SEC NEWS DIGEST Issue 2006-236 December 8, 2006 COMMISSION ANNOUNCEMENTS FEE RATE ADVISORY #5 FOR FISCAL YEAR 2007 The continuing resolution funding the Securities and Exchange Commission for fiscal 2007 since Oct. 1, 2006, has been extended further through Feb. 15, 2007. Therefore, 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 dollars from the current rate of $107.00 per million dollars, 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 dollars from the current rate of $30.70 per million dollars. 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 the NASD at http://www.nyse.com and http://www.nasd.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. 2006-203) RULES AND RELATED MATTERS PROPOSED AMENDMENTS TO RULE 10a-1 AND REGULATION SHO The Commission approved the issuance of a release proposing amendments to Rule 10a-1 (17 CFR 240.10a-1) and Regulation SHO (17 CFR 242. 200 and 201) under the Securities Exchange Act of 1934. The proposed amendments would remove Rule 10a-1, as well as any short sale price test of any self-regulatory organization (SRO). In addition, the proposed amendments would prohibit any SRO from having a price test. The proposed amendments would also include a technical amendment to Rule 200(g) of Regulation SHO that would remove the "short exempt" marking requirement of that rule. Publication is expected in the Federal Register during the week of December 11. (Rel. 34-54891; File No. S7-21-06) ENFORCEMENT PROCEEDINGS COMMISSION SANCTIONS THE ROCKIES FUND, INC., STEPHEN CALANDRELLA, CHARLES POWELL, AND CLIFFORD THYGESEN In a proceeding remanded by the U.S. Court of Appeals for the District of Columbia Circuit, the Commission has imposed sanctions on the Rockies Fund, Inc. (Fund), a closed-end investment company; Stephen G. Calandrella, the Fund's president and director; and Charles M. Powell and Clifford C. Thygesen, independent directors of the Fund. The Court of Appeals had affirmed Commission findings that the respondents violated certain antifraud provisions of the federal securities laws by making untrue statements of material facts in the investment company's annual and quarterly reports, but remanded the issue of the appropriate sanctions to be imposed. On remand, the Commission found that it was in the public interest to order all of the respondents to cease and desist from committing or causing any further violations of the provisions they were have found to have violated or to have aided and abetted; to order Calandrella to pay a civil penalty of $50,000 and Powell and Thygesen each to pay a civil penalty of $20,000; and to prohibit all individual respondents from associating with or acting as an affiliated person of an investment company, with right to reapply (after five years in the case of Calandrella and after three years in the case of Powell and Thygesen). (Rel. 34-54892; IC-27593; File No. 3-9615) RICHARD HERRON ENJOINED FROM ENGAGING IN INSIDER TRADING The Commission announced that on December 6 Judge Susan D. Wigenton entered a final judgment against defendant Richard A. Herron, enjoining him from further violations of Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder. The judgment also ordered Herron to disgorge $71,031 plus $28,995 in prejudgment interest for a total of $100,026, and to pay a $71,031 civil penalty. Herron consented to the entry of the judgment without admitting or denying the allegations in the Commission's complaint. The complaint, filed on April 22, 2004, charged Herron with engaging in insider trading in the securities of Musicland Stores Corporation before Musicland's Dec. 7, 2000, announcement that it would be acquired by another company by tender offer. The Commission's complaint alleges that Alfred S. Teo, Sr., a major Musicland shareholder, learned about the proposed tender offer for Musicland, and then tipped Herron and others with this information. According to the Commission's complaint, on Nov. 14, 2000, after Teo tipped Herron, Herron purchased 15,000 shares of Musicland stock, which he sold on Dec. 7, 2000, and received $71,031 in illicit profits. The Commission continues to prosecute the litigation against the remaining defendants. [SEC v. Alfred S. Teo, Sr., et al., Civil Action No. CV 04-1815-SDW-MCA, D. N.J.] (LR-19939) INVESTMENT COMPANY ACT RELEASES THE MEXICO EQUITY AND INCOME FUND, INC. A notice has been issued giving interested persons until Jan. 2, 2007, to request a hearing on an application filed by The Mexico Equity and Income Fund, Inc. (Fund) requesting an order under Sections 17(b) and 6(c) of the Investment Company Act for an exemption from Section 17(a) of the Act to permit in-kind repurchases of shares of preferred stock of the Fund held by certain affiliated persons of the Fund. (Rel. IC-27592 - December 7) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-NYSEArca-2006-70) submitted by the NYSE Arca relating to the Exchange's generic listing standards for index-linked securities. Publication is expected in the Federal Register during the week of December 11. (Rel. 34-54869) The Commission approved a proposed rule change filed by The Options Clearing Corporation (SR-OCC-2006-12) that will add to OCC's Schedule of Fees a $200 escrow deposit program fee to be charged to OCC- approved banks. Publication is expected in the Federal Register during the week of December 11. (Rel. 34-54880) The Commission approved a proposed rule change (SR-Amex-2006-80) filed by the American Stock Exchange to amend Rule 777 regarding depository eligibility. Publication is expected in the Federal Register during the week of December 11. (Rel. 34-54882) PROPOSED RULE CHANGES A proposed rule change (SR-NASD-2006-124) has been filed by the National Association of Securities Dealers relating to proposed Rule 2342 to require members to provide new customers, and all customers annually, specific information about the Securities Investor Protection Corporation (SIPC). Publication is expected in the Federal Register during the week of December 11. (Rel. 34-54871) The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx- 2006-74) and Amendment Nos. 1 and 2 thereto relating to a pilot program to quote and trade options in penny increments 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 11. (Rel. 34-54886) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-ISE-2006-70) filed by the International Securities Exchange relating to an ISE Stock Exchange fee waiver 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 11. (Rel. 34-54875) A proposed rule change (SR-CBOE-2006-103) filed by the Chicago Board Options Exchange relating to the extension of the pilot period applicable to CBOE's listing and trading of options on the iShares MSCI Emerging Markets Index Fund 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 11. (Rel. 34-54876) A proposed rule change (SR-CBOE-2006-102) filed by the Chicago Board Options Exchange increasing the class quoting limit in the option class NYSE Group, Inc. has become effective immediately 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 11. (Rel. 34-54883) A proposed rule change filed by the American Stock Exchange (SR-Amex- 2006-105) relating to fees for the routing of orders to other market centers through a private linkage 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 11. (Rel. 34-54885) A proposed rule change (SR-NYSE-2006-103) filed by the New York Stock Exchange relating to an amendment to the earnings standard included in the Exchange's financial listing criteria 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 11. (Rel. 34-54887) A proposed rule change (SR-Phlx-2006-80) filed by the Philadelphia Stock Exchange relating to the assignment of options trading privileges to Streaming Quote Traders and Remote Streaming Quote Traders 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 11. (Rel. 34-54889) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-BSE-2006-52) submitted by the Boston Stock Exchange relating to the time a marketable order is exposed on the BOX Book. Publication is expected in the Federal Register during the week of December 11. (Rel. 34-54884) 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 MATERIAL TECHNOLOGIES INC /CA/, 11661 SAN VICENTE BOULEVARD, SUITE 707, LOS ANGELES, CA, 90049, 3102085589 - 3,000,000 ($18,000,000.00) Equity, (File 333-139148 - Dec. 7) (BR. 10B) S-8 IMPART MEDIA GROUP INC, 1300 N. NORTHLAKE WAY, SEATTLE, WA, 98103-8919, 2066331852 - 100,000 ($51,000.00) Equity, (File 333-139150 - Dec. 7) (BR. 08B) S-4 MARKWEST ENERGY PARTNERS L P, 1515 ARAPAHOE STREET, TOWER 2, SUITE 700, DENVER, CO, 80202-2126, 303-925-9200 - 0 ($275,000,000.00) Debt, (File 333-139151 - Dec. 7) (BR. 04A) S-4 COMMUNITY BANKS INC /PA/, 750 EAST PARK DR, HARRISBURG, PA, 17111, 7179205803 - 0 ($17,839,198.44) Equity, (File 333-139152 - Dec. 7) (BR. 07A) S-8 MDU RESOURCES GROUP INC, 1200 WEST CENTURY AVENUE, BISMARCK, ND, 58506-5650, 701-530-1013 - 2,600,000 ($69,342,000.00) Equity, (File 333-139156 - Dec. 7) (BR. 04B) S-1 ESSA Bancorp, Inc., 200 PALMER STREET, STROUDSBURG, PA, 18360, (570) 421-0531 - 0 ($155,658,250.00) Equity, (File 333-139157 - Dec. 7) (BR. ) S-8 MILLENNIUM PHARMACEUTICALS INC, 40 LANDSDOWNE STREET, CAMBRIDGE, MA, 02139, 6176797000 - 2,000,000 ($22,580,000.00) Equity, (File 333-139158 - Dec. 7) (BR. 01B) F-6 Melco PBL Entertainment (Macau) LTD, THE PENTHOUSE, 38TH FLOOR, THE CENTRIUM, 60 WYNDHAM STREET, CENTRAL, K3, 00000, (852) 3151-3777 - 500,000,000 ($25,000,000.00) ADRs/ADSs, (File 333-139159 - Dec. 7) (BR. 08) F-6 Trina Solar LTD, NO. 2 XIN YUAN YI ROAD ELECTRONICS PARK, NEW DISTRICT, CHANGZHOU, JIANGSU 213031, CHANGZHOU, F4, 213031, 86 519 548 2008 - 100,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-139161 - Dec. 7) (BR. ) SB-2 OFFLINE CONSULTING INC, 1166 EAST 14TH ST, BROOKLYN, NY, 11230, 347-267-5310 - 419,980 ($41,998.00) Equity, (File 333-139163 - Dec. 7) (BR. ) S-8 CAMECO CORP, 2121 11TH ST W, SASKATOON, A9, S7M 1J3, 3069566200 - 2,500,000 ($97,650,000.00) Equity, (File 333-139165 - Dec. 7) (BR. 04B) S-8 ENERPLUS RESOURCES FUND, THE DOME TOWER,, 3000 - 333 7TH AVENUE SW, CALGARY, A0, T2P 2Z1, 4032982200 - 2,300,000 ($105,133,000.00) Equity, (File 333-139166 - Dec. 7) (BR. 04B) S-8 SMUCKER J M CO, STRAWBERRY LN, ORRVILLE, OH, 44667, 3306823000 - 300,000 ($14,526,000.00) Equity, (File 333-139167 - Dec. 7) (BR. 04C) SB-2 AEGIS ASSESSMENTS INC, 7975 N. HAYDEN ROAD, #D363, SCOTTSDALE, AZ, 85258, 480-778-9140 - 41,536,475 ($830,729.50) Equity, (File 333-139168 - Dec. 7) (BR. 11A) S-8 NextWave Wireless Inc., 12670 HIGH BLUFF DRIVE, SAN DIEGO, CA, 92130, 858 480-3100 - 12,708,867 ($87,749,597.80) Equity, (File 333-139169 - Dec. 7) (BR. 11A) S-8 SMUCKER J M CO, STRAWBERRY LN, ORRVILLE, OH, 44667, 3306823000 - 2,720 ($147,179.20) Equity, (File 333-139170 - Dec. 7) (BR. 04C) S-3 GERON CORP, 230 CONSTITUTION DRIVE, MENLO PARK, CA, 94025, 6504737700 - 114,155 ($962,327.00) Equity, (File 333-139171 - Dec. 7) (BR. 01A) SB-2 VILLAGEEDOCS INC, 14471 CHAMBERS ROAD SUITE 105, TUSTIN, CA, 92780, 7147341030 - 184,663,275 ($18,466,328.00) Equity, (File 333-139172 - Dec. 7) (BR. 08C) S-3 DISCOVERY LABORATORIES INC /DE/, 2600 KELLY ROAD, SUITE 100, WARRINGTON, PA, 18976, 2154889300 - 0 ($18,324,446.00) Equity, (File 333-139173 - Dec. 7) (BR. 01A) S-8 TECHNIP, TOUR TECHNIP, 6-8 ALLEE DE L, PARIS LA DEFENSE CED, I0, 92973, 2128948500 - 109,200 ($6,507,228.00) Equity, (File 333-139174 - Dec. 7) (BR. 06B) S-8 CISCO SYSTEMS INC, 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706, 4085264000 - 65,470 ($138,141.70) Equity, (File 333-139175 - Dec. 7) (BR. 03C) SB-2 CMS Bancorp, Inc., 123 MAIN STREET, SUITE 750, WHITE PLAINS, NY, 10601, 914-422-2700 - 1,983,750 ($19,837,500.00) Equity, (File 333-139176 - Dec. 7) (BR. ) S-8 BALLANTYNE OF OMAHA INC, 4350 MCKINLEY ST, OMAHA, NE, 68112, 4024534444 - 0 ($3,248,000.00) Equity, (File 333-139177 - Dec. 7) (BR. 10A) S-8 Live Nation, Inc., 9348 CIVIC CENTER DRIVE, BEVERLY HILLS, CA, 90210, 310-867-7200 - 0 ($8,000,000.00) Equity, (File 333-139178 - Dec. 7) (BR. 05B) S-3 CASH SYSTEMS INC, 7350 DEAN MARTIN DRIVE, SUITE 309, LAS VEGAS, NV, 89139, 7029877169 - 0 ($24,570,013.00) Equity, (File 333-139179 - Dec. 7) (BR. 11C) S-8 Susser Holdings CORP, 4433 BALDWIN BOULEVARD, CORPUS CHRISTI, TX, 78408, 361-884-2463 - 2,637,277 ($46,974,335.00) Equity, (File 333-139180 - Dec. 7) (BR. 02) S-3ASR JDS UNIPHASE CORP /CA/, 430 NORTH MCCARTHY BOULEVARD, MILPITAS, CA, 95035, 4085465000 - 0 ($425,000,000.00) Debt Convertible into Equity, (File 333-139181 - Dec. 7) (BR. 10B) S-8 JDS UNIPHASE CORP /CA/, 430 NORTH MCCARTHY BOULEVARD, MILPITAS, CA, 95035, 4085465000 - 12,500,000 ($225,750,000.00) Equity, (File 333-139182 - Dec. 7) (BR. 10B) S-4 FIRST BUSEY CORP /NV/, 201 W MAIN STREET, URBANA, IL, 61801, 2173844513 - 0 ($365,494,361.00) Equity, (File 333-139183 - Dec. 7) (BR. 07A) S-1 TVIA INC, 4001 BURTON DRIVE, SANTA CLARA, CA, 95054, 4089828588 - 0 ($5,690,845.00) Equity, (File 333-139184 - Dec. 7) (BR. 10C) SB-2 NEOPROBE CORP, 425 METRO PLACE N, STE 400, DUBLIN, OH, 43017, 6147937500 - 13,440,000 ($3,628,800.00) Equity, (File 333-139185 - Dec. 7) (BR. 10B) 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 ACA Capital Holdings Inc 2.02,9.01 12/06/06 ACTEL CORP CA 7.01,9.01 12/07/06 ACUSPHERE INC DE 1.01,7.01,9.01 12/06/06 ADERA MINES LTD 1.01,2.03,8.01,9.01 12/01/06 AEOLUS PHARMACEUTICALS, INC. DE 5.02,9.01 11/30/06 AEROFLEX INC DE 5.02,9.01 12/05/06 AGERE SYSTEMS INC DE 3.03,8.01,9.01 05/27/05 AMEND AGL RESOURCES INC GA 7.01,9.01 12/07/06 ALANCO TECHNOLOGIES INC AZ 1.01,9.01 12/01/06 ALBEMARLE CORP VA 8.01,9.01 12/04/06 ALLIANCE BANKSHARES CORP 2.02,9.01 12/07/06 ALLIANCE SEMICONDUCTOR CORP /DE/ DE 1.01,9.01 12/01/06 ALLIED DEFENSE GROUP INC DE 1.01,3.03,9.01 12/05/06 ALLIED WORLD ASSURANCE CO HOLDINGS LT 1.02,9.01 12/05/06 ALMOST FAMILY INC DE 2.01,3.02,9.01 12/03/06 ALP LIQUIDATING TRUST DE 4.01,9.01 12/05/06 ALTRIA GROUP, INC. VA 8.01,9.01 12/07/06 AMERICAN COMMUNITY BANCSHARES INC NC 7.01,9.01 12/07/06 AMERICAN SOFTWARE INC GA 2.02,9.01 12/07/06 AMREP CORP. OK 2.02,9.01 10/31/06 ANALOG DEVICES INC MA 8.01,9.01 12/07/06 APOLLO GOLD CORP 1.01,2.03,9.01 12/01/06 APOLLO INVESTMENT CORP MD 7.01 12/07/06 APPLIED DIGITAL SOLUTIONS INC MO 5.02,9.01 12/02/06 AQUILA INC DE 1.01 12/06/06 ARAMARK CORP/DE DE 1.01,2.03,9.01 12/01/06 ARROW ELECTRONICS INC NY 1.01,9.01 12/06/06 ARVINMERITOR INC IN 7.01,9.01 12/07/06 ASIA PAYMENT SYSTEMS INC NV 7.01,9.01 12/05/06 AspenBio Pharma, Inc. CO 2.02,7.01,9.01 12/07/06 ATWOOD OCEANICS INC TX 2.02,7.01,9.01 12/07/06 AUXILIUM PHARMACEUTICALS INC 8.01,9.01 12/06/06 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 12/07/06 BANK JOS A CLOTHIERS INC /DE/ DE 2.02,9.01 12/07/06 BANK OF NEW YORK CO INC NY 1.01,9.01 12/03/06 BARNES & NOBLE INC DE 1.01,9.01 12/07/06 BECTON DICKINSON & CO NJ 1.01,8.01,9.01 11/21/06 BILL BARRETT CORP 7.01,9.01 12/06/06 BIOPHAN TECHNOLOGIES INC NV 5.02 12/01/06 BIOTIME INC CA 7.01,9.01 12/07/06 BlackRock Kelso Capital CORP DE 1.01,2.03,9.01 12/06/06 BLUE HOLDINGS, INC. NV 1.01,9.01 12/04/06 BLUEFLY INC DE 7.01 12/07/06 BLYTH INC DE 2.02 12/06/06 BORLAND SOFTWARE CORP DE 2.05 12/07/06 AMEND BOWL AMERICA INC MD 5.02,8.01 12/05/06 BRAUVIN NET LEASE V INC DE 4.01 12/05/06 BRAUVIN REAL ESTATE FUND LP 4 DE 4.01 12/05/06 BUILDING MATERIALS CORP OF AMERICA DE 8.01,9.01 12/07/06 C&D TECHNOLOGIES INC DE 2.02,9.01 12/07/06 CARREKER CORP DE 2.02,9.01 12/07/06 CASELLA WASTE SYSTEMS INC DE 2.02,9.01 12/06/06 CATAPULT COMMUNICATIONS CORP CA 2.02,9.01 12/06/06 CATCHER HOLDINGS, INC 1.02,5.02 12/04/06 CELL THERAPEUTICS INC WA 5.02,9.01 12/01/06 CENTENARY INTERNATIONAL CORP NV 7.01,9.01 12/01/06 CENTRAL GARDEN & PET CO DE 2.02,9.01 12/07/06 CEPHALON INC DE 8.01,9.01 12/07/06 CERUS CORP DE 1.01,8.01,9.01 12/06/06 CHARYS HOLDING CO INC 1.01,9.01 11/24/06 AMEND CHINA SHEN ZHOU MINING & RESOURCES, I NV 1.01 12/07/06 CHURCHILL DOWNS INC KY 5.02 12/01/06 CITIZENS COMMUNICATIONS CO DE 1.01,2.03,9.01 12/06/06 COLLINS & AIKMAN FLOOR COVERINGS INC DE 2.05,9.01 12/04/06 COLUMBIA LABORATORIES INC DE 1.01,5.02,8.01,9.01 12/06/06 COMPETITIVE COMPANIES INC NV 5.02 12/06/06 Con-way Inc. DE 5.02,7.01,9.01 12/07/06 CONCORD CAMERA CORP NJ 8.01,9.01 12/06/06 CONVERA CORP DE 2.02,5.02,9.01 12/06/06 COOPERATIVE BANKSHARES INC NC 7.01,9.01 12/07/06 Cornerstone Core Properties REIT, Inc MD 2.01,2.03,9.01 12/01/06 CORPORATE PROPERTY ASSOCIATES 16 GLOB MD 7.01,9.01 12/07/06 COUNTERPATH SOLUTIONS, INC. NV 1.01,3.02,9.01 11/30/06 CREDENCE SYSTEMS CORP DE 2.02,9.01 12/07/06 CREDENCE SYSTEMS CORP DE 5.02,9.01 12/07/06 CRESCENT FINANCIAL CORP NC 7.01,8.01,9.01 12/01/06 Crocs, Inc. 2.01 12/01/06 CROSSTEX ENERGY INC DE 5.02 12/01/06 CROSSTEX ENERGY LP DE 5.02 12/01/06 CROWN CASTLE INTERNATIONAL CORP DE 5.02 12/01/06 CULLEN FROST BANKERS INC TX 8.01,9.01 12/07/06 CULP INC NC 2.02,9.01 12/06/06 CUTTER & BUCK INC WA 2.02,7.01,9.01 12/07/06 CV THERAPEUTICS INC DE 8.01,9.01 12/04/06 CYBER DIGITAL INC NY 1.01 12/07/06 CYOP SYSTEMS INTERNATIONAL INC CA 5.02,9.01 12/07/06 CYOP SYSTEMS INTERNATIONAL INC CA 5.02,9.01 12/07/06 CYTOKINETICS INC 1.01,9.01 12/06/06 CYTOKINETICS INC 8.01,9.01 12/06/06 DaimlerChrysler Auto Trust 2006-D 8.01,9.01 12/05/06 DAVE & BUSTERS INC MO 2.02,5.02 12/06/06 DAYSTAR TECHNOLOGIES INC DE 8.01,9.01 11/30/06 DEVELOPERS DIVERSIFIED REALTY CORP OH 1.01,9.01 12/04/06 DEVRY INC DE 8.01,9.01 12/07/06 Diamond Foods Inc DE 8.01,9.01 12/07/06 Digital Realty Trust, Inc. MD 7.01,9.01 12/07/06 DISTRIBUTED ENERGY SYSTEMS CORP DE 5.02,9.01 12/06/06 DOVER MOTORSPORTS INC DE 1.01,9.01 12/06/06 DTE ENERGY CO MI 7.01,8.01,9.01 12/07/06 Duke Energy Indiana, Inc. IN 1.01,9.01 12/01/06 DYNAMEX INC DE 7.01,9.01 12/06/06 DYNAMIC LEISURE CORP MN 5.02,9.01 12/01/06 DYNAVAX TECHNOLOGIES CORP DE 8.01,9.01 12/04/06 DYNAVAX TECHNOLOGIES CORP DE 8.01,9.01 12/05/06 EDEN BIOSCIENCE CORP WA 1.01,2.05,2.06,5.02,9.01 12/01/06 ELECTRONIC DATA SYSTEMS CORP /DE/ DE 5.02 12/04/06 EMERGE INTERACTIVE INC DE 2.03,8.01,9.01 12/05/06 Emrise CORP DE 1.01,8.01,9.01 11/24/06 EMS TECHNOLOGIES INC GA 2.01,9.01 12/01/06 ENERGIZER HOLDINGS INC MO 4.01 12/05/06 ENERGY WEST INC MT 2.03,9.01 12/04/06 EnerSys DE 7.01,9.01 12/07/06 EOP OPERATING LTD PARTNERSHIP DE 8.01,9.01 12/07/06 EQUITY OFFICE PROPERTIES TRUST MD 8.01,9.01 12/07/06 EQUITY ONE, INC. 5.02 12/07/06 ERGO SCIENCE CORP /DE/ DE 1.01 12/04/06 ERIE INDEMNITY CO PA 5.02 12/07/06 ESCALA GROUP INC NY 5.02,9.01 12/05/06 ESTERLINE TECHNOLOGIES CORP DE 2.02,9.01 12/07/06 EURONET WORLDWIDE INC DE 5.02 12/05/06 EVANS BANCORP INC NY 5.02,9.01 12/06/06 EXACT SCIENCES CORP DE 7.01,9.01 12/07/06 FAIRCHILD CORP DE 8.01,9.01 12/05/06 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 7.01 12/01/06 FAVRILLE INC DE 1.01,9.01 12/01/06 Federal Home Loan Bank of Atlanta X1 2.03 12/04/06 Federal Home Loan Bank of Boston X1 2.03 12/04/06 Federal Home Loan Bank of Chicago X1 2.03 12/04/06 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 12/04/06 Federal Home Loan Bank of Dallas 2.03 12/04/06 Federal Home Loan Bank of Des Moines X1 2.03,9.01 12/04/06 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 12/05/06 Federal Home Loan Bank of New York X1 2.03,9.01 12/04/06 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 12/04/06 Federal Home Loan Bank of San Francis X1 2.03 12/04/06 Federal Home Loan Bank of Seattle 2.03 12/06/06 Federal Home Loan Bank of Topeka 2.03 12/04/06 FEDERAL NATIONAL MORTGAGE ASSOCIATION 2.02,7.01,9.01 12/06/06 FERRELLGAS PARTNERS L P DE 2.02,7.01,9.01 12/07/06 FERRELLGAS PARTNERS L P DE 2.02,9.01 07/31/06 FIDELITY D & D BANCORP INC PA 8.01,9.01 12/06/06 FINOVA GROUP INC DE 8.01,9.01 12/04/06 FIRST BANKS, INC MO 8.01 12/01/06 FIRST FINANCIAL CORP /TX/ TX 1.01,2.01,9.01 12/01/06 FIRSTCITY FINANCIAL CORP DE 1.01,2.01,9.01 12/07/06 FIRSTMERIT CORP /OH/ OH 1.01,9.01 12/01/06 FLEETWOOD ENTERPRISES INC/DE/ DE 2.02,9.01 12/07/06 FORD MOTOR CREDIT CO DE 8.01,9.01 12/01/06 FRANKLIN BANK CORP 1.01,9.01 12/06/06 FTS GROUP, INC. NV 4.02,9.01 12/06/06 GARTNER INC DE 1.01,8.01,9.01 12/06/06 GateHouse Media, Inc. DE 8.01,9.01 12/07/06 GEN PROBE INC DE 8.01 12/05/06 GEN PROBE INC DE 8.01,9.01 11/29/06 Geneva Gold Corp NV 3.02 12/01/06 GENWORTH LIFE & ANNUITY INSURANCE CO VA 1.01,9.01 12/01/06 Global Developments Inc. DE 2.01 12/05/06 Global Developments Inc. DE 5.02 11/01/06 Global Developments Inc. DE 2.01 11/03/06 Global Developments Inc. DE 8.01 11/06/06 Global Developments Inc. DE 2.01 12/06/06 Global Developments Inc. DE 2.01 12/01/06 Global Developments Inc. DE 2.01 12/04/06 Global Developments Inc. DE 2.01 12/04/06 Global Developments Inc. DE 2.01 12/04/06 GLOBAL INNOVATION CORP. 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DE 2.01,2.03,8.01,9.01 12/01/06 HAROLDS STORES INC OK 5.02,9.01 12/06/06 HARRIS INTERACTIVE INC DE 7.01 12/07/06 HAYNES INTERNATIONAL INC DE 2.02,9.01 12/05/06 HEALTH GRADES INC DE 7.01,9.01 12/07/06 HEALTHCARE REALTY TRUST INC MD 5.02 12/01/06 HELMERICH & PAYNE INC DE 1.01,9.01 12/01/06 HEPALIFE TECHNOLOGIES INC FL 7.01,9.01 11/20/06 HERSHA HOSPITALITY TRUST MD 1.01,9.01 12/05/06 HEWITT ASSOCIATES INC DE 5.02,9.01 12/01/06 HEWLETT PACKARD CO DE 8.01,9.01 12/07/06 HOME EQUITY MORTGAGE LOAN ASSET-BACKE DE 9.01 11/17/06 Horizon Lines, Inc. 1.01,9.01 12/01/06 HUDSON CITY BANCORP INC DE 7.01,9.01 12/06/06 HURCO COMPANIES INC IN 2.02,9.01 12/06/06 Huron Consulting Group Inc. DE 5.02,9.01 12/05/06 iBroadband, Inc. NV 1.01,3.02,5.02 12/07/06 ICO INC TX 4.02 12/05/06 ICO INC TX 2.02,9.01 12/06/06 ICO INC TX 7.01 12/06/06 IDT CORP DE 2.02,9.01 12/07/06 IMMUNE RESPONSE CORP DE 5.02 12/04/06 Index Oil & Gas Inc. NV 1.01,9.01 11/29/06 INDYMAC ABS INC DE 9.01 12/07/06 Ingen Technologies, Inc. 1.01,9.01 11/17/06 INNOVATIVE SOLUTIONS & SUPPORT INC PA 2.02 12/06/06 INSMED INC VA 8.01,9.01 12/07/06 INTEGRATED SILICON SOLUTION INC DE 1.01,9.01 12/05/06 INTERCHANGE FINANCIAL SERVICES CORP / NJ 5.04,9.01 12/07/06 INTERNATIONAL FOOD PRODUCTS GROUP INC NV 5.02 12/04/06 IPC HOLDINGS LTD 1.02,9.01 12/05/06 IPSCO INC 1.01 12/01/06 IR BIOSCIENCES HOLDINGS INC DE 1.01,3.02,9.01 12/06/06 ISTAR FINANCIAL INC MD 5.02 12/04/06 ITRON INC /WA/ WA 5.02,9.01 12/04/06 iVOW, Inc. DE 1.01,2.01 12/04/06 J C PENNEY CO INC DE 5.02,9.01 12/01/06 JACUZZI BRANDS INC DE 2.02,9.01 12/07/06 JAGGED PEAK, INC. NV 7.01,9.01 12/07/06 JMG Exploration, Inc. NV 3.03,8.01,9.01 12/05/06 JWH GLOBAL TRUST 5.01,5.02,5.03,9.01 12/01/06 KBS Real Estate Investment Trust, Inc MD 1.01,2.01,2.03,9.01 12/01/06 KEY ENERGY SERVICES INC MD 4.01,7.01,9.01 12/01/06 KeyCorp Student Loan Trust 2006-A DE 8.01,9.01 12/07/06 KOS PHARMACEUTICALS INC FL 1.01,5.02,5.05 12/05/06 KYPHON INC DE 1.01,3.02,7.01,9.01 12/04/06 LAKELAND INDUSTRIES INC DE 2.02,9.01 12/07/06 LATTICE SEMICONDUCTOR CORP DE 5.02,9.01 12/05/06 Legacy Bancorp, Inc. DE 7.01,9.01 12/07/06 LEHMAN BROTHERS HOLDINGS INC DE 5.02,9.01 12/07/06 LEUCADIA NATIONAL CORP NY 8.01,9.01 12/07/06 LIONBRIDGE TECHNOLOGIES INC /DE/ DE 1.01 12/04/06 LITHIA MOTORS INC OR 8.01,9.01 12/07/06 LOGILITY INC GA 2.02,9.01 12/07/06 LOJACK CORP MA 5.02 12/04/06 MANAKOA SERVICES CORP NV 5.02,9.01 12/07/06 MARCHEX INC DE 1.01,9.01 12/05/06 MARKWEST HYDROCARBON INC DE 5.02 12/01/06 MARSH & MCLENNAN COMPANIES, INC. DE 7.01 12/06/06 MASCO CORP /DE/ DE 5.02,9.01 12/04/06 MATTHEWS INTERNATIONAL CORP PA 7.01 12/06/06 MAYS J W INC NY 2.02 12/06/06 MEDTOX SCIENTIFIC INC DE 8.01,9.01 12/04/06 MELLON FINANCIAL CORP PA 1.01,9.01 12/03/06 MERIT MEDICAL SYSTEMS INC UT 1.01,2.03,5.02,9.01 12/04/06 METAL MANAGEMENT INC DE 7.01,9.01 12/06/06 METHODE ELECTRONICS INC DE 2.02,9.01 12/07/06 MEXICAN RESTAURANTS INC TX 1.01,5.02,9.01 12/01/06 MICRON TECHNOLOGY INC DE 5.03,9.01 12/05/06 MIDLAND CO OH 5.02,9.01 12/06/06 MODERN TECHNOLOGY CORP NV 1.01,9.01 11/30/06 MONARCH SERVICES INC MD 9.01 08/18/06 AMEND MONARCH SERVICES INC MD 9.01 11/28/06 AMEND MONEYGRAM INTERNATIONAL INC 5.02,8.01 11/16/06 MONTGOMERY REALTY GROUP INC NV 2.01,9.01 12/01/06 MORGAN STANLEY DE 9.01 12/01/06 MOSAIC CO 2.03,3.03,9.01 12/01/06 MOTORCAR PARTS AMERICA INC NY 1.01,9.01 12/06/06 MOVADO GROUP INC NY 2.02,9.01 12/07/06 MRS FIELDS FAMOUS BRANDS LLC DE 5.02 12/01/06 NATIONAL BANCSHARES CORP /OH/ OH 5.02,9.01 12/07/06 NATIONAL MERCANTILE BANCORP CA 1.01 11/30/06 NATIONAL QUALITY CARE INC DE 5.02 11/30/06 NATIONAL RURAL UTILITIES COOPERATIVE DC 1.01 12/04/06 NATIONAL SEMICONDUCTOR CORP DE 2.02,9.01 12/07/06 NATURADE INC DE 4.01,9.01 11/30/06 NCI BUILDING SYSTEMS INC DE 2.02,9.01 12/06/06 Neiman Marcus, Inc. DE 2.02,9.01 12/07/06 NEOMEDIA TECHNOLOGIES INC DE 1.01,2.01,9.01 12/06/06 NEW FRONTIER ENERGY INC CO 3.02 11/10/06 NEW YORK COMMUNITY BANCORP INC DE 7.01,9.01 12/07/06 NextWave Wireless LLC DE 7.01,9.01 12/06/06 NORTH BAY BANCORP/CA CA 5.02 12/01/06 NOVACEA INC DE 5.02,8.01,9.01 12/07/06 OCTILLION CORP 7.01,9.01 11/28/06 OLD POINT FINANCIAL CORP VA 5.02 12/07/06 ONLINE RESOURCES CORP DE 2.02 12/07/06 OPTION CARE INC/DE DE 3.02 12/01/06 ORION HEALTHCORP INC DE 1.01,1.02,2.01,2.03, 12/01/06 3.02,3.03,5.03,9.01 ORTHOFIX INTERNATIONAL N V 2.01,9.01 09/22/06 AMEND ORTHOVITA INC 1.01,9.01 12/05/06 OYO GEOSPACE CORP DE 2.02,9.01 12/07/06 PACIFIC CMA INC DE 3.01,9.01 12/01/06 PACIFICNET INC DE 9.01 12/14/05 AMEND PACKAGING CORP OF AMERICA 7.01,9.01 12/07/06 PACKAGING CORP OF AMERICA 7.01,9.01 12/07/06 PALADIN REALTY INCOME PROPERTIES INC MD 1.01,2.01,2.03,9.01 12/01/06 PANHANDLE EASTERN PIPE LINE CO LP DE 1.01,2.03,9.01 12/01/06 PATHMARK STORES INC DE 2.02,9.01 12/07/06 PC CONNECTION INC DE 1.01,9.01 12/07/06 Penn Virginia GP Holdings, L.P. DE 1.01,7.01,9.01 12/04/06 PENN VIRGINIA RESOURCE PARTNERS L P DE 1.01,9.01 12/04/06 PENNICHUCK CORP NH 5.02 12/07/06 PEPSIAMERICAS INC/IL/ DE 2.05 10/25/06 AMEND PHH CORP MD 1.01,2.03,9.01 12/01/06 PHYTOMEDICAL TECHNOLOGIES INC NV 7.01,9.01 12/04/06 PINNACLE AIRLINES CORP DE 8.01,9.01 12/05/06 PLAYBOY ENTERPRISES INC DE 7.01,9.01 12/07/06 PLM EQUIPMENT GROWTH & INCOME FUND VI CA 1.01,2.01,8.01,9.01 12/04/06 PLM EQUIPMENT GROWTH FUND VI CA 2.01,8.01,9.01 12/04/06 PNM RESOURCES INC NM 1.01,8.01 12/07/06 Popular ABS Mortgage Pass-Through Tru DE 9.01 12/07/06 POTLATCH CORP DE 5.02,5.03,8.01,9.01 12/01/06 PROFESSIONAL LEASE MANAGEMENT INCOME DE 1.01,2.01,8.01,9.01 12/04/06 PROVIDENT BANKSHARES CORP MD 7.01,9.01 12/07/06 PRUDENTIAL FINANCIAL INC NJ 8.01,9.01 12/07/06 PSYCHIATRIC SOLUTIONS INC DE 1.01,2.01,2.03,9.01 12/01/06 PUBLICARD INC PA 2.02,9.01 12/07/06 QUANEX CORP DE 2.02,9.01 12/06/06 QUOTESMITH COM INC DE 7.01 12/07/06 RCN CORP /DE/ DE 7.01,9.01 12/07/06 RECKSON ASSOCIATES REALTY CORP MD 8.01,9.01 12/07/06 RECKSON ASSOCIATES REALTY CORP MD 8.01,9.01 12/07/06 RELIANT ENERGY INC DE 1.01,2.03,3.03,8.01,9.01 12/01/06 REMEC INC CA 4.01,9.01 12/07/06 REMINGTON ARMS CO INC/ DE 1.01 12/07/06 Remote Dynamics Inc DE 1.01,3.02,5.01,5.02,9.01 12/06/06 Renaissance Home Equity Loan Trust 20 9.01 12/01/06 RENTECH INC /CO/ CO 5.02 12/01/06 Republic Companies Group, Inc. 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DE 2.02,9.01 12/07/06 VERIZON COMMUNICATIONS INC DE 5.02 12/07/06 VERTICALNET INC PA 1.01,1.02,3.02,5.02,9.01 12/01/06 VISTA GOLD CORP 1.01,8.01,9.01 12/05/06 VISTACARE, INC. DE 5.02,9.01 12/06/06 WAKO LOGISTICS GROUP INC 2.01,2.03,9.01 12/01/06 WaMu Asset Acceptance Corp. DE 9.01 12/07/06 WASTE SERVICES, INC. A6 2.02,9.01 12/31/05 WELLCARE HEALTH PLANS, INC. DE 5.02 12/07/06 WESTBRIDGE RESEARCH GROUP CA 1.01 12/05/06 WESTLAND DEVELOPMENT CO INC NM 8.01,9.01 12/07/06 WILSHIRE ENTERPRISES INC DE 1.01,3.03,5.02,5.03,9.01 12/04/06 WITNESS SYSTEMS INC DE 5.02,8.01,9.01 12/01/06 WJ COMMUNICATIONS INC DE 2.02,9.01 12/06/06 WORKSTREAM INC 1.02,5.02,9.01 12/03/06 XILINX INC DE 7.01,9.01 12/07/06 ZAPATA CORP NV 1.01,2.01,9.01 12/01/06 ZENITH NATIONAL INSURANCE CORP DE 8.01,9.01 12/07/06 ZIONS BANCORPORATION /UT/ UT 3.03,5.03,8.01,9.01 12/04/06