SEC NEWS DIGEST Issue 2006-197 October 12, 2006 COMMISSION ANNOUNCEMENTS COMMISSION ANNOUNCES SCHEDULE FOR ACTION REGARDING SECTION 404 OF THE SARBANES-OXLEY ACT OF 2002, FOREIGN PRIVATE ISSUER DEREGISTRATION, INTERNET AVAILABILITY OF PROXY MATERIALS, AND SECURITIES EXCHANGE ACT RULE 14A-8 On October 11, the Commission announced that it will consider, at an open meeting of the Commission to be held on Dec. 13, 2006, recommendations regarding Section 404 of the Sarbanes-Oxley Act of 2002, Foreign Private Issuer Deregistration, Internet Availability of Proxy Materials, and Securities Exchange Act Rule 14a-8. "The Commission's proposed guidance to management is an important next step in making Section 404 of the Sarbanes-Oxley Act cost-effective and risk-based," said Chairman Christopher Cox. "This initiative, as well as foreign private issuer deregistration, will be addressed before year-end. At the same meeting, the Commission will consider a final rule for Internet proxy delivery, as well as proposals for revisions to our rule concerning shareholder proxy initiatives. This will permit discussion of how the Internet can advance the dissemination and exchange of information among shareholders and companies, and thereby improve the entire proxy process." For further information, contact John Nester, Director of Public Affairs, at (202) 551-4120. (Press Rel. 2006-172) COMMISSION MEETINGS Following is a schedule of Commission meetings, which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration. Open meetings will be held in the Auditorium, Room LL-002 at the Commission's headquarters building, 100 F Street, N.E., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting. Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact Rochelle Franks, Office of Human Resources, to make arrangements. Ms. Franks can be reached at TTY number (202) 551-4106. In the event Ms. Franks cannot be reached, you may call the interpreter directly at (202) 551-4158. If you are calling from a non TTY number, please call the Relay Service at 1 866 377 8642. OPEN MEETING - WEDNESDAY, OCTOBER 18, 2006 - 10:00 A.M. The subject matter of the open meeting scheduled for Wednesday, October 18, will be: The Commission will consider whether to adopt amendments to the best- price rule for issuer and third-party tender offers under the Securities Exchange Act of 1934. The amendments would clarify that the best-price rule applies only with respect to the consideration offered and paid for securities tendered in a tender offer and should not apply to consideration offered and paid according to employment compensation, severance or other employee benefit arrangements entered into with security holders of the issuer or subject company. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGS IN THE MATTER OF VERITAS FINANCIAL ADVISORS, INC. An Administrative Law Judge has issued a Corrected Order Making Findings and Imposing Remedial Sanctions and Cease-and-Desist Order by Default Against Rita A. White (Default Order) in the matter of Veritas Financial Advisors, Inc. The Order Instituting Proceedings alleged that Respondent Rita A. White (White), while associated with an investment adviser, willfully violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder by misappropriating $1,300,000 of a client's funds to pay for, among other things, White's own personal expenses. The Default Order finds the allegations to be true and: (1) bars White from association with any investment adviser; (2) orders White to cease and desist from committing or causing any violations or future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; (3) orders White to disgorge $1,300,000, plus prejudgment interest; and (4) orders White to pay a civil penalty of $100,000. (Rels. 34-54587; IA-2562; File No. 3-12355) COMPLAINT FILED AGAINST PINNACLE DEVELOPMENT PARTNERS LLC AND GENE O'NEAL The Commission announced today that it has filed a complaint seeking emergency relief in the U.S. District Court for the Northern District of Georgia against Pinnacle Development Partners LLC (Pinnacle) and Gene A. O'Neal (O'Neal). Pinnacle is a Georgia limited liability company with its principal place of business in Atlanta, Georgia. The complaint alleges that O'Neal founded Pinnacle and serves as its managing member. The Court subsequently entered an order freezing the defendants' assets, appointing a receiver for Pinnacle and investor partnerships controlled by Pinnacle, imposing a preliminary injunction against the defendants enjoining further violations of the registration and antifraud provision of the federal securities laws, and providing other relief. The defendants consented to the order without admitting or denying the allegations in the complaint. The complaint alleges that, from October 2005 through the present, Pinnacle and O'Neal have operated a Ponzi scheme and raised at least $30 million from more than 2,000 investors located in thirty-three states and two foreign countries. Specifically, the complaint alleges that Pinnacle fraudulently offered and sold interests in real estate development partnerships through a nationwide advertising campaign. Pinnacle also sold notes to some investors. According to the complaint, Pinnacle promised investors a 25% return in 45 (or later 60) days and a second 25% return and the return of investor capital after 90 days. Pinnacle represented that the profits would be earned by the respective partnership purchasing foreclosed real estate, making minor repairs and reselling the property within 45 to 60 days. In fact, without disclosure to investors, Pinnacle itself purchased property from third parties and sold it to its investor partnerships at high mark ups. The exorbitant returns promised to investors were generated by the respective partnership selling the property to other investor partnerships controlled by Pinnacle. The cmplaint alleges that the defendants have violated the registration and antifraud provisions of the federal securities laws, Sections 5(a), 5(c), 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. [SEC v. Pinnacle Development Partners LLC and Gene A. O'Neal, Civil Action N1:06-CV-02431-JTC, NDGA] (LR-19864; Press Rel. 2006-173) INVESTMENT COMPANY ACT RELEASES DELAWARE MANAGEMENT BUSINESS TRUST, ET AL. A notice has been issued giving interested persons until Nov. 6, 2006, to request a hearing on an application filed by Delaware Management Business Trust, et al. for an order exempting applicants from Section 15(a) of the Investment Company Act and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grant relief from certain disclosure requirements. (Rel. IC-27512 - October 10) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-Phlx-2006-57) filed by the Philadelphia Stock Exchange relating to appeals from a Hearing Officer or Hearing Panel decision 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 October 9. (Rel. 34-54576) PROPOSED RULE CHANGE A proposed rule change (SR-Amex-2006-57) has been filed by the American Stock Exchange relating to stop orders for exchange traded funds and trust issued receipts. Publication is expected in the Federal Register during the week of October 9. (Rel. 34-54584) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-NASD-2005-101) and granted accelerated approval of Amendment No. 1 thereto submitted by the National Association of Securities Dealers to expand OATS reporting requirements to OTC equity securities. Publication is expected in the Federal Register during the week of October 9. (Rel. 34-54585) 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: . F-10 Cardiome Pharma Corp, 6TH FLOOR, 6190 AGRONOMY RD., VANCOUVER, A1, V6T 1Z3, 1-604-677-6905 - 150,000,000 ($150,000,000.00) Equity, (File 333-137935 - Oct. 11) (BR. 01C) S-4 TRANSDIGM INC, 1301 EAST 9TH STREET, SUITE 3710, CLEVELAND, OH, 44114, 2167062939 - 0 ($275,000,000.00) Debt, (File 333-137937 - Oct. 11) (BR. 05C) S-8 AFFIRMATIVE INSURANCE HOLDINGS INC, 4450 SOJOURN DRIVE, SUITE 500, ADDISON, TX, 75001, 972-728-6300 - 0 ($22,110,000.00) Equity, (File 333-137938 - Oct. 11) (BR. 01B) S-1 CHINA BAK BATTERY INC, BAK INDUSTRIAL PARK, NO. 1 BAK STREET, KUICHONG TOWN, LONGGANG DISTRICT, SHENZHEN PEOPLE, F4, 518119, 86-755-8977-0093 - 13,964,297 ($87,276,856.25) Equity, (File 333-137939 - Oct. 11) (BR. 10A) S-1 MISCOR GROUP, LTD., 1125 SOUTH WALNUT STREET, SOUTH BEND, IN, 46619, 5742348131 - 375,000 ($103,125.00) Equity, (File 333-137940 - Oct. 11) (BR. 11B) S-8 MITCHAM INDUSTRIES INC, 8141 SH 75 SOUTH, PO BOX 1175, HUNTSVILLE, TX, 77342, 9362912277 - 899,864 ($8,962,645.44) Equity, (File 333-137943 - Oct. 11) (BR. 06B) S-8 COST PLUS INC/CA/, 200 FOURTH STREET OAKLAND, SEE ADDRESS LISTED ABOVE, OAKLAND, CA, 94607, 5108937300 - 0 ($14,418,000.00) Equity, (File 333-137944 - Oct. 11) (BR. 02A) F-9 BROOKFIELD ASSET MANAGEMENT INC., BCE PLACE 181 BAY ST, STE 300 PO BOX 762, TORONTO ONTARIO, A6, M5J2T3, 4163639491 - 750,000,000 ($750,000,000.00) Other, (File 333-137945 - Oct. 11) (BR. 06A) S-8 LIBERTY DIVERSIFIED HOLDINGS INC, 2100 ORANGEWOOD AVENUE, SUITE 220, ORANGE, CA, 92868, 949.376-4846 - 5,000,000 ($325,000.00) Equity, (File 333-137946 - Oct. 11) (BR. 08B) S-8 SUPREME REALTY INVESTMENTS, INC., 7380 SAND LAKE ROAD - SUITE 500, ORLANDO, FL, 32819, (407) 352-3690 - 5,000,000 ($1,250,000.00) Equity, (File 333-137947 - Oct. 11) (BR. 08B) SB-2 ALTERNATIVE ENERGY SOURCES INC, 310 WEST 20TH STREET, 2ND FLOOR, KANSAS CITY, MO, 64108-2005, 816-842-3835 - 24,600,000 ($56,088,000.00) Equity, (File 333-137948 - Oct. 11) (BR. 08A) S-1 BROOKE CORP, 205 F STREET 2ND FLOOR, PHILLIPSBURG, KS, 67661, 0 ($22,032,728.00) Equity, (File 333-137949 - Oct. 11) (BR. 01A) SB-2 SYSVIEW TECHNOLOGY, INC., 1772 TECHNOLOGY DRIVE, SAN JOSE, CA, 95110, 408-436-9888 - 1,825,000 ($2,162,500.00) Other, (File 333-137950 - Oct. 11) (BR. 03A) S-8 WEBSTER FINANCIAL CORP, WEBSTER PLAZA, 145 BANK ST, WATERBURY, CT, 06720, 2037532921 - 0 ($14,124,000.00) Equity, (File 333-137951 - Oct. 11) (BR. 07B) S-8 OSIRIS THERAPEUTICS, INC., 2001 ALICEANNA STREET, BALTIMORE, MD, 21231-3043, 410-522-5005 - 0 ($8,980,250.00) Equity, (File 333-137952 - Oct. 11) (BR. 01A) S-8 OSIRIS THERAPEUTICS, INC., 2001 ALICEANNA STREET, BALTIMORE, MD, 21231-3043, 410-522-5005 - 0 ($8,658,155.00) Equity, (File 333-137953 - Oct. 11) (BR. 01A) S-8 AP PHARMA INC /DE/, 123 SAGINAW DRIVE, REDWOOD CITY, CA, 94063, 6503662626 - 550,000 ($649,000.00) Equity, (File 333-137954 - Oct. 11) (BR. 01C) S-8 SIGNALIFE, INC., 4531 SOUTH MAIN STREET, SUITE 301, GREENVILLE, SC, 29601, (864) 233-2300 - 524,471 ($1,027,963.16) Equity, (File 333-137956 - Oct. 11) (BR. 10C) SB-2 Index Oil & Gas Inc., 10000 MEMORIAL DRIVE, SUITE 440, HOUSTON, TX, 77024, (713) 683-0800 - 43,510,952 ($67,441,975.60) Equity, (File 333-137957 - Oct. 11) (BR. 04A) 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 5 G WIRELESS COMMUNICATIONS INC NV 1.01,9.01 10/03/06 Aces Wired Inc NV 7.01,9.01 10/11/06 ACORN FACTOR, INC. DE 1.01 10/03/06 ACROSS AMERICA REAL ESTATE CORP CO 7.01,9.01 10/11/06 ADOBE SYSTEMS INC DE 8.01 10/11/06 AEGIS COMMUNICATIONS GROUP INC DE 1.01,2.01,8.01,9.01 10/04/06 AEP TEXAS CENTRAL CO TX 9.01 10/11/06 AEP TEXAS CENTRAL CO TX 8.01,9.01 10/11/06 AIRNET COMMUNICATIONS CORP DE 8.01 10/02/06 AMEND ALCHEMY ENTERPRISES, LTD. NV 3.02,9.01 10/10/06 ALCOA INC PA 2.02,9.01 10/10/06 AMERICAN FINANCIAL REALTY TRUST 7.01 10/09/06 American Security Resources Corp. NV 5.02 10/11/06 American Unity Investments, Inc. FL 4.01,5.03,9.01 04/02/06 APPLIED DIGITAL SOLUTIONS INC MO 1.01,9.01 10/10/06 ARADIGM CORP CA 1.01 10/04/06 ARC CORPORATE REALTY TRUST INC MD 8.01 10/05/06 ARIAD PHARMACEUTICALS INC DE 8.01,9.01 10/11/06 ASBURY AUTOMOTIVE GROUP INC DE 7.01,9.01 10/11/06 ATLAS MINING CO ID 7.01,9.01 10/10/06 ATWOOD OCEANICS INC TX 7.01,9.01 10/11/06 AUDIOVOX CORP DE 2.02,8.01 10/10/06 AVIS BUDGET GROUP, INC. DE 1.01,9.01 10/05/06 Axion Power International, Inc. DE 3.01 10/10/06 BALLY TECHNOLOGIES, INC. NV 2.02,9.01 10/05/06 BANKRATE INC FL 1.01,7.01,9.01 10/10/06 Bear Stearns ALT-A Trust 2006-3 DE 8.01,9.01 04/28/06 BIOENVISION INC DE 5.02,9.01 10/06/06 BIOVEST INTERNATIONAL INC DE 8.01,9.01 09/29/06 CALIFORNIA STEEL INDUSTRIES INC 2.02,9.01 10/11/06 CAMPBELL FUND TRUST MD 3.02,8.01 10/01/06 CAPITAL ONE MASTER TRUST NY 8.01,9.01 10/10/06 CATALINA MARKETING CORP/DE DE 1.01,9.01 10/04/06 CBOT HOLDINGS INC DE 1.01,9.01 10/06/06 CECO ENVIRONMENTAL CORP DE 1.01,9.01 10/06/06 CENTURY BANCORP INC MA 2.02,9.01 10/10/06 Chaparral Steel CO DE 8.01 10/11/06 CHASE BANK USA, NATIONAL ASSOCIATION 6.02 10/10/06 Chase Mortgage Finance Trust Series 2 DE 8.01,9.01 09/26/06 CHILDRENS PLACE RETAIL STORES INC 4.02,8.01,9.01 10/04/06 China Industrial Waste Management Inc NV 5.02 10/06/06 CITIZENS COMMUNICATIONS CO DE 8.01,9.01 10/11/06 CITIZENS FINANCIAL CORP/DE/ DE 2.02,9.01 10/11/06 CLAREMONT TECHNOLOGIES CORP NV 8.01 10/11/06 CLX INVESTMENT COMPANY, INC. CO 2.01 10/02/06 CMS ENERGY CORP MI 8.01,9.01 10/11/06 CNB FINANCIAL CORP/PA PA 8.01,9.01 10/09/06 CNET NETWORKS INC DE 2.02,5.02,8.01,9.01 10/10/06 COCA COLA ENTERPRISES INC DE 8.01,9.01 10/11/06 Coleman Cable, Inc. DE 1.01,3.02 10/11/06 Community Bancorp NV 8.01,9.01 10/10/06 Connected Media Technologies, Inc. 1.01,3.02,9.01 10/04/06 CONSECO INC DE 1.01,2.03,9.01 10/10/06 CONSOLIDATED GRAPHICS INC /TX/ TX 1.01,2.03,9.01 10/06/06 CONTINENTAL AIRLINES INC /DE/ DE 7.01 10/11/06 CONVERGYS CORP OH 2.02 10/11/06 COUNTRYWIDE FINANCIAL CORP DE 2.02,9.01 10/11/06 CREATIVE ENTERPRISES INTERNATIONAL IN NV 1.01,1.02,2.03,3.02, 10/04/06 5.01,5.02,8.01,9.01 CROWN CASTLE INTERNATIONAL CORP DE 1.01,8.01,9.01 10/05/06 CRYSTAL FINANCE HOLDING CORP DE 8.01,9.01 10/10/06 CUBIC ENERGY INC TX 9.01 10/11/06 CURTISS WRIGHT CORP DE 1.01 10/09/06 CV THERAPEUTICS INC DE 8.01,9.01 10/05/06 DATAWAVE SYSTEMS INC DE 8.01 10/10/06 DENDREON CORP DE 4.02 10/10/06 Diamond Foods Inc DE 8.01 10/11/06 DIODES INC /DEL/ DE 1.01,9.01 10/11/06 DISCOVERY LABORATORIES INC /DE/ DE 8.01,9.01 10/11/06 DOMINION HOMES INC OH 2.02,7.01,9.01 10/10/06 DORCHESTER MINERALS LP DE 2.02,7.01,9.01 09/30/06 DOV PHARMACEUTICAL INC DE 3.01,7.01,8.01,9.01 10/05/06 DOVER SADDLERY INC 5.02 10/10/06 DYNAVAX TECHNOLOGIES CORP DE 8.01,9.01 10/10/06 EDIETS COM INC DE 5.02 10/10/06 ELECTRO SCIENTIFIC INDUSTRIES INC OR 1.01,9.01 10/04/06 ENCYSIVE PHARMACEUTICALS INC DE 8.01 10/11/06 ENDEAVOUR INTERNATIONAL CORP NV 8.01,9.01 10/11/06 ENERGIZER HOLDINGS INC MO 1.01 10/09/06 EURASIA ENERGY LTD NV 8.01 10/10/06 EVERGREEN HOLDINGS INC OR 2.02,9.01 10/10/06 EXPRESS-1 EXPEDITED SOLUTIONS INC DE 5.02,9.01 10/09/06 FASHION HOUSE HOLDINGS INC 7.01,9.01 10/11/06 FASTENAL CO MN 2.02,9.01 10/11/06 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/04/06 FEDERAL MOGUL CORP MI 8.01,9.01 10/11/06 First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 09/29/06 First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 09/29/06 First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 09/29/06 First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 09/29/06 FIRST MID ILLINOIS BANCSHARES INC DE 5.02 10/11/06 FIRST NATIONAL BANCSHARES INC /SC/ SC 8.01,9.01 10/10/06 FIRST NATIONAL COMMUNITY BANCORP INC PA 2.02,9.01 09/30/06 FIRST STATE BANCORPORATION NM 8.01,9.01 10/05/06 FIVE STAR QUALITY CARE INC 8.01,9.01 10/11/06 FLEXTRONICS INTERNATIONAL LTD. U0 1.01,3.03,9.01 10/04/06 FLORIDA ROCK INDUSTRIES INC FL 1.01 10/04/06 FOUNTAIN POWERBOAT INDUSTRIES INC 1.01,5.02 07/12/06 FREDERICK COUNTY BANCORP INC MD 2.02,7.01,9.01 10/11/06 GANNETT CO INC /DE/ DE 2.02,9.01 09/24/06 GENERAL MARITIME CORP/ 7.01 10/11/06 GLOBAL AXCESS CORP NV 1.01,5.02,9.01 10/11/06 Global Pharmatech, Inc. DE 1.01,5.02,9.01 10/09/06 GMH Communities Trust MD 2.01,9.01 10/05/06 GOLDEN EAGLE INTERNATIONAL INC CO 8.01 10/10/06 GOLDEN HEALTH HOLDINGS, INC. 2.01,5.01,5.02 07/13/06 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 10/06/06 GREAT SOUTHERN BANCORP INC MD 8.01,9.01 10/11/06 GROUP 1 AUTOMOTIVE INC DE 8.01,9.01 10/10/06 GSR 2006-AR2 DE 8.01,9.01 10/10/06 AMEND GYMBOREE CORP DE 1.01,9.01 10/06/06 Halo Technology Holdings, Inc. NV 4.02 10/10/06 HAMPTON ROADS BANKSHARES INC VA 2.02,8.01,9.01 10/11/06 HAROLDS STORES INC OK 1.01,5.02,9.01 10/06/06 HARRIS CORP /DE/ DE 2.06 10/10/06 HARTFORD FINANCIAL SERVICES GROUP INC DE 9.01 10/10/06 HEALTH DISCOVERY CORP TX 8.01 10/04/06 HOME FEDERAL BANCORP, INC. OF LOUISIA 7.01,9.01 10/11/06 HOST AMERICA CORP DE 3.02 10/11/06 HOST HOTELS & RESORTS L.P. DE 2.02,9.01 10/11/06 HOST HOTELS & RESORTS, INC. MD 2.02,9.01 10/11/06 HOUSTON AMERICAN ENERGY CORP DE 8.01 10/11/06 HRPT PROPERTIES TRUST MD 5.03,9.01 10/10/06 HYPERCOM CORP DE 5.02 10/10/06 ICO INC TX 8.01,9.01 10/10/06 IN VERITAS MEDICAL DIAGNOSTICS, INC. CO 1.01,3.02 10/09/06 Index Oil & Gas Inc. NV 1.01,3.02,9.01 10/04/06 Industrial Enterprises of America, In NV 2.02,4.02,7.01 10/06/06 IndyMac Residential Mortgage-Backed T 2.01,9.01 09/21/06 INFOCROSSING INC DE 7.01 10/11/06 ING LIFE INSURANCE & ANNUITY CO CT 1.01 10/10/06 ING USA ANNUITY & LIFE INSURANCE CO IA 8.01 10/10/06 INNOVA PURE WATER INC /FL/ FL 4.02,8.01 10/05/06 INTEGRATED SECURITY SYSTEMS INC DE 1.01,2.03,3.02,9.01 10/06/06 INTERNATIONAL FLAVORS & FRAGRANCES IN NY 5.03,7.01 10/10/06 INTERSTATE BAKERIES CORP/DE/ DE 7.01,9.01 10/10/06 INVISION CAPITAL INC NV 7.01,9.01 10/09/06 JACO ELECTRONICS INC NY 5.02 10/11/06 JACUZZI BRANDS INC DE 1.01,8.01,9.01 10/11/06 LAM RESEARCH CORP DE 2.02,9.01 10/11/06 LASALLE HOTEL PROPERTIES MD 7.01 10/11/06 LEFT BEHIND GAMES, INC. WA 3.02 10/10/06 AMEND LEGG MASON INC MD 2.02,9.01 10/10/06 LGA, INC 2.01 10/11/06 LGL GROUP INC IN 1.01,9.01 10/04/06 Lid Hair Studios International, Inc. NV 4.01,9.01 10/06/06 LIFEPOINT HOSPITALS, INC. 8.01,9.01 10/10/06 LIFEWAY FOODS INC IL 7.01 10/09/06 LINDSAY MANUFACTURING CO DE 2.02,9.01 10/11/06 LITHIA MOTORS INC OR 2.02,7.01,9.01 10/11/06 Long Beach Mortgage Loan Trust 2006-9 DE 6.01 10/10/06 LOUDEYE CORP DE 8.01 10/11/06 M POWER ENTERTAINMENT INC. DE 4.01 10/04/06 M&T BANK CORP NY 2.02,9.01 10/11/06 MAGELLAN PETROLEUM CORP /DE/ DE 1.01,9.01 10/05/06 MAINE & MARITIMES CORP ME 8.01,9.01 10/11/06 MANATRON INC MI 1.01 10/05/06 MANCHESTER INC 1.01,2.01,2.03,5.02,5.06,9.01 10/04/06 MANTECH INTERNATIONAL CORP DE 5.02,9.01 10/04/06 MARINE GROWTH VENTURES INC 1.01,9.01 10/06/06 MARINER ENERGY INC DE 8.01,9.01 10/10/06 MARVELL TECHNOLOGY GROUP LTD D0 1.01 10/05/06 MATERIAL SCIENCES CORP DE 2.02,9.01 10/10/06 MATHSTAR INC MN 8.01,9.01 10/11/06 MAVERICK TUBE CORP DE 8.01,9.01 10/05/06 McAfee, Inc. DE 5.02,8.01,9.01 10/10/06 MEDALLION FINANCIAL CORP DE 1.01,9.01 10/10/06 MEDIA GENERAL INC VA 2.02,9.01 10/11/06 MEDIACOM BROADBAND LLC DE 1.01,2.03,9.01 10/11/06 MEDIACOM COMMUNICATIONS CORP DE 8.01 10/11/06 MEDIS TECHNOLOGIES LTD DE 8.01,9.01 10/11/06 MERCANTILE BANK CORP MI 2.02,9.01 10/11/06 Merrill Lynch Mortgage Investors Trus DE 8.01,9.01 09/26/06 MESA AIR GROUP INC NV 5.02,9.01 10/10/06 MICHAELS STORES INC DE 7.01,9.01 10/10/06 MICHAELS STORES INC DE 8.01,9.01 10/11/06 MICROTUNE INC DE 1.01,9.01 10/05/06 MIDLAND CO OH 2.02 10/11/06 MIDNIGHT HOLDINGS GROUP INC DE 1.01,2.03,3.02,9.01 10/04/06 MIDWEST AIR GROUP INC WI 8.01,9.01 10/11/06 MILLS CORP DE 1.01,2.01,9.01 10/04/06 MINERALS TECHNOLOGIES INC DE 1.01,2.03,9.01 10/05/06 MIRANT CORP DE 1.01 10/05/06 MMC ENERGY, INC. NV 1.01 10/05/06 MONRO MUFFLER BRAKE INC NY 5.02,8.01 10/09/06 MONSANTO CO /NEW/ DE 2.02,9.01 10/11/06 Morgan Stanley ABS Capital I Inc. IXI DE 8.01,9.01 09/26/06 Morgan Stanley ABS Capital I Inc. IXI DE 8.01,9.01 12/27/05 Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 07/21/05 Morgan Stanley Capital I Inc. Trust 2 DE 8.01,9.01 02/28/06 MULTI FINELINE ELECTRONIX INC 8.01,9.01 10/11/06 NEENAH FOUNDRY CO WI 5.02,8.01,9.01 10/06/06 Neenah Paper Inc DE 2.01,9.01 10/11/06 NEKTAR THERAPEUTICS DE 1.01 10/05/06 NITROMED INC DE 8.01,9.01 10/11/06 NORTH FORK BANCORPORATION INC DE 5.04,9.01 10/10/06 NOVASTAR FINANCIAL INC MD 7.01,9.01 10/11/06 NOVASTAR FINANCIAL INC MD 7.01,9.01 10/11/06 NRG ENERGY, INC. DE 7.01,9.01 10/11/06 Nuance Communications, Inc. DE 7.01,9.01 10/10/06 OCCAM NETWORKS INC/DE DE 2.02,9.01 10/10/06 OMNICOM GROUP INC NY 1.01,9.01 10/06/06 Omrix Biopharmaceuticals, Inc. DE 1.01,9.01 10/08/06 ONE LIBERTY PROPERTIES INC MD 2.01,9.01 10/11/06 ONYX PHARMACEUTICALS INC DE 8.01,9.01 10/11/06 OPEN TEXT CORP A6 2.02,2.05,9.01 10/05/06 OPENLIMIT INC FL 4.01,9.01 10/06/06 OSI PHARMACEUTICALS INC DE 8.01 10/10/06 OTTER TAIL CORP MN 1.01,9.01 10/06/06 OWENS & MINOR INC/VA/ VA 2.02,9.01 10/10/06 PACKAGING CORP OF AMERICA 1.01,9.01 10/06/06 PALATIN TECHNOLOGIES INC DE 1.01 10/06/06 PALM HARBOR HOMES INC /FL/ FL 2.02,9.01 10/11/06 PARAMOUNT GOLD MINING CORP. DE 8.01,9.01 09/26/06 PARLUX FRAGRANCES INC DE 8.01,9.01 10/09/06 PATRIOT NATIONAL BANCORP INC CT 8.01,9.01 10/10/06 PAULSON CAPITAL CORP OR 2.02,9.01 10/11/06 PEABODY ENERGY CORP DE 1.01,8.01,9.01 10/05/06 PENN OCTANE CORP DE 1.01,5.02,9.01 10/04/06 PENNICHUCK CORP NH 5.01 10/10/06 PEOPLES BANCORP INC/MD MD 1.01,9.01 09/12/06 PHILLIPS VAN HEUSEN CORP /DE/ DE 9.01 10/11/06 PLATINUM ENERGY RESOURCES INC DE 1.01,1.02,9.01 10/04/06 PLY GEM HOLDINGS INC DE 1.01,1.02 10/11/06 PREMIER ENTERTAINMENT BILOXI LLC DE 8.01 10/09/06 PREMIER EXHIBITIONS, INC. 2.02,9.01 10/11/06 PREMIER FINANCIAL BANCORP INC KY 8.01,9.01 10/11/06 PRIME COMPANIES INC DE 8.01 10/11/06 PROGRESSIVE CORP/OH/ OH 2.02,9.01 10/11/06 PROTECTIVE LIFE CORP DE 5.02 10/11/06 PROXYMED INC /FT LAUDERDALE/ FL 5.02 10/05/06 PRUDENTIAL FINANCIAL INC NJ 1.01,9.01 10/10/06 PSB GROUP INC MI 2.02,9.01 10/06/06 PSYCHIATRIC SOLUTIONS INC DE 1.02,9.01 10/09/06 PUBLIC STORAGE INC /CA CA 7.01,9.01 08/22/06 AMEND PURE BIOSCIENCE CA 5.02,9.01 10/05/06 QMED INC DE 2.02,9.01 10/10/06 QUEST RESOURCE CORP NV 7.01 10/06/06 Quintana Maritime LTD 1T 2.01,9.01 10/09/06 RAMP Series 2006-RZ4 Trust DE 8.01,9.01 10/11/06 AMEND REALOGY CORP DE 2.02,7.01,8.01,9.01 10/11/06 RELIASTAR LIFE INSURANCE CO OF NEW YO NY 8.01 10/10/06 RENHUANG PHARMACEUTICALS INC NV 2.02,9.01 10/10/06 RESOLVE STAFFING INC NV 1.01,2.01,2.03,3.02,8.01,9.01 10/01/06 Restore Medical, Inc. DE 2.02,9.01 10/11/06 REXNORD CORP DE 1.01,7.01,9.01 10/11/06 RIO VISTA ENERGY PARTNERS LP DE 5.02,5.03,8.01,9.01 10/04/06 RUBY TUESDAY INC GA 2.02,9.01 09/05/06 SAMDREW IV INC 4.01,9.01 10/11/06 SAMDREW IX INC DE 4.01,9.01 10/10/06 SAMDREW V INC 4.01,9.01 10/10/06 SAMDREW VI INC 4.01,9.01 10/10/06 SAMDREW VII INC DE 4.01,9.01 10/10/06 SAMDREW VIII INC DE 4.01,9.01 10/10/06 SANDY SPRING BANCORP INC MD 1.01,8.01,9.01 10/10/06 SANTANDER BANCORP 8.01 10/05/06 SCIENTIFIC GAMES CORP DE 1.01 10/05/06 SEAGATE TECHNOLOGY E9 5.02 10/04/06 SEALY CORP DE 2.02,9.01 10/11/06 SEAWRIGHT HOLDINGS INC DE 1.01,2.03 10/05/06 SECURECARE TECHNOLOGIES INC NV 1.02 10/06/06 SENOMYX INC DE 8.01,9.01 10/06/06 SENTO CORP UT 1.01,9.01 10/09/06 SEVERN BANCORP INC MD 2.02,9.01 10/11/06 SHAW GROUP INC LA 8.01,9.01 10/10/06 SHOE CARNIVAL INC IN 5.02 10/11/06 SIGA TECHNOLOGIES INC DE 8.01 10/10/06 SIGMA ALDRICH CORP DE 2.01,7.01,9.01 10/09/06 SKY PETROLEUM, INC. NV 7.01,9.01 10/11/06 SKY PETROLEUM, INC. NV 9.01 09/29/06 AMEND SKYLYNX COMMUNICATIONS INC DE 5.02 09/30/06 SKYTERRA COMMUNICATIONS INC DE 1.01,8.01 10/06/06 Smarts Oil & Gas, Inc. NV 8.01,9.01 10/11/06 SONICBLUE INC DE 8.01,9.01 08/31/06 SONOCO PRODUCTS CO SC 2.05 10/10/06 SOUTHRIDGE ENTERPRISES INC. NV 1.01,2.01,9.01 10/04/06 SOUTHWESTERN PUBLIC SERVICE CO NM 1.02 10/06/06 SPARTAN STORES INC MI 2.02,9.01 10/11/06 Specialty Underwriting & Residential DE 8.01,9.01 09/26/06 Specialty Underwriting & Residential DE 8.01,9.01 09/27/06 SPESCOM SOFTWARE INC CA 1.01,9.01 10/02/06 STANLEY WORKS CT 2.05 05/11/06 AMEND STRATAGENE CORP DE 1.01 10/06/06 STRATS (SM) TRUST FOR JPMORGAN CHASE 8.01,9.01 10/02/06 STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 10/02/06 SUNWIN INTERNATIONAL NEUTRACEUTICALS, 8.01 01/11/06 SUPERIOR ESSEX INC DE 5.02,9.01 10/06/06 SYNTHETIC FIXED INCOME SECURITIES INC 8.01,9.01 10/11/06 TENBY PHARMA INC DE 4.01,9.01 10/06/06 TERRACE VENTURES INC NV 1.01,5.02,9.01 10/05/06 TEXAS REGIONAL BANCSHARES INC TX 1.01,9.01 10/10/06 TEXOLA ENERGY CORP NV 7.01,9.01 10/11/06 Thorium Power, Ltd NV 2.01,5.03,9.01 10/06/06 TIME WARNER TELECOM INC DE 1.01,1.02,2.03,9.01 10/06/06 TRANSAX INTERNATIONAL LTD CO 2.02,9.01 10/11/06 TRIMERIS INC DE 8.01 10/06/06 TRINITY CAPITAL CORP 2.02,9.01 10/11/06 TRIUMPH GROUP INC / DE 1.02 10/04/06 U. S. Premium Beef, LLC 7.01,9.01 10/10/06 UMB FINANCIAL CORP MO 7.01,9.01 10/11/06 UNISOURCE ENERGY CORP AZ 8.01 10/06/06 UNITED SECURITY BANCSHARES CA 2.02,9.01 10/11/06 UNITIL CORP NH 8.01,9.01 10/06/06 UROLOGIX INC MN 1.01 10/09/06 UROLOGIX INC MN 2.02,9.01 10/11/06 Veri-Tek International, Corp. MI 2.02,9.01 10/11/06 VIASPACE Inc. NV 8.01,9.01 10/11/06 Vistula Communications Services, Inc. DE 1.01,2.01,3.02,7.01,9.01 10/11/06 VITAL SIGNS INC NJ 5.02 10/06/06 VOUGHT AIRCRAFT INDUSTRIES INC 7.01,9.01 10/11/06 WaMu Mortgage Pass-Through Certificat DE 9.01 09/26/06 WATSON PHARMACEUTICALS INC NV 5.02,9.01 10/10/06 Web2 Corp DE 2.01,9.01 10/10/06 WELLSTONE FILTERS INC /DE/ DE 5.02 10/11/06 Western Refining, Inc. DE 8.01,9.01 10/10/06 WGNB CORP GA 2.02,9.01 10/09/06 WILLIAM LYON HOMES DE 2.02,9.01 10/10/06 WINMARK CORP MN 5.02,9.01 10/04/06 WOLVERINE WORLD WIDE INC /DE/ MI 8.01 10/09/06 XCEL ENERGY INC MN 1.02 10/06/06 XETA TECHNOLOGIES INC OK 8.01,9.01 10/09/06 YORK WATER CO PA 7.01,9.01 10/11/06