SEC NEWS DIGEST Issue 2006-205 October 24, 2006 COMMISSION ANNOUNCEMENTS ORDER OF SUSPENSION OF TRADING ENTERED AGAINST CONVERSION SOLUTIONS HOLDING CORPORATION The Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act), of trading of the securities of Conversion Solutions Holdings Corporation. (Conversion) of Kennesaw, Georgia, at 9:30 a.m. EDT on Oct. 24, 2006, and terminating at 11:59 p.m. EST on Nov. 6, 2006. Conversion's stock trades in the over-the-counter market under the symbol "CSHD". The Commission temporarily suspended trading in the securities of Conversion because of questions that have been raised about the accuracy and adequacy of publicly disseminated information concerning, among other things, the company's purported ownership and control of two bond issuances, in the face amounts of €5 billion and $500 million, issued by the Republic of Venezuela, and the company's purported contractual relationship with Deutsche Bank. (Rel. 34-54645) ENFORCEMENT PROCEEDINGS ORDER MAKING FINDINGS AND REVOKING REGISTRATION BY DEFAULT AGAINST NEOMETRIX TECHNOLOGY GROUP, INC. An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default against Neometrix Technology Group, Inc. (Default Order). The Order Instituting Proceedings alleged that Respondent Neometrix Technology Group, Inc., failed repeatedly to file required annual and quarterly reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of registered securities it has with the Commission, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-54646; File No. 3-12380) ORDER MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS BY DEFAULT, IN THE MATTER OF STEVEN GILMAN, ET AL. An Administrative Law Judge has issued an Order Making Findings and Imposing Remedial Sanctions by Default, (Default Order) in the matter of Steven A. Gilman, et al. The Order Instituting Proceedings (OIP) alleged that Steven A. Gilman, Arbor Securities, Ltd., and Financial Links, Inc., have been permanently enjoined from future violations of the federal securities laws by the U.S. District Court for the District of Massachusetts. The Default Order finds the allegations in the OIP to be true and: (1) bars Steven A. Gilman from association with any broker, dealer, or investment adviser; (2) bars Arbor Securities, Ltd., from association with any broker or dealer and, further, requires it to engage a compliance officer acceptable to the Commission before entering into any advisory contracts or accepting any advisory fees on transactions subject to the jurisdiction of the Commission; and (3) revokes the registrations of Financial Links, Inc., as a broker and a dealer. (Rels. 34-54647; IA-2563; File No. 3- 12352) DAVID KREINBERG, FORMER CFO OF COMVERSE TECHNOLOGY, INC., AGREES TO SETTLE SEC CHARGES IN OPTIONS BACKDATING CASE; RELIEF INCLUDES OFFICER-AND-DIRECTOR BAR AND NEARLY $2.4 MILLION IN DISGORGEMENT AND INTEREST Kreinberg Also Pleads Guilty to Separate Criminal Charges as Part of Agreement with U.S. Attorney's Office for the Eastern District of New York The Commission today settled civil charges against David Kreinberg (Kreinberg), the former Chief Financial Officer of Comverse Technology, Inc., and a defendant in the Commission's August 2006 enforcement action against three former Comverse executives arising from an alleged scheme to backdate stock option grants. The Commission also alleged that, from 1999 through at least April 2002, Kreinberg and Comverse's former Chairman and Chief Executive Officer created a slush fund of backdated options that the former Chairman and Chief Executive Officer, with Kreinberg's knowledge, used to recruit and retain key personnel. Without admitting or denying the allegations of the Commission's complaint, Kreinberg has consented to the entry of a final judgment permanently enjoining him from violating and/or aiding and abetting violations of the antifraud, reporting, record-keeping, internal controls, false statements to auditors, Sarbanes-Oxley certification, and securities ownership reporting provisions of the federal securities laws. Specifically, the proposed final judgment would permanently enjoin Kreinberg from violating Section 17(a) of the Securities Act of 1933, Sections 10(b), 13(b)(5), 14(a), and 16(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5, 13a-14, 13b2-1, 13b2-2, 14a-9, and 16a-3 thereunder, and from aiding and abetting violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1, and 13a-13 thereunder. Kreinberg has consented to the entry of an order permanently prohibiting him from acting as an officer or director of any issuer that has a class of securities registered pursuant to Section 12 of the Exchange Act or that is required to file reports pursuant to Section 15(d) of the Exchange Act. Pursuant to the order, Kreinberg is required to pay $1,769,255.80 in disgorgement, of which $989,434.00 represents the "in-the-money" benefit from exercises of backdated option grants. In addition, Kreinberg will pay $625,661.88 in prejudgment interest thereon, for a total of $2,394,917.68. Kreinberg also has agreed to cooperate in the Commission's ongoing litigation. The settlement is subject to the approval of the U.S. District Court for the Eastern District of New York. As part of the settlement, and following the entry of the proposed final judgment, Kreinberg, without admitting or denying the Commission's findings, has consented to the entry of an administrative order, pursuant to Rule 102(e)(3) of the Commission's Rules of Practice, suspending him from appearing or practicing before the Commission as an accountant. In a separate matter also filed in the U.S. District Court for the Eastern District of New York, Kreinberg today pled guilty to one criminal count of conspiracy to commit securities fraud, mail fraud, and wire fraud, and one criminal count of securities fraud. The plea was the result of an agreement between Kreinberg and the United States Attorney's Office for the Eastern District of New York. The Commission's investigation in this matter is continuing. [SEC v. Jacob (Kobi) Alexander, David Kreinberg, and William F. Sorin, USDC, EDNY, Civil Action No. CV-063844 (GJ)] (LR-19878; AAE Rel. No. 2497; Press Rel. 2006-180) FORMER STIFEL, NICOLAUS BROKER REGALD SMITH ORDERED TO PAY $2,413,950.20 On Sept. 18, 2006, the U.S. District Court for the Eastern District of Kentucky ordered former Stifel, Nicolaus & Company, Inc. (Stifel) registered representative Regald B. Smith to pay $2,413,950.20 in disgorgement for stealing funds from his brokerage customers through a fictitious bond scheme. The SEC's complaint, filed on Sept. 6, 2000, alleged that, from about March 1999 to Aug. 28, 2000, Smith, a Pikeville, Kentucky resident, raised over $5 million from his customers by telling them that he was going to invest in tax-exempt, high yield bonds. Instead of purchasing the bonds, Smith used investors' funds for his personal use. On Sept. 7, 2000, the Court entered an order of permanent injunction against Smith enjoining him from violating the antifraud provisions of the federal securities laws, and appointed a receiver who marshaled and liquidated Smith's assets. In a related action against Smith by the United States Attorney's Office, on Oct. 10, 2000, Smith pled guilty to a single count of wire fraud. On Feb. 12, 2001, Judge Hood sentenced Smith to 24 months in prison, followed by five years probation and ordered him to pay restitution of $4,759,319.00, plus prejudgment interest of $994,859.04, for a total of $5,750,181.70. [SEC v. Regald B. Smith, Civil Action No. 7:00 CV 358 (E.D. Ky.) (Hood, J.)] (LR-19879) INVESTMENT COMPANY ACT RELEASES INVESTMENT TECHNOLOGY GROUP, INC. A notice has been issued giving interested persons until Nov. 17, 2006, to request a hearing on an application filed by Investment Technology Group, Inc. for a permanent order under Section 9(c) of the Investment Company Act with respect to a securities-related injunction entered in 1987. (Rel. IC-27521 - October 23) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The American Stock Exchange filed a proposed rule change (SR-Amex- 2006-88) to amend its generic listing standards for Index-Linked Securities. Publication is expected in the Federal Register during the week of October 23. (Rel. 34-54629) The Chicago Board Options Exchange filed a proposed rule change (SR- CBOE-2006-81) and Amendment No. 1 thereto relating to minor rule violations in connection with trade reporting. Publication is expected in the Federal Register during the week of October 23. (Rel. 34-54631) The NYSE Arca filed a proposed rule change (SR-NYSEArca-2006-70) relating to the Exchange's generic listing standards for index-linked securities. Publication is expected in the Federal Register during the week of October 23. (Rel. 34-54636) The NYSE Arca filed a proposed rule change (SR-NYSEArca-2006-58) and Amendment No. 1 thereto relating to its Regulatory Oversight Committee. Publication is expected in the Federal Register during the week of October 23. (Rel. 34-54638) 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-3 DaimlerChrysler Financial Services Americas LLC, 27777 INKSTER ROAD, FARMINGTON HILLS, MI, 48334, (248) 427-6300 - 15,000,000,000 ($15,000,000,000.00) Asset-Backed Securities, (File 333-138140 - Oct. 23) (BR. 05D) N-2 Gabelli Global Deal Fund, ONE CORPORATE CENTER, RYE, NY, 10580, 914-921-5100 - 100,000 ($2,000,000.00) Equity, (File 333-138141 - Oct. 23) (BR. 22) S-4 LAMAR MEDIA CORP/DE, 5551 CORPORATE BLVD, BATON ROUGE, LA, 70808, 5049261000 - 0 ($216,000,000.00) Non-Convertible Debt, (File 333-138142 - Oct. 23) (BR. 11C) S-3ASR SUPERVALU INC, 11840 VALLEY VIEW RD, EDEN PRAIRIE, MN, 55344, 9528284000 - 0 ($500,000,000.00) Other, (File 333-138143 - Oct. 23) (BR. 02A) F-1 Canadian Solar Inc., XIN ZHUANG INDUSTRY PARK, CHANGSHU, SUZHOU,, JIANGSU, F4, 215562, (85-512) 6269-6010 - 0 ($132,825,000.00) Equity, (File 333-138144 - Oct. 23) (BR. 10) S-8 INTREPID TECHNOLOGY & RESOURCE INC, 656 CEDAR ST, PONDERAY, ID, 83852, 2082633834 - 8,000,000 ($448,000.00) Equity, (File 333-138145 - Oct. 23) (BR. 09A) S-8 ATS MEDICAL INC, 3905 ANNAPOLIS LA, SUITE 105, MINNEAPOLIS, MN, 55447, 6125537736 - 0 ($1,235,000.00) Equity, (File 333-138147 - Oct. 23) (BR. 10A) SB-2 Zebra Resources Ltd., 410 - 744 WEST HASTINGS STREET, VANCOUVER, A1, V6C 1A5, 604 961 9212 - 12,000,000 ($60,000.00) Equity, (File 333-138148 - Oct. 23) (BR. 04) S-3 MOOG INC, PLANT 24, EAST AURORA, NY, 14052-0018, 7166522000 - 445,725 ($16,402,680.00) Equity, (File 333-138149 - Oct. 23) (BR. 06A) SB-2 MONEY CENTERS OF AMERICA, INC., 700 SOUTH HENDERSON ROAD, SUITE 325, KING OF PRUSSIA, PA, 19406, 610-354-8888 - 93,340,876 ($1,960,158.00) Equity, (File 333-138150 - Oct. 23) (BR. 11C) S-8 WESTERN GOLDFIELDS INC, 2 BLOOR STREET WEST, SUITE 2102, P.O. BOX 110, TORONTO, A6, M4W 3E2, (416) 324-6000 - 13,746,250 ($6,802,005.00) Equity, (File 333-138151 - Oct. 23) (BR. 04A) S-8 KROGER CO, 1014 VINE ST, CINCINNATI, OH, 45201, 5137624000 - 15,000,000 ($329,550,000.00) Equity, (File 333-138152 - Oct. 23) (BR. 02B) S-8 FIRST MERCURY FINANCIAL CORP, 29621 NORTHWESTERN HWY, PO BOX 5096, SOUTHFIELD, MI, 48034, 8103584010 - 0 ($29,025,000.00) Equity, (File 333-138153 - Oct. 23) (BR. 01C) S-8 FIRST MERCURY FINANCIAL CORP, 29621 NORTHWESTERN HWY, PO BOX 5096, SOUTHFIELD, MI, 48034, 8103584010 - 0 ($2,115,327.00) Equity, (File 333-138154 - Oct. 23) (BR. 01C) S-8 GOODRICH PETROLEUM CORP, 808 TRAVIS, SUITE 1320, HOUSTON, TX, 77002, 7137809494 - 2,000,000 ($52,340,000.00) Equity, (File 333-138156 - Oct. 23) (BR. 04B) S-8 Stanley, Inc., 3101 WILSON BOULEVARD, SUITE 700, ARLINGTON, VA, 22201, 703-684-1125 - 17,962,190 ($251,408,501.90) Equity, (File 333-138157 - Oct. 23) (BR. 06C) S-8 Burger King Holdings Inc, 5505 BLUE LAGOON DRIVE, MIAMI, FL, 33126, 305-378-3000 - 17,275,639 ($215,325,570.50) Equity, (File 333-138160 - Oct. 23) (BR. 05A) S-4 First California Financial Group, Inc., 1880 CENTURY PARK EAST, SUITE 800, LOS ANGELES, CA, 90067, 310-277-2265 - 12,287,243 ($158,605,538.36) Equity, (File 333-138161 - Oct. 23) (BR. ) S-3 BANNER CORP, 10 S FIRST AVENUE, WALLA WALLA, WA, 99362, 5095273636 - 1,000,000 ($41,975,000.00) Equity, (File 333-138162 - Oct. 23) (BR. 07A) S-8 IVOICE, INC /DE, 750 HIGHWAY 34, 210 SOUTH FOURTH AVE, MATAWAN, NJ, 07747, 7324417700 - 5,000,000 ($300,000.00) Equity, (File 333-138163 - Oct. 23) (BR. 03A) S-3 DEVCON INTERNATIONAL CORP, 595 SOUTH FEDERAL HIGHWAY, SUITE 500, BOCA RATON, FL, 33432, 5612087207 - 0 ($116,697,619.00) Equity, (File 333-138164 - Oct. 23) (BR. 06A) S-8 ENCORE WIRE CORP /DE/, 1410 MILLWOOD RD, P O BOX 1149, MCKINNEY, TX, 75069, 2145629473 - 0 ($10,824,000.00) Equity, (File 333-138165 - Oct. 23) (BR. 06A) S-1 CHINA SECURITY & SURVEILLANCE TECHNOLOGY, INC., ROOMS 3505-06, 35TH FLOOR, EDINBURGH TOWER, THE LANDMARK, 15 QUEEN'S ROAD CENTRAL, K3, 00000, 852 2736 2111 - 4,883,334 ($35,111,171.00) Equity, (File 333-138166 - Oct. 23) (BR. 08A) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ------------------------------------------------------------------------------------------------------- 1ST INDEPENDENCE FINANCIAL GROUP, INC DE 8.01,9.01 10/19/06 ACADIA PHARMACEUTICALS INC DE 1.01,1.02,5.02,8.01,9.01 10/20/06 ACE COMM CORP MD 5.02 10/23/06 Aces Wired Inc NV 4.01,9.01 10/23/06 AMEND ACTIVISION INC /NY DE 1.01,9.01 10/19/06 ADEPT TECHNOLOGY INC CA 8.01 10/19/06 ADVANCIS PHARMACEUTICAL CORP 1.01,5.02,9.01 10/17/06 ADVANTA BUSINESS RECEIVABLES CORP 8.01,9.01 10/23/06 ADVENTRX PHARMACEUTICALS INC DE 1.01,9.01 10/20/06 Affinia Group Intermediate Holdings I DE 2.05,2.06,9.01 10/20/06 AMEND AK STEEL HOLDING CORP DE 5.02,9.01 10/20/06 AK STEEL HOLDING CORP DE 7.01,9.01 10/23/06 AK STEEL HOLDING CORP DE 7.01,9.01 10/23/06 ALANCO TECHNOLOGIES INC AZ 3.03,9.01 10/16/06 ALANCO TECHNOLOGIES INC AZ 2.02,9.01 10/16/06 ALLIED CAPITAL CORP MD 2.02,9.01 10/20/06 ALLIED DEFENSE GROUP INC DE 2.02,9.01 10/19/06 ALLOS THERAPEUTICS INC DE 8.01,9.01 10/23/06 ALLSTATE LIFE INSURANCE CO 2.02 10/23/06 Alphatec Holdings, Inc. DE 1.01,1.02,5.02,9.01 10/17/06 Alternative Loan Trust 2006-34 DE 8.01,9.01 09/28/06 AMEND Alternative Loan Trust 2006-OC7 DE 8.01,9.01 08/30/06 Alternative Loan Trust 2006-OC8 DE 8.01,9.01 09/29/06 ALTON VENTURES INC 1.01,9.01 10/20/06 AMCORE FINANCIAL INC NV 1.01,9.01 10/23/06 AMERI FIRST FINANCIAL GROUP INC DE 5.01,5.02 10/20/06 AMERICA SERVICE GROUP INC /DE DE 8.01,9.01 10/23/06 American Caresource Holdings, Inc. DE 7.01,9.01 10/19/06 AMERICAN EXPRESS CO NY 2.02,7.01 10/23/06 AMERICAN REAL ESTATE PARTNERS L P DE 8.01,9.01 10/18/06 AMERICAN TOWER CORP /MA/ DE 8.01,9.01 10/23/06 AMGEN INC DE 2.02,9.01 10/23/06 Andover Medical, Inc., DE 5.02 10/16/06 ANTHRACITE CAPITAL INC MD 1.01,2.03 10/23/06 APOGEE ENTERPRISES INC MN 5.02,7.01,9.01 10/18/06 ARBINET THEXCHANGE INC DE 1.01,8.01,9.01 10/17/06 ARKANSAS BEST CORP /DE/ DE 8.01,9.01 10/20/06 ARKANSAS BEST CORP /DE/ DE 2.02,9.01 10/23/06 Arlington Tankers Ltd. D0 2.02,9.01 10/23/06 ASPYRA INC CA 5.02 10/18/06 ASTEC INDUSTRIES INC TN 9.01 09/30/06 AT&T INC. DE 2.02,9.01 09/30/06 ATHEROS COMMUNICATIONS INC DE 2.02,9.01 10/23/06 AURIGA LABORATORIES, INC. DE 1.01,1.02,9.01 10/18/06 BANCSHARES OF FLORIDA INC FL 2.02,8.01,9.01 10/20/06 BANCSHARES OF FLORIDA INC FL 2.02,8.01,9.01 10/20/06 BANCTRUST FINANCIAL GROUP INC AL 2.02,5.02,9.01 10/18/06 BANK OF THE JAMES FINANCIAL GROUP INC VA 2.02,9.01 10/20/06 BASIC EARTH SCIENCE SYSTEMS INC DE 8.01,9.01 10/23/06 BAYLAKE CORP WI 2.02 10/20/06 BIOJECT MEDICAL TECHNOLOGIES INC OR 5.02 10/18/06 Bloodhound Search Technologies, Inc. NV 1.01,5.02,9.01 10/20/06 BLUEGREEN CORP MA 5.02 10/23/06 BOOTS & COOTS INTERNATIONAL WELL CONT DE 2.02,9.01 10/23/06 BRITTON & KOONTZ CAPITAL CORP MS 2.02,9.01 10/23/06 BRITTON & KOONTZ CAPITAL CORP MS 2.02,9.01 10/23/06 BROWN & BROWN INC FL 2.02 09/30/06 BROWN SHOE CO INC NY 7.01,9.01 10/20/06 AMEND Calumet Specialty Products Partners, DE 1.01,9.01 10/23/06 CARMAX INC VA 9.01 10/16/06 AMEND CARSUNLIMITED COM INC NV 1.01,9.01 10/17/06 CASTLE A M & CO MD 8.01 10/23/06 CATCHER HOLDINGS, INC 1.01 10/17/06 CB RICHARD ELLIS GROUP INC DE 5.02 10/18/06 AMEND CBOT HOLDINGS INC DE 1.01 10/17/06 CCA INDUSTRIES INC DE 8.01 10/23/06 CENTERSTATE BANKS OF FLORIDA INC FL 2.02,9.01 10/23/06 CHEMICAL FINANCIAL CORP MI 2.02,9.01 10/23/06 CHENIERE ENERGY INC DE 8.01,9.01 10/23/06 CHENIERE ENERGY INC DE 7.01,9.01 10/23/06 CHESAPEAKE ENERGY CORP OK 8.01,9.01 10/23/06 CINCINNATI FINANCIAL CORP OH 2.02,9.01 10/23/06 CIRCOR INTERNATIONAL INC DE 1.01,2.03 10/12/06 CITIZENS BANCORP OF VIRGINIA INC VA 2.02,9.01 10/19/06 CIVITAS BANKGROUP INC TN 2.02,7.01,9.01 10/23/06 CLEAR CHOICE FINANCIAL, INC. NV 1.01,3.02 10/18/06 CNET NETWORKS INC DE 2.02 09/30/06 CNET NETWORKS INC DE 1.01,9.01 10/17/06 CNH WHOLESALE RECEIVABLES LLC DE 1.01,9.01 10/19/06 Coconut Palm Acquisition Corp. DE 8.01,9.01 10/23/06 COHERENT INC DE 8.01 10/23/06 COLUMBIA LABORATORIES INC DE 7.01,9.01 10/23/06 COMMUNITY BANK SHARES OF INDIANA INC IN 1.01,9.01 10/17/06 COMPETITIVE TECHNOLOGIES INC DE 2.02,9.01 10/23/06 COVALENT GROUP INC NV 1.01,9.01 10/20/06 CRAWFORD & CO GA 2.02,9.01 10/23/06 CSK AUTO CORP DE 1.01,5.02,8.01,9.01 10/17/06 CWABS Asset-Backed Certificates Trust DE 8.01,9.01 09/28/06 DANA CORP VA 8.01 10/17/06 DDI CORP CA 1.01,9.01 10/17/06 DENDRITE INTERNATIONAL INC NJ 1.01,5.02,9.01 10/20/06 DEVELOPERS DIVERSIFIED REALTY CORP OH 1.01,7.01,8.01,9.01 10/20/06 DEXCOM INC 2.02,9.01 10/23/06 DiamondRock Hospitality Co 2.02,9.01 10/22/06 Dolby Laboratories, Inc. DE 8.01 10/10/06 DONEGAL GROUP INC DE 1.01,2.02,9.01 10/19/06 DORAL FINANCIAL CORP PR 2.02,7.01,9.01 10/23/06 DOW JONES & CO INC DE 1.01 10/17/06 DSP GROUP INC /DE/ DE 2.02,9.01 10/23/06 DYCOM INDUSTRIES INC FL 1.01 10/17/06 DYNAMIC HEALTH PRODUCTS INC FL 5.02 10/23/06 ECB BANCORP INC NC 2.02,9.01 10/19/06 EL PASO ELECTRIC CO /TX/ TX 1.01,9.01 10/17/06 ELECTRONIC DATA SYSTEMS CORP /DE/ DE 1.01 10/17/06 EMTEC INC/NJ UT 1.01 10/19/06 ENCORE ACQUISITION CO DE 7.01,9.01 10/20/06 Energy Transfer Partners, L.P. DE 8.01,9.01 10/23/06 Entertainment Is Us, Inc. DE 5.02,8.01 09/21/06 EON COMMUNICATIONS CORP DE 2.01,9.01 10/23/06 EPIX Pharmaceuticals, Inc. 7.01,9.01 10/23/06 EPLUS INC DE 3.01,9.01 10/17/06 EQUUS TOTAL RETURN, INC. DE 7.01,9.01 10/23/06 ETHAN ALLEN INTERIORS INC DE 2.01,9.01 10/23/06 EVEREST RE GROUP LTD D0 2.02,9.01 09/30/06 EVERGREENBANCORP INC WA 2.02,9.01 10/19/06 EXACT SCIENCES CORP DE 1.01,1.02,2.02,9.01 10/23/06 FAIR ISAAC CORP DE 1.01,9.01 10/20/06 FARMERS NATIONAL BANC CORP /OH/ OH 2.02,9.01 10/23/06 FASTENAL CO MN 5.02 07/11/06 FAUQUIER BANKSHARES INC VA 2.02,9.01 10/23/06 FEDDERS CORP /DE DE 1.01,3.02,9.01 10/23/06 Federal Home Loan Bank of Boston X1 5.02,9.01 10/18/06 FelCor Lodging Trust Inc MD 1.01,8.01,9.01 10/17/06 FENTURA FINANCIAL INC MI 2.02,9.01 10/17/06 FFD FINANCIAL CORP/OH OH 1.01,9.01 10/18/06 FiberTower CORP DE 8.01,9.01 10/23/06 FINI GROUP, INC DE 5.02 09/27/06 FIRST CITIZENS BANCSHARES INC /DE/ DE 2.02,7.01,9.01 10/23/06 FIRST COMMUNITY CORP /SC/ SC 2.02,9.01 10/18/06 FIRST DATA CORP DE 2.02,9.01 10/23/06 FIRST INDIANA CORP IN 8.01,9.01 10/18/06 FIRST MERCHANTS CORP IN 2.02,9.01 10/23/06 First Source Data, Inc. NV 1.01,5.02 10/03/06 FIRST SOUTH BANCORP INC /VA/ VA 1.01 10/18/06 FIRST UNITED CORP/MD/ MD 5.02 10/18/06 FLAGSTAR BANCORP INC MI 2.02,9.01 10/19/06 FLANDERS CORP NC 2.02 09/30/06 FLYI INC DE 7.01 10/20/06 FMS FINANCIAL CORP NJ 2.02,9.01 10/23/06 FNB FINANCIAL SERVICES CORP NC 8.01,9.01 10/23/06 FORD MOTOR CO DE 2.02,2.05,4.02,8.01,9.01 10/20/06 FORD MOTOR CREDIT CO DE 2.02,4.02,9.01 10/20/06 FORWARD AIR CORP TN 2.02,9.01 10/23/06 FOUR OAKS FINCORP INC NC 2.02,8.01,9.01 10/19/06 FUSHI INTERNATIONAL INC NV 4.01 10/17/06 G REIT INC MD 2.01,9.01 10/17/06 GB&T BANCSHARES INC GA 2.02,9.01 10/18/06 GEHL CO WI 1.01,2.03,9.01 10/17/06 GENESIS MICROCHIP INC /DE DE 1.01,9.01 10/20/06 GILMAN & CIOCIA INC DE 5.02,9.01 10/23/06 GLADSTONE INVESTMENT CORPORATION\DE DE 1.01,8.01,9.01 10/19/06 GLOBETEL COMMUNICATIONS CORP DE 5.02,7.01,9.01 10/07/06 GLOBIX CORP DE 1.01,8.01,9.01 10/18/06 GOLDEN PATRIOT CORP NV 8.01,9.01 10/20/06 GRANDSOUTH BANCORPORATION SC 2.02,9.01 10/18/06 GRANITE CITY FOOD & BREWERY LTD MN 2.02,9.01 10/23/06 GREENHILL & CO INC 2.02,9.01 10/19/06 GS FINANCIAL CORP LA 2.02,9.01 10/20/06 HASBRO INC RI 2.02,9.01 10/23/06 HCA INC/TN DE 8.01,9.01 10/20/06 HEARTLAND FINANCIAL USA INC DE 2.02,9.01 10/23/06 HOLLY ENERGY PARTNERS LP DE 7.01,9.01 10/23/06 Horizon Lines, Inc. 8.01,9.01 10/19/06 HRPT PROPERTIES TRUST MD 8.01 10/18/06 HUMAN GENOME SCIENCES INC DE 5.02,5.03,9.01 10/18/06 HYDROMER INC NJ 8.01 10/23/06 ICF International, Inc. DE 7.01,9.01 10/23/06 IMS HEALTH INC DE 1.01 10/17/06 INDEPENDENT BANK CORP MI 9.01 10/20/06 INDUS INTERNATIONAL INC DE 1.01,3.03,8.01,9.01 10/20/06 INSIGHT ENTERPRISES INC DE 7.01,9.01 10/19/06 INTEGRA BANK CORP IN 2.02,9.01 10/23/06 INTER TEL INC AZ 8.01 10/17/06 INTERACTIVE INTELLIGENCE INC IN 2.02 10/23/06 INTERCELL INTERNATIONAL CORP NV 5.02 10/18/06 INTERGROUP CORP DE 3.01,9.01 10/17/06 International American Technologies, NV 4.02 10/20/06 INTERNATIONAL STAR INC NV 8.01 10/23/06 INTERSTATE HOTELS & RESORTS INC DE 2.01,9.01 10/17/06 ION MEDIA NETWORKS INC. DE 1.01,1.02,5.02,7.01,9.01 10/17/06 Irish Mag, Inc. 1.01,9.01 10/20/06 ITEC ENVIRONMENTAL GROUP INC DE 5.02,9.01 10/19/06 ITLA CAPITAL CORP CA 2.02,9.01 10/17/06 JACKSON HEWITT TAX SERVICE INC DE 8.01 10/23/06 JACUZZI BRANDS INC DE 8.01 10/23/06 JDA SOFTWARE GROUP INC DE 2.02,9.01 10/23/06 JLG INDUSTRIES INC PA 8.01,9.01 10/23/06 JUPITERMEDIA CORP DE 5.02,9.01 10/23/06 KB HOME DE 8.01,9.01 10/20/06 KBL Healthcare Acquisition Corp. II DE 1.01,9.01 08/31/06 AMEND KEANE, INC. MA 1.01,9.01 10/20/06 KELLOGG CO DE 1.01,5.02,9.01 10/20/06 Kentucky First Federal Bancorp 2.02,9.01 10/23/06 KIMBERLY CLARK CORP DE 2.02,9.01 10/23/06 KINDRED HEALTHCARE, INC DE 1.01,9.01 10/19/06 KRAFT FOODS INC VA 2.02 10/23/06 LEXICON GENETICS INC/TX DE 1.01,9.01 10/20/06 LOUDEYE CORP DE 4.01 10/20/06 AMEND LUBYS INC DE 1.01,9.01 10/23/06 MAGNETEK INC DE 2.01 10/23/06 MAIN STREET TRUST INC IL 2.02,9.01 10/23/06 MARSH & MCLENNAN COMPANIES, INC. DE 8.01,9.01 10/23/06 MARTEK BIOSCIENCES CORP DE 5.02 10/19/06 MASSBANK CORP DE 2.02,9.01 10/20/06 MATRIA HEALTHCARE INC DE 2.01,9.01 10/23/06 MATRIXX INITIATIVES INC DE 1.01 10/18/06 MAX & ERMAS RESTAURANTS INC DE 1.01,9.01 10/17/06 MBT FINANCIAL CORP MI 2.02,9.01 10/19/06 MCDERMOTT INTERNATIONAL INC R1 5.02,9.01 10/23/06 MDU RESOURCES GROUP INC DE 2.02,7.01,9.01 10/23/06 MDwerks, Inc. DE 1.01,3.02,9.01 10/19/06 MEADOW VALLEY CORP NV 3.02,9.01 10/20/06 MELLON FINANCIAL CORP PA 2.02,9.01 10/18/06 MELLON FINANCIAL CORP PA 8.01,9.01 10/19/06 MELT INC NV 3.02 10/20/06 MELT INC NV 3.02 10/10/06 AMEND MERITAGE HOSPITALITY GROUP INC MI 1.01,9.01 10/20/06 MESA ROYALTY TRUST/TX TX 7.01,9.01 10/23/06 METASOLV INC DE 1.01,3.03,7.01,9.01 10/23/06 METLIFE INC DE 1.01,9.01 10/17/06 MICROSTRATEGY INC DE 1.01 10/17/06 MINN DAK FARMERS COOPERATIVE ND 8.01 10/23/06 MISSION WEST PROPERTIES INC CA 9.01 09/30/06 MOMENTA PHARMACEUTICALS INC DE 1.01 10/17/06 MOVENTIS CAPITAL, INC. DE 1.01,2.03,3.02,8.01,9.01 10/18/06 MS STRUCTURED SATURNS SERIES 2001-2 DE 8.01,9.01 10/02/06 MS STRUCTURED SATURNS SERIES 2001-6 DE 8.01,9.01 10/02/06 NARROWSTEP INC DE 5.02,9.01 10/20/06 NATCO GROUP INC DE 1.01 10/19/06 NATIONAL CITY CORP DE 1.01,9.01 10/23/06 NATIONAL CITY CORP DE 1.01,9.01 10/23/06 NATIONAL INSTRUMENTS CORP /DE/ DE 2.02 10/23/06 NATIONAL SECURITY GROUP INC DE 8.01,9.01 10/20/06 NATURAL ALTERNATIVES INTERNATIONAL IN DE 2.02,9.01 10/23/06 NAVISTAR INTERNATIONAL CORP DE 1.01,5.02,9.01 10/17/06 NAVISTAR INTERNATIONAL CORP DE 1.01,5.02,9.01 10/17/06 AMEND NEOSE TECHNOLOGIES INC DE 1.01,9.01 10/20/06 NETFLIX INC DE 2.02,9.01 10/23/06 NETMANAGE INC DE 2.02 10/23/06 NEVADA GOLD & CASINOS INC NV 5.02,9.01 10/17/06 NEWPORT CORP NV 8.01,9.01 10/16/06 NightHawk Radiology Holdings Inc 2.02,9.01 10/23/06 NORD RESOURCES CORP DE 1.01,2.03,8.01,9.01 10/17/06 NORTH FORK BANCORPORATION INC DE 5.04,9.01 10/20/06 NTL INC DE 5.02 10/23/06 NTS REALTY HOLDINGS LP DE 1.01,9.01 10/11/06 AMEND Oakmont Acquisition Corp. DE 8.01,9.01 10/19/06 ODYNE CORP 1.01,2.01,3.02,4.01, 10/23/06 5.01,5.02,5.03,9.01 OLD NATIONAL BANCORP /IN/ IN 1.01,7.01,9.01 10/21/06 ONE IP VOICE, INC. DE 1.01,3.02,3.03,9.01 10/17/06 ONEOK INC /NEW/ OK 8.01,9.01 10/23/06 ONEOK Partners LP DE 8.01,9.01 10/23/06 OPPENHEIMER HOLDINGS INC A6 1.01 07/31/06 AMEND OURPETS CO CO 1.01,9.01 10/18/06 OWENS CORNING DE 7.01,9.01 10/23/06 Owens Corning (Reorganized) Inc. DE 7.01,9.01 10/23/06 Pacific Coast National Bancorp CA 4.02,7.01,9.01 10/18/06 Pacific Ethanol, Inc. DE 1.01,3.02,5.02,9.01 10/17/06 PACIFIC GAS & ELECTRIC CO CA 8.01 10/20/06 PDL BIOPHARMA, INC. DE 5.02 10/17/06 PENNS WOODS BANCORP INC PA 2.02,9.01 10/19/06 PENNSYLVANIA COMMERCE BANCORP INC 2.02,9.01 10/20/06 PEOPLES BANCORPORATION INC /SC/ SC 2.02,9.01 10/20/06 PEOPLES FINANCIAL SERVICES CORP/ PA 9.01 09/30/06 PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 10/20/06 PETCO ANIMAL SUPPLIES INC DE 8.01,9.01 10/17/06 PG&E CORP CA 8.01 10/20/06 PHAZAR CORP DE 5.02 10/19/06 PINNACLE BANKSHARES CORP VA 2.02,9.01 10/20/06 PLACER SIERRA BANCSHARES CA 1.01,8.01 10/17/06 PLAINS ALL AMERICAN PIPELINE LP DE 8.01,9.01 10/23/06 PLUM CREEK TIMBER CO INC DE 2.02,9.01 10/23/06 PLUMAS BANCORP CA 2.02,9.01 10/23/06 Porter Bancorp, Inc. KY 5.02,9.01 10/19/06 PRE PAID LEGAL SERVICES INC OK 2.02,9.01 09/30/06 Promotora Valle Hermosa CORP FL 4.01,9.01 08/14/06 AMEND PROQUEST CO DE 1.01,9.01 10/20/06 PROVIDENT FINANCIAL HOLDINGS INC DE 2.02,9.01 10/23/06 PUBLIC CO MANAGEMENT CORP NV 4.02 08/21/06 PUBLIC SERVICE CO OF COLORADO CO 8.01 10/20/06 Puda Coal, Inc. 7.01,9.01 10/17/06 QCR HOLDINGS INC DE 8.01 10/23/06 RADYNE CORP DE 2.02,9.01 10/23/06 RC2 CORP DE 2.02,9.01 10/23/06 REALTY INCOME CORP MD 8.01,9.01 10/18/06 Red Mile Entertainment Inc 3.02,9.01 10/19/06 REGIONS FINANCIAL CORP DE 8.01,9.01 10/20/06 REINSURANCE GROUP OF AMERICA INC MO 2.02,9.01 10/23/06 RENAISSANCE LEARNING INC WI 2.02,8.01,9.01 10/18/06 RENTECH INC /CO/ CO 8.01,9.01 10/23/06 REPLIDYNE INC 7.01,9.01 10/23/06 RIVET ACQUISITION CORP DE 3.02,5.01,5.02,8.01 10/20/06 ROCKWELL AUTOMATION INC DE 2.02 10/23/06 ROSS STORES INC DE 2.03 10/17/06 RURBAN FINANCIAL CORP OH 2.02,9.01 10/19/06 S Y BANCORP INC KY 1.01,9.01 10/17/06 S1 CORP /DE/ DE 1.01,5.02,7.01,8.01,9.01 10/23/06 SAKS INC TN 1.01,5.02,9.01 10/23/06 SALTON INC DE 5.02,9.01 10/23/06 SALTON INC DE 8.01,9.01 10/23/06 SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 10/20/06 SANDS REGENT NV 3.01,9.01 10/17/06 SBA COMMUNICATIONS CORP FL 7.01 10/23/06 SERVICE 1ST BANCORP CA 8.01,9.01 10/23/06 SHARPS COMPLIANCE CORP DE 2.02,9.01 10/23/06 SHERWIN WILLIAMS CO OH 1.01,5.02,9.01 10/18/06 SHORE FINANCIAL CORP VA 7.01,9.01 09/30/06 Siberian Energy Group Inc. NV 8.01,9.01 10/23/06 SILICON GRAPHICS INC DE 8.01,9.01 10/23/06 SILICON LABORATORIES INC DE 2.02,9.01 10/23/06 SIMPLETECH INC CA 2.02,9.01 10/23/06 SIRENZA MICRODEVICES INC DE 8.01,9.01 10/20/06 SIRICOMM INC DE 7.01,9.01 10/23/06 SMALL WORLD KIDS INC UT 1.01,1.02,3.02,5.02,9.01 10/19/06 SMART ONLINE INC 8.01,9.01 10/18/06 SNAP ON INC DE 2.02,9.01 10/23/06 SNAP ON INC DE 1.01,9.01 10/20/06 Somaxon Pharmaceuticals, Inc. DE 8.01,9.01 10/23/06 SONO TEK CORP NY 7.01,9.01 10/20/06 SOUTHERN CO DE 1.01 10/17/06 SOUTHWESTERN ENERGY CO AR 2.02,9.01 10/23/06 SPEEDEMISSIONS INC FL 1.01,9.01 10/23/06 SPEEDWAY MOTORSPORTS INC DE 1.01,9.01 10/17/06 ST JOSEPH CAPITAL CORP 1.01,7.01,9.01 10/21/06 STAR GAS PARTNERS LP DE 1.01,9.01 10/19/06 StatSure Diagnostic Systems, Inc. DE 4.02,9.01 10/13/06 AMEND STELLAR RESOURCES LTD NV 9.01 10/23/06 STERLING FINANCIAL CORP /WA/ WA 2.02,9.01 10/23/06 STRATS SM TRUST FOR DAIMLERCHRYSLER N 8.01,9.01 10/16/06 STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 10/16/06 STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 10/16/06 STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 10/16/06 STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 10/16/06 STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 10/16/06 STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 10/16/06 STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 10/16/06 SUBJEX CORP MN 8.01 10/23/06 SUPERIOR BANCORP DE 5.02,7.01,9.01 10/19/06 SURREY BANCORP NC 7.01,9.01 10/23/06 SUSSEX BANCORP NJ 2.02,9.01 10/23/06 SYBASE INC DE 2.02,9.01 10/19/06 SYCAMORE NETWORKS INC DE 3.01,9.01 10/23/06 SYNALLOY CORP DE 2.02,9.01 10/23/06 SYNPLICITY INC CA 2.02,9.01 10/23/06 TALK AMERICA HOLDINGS INC DE 8.01 10/23/06 TALLY HO VENTURES INC DE 1.01,9.01 10/13/06 TD BANKNORTH INC. DE 1.01,5.02,9.01 10/18/06 TECHNICAL OLYMPIC USA INC DE 1.01,9.01 10/17/06 TERRA INDUSTRIES INC MD 8.01,9.01 10/19/06 TEXAS INSTRUMENTS INC DE 2.02,9.01 10/23/06 TEXAS REGIONAL BANCSHARES INC TX 8.01,9.01 10/23/06 THOMAS GROUP INC DE 2.02,9.01 10/17/06 Thorium Power, Ltd NV 5.02,8.01,9.01 10/17/06 TORA TECHNOLOGIES INC NV 1.01,2.01,5.02,7.01,8.01,9.01 10/20/06 TRANS WORLD ENTERTAINMENT CORP NY 1.01,9.01 10/20/06 TransMontaigne Partners L.P. DE 8.01,9.01 10/19/06 TRANSTECH INDUSTRIES INC DE 2.01 10/19/06 TWIN DISC INC WI 2.02,5.02,7.01 10/20/05 U S ENERGY SYSTEMS INC DE 9.01 08/07/06 AMEND ULTRA CLEAN HOLDINGS INC 2.01,9.01 10/23/06 United Financial Bancorp Inc 2.02,9.01 10/20/06 UNITED FIRE & CASUALTY CO IA 2.02,9.01 10/23/06 UNITED THERAPEUTICS CORP DE 7.01,9.01 10/23/06 URANERZ ENERGY CORP. NV 8.01,9.01 10/20/06 V F CORP PA 1.01,5.02,5.03,9.01 10/19/06 VALEANT PHARMACEUTICALS INTERNATIONAL DE 4.02,7.01,8.01 10/20/06 VALERO ENERGY CORP/TX DE 1.01,9.01 10/19/06 VALLEY NATIONAL BANCORP NJ 1.01,9.01 10/18/06 VEECO INSTRUMENTS INC DE 1.01,2.02,9.01 10/19/06 Veri-Tek International, Corp. MI 1.01,2.02,9.01 10/19/06 VIASPACE Inc. NV 8.01,9.01 10/23/06 VICOR CORP DE 2.02,9.01 10/23/06 VIEWCAST COM INC DE 5.02,9.01 10/17/06 VISTAPRINT LTD D0 2.02,9.01 10/23/06 VOLTERRA SEMICONDUCTOR CORP 2.02,9.01 10/23/06 VOYAGER ONE INC NV 1.01,9.01 10/17/06 WaMu Mortgage Pass-Through Certificat DE 6.01 10/23/06 WASHINGTON TRUST BANCORP INC RI 2.02,9.01 10/23/06 WASTE SERVICES, INC. A6 7.01,9.01 10/23/06 WATAIRE INTERNATIONAL, INC. WA 1.01,2.01,7.01,9.01 10/19/06 WEATHERFORD INTERNATIONAL LTD D0 2.02,7.01,9.01 10/22/06 WEST PHARMACEUTICAL SERVICES INC PA 1.01 10/17/06 WESTERN DIGITAL CORP DE 8.01,9.01 10/23/06 Western Union CO DE 2.02,9.01 10/23/06 WILDER RICHMAN HISTORIC PROPERTIES II DE 8.01,9.01 10/23/06 WINTRUST FINANCIAL CORP IL 2.02,9.01 10/23/06 WINWIN GAMING INC DE 5.02 10/17/06 WIRELESS HOLDINGS INC FL 8.01,9.01 10/20/06 XCEL ENERGY INC MN 8.01 10/20/06 XEROX CORP NY 2.02,9.01 10/23/06 ZANETT INC DE 2.02,8.01 10/19/06 ZENITH NATIONAL INSURANCE CORP DE 2.02,9.01 10/23/06