJ 1.01,8.01,9.01 12/05/06 EMDEON CORP DE 8.01,9.01 12/05/06 ENBRIDGE ENERGY PARTNERS LP DE 8.01,9.01 09/30/06 Energy Transfer Equity, L.P. DE 2.01,9.01 12/01/06 Energy Transfer Partners, L.P. DE 7.01,9.01 12/05/06 Energy Transfer Partners, L.P. DE 2.01,9.01 12/01/06 ENESCO GROUP INC IL 2.04 11/30/06 ENOVA SYSTEMS INC CA 4.02,9.01 11/22/06 AMEND ENTERPRISE PRODUCTS PARTNERS L P DE 7.01,9.01 12/05/06 ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 1.01,2.03 06/27/06 AMEND EVEREST RE GROUP LTD D0 1.01,9.01 12/05/06 EVEREST RE GROUP LTD D0 5.02,9.01 12/05/06 EXCO RESOURCES INC TX 4.02 12/04/06 FARO TECHNOLOGIES INC FL 5.02,7.01,9.01 12/04/06 Federal Home Loan Bank of Atlanta X1 2.03 11/29/06 Federal Home Loan Bank of Boston X1 2.03 11/29/06 Federal Home Loan Bank of Chicago X1 2.03 11/30/06 Federal Home Loan Bank of Cincinnati X1 2.03,5.02,9.01 11/29/06 Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/29/06 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/30/06 Federal Home Loan Bank of New York X1 2.03,9.01 11/30/06 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/29/06 Federal Home Loan Bank of San Francis X1 2.03 11/29/06 Federal Home Loan Bank of Seattle 2.03 12/04/06 Federal Home Loan Bank of Topeka 2.03 11/29/06 FEDERAL NATIONAL MORTGAGE ASSOCIATION 7.01,9.01 12/04/06 Federal Services Acquisition CORP DE 1.01,8.01,9.01 11/30/06 Federal Services Acquisition CORP DE 8.01,9.01 10/25/05 AMEND FelCor Lodging Trust Inc MD 8.01,9.01 12/04/06 FIBERSTARS INC /CA/ CA 1.01 11/30/06 Film & Music Entertainment, Inc. NV 4.01,9.01 12/04/06 AMEND FINANCIAL INDUSTRIES CORP TX 8.01,9.01 12/04/06 FINLAY ENTERPRISES INC /DE DE 1.02,9.01 11/29/06 FINLAY FINE JEWELRY CORP DE 1.02,9.01 11/29/06 FIRST BANCORP /PR/ PR 8.01,9.01 12/05/06 FIRST FINANCIAL SERVICE CORP KY 7.01,9.01 11/29/06 FIRST POTOMAC REALTY TRUST MD 8.01,9.01 12/04/06 FIRST UNITED ETHANOL LLC 1.01 11/30/06 FLOW INTERNATIONAL CORP WA 8.01,9.01 12/04/06 FNB CORP \VA\ VA 5.02,9.01 11/30/06 FORD MOTOR CO DE 8.01,9.01 12/05/06 FORD MOTOR CO DE 8.01,9.01 12/05/06 FRIEDMAN INDUSTRIES INC TX 5.02 12/04/06 FTS GROUP, INC. NV 1.01,2.01,2.03,9.01 01/03/06 AMEND Garpa Resources, Inc. NV 1.01 11/28/06 GENAERA CORP DE 5.02 11/30/06 GENERAL MOTORS CORP DE 8.01 12/01/06 GENESCO INC TN 1.01,2.03,9.01 12/01/06 GEOKINETICS INC DE 8.01,9.01 12/01/06 Glass Wave Enterprises, Inc. NV 4.01,9.01 12/05/06 GLOBAL GREEN SOLUTIONS INC. WA 7.01,9.01 12/04/06 Global Pharmatech, Inc. DE 5.02 12/01/06 GLOBALNET CORP NV 1.01,2.03,3.02,9.01 12/01/06 GOLDEN PATRIOT CORP NV 8.01,9.01 12/04/06 GOODRICH CORP NY 1.01,2.03,9.01 12/01/06 GRAMERCY CAPITAL CORP MD 9.01 12/04/06 AMEND GREAT LAKES BANCORP, INC. DE 5.02 12/05/06 GREAT PLAINS ENERGY INC MO 8.01 12/04/06 GREENLITE VENTURES INC 3.02,9.01 11/30/06 GREENS WORLDWIDE INC AZ 5.02,9.01 11/28/06 AMEND GTSI CORP DE 1.01,8.01,9.01 11/30/06 GUESS INC DE 8.01,9.01 12/05/06 Guideline, Inc. NY 1.01,9.01 12/01/06 GULFMARK OFFSHORE INC DE 1.01,8.01,9.01 12/04/06 HANDLEMAN CO /MI/ MI 2.02,9.01 12/05/06 HarborView 2006-10 DE 8.01,9.01 11/13/06 HARTCOURT COMPANIES INC UT 3.02,7.01,8.01,9.01 12/05/06 HENRY JACK & ASSOCIATES INC DE 5.02,9.01 11/29/06 HENRY SCHEIN INC DE 8.01,9.01 12/04/06 HERITAGE BANKSHARES INC /VA VA 4.01,8.01,9.01 11/29/06 HILLENBRAND INDUSTRIES INC IN 5.02 11/29/06 HOKU SCIENTIFIC INC DE 2.06 12/03/06 Horizon Lines, Inc. 5.02,9.01 11/30/06 HSBC Finance CORP 7.01,9.01 12/04/06 HSI Asset Securitization CORP Trust 2 8.01,9.01 12/05/06 HUTTON HOLDINGS CORP NV 7.01,9.01 12/05/06 HYDRON TECHNOLOGIES INC NY 4.01,9.01 11/30/06 IEC ELECTRONICS CORP DE 2.03,9.01 12/05/06 IMMUNICON CORP 1.01,2.03,8.01,9.01 12/04/06 INDYMAC MBS INC RESIDENTIAL ASSET SEC 8.01 11/27/06 IndyMac RAST 2004-R2 8.01 11/27/06 INFOCUS CORP OR 8.01,9.01 12/04/06 InfoLogix Inc 1.01,2.01,3.02,4.01, 11/29/06 5.01,5.02,5.06,9.01 Ingen Technologies, Inc. 1.01 12/01/06 INLAND RETAIL REAL ESTATE TRUST INC MD 8.01,9.01 12/01/06 INTEGRATED ELECTRICAL SERVICES INC DE 1.01 11/30/06 INTELLI CHECK INC DE 8.01 11/29/06 INTERDIGITAL COMMUNICATIONS CORP PA 2.02,9.01 12/05/06 International Fight League, Inc. DE 2.01,3.02,5.01,5.02,5.06,9.01 11/29/06 INTERNATIONAL SMART SOURCING INC DE 1.01,3.03 12/04/06 INTERNATIONAL SPEEDWAY CORP FL 7.01,8.01,9.01 12/04/06 INTERNATIONAL TEXTILE GROUP INC DE 2.05 11/29/06 INYX INC NV 2.02,9.01 12/04/06 ION MEDIA NETWORKS INC. DE 7.01,9.01 12/05/06 J P MORGAN CHASE & CO DE 9.01 12/01/06 JACUZZI BRANDS INC DE 7.01,8.01,9.01 12/04/06 JAMBA, INC. DE 2.03,5.05,8.01,9.01 11/29/06 JAMBA, INC. DE 1.01,2.01,2.02,3.02,4.01, 11/29/06 5.02,5.03,5.06,9.01 JAMBA, INC. DE 8.01,9.01 12/05/06 JOURNAL REGISTER CO DE 7.01 12/01/06 KANSAS CITY SOUTHERN DE 1.01,8.01,9.01 12/04/06 Kansas City Southern de Mexico, S.A. O5 5.01 12/01/06 KBW, INC. 2.02,9.01 12/05/06 KENMAR GLOBAL TRUST DE 1.01,1.02,8.01,9.01 12/04/06 KEYSPAN CORP NY 1.01,2.03,9.01 11/29/06 KINDER MORGAN ENERGY PARTNERS L P DE 7.01 12/04/06 KINDER MORGAN MANAGEMENT LLC DE 7.01 12/04/06 Kraton Polymers LLC DE 7.01,9.01 12/05/06 KREISLER MANUFACTURING CORP DE 7.01 12/05/06 KROGER CO OH 2.02,9.01 12/05/06 LAYNE CHRISTENSEN CO DE 2.02,9.01 12/05/06 LECROY CORP DE 9.01 10/03/06 AMEND LEE ENTERPRISES, INC DE 2.02,7.01 12/05/06 LEVCOR INTERNATIONAL INC DE 5.02,9.01 11/30/06 LODGENET ENTERTAINMENT CORP DE 7.01,9.01 12/05/06 MAC-GRAY CORP DE 8.01,9.01 12/05/06 MACK CALI REALTY CORP MD 1.01,1.02,2.03 11/29/06 MAINE & MARITIMES CORP ME 1.01,9.01 12/05/06 MAJOR CREATIONS INC NV 5.02 11/16/06 MARKWEST ENERGY PARTNERS L P 7.01,9.01 12/05/06 MARSHALL EDWARDS INC DE 5.03,9.01 12/05/06 MATHSTAR INC MN 8.01 12/05/06 MEDICAL NUTRITION USA INC NJ 8.01,9.01 12/04/06 MEDUSA STYLE CORP NV 5.02 12/01/06 MEREDITH CORP IA 8.01,9.01 12/05/06 METROMEDIA INTERNATIONAL GROUP INC DE 7.01 12/05/06 MICRO BIO-MEDICAL WASTE SYSTEMS, INC. NV 5.02 12/01/06 MICROMET, INC. DE 1.01,8.01,9.01 12/05/06 Migami, Inc. NV 1.01,2.01,3.02,5.01,5.02,8.01 11/30/06 Monarch Financial Holdings, Inc. VA 2.02,7.01,9.01 10/18/06 Morgan Stanley Mortgage Loan Trust 20 8.01 12/01/06 Morgan Stanley Mortgage Loan Trust 20 8.01 12/01/06 MortgageIT Holdings, Inc. MD 7.01,9.01 12/05/06 MUNICIPAL MORTGAGE & EQUITY LLC DE 1.01,9.01 11/30/06 NANO PROPRIETARY INC TX 5.02,9.01 11/30/06 NANOSCIENCE TECHNOLOGIES INC NV 4.01,9.01 12/04/06 NARROWSTEP INC DE 5.02,9.01 12/01/06 NATCO INTERNATIONAL INC. DE 4.01 09/30/06 NATION ENERGY INC DE 1.01,9.01 11/30/06 NATIONAL DATACOMPUTER INC DE 1.01,5.01,9.01 11/29/06 NAVISTAR FINANCIAL DEALER NOTE MASTER DE 8.01,9.01 10/31/06 NAVISTAR FINANCIAL DEALER NOTE MASTER DE 8.01,9.01 10/31/06 Nelnet Student Loan Trust 2006-3 9.01 12/05/06 NET PERCEPTIONS INC DE 1.01,5.02,8.01,9.01 12/01/06 NEURO-HITECH PHARMACEUTICALS INC DE 1.01,2.01,3.02,5.02,9.01 11/29/06 NEUTRON ENTERPRISES INC NV 1.01,3.02,9.01 11/29/06 New England Bancshares, Inc. 8.01,9.01 12/04/06 NEWPORT CORP NV 1.01,9.01 12/01/06 NEXEN INC A0 5.03,9.01 12/04/06 NEXTERA ENTERPRISES INC DE 1.01,9.01 12/01/06 NICOR INC IL 7.01,9.01 12/05/06 NICOR INC IL 7.01,9.01 12/05/06 NORTEL NETWORKS CORP 8.01,9.01 12/04/06 NORTEL NETWORKS LTD 8.01,9.01 12/04/06 NORTH POINTE HOLDINGS CORP 7.01,9.01 12/05/06 NORTHERN CALIFORNIA BANCORP INC 5.02,9.01 12/01/06 NORTHERN ILLINOIS GAS CO /IL/ /NEW/ IL 7.01,9.01 12/05/06 NORTHWESTERN CORP DE 8.01 12/05/06 NOVA BIOSOURCE FUELS, INC. NV 7.01,8.01,9.01 12/01/06 NOVELL INC DE 2.02,9.01 10/31/06 NYFIX INC DE 5.02,9.01 11/29/06 OccuLogix, Inc. DE 1.01,9.01 12/05/06 OMEGA PROTEIN CORP NV 1.01,9.01 12/01/06 Onstream Media CORP FL 8.01,9.01 12/04/06 OPTIUM CORP 2.02,9.01 12/05/06 PEOPLES BANCORP IN 2.02,9.01 11/30/06 PEOPLES BANCORP INC OH 8.01,9.01 12/05/06 PERRY ELLIS INTERNATIONAL INC FL 1.01 11/29/06 PETROLEUM DEVELOPMENT CORP NV 8.01,9.01 12/04/06 PFIZER INC DE 8.01,9.01 12/02/06 PHILADELPHIA CONSOLIDATED HOLDING COR PA 8.01 08/01/06 PILGRIMS PRIDE CORP DE 1.01,2.03,5.02,8.01,9.01 11/29/06 PINGCHUAN PHARMACEUTICAL INC NC 5.02 12/01/06 PLC SYSTEMS INC 7.01,9.01 12/05/06 PNC FINANCIAL SERVICES GROUP INC PA 8.01,9.01 12/05/06 POINDEXTER J B & CO INC DE 7.01 12/05/06 POWER EFFICIENCY CORP DE 1.01,2.03,3.02,9.01 12/05/06 PREMIERE GLOBAL SERVICES, INC. GA 5.02,7.01,9.01 11/30/06 PRO-FAC COOPERATIVE INC 4.01,9.01 12/05/06 PROGRESS SOFTWARE CORP /MA MA 3.01,9.01 11/30/06 PROTEO INC NV 4.01,9.01 11/30/06 PRUDENTIAL FINANCIAL INC NJ 2.02,7.01,9.01 12/05/06 PRUDENTIAL FINANCIAL INC NJ 7.01,9.01 12/05/06 PRUDENTIAL FINANCIAL INC NJ 8.01,9.01 12/05/06 PUBLIC SERVICE CO OF COLORADO CO 8.01,9.01 12/01/06 PUBLIC STORAGE INC /CA CA 5.04,9.01 12/01/06 QUADRAMED CORP DE 8.01,9.01 12/05/06 QUAKER FABRIC CORP /DE/ DE 1.01,9.01 12/01/06 R H DONNELLEY CORP DE 7.01,9.01 12/05/06 REALTY INCOME CORP MD 8.01,9.01 11/30/06 RECKSON ASSOCIATES REALTY CORP MD 8.01,9.01 12/05/06 RETAIL VENTURES INC OH 2.02,9.01 12/04/06 REX STORES CORP DE 2.02,9.01 12/05/06 REYNOLDS AMERICAN INC 5.02,5.03,8.01,9.01 11/29/06 RMR HOSPITALITY & REAL ESTATE FUND 8.01,9.01 12/01/06 Rotoblock CORP NV 5.02,9.01 12/01/06 RURAL/METRO CORP /DE/ DE 8.01,9.01 12/04/06 RURBAN FINANCIAL CORP OH 5.02,9.01 11/29/06 SAFLINK CORP DE 3.02 12/01/06 SALOMON SMITH BARNEY ORION FUTURES FU 3.02 12/01/06 SANDISK CORP DE 2.03 11/29/06 SANMINA-SCI CORP DE 5.03,8.01 12/05/06 SANTANDER BANCORP 7.01,9.01 12/04/06 SAPIENT CORP DE 5.05 11/29/06 SCIENCE DYNAMICS CORP DE 9.01 09/19/06 AMEND SCIENTIFIC INDUSTRIES INC DE 2.01,3.02,5.01,9.01 11/30/06 SHUFFLE MASTER INC MN 1.01,9.01 11/30/06 SILVER DRAGON RESOURCES, INC. DE 1.01,3.02,9.01 12/04/06 SILVER DRAGON RESOURCES, INC. DE 1.02,9.01 08/04/06 SIPEX CORP DE 5.03,9.01 11/30/06 SIRVA INC DE 2.02,8.01,9.01 12/05/06 SL GREEN REALTY CORP MD 8.01,9.01 11/30/06 SMART ONLINE INC 8.01,9.01 11/29/06 SMITH BARNEY WESTPORT FUTURES FUND LP 3.02 12/01/06 SMITH MICRO SOFTWARE INC DE 8.01 12/05/06 Sockeye Seafood Group Inc 1.01,3.03,5.03,9.01 11/13/06 Somaxon Pharmaceuticals, Inc. DE 8.01,9.01 12/05/06 SONIC CORP DE 8.01 12/05/06 Southern National Bancorp of Virginia VA 2.01,9.01 12/04/06 SPATIALIGHT INC NY 1.01,3.02,9.01 12/05/06 STANLEY FURNITURE CO INC. DE 8.01 12/04/06 STERLING FINANCIAL CORP /PA/ PA 5.02,7.01,9.01 11/30/06 STRATEGIC DISTRIBUTION INC DE 1.01,8.01,9.01 12/04/06 SUN HEALTHCARE GROUP INC DE 8.01,9.01 12/04/06 SUN HEALTHCARE GROUP INC DE 8.01,9.01 12/05/06 SUNLINK HEALTH SYSTEMS INC OH 8.01,9.01 12/05/06 SUPER VISION INTERNATIONAL INC DE 1.01,9.01 11/29/06 SYCAMORE NETWORKS INC DE 2.02,9.01 12/05/06 TECUMSEH PRODUCTS CO MI 4.02,7.01,9.01 11/29/06 TEMECULA VALLEY BANCORP INC CA 5.02,9.01 12/04/06 TEPPCO PARTNERS LP DE 7.01,9.01 12/05/06 Tix CORP DE 1.01,3.02,9.01 11/30/06 TOLL BROTHERS INC DE 2.02,7.01,9.01 12/05/06 TRAMMELL CROW CO DE 8.01 11/30/06 TRANSCOMMUNITY FINANCIAL CORP VA 8.01 11/29/06 TRANSCOMMUNITY FINANCIAL CORP VA 5.02 11/30/06 Triton Distribution Systems, Inc. CO 5.02,9.01 12/01/06 TUMBLEWEED COMMUNICATIONS CORP DE 7.01,9.01 12/05/06 TYCO INTERNATIONAL LTD /BER/ D0 4.01,9.01 11/30/06 TYCO INTERNATIONAL LTD /BER/ D0 4.01,9.01 11/30/06 UIL HOLDINGS CORP CT 1.01 12/05/06 UNITED COMMUNITY FINANCIAL CORP OH 5.02 10/26/06 UNITED HERITAGE BANKSHARES OF FLORIDA FL 8.01,9.01 12/01/06 UNITED SECURITY BANCSHARES CA 1.01,9.01 12/01/06 US DRY CLEANING CORP DE 4.01,9.01 11/30/06 VALASSIS COMMUNICATIONS INC DE 8.01,9.01 12/04/06 VALENCE TECHNOLOGY INC DE 8.01,9.01 12/05/06 VALERO GP HOLDINGS LLC DE 1.01,9.01 12/05/06 VALERO L P DE 1.01,9.01 12/05/06 VARSITY GROUP INC 2.06 11/29/06 VERISIGN INC/CA DE 1.01,8.01 11/29/06 VERSANT CORP CA 2.02,9.01 12/05/06 VIASPACE Inc. NV 8.01,9.01 12/05/06 VIVUS INC CA 8.01,9.01 12/05/06 VODAVI TECHNOLOGY INC DE 3.01 12/01/06 WALTER INDUSTRIES INC /NEW/ DE 7.01,9.01 12/04/06 WaMu Mortgage Pass-Through Certificat DE 9.01 11/20/06 Washington Mutual Asset-Backed Certif DE 6.01 12/05/06 WATERFORD GAMING LLC DE 8.01 12/05/06 WELLS FARGO & CO/MN DE 9.01 12/05/06 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 11/21/06 WELLS REAL ESTATE INVESTMENT TRUST II MD 8.01 12/04/06 WELLS REAL ESTATE INVESTMENT TRUST IN MD 8.01 12/04/06 WENTWORTH II INC 8.01,9.01 12/01/06 WESTLAKE CHEMICAL CORP 2.01,9.01 11/30/06 WILEY JOHN & SONS INC NY 7.01 10/31/06 Williams Partners L.P. 8.01,9.01 12/04/06 WILLIS GROUP HOLDINGS LTD D0 1.02,5.02,9.01 11/29/06 WIND RIVER SYSTEMS INC DE 2.02,9.01 12/05/06 WIRELESS RONIN TECHNOLOGIES INC MN 3.02 11/30/06 WORLD WRESTLING ENTERTAINMENTINC DE 2.02,9.01 12/05/06 WORLDWATER & POWER CORP DE 1.01,3.02,3.03,8.01,9.01 11/29/06 WSI INDUSTRIES, INC. MN 5.02 12/01/06 XCEL ENERGY INC MN 2.02,8.01,9.01 12/01/06 XFormity Technologies, Inc. CO 7.01 12/05/06 XL CAPITAL LTD 5.02 12/01/06 XOMA LTD /DE/ DE 1.01 11/30/06 YUM BRANDS INC NC 8.01,9.01 12/01/06 ZIPREALTY INC 2.02,9.01 11/08/06 AMEND 3 NEWS DIGEST, December 6, 2006