SEC NEWS DIGEST Issue 2007-65 April 5, 2007 COMMISSION ANNOUNCEMENTS SEC ANNOUNCES PROCESS FOR PROPOSALS ON SECURITIES 'TICKER' SYMBOLS The Commission has received two proposed national market system plans from separate groups of stock exchanges relating generally to securities symbols. In addition, Nasdaq has filed with the Commission a separate proposal to permit a company in certain circumstances to retain its symbol when transferring its listing to Nasdaq from another stock exchange. After publishing these plans and proposal for comment the Commission will resolve the conflicts over the allocation of stock symbols as fairly and expeditiously as possible. Erik Sirri, Director of the SEC Division of Market Regulation, said, "Securities symbols are an important part of a listed company's identity and developing a formal process to reserve, select and allocate symbols among listing markets and their companies will help promote a fair and orderly national market system and prevent investor confusion." Background Securities symbols are a key element in the operation of a national market system, and essential to the dissemination of trade information in a common format. Historically, security symbols have been assigned under an informal understanding among the listing markets. It has been the practice of the New York Stock Exchange to list companies using 1- , 2- and 3-character symbols. Other exchanges, including the American Stock Exchange and regional exchanges, have also listed companies using 3-character symbols. Nasdaq has always listed companies using 4- and 5-character symbols. The Nasdaq "Portability" Proposals Nasdaq first announced in November 2005 its intention to begin listing companies with 1-, 2- and 3-character symbols. Since that time, Nasdaq has made a series of announcements detailing its plans, and has worked with the industry to test trading systems to ensure proper functionality for such symbols, including a proposal to allow one company, Delta Financial Corporation, to transfer its listing from Amex to Nasdaq while keeping its 3-character symbol. The relevant release for this company specific proposal can be found on the SEC Web site at http://www.sec.gov/rules/sro/nasdaq/2007/34-55519.pdf. On March 29, 2007, Nasdaq filed a proposal that would permit the display of 3-character symbols on Nasdaq. This proposal, SR-Nasdaq- 2007-031, can be found on the SEC Web site at http://www.sec.gov/rules/sro/nasdaq/2007/34-55563.pdf and will be considered by the Commission after the required public comment period, which will close on April 25, 2007. The General Proposals In response to dissatisfaction expressed by several markets regarding the informal allocation system, Commission staff asked in February 2005 that the exchanges work together to develop a national market system plan for the process of reserving, selecting, and allocating securities symbols. Following discussions among the exchanges over the past two years, the exchanges recently submitted two competing proposals relating generally to symbols. * One proposed plan is supported by Amex, NYSE and NYSE Arca and limits the use of 1-, 2- and 3-character symbols to those listing markets that traditionally used those symbols. It does not address the use of 4- and 5-character symbols. * The second proposed plan is supported by Nasdaq, NASD, the National Stock Exchange and the Philadelphia Stock Exchange. This plan would permit any listing market to use 1-, 2-, 3-, 4- or 5- character symbols. These two proposed national market system plans are currently available on the Commission's Web site at www.sec.gov/rules/sro/4- 533.pdf and www.sec.gov/rules/sro/4-534.pdf. Pursuant to the process laid out in Rule 608 under the Securities Exchange Act of 1934, the Commission plans to publish these two proposed plans for public comment. ((Press Rel. 2007-63) ENFORCEMENT PROCEEDINGS COMMISSION ORDERS HEARINGS ON REGISTRATION REVOCATION AGAINST THREE DELINQUENT COMPANIES FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On April 4, the Commission 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 three companies for failure to make required periodic filings with the Commission: * Financialweb.com, Inc. (FWEB) * Net Command Tech, Inc. (NCDT) * Peninsula Holdings Group Ltd. (PHGTA) In this Order, the Division of Enforcement (Division) alleges that the three 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 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. 34-55581; File No. 3-12608) SEC v. EDGAR ALACAN The Commission announced that on April 3, 2007, it applied to the U.S. District Court for the District of New Jersey for an Order Directing Compliance with an Order of the Commission. The application requests that the Court direct Edgar B. Alacan (Alacan) to comply with the Commission's July 6, 2004, Order that required, among other things, that Alacan pay a $110,000 civil penalty for willfully violating Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Commission's application alleges that Alacan has failed to obey the Commission's July 6, 2004 Order because he has not paid the $110,000 civil penalty. [SEC v. Edgar B. Alacan, Case Number 07-1556 (HAA) (D.N.J.)] (LR-20069) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by New York Stock Exchange relating to technical amendments to the amended and restated certificate of incorporation of NYSE Euronext (SR-NYSE-2007-35) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 9. (Rel. 34-55567) A proposed rule change filed by the Philadelphia Stock Exchange to remove references to Intermarket Trading System (ITS) Plan (SR-Phlx- 2007-31) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 9. (Rel. 34-55569) A proposed rule change (SR-ISE-2007-21) filed by the International Securities Exchange relating to fee changes 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 April 9. (Rel. 34-55571) A proposed rule change (SR-NYSE-2007-36) filed by the New York Stock Exchange relating to Section 802.01C of the Listed Company Manual, clarifying that the Exchange uses the Closing Price Reported on the Consolidated Tape to determine compliance with its price test, has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 9. (Rel. 34-55574) A proposed rule change (SR-NASDAQ-2007-026) filed by The NASDAQ Stock Market to modify pricing for Nasdaq members using the Nasdaq Market Center 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 April 9. (Rel. 34-55576) A proposed rule change (SR-NYSEArca-2007-32) filed by NYSE Arca relating to NYSE Arca Marketplace's trading sessions 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 April 9. (Rel. 34-55577) PROPOSED RULE CHANGE The Chicago Board Options Exchange filed a proposed rule change (SR- CBOE-2007-15) to amend its application procedures to incorporate individuals who are acting in an exchange trading floor capacity. Publication is expected in the Federal Register during the week of April 9. (Rel. 34-55570) AMENDMENT AND ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission provided notice of Amendment No. 2 to and granted accelerated approval to a proposed rule change (SR-ISE-2006-59) as modified by Amendment Nos. 1 and 2 thereto, filed by the International Securities Exchange relating to foreign currency options. Publication is expected in the Federal Register during the week of April 9. (Rel. 34-55575) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-OCC-2007-02) filed by The Options Clearing Corporation under Section 19(b)(1) of the Securities Exchange Act of 1934. The rule change will allow OCC to clear and settle rate-modified foreign currency options which are to be traded by the International Securities Exchange. Publication is expected in the Federal Register during the week of April 9. (Rel. 34-55579) APPROVAL OF ACCELERATED DELIVERY OF SUPPLEMENT TO THE OPTIONS DISCLOSURE DOCUMENT The Commission granted approval to the accelerated delivery of a supplement to the options disclosure document submitted by The Options Clearing Corporation (SR-ODD-2007-01) pursuant to Rule 9b-1 under the Securities Exchange Act of 1934 regarding rate-modified cash-settled foreign currency options. Publication is expected in the Federal Register during the week of April 9. (Rel. 34-55582) 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 AT&T INC., 175 E HOUSTON, ROOM 9-Q-06, SAN ANTONIO, TX, 78205, 2108214105 - 45,000,000 ($1,756,800,000.00) Equity, (File 333-141864 - Apr. 4) (BR. 11B) S-4 TITAN INTERNATIONAL INC, 2701 SPRUCE ST, QUINCY, IL, 62301, 2172286011 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-141865 - Apr. 4) (BR. 06C) F-6 ADVFN PLC, 26 THROGMORTON STREET, LONDON, X0, EC2N 2AN, 011.44.207.0700.909 - 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-141866 - Apr. 4) (BR. ) S-3ASR APACHE CORP, 2000 POST OAK BLVD, STE 100, HOUSTON, TX, 77056-4400, 7132966000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-141867 - Apr. 4) (BR. 04B) S-B KfW, PALMENGARTENSTRASSE, 5 - 9, FRANKFURT AM MAIN, 2M, 60325, 496974310 - 0 ($15,915,700,000.00) Debt, (File 333-141868 - Apr. 4) (BR. DN) S-8 NYSE Euronext, Inc., 11 WALL STREET, NEW YORK, NY, 10005, 212-656-3000 - 0 ($1,071,945,641.98) Equity, (File 333-141869 - Apr. 4) (BR. 07) S-3ASR CORN PRODUCTS INTERNATIONAL INC, 5 WESTBROOK CORPORATE CENTER, WESTCHESTER, IL, 60154, 7085512600 - 0 ($0.00) Debt, (File 333-141870 - Apr. 4) (BR. 04A) S-3 DOCUMENT SECURITY SYSTEMS INC, 36 WEST MAIN ST, SUITE 710, ROCHESTER, NY, 14614, 585 232 1500 - 937,272 ($10,471,986.00) Equity, (File 333-141871 - Apr. 4) (BR. 03C) F-3 Navios Maritime Holdings Inc., C/O INTERNATIONAL SHIPPING ENTERPRISES, 1225 FRANKLIN AVE., SUITE 325, GARDEN CITY, NY, 11530, 516-240-8025 - 0 ($500,000,000.00) Other, (File 333-141872 - Apr. 4) (BR. 05B) S-8 HARTVILLE GROUP INC, 3840 GREENTREE AVENUE SW, CANTON, OH, 44706, 330 484-8166 - 23,000,000 ($3,450,000.00) Equity, (File 333-141873 - Apr. 4) (BR. 09A) SB-2 NURSE SOLUTIONS, INC., 439 WEST BOCKMAN WAY, SPART, TN, 38583, 425-451-8036 - 11,050,000 ($1,105,000.00) Equity, (File 333-141875 - Apr. 4) (BR. 01) S-1 DICE HOLDINGS, INC., 3 PARK AVENUE, NEW YORK, NY, 10016, 212-725-6550 - 0 ($100,000,000.00) Equity, (File 333-141876 - Apr. 4) (BR. 08) S-3 APOLLO GOLD CORP, 5655 SOUTH YOSEMITE STREET, SUITE 200, GREENWOOD VILLAGE, CO, 80111, 720-886-9656 - 35,521,200 ($18,115,812.00) Equity, (File 333-141877 - Apr. 4) (BR. 04A) S-3ASR HOME PROPERTIES INC, 850 CLINTON SQ, ROCHESTER, NY, 14604, 5855464900 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-141879 - Apr. 4) (BR. 08B) S-3ASR ON SEMICONDUCTOR CORP, 5005 EAST MCDOWELL ROAD, PHOENIX, AZ, 85008, 6022446600 - 0 ($484,000,000.00) Debt Convertible into Equity, (File 333-141880 - Apr. 4) (BR. 10C) S-1 CORCEPT THERAPEUTICS INC, 275 MIDDLEFIELD ROAD, SUITE A, MENLO PARK, CA, 94025, 6,892,527 ($7,306,078.62) Equity, (File 333-141881 - Apr. 4) (BR. 01B) S-8 AMERICAN ORIENTAL BIOENGINEERING INC, NO, 4018 JINTIAN ROAD, ANLIAN PLAZA, 12F SUITE B02, FUTIAN, DISTRICT SHENZHEN, F4, 518026, 86-451-8666-6601 - 5,000,000 ($46,800,000.00) Equity, (File 333-141882 - Apr. 4) (BR. 01C) S-1 PROS Holdings, Inc., 3100 MAIN STREET, SUITE 900, HOUSTON, TX, 77002, 713-335-5151 - 0 ($90,000,000.00) Equity, (File 333-141884 - Apr. 4) (BR. ) S-8 THERMAGE INC, 25881 INDUSTRIAL BOULEVARD, HAYWARD, CA, 94545, 5107822286 - 1,259,876 ($10,841,805.28) Equity, (File 333-141885 - Apr. 4) (BR. 10C) S-3 MAGMA DESIGN AUTOMATION INC, 1650 TECHNOLOGY DRIVE, SAN JOSE, CA, 95110, 408-565-7500 - 0 ($49,939,000.00) Other, (File 333-141886 - Apr. 4) (BR. 03B) S-8 AMERICAN PHYSICIANS SERVICE GROUP INC, 1301 CAPITAL OF TEXAS HWY, C-300, AUSTIN, TX, 78746, 5123280888 - 300,000 ($5,310,000.00) Equity, (File 333-141887 - Apr. 4) (BR. 08B) S-3 LOCAL.COM, ONE TECHNOLOGY DRIVE, BUILDING G, IRVINE, CA, 92618, (949) 784-0800 - 0 ($17,806,857.52) Equity, (File 333-141890 - Apr. 4) (BR. 08C) S-3ASR KRAFT FOODS INC, THREE LAKES DRIVE, NORTHFIELD, IL, 60093, 8476462000 - 0 ($528,045,667.40) Equity, (File 333-141891 - Apr. 4) (BR. 04C) S-3 PROXYMED INC /FT LAUDERDALE/, 1854 SHACKLEFORD COURT, SUITE 200, NORCROSS, GA, 30093, 7708069918 - 457,373 ($457.37) Equity, (File 333-141892 - Apr. 4) (BR. 03A) SB-2 AETHLON MEDICAL INC, 7825 FAY AVENUE SUITE 200, LAJOLLA, CA, 92037, 2129120930 - 8,383,333 ($6,161,750.00) Equity, (File 333-141893 - Apr. 4) (BR. 10A) F-1 EDENOR, AZOPARDO 1025, CITY OF BUENOS AIRES, C1, C1107ADQ, 54-11-4346-5000 - 0 ($18,000,000.00) Equity, (File 333-141894 - Apr. 4) (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 NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ------------------------------------------------------------------------------------------------------- 99 CENTS ONLY STORES CA 2.02,5.02,9.01 04/03/07 ABLEST INC DE 1.01,8.01,9.01 04/04/07 ACUITY BRANDS INC DE 2.02,8.01,9.01 04/04/07 ADA-ES INC CO 7.01,9.01 04/04/07 Adams Respiratory Therapeutics, Inc. DE 7.01,9.01 04/04/07 AIRNET SYSTEMS INC OH 2.02,7.01,8.01,9.01 03/28/07 ALICO INC FL 7.01,8.01,9.01 04/03/07 ALLIANT TECHSYSTEMS INC DE 1.01,2.03,9.01 03/29/07 ALNYLAM PHARMACEUTICALS, INC. 5.02 04/02/07 AMERICAN ACCESS TECHNOLOGIES INC FL 1.01,9.01 04/03/07 AMERICAN PHYSICIANS SERVICE GROUP INC TX 2.01,9.01 04/04/07 AMERICAN REAL ESTATE PARTNERS L P DE 8.01,9.01 04/04/07 AMSURG CORP TN 5.02 03/29/07 APEX SILVER MINES LTD 2.02,9.01 04/03/07 API Nanotronics Corp. DE 3.02 02/16/07 AMEND APOLLO GROUP INC AZ 3.01,9.01 03/29/07 APPLIED DNA SCIENCES INC NV 8.01,9.01 03/30/07 ARBIOS SYSTEMS INC DE 1.01,3.02,9.01 03/29/07 ARCH COAL INC DE 7.01,9.01 04/04/07 ARCHON CORP NV 7.01,9.01 04/04/07 ARCHON CORP NV 4.01,9.01 04/04/07 AMEND ARES CAPITAL CORP MD 7.01,9.01 04/04/07 ARGENTEX MINING CORP NV 3.02 04/02/07 ATWOOD OCEANICS INC TX 7.01 04/04/07 AURIGA LABORATORIES, INC. DE 2.02,7.01,9.01 04/02/07 AUTOMATIC DATA PROCESSING INC DE 2.01,5.02,7.01,9.01 03/31/07 Aviza Technology, Inc. DE 1.01,9.01 03/29/07 BAKER HUGHES INC DE 1.01,9.01 03/30/07 BALCHEM CORP MD 1.01,9.01 03/30/07 BANYAN CORP /OR/ OR 3.02,8.01,9.01 11/15/06 AMEND BARNES & NOBLE INC DE 8.01,9.01 04/02/07 BARRIER THERAPEUTICS INC DE 5.02 04/02/07 BARRY R G CORP /OH/ OH 1.01,1.02,9.01 03/29/07 BASSETT FURNITURE INDUSTRIES INC VA 2.02,9.01 04/02/07 Behringer Harvard Opportunity REIT I, MD 7.01 03/27/07 BEST BUY CO INC MN 2.02,9.01 04/04/07 BEXIL CORP MD 2.02,9.01 04/04/07 BFC FINANCIAL CORP FL 5.02 03/29/07 BIOFIELD CORP \DE\ DE 4.01,9.01 04/04/07 BIOVERIS CORP DE 8.01,9.01 04/04/07 BLUEGATE CORP NV 3.02 03/31/07 BlueLinx Holdings Inc. DE 5.02,9.01 03/29/07 BLYTH INC DE 2.02 04/04/07 BOOTS & COOTS INTERNATIONAL WELL CONT DE 8.01 04/04/07 BORDERS GROUP INC MI 7.01,9.01 04/04/07 BORDERS GROUP INC MI 1.01,2.03,9.01 04/02/07 BREDA TELEPHONE CORP IA 5.03,9.01 03/29/07 CACHE INC FL 4.01 03/26/07 AMEND CALIFORNIA STEEL INDUSTRIES INC 4.01,9.01 12/14/06 AMEND CALPINE CORP DE 1.01,2.03 04/04/07 CANO PETROLEUM, INC 1.01,3.02,9.01 03/30/07 CANTEL MEDICAL CORP DE 1.01,2.01,9.01 03/30/07 CARACO PHARMACEUTICAL LABORATORIES LT MI 3.02 03/31/07 CARDIOGENESIS CORP /CA CA 5.02,8.01,9.01 04/01/07 CAREGUIDE INC DE 5.02 03/31/07 CAREY W P & CO LLC DE 5.02 04/02/07 Carrington Mortgage Loan Trust, Serie DE 8.01,9.01 04/04/07 CASELLA WASTE SYSTEMS INC DE 7.01 04/03/07 CATO CORP DE 5.02 03/29/07 CB RICHARD ELLIS REALTY TRUST 4.02 03/29/07 CBS CORP DE 5.02,9.01 03/29/07 CECIL BANCORP INC MD 8.01 04/04/07 Chaparral Energy, Inc. DE 2.02 04/04/07 CHATTEM INC TN 1.01,8.01,9.01 04/03/07 Chemtura CORP DE 5.02,8.01,9.01 04/04/07 CHEROKEE INC DE 5.02 03/29/07 CHINA DIGITAL MEDIA CORP NV 4.02,9.01 04/04/07 China Direct, Inc DE 2.02,9.01 04/03/07 CHINA IVY SCHOOL, INC. NV 2.02,7.01,9.01 04/04/07 CHL Mortgage Pass-Through Trust 2007- 9.01 03/30/07 CIRCUIT CITY STORES INC VA 2.02,9.01 02/28/07 CITIGROUP DIVERSIFIED FUTURES FUND LP 3.02 04/01/07 CITIGROUP FAIRFIELD FUTURES FUND LP I 3.02 04/01/07 CITIZENS INC CO 2.02,9.01 03/30/07 CKE RESTAURANTS INC DE 2.02,5.02,9.01 03/30/07 CLEAN POWER CONCEPTS INC. 5.03,9.01 04/02/07 CLEARANT INC 1.01,3.02,9.01 04/03/07 CNL Hotels & Resorts, Inc. MD 1.01,5.03,9.01 03/31/07 COMBINATORX, INC DE 1.01,2.03,9.01 03/29/07 COMMERCE BANCSHARES INC /MO/ MO 1.01,9.01 04/02/07 COMMERCE BANCSHARES INC /MO/ MO 1.01,9.01 04/02/07 COMMERCE GROUP INC /MA MA 8.01,9.01 04/02/07 COMMUNITY CAPITAL BANCSHARES INC 2.02,9.01 04/04/07 COMPUCREDIT CORP GA 2.01,9.01 04/04/07 COMPUTER TASK GROUP INC NY 7.01,9.01 04/04/07 CONOCOPHILLIPS DE 2.02,9.01 04/04/07 CONSOLIDATED WATER CO LTD E6 5.02,9.01 03/29/07 CONVERA CORP DE 1.01,9.01 03/31/07 Converted Organics Inc. DE 5.02,9.01 02/16/07 Cooper-Standard Holdings Inc. DE 2.02,9.01 04/02/07 CORE MOLDING TECHNOLOGIES INC DE 1.01 04/03/07 CORPORATE PROPERTY ASSOCIATES 14 INC MD 5.02 04/02/07 CORPORATE PROPERTY ASSOCIATES 15 INC MD 5.02 04/02/07 CORPORATE PROPERTY ASSOCIATES 16 GLOB MD 5.02 04/02/07 CORPORATE REALTY INCOME FUND I L P DE 2.01,9.01 04/02/07 CPI AEROSTRUCTURES INC NY 2.02,9.01 03/29/07 AMEND CREDIT ACCEPTANCE CORPORATION MI 5.02 04/02/07 CRIMSON EXPLORATION INC. TX 2.02,9.01 12/31/06 CRIMSON EXPLORATION INC. TX 2.02,9.01 12/31/06 CROWN NORTHCORP INC DE 8.01 02/13/07 CYTYC CORP DE 2.01,7.01,9.01 04/02/07 DAKOTA GROWERS PASTA CO INC ND 1.01,2.03,9.01 03/30/07 DAVE & BUSTERS INC MO 5.02,9.01 03/30/07 DEAN FOODS CO DE 1.01,2.03,3.03,5.02,8.01,9.01 04/02/07 DEBT RESOLVE INC DE 9.01 01/19/07 AMEND Deutsche Alt-A Securities Mortgage Lo 1.01,6.02,9.01 04/04/07 DEVCON INTERNATIONAL CORP FL 1.01,2.02,2.04,3.03,7.01,9.01 04/02/07 DIAMOND OFFSHORE DRILLING INC DE 5.02 03/30/07 DIASYS CORP DE 5.02 03/30/06 DIGITAL LIFESTYLES GROUP INC DE 1.01,5.02,9.01 03/29/07 Digital Music Group, Inc. DE 5.02 03/31/07 DIGITAL RECORDERS INC NC 7.01,9.01 04/04/07 DigitalTown, Inc. MN 5.02 03/01/07 DIRECT INSITE CORP DE 2.02,9.01 04/02/07 DIVX INC 5.02 03/29/07 Domtar CORP DE 8.01,9.01 04/04/07 DREW INDUSTRIES INC DE 8.01 03/23/07 DUPONT E I DE NEMOURS & CO DE 7.01 04/04/07 EAGLE FAMILY FOODS HOLDINGS INC DE 1.01,9.01 03/29/07 EAGLE ROCK ENERGY PARTNERS L P DE 1.01,2.02,9.01 03/30/07 EATON LABORATORIES INC NV 1.01,2.01,3.02,5.01,5.02,8.01, 03/30/07 9.01 ECC Capital CORP 8.01 04/04/07 EDEN BIOSCIENCE CORP WA 4.01,9.01 03/02/07 AMEND EMVELCO CORP. DE 1.01,2.01,9.01 12/31/06 AMEND ENDURANCE SPECIALTY HOLDINGS LTD 5.02 04/04/07 ENERGY PARTNERS LTD DE 7.01,9.01 04/04/07 ENVIRONMENTAL SERVICE PROFESSIONALS, NV 5.02 03/30/07 EPIQ SYSTEMS INC MO 1.01,9.01 03/29/07 EPOCH HOLDING CORP DE 8.01,9.01 04/04/07 EQUITY ONE, INC. 1.01 04/04/07 Ethos Environmental, Inc. NV 8.01 04/04/07 EV Energy Partners, LP DE 1.01,2.01,2.03,7.01,9.01 04/04/07 EVANS BOB FARMS INC DE 7.01,9.01 04/03/07 FAUQUIER BANKSHARES INC VA 5.02,9.01 04/02/07 AMEND Federal Home Loan Bank of New York X1 8.01,9.01 04/03/07 FIRST BANCSHARES INC /MO/ MO 5.02,8.01,9.01 02/26/07 FIVE STAR PRODUCTS INC DE 2.02,9.01 04/04/07 FNB CORP \VA\ VA 5.02 03/30/07 FNBH BANCORP INC MI 5.02 03/29/07 FOG CUTTER CAPITAL GROUP INC MD 2.02,9.01 04/02/07 FORD MOTOR CO DE 8.01,9.01 04/04/07 FOSTER L B CO PA 1.01,9.01 03/29/07 Foundation Coal Holdings, Inc. DE 7.01,9.01 04/04/07 Foundation Coal Holdings, Inc. DE 8.01,9.01 04/04/07 G REIT INC MD 5.02 03/29/07 GASTAR EXPLORATION LTD 3.01,5.02 03/29/07 GE Capital Credit Card Master Note Tr DE 1.01,9.01 03/29/07 GE Capital Credit Card Master Note Tr DE 1.01,9.01 03/29/07 GENERAL STEEL HOLDINGS INC NV 2.02,9.01 04/03/07 GENESEE & WYOMING INC DE 5.02,8.01 03/29/07 GENESIS HEALTHCARE CORP PA 8.01 03/29/07 GENTA INC DE/ DE 8.01,9.01 04/04/07 GenuTec Business Solutions, Inc. MT 1.01,3.02,5.01,5.02,5.03,9.01 04/04/07 GEOGLOBAL RESOURCES INC. DE 2.02,4.02,9.01 04/04/07 GEORGIA GULF CORP /DE/ DE 7.01,9.01 04/04/07 GIGABEAM CORP DE 1.01,5.02 03/29/07 GLOBAL AXCESS CORP NV 2.02,9.01 03/29/07 GLOBAL TRAFFIC NETWORK, INC. DE 5.02,9.01 03/29/07 GMX RESOURCES INC OK 7.01,9.01 04/04/07 GoFish Corp. 1.01 03/29/07 GREATBATCH, INC. DE 1.01,2.03,3.02,9.01 04/02/07 GREENBRIER COMPANIES INC DE 2.02,9.01 04/04/07 GSAMP Trust 2007-FM1 DE 8.01 03/02/07 GSAMP Trust 2007-FM2 DE 8.01 03/09/07 GULF RESOURCES, INC. DE 2.02,7.01,9.01 04/02/07 HARLAND JOHN H CO GA 8.01,9.01 04/04/07 HAROLDS STORES INC OK 1.01,2.03,9.01 03/30/07 HARRIS INTERACTIVE INC DE 1.01,9.01 03/29/07 HAYES LEMMERZ INTERNATIONAL INC DE 2.02,7.01,9.01 04/04/07 HEALTHCARE ACQUISITION CORP DE 8.01,9.01 03/29/07 HEALTHCARE ACQUISITION CORP DE 8.01,9.01 04/03/07 HEALTHWAYS, INC DE 2.02,9.01 04/04/07 HEARUSA INC DE 4.02 03/30/07 AMEND HESPERIA HOLDING INC 4.01,9.01 11/06/06 AMEND HOSPITALITY PROPERTIES TRUST MD 9.01 04/03/07 HS3 TECHNOLOGIES INC. 1.01,9.01 03/30/07 HUMANA INC DE 1.01,9.01 03/30/07 ICAGEN INC DE 8.01,9.01 04/03/07 IDLEAIRE TECHNOLOGIES CORP DE 2.02,9.01 04/04/07 IMAGE ENTERTAINMENT INC DE 1.01,9.01 04/04/07 IMCLONE SYSTEMS INC DE 8.01,9.01 04/04/07 IMMUCOR INC GA 2.02,9.01 04/04/07 IMMUNE RESPONSE CORP DE 3.02 03/30/07 INCENTRA SOLUTIONS, INC. NV 2.02,7.01,9.01 04/03/07 INDEVUS PHARMACEUTICALS INC DE 8.01,9.01 04/04/07 INSPIRE PHARMACEUTICALS INC DE 9.01 04/04/07 IPALCO ENTERPRISES, INC. IN 8.01,9.01 04/04/07 IsoRay, Inc. MN 8.01,9.01 03/28/07 Israel Technology Acquisition Corp. DE 8.01,9.01 04/04/07 ITC Holdings Corp. MI 1.01,1.02,2.03,9.01 03/29/07 IWT TESORO CORP NV 1.01,9.01 03/28/07 J C PENNEY CO INC DE 5.02 03/29/07 J P MORGAN CHASE & CO DE 9.01 03/30/07 JACKSON HEWITT TAX SERVICE INC DE 7.01 04/03/07 JANUS CAPITAL GROUP INC DE 7.01 03/30/07 JCM PARTNERS LLC DE 3.02 04/01/07 JER Investors Trust Inc 5.03,9.01 04/02/07 AMEND KAISER ALUMINUM CORP DE 1.01,5.02,9.01 03/30/07 KBS Real Estate Investment Trust, Inc MD 1.01,2.01,2.03,9.01 03/29/07 KINETIC CONCEPTS INC /TX/ TX 8.01,9.01 04/03/07 KINTERA INC 5.02 04/02/07 KNOLOGY INC DE 2.01,2.03,9.01 04/03/07 KRONOS INC MA 5.03,9.01 03/30/07 LAYNE CHRISTENSEN CO DE 5.02 03/29/07 LBI MEDIA INC CA 2.02,9.01 04/04/07 LECROY CORP DE 1.01,9.01 03/30/07 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01,9.01 03/28/07 LEHMAN ABS CORP GEN ELEC CAP SERVICES DE 8.01,9.01 04/02/07 LEHMAN ABS CORP MOTOROLA DEBENTURE BA DE 8.01,9.01 04/01/07 Lexington Energy Services Inc. NV 5.02,5.03 04/02/07 LIBERTY STAR GOLD CORP NV 7.01 03/21/07 LIFETIME BRANDS, INC DE 5.02 02/01/07 LINCOLN NATIONAL CORP IN 8.01 03/19/07 LOCAL.COM DE 1.01,3.01,9.01 03/29/07 LODGENET ENTERTAINMENT CORP DE 1.01,1.02,2.01,2.03,3.02,7.01, 04/04/07 9.01 M & F WORLDWIDE CORP DE 8.01,9.01 04/04/07 MAGELLAN MIDSTREAM HOLDINGS LP 1.01,9.01 04/03/07 MANAGEMENT NETWORK GROUP INC 2.06,3.01,8.01 03/29/07 MARSHALL & ILSLEY CORP/WI/ WI 8.01,9.01 04/03/07 MAX RE CAPITAL LTD 5.02,8.01,9.01 04/01/07 MAXWELL TECHNOLOGIES INC DE 5.02,9.01 04/03/07 MAXXAM INC DE 8.01 04/03/07 MCG CAPITAL CORP DE 1.01,2.03,9.01 04/03/07 MEADOWBROOK INSURANCE GROUP INC MI 8.01,9.01 04/03/07 MEDAREX INC NJ 5.02 02/23/07 MEDICINOVA INC DE 5.02,7.01,8.01,9.01 03/29/07 MERGE TECHNOLOGIES INC WI 5.02,9.01 03/31/07 MEXORO MINERALS LTD CO 4.02 04/02/07 MICRON TECHNOLOGY INC DE 2.02,9.01 04/04/07 MICRONETICS INC DE 1.01,9.01 03/30/07 MICROSEMI CORP DE 5.02,9.01 03/29/07 MIDAMERICAN ENERGY CO IA 7.01,9.01 04/03/07 MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA 7.01,9.01 04/03/07 MILLENNIUM BANKSHARES CORP VA 5.02,9.01 03/30/07 MIPS TECHNOLOGIES INC DE 2.02,9.01 04/04/07 Monarch Financial Holdings, Inc. VA 1.01,9.01 04/02/07 MONRO MUFFLER BRAKE INC NY 5.02 03/29/07 MONSANTO CO /NEW/ DE 2.02 02/28/07 Morgan Stanley Mortgage Loan Trust 20 DE 1.01 03/30/07 MRV COMMUNICATIONS INC DE 1.01,2.03 03/29/07 MSC INDUSTRIAL DIRECT CO INC NY 2.02,9.01 04/04/07 NATIONAL PATENT DEVELOPMENT CORP DE 2.02,9.01 04/04/07 NATIONAL TAX CREDIT INVESTORS II CA 8.01 03/28/07 NATIONAL TAX CREDIT INVESTORS II CA 8.01 03/30/07 NAVARRE CORP /MN/ MN 5.02,9.01 03/30/07 NCR CORP MD 5.02,9.01 03/29/07 NEOPHARM INC DE 5.02,9.01 03/30/07 NETFLIX INC DE 5.02,9.01 04/02/07 NETWOLVES CORP NY 5.02 04/01/07 NEWPARK RESOURCES INC DE 7.01,9.01 04/04/07 NITROMED INC DE 5.02,9.01 03/29/07 NORD RESOURCES CORP DE 5.02 03/29/07 North Atlantic Holding Company, Inc. DE 5.02,9.01 04/03/07 NORTH ATLANTIC TRADING CO INC NY 5.02,9.01 04/02/07 NTN BUZZTIME INC DE 1.01,2.01,5.02,9.01 03/29/07 NYFIX INC DE 5.02,8.01,9.01 03/29/07 NYSE Euronext, Inc. DE 2.01,5.02,9.01 04/04/07 NYSE Group, Inc. DE 3.01,5.01,9.01 04/04/07 OCEANEERING INTERNATIONAL INC DE 7.01 04/04/07 ON ASSIGNMENT INC DE 5.02 03/29/07 ONEOK INC /NEW/ OK 7.01,9.01 04/04/07 ONEOK Partners LP DE 1.01,2.03 04/04/07 ONEOK Partners LP DE 7.01,9.01 04/04/07 Orbit Brands CORP DE 4.01,9.01 02/27/07 AMEND ORIENTAL FINANCIAL GROUP INC PR 5.03,9.01 02/28/07 OSTEOTECH INC DE 5.02 03/29/07 OURPETS CO CO 8.01 03/28/07 OXFORD INDUSTRIES INC GA 2.02,9.01 04/03/07 OXFORD INDUSTRIES INC GA 2.02,9.01 04/03/07 P&F INDUSTRIES INC DE 5.02 03/29/07 PACIFIC GAS & ELECTRIC CO CA 7.01,9.01 04/03/07 PACIFIC GAS & ELECTRIC CO CA 7.01,9.01 04/04/07 AMEND PACIFICNET INC DE 3.01,9.01 03/30/07 PACIFICORP /OR/ OR 7.01,9.01 04/03/07 PACKETEER INC DE 2.02,5.02,9.01 04/04/07 PALM INC DE 9.01 04/04/07 PANERA BREAD CO DE 2.02,9.01 04/04/07 PEABODY ENERGY CORP DE 7.01,9.01 04/04/07 PERINI CORP MA 5.02 03/31/07 PFSWEB INC DE 2.02 04/02/07 PG&E CORP CA 7.01,9.01 04/03/07 PG&E CORP CA 7.01,9.01 04/04/07 AMEND PHARMACYCLICS INC DE 8.01,9.01 04/04/07 PLATINUM ENERGY RESOURCES INC DE 1.01,9.01 03/29/07 PLAYLOGIC ENTERTAINMENT INC DE 4.01 04/02/07 PLUG POWER INC DE 2.01,9.01 04/03/07 POLYMER GROUP INC DE 5.02,9.01 03/29/07 PORTA SYSTEMS CORP DE 2.02,9.01 03/30/07 PORTFOLIO RECOVERY ASSOCIATES INC DE 5.02,9.01 03/30/07 POSSIS MEDICAL INC MN 7.01,9.01 04/04/07 POWER-SAVE ENERGY CO UT 4.01,9.01 04/04/07 PRINCETON REVIEW INC DE 2.03,8.01,9.01 03/29/07 PRINCIPAL LIFE INSURANCE CO IA 9.01 03/30/07 PRINCIPAL LIFE INSURANCE CO IA 9.01 03/30/07 PRINCIPAL LIFE INSURANCE CO IA 9.01 03/30/07 PROLOGIS MD 2.03,3.01 03/29/07 QUAKER CHEMICAL CORP PA 5.02,9.01 04/03/07 QUANTITATIVE METHODS CORP NV 5.02,5.03,9.01 03/31/07 QUANTUM CORP /DE/ DE 1.01,9.01 04/01/07 QUIDEL CORP /DE/ DE 5.02,9.01 03/30/07 RALCORP HOLDINGS INC /MO MO 5.02 03/30/07 RAM ENERGY RESOURCES INC DE 2.02,9.01 04/02/07 RAMCO GERSHENSON PROPERTIES TRUST MD 8.01,9.01 04/02/07 RAMTRON INTERNATIONAL CORP DE 1.01,2.03,9.01 03/30/07 REALOGY CORP DE 2.02,7.01 04/04/07 Renaissance Home Equity Loan Trust 20 8.01,9.01 02/21/07 RESTORATION HARDWARE INC CA 2.02,9.01 04/04/07 RETAIL VENTURES INC OH 2.02,9.01 04/04/07 ROBBINS & MYERS INC OH 2.02 04/03/07 ROLLINS INC DE 8.01 04/02/07 ROWAN COMPANIES INC DE 7.01,9.01 04/04/07 ROYAL GOLD INC DE 1.01,8.01,9.01 04/03/07 RYDER SYSTEM INC FL 5.02,9.01 04/02/07 SAIC, Inc. DE 5.02,8.01,9.01 03/29/07 SALIX PHARMACEUTICALS LTD 8.01,9.01 04/04/07 SALOMON SMITH BARNEY ORION FUTURES FU 3.02 04/01/07 SANTANDER DRIVE AUTO RECEIVABLES LLC DE 8.01,9.01 04/04/07 SBA COMMUNICATIONS CORP FL 1.02 03/29/07 SBE INC DE 2.01,5.03,9.01 03/30/07 SEACOAST BANKING CORP OF FLORIDA FL 5.02 04/02/07 SENSIENT TECHNOLOGIES CORP WI 4.01,9.01 03/30/07 SENSIENT TECHNOLOGIES CORP WI 4.01,9.01 03/30/07 SENSUS METERING SYSTEMS INC 5.02 03/09/07 AMEND SHELRON GROUP INC DE 8.01 03/26/07 SIMMONS CO DE 2.02,9.01 03/22/07 SMITH BARNEY POTOMAC FUTURES FUND LP 3.02 04/01/07 SMITH BARNEY WESTPORT FUTURES FUND LP 3.02 04/01/07 SOTHEBYS DE 5.02,9.01 03/29/07 SOUTHERN CO DE 5.02,9.01 03/30/07 Southern Star Energy Inc. NV 5.03,7.01,9.01 04/02/07 Spansion Inc. DE 1.01 03/30/07 SPECTRE GAMING INC MN 1.01 03/29/07 Spectrum Brands, Inc. WI 1.01,1.02,2.03,9.01 03/29/07 SPIRIT FINANCE CORP 2.03,9.01 03/29/07 ST MARY LAND & EXPLORATION CO DE 1.01,2.03,3.02,8.01,9.01 04/04/07 STERLING EQUITY HOLDINGS INC NV 2.01,8.01 03/29/07 STRATEGIC HOTELS & RESORTS, INC 1.01,2.03,3.02,9.01 03/29/07 SUBURBAN PROPANE PARTNERS LP DE 5.02 04/03/07 AMEND Sugar Creek Financial Corp X1 3.02,8.01,9.01 04/03/07 SYCAMORE NETWORKS INC DE 3.01 03/30/07 SYNAPTICS INC CA 5.02 03/29/07 SYNCHRONOSS TECHNOLOGIES INC 5.02 04/04/07 T REIT INC VA 5.02 03/29/07 TAKE TWO INTERACTIVE SOFTWARE INC DE 1.01,2.03,3.01,4.01,5.01,5.02, 03/29/07 5.03,8.01,9.01 TECHNITROL INC PA 5.02,9.01 04/04/07 TECHNOLOGY RESEARCH CORP FL 4.02,9.01 03/29/07 Telanetix,Inc DE 1.01,2.01,9.01 03/30/07 TELEPHONE & DATA SYSTEMS INC /DE/ DE 3.01,9.01 04/02/07 Tennessee Valley Authority 8.01,9.01 03/30/07 TEREX CORP DE 5.02 03/29/07 THORATEC CORP CA 8.01 04/03/07 THRESHOLD PHARMACEUTICALS INC DE 1.01,5.02,9.01 04/02/07 TII NETWORK TECHNOLOGIES, INC. DE 2.02,9.01 04/04/07 TIME WARNER CABLE INC. DE 7.01,8.01,9.01 04/04/07 Titanium Group LTD D8 1.01,2.03,3.02,9.01 04/03/07 TJX COMPANIES INC /DE/ DE 1.01,9.01 03/29/07 TRANSCONTINENTAL REALTY INVESTORS INC NV 2.01,9.01 01/19/07 AMEND TRANSOCEAN INC E9 7.01,9.01 04/02/07 AMEND TRIDENT MICROSYSTEMS INC DE 8.01,9.01 04/02/07 TURBOCHEF TECHNOLOGIES INC DE 5.02 03/29/07 TURBODYNE TECHNOLOGIES, INC NV 7.01,9.01 04/04/07 U.S. Helicopter CORP DE 1.01,2.03,3.02,9.01 03/30/07 UNITED RENTALS INC /DE DE 5.02,5.03,7.01,9.01 03/29/07 UNITED STATES CELLULAR CORP DE 3.01,9.01 04/02/07 United States Oil Fund, LP DE 9.01 04/03/07 UNITED STATES STEEL CORP DE 8.01,9.01 04/04/07 UNIVISION COMMUNICATIONS INC DE 1.01,1.02,2.03,3.01,5.01,5.02, 03/29/07 9.01 URANIUM ENERGY CORP NV 5.02 04/02/07 USANA HEALTH SCIENCES INC UT 2.02,9.01 04/04/07 V F CORP PA 7.01,9.01 04/01/07 VAIL RESORTS INC DE 5.02,9.01 03/30/07 VALPEY FISHER CORP MD 5.02,8.01,9.01 03/29/07 VASOMEDICAL INC DE 5.02 03/30/07 VENTAS INC DE 7.01,9.01 04/04/07 VESTIN FUND III LLC 8.01,9.01 04/02/07 VICTORY EAGLE RESOURCES CORP. NV 1.01,3.02,9.01 04/04/07 VIKING SYSTEMS INC DE 5.02,9.01 03/29/07 VioQuest Pharmaceuticals, Inc. DE 1.01 03/29/07 VOUGHT AIRCRAFT INDUSTRIES INC 2.02,9.01 03/14/07 AMEND WASHINGTON BANKING CO WA 1.01,2.03,8.01,9.01 04/03/07 WEBSTER FINANCIAL CORP DE 1.02,2.04 04/02/07 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 03/21/07 WELLS REAL ESTATE FUND XIII L P 1.01 04/04/07 WELLS REAL ESTATE FUND XIV LP GA 1.01 04/04/07 Welwind Energy International CORP DE 5.02 04/04/07 WEST PHARMACEUTICAL SERVICES INC PA 2.03,8.01,9.01 04/03/07 WESTMORELAND COAL CO DE 8.01,9.01 04/02/07 Wonder Auto Technology, Inc NV 1.01,2.01,8.01,9.01 04/04/07 WORLDTRADESHOW COM INC 1.01,4.02 08/01/06 WORLDWIDE STRATEGIES INC NV 1.02 03/30/07 YORK WATER CO PA 5.02 04/04/07 ZANE ACQUISITION I INC DE 1.01,3.02,5.01,5.02,9.01 04/02/07 ZANE ACQUISITION II INC DE 1.01,3.02,5.01,5.02,9.01 04/02/07 ZIX CORP TX 5.02,9.01 04/04/07