SEC NEWS DIGEST Issue 2007-134 July 13, 2007 ENFORCEMENT PROCEEDINGS PROCEEDINGS INSTITUTED AGAINST NATURE'S SUNSHINE PRODUCTS, INC. FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On July 12, The Commission issued an Order Instituting Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 against Nature's Sunshine Products, Inc. (Nature's Sunshine) to determine whether the registration of each class of its securities should be revoked or suspended for a period not exceeding twelve months based on its failure to file required periodic reports. The Division of Enforcement (Division) alleges that Nature's Sunshine has failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder by: (1) failing to file an Annual Report on Form 10-K since March 16, 2005, when it filed its Annual Report on Form 10-K for the year ended Dec. 31, 2004; and (2) failing to file a Quarterly Report on Form 10-Q containing financial statements which had been reviewed by a registered independent public accountant for any period subsequent to its quarter ended June 30, 2005. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations of the Division contained in the Order are true, to provide Nature's Sunshine an opportunity to respond to these allegations, and to determine whether Nature's Sunshine's registration should be suspended for a period not exceeding twelve months, or revoked, pursuant to Section 12(j) of the Exchange Act. As directed by the Commission, the administrative law judge shall issue an initial decision in this matter not later than 120 days from the date of service of the Order Instituting Proceedings. (Rel. 34-56059; File No. 3-12684) COMMISSION REVOKES REGISTRATIONS OF SECURITIES OF FOUR ISSUERS FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On July 13, the Commission instituted settled proceedings pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act) revoking the registration of each class of registered securities of each of the following issuers for failure to make required periodic filings with the Commission (ticker symbols provided). " Rigid Airship USA, Inc. (RGDA) " Sonex Research, Inc. (SONX) " Sports Arenas, Inc. (SPAI) " TCPI, Inc. (PKGH) Without admitting or denying the findings of the order pertaining to that issuer, except as to jurisdiction, which each admitted, each of the foregoing issuers separately consented to the entry of an order pertaining to that issuer finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of the issuer's securities pursuant to Section 12(j) of the Exchange Act Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . Additional Materials Available at www.sec.gov Order Instituting Proceedings, Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Rigid Airship USA, Inc., Administrative Proceeding File No. 3-12685, Exchange Act Release No. 34-56060 (July 13, 2007). Order Instituting Proceedings, Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Sonex Research, Inc., Administrative Proceeding File No. 3-12686, Exchange Act Release No. 34-56061 (July 13, 2007). Order Instituting Proceedings, Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Sports Arenas, Inc., Administrative Proceeding File No. 3-12687, Exchange Act Release No. 34-56062 (July 13, 2007). Order Instituting Proceedings, Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of TCPI, Inc., Administrative Proceeding File No. 3-12688, Exchange Act Release No. 34-56063 (July 13, 2007). B.J. THOMAS REINSTATED TO APPEAR AND PRACTICE BEFORE THE COMMISSION AS AN ACCOUNTANT RESPONSIBLE FOR THE PREPARATION OR REVIEW OF FINANCIAL STATEMENTS REQUIRED TO BE FILED WITH THE COMMISSION Pursuant to Rule 102(e)(5)(i) of the Commission's Rules of Practice, B.J. Thomas has applied for and been granted reinstatement of his privilege to appear and practice before the Commission as an accountant responsible for the preparation or review of financial statements required to be filed with the Commission. Mr. Thomas was suspended from appearing or practicing before the Commission on June 10, 1997. His reinstatement is effective immediately. (Rel. 34-56066; AAE Rel. 2634; File No. 3-9331) COURT ENTERS A PRELIMINARY INJUNCTION ORDER CONTINUING THE FREEZE OF DEFENDANTS' ASSETS PENDING CONCLUSION OF THE ACTION The Commission announced that on July 12 the U.S. District Court for the Western District of New York entered a preliminary injunction order against defendants, The Hockey Barn LLC and Jeffrey J. Coleman, Hockey Barn's Chief Executive Officer. The Court's July 12 Order, among other things, preliminarily enjoins defendants from violating 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 pending a final disposition of the action. Further, the July 12 Order freezes defendants' assets and requires defendants to provide accountings of, among other things, all of the funds received from investors. In the complaint, the Commission alleged that from approximately October 2006 through the present, Coleman and the Hockey Barn defrauded investors through an offering of promissory notes and other investment contracts. Among other things, Coleman falsely told investors that they could obtain a return of at least 400% within 60 days from an investment in a purported bond trading program. The defendants consented to the entry of the order without admitting or denying the Commission's allegations. For more information, see Litigation Release No. 20180 (July 3, 2007) and No. 20186 (July 9, 2007). [SEC v. The Hockey Barn LLC and Jeffrey J. Coleman, Civ. Action No. 07-CV-438-C (W.D.N.Y.)] (LR-20195) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES Pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, the Chicago Board Options Exchange has filed a proposed rule change as modified by Amendment No. 1 thereto (SR-CBOE- 2007-41) to Codify Pre-Existing Practices and to Amend and Supplement Rule 24.9. Publication is expected in the Federal Register during the week of July 16. (Rel. 34-56036) The Commission issued notice of filing of a proposed rule change, as modified by Amendment No. 1 thereto, filed by The NASDAQ Stock Market (SR-NASDAQ-2007-024) to provide additional transparency to how Nasdaq applies its public interest authority. Publication is expected in the Federal Register during the week of July 16. (Rel. 34-56044) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the American Stock Exchange to extend the Short Term Option Series pilot program (SR-Amex-2007-62) 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 July 16. (Rel. 34-56046) A proposed rule change filed by the International Securities Exchange to extend the Short Term Option Series pilot program (SR-ISE-2007-54) 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 July 16. (Rel. 34-56047) A proposed rule change filed by the Chicago Board Options Exchange to extend the Short Term Option Series pilot program (SR-CBOE-2007-76) 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 July 16. (Rel. 34-56050) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission noticed the proposed rule change (SR-Phlx-2007-20) and Amendment No. 1 thereto submitted by Philadelphia Stock Exchange to adopt generic listing standards for exchange-traded funds based on international or global indexes or indexes described in exchange rules previously approved by the Commission as underlying benchmarks for derivative securities, and granted accelerated approval of the proposed rule change. Publication is expected in the Federal Register during the week of July 16. (Rel. 34-56049) 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-4 SUN HEALTHCARE GROUP INC, 101 SUN AVENUE N E, ALBUQUERQUE, NM, 87109, 5058213355 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-144497 - Jul. 12) (BR. 11B) S-3D PG&E CORP, ONE MARKET SPEAR TOWER, SUITE 2400, SAN FRANCISCO, CA, 94105, 4152677000 - 5,000,000 ($22,490,000.00) Equity, (File 333-144498 - Jul. 12) (BR. 02B) S-3ASR FCStone Group, Inc., 2829 WESTOWN PARKWAY, SUITE 100, WEST DES MOINES, IA, 50266, (800) 422-3087 - 0 ($0.00) Equity, (File 333-144499 - Jul. 12) (BR. 08C) S-3ASR COMMERCIAL METALS CO, 6565 N. MACARTHUR BLVD., SUITE 800, P O BOX 1046, IRVING, TX, 75039, 2146894300 - 0 ($0.00) Debt, (File 333-144500 - Jul. 12) (BR. 06B) SB-2 New Castle Ventures, Inc., 1845 BAYWOOD DRIVE, SALT LAKE CITY, UT, 84117, (801) 272-7403 - 1,000,000 ($400,000.00) Equity, (File 333-144501 - Jul. 12) (BR. 06) S-3 PROTECTION ONE INC, 1035 N. 3RD ST., SUITE 101, LAWRENCE, KS, 66044, 785 856 5500 - 0 ($172,500,000.00) Equity, (File 333-144502 - Jul. 12) (BR. 11B) SB-2 KAT Racing, Inc., 11099 CARAMEL CREST CT., LAS VEGAS, NV, 89135, 702-525-2024 - 5,749,000 ($287,450.00) Equity, (File 333-144504 - Jul. 12) (BR. 05) S-8 IMAGING3 INC, 303 N GLENOAKS BLVD, BURBANK, CA, 91505, 8182600930 - 3,500,000 ($350,000.00) Equity, (File 333-144507 - Jul. 12) (BR. 10B) SB-2 Cienega Creek Holdings, Inc., 9181 S ANTLER CREST DR, VAIL, AZ, 85641, 520-275-8129 - 4,000,000 ($400,000.00) Equity, (File 333-144508 - Jul. 12) (BR. 05) SB-2 Bosco Flooring, Inc., 26 UTKINA STREET, APT 10, IRKUTSK, 1Z, 6640007, 7-3952-681-877 - 0 ($22,400.00) Equity, (File 333-144509 - Jul. 12) (BR. 02) S-3 HURCO COMPANIES INC, ONE TECHNOLOGY WAY, INDIANAPOLIS, IN, 46268, 3172935309 - 0 ($200,000,000.00) Other, (File 333-144510 - Jul. 12) (BR. 10B) SB-2 Galileo Group, Inc., 6260 S. RAINBOW BLVD., SUITE 110, LAS VEGAS, NV, 89118, (702) 938-2277 - 2,000,000 ($100,000.00) Equity, (File 333-144511 - Jul. 12) (BR. 08) S-1 Approach Resources Inc, 6300 RIDGLEA PLACE, SUITE 1107, FORT WORTH, TX, 76116, 8179899000 - 0 ($132,250,000.00) Equity, (File 333-144512 - Jul. 12) (BR. 04) S-3ASR iShares Silver Trust, 45 FREMONT STREET, SAN FRANCISCO, CA, 94105, 415-597-2000 - 12,122,727 ($1,506,854,966.10) Equity, (File 333-144513 - Jul. 12) (BR. 04) S-8 UNITED BANCORP INC /MI/, 205 E CHICAGO BLVD, PO BOX 248, TECUMSEH, MI, 49286, 5174238373 - 0 ($1,884,568.00) Equity, (File 333-144514 - Jul. 12) (BR. 07A) S-8 UNITED BANCORP INC /MI/, 205 E CHICAGO BLVD, PO BOX 248, TECUMSEH, MI, 49286, 5174238373 - 0 ($381,018.00) Equity, (File 333-144515 - Jul. 12) (BR. 07A) S-8 ALSERES PHARMACEUTICALS INC /DE, 85 MAIN STREET, HOPKINTON, MA, 01748, 508-497-2360 - 1,450,000 ($4,148,000.00) Equity, (File 333-144516 - Jul. 12) (BR. 01C) S-8 INVENDA CORP, 6901 ROCKLEDGE DRIVE, 6TH FLOOR, BETHESDA, MD, 20817, 2403336100 - 0 ($33,142,000.00) Equity, (File 333-144518 - Jul. 12) (BR. 08A) S-3 Resource Capital Corp., 712 FIFTH AVENUE, 10TH FLOOR, NEW YORK, NY, 10019, 212-974-1708 - 1,568,244 ($21,829,956.48) Equity, (File 333-144519 - Jul. 12) (BR. 08C) S-1 INTELLON CORP, 5100 W SILVER SPRINGS BLVD, OCALA, FL, 34482, (352) 237-7416 - 0 ($100,000,000.00) Equity, (File 333-144520 - Jul. 12) (BR. 10) SB-2 ImmunoCellular Therapeutics, Ltd., 1999 AVENUE OF THE STARS, 11TH FLOOR, LOS ANGELES, CA, 90067, 3107891213 - 0 ($6,178,295.00) Equity, (File 333-144521 - Jul. 12) (BR. 01C) S-3 CEL SCI CORP, 8229 BOONE BLVD ., SUITE 802, VIENNA, VA, 22182, 7035069460 - 0 ($30,000,000.00) Equity, (File 333-144522 - Jul. 12) (BR. 01A) S-1 Triplecrown Acquisition Corp., 7 TIMES SQUARE, 17TH FLOOR, NEW YORK, NY, 10036, 212-683-5350 - 0 ($567,333,331.00) Equity, (File 333-144523 - Jul. 12) (BR. ) SB-2 nCoat, Inc., 7237 PACE DRIVE, WHITSETT, NC, 27377, 336 447-2000 - 64,018,593 ($45,453,201.13) Equity, (File 333-144524 - Jul. 12) (BR. 06A) S-8 COMMUNITY HEALTH SYSTEMS INC, 4000 MERIDIAN BOULEVARD, FRANKLIN, TN, 37067, 615-465-7000 - 5,800,000 ($237,481,000.00) Equity, (File 333-144525 - Jul. 12) (BR. 01A) S-8 ROO GROUP INC, 228 EAST 45TH STREET, 8TH FLOOR, NEW YORK, NY, 10017, 646-320-4394 - 0 ($32,238,300.00) Equity, (File 333-144526 - Jul. 12) (BR. 11C) S-1 MPHASE TECHNOLOGIES INC, 587 CONNECTICUT AVE, PO BOX 566, NORWALK, CT, 06854, 2038312212 - 261,460,717 ($24,838,768.12) Equity, (File 333-144527 - Jul. 12) (BR. 11B) 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 1ST CENTENNIAL BANCORP CA 2.02,9.01 07/11/07 AAR CORP DE 1.01,3.03,5.02,5.03,9.01 07/10/07 ABBOTT LABORATORIES IL 1.02,9.01 07/11/07 ABERCROMBIE & FITCH CO /DE/ DE 7.01,9.01 07/12/07 ACCEPTANCE INSURANCE COMPANIES INC DE 8.01,9.01 07/10/07 ADEPT TECHNOLOGY INC CA 2.05,2.06 06/22/07 AMEND AEROFLEX INC DE 8.01 07/09/07 ALCOA INC PA 2.02,9.01 07/09/07 ALCOA INC PA 8.01,9.01 07/12/07 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 07/12/07 ALLIED DEFENSE GROUP INC DE 1.01,9.01 07/12/07 ALLIN CORP DE 5.02 07/10/07 ALLOY INC DE 5.02 07/12/07 ALNYLAM PHARMACEUTICALS, INC. 1.01,3.02 07/08/07 Alyst Acquisition Corp. DE 8.01,9.01 07/11/07 AMERICAN EAGLE OUTFITTERS INC DE 7.01,9.01 07/11/07 AMERICAN LEISURE HOLDINGS, INC. NV 5.01 07/11/07 AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 7.01 07/12/07 AMERICAN MORTGAGE ACCEPTANCE CO MA 5.02,9.01 07/12/07 AMERICAN PHYSICIANS SERVICE GROUP INC TX 8.01,9.01 07/12/07 AMERICAN STANDARD COMPANIES INC DE 8.01,9.01 07/11/07 AMERISOURCEBERGEN CORP DE 8.01,9.01 07/12/07 ANCHOR BANCORP WISCONSIN INC WI 2.02,9.01 07/12/07 ANCHOR BANCORP WISCONSIN INC WI 1.01,9.01 07/11/07 AMEND ANNTAYLOR STORES CORP DE 7.01,9.01 07/12/07 APOLLO GROUP INC AZ 8.01,9.01 07/11/07 AQUANTIVE INC WA 8.01 07/10/07 ARKADOS GROUP, INC. DE 1.01,3.02,9.01 07/06/07 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 07/11/07 ASSURED GUARANTY LTD 8.01,9.01 07/12/07 ATHEROGENICS INC GA 2.03,9.01 07/11/07 BANK JOS A CLOTHIERS INC /DE/ DE 7.01,9.01 07/12/07 BARRIER THERAPEUTICS INC DE 8.01,9.01 07/12/07 BAXX SYSTEMS INC. NV 1.01 07/12/07 Bear Stearns Commercial Mortgage Secu DE 8.01,9.01 06/27/07 bebe stores, inc. CA 2.02 07/07/07 BEHRINGER HARVARD REIT I INC MD 7.01 07/11/07 BERMAN CENTER, INC. DE 1.01,2.03,3.02,9.01 07/09/07 BF ACQUISITION GROUP V INC FL 3.02 07/12/07 BFC FINANCIAL CORP FL 8.01,9.01 07/11/07 BOLT TECHNOLOGY CORP CT 1.01,9.01 07/10/07 BON TON STORES INC PA 7.01,9.01 07/12/07 BREEZE-EASTERN CORP DE 8.01,9.01 07/11/07 BROOKE CORP KS 7.01,8.01 07/12/07 Calamos Asset Management, Inc. /DE/ 7.01,9.01 07/11/07 CalAmp Corp. DE 8.01 07/11/07 CALPINE CORP DE 7.01,9.01 07/12/07 CAMBREX CORP DE 5.02 07/11/07 Card Activation Technologies Inc DE 8.01,9.01 07/11/07 Caribou Coffee Company, Inc. MN 2.02,9.01 07/12/07 CARNIVAL CORP DE 5.02,9.01 07/09/07 CARTOON ACQUISITION, INC. DE 4.01,9.01 07/02/04 AMEND CASH AMERICA INTERNATIONAL INC TX 7.01,9.01 07/11/07 Chaparral Steel CO DE 2.02,9.01 07/11/07 Chaparral Steel CO DE 8.01 07/11/07 Chaparral Steel CO DE 1.01,3.03,7.01,9.01 07/10/07 CHEVIOT FINANCIAL CORP 4.01,9.01 07/10/07 CHILCO RIVER HOLDINGS INC 1.01,9.01 06/28/07 China Architectural Engineering, Inc. DE 5.02,8.01,9.01 07/09/07 CHINA FIRE & SECURITY GROUP, INC. 8.01,9.01 07/12/07 CHINA ORGANIC AGRICULTURE, INC. 7.01,9.01 07/10/07 Chinese Manufacturers Online Corp DE 5.01,5.02,9.01 06/29/07 CIPHERGEN BIOSYSTEMS INC DE 1.01,7.01,9.01 07/10/07 CIPHERGEN BIOSYSTEMS INC DE 7.01,9.01 07/11/07 CIRRUS LOGIC INC DE 1.01,7.01,9.01 07/11/07 CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 07/12/07 Citicorp Mortgage Securities Trust, S DE 8.01,9.01 07/12/07 CITIZENS FINANCIAL CORP/DE/ DE 2.02,9.01 07/12/07 CKE RESTAURANTS INC DE 7.01,9.01 07/10/07 CMALT (CitiMortgage Alternative Loan DE 8.01,9.01 07/12/07 CombiMatrix Corp DE 1.01,9.01 07/07/07 COMMERCE BANCSHARES INC /MO/ MO 2.02 07/12/07 Conihasset Capital Partners, Inc. DE 2.01,9.01 06/29/07 AMEND CONSECO INC DE 7.01,9.01 07/12/07 CONSUMERS BANCORP INC /OH/ OH 8.01 07/11/07 COREL CORP A6 2.02,9.01 07/12/07 COVENTRY HEALTH CARE INC DE 1.01,7.01,9.01 06/07/07 Credit Suisse Commercial Mortgage Tru DE 8.01,9.01 06/19/07 Crocs, Inc. 5.02,5.03,9.01 07/09/07 CSX CORP VA 5.03,9.01 07/11/07 CUMMINS INC IN 3.03,9.01 07/12/07 CWHEQ Revolving Home Equity Loan Trus 8.01,9.01 06/29/07 Cyberkinetics Neurotechnology Systems DE 8.01 07/10/07 DATAJUNGLE SOFTWARE INC NV 3.02 07/06/07 DAYTON POWER & LIGHT CO OH 5.02,9.01 07/10/07 DELPHAX TECHNOLOGIES INC MN 8.01,9.01 07/12/07 DENNYS CORP DE 5.02,9.01 07/09/07 DG FastChannel, Inc DE 8.01,9.01 07/11/07 Diamond Foods Inc DE 8.01,9.01 07/12/07 DigiCurve, Inc. NV 5.02 07/09/07 DIGITAL RECORDERS INC NC 7.01,9.01 07/12/07 DILLARDS INC DE 7.01,9.01 07/12/07 Disaboom, Inc. CO 1.01,5.02,9.01 06/01/07 DOLLAR GENERAL CORP TN 1.01,1.02,2.03,3.03,5.02,5.03, 07/06/07 8.01,9.01 DOLLAR GENERAL CORP TN 1.01,1.02,2.03,3.03,5.02,5.03, 07/06/07 8.01,9.01 DORCHESTER MINERALS LP DE 2.02,7.01,9.01 06/30/07 DPL INC OH 5.02,7.01,9.01 07/09/07 DRAGON INTERNATIONAL GROUP CORP. NV 1.01,2.01,3.02,9.01 06/29/07 DUCKWALL ALCO STORES INC KS 5.02,7.01,9.01 07/09/07 DURECT CORP DE 8.01,9.01 07/11/07 DYNAMIC LEISURE CORP MN 1.01,3.02,9.01 06/29/07 ELECTRO SCIENTIFIC INDUSTRIES INC OR 2.02,9.01 07/12/07 EMERGENCY FILTRATION PRODUCTS INC/ NV NV 8.01 07/05/07 EMTA Holdings, Inc. NV 2.01,2.03,9.01 07/05/07 EMVELCO CORP. DE 1.01,2.01,2.03,9.01 07/05/07 ENBRIDGE ENERGY PARTNERS LP DE 7.01,9.01 07/12/07 ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 07/12/07 ERHC Energy Inc CO 8.01,9.01 07/09/07 EZCORP INC DE 8.01,9.01 07/11/07 FAMILY DOLLAR STORES INC DE 7.01,9.01 07/11/07 FASTENAL CO MN 8.01,9.01 07/11/07 FASTENAL CO MN 8.01,9.01 07/11/07 FASTENAL CO MN 2.02,9.01 07/12/07 FCStone Group, Inc. DE 2.02,8.01,9.01 07/10/07 FCStone Group, Inc. DE 8.01,9.01 07/12/07 Federal Home Loan Bank of Atlanta X1 2.03 07/09/07 Federal Home Loan Bank of Boston X1 2.03 07/10/07 Federal Home Loan Bank of Chicago X1 2.03 07/09/07 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 07/10/07 Federal Home Loan Bank of Des Moines X1 2.03,9.01 07/10/07 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 07/09/07 Federal Home Loan Bank of San Francis X1 2.03 07/09/07 Federal Home Loan Bank of Seattle 2.03 07/11/07 Federal Home Loan Bank of Topeka 2.03 07/09/07 FINISAR CORP DE 3.01,9.01 07/09/07 FIRST AMERICAN CORP CA 8.01 07/11/07 FIRST BANCSHARES INC /MO/ MO 2.06,9.01 07/09/07 First Clover Leaf Financial Corp. MD 8.01,9.01 07/10/07 FIRST INVESTORS FINANCIAL SERVICES GR TX 2.02,9.01 07/12/07 FIRST NATIONAL BANCSHARES INC /SC/ SC 2.02,9.01 07/11/07 FIRSTPLUS FINANCIAL GROUP INC NV 8.01,9.01 07/12/07 FLEETWOOD ENTERPRISES INC/DE/ DE 2.02,9.01 07/12/07 FLORIDA PUBLIC UTILITIES CO FL 1.01 07/06/07 Fortress International Group, Inc. DE 2.02,9.01 07/12/07 FOUNDRY NETWORKS INC DE 5.02 07/09/07 FREMONT GENERAL CORP NV 1.02,5.02,9.01 07/09/07 Fuel Systems Solutions, Inc. DE 3.01 07/11/07 FULL HOUSE RESORTS INC DE 8.01,9.01 07/03/07 GAMCO INVESTORS, INC. ET AL NY 5.02 07/12/07 GAP INC DE 7.01,9.01 07/12/07 GASCO ENERGY INC NV 7.01,9.01 07/11/07 GASTAR EXPLORATION LTD 7.01,9.01 07/12/07 GENE LOGIC INC DE 5.02,9.01 07/09/07 AMEND GENSYM CORP DE 2.02,9.01 07/12/07 GLOBAL ENERGY INC NV 3.02,9.01 07/10/07 GLOBAL GREEN SOLUTIONS INC. WA 1.01,7.01,9.01 07/11/07 Global Resource CORP CO 1.02,3.02,5.02 07/09/07 GLU MOBILE INC 5.02 07/10/07 GOLDEN ENTERPRISES INC DE 8.01,9.01 07/12/07 Golden West Brewing Company, Inc. CA 7.01 07/10/07 Golden West Brewing Company, Inc. CA 3.02 07/10/07 GREAT SOUTHERN BANCORP INC MD 8.01 07/10/07 GRIFFIN LAND & NURSERIES INC DE 2.02,9.01 07/12/07 GROUP 1 AUTOMOTIVE INC DE 7.01,9.01 07/12/07 GTX INC /DE/ DE 8.01,9.01 07/12/07 GUARDIAN TECHNOLOGIES INTERNATIONAL I DE 8.01 07/12/07 HAMPTON ROADS BANKSHARES INC VA 2.02,8.01,9.01 07/12/07 HarborView 2007-5 DE 8.01,9.01 07/12/07 HARLEYSVILLE NATIONAL CORP PA 5.02,9.01 07/12/07 HEALTHTRONICS, INC. GA 1.01,5.02,9.01 07/09/07 HEARUSA INC DE 2.02,9.01 07/09/07 HEPALIFE TECHNOLOGIES INC FL 7.01,9.01 07/09/07 HEXION SPECIALTY CHEMICALS, INC. NJ 8.01,9.01 07/12/07 HI TECH PHARMACAL CO INC NY 2.02,9.01 07/11/07 HUNGARIAN TELEPHONE & CABLE CORP DE 1.01,9.01 07/06/07 Huntsman CORP DE 8.01,9.01 07/12/07 HUNTSMAN INTERNATIONAL LLC DE 8.01,9.01 07/12/07 IA GLOBAL INC DE 5.02 07/11/07 IA GLOBAL INC DE 5.02,9.01 06/29/07 AMEND ICON CASH FLOW PARTNERS L P SEVEN DE 8.01,9.01 07/12/07 ICP Solar Technologies Inc. 1.01,2.01,8.01,9.01 07/12/07 AMEND IMMUNOMEDICS INC DE 5.02 07/12/07 INDUSTRIAL MINERALS INC DE 3.02,5.02,9.01 07/09/07 INDYMAC BANCORP INC DE 8.01 07/11/07 IndyMac INDA Mortgage Loan Trust 2007 8.01,9.01 06/27/07 IndyMac INDX Mortgage Loan Trust 2007 8.01,9.01 06/27/07 INLAND REAL ESTATE CORP MD 8.01,9.01 07/12/07 INSWEB CORP DE 1.01 07/10/07 INTELLI CHECK INC DE 2.02,9.01 07/12/07 INTER TEL (DELAWARE), INC DE 8.01,9.01 07/12/07 INVENTIV HEALTH INC DE 1.01,2.03,3.02,7.01,9.01 07/06/07 INVENTIV HEALTH INC DE 3.03 07/06/07 AMEND ISCO INTERNATIONAL INC DE 7.01,9.01 07/12/07 J.P. Morgan Mortgage Acquisition Trus DE 8.01,9.01 07/12/07 JACKSONVILLE BANCORP INC IL 2.02,9.01 07/12/07 JOHNSON OUTDOORS INC WI 8.01,9.01 07/10/07 JONES APPAREL GROUP INC PA 5.02,9.01 07/11/07 JONES LANG LASALLE INC MD 5.02,9.01 07/12/07 KANA SOFTWARE INC DE 2.05,2.06 07/12/07 KEYSPAN CORP NY 1.01,9.01 07/06/07 KOHLS CORPORATION WI 7.01,9.01 07/12/07 KRISPY KREME DOUGHNUTS INC NC 7.01,9.01 07/10/07 LAKELAND BANCORP INC NJ 2.02,9.01 07/12/07 LASALLE HOTEL PROPERTIES MD 7.01 07/11/07 LEAR CORP DE 8.01,9.01 07/12/07 LEGACY RESERVES L P 1.01,7.01,9.01 07/12/07 LEHMAN BROTHERS HOLDINGS INC DE 8.01,9.01 07/10/07 LGL GROUP INC IN 4.01,9.01 07/10/07 LIBERTY TAX CREDIT PLUS III LP DE 4.02,9.01 06/14/07 AMEND LITHIA MOTORS INC OR 7.01,9.01 07/11/07 LODGENET ENTERTAINMENT CORP DE 7.01,9.01 07/12/07 M I HOMES INC OH 7.01,9.01 07/12/07 M&T BANK CORP NY 2.02,9.01 07/12/07 MACE SECURITY INTERNATIONAL INC DE 2.01,9.01 05/17/07 AMEND MACROVISION CORP DE 2.02,9.01 07/12/07 MAN SANG HOLDINGS INC NV 1.01,3.02,9.01 07/10/07 MARRIOTT INTERNATIONAL INC /MD/ DE 2.02,9.01 07/12/07 MCMORAN EXPLORATION CO /DE/ DE 8.01,9.01 07/12/07 MEDICAL SOLUTIONS MANAGEMENT INC. NV 1.01,9.01 07/10/07 MEDICIS PHARMACEUTICAL CORP DE 8.01 07/12/07 MEMORY PHARMACEUTICALS CORP 8.01,9.01 07/12/07 Merrill Lynch Mortgage Backed Securit DE 8.01,9.01 06/27/07 METALICO INC 1.01,9.01 06/25/07 AMEND METHODE ELECTRONICS INC DE 2.02,9.01 07/12/07 METHODE ELECTRONICS INC DE 2.02 07/12/07 MICROTUNE INC DE 8.01 07/06/07 MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA 8.01,9.01 07/11/07 MIDWEST AIR GROUP INC WI 8.01,9.01 07/12/07 MINDEN BANCORP INC 7.01,9.01 07/11/07 Morgan Stanley Capital I Trust 2007-T DE 8.01 07/12/07 MOTOROLA INC DE 2.02,9.01 07/11/07 MQ ASSOCIATES INC 1.01,2.03,9.01 07/06/07 MRV COMMUNICATIONS INC DE 5.02,8.01,9.01 07/06/07 MULTI FINELINE ELECTRONIX INC 2.02,9.01 07/11/07 My Quote Zone, Inc. NV 1.02,5.02 07/11/07 Nascent Wine Company, Inc. 3.02,9.01 07/11/07 AMEND NATIONAL PRESTO INDUSTRIES INC WI 5.02,5.03,8.01,9.01 07/06/07 NAVARRE CORP /MN/ MN 1.01,7.01,9.01 07/09/07 Neiman Marcus, Inc. DE 2.02,7.01 07/12/07 NEOPROBE CORP DE 7.01,9.01 07/12/07 NeuroMetrix, Inc. 5.02 07/09/07 New Century Energy Corp. CO 1.01,9.01 07/10/07 Newcastle Mortgage Securities Trust 2 8.01,9.01 07/12/07 NewGen Technologies, Inc NV 5.02 06/13/07 NEWMONT MINING CORP /DE/ DE 7.01,8.01,9.01 07/11/07 NEXEN INC A0 2.02,9.01 07/12/07 NEXT INC/TN DE 2.02,9.01 07/12/07 NEXTEST SYSTEMS CORP 2.02,9.01 07/12/07 NORDSTROM INC WA 7.01 07/12/07 NORTHERN TECHNOLOGIES INTERNATIONAL C DE 2.02,9.01 07/12/07 NORTHRIM BANCORP INC AK 8.01,9.01 07/12/07 NORTHWAY FINANCIAL INC 8.01 07/12/07 NOVASTAR FINANCIAL INC MD 7.01,9.01 07/12/07 Novelis Inc. A6 1.01,1.02,2.03 07/06/07 NU-MEX URANIUM CORP. NV 1.01 07/11/07 NUMEREX CORP /PA/ PA 8.01,9.01 07/12/07 O CHARLEYS INC TN 5.02,9.01 07/09/07 Oakmont Acquisition Corp. DE 8.01,9.01 07/12/07 ODYSSEY MARINE EXPLORATION INC NV 8.01,9.01 07/12/07 ONEIDA FINANCIAL CORP DE 8.01 07/11/07 ONEIDA FINANCIAL CORP DE 1.01,9.01 07/11/07 ONEIDA FINANCIAL CORP DE 5.02 07/11/07 PASW INC DE 1.01,2.01,3.02,5.02,5.06,9.01 07/05/07 PEPSIAMERICAS INC/IL/ DE 1.01,9.01 07/11/07 PETROLEUM DEVELOPMENT CORP NV 5.02,9.01 07/12/07 Pharmasset Inc 8.01,9.01 07/12/07 PHHMC Series 2007-4 Trust DE 9.01 06/28/07 PINNACLE AIRLINES CORP DE 8.01,9.01 07/09/07 PLAINS EXPLORATION & PRODUCTION CO DE 7.01,9.01 07/12/07 PLAYLOGIC ENTERTAINMENT INC DE 1.01 06/28/07 POINT THERAPEUTICS INC DE 8.01,9.01 07/12/07 POLYONE CORP 1.01,2.01,9.01 07/06/07 POWER TECHNOLOGY INC/CN NV 5.02,9.01 07/10/07 PQ CORP PA 1.01,7.01,9.01 07/12/07 PROGRESSIVE CORP/OH/ OH 2.02,9.01 07/12/07 QUIKSILVER INC DE 1.01 06/20/07 AMEND QUOVADX INC DE 3.03,9.01 07/11/07 RAPTOR NETWORKS TECHNOLOGY INC 4.01,9.01 07/06/07 AMEND Real Paper Displays Inc 5.02 06/27/07 REDDY ICE HOLDINGS INC DE 8.01 07/09/07 Regency Energy Partners LP DE 4.01,5.01,5.02,9.01 06/18/07 AMEND Reis, Inc. MD 5.02 07/12/07 RFMSI Series 2007 SA3 Trust DE 8.01,9.01 07/12/07 SABA SOFTWARE INC DE 2.02,5.02,9.01 07/06/07 SAKS INC TN 8.01,9.01 07/12/07 SEALED AIR CORP/DE DE 8.01,9.01 07/12/07 SEALY CORP DE 2.02,9.01 07/10/07 SENTO CORP UT 5.02,7.01,9.01 07/05/07 SHAW GROUP INC LA 2.02,9.01 07/11/07 Sibling Entertainment Group Holdings, NV 5.02,9.01 06/28/07 SINO-BIOTICS INC. 4.02 07/11/07 AMEND SONICWALL INC CA 2.01,9.01 07/10/07 Sound Revolution Inc. DE 1.01,7.01,9.01 07/10/07 STRATS (SM) TRUST FOR JPMORGAN CHASE 8.01,9.01 07/02/07 STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 06/29/07 Strats(SM) Trust for JPMorgan Chase C 8.01,9.01 07/02/07 STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 07/02/07 Sun American Bancorp DE 2.02 07/12/07 SUNRISE SENIOR LIVING INC DE 5.02 07/10/07 T-3 ENERGY SERVICES INC TX 5.02,9.01 07/10/07 TEAMSTAFF INC NJ 3.01,9.01 07/06/07 Tennessee Valley Authority 8.01 07/11/07 TERRA INDUSTRIES INC MD 8.01,9.01 07/11/07 Terra Nova Financial Group Inc TX 3.03,7.01,9.01 07/12/07 TERRACE VENTURES INC NV 3.02 07/12/07 TEXAS INDUSTRIES INC DE 2.02,9.01 07/12/07 TIER TECHNOLOGIES INC DE 1.01,3.03,9.01 07/12/07 Tix CORP DE 3.02 07/06/07 TORVEC INC NY 8.01 07/12/07 TOWER BANCORP INC PA 8.01,9.01 07/12/07 TOWER BANCORP INC PA 2.02,9.01 07/12/07 TRC COMPANIES INC /DE/ DE 5.02,9.01 07/09/07 Trident Systems International/AAMPRO NV 1.01,3.02,5.01,9.01 07/12/07 AMEND TUESDAY MORNING CORP/DE DE 2.02,9.01 07/12/07 UMB FINANCIAL CORP MO 7.01,9.01 07/11/07 UNITED SECURITY BANCSHARES CA 2.02,9.01 07/12/07 URANIUM RESOURCES INC /DE/ DE 8.01,9.01 07/12/07 Utah Uranium Corp. NV 5.02 06/20/07 VCG HOLDING CORP CO 2.03,9.01 05/31/07 AMEND VCG HOLDING CORP CO 2.01,9.01 02/13/07 AMEND VCG HOLDING CORP CO 2.01,9.01 03/02/07 AMEND VENTANA MEDICAL SYSTEMS INC DE 5.02 07/09/07 VERSADIAL, INC. NV 1.01,2.03,9.01 07/09/07 VERTRUE INC DE 8.01,9.01 07/12/07 Vicor Technologies, Inc. DE 7.01,9.01 07/10/07 VICTORIA INDUSTRIES INC 8.01,9.01 07/12/07 VILLAGE SUPER MARKET INC NJ 7.01,9.01 07/11/07 VISTA GOLD CORP 8.01,9.01 07/11/07 VISUAL SCIENCES, INC. CA 2.02,9.01 07/12/07 Volcano CORP DE 5.02 07/12/07 VULCAN MATERIALS CO NJ 8.01,9.01 07/12/07 Vyta Corp NV 8.01,9.01 07/11/07 Washington Mutual Mortgage Pass-Throu DE 9.01 06/27/07 Washington Mutual Mortgage Pass-Throu DE 9.01 06/27/07 Washington Mutual Mortgage Pass-Throu DE 9.01 06/27/07 Wells Fargo Alternative Loan 2007-PA3 DE 8.01,9.01 06/27/07 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 06/28/07 WELLS REAL ESTATE INVESTMENT TRUST II MD 8.01,9.01 07/12/07 Wellstar International, Inc. NV 1.01,9.01 07/09/07 WEST MARINE INC DE 2.02,9.01 07/12/07 WESTERN ALLIANCE BANCORPORATION 7.01 07/11/07 WESTMORELAND COAL CO DE 1.01,5.02,9.01 07/10/07 WHX CORP DE 5.02 07/06/07 WIRELESS FACILITIES INC DE 1.01,5.02,9.01 07/07/07 WSB Financial Group, Inc. WA 2.02 07/12/07 XA, INC. NV 1.01,3.02,9.01 06/11/07 XATA CORP /MN/ MN 1.01,9.01 07/09/07 XECHEM INTERNATIONAL INC DE 7.01,9.01 07/12/07 XELR8 HOLDINGS, INC. NV 5.02,8.01,9.01 07/12/07 XTOL Energy Inc. 8.01 07/09/07 YELLOWCAKE MINING INC. 1.01,3.02,9.01 06/15/07 YELLOWCAKE MINING INC. 4.01,9.01 06/01/07 AMEND Zandaria Ventures Inc. NV 4.01,9.01 07/10/01