SEC NEWS DIGEST Issue 2006-214 November 6, 2006 ENFORCEMENT PROCEEDINGS IN THE MATTER OF CHARLES EHRLICH On November 3, the Commission issued an Order Instituting Public Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Charles B. Ehrlich (Ehrlich). Ehrlich consented to the issuance of the Order without admitting or denying any of the findings in the Order. The Order found that Ehrlich acted as an unregistered broker-dealer in connection with the offer and sale of GetAnswers, Inc. (GetAnswers) stock, for which he received transaction-based compensation. On Jan. 10, 2003, the Commission filed a complaint against GetAnwers and others in the U.S. District Court for the Southern District of Florida in SEC v. GetAnswers, et al., Civil Action No. 03-20048-CIV-KING. The Commission's amended complaint in the civil action alleged that GetAnswers, which operated an Internet "knowledge management" service company, fraudulently raised approximately $7.5 million through a network of in-house sales representatives offering and selling GetAnswers' stock from its Aventura, Florida offices. The amended complaint further alleged that GetAnswers, through its offering and marketing materials and/or sales representatives, made false representations and omissions of material fact to investors relating to, among other things, GetAnswers' president and chief executive officer's experience in starting successful Internet companies, GetAnswers' affiliation with a college, the use of investor proceeds, the safety and profitability of an investment in the company, and its compliance with securities laws. The amended complaint charged Ehrlich and others with violations of the registration, broker-dealer registration, and antifraud provisions of the federal securities laws in connection with the offer and sale of GetAnswers stock. On Oct. 16, 2006, the Court issued a Final Judgment by consent against Ehrlich that permanently enjoined him from violating Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Exchange Act, and Rule 10b-5 thereunder. Based on the above, the Order bars Ehrlich from association with any broker or dealer. (Rel. 34-54707; File No. 3-12471) COMMISSION SANCTIONS IRFAN MOHAMMED AMANAT The Commission determined that Irfan Mohammed Amanat, who was associated as chief technology officer of MarketXT Inc., a former registered broker-dealer, willfully violated Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934 by engaging in a fraudulent scheme to obtain market data rebates from the Nasdaq Stock Market, Inc. The Commission concluded that it was appropriate in the public interest to bar Amanat from association with any broker or dealer subject to a right to reapply after five years, impose a cease- and-desist order, and assess a $60,000 civil money penalty. (Rel. 34- 54708; File No. 3-11813) COMMISSION DISMISSES PROCEEDINGS AGAINST JAMES PATTEN The Commission has dismissed proceedings against James T. Patten, president and owner of Greater Metropolitan Investment Services, Inc. (GMIS), a broker-dealer formerly registered with the Commission. Patten was alleged to have violated antifraud provisions of the securities laws as a result of manipulative trading activity in 2002 and 2003 in the stock of Initio, Inc., formerly listed on the Nasdaq Small Cap Market. The Commission concluded that, although some circumstantial evidence in this case could be viewed as consistent with Patten's involvement with the manipulation of Initio's stock price, the record on the whole was insufficient to support a finding of violation against Patten. (Rel. 34-54710; File No. 3-11812) COMMISSION DENIES NASD'S MOTION TO RECONSIDER OPINION REMANDING APPLICATION BY MAY CAPITAL GROUP, LLC SEEKING PERMISSION FOR MELVIN ROKEACH TO CONTINUE TO ASSOCIATE WITH MAY CAPITAL The Commission has denied NASD's motion for reconsideration of the Commission's May 12, 2006, opinion remanding to NASD its denial of the membership continuance application of May Capital Group, LLC, seeking permission for Melvin Rokeach, an individual subject to a statutory disqualification, to continue to associate with May Capital despite the disqualification. In the May 12, 2006, opinion, the Commission determined that the principles articulated in its previous decision in Paul Edward Van Dusen, 47 S.E.C. 668 (1981), should be applied to May Capital's application. The Commission remanded because NASD had stated explicitly that it had not evaluated the membership continuance application in accordance with those principles. In its motion for reconsideration, NASD argued that the Commission had erred by retroactively applying the analysis in Van Dusen to May Capital's application and by applying that analysis to the application without a legal basis. The Commission determined that the May 12, 2006, opinion did not engage in impermissible retroactivity by applying the Van Dusen principles to the membership continuance application because the Commission had not previously considered whether those principles applied to the membership continuance applications of individuals whose statutory disqualifications resulted, as in Rokeach's case, from NASD enforcement action. The Commission also determined that its review of NASD's denial of the membership continuance application under Section 19(f) of the Securities Exchange Act of 1934 provided the legal basis for application of the Van Dusen analysis to the application. (Rel. 34- 54711; File No. 3-12094) IN THE MATTER OF DAVID KREINBERG, CPA On November 6, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions (Order) against David Kreinberg, a certified public accountant whose license to practice in the State of New York has lapsed. Kreinberg served as Chief Financial Officer of Comverse Technology, Inc. (Comverse) from May 1999 to April 28, 2006. On November 2, a Final Judgment signed by Judge Nicholas Garaufis was entered in the U.S. District Court for the Eastern District of New York, which permanently enjoins Kreinberg, by consent, from future violations of 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. The Court ordered the injunction based on allegations in the Commission's complaint in the matter of Securities and Exchange Commission v. Jacob "Kobi" Alexander, et al., (U.S. District Court for the Eastern District of New York, Civil Action No. 1:06-CV-03844-NGG-RER, filed Aug. 9, 2006). The Commission's complaint alleged, among other things, that no later than 1998, Kreinberg engaged in a fraudulent scheme with Comverse's former Chairman and Chief Executive Officer and Comverse's former General Counsel and later, Senior General Counsel, to grant undisclosed, in-the-money options to themselves and others, by backdating stock option grants to coincide with historically low closing prices for Comverse's stock. From 1999 through at least April 2002, the Complaint also alleges that 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. Based on the Court's entry of an injunction against Kreinberg, the Commission ordered that Kreinberg is suspended from appearing or practicing before the Commission as an accountant. Kreinberg consented to the issuance of the Order without admitting or denying any of the findings in the Order except as to the Commission's jurisdiction over him, the subject matter of the Proceedings, and the fact that the federal court entered the injunction against him. (Rel. 34-54712; AAE Rel. 2510; File No. 3-12469) SEC FILES ENFORCEMENT ACTION AGAINST OFFSHORE COMPANY AND ITS TRADER FOR VIOLATIONS OF RULE 105 The Commission announced today that it filed a settled civil action in the U.S. District Court for the Southern District of New York against Solar Group S.A., an offshore company, and its sole trader James J. Todd, charging them with violating Rule 105 of Regulation M of the Securities Exchange Act of 1934. Rule 105 prohibits covering a short sale with securities obtained in certain public offerings when the short sale occurs during a specific period (usually five business days) before the pricing of the offering. Without admitting or denying the allegations in the complaint, Solar Group and Todd have agreed to settle the Commission enforcement action by consenting to the entry of a final judgment that permanently enjoins them from future violations of Rule 105, and holds them jointly and severally liable to disgorge $1.1 million in trading profits and prejudgment interest, and to pay a $500,000 civil penalty. The Commission's complaint alleges that, from January 2001 through July 2005, Solar Group and Todd violated Rule 105 in connection with approximately 176 public offerings by using shares purchased in those offerings to cover short sales made during the restricted period set by Rule 105. The complaint further alleges that in the offerings, the offering price was usually set at a discount to the last reported sale price of the stock before the pricing of the offering. As alleged in the complaint, by short selling just prior to pricing, Solar Group often sold shares short at prices higher than the price it would later pay for the shares in the offering. By engaging in this conduct, the complaint alleges, Solar Group significantly reduced its market risk of investing in public offerings and realized profits that totaled nearly $1 million. The Commission acknowledges the assistance and cooperation of the National Association of Securities Dealers. [SEC v. Solar Group S.A. and James J. Todd, Civil Action No. 06-CV-12936 (SDNY) (LAK)] (LR- 19899) INVESTMENT COMPANY ACT RELEASES FIDELITY MANAGEMENT & RESEARCH COMPANY, ET AL. A notice has been issued giving interested persons until November 27 to request a hearing on an application filed by Fidelity Management & Research Company, 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-27544 - November 2) MONY LIFE INSURANCE COMPANY OF AMERICA, ET AL. An order has been issued approving an application filed by MONY Life Insurance Company of America, MONY America Variable Account A, MONY America Variable Account L, MONY Life Insurance Company, MONY Variable Account A, MONY Variable Account L, and EQ Advisors Trust (collectively, Applicants). Applicants have been authorized under Section 26(c) of the Investment Company Act to substitute shares of securities issued by certain registered investment companies for shares of securities of certain other registered investment companies. Applicants also have been granted an exemption from Section 17(a) of the Act in order to engage in certain in-kind transactions in connection with the substitutions. (Rel. IC-27545 - November 3) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The Fixed Income Clearing Corporation filed a proposed rule change (SR-FICC-2006-15) to modify its rules to diversify and standardize Clearing Fund collateral requirements across the division to improve liquidity and minimize risk for its members. Publication is expected in the Federal Register during the week of November 6. (Rel. 34-54682) A proposed rule change (SR-NYSE-2006-93) has been filed by the New York Stock Exchange to amend NYSE Rule 607 concerning the use of the Random Selection Method to appoint arbitrators in matters not involving customers. Publication is expected in the Federal Register during the week of November 6. (Rel. 34-54694) The Commission issued a notice of a proposed rule change (SR-NASD- 2005-146) and Amendment Nos. 1 and 2 thereto submitted by the National Association of Securities Dealers to expand the scope of IM-2110-2 relating to trading ahead of customer limit orders to apply to all OTC equity securities. Publication is expected in the Federal Register during the week of November 6. (Rel. 34-54705) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-Amex-2006-103) filed by the American Stock Exchange eliminating the post-trade allocation feature in ANTE, 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 November 6. (Rel. 34-54691) National Stock Exchange filed a proposed rule change (SR-NSX-2006-12) to implement a fee schedule under Rule 16.1(a) and 16.1(c) for transactions executed through the Intermarket Trading System Plan and/or the Plan for the Purpose of Creating and Operating an Intermarket Communications Linkage. The proposed rule change has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 6. (Rel. 34-54692) American Stock Exchange filed a proposed rule change (SR-Amex-2006-93) to revise the Equities and Exchange Traded Fund Shares (ETFs) Fee Schedule. The proposed rule change has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 6. (Rel. 34-54696) A proposed rule change (SR-ISE-2006-61) and Amendment No. 1 thereto filed by the International Securities Exchange relating to fee changes 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 November 6. (Rel. 34-54697) A proposed rule change (SR-Amex-2006-104) filed by the American Stock Exchange to eliminate certain licensing fees has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 6. (Rel. 34-54698) A proposed rule change (SR-NASD-2006-121) filed by the National Association of Securities Dealers to amend NASD Rule 11890(b)(2) to allow NASD to designate officers to take action under the Rule with respect to clearly erroneous transactions 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 November 6. (Rel. 34-54702) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-CBOE-2006-74) and Amendment Nos. 1 and 2 thereto submitted by the Chicago Board Options Exchange regarding the initial and continued listing and trading of options on Units that represent interests in a trust that holds a specified non-U.S. currency. Publication is expected in the Federal Register during the week of November 6. (Rel. 34-54693) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-DTC-2006-11) filed by The Depository Trust Company allowing DTC to enhance its Inventory Management System (IMS) to accept in real-time non-Continuous Net Settlement institutional trades from Omgeo LLC and to accept late affirmed trades into IMS for automated settlement at DTC. Publication is expected in the Federal Register during the week of November 6. (Rel. 34-54701) The Commission approved a proposed rule change (SR-ISE-2006-44) filed by the International Securities Exchange amending the Schedule of Fees to expand the Broker Marketing Alliance to include non-broker-dealers with regard to the enhanced sentiment market data offering. Publication is expected in the Federal Register during the week of November 6. (Rel. 34-54704) The Commission approved a proposed rule change (SR-Amex-2006-72) and Amendment No. 1 thereto submitted by the American Stock Exchange relating to new rules to implement on a pilot basis an initial version of AEMI, the Exchange's proposed new hybrid market trading platform for equity products and exchange-traded funds, and granted accelerated approval of Amendment No. 3 to the proposal. Publication is expected in the Federal Register during the week of November 6. (Rel. 34-54709) 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: . SB-1 Nuport Group Inc., 502 EAST JOHN STREET, CARSON CITY, NV, 89706, 775-882-3072 - 3,000,000 ($30,000.00) Equity, (File 333-138394 - Nov. 3) (BR. 04) S-3ASR CELGENE CORP /DE/, 86 MORRIS AVENUE, SUMMIT, NJ, 07901, (908)673-9000 - 0 ($0.00) Debt Convertible into Equity, 0 ($0.00) Equity, (File 333-138395 - Nov. 3) (BR. 01A) S-8 NDS GROUP PLC, ONE HEATHROW BOULEVARD, 286 BATH ROAD, WEST DRAYTON, MIDDLESEX, X0, UB7 0DQ, 011 44 20 8476 8000 - 10,300,000 ($472,379,171.25) Equity, (File 333-138396 - Nov. 3) (BR. 03A) S-8 AUDIBLE INC, 65 WILLOWBROOK BLVD, WAYNE, NJ, 07470, 9738372700 - 1,500,000 ($11,145,000.00) Equity, (File 333-138397 - Nov. 3) (BR. 08A) S-8 CITIZENS & NORTHERN CORP, 90-92 MAIN ST, WELLSBORO, PA, 16901, 7172656171 - 364,424 ($8,066,525.24) Equity, (File 333-138398 - Nov. 3) (BR. 07B) S-8 CORVU CORP, 3400 W 66TH ST, STE 445, EDINA, MN, 55435, 9529447777 - 97,500 ($29,250.00) Equity, (File 333-138399 - Nov. 3) (BR. 03A) S-8 MEDICAL ACTION INDUSTRIES INC, 800 PRIME PL, HAUPPAUGE, NY, 11788, 5162314600 - 0 ($10,628,000.00) Equity, (File 333-138400 - Nov. 3) (BR. 10B) S-8 MEDICAL ACTION INDUSTRIES INC, 800 PRIME PL, HAUPPAUGE, NY, 11788, 5162314600 - 0 ($13,285,000.00) Equity, (File 333-138401 - Nov. 3) (BR. 10B) S-8 MEDICAL ACTION INDUSTRIES INC, 800 PRIME PL, HAUPPAUGE, NY, 11788, 5162314600 - 0 ($13,285,000.00) Equity, (File 333-138402 - Nov. 3) (BR. 10B) S-8 DOW CHEMICAL CO /DE/, 2030 DOW CENTER, MIDLAND, MI, 48674-2030, 989-636-1000 - 6,000,000 ($184,860,000.00) Equity, (File 333-138403 - Nov. 3) (BR. 06B) S-3 HSBC PRIVATE LABEL CREDIT CARD MASTER NOTE TRUST (USA) I, 2700 SANDERS RD, PROSPECT HEIGHTS, IL, 60070, 8475645000 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-138404 - Nov. 3) (BR. 05D) S-3 SENESCO TECHNOLOGIES INC, 34 CHAMBERS STREET, PO BOX 3303, PRINCETON, NJ, 08542, 6092520880 - 0 ($5,542,200.00) Equity, (File 333-138405 - Nov. 3) (BR. 01C) S-3ASR MOOG INC, PLANT 24, EAST AURORA, NY, 14052-0018, 7166522000 - 445,725 ($16,701,316.00) Equity, (File 333-138406 - Nov. 3) (BR. 06A) S-8 SUNOCO INC, 1735 MARKET STREET, SUITE LL, PHILADELPHIA, PA, 19103-7583, 2159773000 - 0 ($330,150,000.00) Equity, (File 333-138407 - Nov. 3) (BR. 04C) S-8 AVALON PHARMACEUTICALS INC, 20358 SENECA MEADOWS PARKWAY, GERMANTOWN, MD, 20876, 3015569900 - 0 ($1,775,532.00) Equity, (File 333-138408 - Nov. 3) (BR. 01) S-8 PERINI CORP, 73 MT WAYTE AVE, FRAMINGHAM, MA, 01701, 5086282000 - 2,000,000 ($49,280,000.00) Equity, (File 333-138411 - Nov. 3) (BR. 06B) S-8 HouseValues, Inc., 11332 N.E. 122ND WAY, BUILDING A2, KIRKLAND, WA, 98005, (425) 454-0088 - 3,922,804 ($23,419,139.88) Equity, (File 333-138412 - Nov. 3) (BR. 08A) S-8 MUELLER INDUSTRIES INC, SUITE 150, 8285 TOURNAMENT DRIVE, MEMPHIS, TN, 38125, (901)753-3200 - 1,000,000 ($35,030,000.00) Equity, (File 333-138413 - Nov. 3) (BR. 06B) S-8 EMERITUS CORP\WA\, 3131 ELLIOTT AVENUE, SUITE 500, SEATTLE, WA, 98121, 2062982909 - 1,000,000 ($23,250,000.00) Equity, (File 333-138414 - Nov. 3) (BR. 11B) S-3 ENZO BIOCHEM INC, 60 EXECUTIVE BLVD, FARMINGDALE, NY, 11735, 5167555500 - 7,022,472 ($100,000,000.00) Equity, (File 333-138417 - Nov. 3) (BR. 09A) N-2 Triangle Capital CORP, 3600 GLENWOOD AVENUE, SUITE 104, RALEIGH, NC, 27612, 9197194770 - 57,500,000 ($57,500,000.00) Equity, (File 333-138418 - Nov. 3) (BR. ) S-3ASR NEW PLAN EXCEL REALTY TRUST INC, 420 LEXINGTON AVENUE, NEW YORK, NY, 10170, 2128693000 - 0 ($200,000,000.00) Debt Convertible into Equity, (File 333-138419 - Nov. 3) (BR. 08C) S-8 OCCAM NETWORKS INC/DE, 77 ROBIN HILL ROAD, SANTA BARBARA, CA, 93117, (805) 692-2900 - 3,600,505 ($68,517,610.15) Equity, (File 333-138420 - Nov. 3) (BR. 03A) S-8 COMPETITIVE COMPANIES INC, 3751 MERCED DRIVE, SUITE A, RIVERSIDE, CA, 92503, 9096876100 - 250,000 ($67,500.00) Equity, (File 333-138421 - Nov. 3) (BR. 11C) S-8 YAHOO INC, 4083493300 - 0 ($12,038,400.00) Equity, (File 333-138422 - Nov. 3) (BR. 03B) S-8 ESSEX CORP, 6708 ALEXANDER BELL DRIVE, COLUMBIA, MD, 21046, 3019397000 - 500,000 ($9,755,000.00) Equity, (File 333-138423 - Nov. 3) (BR. 06A) S-1 GreenHaven Continuous Commodity Index Fund, C/O GREENHAVEN COMMODITY SERVICES, 3340 PEACHTREE ROAD, SUITE 1910, ATLANTA, GA, 30326, 800-845-8103 - 0 ($120,000,000.00) Equity, (File 333-138424 - Nov. 3) (BR. ) S-4 MxEnergy Holdings Inc, 595 SUMMER STREET, SUITE 300, STAMFORD, CT, 06901, (203) 356-1318 - 0 ($190,000,000.00) Other, (File 333-138425 - Nov. 3) (BR. ) S-3 Cogdell Spencer Inc., 4401 BARCLAY DOWNS DRIVE, SUITE 300, CHARLOTTE, NC, 28209-4670, 704-940-2900 - 0 ($400,000,000.00) Equity, (File 333-138426 - Nov. 3) (BR. 08C) S-8 PAPA JOHNS INTERNATIONAL INC, 2002 PAPA JOHNS BOULEVARD, LOUISVILLE, KY, 40299-2334, 5022617272 - 0 ($19,609,938.00) Equity, (File 333-138427 - Nov. 3) (BR. 05C) S-8 PAPA JOHNS INTERNATIONAL INC, 2002 PAPA JOHNS BOULEVARD, LOUISVILLE, KY, 40299-2334, 5022617272 - 0 ($2,663,194.00) Equity, (File 333-138428 - Nov. 3) (BR. 05C) S-3 VERSO TECHNOLOGIES INC, 400 GALLERIA PARKWAY, SUITE 300, ATLANTA, GA, 30326, 7706123500 - 2,170,084 ($2,538,998.28) Equity, (File 333-138429 - Nov. 3) (BR. 03C) SB-2 CYBERDEFENDER CORP, 12121 WILSHIRE BOULEVARD, SUITE 350, LOS ANGELES, CA, 90025, 310-826-1781 - 6,076,956 ($6,076,956.00) Equity, (File 333-138430 - Nov. 3) (BR. ) S-4 QWEST CORP, 1801 CALIFORNIA ST, SUITE 2950, DENVER, CO, 80202, 3038963099 - 0 ($600,000,000.00) Non-Convertible Debt, (File 333-138431 - Nov. 3) (BR. 11B) S-8 STUDIO ONE MEDIA, INC., 2301 WEST DUNLAP, SUITE 207, PHOENIX, AZ, 85021, 4808611183 - 100,000 ($420,000.00) Other, (File 333-138432 - Nov. 3) (BR. 05B) S-8 LEAR CORP, 21557 TELEGRAPH ROAD, SOUTHFIELD, MI, 48034, 2484471500 - 0 ($90,615,000.00) Equity, (File 333-138433 - Nov. 3) (BR. 06C) S-1 WT HOLDINGS CORP, ROOM 1508, PENINSULA SQUARE, 18 SUNG ON STREET, HUNG HOM, KOWLOON, K3, 00000, 852-3580-8800 - 25,262,677 ($6,804,933.76) Equity, (File 333-138434 - Nov. 3) (BR. 02B) S-8 LEAR CORP, 21557 TELEGRAPH ROAD, SOUTHFIELD, MI, 48034, 2484471500 - 0 ($15,102,500.00) Equity, (File 333-138435 - Nov. 3) (BR. 06C) S-8 LEAR CORP, 21557 TELEGRAPH ROAD, SOUTHFIELD, MI, 48034, 2484471500 - 0 ($15,102,500.00) Equity, (File 333-138436 - Nov. 3) (BR. 06C) S-3ASR GENWORTH FINANCIAL INC, 6620 WEST BROAD STREET, RICHMOND, VA, 23230, 804-281-6000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-138437 - Nov. 3) (BR. 01B) S-8 ESSEX CORP, 6708 ALEXANDER BELL DRIVE, COLUMBIA, MD, 21046, 3019397000 - 1,000,000 ($19,510,000.00) Equity, (File 333-138438 - Nov. 3) (BR. 06A) S-4 CARDINAL HEALTH INC, 7000 CARDINAL PLACE, DUBLIN, OH, 43017, 6147573033 - 850,000,000 ($850,000,000.00) Non-Convertible Debt, (File 333-138439 - Nov. 3) (BR. 09B) S-3 EASTERN VIRGINIA BANKSHARES INC, P O BOX 1455, 330 HOSPITAL ROAD, TAPPAHANNOCK, VA, 22560, 8044438400 - 1,150,000 ($25,305,750.00) Equity, (File 333-138440 - Nov. 3) (BR. 07B) SB-2 HEALTH SCIENCES GROUP INC, HOWARD HUGHES CENTER, 6080 CENTER DRIVE, 6TH FLOOR, LOS ANGELES, CA, 90045, 3102426700 - 4,076,223 ($244,574.00) Equity, (File 333-138441 - Nov. 3) (BR. 06C) S-1 Ellora Energy Inc, 5840 Valmont, Suite 350, Boulder, CO, 80301, 3034448881 - 0 ($86,250,000.00) Equity, (File 333-138442 - Nov. 3) (BR. ) S-8 BESTWAY COACH EXPRESS INC, 2 MOTT STREET, SUITE 705, NEW YORK, NY, 10013, 2126088988 - 100,000 ($150,000.00) Equity, (File 333-138443 - Nov. 3) (BR. 05A) 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 155 East Tropicana, LLC NV 5.02,9.01 10/30/06 1ST CENTENNIAL BANCORP CA 1.01,9.01 03/28/06 3D SYSTEMS CORP DE 4.02,9.01 10/30/06 A.C. Moore Arts & Crafts, Inc. PA 8.01 10/30/06 AAC Group Holding Corp. DE 5.02 10/31/06 ACCENTIA BIOPHARMACEUTICALS INC 1.01,1.02,3.02 10/31/06 ACE Securities Corp. Home Equity Loan DE 2.01,9.01 08/25/06 ACG HOLDINGS INC DE 7.01,9.01 11/03/06 ACORN FACTOR, INC. DE 1.01,2.04 10/30/06 ACURA PHARMACEUTICALS, INC NY 2.02,9.01 11/03/06 ADAM INC GA 5.02 10/31/06 ADVANCED ANALOGIC TECHNOLOGIES INC DE 1.01,2.01,9.01 10/31/06 Advanced BioPhotonics Inc. DE 1.01,2.03,3.02,9.01 10/31/06 ADVENTRX PHARMACEUTICALS INC DE 1.01,8.01,9.01 11/02/06 AEGIS COMMUNICATIONS GROUP INC DE 8.01,9.01 11/03/06 Affinion Group, Inc. DE 1.01,5.02 10/30/06 AHERN RENTALS INC 8.01,9.01 11/02/06 AIR METHODS CORP DE 1.01,2.03,9.01 10/31/06 Aircastle LTD D0 8.01 11/02/06 ALBANY MOLECULAR RESEARCH INC DE 5.02,9.01 10/30/06 ALBERTO CULVER CO DE 5.02 11/01/06 ALESCO FINANCIAL INC 8.01,9.01 11/03/06 ALEXANDRIA REAL ESTATE EQUITIES INC MD 2.02,9.01 11/02/06 ALLEGHENY ENERGY, INC MD 7.01 11/02/06 ALLIANCE IMAGING INC /DE/ DE 2.02,5.02,9.01 11/02/06 ALLIANT TECHSYSTEMS INC DE 1.01,5.05,9.01 10/30/06 ALLIED MOTION TECHNOLOGIES INC CO 2.02,9.01 11/03/06 ALLIN CORP DE 2.02,9.01 11/01/06 ALLOS THERAPEUTICS INC DE 2.02,9.01 11/03/06 ALLTEL CORP DE 1.01,9.01 11/01/06 Alternative Construction Company, Inc FL 5.02,9.01 10/27/06 AMEREN CORP MO 1.02,2.02,8.01,9.01 10/31/06 AMERICAN COMMUNITY PROPERTIES TRUST MD 1.01,2.03 11/01/06 AMERICAN MEDIA OPERATIONS INC DE 1.01,9.01 11/02/06 AMERICAN SHARED HOSPITAL SERVICES CA 2.02,9.01 11/03/06 AMERICAN TELETRONICS INC CO 1.01 11/03/06 AMERIGROUP CORP 1.01 10/12/06 AMREIT TX 1.01,9.01 11/01/06 ANALEX CORP DE 2.02,9.01 09/30/06 ANGEION CORP/MN MN 5.02,9.01 10/30/06 APOLLO GROUP INC AZ 4.02,5.02,9.01 11/01/06 APPLIED IMAGING CORP DE 1.01,9.01 11/02/06 ARBOR REALTY TRUST INC MD 2.02,9.01 11/03/06 ARDEN GROUP INC DE 2.02,9.01 11/03/06 Ardent Acquisition CORP DE 8.01,9.01 11/02/06 ARGONAUT GROUP INC DE 2.02,9.01 11/02/06 ARTS WAY MANUFACTURING CO INC DE 5.02 10/30/06 ASI TECHNOLOGY CORP NV 1.01,9.01 11/03/06 ASIAN FINANCIAL INC WY 3.02,9.01 11/02/06 ASPEN INSURANCE HOLDINGS LTD D0 1.01,5.02,7.01,9.01 10/30/06 ASSURED GUARANTY LTD 2.02,9.01 11/02/06 ATLANTIS PLASTICS INC FL 1.01,2.03,9.01 10/30/06 ATP OIL & GAS CORP TX 2.02,9.01 11/03/06 AVANIR PHARMACEUTICALS CA 1.01,2.02,8.01,9.01 11/02/06 AXIAL VECTOR ENGINE CORP NV 4.01 10/30/06 AZZ INC TX 7.01,9.01 11/02/06 BALCHEM CORP MD 2.02,9.01 10/31/06 BALLANTYNE OF OMAHA INC DE 2.02,9.01 11/02/06 BASIC EARTH SCIENCE SYSTEMS INC DE 8.01,9.01 11/03/06 BAYOU CITY EXPLORATION, INC. NV 3.03 10/31/06 BEACON ROOFING SUPPLY INC 1.01,9.01 11/02/06 BEARD CO /OK OK 3.02,7.01,9.01 10/16/06 BEARINGPOINT INC DE 1.01,7.01,9.01 10/31/06 BEHRINGER HARVARD REIT I INC MD 2.01,2.03,9.01 10/30/06 BERKLEY W R CORP DE 8.01,9.01 11/01/06 BERKSHIRE HATHAWAY INC DE 2.02,9.01 11/03/06 BERKSHIRE HILLS BANCORP INC 8.01,9.01 11/03/06 BIG DOG HOLDINGS INC DE 2.02,7.01 11/02/06 BIOVEST INTERNATIONAL INC DE 1.01,1.02,3.02,5.02 10/31/06 BJS WHOLESALE CLUB INC DE 2.02,9.01 11/02/06 BKF CAPITAL GROUP INC DE 1.01,5.02,8.01,9.01 10/30/06 BLACK HILLS CORP /SD/ SD 2.02,9.01 11/02/06 BLAST ENERGY SERVICES, INC. CA 8.01,9.01 10/24/06 BLUE HOLDINGS, INC. NV 5.02 11/03/06 BLUE VALLEY BAN CORP KS 2.02,7.01,9.01 11/02/06 BRICKMAN GROUP LTD 1.01,2.01,9.01 10/31/06 BRISTOL MYERS SQUIBB CO DE 1.01,8.01,9.01 10/31/06 BRYN MAWR BANK CORP PA 1.01 10/30/06 BUREAU OF NATIONAL AFFAIRS INC DE 4.02 11/03/06 AMEND BUTLER INTERNATIONAL INC /MD/ MD 1.01,9.01 10/31/06 Calibre Energy, Inc. NV 5.02 10/31/06 CALIFORNIA WATER SERVICE GROUP DE 2.02,9.01 11/01/06 CAMDEN PROPERTY TRUST TX 1.01 10/30/06 CAMDEN PROPERTY TRUST TX 2.02,9.01 11/02/06 CANDELA CORP /DE/ DE 1.01 11/03/06 CANTERBURY PARK HOLDING CORP MN 8.01,9.01 11/03/06 CAPITAL TRUST INC MD 2.02,9.01 10/30/06 CAPITAL TRUST INC MD 7.01,9.01 11/02/06 CAPSOURCE FINANCIAL INC CO 3.02 10/30/06 CARAUSTAR INDUSTRIES INC NC 2.02,4.02,9.01 11/01/06 CAREMARK RX INC DE 1.01,8.01,9.01 11/01/06 CARPENTER TECHNOLOGY CORP DE 1.01,5.02 11/03/06 CBL & ASSOCIATES PROPERTIES INC DE 2.02,9.01 11/03/06 CBRL GROUP INC TN 1.01,7.01,9.01 10/30/06 CCA INDUSTRIES INC DE 8.01 11/02/06 CDOOR CORP DE 1.01,5.01,5.02,9.01 11/02/06 CELGENE CORP /DE/ DE 8.01,9.01 11/02/06 CENTURY REALTY TRUST IN 3.01,8.01,9.01 11/03/06 CEPHEID CA 2.02,9.01 11/02/06 CEPHEID CA 2.02,9.01 11/03/06 CERAMICS PROCESS SYSTEMS CORP/DE/ DE 2.02 09/30/06 CHEESECAKE FACTORY INCORPORATED DE 8.01,9.01 11/01/06 Chemtura CORP DE 2.02,9.01 11/02/06 Chemtura CORP DE 1.01,9.01 11/03/06 CHENIERE ENERGY INC DE 1.01,9.01 11/01/06 CHEROKEE INC DE 1.01,1.02,9.01 10/31/06 CHESAPEAKE CORP /VA/ VA 2.02,9.01 11/02/06 CHILDRENS PLACE RETAIL STORES INC 1.01 09/29/06 CHILDRENS PLACE RETAIL STORES INC 2.02,9.01 11/02/06 CHINA BIOPHARMA, INC. DE 5.03,9.01 08/10/06 CHL MORTGAGE PASS-THROUGH TRUST 2005- DE 8.01,9.01 11/02/06 CINTEL CORP NV 1.01,2.01,9.01 10/30/06 CIRCOR INTERNATIONAL INC DE 1.01,3.03,9.01 11/02/06 CIRCOR INTERNATIONAL INC DE 2.02,5.02,9.01 11/01/06 Citi Trends Inc 2.02,9.01 11/01/06 Citizens Community Bancorp Inc. MD 2.02,9.01 11/03/06 CITIZENS FIRST CORP KY 7.01,9.01 11/03/06 CLEAN HARBORS INC MA 9.01 08/18/06 AMEND COACH INC MD 8.01 11/03/06 COHESANT TECHNOLOGIES INC DE 8.01,9.01 11/03/06 COINMACH SERVICE CORP DE 2.02,7.01,9.01 11/03/06 Cold Spring Capital Inc. DE 8.01,9.01 11/03/06 COMFORCE CORP DE 2.02,9.01 11/02/06 COMFORT SYSTEMS USA INC 2.02,8.01,9.01 11/01/06 COMMUNITY VALLEY BANCORP CA 2.02,9.01 11/03/06 AMEND COMSYS IT PARTNERS INC DE 5.02 11/02/06 CONSOLIDATED CONTAINER CO LLC DE 8.01,9.01 11/01/06 CORAUTUS GENETICS INC DE 1.01,1.02,5.02,8.01,9.01 10/30/06 CORINTHIAN COLLEGES INC 5.02,9.01 10/30/06 CORNERSTONE MINISTRIES INVESTMENTS IN GA 5.02 09/06/06 COST PLUS INC/CA/ CA 2.02,9.01 11/01/06 CRAWFORD & CO GA 3.02 10/30/06 CRESCENT BANKING CO GA 2.02,9.01 11/02/06 CRONOS GROUP 8.01,9.01 10/31/06 CRYOCOR INC DE 1.01,5.02,9.01 11/01/06 CSK AUTO CORP DE 3.01,9.01 10/30/06 CV THERAPEUTICS INC DE 1.02,8.01,9.01 10/31/06 CYBEX INTERNATIONAL INC NY 5.02,9.01 11/01/06 CYTOGENIX INC NV 1.01,9.01 11/03/06 DEL LABORATORIES INC DE 7.01,9.01 11/03/06 DESERT CAPITAL REIT INC MD 4.02 11/03/06 DEVELOPERS DIVERSIFIED REALTY CORP OH 7.01,8.01,9.01 11/03/06 DIAMOND OFFSHORE DRILLING INC DE 1.01,2.03,9.01 11/02/06 Diamond Ranch Foods, Ltd., NEW NV 4.01,9.01 10/24/06 AMEND DIGENE CORP DE 2.02,9.01 11/02/06 DIGIMARC CORP DE 2.02,9.01 11/03/06 DIODES INC /DEL/ DE 2.02,9.01 11/01/06 DOE RUN RESOURCES CORP NY 1.01,7.01,9.01 10/30/06 DOLLAR FINANCIAL CORP DE 2.02 11/02/06 DOUBLE EAGLE PETROLEUM CO MD 7.01,9.01 11/03/06 DOWNEY FINANCIAL CORP DE 7.01,9.01 11/01/06 DPL INC OH 2.02,7.01,9.01 10/31/06 DREAM MEDIA INC. DE 3.02,5.03,7.01,9.01 10/30/06 DRS TECHNOLOGIES INC DE 2.02,9.01 11/03/06 DTE ENERGY CO MI 5.02 11/01/06 Duke Energy CORP DE 2.02,9.01 11/03/06 DUQUESNE LIGHT HOLDINGS INC PA 2.02,9.01 11/03/06 DURA AUTOMOTIVE SYSTEMS INC DE 1.01,1.03,2.03,2.04, 10/30/06 3.01,8.01,9.01 DURECT CORP DE 2.02,9. 01 11/03/06 DUSA PHARMACEUTICALS INC NJ 8.01,9.01 11/03/06 DYNAVAX TECHNOLOGIES CORP DE 2.02,9.01 10/26/06 Eco Depot, Inc NV 1.01,5.01,5.02,9.01 10/27/06 EDISON INTERNATIONAL CA 2.02,9.01 11/03/06 EFUNDS CORP DE 1.01 11/01/06 ELANDIA, INC. DE 5.02,9.01 10/30/06 ELECSYS CORP KS 2.01,9.01 11/01/06 ELECTRONICS FOR IMAGING INC DE 2.01,7.01,9.01 10/31/06 ELIZABETH ARDEN INC FL 2.02,8.01,9.01 11/02/06 EMAK Worldwide, Inc. DE 2.02,9.01 09/30/06 Emergency Medical Services CORP DE 7.01,9.01 11/03/06 Emergency Medical Services CORP DE 2.05 10/31/06 EMERITUS CORP\WA\ WA 1.01,9.01 06/14/06 EMS TECHNOLOGIES INC GA 2.02,9.01 11/03/06 ENCORE MEDICAL CORP DE 8.01,9.01 11/02/06 ENCORE MEDICAL CORP DE 1.01,2.03,3.01,3.03, 11/03/06 5.01,5.02,9.01 ENCYSIVE PHARMACEUTICALS INC DE 8.01 11/02/06 ENERGIZER HOLDINGS INC MO 2.02 09/30/06 ENERGY EAST CORP NY 2.02,9.01 11/02/06 Energy Transfer Partners, L.P. DE 1.01,3.02,5.03,9.01 11/01/06 ENTERCOM COMMUNICATIONS CORP PA 2.02,9.01 11/03/06 ENTERGY CORP /DE/ DE 7.01,9.01 11/03/06 EVEREST RE GROUP LTD D0 1.01,9.01 10/31/06 EVERLAST WORLDWIDE INC DE 2.02,9.01 11/02/06 F5 NETWORKS INC WA 1.01,9.01 10/31/06 FAIRPOINT COMMUNICATIONS INC DE 2.02,7.01,9.01 11/01/06 FARMERS CAPITAL BANK CORP KY 8.01,9.01 11/02/06 FC FINANCIAL SERVICES INC 5.02 10/30/06 FCB Bancorp CA 2.02,8.01,9.01 11/02/06 Federal Home Loan Bank of Dallas 2.03 10/30/06 Federal Home Loan Bank of New York X1 5.02,8.01,9.01 11/03/06 FEDERAL TRUST CORP FL 2.02,9.01 11/02/06 FFD FINANCIAL CORP/OH OH 2.02,9.01 10/30/06 FIELDSTONE INVESTMENT CORP 7.01,9.01 11/03/06 FIFTH THIRD BANCORP OH 7.01,9.01 11/03/06 FINISH LINE INC /IN/ IN 1.01,9.01 10/30/06 FIRST BANCORP /PR/ PR 8.01,9.01 11/03/06 FIRST CHARTER CORP /NC/ NC 2.01,5.02,9.01 11/01/06 FIRST CHESTER COUNTY CORP PA 1.01 10/25/06 FIRST KEYSTONE CORP PA 2.02,8.01 10/31/06 First Source Data, Inc. NV 1.01,1.02 10/03/06 Flag Intermediate Holdings CORP DE 2.02,9.01 10/31/06 FLEETWOOD ENTERPRISES INC/DE/ DE 2.02,9.01 11/02/06 FONIX CORP DE 8.01,9.01 11/02/06 FOREFRONT HOLDINGS, INC. FL 2.01,9.01 09/12/06 AMEND FOREST OIL CORP NY 1.01 11/03/06 FREMONT MORTGAGE SECURITIES CORP DE 8.01,9.01 11/03/06 FTD Group, Inc. 1.01 11/01/06 FULTON FINANCIAL CORP PA 9.01 11/03/06 AMEND FURIA ORGANIZATION INC /DE/ DE 5.01 11/02/06 GAINSCO INC TX 1.01 10/31/06 GALAXY ENERGY CORP CO 5.02 11/01/06 GARB OIL & POWER CORP UT 3.02,9.01 11/03/06 GateHouse Media, Inc. DE 1.02,8.01 11/03/06 GENESIS ENERGY LP DE 2.02,9.01 11/03/06 GENITOPE CORP DE 1.01,2.03,9.01 10/31/06 GENTEK INC DE 2.05,8.01,9.01 11/03/06 GENTIVA HEALTH SERVICES INC DE 2.02,9.01 11/02/06 GERMAN AMERICAN BANCORP, INC. IN 2.02,8.01,9.01 10/31/06 GETTY IMAGES INC DE 1.01,9.01 10/31/06 GLOBAL CROSSING LTD 1.01,9.01 10/31/06 GLOBAL GREEN SOLUTIONS INC. WA 7.01,9.01 11/03/06 Global Resource CORP CO 4.01,9.01 11/02/06 GoFish Corp. 4.01,5.02,9.01 10/30/06 GRAINGER W W INC IL 5.02 11/03/06 GREAT AMERICAN FAMILY PARKS INC NV 2.01,9.01 11/03/06 GREAT PLAINS ENERGY INC MO 2.02,9.01 11/02/06 GREEN MOUNTAIN POWER CORP VT 2.02,9.01 11/02/06 GRIFFON CORP DE 2.02,9.01 11/03/06 GSI COMMERCE INC DE 7.01,9.01 11/03/06 GTX INC /DE/ DE 1.01,9.01 10/30/06 HAIN CELESTIAL GROUP INC DE 1.01 10/30/06 HARRIS & HARRIS GROUP INC /NY/ NY 5.02,5.05 11/02/06 HARRIS INTERACTIVE INC DE 2.02,9.01 11/03/06 HARTFORD LIFE INSURANCE CO CT 9.01 11/03/06 HAVERTY FURNITURE COMPANIES INC MD 2.02,9.01 09/30/06 HEALTH NET INC DE 2.02,9.01 11/03/06 HEALTHSOUTH CORP DE 8.01,9.01 11/01/06 HealthSpring, Inc. DE 1.02,2.02,9.01 11/01/06 HEARTLAND PAYMENT SYSTEMS INC DE 2.02,8.01,9.01 11/03/06 HECTOR COMMUNICATIONS CORP MN 5.01,8.01 11/03/06 HERCULES OFFSHORE, INC. DE 8.01 10/31/06 HERCULES OFFSHORE, INC. DE 1.01,9.01 11/03/06 HF FINANCIAL CORP DE 2.02,8.01,9.01 10/30/06 HIGHWOODS PROPERTIES INC MD 2.02,9.01 11/03/06 HINES HORTICULTURE INC DE 2.06 10/30/06 HINES HORTICULTURE INC DE 1.01,9.01 10/30/06 HMS HOLDINGS CORP 2.02,7.01,9.01 11/01/06 HOLLIS EDEN PHARMACEUTICALS INC /DE/ DE 2.02,8.01,9.01 11/03/06 HOMEBANC CORP 1.01,2.03,9.01 10/31/06 HONDA AUTO REC 2003-3 OWNER TRUST DE 8.01,9.01 10/23/06 AMEND Horizon Lines, Inc. 2.02,7.01,9.01 10/30/06 HQ SUSTAINABLE MARITIME INDUSTRIES, I DE 4.02,9.01 11/03/06 HRPT PROPERTIES TRUST MD 2.02,9.01 11/03/06 HSI Asset Securitization CORP Trust 2 8.01,9.01 11/03/06 ImmunoCellular Therapeutics, Ltd. DE 1.01,5.03,9.01 10/30/06 INDYMAC MBS INC 9.01 11/03/06 INFORMEDIX HOLDINGS INC NV 4.02 10/19/06 INLAND REAL ESTATE CORP MD 2.02,7.01,9.01 09/30/06 INNOVEX INC MN 1.01 10/18/06 INNOVO GROUP INC DE 1.01,2.03,3.01,9.01 10/30/06 INSITUFORM TECHNOLOGIES INC DE 2.02,9.01 10/30/06 INSMED INC VA 2.02,9.01 11/03/06 INTEGRA LIFESCIENCES HOLDINGS CORP DE 1.01,5.03,9.01 11/03/06 INTELLIGROUP INC NJ 2.02,9.01 11/02/06 INTERCONTINENTALEXCHANGE INC 7.01,9.01 11/02/06 INTERLINE BRANDS, INC./DE DE 2.02,9.01 11/02/06 Intermec, Inc. DE 8.01 11/03/06 INTERMUNE INC DE 1.01 10/30/06 INTERNATIONAL BANCSHARES CORP TX 7.01 11/03/06 International Gold Resources, Inc. 8.01 11/02/06 IQ Micro Inc. CO 8.01 10/31/06 IRWIN FINANCIAL CORP IN 8.01,9.01 11/03/06 IWT TESORO CORP NV 1.01,9.01 10/25/06 AMEND J P MORGAN CHASE & CO DE 9.01 11/01/06 JACOBS ENGINEERING GROUP INC /DE/ DE 2.02,9.01 11/01/06 JLG INDUSTRIES INC PA 8.01,9.01 11/02/06 KANA SOFTWARE INC DE 1.01,9.01 10/30/06 KEMET CORP DE 1.01,2.03 11/03/06 KENEXA CORP 2.02,9.01 11/01/06 KENT FINANCIAL SERVICES INC DE 4.01 11/02/06 KENT INTERNATIONAL HOLDINGS INC NV 4.01 11/02/06 KEYSPAN CORP NY 2.02,9.01 11/03/06 KIMCO REALTY CORP MD 1.01,2.03,8.01,9.01 11/03/06 Kreido Biofuels, Inc. NV 1.01,5.02,8.01,9.01 11/02/06 LA JOLLA PHARMACEUTICAL CO DE 8.01,9.01 11/01/06 LA JOLLA PHARMACEUTICAL CO DE 2.02 11/02/06 LAKELAND BANCORP INC NJ 8.01,9.01 11/03/06 LAKES ENTERTAINMENT INC MN 2.02,9.01 11/03/06 LEAP TECHNOLOGY INC / DE DE 1.01,5.02,9.01 10/31/06 Legacy Bancorp, Inc. DE 7.01 11/01/06 LFG International, Inc. NV 5.03 10/19/06 LHC Group, Inc 8.01,9.01 10/25/06 LIFE USA INC CO 5.02 11/02/06 LifeCare Holdings, Inc. DE 5.02 10/27/06 LINCOLN NATIONAL CORP IN 1.01 11/03/06 Lincoln Park Bancorp 2.02,9.01 11/02/06 LIONBRIDGE TECHNOLOGIES INC /DE/ DE 2.02 11/03/06 LMI AEROSPACE INC MO 2.02 11/02/06 MACERICH CO MD 2.02,7.01,9.01 11/03/06 MAD CATZ INTERACTIVE INC 1.01,2.03,9.01 10/30/06 MANARIS CORP NV 4.01,9.01 10/25/06 AMEND MARLIN BUSINESS SERVICES CORP 2.02,9.01 11/02/06 MARTIN MIDSTREAM PARTNERS LP DE 7.01,9.01 11/03/06 MATRIXX INITIATIVES INC DE 8.01 11/01/06 MEADOW VALLEY CORP NV 8.01,9.01 11/01/06 MEDCO HEALTH SOLUTIONS INC DE 2.02 11/03/06 MEDIANET GROUP TECHNOLOGIES INC NV 5.02,9.01 11/01/06 MEDICOR LTD DE 8.01 11/03/06 MERCK & CO INC NJ 1.01,8.01,9.01 10/30/06 MERCURY INTERACTIVE CORP DE 1.01 10/30/06 MFB CORP IN 9.01 09/30/06 MICRO COMPONENT TECHNOLOGY INC MN 2.02,9.01 11/01/06 MICROSTRATEGY INC DE 2.02,8.01,9.01 11/01/06 MID AMERICA APARTMENT COMMUNITIES INC TN 1.01,9.01 11/03/06 MID-STATE BANCSHARES CA 1.01,9.01 11/01/06 MIDDLESEX WATER CO NJ 8.01,9.01 11/03/06 MILACRON INC DE 2.02,9.01 11/02/06 MILLENNIUM PHARMACEUTICALS INC DE 1.01 11/03/06 MILLIPORE CORP /MA MA 2.02,9.01 11/01/06 MINE SAFETY APPLIANCES CO PA 2.02,9.01 11/02/06 MISSION ENERGY HOLDING CO DE 2.02,9.01 11/03/06 MODTECH HOLDINGS INC CA 1.01,1.02,2.03,3.02 10/31/06 MORGAN BEAUMONT, INC. NV 1.01,5.02 11/01/06 MORGAN STANLEY DEAN WITTER EASTERN EU MD 7.01,9.01 11/01/06 Morgan Stanley Mortgage Loan Trust 20 DE 1.01 10/31/06 Morgan Stanley Mortgage Loan Trust 20 1.01 10/31/06 Morningstar, Inc. IL 7.01 11/03/06 MOTHERS WORK INC DE 2.02,8.01,9.01 11/02/06 MTI TECHNOLOGY CORP DE 1.01,9.01 10/30/06 MUELLER INDUSTRIES INC DE 8.01,9.01 11/03/06 Mueller Water Products, Inc. DE 2.02,9.01 11/02/06 NASHUA CORP MA 2.02,9.01 11/02/06 NATIONAL BANK OF INDIANAPOLIS CORP IN 2.02,9.01 11/03/06 NATIONAL HEALTH INVESTORS INC MD 2.02 09/30/06 NATIONAL HOUSING PARTNERSHIP REALTY F MD 8.01 10/31/06 NationsHealth, Inc. DE 1.01,9.01 11/01/06 NATURAL GAS SERVICES GROUP INC 7.01,9.01 11/03/06 NATURAL GAS SERVICES GROUP INC 5.02 10/30/06 NAUTILUS, INC. WA 1.01,2.03,9.01 10/30/06 NCT GROUP INC DE 1.01,2.03,3.02 10/30/06 NEUROGEN CORP DE 9.01 09/30/06 NEUTRON ENTERPRISES INC NV 4.01,9.01 10/31/06 NEW FRONTIER ENERGY INC CO 1.01,9.01 10/30/06 NEW JERSEY RESOURCES CORP NJ 2.02,9.01 11/01/06 NEW YORK COMMUNITY BANCORP INC DE 1.01,7.01,9.01 11/02/06 NEW YORK NETWORKS, INC. DE 5.01,5.02,8.01 10/30/06 NNN 2003 VALUE FUND LLC 8.01 10/31/06 NNN Apartment REIT, Inc. MD 1.01,2.01,2.03,7.01,8.01,9.01 10/30/06 NOBEL LEARNING COMMUNITIES INC DE 1.01,2.03,9.01 10/30/06 NORTEK INC DE 2.02,9.01 09/30/06 NORTHROP GRUMMAN CORP /DE/ DE 5.04,9.01 11/03/06 NORTHWAY FINANCIAL INC NH 2.02 09/30/06 NORTHWEST BIOTHERAPEUTICS INC DE 2.03 10/30/06 NRG ENERGY, INC. DE 2.02,9.01 11/03/06 NTK Holdings, Inc. DE 2.02,9.01 09/30/06 NYSE Group, Inc. DE 1.02,8.01,9.01 11/01/06 Oakmont Acquisition Corp. DE 7.01,9.01 11/03/06 ODYSSEY RE HOLDINGS CORP DE 2.02 11/02/06 OM GROUP INC DE 2.02,9.01 11/03/06 ONVIA INC DE 2.02,9.01 11/02/06 OPEN ENERGY CORP NV 1.01,3.02,9.01 10/30/06 Opteum Inc. MD 5.02,7.01,9.01 11/03/06 Opteum Mortgage Acceptance CORP DE 7.01,9.01 11/03/06 ORLEANS HOMEBUILDERS INC DE 1.01,2.03,2.04,9.01 10/31/06 OSIRIS THERAPEUTICS, INC. DE 2.02,9.01 11/02/06 Osteologix, Inc. DE 8.01,9.01 11/02/06 OSTEOTECH INC DE 2.02,9.01 11/03/06 OVERSEAS SHIPHOLDING GROUP INC DE 2.02,9.01 10/02/06 OWENS CORNING SALES, INC. DE 1.01,1.02,2.03,3.02, 10/31/06 5.01,5.03,9.01 OwnIt Mortgage Loan Trust Mortgage Lo DE 8.01,9.01 11/03/06 PACCAR FINANCIAL CORP WA 3.03,9.01 10/31/06 PACER INTERNATIONAL INC TN 5.02 11/02/06 PAULSON CAPITAL CORP OR 8.01,9.01 11/03/06 PDF SOLUTIONS INC DE 1.01,2.01,3.02,9.01 10/31/06 PENFORD CORP WA 1.01 10/31/06 PENNFED FINANCIAL SERVICES INC DE 7.01,9.01 11/02/06 PEOPLES COMMUNITY BANCORP INC /MD/ MD 2.02,9.01 10/31/06 PEOPLES ENERGY CORP IL 2.02,7.01,9.01 11/03/06 PEPCO HOLDINGS INC DE 7.01,9.01 11/03/06 PETROHAWK ENERGY CORP DE 2.02,9.01 11/03/06 Piedmont Mining Company, Inc. NC 4.01,9.01 10/31/06 PLACER SIERRA BANCSHARES CA 1.01,9.01 10/30/06 Plan A Promotions, Inc. UT 8.01 11/02/06 Platinum Research Organization, Inc. NV 1.01,2.03,3.02,9.01 10/26/06 AMEND PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 11/03/06 PNM RESOURCES INC NM 2.02,9.01 09/30/06 POINT THERAPEUTICS INC DE 8.01,9.01 11/03/06 POINT THERAPEUTICS INC DE 8.01,9.01 11/02/06 PPL CORP PA 7.01,9.01 11/03/06 PRAXAIR INC DE 1.01,9.01 10/30/06 PRECIS INC OK 5.02 11/02/06 PRESSTEK INC /DE/ DE 8.01,9.01 11/03/06 PROCERA NETWORKS INC NV 9.01 11/03/06 AMEND PROGRESS ENERGY INC NC 2.02,9.01 11/03/06 Promotora Valle Hermosa CORP FL 8.01 11/03/06 Propex Inc. DE 1.01,9.01 10/30/06 PUBLIC STORAGE INC /CA CA 2.02,9.01 09/30/06 QCR HOLDINGS INC DE 3.02,3.03,9.01 11/03/06 QUALITY SYSTEMS INC CA 2.02,9.01 11/02/06 R H DONNELLEY CORP DE 1.01,9.01 11/02/06 R&R ACQUISITION II, INC NJ 5.02 11/01/06 RADIATION THERAPY SERVICES INC FL 2.02,9.01 11/01/06 AMEND RAE SYSTEMS INC DE 5.02 10/30/06 RAIT INVESTMENT TRUST MD 2.02,8.01,9.01 11/02/06 RAPID LINK INC DE 5.02,9.01 10/31/06 RBC Bearings INC 2.02,9.01 11/03/06 RC2 CORP DE 7.01,9.01 11/03/06 REALOGY CORP DE 1.01,9.01 10/31/06 REALTY INCOME CORP MD 1.01,9.01 10/30/06 RECKSON ASSOCIATES REALTY CORP MD 2.02,9.01 11/02/06 RED ROBIN GOURMET BURGERS INC DE 2.02,9.01 11/02/06 REGENT COMMUNICATIONS INC DE 2.02,9.01 11/03/06 RELIV INTERNATIONAL INC DE 8.01,9.01 11/02/06 RENT A CENTER INC DE DE 8.01,9.01 11/02/06 ROCKFORD CORP AZ 7.01,9.01 11/01/06 RUDDICK CORP NC 2.02,9.01 11/02/06 RYERSON INC. DE 2.02,9.01 11/02/06 SAFARI ASSOCIATES INC 1.01,2.01,3.02,5.01,5.06,9.01 10/27/06 AMEND SAFETY INSURANCE GROUP INC DE 2.02,9.01 11/03/06 SAFLINK CORP DE 3.02 11/02/06 SAVANNAH BANCORP INC GA 8.01 11/03/06 SAXON CAPITAL INC MD 2.02,9.01 11/03/06 SBA COMMUNICATIONS CORP FL 8.01,9.01 10/30/06 SCHOLASTIC CORP DE 5.02 11/03/06 SCPIE HOLDINGS INC DE 2.02,9.01 11/02/06 SCPIE HOLDINGS INC DE 8.01,9.01 11/03/06 SEA CONTAINERS LTD /NY/ 8.01,9.01 11/01/06 SEABOARD CORP /DE/ DE 2.02,9.01 11/03/06 SENECA FOODS CORP /NY/ NY 1.01,2.01,2.03,3.02,5.03,9.01 08/11/06 AMEND SERVICE CORPORATION INTERNATIONAL TX 8.01,9.01 11/02/06 SHAW GROUP INC LA 2.02,9.01 10/31/06 SHOE PAVILION INC DE 1.01,9.01 10/30/06 SHUFFLE MASTER INC MN 8.01 11/03/06 SHUFFLE MASTER INC MN 5.02 11/02/06 SHUMATE INDUSTRIES INC DE 1.01,3.02,9.01 11/03/06 SIERRA PACIFIC RESOURCES /NV/ NV 2.02,9.01 11/03/06 SIERRA PACIFIC RESOURCES /NV/ NV 2.02,9.01 11/03/06 SILVERLEAF RESORTS INC 2.02,9.01 11/03/06 SIX FLAGS INC DE 2.02,9.01 11/02/06 SMITH BARNEY AAA ENERGY FUND LP /NY 1.01,5.02 09/30/06 SMITHWAY MOTOR XPRESS CORP NV 5.03,9.01 11/03/06 Solar Thin Films, Inc. DE 1.01,5.02,9.01 10/31/06 SOUTHERN CALIFORNIA EDISON CO CA 2.02,9.01 11/03/06 SPACEHAB INC \WA\ WA 1.01 11/01/06 Specialty Underwriters Alliance, Inc. DE 2.02,9.01 11/02/06 SPECTRUM PHARMACEUTICALS INC DE 2.02,9.01 11/03/06 STANDARD PARKING CORP DE 2.02,7.01 11/03/06 STEWART ENTERPRISES INC LA 1.01,1.02,5.02,9.01 11/02/06 STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 10/30/06 STUDIO ONE MEDIA, INC. DE 1.01 10/29/06 SUMMIT ENVIRONMENTAL CORP INC TX 5.02 11/01/06 Sun American Bancorp DE 2.02,8.01,9.01 10/31/06 SUN COMMUNITIES INC MD 2.02,9.01 11/03/06 SUN NEW MEDIA INC. MN 5.02 10/30/06 SUNRISE TELECOM INC 1.01 11/03/06 SUNRISE TELECOM INC 2.02 09/30/06 SUNTRUST BANKS INC GA 7.01,9.01 11/03/06 Super Luck, Inc. DE 5.02 10/25/06 SUPERIOR ENERGY SERVICES INC DE 5.02,9.01 11/03/06 SUPERTEL HOSPITALITY INC VA 9.01 08/18/06 AMEND SUREWEST COMMUNICATIONS CA 2.02,9.01 11/03/06 SYNAGRO TECHNOLOGIES INC DE 2.02,9.01 11/01/06 SYNOVIS LIFE TECHNOLOGIES INC MN 1.01 11/01/06 TECH LABORATORIES INC NJ 5.02 10/31/06 TECHTEAM GLOBAL INC DE 2.02,9.01 11/02/06 TEGAL CORP /DE/ DE 1.01,5.02,5.03,9.01 10/30/06 TELEFLEX INC DE 1.01,2.03,9.01 10/30/06 TELVUE CORP DE 1.01,2.03,9.01 11/03/06 TEREX CORP DE 1.01 11/01/06 TETRA TECHNOLOGIES INC DE 2.02,9.01 11/03/06 TEXAS INSTRUMENTS INC DE 8.01,9.01 11/03/06 TEXOLA ENERGY CORP NV 7.01,9.01 11/03/06 THAXTON GROUP INC SC 8.01,9.01 10/30/06 THQ INC DE 2.02,9.01 11/03/06 TIAA REAL ESTATE ACCOUNT NY 1.01,7.01,8.01,9.01 11/03/06 TIERONE CORP 8.01,9.01 11/02/06 TIME WARNER INC DE 8.01,9.01 11/03/06 TOR MINERALS INTERNATIONAL INC DE 8.01,9.01 11/01/06 TORVEC INC NY 3.02 11/03/06 TOYS R US INC DE 1.01,8.01,9.01 10/31/06 TRANSCEND SERVICES INC DE 1.01 10/30/06 TRUSTREET PROPERTIES INC MD 1.01,8.01,9.01 10/30/06 TYLERSTONE VENTURES CORP DE 5.02 10/21/06 TYLERSTONE VENTURES CORP DE 1.01,2.03,3.02,9.01 10/24/06 U.S. Shipping Partners L.P. DE 8.01,9.01 11/02/06 UIL HOLDINGS CORP CT 2.02,9.01 11/03/06 UNION NATIONAL FINANCIAL CORP / PA PA 1.01,9.01 11/03/06 UNITED RETAIL GROUP INC/DE DE 1.01,9.01 11/03/06 UNITED STATIONERS INC DE 2.02,9.01 11/02/06 UNITEDHEALTH GROUP INC MN 1.01,7.01,9.01 10/31/06 UNIVERSAL AMERICAN FINANCIAL CORP NY 2.02,7.01 11/02/06 UNIVERSAL CITY DEVELOPMENT PARTNERS L 1.01,9.01 10/30/06 Universal City Florida Holding Co. I FL 1.01,9.01 10/30/06 UpSnap, Inc. 1.01,9.01 10/31/06 URANERZ ENERGY CORP. NV 1.01 10/30/06 URBAN TELEVISION NETWORK CORP NV 5.02,9.01 11/03/06 US AIRWAYS GROUP INC DE 2.02,9.01 11/03/06 US Oncology Holdings, Inc. DE 2.02,9.01 11/02/06 US ONCOLOGY INC DE 2.02,9.01 11/02/06 UST INC DE 5.02,5.03,9.01 11/02/06 UTEK CORP 2.02,9.01 11/03/06 VALERO L P DE 1.01,9.01 11/02/03 VECTREN CORP IN 2.02 11/02/06 VENTANA MEDICAL SYSTEMS INC DE 1.01,9.01 10/31/06 VIASPACE Inc. NV 8.01,9.01 11/02/06 VINEYARD NATIONAL BANCORP CA 1.01,9.01 11/03/06 VIRBAC CORP DE 8.01,9.01 11/01/06 VITAL IMAGES INC MN 7.01,9.01 11/03/06 VITAL LIVING INC AZ 5.02 11/01/06 Vivid Learning Systems, Inc. DE 8.01 10/31/06 AMEND VOIP INC 4.02 10/31/06 WALTER INDUSTRIES INC /NEW/ DE 2.02,9.01 11/02/06 WALTER INDUSTRIES INC /NEW/ DE 3.02 11/02/06 WASHINGTON POST CO DE 2.02,9.01 11/03/06 WELLS FARGO & CO/MN DE 9.01 11/03/06 WELLS REAL ESTATE FUND I GA 7.01,9.01 11/03/06 WELLS REAL ESTATE FUND II GA 7.01,9.01 11/03/06 WELLS REAL ESTATE FUND II-OW GA 7.01,9.01 11/03/06 WELLS REAL ESTATE FUND III L P GA 7.01,9.01 11/03/06 WELLS REAL ESTATE FUND IV L P GA 7.01,9.01 11/03/06 WELLS REAL ESTATE FUND IX LP GA 7.01,9.01 11/03/06 WELLS REAL ESTATE FUND V L P GA 7.01,9.01 11/03/06 WELLS REAL ESTATE FUND VI L P GA 7.01,9.01 11/03/06 WELLS REAL ESTATE FUND VII L P GA 7.01,9.01 11/03/06 WELLS REAL ESTATE FUND VIII LP GA 7.01,9.01 11/03/06 WELLS REAL ESTATE FUND X L P GA 7.01,9.01 11/03/06 WELLS REAL ESTATE FUND XI L P GA 7.01,9.01 11/03/06 WELLS REAL ESTATE FUND XII LP GA 7.01,9.01 11/03/06 WELLS REAL ESTATE FUND XIII L P 7.01,9.01 11/03/06 WELLS REAL ESTATE FUND XIV LP GA 7.01,9.01 11/03/06 WESTAR ENERGY INC /KS KS 2.02,8.01,9.01 10/25/06 WESTERN RESERVE BANCORP INC 2.02,9.01 11/03/06 WGNB CORP GA 5.02 10/31/06 WHOLE FOODS MARKET INC TX 2.02,8.01,9.01 11/02/06 WHX CORP DE 1.01,9.01 10/30/06 WILLIAMS SONOMA INC CA 5.02 10/30/06 WILSON HOLDINGS, INC. NV 5.02 11/02/06 WINDROSE MEDICAL PROPERTIES TRUST MD 2.02,7.01,9.01 11/03/06 WINSONIC DIGITAL MEDIA GROUP LTD NV 1.01,2.01,3.02,9.01 11/02/06 WMS INDUSTRIES INC /DE/ DE 2.02,9.01 10/30/06 WOODWARD GOVERNOR CO DE 1.01,9.01 09/27/06 XCEL ENERGY INC MN 2.02,9.01 11/03/06 ZIOPHARM ONCOLOGY INC 8.01,9.01 11/02/06 Zone Mining LTD 4.01 10/27/06 Zone Mining LTD 4.01 10/27/06 AMEND