SEC NEWS DIGEST Issue 2006-202 October 19, 2006 COMMISSION ANNOUNCEMENTS SEC AMENDS TENDER OFFER BEST-PRICE RULES TO BENEFIT INVESTORS On October 18, the U.S. Securities and Exchange Commission gave unanimous final approval to rules changes to its "best price" rule concerning tender offers. The "best price" rule requires that all shareholders are paid the same price in a tender offer. The changes, which were made necessary by conflicting court interpretations, make clear that compensation for services that might be paid to a shareholder doesn't count as part of the price paid for his shares. "Confusion over whether compensation, severance, and other employee benefits are counted for the purpose of the best-price rule has injured investors by discriminating against tender offers," SEC Chairman Christopher Cox said. "Our regulations should be absolutely neutral as between tender offers, mergers, and other forms of business combination so that market considerations can determine which structure creates more value for shareholders." "With the help of important public comments, the Commission has crafted constructive changes to the proposed amendments. I believe that the revisions adopted today will further the Commission's goal of providing fair and equal treatment for all security holders in tender offers while clarifying that the best-price rule applies only with respect to the consideration offered and paid for securities tendered," said John W. White, Director of the SEC Division of Corporation Finance. As amended, the tender offer best-price rules clarify that the consideration paid to any security holder for securities tendered in a tender offer is the highest consideration paid to any other security holder for securities tendered in the offer. To insure that investors are protected and the fundamental purpose of the rule is upheld, it also exempts compensatory arrangements from the rule so long as specific substantive standards are satisfied, and includes a safe harbor that hinges upon approval of independent members of the board of directors. For further information, please contact John Nester, Director of Public Affairs, at (202) 551-4120. (Press Rel. 2006-177) GEORGE CURTIS NAMED REGIONAL DIRECTOR OF THE SEC'S CENTRAL REGIONAL OFFICE Securities and Exchange Commission Chairman Christopher Cox today announced the appointment of George Curtis as the Regional Director of the Commission's Central Regional Office (CRO). As Regional Director, Curtis will oversee the office's enforcement and examination functions in Colorado, North Dakota, South Dakota, Utah, Wyoming and New Mexico. He is expected to assume his post in mid-November. Curtis succeeds Randall Fons, the former Regional Director, who left the Commission to enter private practice. Chairman Cox said, "George Curtis is joining the Commission staff at a critical time. His legal and management experience in the private sector will bring an important perspective to our efforts to deal effectively with the current challenges facing the Commission. On behalf of the Commission, I welcome him to our team and I look forward to working with him." SEC Director of Enforcement, Linda Thomsen stated, "I am very pleased that George Curtis has agreed to serve as Director of our Central Regional Office. He has a unique blend of knowledge of the federal securities laws and exposure to the Commission as a result of his distinguished career in the private practice of law. The Commission and the Central Regional Office will benefit from his considerable legal skills, intelligence, and experience." Lori Richards, Director of the SEC's Office of Compliance Inspections and Examinations, added, "George's experience in the securities bar and his familiarity with the issues that are central to the work of the SEC will be enormously valuable in serving investors, and in the Central Region's oversight of securities firms in the region." Mr. Curtis said, "I am honored to join the Commission during this challenging time and look forward to working closely with the Commission and its staff. I have dealt with the Commission and its staff on many occasions and have the highest regard for the work they do and the talent they bring to each engagement." Curtis has been a partner in the Denver office of Gibson Dunn & Crutcher since 1984, having initially joined the firm in 1976. While he has spent the majority of his tenure with the firm in Denver, he also worked in the firm's Los Angeles and San Francisco offices. Curtis has extensive SEC enforcement defense experience as well as exposure to other complex government and regulatory civil litigation involving the Department of Justice, the Public Company Accounting Oversight Board and various self-regulatory organizations. He has represented clients at both state and federal levels, including before several Appellate Circuit Courts. Curtis has been active in the national management of the firm having served as a member of Gibson Dunn & Crutcher's Executive Committee and Advisory Committee. He also has been the Partner-in-Charge of the firm's Denver office on two separate occasions. Curtis earned his B.A. with honors in 1970 from Fordham University and a M.A. and Ph.D. in American Legal History from the University of Virginia in 1971 and 1973, respectively. He received his J.D. from the University of Chicago. (Press Rel. 2006-178) COMMISSION MEETINGS CLOSED MEETING - THURSDAY, OCTOBER 26, 2006 - 10:00 A.M. The subject matter of the closed meeting scheduled for Thursday, October 26, will be: Formal orders of investigation; Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings of an enforcement nature; Other matters relating to enforcement proceeding; Collection matter; Regulatory matter regarding a financial institution; and Adjudicatory matters. 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 SEC AND U.S. ATTORNEY'S OFFICE FILE PARALLEL ACTIONS TO STOP A SCHEME TO DEFRAUD CHICAGO AREA SENIORS On October 18, the SEC filed a civil injunctive action in the U.S. District Court for the Northern District of Illinois against Gari Aldridge, Tracey Aldridge, Century Financial Services, and James Casmay, an unregistered broker. The Aldridges recruited Casmay and another individual to sell purported alternative certificates of deposit. From at least July 2002 through June 2004, these defendants sold $1.7 million worth of these alternative CDs to 16 investors. These investors were primarily senior citizens and individuals who spoke limited English. The defendants lured these investors into their scheme by promising a guaranteed 6% annual return and by promising that the alternative CDs were FDIC insured. In reality, the Aldridges used new investor money to pay the purported guaranteed returns to other investors, to pay their personal expenses, to attempt to run an undisclosed high-risk mortgage business, and to pay undisclosed commissions to Casmay. In addition to seeking permanent injunctions against the defendants, the SEC is seeking disgorgement from all of the defendants and civil penalties from the Aldridges and Casmay. The SEC's Midwest Regional Office and the United State's Attorney's Office for the Northern District of Illinois conducted parallel investigations of this matter and, simultaneous with the Commission's announcement of the above action, the United States Attorney's Office announced the filing of six counts of wire fraud charges against the Aldridges and Casmay. [SEC v. Gari Aldridge, et al., Civil Action No. 06-CV-5645, USDC ND Illinois] (LR-19877) INVESTMENT COMPANY ACT RELEASES NORTHWESTERN MUTUAL SERIES FUND, INC. AND MASON STREET ADVISORS, LLC An order has been issued on an application filed by Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC for an exemption from Section 15(a) of the Investment Company Act and Rule 18f-2 under the Act. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-27520 - October 17) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The Fixed Income Clearing Corporation filed a proposed rule change (SR-FICC-2006-11) to add new rules to FICC's Mortgage Backed Securities Division Rulebook that would establish new reporting processes to support the bilateral comparison of pool details associated with specified pool trades. Publication is expected in the Federal Register during the week of October 23. (Rel.. 34-54609) The New York Stock Exchange filed a proposed rule change (SR-NYSE- 2006-37) and Amendment Nos. 1 and 2 thereto relating to Exchange Rule 86 (Automated Bond SystemŽ). Publication is expected in the Federal Register during the week of October 23. (Rel.. 34-54615) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-NYSE-2006-84) filed by the New York Stock Exchange relating to the pilot to put into operation certain rule changes pending before the Securities and Exchange Commission to coincide with the Exchange's implementation of Phase 3 of the NYSE HYBRID MARKETSM has become effective under Section 19(b)(3)(A)(ii) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 23. (Rel.. 34-54610) A proposed rule change (SR-NYSE-2006-86) filed by the New York Stock Exchange relating to Rule 13 (Definitions of Orders) to clarify that an Immediate or Cancel order must be designated "Regulation NMS- compliant Immediate or Cancel" in order to be so executed, and to modify the definition of an "At the Opening" or "At the Opening Only" order to ensure that it complies with the Securities and Exchange Commission's Regulation NMS, has become effective under Section 19(b)(3)(A)(ii) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 23. (Rel.. 34-54611) A proposed rule change (SR-NASDAQ-2006-043) filed by The NASDAQ Stock Market to modify the operations of its recently-approved "Single Book" execution system 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 23. (Rel.. 34-54613) A proposed rule change (SR-NASD-2006-117) filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., to enhance the Brut Directed Cross Order 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 23. (Rel.. 34-54614) The New York Stock Exchange (SR-NYSE-2006-77), and the National Association of Securities Dealers (SR-NASD-2006-112) filed proposed rule changes to NYSE Rule 472 and NASD Rule 2711. The proposed rule changes have 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 23. (Rel.. 34-54616) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-MSRB-2006-07) filed by the Municipal Securities Rulemaking Board regarding MSRB Rule G-14 Real-Time Transaction Reporting System procedures relating to "list offering price" and "takedown" transactions. Publication is expected in the Federal Register during the week of October 23. (Rel.. 34- 54612) 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: . N-2 GSC Investment LLC, 12 EAST 49TH STREET, SUITE 3200, NEW YORK, NY, 10017, 212 884 6200 - 0 ($150,000,000.00) Equity, (File 333-138051 - Oct. 18) (BR. 16) S-1 TIME WARNER CABLE INC., 290 HARBOR DRIVE, STAMFORD, CT, 06902-7441, (203) 328-0600 - 0 ($100,000,000.00) Equity, (File 333-138052 - Oct. 18) (BR. 11) S-8 APPLIED INDUSTRIAL TECHNOLOGIES INC, ONE APPLIED PLAZA, CLEVELAND, OH, 44115-5056, 216-426-4753 - 5,000,000 ($130,000,000.00) Equity, (File 333-138053 - Oct. 18) (BR. 06A) S-8 APPLIED INDUSTRIAL TECHNOLOGIES INC, ONE APPLIED PLAZA, CLEVELAND, OH, 44115-5056, 216-426-4753 - 1,500,000 ($39,000,000.00) Equity, (File 333-138054 - Oct. 18) (BR. 06A) S-3 MEDIVATION, INC., 501 SECOND STREET, SUITE 211, SAN FRANCISCO, CA, 94107, 415-543-3470 - 0 ($30,000,000.00) Equity, (File 333-138057 - Oct. 18) (BR. 01B) SB-2 ISDERA NORTH AMERICA, INC., 50 PINE DRIVE, COLD SPRING HARBOR, NY, 11724, 516-971-3385 - 4,284,400 ($1,071,100.00) Equity, (File 333-138059 - Oct. 18) (BR. ) S-3 SKYTERRA COMMUNICATIONS INC, 19 WEST 44TH STREET, SUITE 507, NEW YORK, NY, 10036, 212-730-7540 - 0 ($479,729,354.00) Equity, (File 333-138061 - Oct. 18) (BR. 11C) SB-2 Iptimize, Inc., 2135 S. CHERRY STREET, SUITE 200, CENVER, CO, 80222, 303 268-3600 - 0 ($5,687,087.00) Equity, (File 333-138062 - Oct. 18) (BR. ) S-8 PLANAR SYSTEMS INC, 1400 NORTHWEST COMPTON DR, BEAVERTON, OR, 97008, 5036901100 - 0 ($5,920,000.00) Equity, (File 333-138063 - Oct. 18) (BR. 10C) S-8 PLANAR SYSTEMS INC, 1400 NORTHWEST COMPTON DR, BEAVERTON, OR, 97008, 5036901100 - 0 ($8,577,971.73) Equity, (File 333-138064 - Oct. 18) (BR. 10C) S-3 TOLEDO EDISON CO, 76 SOUTH MAIN STREET, AKRON, OH, 43308, 2166229800 - 300,000,000 ($300,000,000.00) Non-Convertible Debt, (File 333-138065 - Oct. 18) (BR. 02B) S-8 PALM INC, 950 W. MAUDE AVENUE, SUNNYVALE, CA, 94085, 4086177000 - 6,653,042 ($101,858,073.02) Equity, (File 333-138066 - Oct. 18) (BR. 03B) S-3ASR POWERWAVE TECHNOLOGIES INC, 1801 E. ST. ANDREW PLACE, SANTA ANA, CA, 92705, 7144661000 - 0 ($111,156,000.00) Equity, (File 333-138067 - Oct. 18) (BR. 11B) S-1 Atlas America Public #16-2007 Program, 311 ROSER RD., MOON TOWNSHIP, PA, 15108, 330-896-8510 - 20,000 ($200,000,000.00) Equity, (File 333-138068 - Oct. 18) (BR. ) S-4 ECHOSTAR DBS CORP, 9601 S. MERIDIAN BLVD., ENGLEWOOD, CO, 80112, 3037231277 - 0 ($500,000,000.00) Non-Convertible Debt, (File 333-138069 - Oct. 18) (BR. 11B) S-8 Vanda Pharmaceuticals Inc., 9605 MEDICAL CENTER DRIVE, SUITE 300, ROCKVILLE, MD, 20850, 240-599-4500 - 1,569,667 ($16,387,323.48) Equity, (File 333-138070 - Oct. 18) (BR. 01B) 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 ABBOTT LABORATORIES IL 2.02,9.01 10/18/06 ACACIA RESEARCH CORP DE 7.01,9.01 10/18/06 ACCESS NATIONAL CORP VA 8.01,9.01 10/18/06 ACCESS WORLDWIDE COMMUNICATIONS INC DE 3.02,9.01 10/13/06 ACME COMMUNICATIONS INC DE 4.01 10/12/06 ACORDA THERAPEUTICS INC 8.01,9.01 10/17/06 ADAPTEC INC DE 1.01 10/12/06 ADVANCED MICRO DEVICES INC DE 2.02,7.01,9.01 10/18/06 AFFIRMATIVE INSURANCE HOLDINGS INC DE 1.01,7.01,9.01 10/12/06 AGILENT TECHNOLOGIES INC DE 8.01,9.01 10/17/06 Akeena Solar, Inc. DE 4.01,9.01 08/11/06 AMEND ALABAMA NATIONAL BANCORPORATION DE 2.02,9.01 10/18/06 ALESCO FINANCIAL INC 1.01 10/12/06 ALLIANCE DATA SYSTEMS CORP DE 2.02,7.01,9.01 10/18/06 ALLSCRIPTS HEALTHCARE SOLUTIONS INC DE 7.01,9.01 10/18/06 Alphatec Holdings, Inc. DE 1.01,9.01 10/12/06 AMARU INC NV 5.03 10/18/06 AMB PROPERTY CORP MD 2.02,8.01,9.01 10/17/06 AMERICAN ACCESS TECHNOLOGIES INC FL 2.02,8.01,9.01 10/17/06 AMERICAN ECOLOGY CORP DE 2.02,9.01 10/17/06 AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 10/12/06 AMERICAN MOLD GUARD INC 8.01 10/12/06 AMERICAN PHYSICIANS SERVICE GROUP INC TX 8.01 10/18/06 AMERICAN RIVER BANKSHARES CA 7.01,9.01 10/17/06 American Telecom Services Inc 8.01,9.01 10/18/06 AMERICASBANK CORP MD 8.01,9.01 10/16/06 AMPCO PITTSBURGH CORP PA 2.02 09/30/06 AMPHENOL CORP /DE/ DE 2.02,9.01 10/18/06 AMYLIN PHARMACEUTICALS INC DE 1.01,1.02,2.02,9.01 10/12/06 ANGIODYNAMICS INC DE 1.01,9.01 10/12/06 ANTS SOFTWARE INC DE 5.05,9.01 10/13/06 APOLLO GROUP INC AZ 2.02,9.01 10/18/06 APPLE COMPUTER INC CA 2.02,9.01 10/18/06 APPLEBEES INTERNATIONAL INC DE 7.01 10/18/06 APTARGROUP INC DE 2.02,9.01 10/18/06 Ardent Acquisition CORP DE 8.01,9.01 10/17/06 ARQULE INC DE 5.02 10/12/06 ARROW FINANCIAL CORP NY 5.02,9.01 10/18/06 Ashton Woods USA L.L.C. NV 2.02,9.01 10/16/06 ASTRATA GROUP INC NV 1.01,3.02,9.01 10/13/06 ASTRATA GROUP INC NV 8.01,9.01 10/16/06 ATLAS AIR WORLDWIDE HOLDINGS INC DE 1.01 10/12/06 ATWOOD OCEANICS INC TX 7.01,9.01 10/18/06 AUBURN NATIONAL BANCORPORATION INC DE 2.02,9.01 10/17/06 AUXILIUM PHARMACEUTICALS INC 7.01,8.01,9.01 10/18/06 Avantogen Oncology, Inc. NV 1.01,2.03,3.02,9.01 10/12/06 AZTAR CORP DE 2.02,9.01 10/18/06 BANDAG INC IA 2.02,9.01 10/17/06 BANK OF KENTUCKY FINANCIAL CORP KY 2.02,9.01 10/18/06 BARD C R INC /NJ/ NJ 2.02,9.01 10/18/06 BCB BANCORP INC 1.01,9.01 10/12/06 BEARINGPOINT INC DE 7.01,9.01 10/18/06 Behringer Harvard Opportunity REIT I, MD 7.01,9.01 10/18/06 BEHRINGER HARVARD SHORT TERM OPPORTUN TX 2.03,9.01 10/12/06 BEMIS CO INC MO 5.04,9.01 10/13/06 BENCHMARK ELECTRONICS INC TX 1.01,9.01 10/16/06 BERKSHIRE HILLS BANCORP INC 7.01,9.01 10/18/06 BILL BARRETT CORP 2.02,7.01,9.01 10/13/06 BILL BARRETT CORP 7.01,9.01 10/13/06 BIOPURE CORP DE 3.01 10/18/06 BLUEGREEN CORP MA 1.01,3.03,8.01,9.01 10/16/06 BODISEN BIOTECH, INC DE 7.01,9.01 10/18/06 BOSTON SCIENTIFIC CORP DE 2.02,9.01 10/18/06 BOTTOMLINE TECHNOLOGIES INC /DE/ DE 1.01,2.01,3.02,9.01 10/13/06 BP PRUDHOE BAY ROYALTY TRUST DE 1.01,8.01 10/13/06 BROADVISION INC DE 4.01,9.01 10/14/06 CABLEVISION SYSTEMS CORP /NY DE 8.01 10/18/06 CAPACITIVE DEIONIZATION TECHNOLOGY SY NV 5.02,8.01 06/30/06 CAPITAL BANK CORP NC 2.02,9.01 10/18/06 CAPITAL ONE FINANCIAL CORP DE 2.02,7.01,8.01,9.01 10/18/06 CARDIODYNAMICS INTERNATIONAL CORP CA 5.02,9.01 10/17/06 CARDIOGENESIS CORP /CA CA 1.01,5.02 10/12/06 CardioVascular BioTherapeutics, Inc. DE 5.02,5.03,9.01 10/12/06 CATHAY GENERAL BANCORP DE 8.01,9.01 10/18/06 CBOT HOLDINGS INC DE 1.01,3.03,9.01 10/17/06 CBRL GROUP INC TN 1.01 10/12/06 CDOOR CORP DE 1.01,5.01,9.01 10/16/06 CDW CORP IL 2.02,9.01 10/18/06 CENTRAL EUROPEAN DISTRIBUTION CORP DE 1.01,2.03,9.01 10/12/06 CHECKFREE CORP \GA\ DE 5.02,9.01 10/12/06 CHEMUNG FINANCIAL CORP NY 2.02,9.01 09/30/06 China Mineral Acquisition CORP 8.01,9.01 10/18/06 CHIPOTLE MEXICAN GRILL INC 1.01,5.02,8.01 10/12/06 CIT GROUP INC DE 2.02,5.02,8.01,9.01 10/18/06 CITIGROUP INC DE 8.01,9.01 10/18/06 Citigroup Mortgage Loan Trust 2006-AM 2.01,9.01 09/28/06 CITIZENS FIRST CORP KY 1.01,2.02,2.03,7.01,9.01 10/16/06 CITIZENS SOUTH BANKING CORP DE 2.02,9.01 10/16/06 CITRIX SYSTEMS INC DE 2.02 10/18/06 CITY NATIONAL CORP DE 2.02,7.01,9.01 10/18/06 CLAIBORNE LIZ INC DE 1.01,5.02,9.01 10/13/06 CLAYTON HOLDINGS INC 1.01,1.02,9.01 10/18/06 CODORUS VALLEY BANCORP INC PA 2.02,9.01 10/17/06 COLONIAL BANCGROUP INC DE 2.02,7.01,9.01 10/18/06 COMMERCE BANCSHARES INC /MO/ MO 2.02 10/17/06 COMMUNICATIONS SYSTEMS INC MN 3.01,8.01,9.01 10/16/06 COMMUNITY BANCORP /VT VT 8.01,9.01 10/18/06 COMMUNITY BANKS INC /PA/ PA 2.02,8.01,9.01 09/30/06 COMMUNITY VALLEY BANCORP CA 2.02,9.01 10/18/06 COMPASS BANCSHARES INC DE 2.02,9.01 10/17/06 COMPUTER HORIZONS CORP NY 1.01,9.01 10/18/06 COMPUTER TASK GROUP INC NY 7.01,9.01 10/18/06 Con-way Inc. DE 2.02,9.01 09/30/06 Con-way Inc. DE 1.01,7.01,9.01 10/17/06 CONSOLIDATED TOMOKA LAND CO FL 2.02,9.01 10/17/06 Cord Blood America, Inc. FL 1.01,2.01,2.04,3.02,9.01 10/13/06 CORUS BANKSHARES INC MN 2.02,9.01 10/17/06 CUBIST PHARMACEUTICALS INC DE 2.02,9.01 10/18/06 CURAGEN CORP DE 5.02,9.01 10/12/06 CUTTER & BUCK INC WA 8.01 10/17/06 CWABS Asset-Backed Certificates Trust DE 8.01,9.01 09/29/06 CWMBS INC DE 8.01,9.01 10/16/06 CYANOTECH CORP NV 3.03,9.01 10/16/06 CYBERSOURCE CORP DE 2.02,9.01 10/18/06 DALIAN CAPITAL GROUP, INC. DE 1.01,5.01,5.02,9.01 09/26/06 DANKA BUSINESS SYSTEMS PLC 1.01,8.01,9.01 10/12/06 AMEND DARLING INTERNATIONAL INC DE 1.01,9.01 10/12/06 DATALINK CORP MN 2.02,9.01 10/18/06 DATAMETRICS CORP DE 5.02,9.01 10/06/06 DAVITA INC DE 1.01,9.01 10/12/06 DAVITA INC DE 5.02 06/27/06 AMEND DEPOMED INC CA 1.01 10/13/06 DESIGN WITHIN REACH INC DE 8.01,9.01 10/16/06 DIRECT RESPONSE FINANCIAL SERVICES IN CO 4.02,9.01 09/25/06 DOW JONES & CO INC DE 2.02,9.01 10/18/06 E TRADE FINANCIAL CORP DE 2.02,9.01 10/18/06 Eagle Bulk Shipping Inc. 8.01,9.01 10/18/06 EAST WEST BANCORP INC 2.02,9.01 09/30/06 EATON LABORATORIES INC NV 7.01,9.01 10/05/06 AMEND EBANK FINANCIAL SERVICES INC GA 1.02,3.02,7.01 10/13/06 EBAY INC DE 2.02,9.01 10/18/06 ECHOSTAR COMMUNICATIONS CORP NV 1.01,2.03,9.01 10/18/06 ELITE FLIGHT SOLUTIONS INC DE 1.01,2.01,3.02,8.01,9.01 08/22/06 EMC INSURANCE GROUP INC IA 7.01 10/18/06 ENDO NETWORKS INC TX 1.01,8.01,9.01 10/18/06 ENERGEN CORP AL 8.01,9.01 10/18/06 ENTERPRISE BANCORP INC /MA/ MA 2.02,8.01,9.01 10/17/06 ENTERPRISE BANCORP INC /MA/ MA 1.01,5.02,9.01 10/17/06 ENTERPRISE FINANCIAL SERVICES CORP DE 2.02,9.01 10/17/06 Epic Bancorp 2.02,9.01 10/18/06 EQUIFAX INC GA 2.02,9.01 10/18/06 ESB FINANCIAL CORP PA 2.02,9.01 10/17/06 EXACT SCIENCES CORP DE 2.05,7.01,9.01 10/17/06 FAR EAST ENERGY CORP 9.01 10/13/06 FARMERS CAPITAL BANK CORP KY 2.02,9.01 10/17/06 FCStone Group, Inc. IA 5.03,9.01 10/09/06 Federal Home Loan Bank of Chicago X1 2.02,7.01,9.01 10/18/06 FEDERAL MOGUL CORP MI 2.02,9.01 10/18/06 FIDELITY BANCORP INC PA 8.01,9.01 10/18/06 FIRST BUSEY CORP /NV/ NV 2.02,9.01 10/18/06 FIRST CASH FINANCIAL SERVICES INC DE 2.02,9.01 10/18/06 FIRST HORIZON NATIONAL CORP TN 2.02,9.01 09/30/06 FIRST HORIZON NATIONAL CORP TN 7.01,9.01 09/30/06 FIRST INDIANA CORP IN 2.02,8.01,9.01 10/18/06 FLAG FINANCIAL CORP GA 2.02,9.01 10/17/06 FLUSHING FINANCIAL CORP DE 2.02,9.01 09/30/06 FOOTHILLS RESOURCES INC 2.01,3.02,5.01,5.02,5.06,9.01 04/06/06 AMEND Fortissimo Acquisition Corp. DE 8.01,9.01 10/17/06 FREMONT MICHIGAN INSURACORP INC MI 8.01,9.01 10/18/06 GENERAL DYNAMICS CORP DE 2.02,9.01 10/18/06 GENUINE PARTS CO GA 2.02,9.01 10/18/06 Geovax Labs, Inc. IL 2.01,4.01,9.01 09/28/06 AMEND GILEAD SCIENCES INC DE 2.02,9.01 10/18/06 GNC CORP DE 5.05,9.01 10/17/06 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 10/13/06 GRAYBAR ELECTRIC CO INC NY 1.01 10/13/06 GREEN PLAINS RENEWABLE ENERGY, INC. IA 1.01 10/17/06 GS FINANCIAL CORP LA 7.01,9.01 10/18/06 GS FINANCIAL CORP LA 7.01,9.01 10/18/06 GULFMARK OFFSHORE INC DE 7.01,9.01 10/18/06 GYMBOREE CORP DE 7.01 10/17/06 GYRODYNE CO OF AMERICA INC NY 1.01,5.02,9.01 10/12/06 Halo Technology Holdings, Inc. NV 2.02,9.01 10/18/06 HAMPSHIRE GROUP LTD DE 3.01 10/16/06 HANCOCK HOLDING CO MS 2.02,8.01,9.01 10/17/06 Harbor Acquisition Corp. DE 1.01,3.02,7.01,9.01 10/17/06 HARBOR FLORIDA BANCSHARES INC DE 8.01,9.01 10/13/06 HARLEYSVILLE NATIONAL CORP PA 2.02,9.01 10/18/06 HARRAHS ENTERTAINMENT INC DE 1.01 10/13/06 HARVEY ELECTRONICS INC NY 3.01,7.01,9.01 10/16/06 HAUPPAUGE DIGITAL INC DE 1.01,5.05,9.01 10/17/06 HAUPPAUGE DIGITAL INC DE 2.02,7.01,9.01 10/17/06 HEALTH CARE REIT INC /DE/ DE 2.02,9.01 10/18/06 HEALTHCARE SERVICES GROUP INC PA 2.02,9.01 10/17/06 HEALTHSOUTH CORP DE 7.01,9.01 10/17/06 HELIX BIOMEDIX INC DE 1.01,1.02 10/12/06 HERTZ CORP DE 1.02,5.02,8.01 10/12/06 HICKORY TECH CORP MN 1.01,9.01 10/18/06 Home Equity Asset Trust 2006-7 DE 8.01,9.01 10/18/06 HUDSON CITY BANCORP INC DE 2.02,9.01 10/18/06 HYPERION SOLUTIONS CORP DE 1.01,8.01,9.01 10/16/06 HYTHIAM INC DE 7.01 10/13/06 IA GLOBAL INC DE 1.01 10/16/06 IBT BANCORP INC PA 8.01,9.01 10/16/06 ICU MEDICAL INC/DE DE 2.02,9.01 10/18/06 ID-CONFIRM, INC. NV 4.02 10/10/06 IDACORP INC ID 8.01 10/18/06 ILLINOIS TOOL WORKS INC DE 2.02,9.01 09/30/06 IMAGE ENTERTAINMENT INC DE 7.01,9.01 10/17/06 IMMEDIATEK INC NV 1.01,9.01 10/13/06 IMS HEALTH INC DE 2.02,9.01 10/18/06 INFOCROSSING INC DE 7.01,9.01 10/18/06 INLAND REAL ESTATE CORP MD 8.01,9.01 10/18/06 INLAND RETAIL REAL ESTATE TRUST INC MD 1.01,9.01 10/16/06 INPHONIC INC 5.02 10/18/06 Integrative Health Technologies, Inc. DE 8.01 10/18/06 INTERNATIONAL BUSINESS MACHINES CORP NY 2.02 10/17/06 INTERNATIONAL LEASE FINANCE CORP CA 1.01,9.01 10/18/06 INTERSIL CORP/DE DE 2.02,7.01,9.01 10/18/06 INTERVEST BANCSHARES CORP DE 2.02,9.01 10/17/06 INVESTORS FINANCIAL SERVICES CORP DE 2.02,9.01 10/18/06 INVISA INC 1.01,3.02,9.01 10/16/06 AMEND IPSCO INC 8.01,9.01 10/17/06 ITEX CORP NV 2.02,9.01 10/18/06 iVOW, Inc. DE 3.01,8.01,9.01 10/18/06 J P MORGAN CHASE & CO DE 2.02,9.01 10/18/06 J P MORGAN CHASE & CO DE 9.01 10/16/06 J P MORGAN CHASE & CO DE 7.01,9.01 10/18/06 JDS UNIPHASE CORP /CA/ DE 5.03,9.01 10/16/06 JENNIFER CONVERTIBLES INC DE 1.01,9.01 10/18/06 JUNIPER NETWORKS INC DE 2.02,9.01 10/18/06 KEANE, INC. MA 2.02,9.01 10/18/06 KENDLE INTERNATIONAL INC OH 1.01 10/13/06 KINDER MORGAN ENERGY PARTNERS L P DE 2.02,9.01 09/30/06 KINDER MORGAN INC KS 2.02,9.01 09/30/06 KING PHARMACEUTICALS INC TN 1.01 10/12/06 KLA TENCOR CORP DE 1.02,5.02,8.01,9.01 10/16/06 KNIGHT CAPITAL GROUP, INC. DE 2.02,7.01,9.01 10/18/06 LASALLE HOTEL PROPERTIES MD 2.02,9.01 10/18/06 Lazy Days R.V. Center, Inc. 8.01 10/16/06 LEAP WIRELESS INTERNATIONAL INC DE 2.03,8.01 10/17/06 LECROY CORP DE 1.01,2.03,7.01,9.01 10/12/06 LEESPORT FINANCIAL CORP PA 2.02,9.01 10/17/06 LENNOX INTERNATIONAL INC DE 1.01,9.01 10/13/06 LEXINGTON CORPORATE PROPERTIES TRUST MD 8.01,9.01 10/18/06 LINEAR TECHNOLOGY CORP /CA/ DE 5.02,5.03,9.01 10/17/06 LIONS GATE ENTERTAINMENT CORP /CN/ 8.01 10/18/06 Macquarie Infrastructure CO Trust DE 8.01,9.01 10/17/06 MAD CATZ INTERACTIVE INC 1.01 10/13/06 MAINSOURCE FINANCIAL GROUP IN 2.02,9.01 10/18/06 MANNKIND CORP 3.02,8.01 10/12/06 MARINER ENERGY INC DE 1.01,5.02,9.01 10/13/06 MAUI LAND & PINEAPPLE CO INC HI 5.02,9.01 10/13/06 MAXWELL TECHNOLOGIES INC DE 8.01,9.01 10/18/06 Mediavest, Inc. NJ 1.01,3.02,5.03,9.01 10/12/06 MEDICAL ACTION INDUSTRIES INC DE 2.01,9.01 10/17/06 MEDIRECT LATINO INC 5.02,9.01 10/16/06 MFRI INC DE 1.01,2.03 10/16/06 MGI PHARMA INC MN 2.02,9.01 10/18/06 MMC ENERGY, INC. NV 1.01 10/17/06 MONEYGRAM INTERNATIONAL INC 2.02 10/18/06 MONROE BANCORP IN 2.02,9.01 10/18/06 MONTGOMERY REALTY GROUP INC NV 2.01,9.01 10/12/06 MOVIE STAR INC /NY/ NY 1.01,3.02,9.01 10/13/06 MSC INDUSTRIAL DIRECT CO INC NY 1.01,8.01,9.01 10/16/06 NANOSENSORS INC 4.02 10/17/06 NATIONAL CITY CORP DE 8.01,9.01 10/13/06 NationsHealth, Inc. DE 3.01,9.01 10/13/06 Neiman Marcus, Inc. DE 8.01,9.01 10/12/06 NESTOR INC DE 3.01,9.01 10/18/06 NEW MEDIUM ENTERPRISES INC NV 1.01,8.01 10/17/06 NEWFIELD EXPLORATION CO /DE/ DE 7.01,9.01 10/17/06 NightHawk Radiology Holdings Inc 2.02 10/17/06 NORTHEAST COMMUNITY BANCORP INC X1 1.01 10/17/06 NORTHERN STATES FINANCIAL CORP /DE/ DE 2.02 10/18/06 NORTHERN TRUST CORP DE 2.02,9.01 10/18/06 NOVADEL PHARMA INC DE 7.01,8.01 10/16/06 NOVASTAR MORTGAGE FUNDING CORP DE 1.01,9.01 09/28/06 NOVELL INC DE 8.01,9.01 10/16/06 NS GROUP INC KY 8.01,9.01 10/17/06 NUVEEN INVESTMENTS INC DE 2.02,7.01,9.01 10/18/06 NVE CORP /NEW/ MN 2.02 10/18/06 NYFIX INC DE 1.01,3.02,3.03,5.02,5.03,9.01 10/12/06 O CHARLEYS INC TN 2.02,7.01,9.01 10/18/06 O REILLY AUTOMOTIVE INC MO 7.01,9.01 10/17/06 OCCIDENTAL PETROLEUM CORP /DE/ DE 2.02,8.01 10/18/06 ODYNE CORP 1.01,5.01,5.02,9.01 10/18/06 OPEN TEXT CORP A6 8.01,9.01 10/16/06 ORIGINALLY NEW YORK INC 3.03,5.03,9.01 10/18/06 OSI RESTAURANT PARTNERS, INC. DE 1.01,2.03,9.01 10/12/06 PACIFIC SUNWEAR OF CALIFORNIA INC CA 1.01,9.01 10/12/06 PACKAGING CORP OF AMERICA 2.02,9.01 10/17/06 PARKE BANCORP, INC. NJ 2.02,9.01 10/17/06 PARKER HANNIFIN CORP OH 2.02,7.01,9.01 10/18/06 PARTNERS TRUST FINANCIAL GROUP INC 2.02 10/18/06 PAULSON CAPITAL CORP OR 8.01,9.01 10/17/06 PEGASYSTEMS INC MA 7.01 10/17/06 PEMSTAR INC MN 1.01,9.01 10/16/06 PEMSTAR INC MN 2.02,8.01,9.01 10/17/06 PEOPLES BANCORP OF NORTH CAROLINA INC NC 2.02,9.01 10/16/06 PEPSICO INC NC 8.01 10/17/06 PETMED EXPRESS INC FL 7.01,8.01,9.01 10/16/06 PFGI CAPITAL CORP MD 2.02,8.01,9.01 10/18/06 PharmaNet Development Group Inc DE 1.01,2.03,7.01,9.01 10/12/06 PHOENIX FOOTWEAR GROUP INC DE 1.01,9.01 10/13/06 PIPER JAFFRAY COMPANIES 2.02,9.01 10/18/06 PLX TECHNOLOGY INC DE 2.02,9.01 10/18/06 POLYCOM INC DE 2.02,9.01 10/18/06 POWERCOLD CORP NV 3.01,8.01 10/17/06 POWERWAVE TECHNOLOGIES INC DE 1.01,2.01,3.02,7.01,9.01 10/15/06 POWERWAVE TECHNOLOGIES INC DE 1.01,2.03 10/13/06 Premiere Publishing Group, Inc. NY 3.02 09/22/06 PRINCIPAL LIFE INSURANCE CO IA 9.01 10/13/06 PRINCIPAL LIFE INSURANCE CO IA 9.01 10/13/06 PRINCIPAL LIFE INSURANCE CO IA 9.01 10/13/06 PROVIDENT COMMUNITY BANCSHARES, INC. DE 2.02,9.01 10/18/06 PUBLIC STORAGE INC /CA CA 1.01,3.03,5.03,9.01 10/17/06 QUEST DIAGNOSTICS INC DE 1.01,9.01 10/12/06 QUESTCOR PHARMACEUTICALS INC CA 5.02,7.01,9.01 10/12/06 RAE SYSTEMS INC DE 1.01,5.02,9.01 10/16/06 RAINIER PACIFIC FINANCIAL GROUP INC WA 2.02,9.01 10/18/06 RALI Series 2006-QO7 Trust DE 8.01,9.01 10/18/06 AMEND RASC Series 2006-EMX8 Trust DE 8.01,9.01 10/18/06 AMEND RED TRAIL ENERGY, LLC 1.01 10/18/06 REGENERON PHARMACEUTICALS INC NY 1.01,9.01 10/18/06 RENASANT CORP MS 2.02,9.01 10/17/06 REPUBLIC FIRST BANCORP INC PA 2.02,9.01 10/18/06 REWARDS NETWORK INC DE 7.01,9.01 10/16/06 Rocketinfo Inc. DE 8.01,9.01 08/25/06 Rocketinfo Inc. DE 8.01 08/25/06 AMEND RYLAND GROUP INC MD 2.02,9.01 10/18/06 S Y BANCORP INC KY 2.02,9.01 10/18/06 SACO I Trust 2006-2 DE 9.01 01/30/06 AMEND SADDLEBROOK RESORTS INC FL 4.01 08/10/06 AMEND SALON MEDIA GROUP INC DE 4.02 10/12/06 SALTON INC DE 1.01,1.02,5.02,9.01 10/18/06 SAN JOAQUIN BANCORP CA 2.02,9.01 10/18/06 SANGUINE CORP NV 8.01,9.01 10/17/06 SANTARUS INC DE 1.01,9.01 10/17/06 SATCON TECHNOLOGY CORP DE 3.01 10/16/06 SBD International, Inc FL 4.01,9.01 08/08/06 SCHULMAN A INC DE 2.02,9.01 10/18/06 SE FINANCIAL CORP 8.01 10/18/06 SEACHANGE INTERNATIONAL INC DE 4.01,9.01 10/12/06 SEI INVESTMENTS CO PA 2.02,9.01 10/18/06 SHARPER IMAGE CORP DE 1.01 10/12/06 SHAW GROUP INC LA 1.01,2.01,2.03,9.01 10/13/06 SIGA TECHNOLOGIES INC DE 8.01,9.01 10/18/06 SILICON STORAGE TECHNOLOGY INC CA 2.02,9.01 10/18/06 SIRF TECHNOLOGY HOLDINGS INC 1.01 10/12/06 SIRVA INC DE 1.01,9.01 10/12/06 SITEL CORP MN 1.01,3.03,9.01 10/12/06 SIZELER PROPERTY INVESTORS INC DE 5.03,8.01,9.01 10/16/06 SKY FINANCIAL GROUP INC OH 2.02,9.01 10/18/06 SKYTERRA COMMUNICATIONS INC DE 1.01,1.02,5.03,8.01,9.01 10/16/06 SONOCO PRODUCTS CO SC 2.02,9.01 10/18/06 SONOMA VALLEY BANCORP CA 2.02,9.01 10/16/06 SONTRA MEDICAL CORP MN 7.01,9.01 10/18/06 SOUTHERN MISSOURI BANCORP INC MO 2.02,9.01 10/17/06 SOVEREIGN BANCORP INC PA 2.02,9.01 10/17/06 Spansion Inc. DE 2.02,9.01 10/18/06 ST JOE CO FL 1.02,2.03,2.04,9.01 10/16/06 ST JUDE MEDICAL INC MN 2.02,9.01 10/18/06 ST MARY LAND & EXPLORATION CO DE 7.01,9.01 10/18/06 ST Online Corp. NV 5.02 10/16/06 STAR SCIENTIFIC INC DE 7.01,8.01,9.01 10/18/06 STARTECH ENVIRONMENTAL CORP CO 1.02 10/18/06 STARWOOD HOTEL & RESORTS WORLDWIDE IN MD 1.01,1.02,9.01 10/13/06 STREICHER MOBILE FUELING INC FL 8.01,9.01 10/18/06 SUBURBAN PROPANE PARTNERS LP DE 7.01,8.01,9.01 10/18/06 SUNPOWER CORP CA 1.01,7.01,9.01 10/12/06 SUNTRUST BANKS INC GA 8.01,9.01 10/18/06 SYMBOL TECHNOLOGIES INC DE 5.02 10/16/06 SYNOVUS FINANCIAL CORP GA 1.01,2.02,5.02,7.01,9.01 10/18/06 SYNTEL INC MI 2.02,9.01 10/18/06 SYS CA 2.01,3.02,5.02,9.01 10/18/06 TCF FINANCIAL CORP DE 2.02,9.01 10/18/06 TECHNOLOGY FUNDING PARTNERS III L P DE 1.01 10/18/06 TECHNOLOGY FUNDING VENTURE PARTNERS I DE 1.01 10/18/06 TECHNOLOGY FUNDING VENTURE PARTNERS V DE 8.01 10/17/06 TECHNOLOGY FUNDING VENTURE PARTNERS V DE 1.01 10/18/06 TERCICA INC DE 1.01,2.03,3.02,3.03,5.03,9.01 10/12/06 TIME WARNER INC DE 7.01,9.01 10/18/06 TIME WARNER INC DE 1.01,9.01 10/18/06 TNR TECHNICAL INC NY 8.01 10/18/06 TNS INC 1.01,5.02,8.01,9.01 10/12/06 TOPPS CO INC DE 1.01,8.01,9.01 10/12/06 TORCHMARK CORP DE 2.02,9.01 10/18/06 TOTAL SYSTEM SERVICES INC GA 2.02,7.01,9.01 10/17/06 TRANSCEND SERVICES INC DE 2.02,9.01 10/18/06 TRANSNATIONAL FINANCIAL NETWORK INC CA 1.01 10/16/06 TRUSTMARK CORP MS 8.01 10/18/06 TURBOSONIC TECHNOLOGIES INC DE 1.01,5.02,9.01 10/18/06 UNIFIRST CORP MA 2.02,9.01 08/26/06 UNITEDHEALTH GROUP INC MN 1.01,2.03,9.01 10/16/06 UNIVERSAL EXPRESS INC/ NV 4.01 10/18/06 UNIVERSAL FOG INC 4.02 08/21/06 AMEND US BANCORP \DE\ DE 5.02,9.01 10/17/06 Valley Commerce Bancorp CA 2.01,9.01 10/16/06 VALMONT INDUSTRIES INC DE 2.02 10/17/06 VALSPAR CORP DE 5.02 10/18/06 VASO ACTIVE PHARMACEUTICALS INC DE 8.01,9.01 10/13/06 VASOMEDICAL INC DE 2.02,9.01 10/16/06 VENTAS INC DE 8.01,9.01 10/12/06 VERIZON COMMUNICATIONS INC DE 8.01 10/18/06 VERSO TECHNOLOGIES INC MN 1.01,2.02,5.02,9.01 10/13/06 Vertical Communications, Inc. DE 1.01,2.02,9.01 10/12/06 Viacom Inc. DE 1.01,9.01 10/16/06 VIRGINIA FINANCIAL GROUP INC VA 8.01,9.01 10/16/06 VITALSTREAM HOLDINGS INC NV 1.01,8.01,9.01 10/12/06 WALGREEN CO IL 2.02,9.01 09/25/06 AMEND WARRANTECH CORP DE 1.01,9.01 10/17/06 WASHINGTON MUTUAL, INC WA 2.02,9.01 10/18/06 WATAIRE INTERNATIONAL, INC. WA 7.01,9.01 10/18/06 WD 40 CO DE 2.02,9.01 10/18/06 WERNER ENTERPRISES INC NE 2.02,9.01 10/16/06 WESBANCO INC WV 2.02,9.01 10/18/06 WEST COAST BANCORP /NEW/OR/ OR 2.02,9.01 10/17/06 WEST CORP DE 8.01 10/12/06 WESTAMERICA BANCORPORATION CA 2.02 10/17/06 WESTERN ALLIANCE BANCORPORATION 2.02,9.01 10/17/06 Winthrop Realty Trust OH 8.01 10/13/06 WIRELESS HOLDINGS INC FL 1.01,9.01 10/17/06 XACT AID INC NV 4.01,9.01 09/19/06 XENOPORT INC DE 8.01 10/16/06