SEC NEWS DIGEST Issue 2006-241 December 15, 2006 RULES AND RELATED MATTERS EXTENSION OF ORDER REGARDING BROKER-DEALER FINANCIAL STATEMENT REQUIREMENTS UNDER SECTION 17 OF THE EXCHANGE ACT On December 12, the Commission extended an Order originally issued on Aug. 4, 2003, and extended on July 14, 2004, and on Dec. 7, 2005, permitting non-public broker-dealers to file with the Commission and send to their customers financial statements certified by an independent public accountant instead of certified by a registered public accounting firm for fiscal years ending before Jan. 1, 2009. Section 17(e)(1)(A) of the Securities Exchange Act of 1934 (Exchange Act) requires that every registered broker-dealer annually file with the Commission a certified balance sheet and income statement, and Section 17(e)(1)(B) requires that the broker-dealer annually send to its customers its "certified balance sheet." The Sarbanes-Oxley Act of 2002 (Act) established the Board and amended Section 17(e) to replace the words "an independent public accountant" with "a registered public accounting firm." The Act establishes a deadline for registration with the Board of auditors of financial statements of "issuers," as that term is defined in the Act. The Act does not provide a deadline for registration of auditors of broker-dealers that are not issuers (non-public broker- dealers). Application of registration requirements and procedures to auditors of non-public broker-dealers is still being considered. The Commission has therefore determined that extending the Order for two years is consistent with the public interest and the protection of investors. For further information, please contact: Rose Russo Wells at (202) 551-5527. (Rel. 34-54920) INTERNAL CONTROL OVER FINANCIAL REPORTING REQUIREMENTS FOR NON- ACCELERATED FILERS AND NEWLY PUBLIC COMPANIES The Commission adopted an extension to further postpone the date by which smaller public companies must comply with the internal control reporting requirements mandated by Section 404 of the Sarbanes-Oxley Act of 2002. Pursuant to the extension, a non-accelerated filer will provide management's assessment regarding internal control over financial reporting in its annual reports for fiscal years ending on or after Dec. 15, 2007. The Commission also is extending the date by which a non-accelerated filer must begin to comply with the auditor attestation requirement. A non-accelerated filer is not required to file the auditor's attestation report on internal control over financial reporting until it files an annual report for its first fiscal year ending on or after Dec. 15, 2008. As part of the same release, the Commission is granting relief from the Section 404 requirements for companies that are new to Exchange Act reporting. The final rules provide all newly public companies with a transition period that prevents them from having to comply with the Section 404 requirements in the first annual report that they file after becoming an Exchange Act reporting company. (Rels. 33-8760; 34-54942; File No. S7-06-03; Press Rel. 2006-210) ENFORCEMENT PROCEEDINGS IN THE MATTER OF MARK LEFFERS, CPA On December 14, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e)(3) of the Commission's Rules of Practice, Making Findings and Imposing Remedial Sanctions (Order) against Mark B. Leffers. The Order finds that Leffers, age 44, is and has been a certified public accountant licensed to practice in the State of Maryland and that from early 1999 through Fall 2000, Leffers served as the chief financial officer to Busybox.com, Inc. (Busybox). The order also finds that the Commission filed a complaint against Leffers in SEC v. Patrick A. Grotto, et al., Civil Action Number 05 Civ. 5880 (GEL) (SEC v. Grotto), alleging that he and others engaged in fraud in connection with the June 2000 IPO of Busybox securities. The Order further finds that on October 24, 2006, the U.S. District Court for the Southern District of New York entered a final judgment against Leffers in SEC v. Grotto for his role in the Busybox IPO fraud. The Final Judgment enjoins Leffers from future violations, direct or indirect, 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. Based on the above, the Order suspends Leffers from appearing or practicing before the Commission as an accountant. (Rel. 34-54940; AAE Rel. No. 2524; File No. 3-12506) COURT ADOPTS MAGISTRATE JUDGE'S RECOMMENDATION AND ENTERS FINAL JUDGMENT SETTING CIVIL PENALTIES AGAINST DEFENDANTS LAWRENCE GALLO AND DOUGLAS RASBERRY The Commission announced that the Honorable Daniel T.K. Hurley of the U.S. District Court for the Southern District of Florida adopted in full the Report and Recommendation of Magistrate Judge James Hopkins and entered a Final Judgment setting civil penalties against Lawrence Gallo and Douglas Rasberry and ordered them to each pay a civil money penalty in the amount of $110,000. Previously, on Oct. 11, 2005, the Court enjoined Gallo from violating Sections 10(b), 13(d) and 16(a) of the Securities Exchange Act of 1934, and Rules 10b-5, 13d-1 and 16a-3(a) thereunder and from aiding and abetting or causing violations of Section 13(a) of the Exchange Act and Rules 13a-1 and 12b-20 thereunder, and enjoined Rasberry from violating Section 10(b) of the Exchange Act and Rule 10b-5 thereunder and from aiding and abetting or causing violations of Section 13(a) of the Exchange Act and Rules 13a-1 and 12b-20 thereunder. The Commission alleged in its complaint that Gallo and Rasberry made materially false and misleading statements in filings with the Commission in violation of the federal securities laws. [SEC v. Uncommon Media Group, Inc., et al., Case No. 02-80770-CIV-HURLEY/LYNCH (S.D. FL)] (LR-19945) INVESTMENT COMPANY ACT RELEASES ALLEGIANT FUNDS, ET AL. An order has been issued on an application filed by Allegiant Funds, et al. for an exemption from Section 15(a) of the Investment Company Act and Rule 18f-2 under the Act. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval. (Rel. IC-27596 - December 11) MEMBERS MUTUAL FUNDS, ET AL. A notice has been issued giving interested persons until Jan. 8, 2007, to request a hearing on an application filed by Members Mutual Funds, et al. for an order 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 would permit certain registered open-end management investment companies to acquire shares of other registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies. (Rel. IC-27598 - December 13) STANDARDS SETTING BOARDS PROPOSED RULE AMENDMENT The Commission published for comment a proposed rule amendment (PCAOB- 2006-02) submitted by the Public Company Accounting Oversight Board adjusting the implementation schedule for PCAOB Rule 3523, Tax Services For Persons in Financial Reporting Oversight Roles. The proposed rule amendment has been designated by the PCAOB as constituting a stated policy, practice, or interpretation with respect to the meaning, administration, or enforcement of an existing rule under Section 19(b)(3)(A)(i) of the Securities Exchange Act of 1934, which renders the proposal effective upon filing with the Commission. Publication of the proposed rule amendment is expected in the Federal Register during the week of December 11. The comment period will end 21 days after the proposed rule amendment is published in the Federal Register. (Rel. 34-54938) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-CHX-2006-36) filed by the Chicago Stock Exchange relating to participant fees and credits 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 18. (Rel. 34-54922) A proposed rule change (SR-NASD-2006-132) filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., to modify pricing for NASD members using ITS/CAES and Inet 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 18. (Rel. 34-54932) A proposed rule change (SR-NASDAQ-2006-051) and Amendment No. 1 thereto filed by The NASDAQ Stock Market to temporarily adjust tier volume limits 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 18. (Rel. 34-54933) A proposed rule change (SR-NASD-2006-130) and Amendment No. 1 thereto filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., to extend a pricing pilot for NASD members using ITS/CAES and Inet 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 18. (Rel. 34-54934) PROPOSED RULE CHANGES The International Securities Exchange filed a proposed rule change (SR-ISE-2006-73) to revise the definition of "Complex Trade" under the ISE's Intermarket Linkage rules. Publication is expected in the Federal Register during the week of December 18. (Rel. 34-54923) The Chicago Board Options Exchange filed a proposed rule change and Amendment No. 1 thereto (SR-CBOE-2006-62) amending its index obvious error rule. Publication is expected in the Federal Register during the week of December 18. (Rel. 34-54926) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-NASD-2006-115) submitted by the National Association of Securities Dealers to establish a trade reporting facility in conjunction with the Boston Stock Exchange. Publication is expected in the Federal Register during the week of December 18. (Rel. 34-54931) 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 FINANCIAL FEDERAL CORP, 733 THIRD AVENUE, NEW YORK, NY, 10017, 2125998000 - 3,250,490 ($94,134,190.40) Equity, (File 333-139318 - Dec. 14) (BR. 11C) S-8 VERSO TECHNOLOGIES INC, 400 GALLERIA PARKWAY, SUITE 300, ATLANTA, GA, 30326, 7706123500 - 3,500,000 ($4,375,000.00) Equity, (File 333-139319 - Dec. 14) (BR. 03C) S-3ASR TRIUMPH GROUP INC /, FOUR GLENHARDIE CORPORATE CENTER, 1255 DRUMMERS LANE SUITE 200, WAYNE, PA, 19087, 6109750420 - 0 ($201,250,000.00) Equity, (File 333-139323 - Dec. 14) (BR. 05C) S-8 CAMECO CORP, 2121 11TH ST W, SASKATOON, A9, S7M 1J3, 3069566200 - 125,000 ($4,875,000.00) Equity, (File 333-139324 - Dec. 14) (BR. 04B) SB-2 Rohat Resources, Inc., 2025 GRAVELEY STREET, VANCOUVER, A1, V5L 3B6, (604) 408-1710 - 2,487,500 ($124,375.00) Equity, (File 333-139326 - Dec. 14) (BR. 04) S-8 HAUPPAUGE DIGITAL INC, 91 CABOT COURT, HAUPPAUGE, NY, 11788, 5164341600 - 0 ($6,140,000.00) Equity, (File 333-139327 - Dec. 14) (BR. 03B) S-3ASR PRAXAIR INC, 39 OLD RIDGEBURY RD, DANBURY, CT, 06810-5113, 2038372000 - 0 ($0.00) Other, (File 333-139328 - Dec. 14) (BR. 06A) S-8 HAUPPAUGE DIGITAL INC, 91 CABOT COURT, HAUPPAUGE, NY, 11788, 5164341600 - 0 ($1,964,800.00) Equity, (File 333-139329 - Dec. 14) (BR. 03B) S-8 NewStar Financial, Inc., 500 BOYLSTON STREET, SUITE 1600, BOSTON, MA, 02116, 617 848-2500 - 5,861,097 ($99,638,649.00) Equity, (File 333-139330 - Dec. 14) (BR. 07) S-8 NewStar Financial, Inc., 500 BOYLSTON STREET, SUITE 1600, BOSTON, MA, 02116, 617 848-2500 - 2,346,970 ($39,898,490.00) Equity, (File 333-139331 - Dec. 14) (BR. 07) SB-2 Sugar Creek Financial Corp, 28 WEST BROADWAY, TRENTON, IL, 62293, 618-224-9228 - 0 ($5,653,690.00) Equity, (File 333-139332 - Dec. 14) (BR. 07) S-3 BJs RESTAURANTS INC, 16162 BEACH BOULEVARD, SUITE 100, HUNTINGTON BEACH, CA, 92647, 7148483747 - 0 ($61,684,500.00) Equity, (File 333-139333 - Dec. 14) (BR. 05A) S-8 ENCORIUM GROUP INC, ONE GLENHARDIE CORPORATE CENTER, 1275 DRUMMERS LANE STE 100, WAYNE, PA, 19087, 6109759533 - 1,000,000 ($3,970,000.00) Equity, (File 333-139337 - Dec. 14) (BR. 01A) S-1 VIRAGEN INTERNATIONAL INC, 865 SW 78TH AVENUE, SUITE 100, PLANTATION, FL, 33324, 9542338377 - 0 ($239,760.00) Equity, (File 333-139338 - Dec. 14) (BR. 01C) SB-2 Delanco Bancorp Inc, 615 BURLINGTON AVENUE, DELANCO, NJ, 08075, 856-461-0611 - 1,071,225 ($10,712,250.00) Equity, (File 333-139339 - Dec. 14) (BR. ) S-3 TECH DATA CORP, 5350 TECH DATA DR, CLEARWATER, FL, 33760, 7275397429 - 0 ($350,000,000.00) Debt Convertible into Equity, (File 333-139340 - Dec. 14) (BR. 03C) S-8 HOLOGIC INC, 35 CROSBY DRIVE, BEDFORD, MA, 01730, 7819997300 - 1,000,000 ($49,640,000.00) Equity, (File 333-139341 - Dec. 14) (BR. 10B) S-8 ANSELL LTD, LEVEL 3, 678 VICTORIA ST, RICHMOND VICTORIA, C3, 3121, 01161392707215 - 5,300,000 ($47,753,000.00) Equity, (File 333-139342 - Dec. 14) (BR. 06C) SB-2 DesignerSportsApparel,Inc., 207 N. CENTER STREET, UNIT A, ARLINGTON, TX, 76011, 817-201-4912 - 3,257,000 ($814,250.00) Equity, (File 333-139343 - Dec. 14) (BR. ) SB-2 UC Hub Group Inc, 10390 COMMERCE CENTER DRIVE, SUITE 250, RANCHO CUCAMONGA, CA, 91730, 800-425-5266 - 7,560,000 ($378,000.00) Equity, (File 333-139344 - Dec. 14) (BR. 11C) S-8 PNC FINANCIAL SERVICES GROUP INC, ONE PNC PLAZA, 249 FIFTH AVENUE, PITTSBURGH, PA, 15222, 412-762-2000 - 6,000,000 ($431,760,000.00) Equity, (File 333-139345 - Dec. 14) (BR. 07B) N-2 Nicholas-Applegate Equity & Income Capture Fund, ONE INTERNATIONAL PLACE, C/O ROPES & GRAY LLP, BOSTON, MA, 02110, 617-951-7000 - 40,000 ($1,000,000.00) Equity, (File 333-139346 - Dec. 14) (BR. ) S-8 PNC FINANCIAL SERVICES GROUP INC, ONE PNC PLAZA, 249 FIFTH AVENUE, PITTSBURGH, PA, 15222, 412-762-2000 - 5,000,000 ($359,800,000.00) Equity, (File 333-139347 - Dec. 14) (BR. 07B) S-8 DPL INC, 1065 WOODMAN DRIVE, DAYTON, OH, 45432, 937 259 7142 - 45,000,000 ($125,820,000.00) Equity, (File 333-139348 - Dec. 14) (BR. 02B) S-3ASR GENERAL GROWTH PROPERTIES INC, 110 N WACKER DRIVE, STE 3100, CHICAGO, IL, 60606, 3129605000 - 4,632,596 ($253,727,282.92) Equity, (File 333-139349 - Dec. 14) (BR. 08B) S-8 COREL CORP, 1600 CARLING AVE, OTTAWA, ONTARIO CANADA, A6, K1Z 8R7, 6137288200 - 0 ($22,024,285.15) Equity, (File 333-139350 - Dec. 14) (BR. 03) S-8 SPX CORP, 13515 BALLANTYNE CORPORATE PLACE, CHARLOTTE, NC, 28277, 704-752-4400 - 0 ($100,000,000.00) Equity, (File 333-139351 - Dec. 14) (BR. 10C) S-8 SPX CORP, 13515 BALLANTYNE CORPORATE PLACE, CHARLOTTE, NC, 28277, 704-752-4400 - 0 ($6,146,500.00) Equity, (File 333-139352 - Dec. 14) (BR. 10C) S-8 WILLBROS GROUP INC, DRESDNER BANK BUILDING, 50TH STREET 8TH FLOOR PO BOX 850048, PANAMA 5 REPUBLIC OF, R1, 00000, 5072639282 - 0 ($921,500.00) Equity, (File 333-139353 - Dec. 14) (BR. 04C) SB-2 PIPEX PHARMACEUTICALS, INC., 3985 RESEARCH PARK DRIVE, ANN ARBOR, MI, 48108, 734-332-7800 - 30,950,396 ($82,792,308.00) Equity, (File 333-139354 - Dec. 14) (BR. 09) S-11 CBRE Realty Finance Inc, 185 ASYLUM ST 37TH FL, CITY PLACE 1, HARTFORD, CT, 06103, 860-275-6200 - 20,463,751 ($335,196,241.38) Equity, (File 333-139355 - Dec. 14) (BR. 08A) S-8 Global Telecom & Technology, Inc., 8484 WESTPARK DRIVE, SUITE 720, MCLEAN, VA, 22102, (703) 442-5500 - 0 ($9,240,000.00) Equity, (File 333-139356 - Dec. 14) (BR. 09B) S-8 NETWORK ENGINES INC, 25 DAN ROAD, CANTON, MA, 02021, 7813321000 - 0 ($1,923,750.00) Equity, (File 333-139357 - Dec. 14) (BR. 03B) S-4 LIBBEY GLASS INC., 300 MADISON AVENUE, TOLEDO, OH, 43604, 419-325-2100 - 0 ($306,000,000.00) Non-Convertible Debt, (File 333-139358 - Dec. 14) (BR. ) F-3 ROYAL BANK OF CANADA \, P O BOX 1, ROYAL BANK PLAZA, TORONTO, A6, 00000, 4169745151 - 3,225,085,000 ($3,225,085,000.00) Debt, (File 333-139359 - Dec. 14) (BR. 07A) 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 NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------------------- 1 800 FLOWERS COM INC DE 5.02,9.01 12/14/06 3D SYSTEMS CORP DE 4.01,9.01 12/08/06 A.C. Moore Arts & Crafts, Inc. PA 1.01,2.05,9.01 12/08/06 ABFC 2006-HE1 Trust DE 9.01 12/14/06 ABM INDUSTRIES INC /DE/ DE 2.02,8.01,9.01 12/12/06 AMEND ACCENTIA BIOPHARMACEUTICALS INC 1.01,2.03,3.02,9.01 12/08/06 Adams Respiratory Therapeutics, Inc. DE 7.01,9.01 12/13/06 ADEZA BIOMEDICAL CORP DE 1.01 12/11/06 ADOBE SYSTEMS INC DE 2.02,9.01 12/14/06 ADOLOR CORP 5.02,8.01,9.01 12/14/06 ADUDDELL INDUSTRIES INC CO 1.01 12/08/06 ADVANCED MEDIA TRAINING INC DE 2.01,5.01,7.01,9.01 12/11/06 ADVANCED MICRO DEVICES INC DE 7.01,9.01 12/14/06 ADVO INC DE 1.01 12/11/06 AIRTRAN HOLDINGS INC NV 7.01,8.01,9.01 12/13/06 AKORN INC LA 5.03,8.01,9.01 12/11/06 Aldabra Acquisition CORP DE 8.01 12/14/06 Aleris International, Inc. DE 8.01,9.01 12/14/06 ALION SCIENCE & TECHNOLOGY CORP DE 1.01,9.01 12/11/06 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 12/14/06 ALLIANCE ONE INTERNATIONAL, INC. VA 5.02,7.01,9.01 12/14/06 ALLIED HEALTHCARE INTERNATIONAL INC NY 2.02,9.01 12/14/06 Allis Chalmers Energy Inc. DE 9.01 10/17/06 AMEND ALTAIR NANOTECHNOLOGIES INC A6 1.01,7.01,9.01 12/13/06 Alternative Loan Trust 2006-40T1 8.01,9.01 11/29/06 Alternative Loan Trust 2006-42 8.01,9.01 11/29/06 Alternative Loan Trust 2006-OC10 8.01,9.01 12/14/06 AMB PROPERTY CORP MD 1.01,2.03,9.01 12/08/06 AMB PROPERTY LP DE 1.01,2.03,9.01 12/08/06 AMERA LINK INC NV 1.02 12/08/06 American Caresource Holdings, Inc. DE 5.02,9.01 12/13/06 American Home Mortgage Investment Tru DE 2.01,9.01 06/30/06 AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 1.02,5.02,9.01 12/08/06 AMERICAN SKIING CO /ME DE 9.01 12/07/06 AMERICAN SPECTRUM REALTY INC MD 8.01,9.01 12/14/06 AMTECH SYSTEMS INC AZ 5.02 12/08/06 ANWORTH MORTGAGE ASSET CORP MD 2.02,9.01 12/13/06 ARES CAPITAL CORP MD 8.01,9.01 12/14/06 ARGAN INC DE 1.01,2.01,2.03,3.02,9.01 12/08/06 ARGON ST, Inc. DE 2.02,9.01 12/14/06 Argyle Security Acquisition CORP 1.01,9.01 12/08/06 ASTRONICS CORP NY 5.02 12/12/06 ASV INC /MN/ MN 5.04,9.01 12/14/06 AtriCure, Inc. DE 8.01,9.01 12/12/06 AUTOBYTEL INC DE 5.02,9.01 12/11/06 AVENUE GROUP INC DE 4.02 11/14/06 AVISTA CORP WA 8.01,9.01 12/12/06 BALCHEM CORP MD 5.02,7.01,9.01 12/08/06 Banc of America Funding 2006-8T2 Trus DE 8.01,9.01 11/29/06 Bank of Commerce Holdings CA 8.01,9.01 12/13/06 BANK OF SOUTH CAROLINA CORP SC 8.01,9.01 12/14/06 BARD C R INC /NJ/ NJ 8.01 12/14/06 Basin Water, Inc. CA 8.01 12/11/06 BAUSCH & LOMB INC NY 1.01 12/13/06 BEACON ROOFING SUPPLY INC 2.02,9.01 12/14/06 Bear Stearns ALT-A Trust 2006-6 DE 8.01,9.01 09/29/06 BEAR STEARNS DEPOSITOR INC TRUST CERT 8.01,9.01 12/01/06 BEARINGPOINT INC DE 8.01,9.01 12/14/06 BEHRINGER HARVARD REIT I INC MD 7.01,9.01 12/14/06 BEVERLY NATIONAL CORP MA 8.01,9.01 12/14/06 BIOPURE CORP DE 2.02,9.01 12/14/06 BioScrip, Inc. DE 1.01,3.03,9.01 12/13/06 BIOVEST INTERNATIONAL INC DE 1.01,2.03,3.02,9.01 12/08/06 BLUE RIDGE REAL ESTATE CO PA 1.01,2.03,9.01 12/11/06 BOWLIN TRAVEL CENTERS INC NV 2.02,9.01 12/14/06 Brilliant Technologies, CORP 8.01 12/14/06 BSD MEDICAL CORP DE 7.01,9.01 12/14/06 BUTLER NATIONAL CORP DE 2.02,8.01,9.01 12/14/06 CALLISTO PHARMACEUTICALS INC DE 1.01,3.02,9.01 09/08/06 AMEND CALPINE CORP DE 7.01,9.01 10/31/06 CAPITAL ONE FINANCIAL CORP DE 5.02,7.01,9.01 12/11/06 CARMAX INC VA 1.01,9.01 12/14/06 CASEYS GENERAL STORES INC IA 7.01 12/14/06 Cell Power Technologies Inc 4.01,9.01 12/08/06 CENTERPOINT ENERGY INC 8.01,9.01 12/14/06 CENTURION GOLD HOLDINGS INC FL 1.01,9.01 12/04/06 CENTURY PROPERTIES FUND XVIII CA 1.01,9.01 12/08/06 CENTURY PROPERTIES GROWTH FUND XXII CA 1.01,9.01 12/08/06 CHARYS HOLDING CO INC 1.01,2.01,2.03,3.02,9.01 09/01/06 AMEND Chemtura CORP DE 5.02,9.01 12/14/06 CHESAPEAKE ENERGY CORP OK 1.01,8.01,9.01 12/08/06 China 3C Group NV 5.02,9.01 12/08/06 CHINA BAK BATTERY INC NV 7.01 12/14/06 CHINA BIOPHARMA, INC. DE 1.01,2.03,9.01 12/13/06 CHINA BIOPHARMA, INC. DE 1.01,2.03,9.01 12/13/06 AMEND CHOICEPOINT INC GA 1.01,1.02,2.03 12/08/06 CIENA CORP DE 2.02,9.01 12/14/06 CIENA CORP DE 5.02 12/13/06 CIGNA CORP DE 7.01 12/14/06 Citicorp Residential Mortgage Trust S DE 8.01,9.01 11/29/06 CITIGROUP INC DE 9.01 12/14/06 CITIGROUP INC DE 7.01,9.01 12/14/06 CKE RESTAURANTS INC DE 2.02,7.01,9.01 12/12/06 CLAYTON WILLIAMS ENERGY INC /DE DE 1.01,9.01 12/11/06 CNB FINANCIAL CORP/PA PA 8.01,9.01 12/12/06 CNL Hotels & Resorts, Inc. MD 8.01,9.01 12/14/06 COBIZ INC CO 8.01,9.01 12/14/06 COCA COLA ENTERPRISES INC DE 8.01,9.01 12/11/06 COHERENT INC DE 8.01,9.01 12/14/06 COLDWATER CREEK INC DE 5.02 12/08/06 Columbia Equity Trust, Inc. MD 1.01 12/08/06 COMMUNITY BANKS INC /PA/ PA 5.03,8.01,9.01 12/12/06 COMMUNITY HEALTH SYSTEMS INC DE 1.01,2.03,8.01,9.01 12/13/06 COMPETITIVE TECHNOLOGIES INC DE 2.02,9.01 12/14/06 COMPUWARE CORP MI 8.01,9.01 12/12/06 CONAGRA FOODS INC /DE/ DE 8.01,9.01 12/14/06 CONSECO INC DE 7.01,9.01 12/14/06 CONTINUCARE CORP FL 9.01 09/26/06 AMEND CORAUTUS GENETICS INC DE 3.01,9.01 12/08/06 COREL CORP A6 2.03,9.01 12/12/06 AMEND CORPORATE REALTY INCOME FUND I L P DE 1.01,1.02,9.01 12/08/06 CORTEX PHARMACEUTICALS INC/DE/ DE 5.02 12/11/06 COSTCO WHOLESALE CORP /NEW WA 2.02,5.02,8.01,9.01 12/12/06 COVANSYS CORP MI 5.02 12/08/06 CPG INTERNATIONAL INC. DE 1.01,7.01,9.01 12/13/06 CREE INC NC 7.01 12/13/06 CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 12/11/06 CSAB Mortgage-Backed Trust 2006-4 DE 8.01,9.01 12/14/06 CWHEQ Home Equity Loan Trust, Series 8.01,9.01 11/30/06 CWHEQ Home Equity Loan Trust, Series 8.01,9.01 11/30/06 DANA CORP VA 2.05,8.01,9.01 12/11/06 DEPOMED INC CA 8.01 12/12/06 DIGENE CORP DE 5.03,9.01 12/08/06 DIGIRAD CORP DE 1.01,9.01 12/14/06 DISTRIBUTED ENERGY SYSTEMS CORP DE 1.01,5.02,7.01,9.01 12/13/06 DIVERSA CORP DE 8.01 12/07/06 DOUBLE EAGLE PETROLEUM CO MD 7.01,9.01 12/14/06 DTE ENERGY CO MI 1.01,2.03,9.01 12/08/06 DUKE REALTY CORP IN 8.01,9.01 12/08/06 DUKE REALTY LIMITED PARTNERSHIP/ IN 8.01,9.01 12/08/06 EASTERN CO CT 5.02,7.01 12/13/06 EATON VANCE CORP MD 7.01,9.01 12/14/06 EL CAPITAN PRECIOUS METALS INC NV 5.02 12/08/06 ELANDIA, INC. DE 9.01 12/11/06 AMEND ELECTRONIC CLEARING HOUSE INC NV 1.01,3.03,7.01,9.01 12/14/06 EMAGIN CORP DE 5.02,9.01 12/08/06 ENCORIUM GROUP INC NV 5.02,9.01 12/14/06 ENCYSIVE PHARMACEUTICALS INC DE 8.01 12/14/06 ENDEAVOUR INTERNATIONAL CORP NV 8.01,9.01 12/14/06 ENERGEN CORP AL 7.01,9.01 12/13/06 ENERGEN CORP AL 5.02,9.01 12/13/06 EON COMMUNICATIONS CORP DE 8.01,9.01 12/14/06 EPIX Pharmaceuticals, Inc. 1.01,3.02 12/11/06 EPLUS INC DE 8.01 12/11/06 EURONET WORLDWIDE INC DE 5.02 12/05/06 EURONET WORLDWIDE INC DE 5.02 12/11/06 EXELIXIS INC DE 5.02,9.01 12/08/06 Extra Space Storage Inc. MD 1.01 12/08/06 FAIRPOINT COMMUNICATIONS INC DE 7.01,8.01,9.01 12/13/06 FAMILY DOLLAR STORES INC DE 1.01,9.01 12/08/06 FEDERAL AGRICULTURAL MORTGAGE CORP 1.01 12/08/06 Federal Home Loan Bank of Atlanta X1 2.03 12/11/06 Federal Home Loan Bank of Boston X1 2.03 12/11/06 Federal Home Loan Bank of Chicago X1 2.03 12/11/06 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 12/11/06 Federal Home Loan Bank of Des Moines X1 2.03,9.01 12/11/06 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 12/11/06 Federal Home Loan Bank of San Francis X1 2.03 12/11/06 Federal Home Loan Bank of Seattle 2.03 12/13/06 Federal Home Loan Bank of Topeka 2.03 12/11/06 FERRO CORP OH 7.01,9.01 12/14/06 FIDELITY BANCORP INC PA 2.02 12/14/06 FINISAR CORP DE 3.01,9.01 12/13/06 First Franklin Mortgage Loan Trust 20 DE 8.01,9.01 11/30/06 FIRST NIAGARA FINANCIAL GROUP INC DE 5.02,9.01 12/08/06 FOAMEX INTERNATIONAL INC DE 8.01,9.01 12/12/06 Fortress America Acquisition CORP DE 1.01,9.01 12/08/06 FPIC INSURANCE GROUP INC FL 5.02,9.01 12/08/06 FRANKLIN BANK CORP 8.01 12/08/06 GARTNER INC DE 1.01,2.01,2.03,9.01 12/12/06 GEOKINETICS INC DE 8.01,9.01 12/14/06 GETTY IMAGES INC DE 5.02 09/12/06 Global Developments Inc. DE 8.01 12/13/06 Global Developments Inc. DE 8.01 12/11/06 Global Developments Inc. DE 8.01 12/12/06 Global Developments Inc. DE 8.01 12/12/06 Global Developments Inc. DE 8.01 12/13/06 GLOBAL POWER EQUIPMENT GROUP INC/ DE 1.01,1.02,2.03,3.03 12/07/06 GLOWPOINT INC DE 8.01 12/12/06 GMACM Home Equity Loan Trust 2006-HE5 DE 8.01,9.01 12/13/06 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 11/30/06 GREENVILLE FIRST BANCSHARES INC SC 5.02,9.01 12/12/06 GROEN BROTHERS AVIATION INC /UT/ UT 8.01,9.01 12/12/06 GRUBB & ELLIS CO DE 1.01,9.01 12/08/06 GRUBB & ELLIS CO DE 5.02,9.01 12/08/06 Grubb & Ellis Realty Advisors, Inc. DE 5.02,9.01 12/08/06 GSE SYSTEMS INC DE 8.01 12/14/06 GTX INC /DE/ DE 1.01,8.01,9.01 12/13/06 HAMPSHIRE GROUP LTD DE 3.01,4.02,8.01,9.01 12/13/06 HarborView 2006-12 DE 8.01,9.01 12/14/06 HEIDRICK & STRUGGLES INTERNATIONAL IN DE 1.01,5.02,9.01 12/13/06 HEMOSENSE INC DE 1.01,3.02,9.01 12/12/06 HERCULES OFFSHORE, INC. DE 7.01,9.01 12/14/06 HERITAGE BANKSHARES INC /VA VA 7.01 12/14/06 HOLOGIC INC DE 5.02 12/12/06 Home Loan Trust 2006-HI5 DE 8.01,9.01 12/11/06 Horizon Lines, Inc. 1.01,9.01 12/12/06 HOSPITALITY PROPERTIES TRUST MD 9.01 12/14/06 HOST HOTELS & RESORTS L.P. DE 1.01 12/08/06 HOST HOTELS & RESORTS, INC. MD 1.01 12/08/06 HSBC Home Equity Loan Trust (USA) 200 DE 9.01 12/14/06 HUMATECH INC IL 1.01,8.01 12/14/06 HUNTINGTON PREFERRED CAPITAL INC OH 5.02 12/14/06 ICAGEN INC DE 2.02,9.01 11/13/06 IDEARC INC. DE 7.01,9.01 12/14/06 IKONA GEAR INTERNATIONAL INC NV 5.02,9.01 12/14/06 IMAGE SENSING SYSTEMS INC MN 5.02,9.01 12/08/06 INDEPENDENT BANK CORP MI 8.01 12/14/06 IndyMac INDX Mortgage Loan Trust 2006 8.01,9.01 11/29/06 IndyMac INDX Mortgage Loan Trust 2006 8.01,9.01 11/28/06 INLAND WESTERN RETAIL REAL ESTATE TRU MD 3.03,9.01 12/14/06 INNKEEPERS USA TRUST/FL MD 8.01,9.01 12/14/06 INNOVATIVE FOOD HOLDINGS INC CO 4.02 10/02/06 AMEND INNOVATIVE MICRO TECHNOLOGY INC DE 3.03,5.03,7.01,8.01,9.01 12/13/06 INNOVATIVE SOFTWARE TECHNOLOGIES INC CA 5.02,9.01 12/09/06 INTEGRATED DATA CORP DE 8.01 12/14/06 INTERNATIONAL SPEEDWAY CORP FL 7.01,8.01,9.01 12/14/06 INTROGEN THERAPEUTICS INC 1.01,9.01 12/14/06 ION MEDIA NETWORKS INC. DE 5.02 12/08/06 ISECURETRAC CORP DE 1.01,2.03,5.03,9.01 12/12/06 J.P. Morgan Alternative Loan Trust 20 DE 8.01,9.01 12/14/06 J.P. Morgan Alternative Loan Trust 20 DE 8.01,9.01 12/14/06 JAVELIN PHARMACEUTICALS, INC DE 5.02,9.01 12/08/06 JEFFERSONVILLE BANCORP NY 5.02 12/12/06 JOURNAL COMMUNICATIONS INC 5.02,9.01 12/10/06 JPMAC 2006-CH2 DE 8.01,9.01 12/14/06 KeyCorp Student Loan Trust 2006-A DE 8.01,9.01 12/14/06 LAKES ENTERTAINMENT INC MN 5.02,9.01 12/08/06 LAMAR ADVERTISING CO/NEW DE 8.01,9.01 12/11/06 LAMSON & SESSIONS CO OH 5.02,9.01 12/08/06 LANGER INC NY 1.01,2.03,3.02,8.01,9.01 12/08/06 LATTICE SEMICONDUCTOR CORP DE 7.01,9.01 12/14/06 LEHMAN BROTHERS HOLDINGS INC DE 2.02,9.01 12/14/06 Lehman Mortgage Trust 2006-8 DE 8.01,9.01 11/30/06 LENNOX INTERNATIONAL INC DE 5.02,9.01 12/08/06 LENOX GROUP INC DE 1.01,9.01 12/11/06 LIBBEY INC DE 8.01,9.01 12/14/06 LIBERTY DIVERSIFIED HOLDINGS INC NV 2.01 12/14/06 LIGAND PHARMACEUTICALS INC DE 1.01,9.01 12/12/06 LINDSAY CORP DE 5.03,9.01 12/11/06 LION INC/WA WA 5.02,9.01 12/11/06 LIQUITEK ENTERPRISES INC NV 1.03 12/13/06 LODGENET ENTERTAINMENT CORP DE 1.01,3.02,9.01 12/13/06 LODGENET ENTERTAINMENT CORP DE 7.01,9.01 12/13/06 LONG BEACH SECURITIES CORP DE 9.01 12/14/06 MARSH & MCLENNAN COMPANIES, INC. DE 5.03,8.01,9.01 12/14/06 MATRIX SERVICE CO DE 8.01,9.01 12/13/06 MATTSON TECHNOLOGY INC DE 5.02,9.01 12/12/06 MAX RE CAPITAL LTD 1.01,5.02,8.01,9.01 12/08/06 MAXUS REALTY TRUST INC. 8.01 12/14/06 MEGOLA INC 9.01 12/14/06 MELO BIOTECHNOLOGY HOLDINGS INC. A6 5.02,9.01 11/23/06 AMEND Merchandise Creations, Inc. 2.01,9.01 12/09/06 MERRILL LYNCH & CO INC DE 8.01,9.01 12/14/06 METLIFE INC DE 8.01,9.01 12/14/06 METROLOGIC INSTRUMENTS INC NJ 8.01 12/08/06 MILLENNIUM PHARMACEUTICALS INC DE 5.02 12/14/06 MOD PAC CORP NY 5.02 12/14/06 Money Tree, Inc. GA 4.02 12/08/06 Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 11/29/06 Morgan Stanley ABS Capital I Inc. Tru DE 2.01,9.01 10/26/06 Morgan Stanley ABS Capital I Inc. Tru DE 1.01,9.01 05/25/06 MORGAN STANLEY IXIS REAL ESTATE CAPIT DE 8.01,9.01 11/28/06 Morgans Hotel Group Co. DE 7.01,9.01 12/12/06 MWI Veterinary Supply, Inc. DE 1.01 12/13/06 NANO PROPRIETARY INC TX 3.02 12/06/06 AMEND NANOSENSORS INC 1.01,3.02,5.02,5.03,8.01,9.01 12/13/06 NASB FINANCIAL INC MO 1.01,2.03 12/14/06 Nascent Wine Company, Inc. 9.01 11/15/06 Nascent Wine Company, Inc. 9.01 11/15/06 NATIONAL CITY CORP DE 7.01,9.01 12/14/06 National Health Partners Inc 5.02,9.01 12/12/06 NATIONAL RURAL UTILITIES COOPERATIVE DC 1.01,5.02 12/14/06 NEUSTAR INC 1.01,7.01,9.01 12/08/06 NEW YORK COMMUNITY BANCORP INC DE 8.01,9.01 12/14/06 NEWALLIANCE BANCSHARES INC 8.01 12/13/06 NEWS CORP 8.01,9.01 12/08/06 NIGHTINGALE INC UT 3.03,9.01 12/12/06 NII HOLDINGS INC DE 3.02,9.01 12/14/06 NORWOOD FINANCIAL CORP PA 8.01,9.01 12/14/06 NRG ENERGY, INC. DE 5.02,8.01,9.01 12/08/06 NTL INC DE 5.02,9.01 12/08/06 NTS REALTY HOLDINGS LP DE 1.01,9.01 12/08/06 OCTILLION CORP 7.01,9.01 12/11/06 OPTICAL COMMUNICATION PRODUCTS INC DE 2.02,5.02,9.01 12/13/06 ORAGENICS INC FL 1.02,8.01,9.01 12/11/06 OSAGE BANCSHARES, INC. MD 8.01,9.01 12/14/06 OWENS & MINOR INC/VA/ VA 2.01,9.01 09/30/06 AMEND PAR PHARMACEUTICAL COMPANIES, INC. DE 2.02,4.02,7.01,9.01 12/08/06 PARKER HANNIFIN CORP OH 5.02,9.01 12/12/06 PDG ENVIRONMENTAL INC DE 4.02,8.01 12/14/06 PEGASUS COMMUNICATIONS CORP / DE 3.01 12/11/06 PETROLEUM DEVELOPMENT CORP NV 8.01,9.01 12/14/06 PHARMACYCLICS INC DE 5.02,9.01 12/08/06 PIER 1 IMPORTS INC/DE DE 2.02,9.01 12/14/06 PINNACLE AIRLINES CORP DE 8.01 12/13/06 PIZZA INN INC /MO/ MO 1.01 12/14/06 PLAINS ALL AMERICAN PIPELINE LP DE 8.01,9.01 12/14/06 PMA CAPITAL CORP PA 7.01 12/14/06 AMEND POLYMER GROUP INC DE 1.01,9.01 12/12/06 POSSIS MEDICAL INC MN 7.01,9.01 12/13/06 PPT VISION INC MN 2.02,9.01 12/14/06 PRAXAIR INC DE 5.02 12/11/06 PRB Energy, Inc. NV 1.01,9.01 12/11/06 PREFERREDPLUS TRUST SERIES BLC-2 DE 8.01,9.01 09/15/06 PREMIER COMMUNITY BANKSHARES INC VA 8.01,9.01 12/13/06 PREMIER DEVELOPMENT & INVESTMENT INC NV 2.01,8.01 12/12/06 PRIVATEBANCORP, INC DE 8.01,9.01 12/13/06 PROCTER & GAMBLE CO OH 7.01 12/14/06 PROGENICS PHARMACEUTICALS INC DE 7.01,9.01 12/14/06 PS BUSINESS PARKS INC/CA CA 7.01,9.01 12/14/06 QUALSTAR CORP CA 5.02,7.01,9.01 12/14/06 QUANEX CORP DE 5.02,9.01 12/11/06 QUIKSILVER INC DE 2.02,9.01 12/14/06 R H DONNELLEY CORP DE 5.02,9.01 12/13/06 R&R ACQUISITION III, INC NJ 1.01,9.01 12/12/06 RAE SYSTEMS INC DE 1.01,2.01,9.01 12/10/06 RALI Series 2006-QA10 Trust DE 8.01,9.01 12/13/06 RALI Series 2006-QH1 Trust DE 8.01,9.01 11/14/06 AMEND RALI Series 2006-QO9 Trust DE 8.01,9.01 12/14/06 RALI Series 2006-QS16 Trust DE 8.01,9.01 12/13/06 RAM Holdings Ltd. D0 1.01,3.02,9.01 12/14/06 RAMP Series 2006-EFC2 Trust DE 8.01,9.01 12/12/06 RASC Series 2006-EMX8 Trust DE 8.01,9.01 12/14/06 AMEND RASC Series 2006-EMX9 Trust DE 8.01,9.01 12/14/06 AMEND RAYTHEON CO/ DE 5.02,9.01 12/08/06 READERS DIGEST ASSOCIATION INC DE 5.02 12/08/06 Refco Finance Inc. DE 7.01,9.01 11/30/06 RENAISSANCERE HOLDINGS LTD 1.01,8.01,9.01 12/11/06 RENTECH INC /CO/ CO 2.02,5.02,9.01 12/12/06 RESOURCES CONNECTION INC DE 5.02 12/13/06 RFMSI Series 2006-S11 Trust DE 8.01,9.01 12/13/06 ROCHESTER MEDICAL CORPORATION MN 8.01,9.01 12/14/06 ROYAL CARIBBEAN CRUISES LTD 7.01 12/14/06 ROYAL GOLD INC DE 8.01,9.01 12/08/06 Saltys Warehouse, Inc. FL 5.01,5.02 12/11/06 SANDY SPRING BANCORP INC MD 1.01,8.01,9.01 12/13/06 SEACHANGE INTERNATIONAL INC DE 5.02,8.01,9.01 12/08/06 Security Devices International Inc. DE 3.02 12/12/06 SEI INVESTMENTS CO PA 8.01,9.01 12/13/06 sellcell.net NV 1.01,2.01,9.01 12/06/06 Shire plc 5.02,9.01 12/12/06 Shire plc 8.01,9.01 12/14/06 SHUMATE INDUSTRIES INC DE 1.01,1.02,3.02,9.01 12/10/06 AMEND SIERRA PACIFIC RESOURCES /NV/ NV 1.01 12/11/06 SILVER DRAGON RESOURCES, INC. DE 1.01,2.01,3.02,9.01 12/13/06 AMEND SILVERSTAR HOLDINGS LTD B0 7.01,9.01 12/14/06 SIMTROL INC DE 1.01,2.03 12/08/06 SIRNA THERAPEUTICS INC DE 8.01,9.01 12/14/06 SMITH MICRO SOFTWARE INC DE 1.01,9.01 12/13/06 SOCKET COMMUNICATIONS INC DE 3.01,9.01 12/11/06 SOMERSET INTERNATIONAL GROUP,INC. DE 3.02 12/14/06 SONOSITE INC 8.01,9.01 12/08/06 SOUTHWEST AIRLINES CO TX 1.01,2.03,9.01 12/14/06 SOUTHWEST WATER CO DE 8.01,9.01 12/14/06 SOUTHWESTERN ENERGY CO AR 5.02,9.01 12/11/06 SPECTRUM PHARMACEUTICALS INC DE 8.01,9.01 12/12/06 SPECTRUM PHARMACEUTICALS INC DE 5.02 12/08/06 STANCORP FINANCIAL GROUP INC OR 5.02,9.01 12/08/06 STANLEY WORKS CT 1.01 12/14/06 STAPLES INC DE 5.02 12/11/06 STEEL DYNAMICS INC IN 8.01,9.01 12/13/06 STONE ENERGY CORP DE 5.02,7.01,9.01 12/11/06 STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 12/01/06 SUN HYDRAULICS CORP FL 5.02,8.01,9.01 12/09/06 SUNCOM WIRELESS HOLDINGS, INC. 3.01,9.01 12/14/06 Synovics Pharmaceuticals NV 8.01 12/14/06 SYNTROLEUM CORP DE 8.01 12/14/06 TALEO CORP DE 5.02,9.01 12/11/06 TAPESTRY PHARMACEUTICALS, INC DE 1.01,3.03,5.03,9.01 12/12/06 TARGETED GENETICS CORP /WA/ WA 1.01,9.01 12/07/06 TASKER PRODUCTS CORP NV 2.03,3.02 12/08/06 TC PIPELINES LP DE 1.01,2.03,9.01 12/12/06 TECHNICAL OLYMPIC USA INC DE 8.01,9.01 12/13/06 TECHNOCONCEPTS, INC. CO 1.01,5.02,9.01 12/08/06 TECUMSEH PRODUCTS CO MI 1.01,1.02,9.01 12/09/06 TEKOIL & GAS CORP DE 3.02,8.01,9.01 12/11/06 TEKTRONIX INC OR 2.02,9.01 12/14/06 TEPPCO PARTNERS LP DE 1.01,3.02,3.03,5.02,8.01,9.01 12/08/06 TERCICA INC DE 8.01 12/14/06 THOMAS GROUP INC DE 8.01,9.01 12/12/06 Thornburg Mortgage Securities Trust 2 DE 8.01,9.01 11/29/06 TIAA REAL ESTATE ACCOUNT NY 7.01,9.01 12/12/06 TIER TECHNOLOGIES INC DE 2.02,9.01 12/13/06 TIME AMERICA INC NV 5.02 12/11/06 TIMKEN CO OH 9.01 12/08/06 AMEND TITAN INTERNATIONAL INC IL 8.01,9.01 12/14/06 TRANS WORLD ENTERTAINMENT CORP NY 5.02,9.01 12/12/06 TRANSACTION SYSTEMS ARCHITECTS INC DE 7.01,9.01 12/14/06 TUESDAY MORNING CORP/DE DE 5.02,9.01 12/08/06 U.S. ENERGY HOLDINGS INC. NV 5.01 12/01/06 UNITED FUEL & ENERGY CORP NV 7.01,9.01 12/05/06 UTG INC 2.01,9.01 12/13/06 V F CORP PA 3.01,5.02,9.01 12/12/06 VALEANT PHARMACEUTICALS INTERNATIONAL DE 8.01 12/12/06 VASO ACTIVE PHARMACEUTICALS INC DE 8.01,9.01 12/13/06 VECTREN CORP IN 8.01 12/14/06 Viacom Inc. DE 8.01,9.01 12/11/06 VION PHARMACEUTICALS INC DE 1.01,9.01 12/12/06 Vyteris Holdings (Nevada), Inc. NV 1.01,1.02,3.02 12/11/06 WCI COMMUNITIES INC 8.01 12/08/06 WEBMETHODS INC DE 9.01 09/27/06 AMEND WEGENER CORP DE 2.02,9.01 11/30/06 WEGENER CORP DE 5.02,7.01,9.01 12/11/06 WEYERHAEUSER CO WA 8.01 12/14/06 WILLIAMS COMPANIES INC DE 7.01,9.01 12/13/06 WINNEBAGO INDUSTRIES INC IA 2.02,9.01 12/14/06 WORLDWIDE STRATEGIES INC NV 5.02 12/01/06 WPCS INTERNATIONAL INC DE 2.02,9.01 12/14/06 Xenonics Holdings, Inc. NV 2.02,9.01 12/14/06 XVARIANT INC NV 5.03,8.01,9.01 12/14/06 ZION OIL & GAS INC DE 1.01 12/10/06 ZIPREALTY INC 5.02,9.01 12/08/06