SEC NEWS DIGEST Issue 2006-196 October 11, 2006 ENFORCEMENT PROCEEDINGS IN THE MATTER OF STEVEN MARKOVITZ On October 11, the Commission issued an Order Making Findings and Imposing Disgorgement and Civil Penalties Pursuant to Section 203(f) of the Investment Advisers Act and Section 9(b) of the Investment Company Act (Order) against Steven B. Markovitz (Markovitz). The Order finds that on Oct. 2, 2003, the Commission issued, by consent, an order (October 2003 Order) finding that Markovitz had willfully violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and willfully aided and abetted and caused violations of Rule 22c-1 under the Investment Company Act by late trading mutual funds. The October 2003 Order finds that, from 1999 to 2003, Markovitz, engaged in late trading on behalf of a hedge fund. Late trading violates the federal securities laws related to the price at which mutual fund shares must be bought or sold and defrauds innocent investors in those mutual funds by giving the late trader an advantage not available to other investors. Markovitz violated and aided and abetted violations of the antifraud and mutual fund pricing provisions of the federal securities laws. Among other things, the October 2003 Order barred Markovitz from associating with an investment adviser. Based on the above, the Order requires Markovitz to pay to the United States Treasury (i) $1 in disgorgement and (ii) $400,000 in a civil money penalty. These amounts will be paid into the Fair Fund created pursuant to Section 308(a) of the Sarbanes-Oxley Act of 2002 in the Matter of Millennium Partners, L.P., et al., Administrative Proceeding File No. 3-12116 (Dec. 1, 2005). The Commission also announced today that it filed a settled civil injunctive action in the U.S. District Court for the Southern District of New York against Markovitz for violating the October 2003 Order by associating with an investment adviser. From November 2004 to May 2006, Markovitz associated with an investment adviser and therefore violated (i) the October 2003 Order and (ii) Section 203(f) of the Investment Advisers Act. Without admitting or denying the allegations, Markovitz has consented to the entry of a permanent injunction and to pay $50,000 in disgorgement and a $120,000 civil penalty. [SEC v. Steven B. Markovitz, Civil Action No. 06 CV 8291 (SDNY)] (LR-19862); Administrative Proceeding in the Matter of Steven B. Markovitz (Rels. 33-8748; 34-54586; IA-2561; IC-27513; File No. 3-11292) FINAL JUDGMENTS AS TO DEFENDANTS JAMES LAMAR MCMICHAEL AND NANCY MCMICHAEL On October 10, the Honorable Richard A. Lazzara, U.S. District Judge for the Middle District of Florida, entered Final Judgments as to defendants James Lamar McMichael and Nancy A. McMichael (defendants), restraining and enjoining them from future violations of Sections 5 and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. The Court waived amounts of disgorgement and prejudgment interest against defendant Nancy McMichael based on her sworn representations in her Statement of Financial Condition, and did not impose civil penalties. No disgorgement or penalties were imposed against defendant James Lamar McMichael based upon his criminal conviction, incarceration and a $20 million restitution judgment in a related criminal case. The defendants consented to the entries of the judgments without admitting or denying any of the allegations of the Commission's complaint. The complaint alleged that from October 1998 until May 2003, the defendants orchestrated, directed and controlled the fraudulent and unregistered offer and sale of approximately $33 million of securities issued by PhyMed and Healthcare Preferred to more than 500 investors in at least 23 states. According to the complaint, PhyMed developed and operated pain management clinics and Healthcare Preferred claimed to be a financial services consultant. The complaint further alleged that the defendants made misrepresentations and omissions of material fact to investors through the PhyMed securities offerings concerning the likely investments returns, the use of investor funds, and risks of the investment, among other things. The complaint also alleged that the defendants made misrepresentations and omissions of material fact to investors through the Healthcare Preferred securities offerings concerning Healthcare Preferred's misuse of investor funds by transferring the funds to PhyMed and the McMichaels, among other things. According to the complaint, both PhyMed and Healthcare Preferred are now defunct and investors collectively have lost over $20 million. James Lamar McMichael and his wife, Nancy A. McMichael, were executive officers of PhyMed and Healthcare Preferred. [SEC v. James Lamar McMichael and Nancy A. McMichael, Civil Action No. 8:05-CV-01937-RAL- TGW (M.D. Fla., Tampa Division)] (LR-19863) INVESTMENT COMPANY ACT RELEASES SSGA FUNDS MANAGEMENT, INC., ET AL. A notice has been issued giving interested persons until October 31 to request a hearing on an application filed by SSgA Funds Management, Inc., et al. for an order to permit certain management investment companies and unit investment trusts registered under the Investment Company Act to acquire shares of certain open-end management investment companies and unit investment trusts registered under the Act that operate as exchange traded funds and are outside of the same group of investment companies as the acquiring investment companies. The order also would amend a prior order to permit: (a) dealers to sell shares to purchasers in the secondary market unaccompanied by a prospectus when prospectus delivery is not required by the Securities Act of 1933; (b) under certain circumstances, exchange-traded funds that track certain foreign equity securities indexes to pay redemption proceeds more than seven days after the tender of shares in large aggregations for redemption; and (c) additional exchange-traded funds that track certain foreign equity securities indexes to rely on the prior order. Further, the order would add certain representations and terms concerning the operations of exchange-traded funds that track certain foreign equity securities indexes, replace certain conditions, and add a condition, to the prior order. (Rel. IC-27511 - October 6) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2006-066) and Amendment No.1 thereto submitted to amend NASD Rule 2340 (Customer Account Statements) to allow certain institutional customers to elect not to receive account statements. Publication is expected in the Federal Register during the week of October 9. (Rel. 34-54566) The New York Stock Exchange (a/k/a New York Stock Exchange LLC) filed a proposed rule change (SR-NYSE-2006-30) and Amendments Nos. 1 & 2 thereto relating to the treasury share exception in NYSE Listed Company Manual Section 312.03, Section 312.04 and Section 703.01(A). Publication is expected in the Federal Register during the week of October 9. (Rel. 34-54579) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-ISE-2006-40) submitted by the International Securities Exchange relating to the establishment of the Second Market. Publication is expected in the Federal Register during the week of October 9. (Rel. 34-54580) The Commission approved a proposed rule change (SR-NASDAQ-2006-021) and Amendment No. 1 thereto submitted by The NASDAQ Stock Market to modify the cure period available to an issuer that loses an independent director or audit committee member. Publication is expected in the Federal Register during the week of October 9. (Rel. 34-54583) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-NASDAQ-2006-039) filed by The NASDAQ Stock Market to modify the reporting required when Nasdaq lists the security of an affiliate 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 October 9. (Rel. 34-54581) 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-1 SHG Holding Solutions Inc, 27422 PORTOLA SUITE 200, FOOTHILL RANCH, CA, 92610, 949-282-5200 - 0 ($175,000,000.00) Equity, (File 333-137897 - Oct. 10) (BR. 11) S-4 SKILLED HEALTHCARE GROUP INC, 27442 PORTOLA PARKWAY, SUITE 200, FOOTHILL RANCH, CA, 92610, 9492825800 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-137898 - Oct. 10) (BR. 11B) S-8 CORONADO INDUSTRIES INC, 16929 EAST ENTERPRISE DRIVE, SUITE 202, FOUNTAIN HILLS, AZ, 85268, 6028376810 - 25,000,000 ($300,000.00) Equity, (File 333-137899 - Oct. 10) (BR. 10A) S-3 RENOVIS INC, TWO CORPORATE DR, SOUTH SAN FRANCISCO, CA, 94080, 650-266-1400 - 0 ($150,000,000.00) Other, (File 333-137900 - Oct. 10) (BR. 01B) S-4 EXIDE TECHNOLOGIES, 13000 DEERFIELD PARKWAY, BUILDING 200, ALPHARETTA, GA, 30004, 6785669000 - 0 ($290,000,000.00) Non-Convertible Debt, (File 333-137901 - Oct. 10) (BR. 10B) F-3ASR DEUTSCHE BANK AKTIENGESELLSCHAFT, TAUNUSANLAGE 12 60325, FRANKFURT AM MAIN GERMANY, I8, 00000, 011496991000 - 0 ($0.00) Other, (File 333-137902 - Oct. 10) (BR. 07A) S-8 RED HAT INC, 1801 VARSITY DRIVE, RALEIGH, NC, 27606, 9197543700 - 8,000,000 ($166,640,000.00) Equity, (File 333-137904 - Oct. 10) (BR. 03B) S-4 CAPITOL BANCORP LTD, ONE BUSINESS & TRADE CNTR, 200 WASHINGTON SQ N, LANSING, MI, 48933, 5174876555 - 196,182 ($8,818,381.00) Other, (File 333-137910 - Oct. 10) (BR. 07C) S-8 AMERIANA BANCORP, 2118 BUNDY AVENUE, NEW CASTLE, IN, 47263, 7655292230 - 225,000 ($3,055,500.00) Equity, (File 333-137911 - Oct. 10) (BR. 07A) S-8 MCF CORP, 600 CALIFORNIA STREET, NINTH FLOOR, SAN FRANCISCO, CA, 94108, (415) 248-5640 - 9,340,000 ($5,790,800.00) Equity, (File 333-137913 - Oct. 10) (BR. 06B) S-4 BURLINGTON COAT FACTORY WAREHOUSE CORP, 1830 RTE 130, BURLINGTON, NJ, 08016, 6093877800 - 0 ($305,000,000.00) Non-Convertible Debt, (File 333-137916 - Oct. 10) (BR. 02C) S-4 Burlington Coat Factory Investments Holdings, Inc., C/O BURLINGTON COAT FACTORY, 1830 ROUTE 130 N., BURLINGTON, NJ, 08016, (609) 387-7800 - 0 ($99,309,000.00) Non-Convertible Debt, (File 333-137917 - Oct. 10) (BR. 02) S-8 IRON STAR DEVELOPMENT, INC., 41-40 UNION STREET, SUITE 6J, FLUSHING, NY, 11355, 718-359-2682 - 6,000,000 ($8,400,000.00) Equity, (File 333-137918 - Oct. 10) (BR. 09A) SB-2 GREENLEAF FOREST PRODUCTS, INC., 1611 GATE CREEK DR, PEARLAND, TX, 77581, 888-880-9663 - 1,760,000 ($17,600.00) Equity, (File 333-137920 - Oct. 10) (BR. ) S-8 RAVEN MOON ENTERTAINMENT INC, 2005 TREE FORK LANE, STE 101, LONGWOOD, FL, 32750, 407-774-4462 - 1,000,000,000 ($200,000.00) Equity, (File 333-137921 - Oct. 10) (BR. 05C) SB-2 Golden Star Resource Corp., 850 WEST HASTINGS STREET, SUITE 201, VANCOUVER, A1, V6C 1E1, (604) 689-9661 - 2,000,000 ($200,000.00) Equity, (File 333-137922 - Oct. 10) (BR. ) S-3 NORTHWEST PIPE CO, 12005 N BURGARD, P O BOX 83149, PORTLAND, OR, 97203, 5032851400 - 0 ($58,532,700.00) Equity, (File 333-137923 - Oct. 10) (BR. 06A) S-8 WEBMETHODS INC, 3877 FAIRFAX RIDGE ROAD - SOUTH TOWER, FAIRFAX, VA, 22030, 7034602500 - 0 ($1,257,801.00) Equity, (File 333-137924 - Oct. 10) (BR. 03B) SB-2 FOOTHILLS RESOURCES INC, 4540 CALIFORNIA AVENUE, SUITE 550, BAKERSFIELD, CA, 93309, (832) 567-0766 - 50,974,374 ($110,861,769.00) Equity, (File 333-137925 - Oct. 10) (BR. 04C) S-3 SPRINT NEXTEL CORP, 2001 EDMUND HALLEY DRIVE, RESTON, VA, 20191, 703-433-4000 - 0 ($419,960,000.00) Non-Convertible Debt, (File 333-137926 - Oct. 10) (BR. 11B) S-3 SPRINT NEXTEL CORP, 2001 EDMUND HALLEY DRIVE, RESTON, VA, 20191, 703-433-4000 - 0 ($475,000,000.00) Non-Convertible Debt, (File 333-137927 - Oct. 10) (BR. 11B) S-1 Spansion Inc., 915 DEGUIGNE DRIVE, P.O. BOX 3453, SUNNYVALE, CA, 94088, (408) 962-2500 - 40,250,000 ($616,630,000.00) Equity, (File 333-137928 - Oct. 10) (BR. 10C) S-8 DCT Industrial Trust Inc., 518 SEVENTEENTH STREET, DENVER, CO, 80202, 3038694700 - 8,000,000 ($90,000,000.00) Equity, (File 333-137929 - Oct. 10) (BR. 08A) F-1 RRSat Global Communications Network Ltd., 4 HAGOREN STREET, INDUSTRIAL PARK, OMER, L3, 84965, 972-8-625-7500 - 0 ($56,810,000.00) Equity, (File 333-137930 - Oct. 10) (BR. ) SB-2 SMART MOVE, INC., 5350 ROSLYN STREET, #380, GREENWOOD VILLAGE, CO, 80111, 720-488-0204 - 0 ($38,016,100.00) Other, (File 333-137931 - Oct. 10) (BR. 08C) S-3 YORK WATER CO, 130 E MARKET ST, YORK, PA, 17405, 7178453601 - 690,000 ($13,282,500.00) Equity, (File 333-137932 - Oct. 10) (BR. 02C) S-8 TESSERA TECHNOLOGIES INC, 3099 ORCHARD DRIVE, SAN JOSE, CA, 95134, 4088940700 - 3,356,184 ($109,006,926.08) Equity, (File 333-137933 - Oct. 10) (BR. 10C) S-4 SERVICE CORPORATION INTERNATIONAL, 1929 ALLEN PKWY, P O BOX 130548, HOUSTON, TX, 77019, 7135225141 - 0 ($500,000,000.00) Non-Convertible Debt, (File 333-137934 - Oct. 10) (BR. 11B) SB-2 GOENERGY INC, 6049618878 - 1,569,893 ($78,494.65) Equity, (File 333-137936 - Oct. 10) (BR. 09) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE DATE COMMENT 3D SYSTEMS CORP DE 1.01,9.01 10/06/06 99 CENTS ONLY STORES CA 2.02,9.01 10/05/06 A21 INC TX 1.01,5.02,9.01 09/28/06 ACCEPTANCE INSURANCE COMPANIES INC DE 8.01,9.01 10/05/06 ACCEPTANCE INSURANCE COMPANIES INC DE 8.01 09/13/06 Aces Wired Inc NV 7.01,9.01 10/10/06 Aces Wired Inc NV 1.01,2.01,3.02,4.01,5.01, 10/10/06 5.02,5.03,5.06,9.01 ADC TELECOMMUNICATIONS INC MN 1.01,5.02 10/03/06 ADDVANTAGE TECHNOLOGIES GROUP INC OK 7.01,9.01 10/10/06 Advanced BioPhotonics Inc. DE 8.01 10/09/06 AFFIRMATIVE INSURANCE HOLDINGS INC DE 1.01,5.02,7.01,9.01 10/03/06 AFFORDABLE RESIDENTIAL COMMUNITIES IN MD 1.01,3.02,8.01,9.01 10/06/06 AIR T INC DE 1.01 10/06/06 AIRGAS INC DE 5.02,9.01 10/03/06 ALASKA AIR GROUP INC DE 7.01 10/10/06 ALLERGAN INC DE 1.01,5.02,9.01 10/06/06 ALLIANCE FINANCIAL CORP /NY/ NY 2.01,5.02,7.01,9.01 10/06/06 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 10/10/06 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 10/10/06 ALLION HEALTHCARE INC DE 5.02 10/06/06 Alternative Loan Trust 2006-33CB DE 7.01,9.01 09/29/06 AMCON DISTRIBUTING CO DE 1.01,5.02,7.01 09/26/06 AMEREN CORP MO 8.01,9.01 10/09/06 AMERICAN AIRLINES INC DE 7.01 10/10/06 AMERICAN DAIRY INC UT 9.01 10/03/06 AMEND AMERICAN ELECTRIC POWER CO INC NY 2.02,7.01,9.01 10/10/06 AMERICAN ELECTRIC POWER CO INC NY 7.01,9.01 10/10/06 American Home Mortgage Assets Trust 2 DE 9.01 07/28/06 AMEND American Home Mortgage Assets Trust 2 DE 9.01 08/30/06 American Home Mortgage Investment Tru DE 8.01,9.01 09/25/06 American Home Mortgage Investment Tru DE 8.01,9.01 03/24/06 AMEND American Home Mortgage Investment Tru DE 2.01,9.01 06/30/06 AMETEK INC/ DE 8.01 10/09/06 AMKOR TECHNOLOGY INC DE 8.01,9.01 10/06/06 AMR CORP DE 7.01 10/10/06 AMSURG CORP TN 7.01,9.01 10/10/06 ANGIODYNAMICS INC DE 5.02,9.01 10/09/06 ANTHRACITE CAPITAL INC MD 1.01,2.03 10/10/06 AP PHARMA INC /DE/ DE 5.02 10/09/06 Apple REIT Seven, Inc. VA 2.01,9.01 10/05/06 AQUA AMERICA INC PA 7.01 10/09/06 AQUILA INC DE 1.01,9.01 10/06/06 ARBOR REALTY TRUST INC MD 3.01 10/06/06 ARK RESTAURANTS CORP NY 8.01 10/10/06 ARMSTRONG WORLD INDUSTRIES INC PA 8.01,9.01 10/10/06 ARTISTDIRECT INC DE 7.01,9.01 10/09/06 ASSURED GUARANTY LTD 1.01 10/05/06 ASTRALIS LTD CO 7.01,9.01 10/06/06 ASTRALIS LTD CO 5.02,9.01 10/06/06 ATLAS AMERICA INC DE 7.01 10/04/06 AURELIO RESOURCE CORP NV 5.03 06/16/06 AXIS CAPITAL HOLDINGS LTD 5.02 10/10/06 BANK HOLDINGS NV 8.01 10/04/06 BANK OF GRANITE CORP DE 2.02,9.01 10/10/06 BARR PHARMACEUTICALS INC DE 1.01,9.01 10/05/06 BASIC ENERGY SERVICES INC 3.02 10/05/06 Bear Stearns ALT-A Trust 2006-1 DE 8.01,9.01 01/31/06 Bear Stearns ALT-A Trust 2006-2 DE 8.01,9.01 03/01/06 Bear Stearns ALT-A Trust 2006-4 DE 8.01,9.01 06/30/06 Bear Stearns ARM Trust 2006-1 DE 9.01 02/28/06 AMEND Bear Stearns Asset Backed Securities DE 6.02 10/04/06 Bear Stearns Asset Backed Securities DE 6.02 10/04/06 Bear Stearns Asset Backed Securities DE 6.02 10/04/06 Bear Stearns Asset Backed Securities DE 6.02 10/04/06 Bear Stearns Asset Backed Securities DE 6.02 10/04/06 BED BATH & BEYOND INC NY 8.01 10/09/06 BERRY PETROLEUM CO DE 7.01,9.01 10/10/06 AMEND BIOMET INC IN 2.02 09/20/06 BIOMIMETIC THERAPEUTICS, INC. DE 8.01 10/10/06 BLUE HOLDINGS, INC. NV 1.02 10/05/06 BLUE HOLDINGS, INC. NV 1.02,9.01 10/10/06 BreitBurn Energy Partners L.P. DE 1.01,5.02,9.01 10/03/06 BRIGHAM EXPLORATION CO DE 2.02,7.01,9.01 10/09/06 Brookdale Senior Living Inc. DE 9.01 07/25/06 AMEND BROOKE CORP KS 1.01,7.01,9.01 10/06/06 BROOKFIELD HOMES CORP DE 2.02,9.01 10/05/06 BROWN SHOE CO INC NY 1.01,9.01 10/10/06 BRUSH ENGINEERED MATERIALS INC 7.01,9.01 10/10/06 BSD MEDICAL CORP DE 7.01,9.01 10/10/06 BUCKEYE TECHNOLOGIES INC DE 8.01,9.01 10/09/06 BUFFETS HOLDINGS, INC. DE 2.02,7.01 10/10/06 CABLEVISION SYSTEMS CORP /NY DE 8.01,9.01 10/08/06 CABOT OIL & GAS CORP DE 9.01 09/29/06 AMEND CALIFORNIA PIZZA KITCHEN INC DE 2.02,9.01 10/10/06 CALLISTO PHARMACEUTICALS INC DE 3.01,9.01 10/03/06 CAPITAL SENIOR LIVING CORP DE 4.01,9.01 10/03/06 CAPTEC FRANCHISE CAPITAL PARTNERS LP DE 1.01,9.01 10/06/06 Caribou Coffee Company, Inc. MN 2.02,9.01 10/10/06 Carrington Mortgage Loan Trust, Serie DE 8.01,9.01 10/10/06 CASH SYSTEMS INC DE 1.01,2.03,3.02,7.01,9.01 10/06/06 CATCHER HOLDINGS, INC 1.01,1.02,9.01 10/06/06 CB RICHARD ELLIS GROUP INC DE 5.02 10/04/06 CELSION CORP MD 1.01,5.02,9.01 10/03/06 CENTRAL EUROPEAN MEDIA ENTERPRISES LT 1.01 10/05/06 CERIDIAN CORP /DE/ DE 1.01,5.02,9.01 10/01/06 CHAMPPS ENTERTAINMENT INC DE 1.01,9.01 10/05/06 CHATTEM INC TN 2.02,9.01 10/10/06 CHECKPOINT SYSTEMS INC PA 5.02 10/10/06 CHEESECAKE FACTORY INCORPORATED DE 2.02,8.01,9.01 10/09/06 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 10/10/06 CHROMCRAFT REVINGTON INC DE 2.05,2.06,9.01 10/05/06 CIMBIX CORP WA 3.02,9.01 10/03/06 CKE RESTAURANTS INC DE 7.01,9.01 10/06/06 CLAREMONT TECHNOLOGIES CORP NV 8.01 10/10/06 CLEARONE COMMUNICATIONS INC UT 4.01 10/06/06 CMGI INC DE 2.02,9.01 10/10/06 CNL INCOME PROPERTIES INC MD 2.01 10/06/06 CNS INC /DE/ DE 1.01,8.01,9.01 10/08/06 COACTIVE MARKETING GROUP INC DE 1.01,5.02,9.01 10/09/06 COBRA ELECTRONICS CORP DE 5.02 10/05/06 COMMONWEALTH BIOTECHNOLOGIES INC VA 9.01 10/09/06 Community Bancorp NV 8.01,9.01 10/09/06 CORNELL COMPANIES INC DE 1.01,7.01,9.01 10/10/06 COTHERIX INC 5.02,9.01 10/10/06 COUNTRYWIDE FINANCIAL CORP DE 5.02 10/07/06 CRAFTMADE INTERNATIONAL INC DE 7.01 10/09/06 CRESTED CORP CO 1.01,9.01 10/06/06 CROSS COUNTRY HEALTHCARE INC DE 8.01,9.01 10/06/06 CSS INDUSTRIES INC DE 1.01 10/04/06 CVS CORP DE 2.02,9.01 10/10/06 CYBER DEFENSE SYSTEMS INC FL 1.01,9.01 10/10/06 CYTYC CORP DE 8.01,9.01 10/09/06 D&E COMMUNICATIONS INC PA 7.01,9.01 10/10/06 DARLING INTERNATIONAL INC DE 1.01,9.01 10/03/06 DATATRAK INTERNATIONAL INC OH 9.01 10/10/06 DealerTrack Holdings, Inc. DE 1.01,9.01 10/05/06 DECODE GENETICS INC DE 7.01,8.01 10/05/06 DENDRITE INTERNATIONAL INC NJ 7.01,9.01 10/09/06 Diamond Foods Inc DE 8.01 10/10/06 DIEBOLD INC OH 3.01 10/03/06 DIGITAL IMAGING RESOURCES INC. DE 2.01,5.02,9.01 10/02/06 DIGITAL LIGHTWAVE INC DE 1.01,2.03,9.01 10/04/06 DIGITAL RECORDERS INC NC 7.01,8.01,9.01 10/10/06 DOLLAR TREE STORES INC VA 7.01,9.01 10/05/06 DOVER MOTORSPORTS INC DE 2.06 10/03/06 DRESSER INC DE 1.01,3.03,9.01 10/06/06 DUQUESNE LIGHT HOLDINGS INC PA 1.01,9.01 10/05/06 DYNAMIC LEISURE CORP MN 1.01,5.02,8.01,9.01 10/05/06 DYNEGY INC /IL/ IL 8.01,9.01 10/09/06 EASTMAN CHEMICAL CO DE 5.02,5.03 10/04/06 EATON CORP OH 8.01 10/09/06 EDGEWATER FOODS INTERNATIONAL, INC. 9.01 10/06/06 AMEND ELECTRO RENT CORP CA 2.02,9.01 10/06/06 EMMIS COMMUNICATIONS CORP IN 2.02,9.01 10/10/06 EMMIS COMMUNICATIONS CORP IN 7.01,9.01 10/10/06 ENDEAVOUR INTERNATIONAL CORP NV 1.01,1.02,9.01 10/09/06 ENER1 INC FL 1.01,5.02 10/03/06 ENERGY WEST INC MT 8.01,9.01 10/05/06 ENXNET INC OK 7.01,9.01 10/10/06 EQUIFAX INC GA 7.01,9.01 10/06/06 EZ EM INC DE 2.02,7.01,9.01 10/10/06 FACTORY CARD & PARTY OUTLET CORP DE 2.02,9.01 10/05/06 FEDERAL AGRICULTURAL MORTGAGE CORP 8.01 10/04/06 Federal Home Loan Bank of Atlanta X1 7.01 10/10/06 Federal Home Loan Bank of Chicago X1 2.03 10/04/06 Federal Home Loan Bank of Dallas 2.03 10/04/06 Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/05/06 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/04/06 Federal Home Loan Bank of New York X1 2.03,9.01 10/04/06 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/04/06 Federal Home Loan Bank of San Francis X1 2.03 10/04/06 Federal Home Loan Bank of Seattle 2.03 10/10/06 Federal Home Loan Bank of Topeka 2.03 10/04/06 Fidelity National Information Service 8.01,9.01 10/09/06 FINISAR CORP DE 1.01,2.03,3.02,9.01 10/06/06 FIRST CAPITAL INSTITUTIONAL REAL ESTA FL 8.01 10/10/06 FIRST CAPITAL INSTITUTIONAL REAL ESTA FL 8.01 10/10/06 First Franklin Mortgage Loan Trust 20 DE 8.01,9.01 09/25/06 First Source Data, Inc. NV 5.03 10/03/06 FIRSTBINGO COM 1.01 10/06/06 FOOT LOCKER INC NY 1.01,9.01 10/05/06 FOREST CITY ENTERPRISES INC OH 1.01,9.01 10/03/06 FORLINK SOFTWARE CORP INC NV 1.01,2.01,3.02,9.01 10/03/06 FORTUNE BRANDS INC DE 1.01,1.02,2.03,9.01 10/05/06 FOSTER WHEELER LTD D0 1.01,9.01 10/05/06 Franklin Auto Trust 2006-1 DE 8.01,9.01 10/10/06 FREEDOM FINANCIAL GROUP INC DE 1.01,9.01 09/25/06 FREEDOM FINANCIAL GROUP INC DE 8.01,9.01 10/10/06 Friendlyway CORP NV 5.02,7.01,9.01 10/02/06 FTD Group, Inc. 9.01 07/31/06 AMEND FTI CONSULTING INC MD 1.01,2.03,3.02,7.01,8.01,9.01 10/03/06 FX ENERGY INC NV 7.01,9.01 10/10/06 G REIT INC MD 8.01,9.01 10/06/06 GALAXY NUTRITIONAL FOODS INC DE 1.01,9.01 10/03/06 GENENTECH INC DE 2.02,8.01,9.01 10/10/06 GENESCO INC TN 7.01 10/09/06 GENESIS TECHNOLOGY GROUP INC FL 8.01,9.01 10/10/06 GEVITY HR INC FL 5.02 10/10/06 AMEND GLOBAL GREEN SOLUTIONS INC. WA 3.02 09/28/06 GLOBAL POWER EQUIPMENT GROUP INC/ DE 8.01,9.01 09/28/06 GLOBAL SIGNAL INC DE 1.01,9.01 09/05/06 GLOBALNET CORP NV 1.01,2.03,3.02,9.01 10/05/06 GLOBETEL COMMUNICATIONS CORP DE 7.01,9.01 10/03/06 GMACM Home Equity Loan Trust 2006-HE4 DE 8.01,9.01 10/09/06 GOLDEN GRAIN ENERGY 2.02,7.01,9.01 10/06/06 GOLF TRUST OF AMERICA INC MD 1.01,9.01 10/05/06 GROEN BROTHERS AVIATION INC /UT/ UT 5.02 10/03/06 HARRAHS ENTERTAINMENT INC DE 3.03 10/05/06 HEALTHAXIS INC PA 9.01 05/13/05 AMEND HealthSpring, Inc. DE 7.01,9.01 10/10/06 HELEN OF TROY LTD 2.02,9.01 10/05/06 HELIX BIOMEDIX INC DE 1.01 10/04/06 HERITAGE WORLDWIDE INC 2.02,9.01 10/05/06 HERSHEY CO DE 1.01,8.01,9.01 10/03/06 HIBBETT SPORTING GOODS INC DE 7.01 07/29/06 HONDA AUTO REC 2003-3 OWNER TRUST DE 6.02 10/04/06 HONDA AUTO RECEIVABLES 2004-1 OWNER T DE 6.02 10/04/06 Honda Auto Receivables 2004-2 Owner T 6.02 10/04/06 Honda Auto Receivables 2005-2 Owner T 6.02,8.01,9.01 10/04/06 Honda Auto Receivables 2005-3 Owner T CA 6.02 10/04/06 Honda Auto Receivables 2006-1 Owner T 6.02 10/04/06 HORIZON BANCORPORATION INC FL 2.02,9.01 10/10/06 HORTON D R INC /DE/ DE 2.02,9.01 10/10/06 HRPT PROPERTIES TRUST MD 8.01,9.01 10/05/06 HUDSONS GRILL INTERNATIONAL INC TX 8.01,9.01 10/10/06 HuntMountain Resources WA 5.02,7.01,9.01 06/27/06 ID-CONFIRM, INC. NV 5.03,9.01 10/06/06 IDAHO POWER CO ID 1.01,2.03,9.01 10/10/06 IDT CORP DE 2.02,9.01 10/10/06 IGI INC DE 7.01 10/09/06 IGI INC DE 1.01,2.03,9.01 10/04/06 IMCLONE SYSTEMS INC DE 5.02,9.01 10/09/06 IndyMac MBS Home Equity Mortgage Loan 2.01,8.01,9.01 09/07/06 INFOCUS CORP OR 2.02,8.01,9.01 10/10/06 INFOSPACE INC DE 1.01,2.05,5.02,9.01 10/03/06 INLAND REAL ESTATE CORP MD 8.01,9.01 10/09/06 INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 10/06/06 INSITUFORM TECHNOLOGIES INC DE 7.01,9.01 10/06/06 INTELISYS AVIATION SYSTEMS OF AMERICA DE 1.03,9.01 10/04/06 INTELLIGENT SYSTEMS CORP GA 2.01,9.01 08/01/06 AMEND INTERLINK ELECTRONICS INC DE 1.01,5.03,9.01 10/04/06 International Coal Group, Inc. DE 8.01,9.01 10/06/06 INTERPHARM HOLDINGS INC DE 1.01 10/04/06 Intersearch Group Inc FL 7.01,9.01 10/05/06 INTERVOICE INC TX 2.02,9.01 09/15/06 AMEND INTRUSION INC DE 3.01,9.01 10/10/06 INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 10/09/06 IR BIOSCIENCES HOLDINGS INC DE 1.01,3.02 10/04/06 Irish Mag, Inc. 1.01,9.01 10/09/06 IRONCLAD PERFORMANCE WEAR CORP 8.01,9.01 10/06/06 ISLAND PACIFIC INC DE 1.01,9.01 10/09/06 ITC Holdings Corp. MI 1.01,9.01 10/10/06 IVI COMMUNICATIONS INC NV 5.02,5.03,8.01 10/04/06 J P MORGAN CHASE & CO DE 9.01 10/06/06 JACKSON HEWITT TAX SERVICE INC DE 1.01 10/06/06 KELLOGG CO DE 5.02,9.01 10/10/06 KENEXA CORP 1.01,7.01,9.01 10/06/06 KINDRED HEALTHCARE, INC DE 2.02,7.01,9.01 10/07/06 KINETEK INC DE 8.01 10/10/06 KINETIC CONCEPTS INC /TX/ TX 5.02,9.01 10/10/06 KINGS ROAD ENTERTAINMENT INC DE 8.01 10/01/06 KNIGHT CAPITAL GROUP, INC. DE 5.02 10/06/06 AMEND KNOT INC DE 5.02,9.01 10/03/06 Kraton Polymers LLC DE 1.02,5.02,9.01 10/10/06 LAM RESEARCH CORP DE 1.01,7.01,9.01 10/05/06 Lawson Software, Inc. MN 8.01,9.01 10/03/06 LB-UBS COMMERCIAL MORTGAGE TRUST 2006 1.01 10/04/06 Leadpoint Consolidated Mines CO WA 8.01,9.01 10/10/06 LEAP WIRELESS INTERNATIONAL INC DE 8.01,9.01 10/10/06 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01 09/29/06 LEVI STRAUSS & CO DE 2.02,7.01,9.01 10/10/06 LEXINGTON CORPORATE PROPERTIES TRUST MD 8.01,9.01 10/10/06 LEXINGTON CORPORATE PROPERTIES TRUST MD 8.01,9.01 10/06/06 LIBERTY MEDIA CORP 1.01,2.03,9.01 10/04/06 LIBERTY MEDIA LLC 1.01,2.03,9.01 10/04/06 LIGHTBRIDGE INC DE 2.05,2.06 10/04/06 LIQUIDMETAL TECHNOLOGIES INC 5.02,7.01,8.01 10/08/06 LITTLE SQUAW GOLD MINING CO AK 8.01,9.01 10/04/06 LITTLE SQUAW GOLD MINING CO AK 8.01,9.01 10/05/06 LOUDEYE CORP DE 8.01 10/06/06 M I HOMES INC OH 1.01,2.03,7.01,9.01 10/06/06 MACERICH CO MD 1.01,5.02,9.01 10/05/06 Magyar Bancorp, Inc. DE 7.01,9.01 10/10/06 MANATRON INC MI 7.01,9.01 10/09/06 MARATHON OIL CORP DE 1.01,9.01 10/05/06 MAVERICK TUBE CORP DE 8.01,9.01 10/06/06 MBI Financial, Inc. NV 2.03 10/02/06 MEADE INSTRUMENTS CORP DE 2.02,9.01 10/04/06 MEDICAL NUTRITION USA INC NJ 8.01,9.01 10/10/06 MEDICALCV INC MN 8.01,9.01 10/10/06 MEMORY PHARMACEUTICALS CORP 1.01,3.02,5.02,8.01,9.01 10/05/06 MENDOCINO BREWING CO INC CA 3.02 10/03/06 MERCANTILE BANKSHARES CORP MD 1.01,3.03,8.01,9.01 10/08/06 MERIX CORP OR 2.02,9.01 10/06/06 MERRILL LYNCH & CO INC DE 8.01,9.01 10/04/06 Merrill Lynch Mortgage Investors Trus DE 8.01,9.01 09/27/06 METROMEDIA INTERNATIONAL GROUP INC DE 5.02,8.01,9.01 10/10/06 MGM MIRAGE DE 1.01,2.03,7.01,9.01 10/03/06 MGP INGREDIENTS INC KS 7.01,9.01 10/10/06 MICROSOFT CORP WA 8.01,9.01 08/25/06 MIDDLETON DOLL CO WI 1.01,2.01 10/04/06 MONSTER WORLDWIDE INC DE 5.02,9.01 10/06/06 Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 11/30/04 Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 08/26/05 Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 12/21/05 Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 04/29/05 Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 01/25/05 Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 07/01/05 Morgan Stanley Home Equity Loan Trust DE 8.01,9.01 01/28/05 Morgan Stanley Home Equity Loan Trust DE 8.01,9.01 05/26/05 MORGAN STANLEY SPECTRUM SELECT LP DE 1.01,9.01 10/03/06 Mosaic Nutraceuticals Corp. NV 8.01 10/06/06 MOTHERS WORK INC DE 2.02,9.01 10/05/06 MS STRUCTURED TILES SERIES 2006-1 DE 9.01 07/06/06 MULTI TECH INTERNATIONAL CORP NV 5.02 10/06/06 NATIONAL BEEF PACKING CO LLC DE 7.01,9.01 10/10/06 National Investment Managers Inc. FL 1.01,2.01,3.02,9.01 10/03/06 NAVARRE CORP /MN/ MN 7.01,9.01 10/10/06 NCT GROUP INC DE 1.01,2.03,3.02 10/03/06 Neenah Paper Inc DE 1.01,2.03 10/03/06 NET 1 UEPS TECHNOLOGIES INC 5.02,8.01,9.01 10/10/06 NET PERCEPTIONS INC DE 1.01,2.01,2.03,3.02,5.02,9.01 10/03/06 NETRATINGS INC DE 8.01,9.01 10/10/06 NEW BRUNSWICK SCIENTIFIC CO INC NJ 5.02 10/10/06 NEW RIVER PHARMACEUTICALS INC VA 1.01,9.01 10/06/06 NEW ULM TELECOM INC MN 2.01,8.01,9.01 10/06/06 Newcastle Mortgage Securities Trust 2 DE 6.02 10/04/06 NEWPARK RESOURCES INC DE 2.02,9.01 10/10/06 NEWPOWER HOLDINGS INC DE 8.01,9.01 10/04/06 NEXMED INC NV 3.01 10/04/06 NEXT INC/TN DE 7.01 10/10/06 NORTH VALLEY BANCORP CA 1.02,5.02 10/06/06 Northstar Neuroscience, Inc. WA 7.01,9.01 10/10/06 NORTHSTAR REALTY 1.01,2.03 10/06/06 NOTIFY TECHNOLOGY CORP CA 5.02,5.03 10/05/06 NU SKIN ENTERPRISES INC DE 1.01,2.03,9.01 10/06/06 NUCLEAR SOLUTIONS INC NV 5.02 10/10/06 NUMEREX CORP /PA/ PA 3.02 10/10/06 NYFIX INC DE 8.01,9.01 10/04/06 O2 SECURE WIRELESS, INC. GA 5.02 09/29/06 OCTILLION CORP 5.01,7.01,9.01 10/03/06 ON THE GO HEALTHCARE INC 5.02 10/02/06 ONEOK INC /NEW/ OK 7.01,9.01 10/10/06 ONEOK Partners LP DE 7.01,9.01 10/10/06 OPTIMAL GROUP INC 7.01 10/10/06 Our Glass, Inc. NV 4.01,9.01 08/21/06 AMEND P F CHANGS CHINA BISTRO INC 2.02,9.01 10/04/06 Pacific Ethanol, Inc. DE 1.01,9.01 10/04/06 PAINEWEBBER R&D PARTNERS III L P DE 5.02 09/08/06 PANERA BREAD CO DE 7.01,9.01 10/09/06 PARAMETRIC TECHNOLOGY CORP MA 2.02,9.01 10/09/06 PATRIOT TRANSPORTATION HOLDING INC FL 1.01 10/04/06 PENFORD CORP WA 1.01,2.03,8.01,9.01 10/05/06 PHOTOWORKS INC /WA WA 3.02,9.01 10/06/06 Pike Electric CORP 1.01,5.02,9.01 10/04/06 PLANGRAPHICS INC CO 1.01 09/28/06 PLY GEM HOLDINGS INC DE 7.01,9.01 10/05/06 PNC FINANCIAL SERVICES GROUP INC PA 8.01,9.01 10/04/06 PNC FINANCIAL SERVICES GROUP INC PA 1.01,8.01,9.01 10/08/06 POCAHONTAS BANCORP INC DE 4.01,9.01 10/04/06 POSSIS MEDICAL INC MN 7.01,9.01 10/09/06 POWERWAVE TECHNOLOGIES INC DE 2.02,9.01 10/09/06 PREMIERWEST BANCORP OR 5.02,9.01 10/10/06 PRICELINE COM INC DE 8.01,9.01 10/10/06 PRIME AIR INC NV 5.02 10/06/06 PROCTER & GAMBLE CO OH 7.01 06/30/06 PROCTER & GAMBLE CO OH 7.01 10/10/06 PROTECTIVE LIFE INSURANCE CO TN 9.01 10/05/06 PROTON LABORATORIES INC WA 3.02 08/02/06 PURADYN FILTER TECHNOLOGIES INC DE 1.01,3.02,9.01 10/09/06 PUREDEPTH, INC. CO 7.01,9.01 10/10/06 QUOVADX INC DE 1.01 10/04/06 Rackable Systems, Inc. DE 1.01 10/03/06 AMEND RAMP Series 2006-RZ4 Trust DE 8.01,9.01 10/10/06 RECKSON ASSOCIATES REALTY CORP MD 1.01,3.03,9.01 10/05/06 REEVES TELECOM LTD PARTNERSHIP SC 8.01,9.01 10/10/06 REPUBLIC SERVICES INC DE 1.01,9.01 10/10/06 REYNOLDS & REYNOLDS CO OH 8.01 10/09/06 Rhapsody Acquisition Corp. DE 8.01,9.01 10/10/06 RIGHTNOW TECHNOLOGIES INC MT 1.01,1.02,5.02,7.01,9.01 10/07/06 ROGERS CORP MA 7.01,9.01 10/10/06 ROHM & HAAS CO DE 2.02,8.01 10/09/06 RONCO CORP DE 5.02,9.01 08/09/06 AMEND ROSS STORES INC DE 7.01,9.01 10/09/06 RTO HOLDINGS INC NV 5.03,9.01 10/10/06 RUSS BERRIE & CO INC NJ 5.02,5.03,9.01 10/05/06 RYDER SYSTEM INC FL 1.01,9.01 10/06/06 SAFETY COMPONENTS INTERNATIONAL INC DE 1.01,9.01 10/06/06 SANMINA-SCI CORP DE 8.01 10/10/06 SAST 2006-3 VA 8.01,9.01 10/10/06 SCHIFF NUTRITION INTERNATIONAL, INC. DE 2.02,9.01 10/10/06 SCHWEITZER MAUDUIT INTERNATIONAL INC DE 1.01 10/05/06 SEA CONTAINERS LTD /NY/ 1.01,8.01,9.01 10/03/06 Security Capital Assurance Ltd D0 7.01,9.01 10/10/06 Security With Advanced Technology, In CO 3.01,7.01,9.01 10/06/06 Securus Technologies, Inc. DE 8.01 10/10/06 SEMCO ENERGY INC MI 1.01,5.02,9.01 10/09/06 SEQUA CORP /DE/ DE 1.01,9.01 10/10/06 SERVICE CORPORATION INTERNATIONAL TX 8.01,9.01 10/10/06 Shire plc 8.01,9.01 10/06/06 SKYTERRA COMMUNICATIONS INC DE 8.01,9.01 10/10/06 SKYWEST INC UT 5.02 10/04/06 SMART VIDEO TECHNOLOGIES INC 1.01 10/03/06 SOUTHERN IOWA BIOENERGY LLC 1.01 10/10/06 SPACEDEV INC CO 1.01,9.01 10/10/06 AMEND SPECIALIZED HEALTH PRODUCTS INTERNATI DE 1.02,9.01 10/05/06 SPECTRUM PHARMACEUTICALS INC DE 2.04,9.01 10/03/06 SPHERION CORP DE 1.01,5.02,9.01 10/06/06 SPRINT NEXTEL CORP KS 5.02,9.01 10/08/06 STAGE STORES INC NV 8.01,9.01 10/05/06 STELLAR RESOURCES LTD NV 5.02,9.01 10/05/06 Stone Arcade Acquisition CORP DE 8.01,9.01 10/10/06 AMEND STRATEGY INTERNATIONAL INSURANCE GROU TX 1.01 10/03/06 Structured Asset Mortgage Investments DE 6.02 10/04/06 Structured Asset Mortgage Investments DE 6.02 10/04/06 Structured Asset Mortgage Investments DE 6.02 10/04/06 Structured Asset Mortgage Investments DE 6.02 10/04/06 Structured Asset Mortgage Investments DE 6.02 10/04/06 Structured Asset Mortgage Investments DE 6.02 10/04/06 Structured Asset Mortgage Investments DE 6.02 10/04/06 SUMMA INDUSTRIES/ DE 5.01,9.01 10/10/06 SUN NEW MEDIA INC. MN 5.02,9.01 10/05/06 SUPERVALU INC DE 2.02,9.01 10/10/06 SUPERVALU INC DE 2.02 10/10/06 AMEND SWIFT TRANSPORTATION CO INC NV 2.06,7.01,9.01 10/09/06 SYNTHETIC BLOOD INTERNATIONAL INC NJ 8.01 10/10/06 TELEDYNE TECHNOLOGIES INC DE 5.02,9.01 10/09/06 TELEPHONE & DATA SYSTEMS INC /DE/ DE 8.01,9.01 10/10/06 TELEPHONE & DATA SYSTEMS INC /DE/ DE 2.02,8.01,9.01 10/10/06 TERRA INDUSTRIES INC MD 1.01,9.01 10/06/06 THERAVANCE INC DE 7.01,9.01 10/10/06 TIDELANDS BANCSHARES INC 5.03,9.01 02/14/05 TIME AMERICA INC NV 5.02 10/05/06 TorreyPines Therapeutics, Inc. DE 1.01,2.01,3.03,4.01,5.01, 10/03/06 5.02,5.03,7.01,9.01 TREATY OAK BANCORP INC TX 1.01,9.01 10/03/06 TRIMERIS INC DE 8.01,9.01 10/05/06 True North Energy CORP 1.01,9.01 10/06/06 TVIA INC DE 5.02,9.01 10/04/06 TXU CORP /TX/ TX 8.01 10/03/06 U. S. Premium Beef, LLC 7.01,9.01 10/10/06 UFP TECHNOLOGIES INC DE 8.01,9.01 10/06/06 ULTRALIFE BATTERIES INC DE 7.01,9.01 10/09/06 UNIT CORP DE 1.01 10/10/06 UNITED NATURAL FOODS INC DE 5.02,9.01 10/09/06 UNITED SECURITY BANCSHARES CA 1.01,9.01 10/06/06 UNITED STATES CELLULAR CORP DE 8.01,9.01 10/10/06 UNITED STATES CELLULAR CORP DE 2.02,8.01,9.01 10/10/06 UNIVERSAL AMERICAN FINANCIAL CORP NY 8.01,9.01 10/09/06 UNIVERSAL COMPRESSION HOLDINGS INC DE 2.02,9.01 10/09/06 US ENERGY CORP WY 1.01,9.01 10/06/06 US XPRESS ENTERPRISES INC NV 5.02,9.01 10/09/06 UWHARRIE CAPITAL CORP NC 8.01,9.01 10/06/06 VA SOFTWARE CORP DE 5.02 10/03/06 VAIL RESORTS INC DE 1.01,9.01 10/04/06 Valley Bancorp NV 8.01,9.01 10/06/06 VCAMPUS CORP DE 3.02 09/30/06 VECTREN CORP IN 8.01 10/06/06 VECTREN UTILITY HOLDINGS INC IN 7.01,9.01 10/10/06 VEECO INSTRUMENTS INC DE 2.02,9.01 10/09/06 VENTANA MEDICAL SYSTEMS INC DE 1.02 10/04/06 VENTAS INC DE 8.01,9.01 10/06/06 VIASAT INC CA 1.01,9.01 10/10/06 VIASPACE Inc. NV 8.01,9.01 10/10/06 VIDEO DISPLAY CORP GA 2.02,9.01 10/10/06 VISTAPRINT LTD D0 1.01,2.03,9.01 10/04/06 Visualant, INC NV 1.01,9.01 09/20/06 VOYAGER ONE INC NV 5.03 10/02/06 WHIRLPOOL CORP /DE/ DE 8.01,9.01 10/10/06 Wi-Tron, Inc. DE 7.01 10/03/06 WILD OATS MARKETS INC DE 1.01,5.02,9.01 10/04/06 WILD OATS MARKETS INC DE 1.01,5.02,9.01 10/04/06 AMEND WILDON PRODUCTIONS INC NV 5.02 10/06/06 WILLIAMS SONOMA INC CA 1.01,2.03 10/04/06 Wright Express CORP 1.01,8.01,9.01 10/04/06 WT HOLDINGS CORP DE 1.01,3.02,9.01 10/06/06 XACT AID INC NV 5.02 10/09/06 XETHANOL CORP CO 5.02,9.01 10/01/06 XPONENTIAL INC DE 1.01,9.01 10/04/06 YOUBET COM INC DE 8.01,9.01 10/09/06 ZAP CA 2.02,9.01 10/10/06