SEC NEWS DIGEST Issue 2006-215 November 7, 2006 COMMISSION ANNOUNCEMENTS FLORENCE HARMON NAMED DEPUTY SECRETARY The Securities and Exchange Commission announced today the selection of Florence E. Harmon to serve as the agency's Deputy Secretary. Ms. Harmon, 47, is currently Senior Special Counsel in the Division of Market Regulation. She has served in that capacity since August 2001, and is responsible for supervising staff in reviewing and analyzing complex self-regulatory organization (SRO) rule filings, including listing standards for derivative products and other non-conventional investments. Ms. Harmon is also responsible for developing rules on SRO processes and procedures to support Commission action. Ms. Harmon joined the SEC in 1997. SEC Secretary Nancy M. Morris said, "Florence has a well-deserved reputation within both the Commission and the securities industry for her legal acumen, keen judgment, and ability to work effectively with others. Our mission to protect investors, maintain fair markets and facilitate capital formation will benefit greatly from her considerable experience and expertise, particularly in matters involving self-regulatory organization rulemaking." "I am honored to have this opportunity to join the talented individuals in the Office of the Secretary and hope to help continue the Office's tradition of excellence that has benefited investors throughout the agency's history," said Ms. Harmon. Prior to joining the Commission, Ms. Harmon was a partner in the law firm of Fowler White Boggs Bank P.A. in Tampa, Fla., where she represented brokerage firms, financial institutions, corporations, and their associated persons in securities litigation. Ms. Harmon also served as law clerk to the Hon. Jack T. Camp of the United States District Court for the Northern District of Georgia. Harmon holds a J.D. (with honors) from the University of Georgia, a M.Ed. from Georgia State University, a Masters in English from the University of Virginia, and a B.A. (Phi Beta Kappa) from Emory University. She is a member of the Florida Bar. (Press Rel. 2006-186) ENFORCEMENT PROCEEDINGS IN THE MATTER OF CONNIE FARRIS An Administrative Law Judge has issued an Initial Decision in Connie S. Farris. The Initial Decision finds that, Respondent Connie S. Farris was permanently enjoined from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Exchange Act of 1934 (Exchange Act) and Rules 10b-5 and 15d-14 thereunder, and from aiding and abetting violations of Section 15(d) of the Exchange Act and Rules 12b-20 and 15d-13 thereunder, by the U.S. District Court for the District of Nevada. The Initial Decision concludes that, pursuant to Section 15(b) of the Exchange Act, it is the public interest to bar Respondent from association with any broker or dealer. (Initial Decision No. 321; File No. 3-12401) STEPHEN TREADWAY, FORMER CHAIRMAN OF PIMCO EQUITY FUNDS, BARRED FROM ASSOCIATION WITH ANY INVESTMENT ADVISER FOLLOWING JURY VERDICT AGAINST HIM FOR DEFRAUDING INVESTORS IN MARKET TIMING CASE On November 8, the Commission announced the issuance of a Commission order barring Stephen J. Treadway, the former top executive of the PIMCO equity mutual funds, from associating with any investment adviser, with a right to reapply after one year. The SEC order was based on the entry of a federal court injunction, all of which was part of Treadway's settlement to resolve the SEC's charges against him for approving an undisclosed market timing arrangement. In June 2006, a federal court jury in the Commission's fraud action found Treadway liable for committing securities fraud, breaching his fiduciary duty, and other violations of the federal securities laws. During the period of his misconduct, Treadway, age 59, of New York, New York, was the CEO of PIMCO Advisors Fund Management LLC, a registered investment adviser; the CEO of PIMCO Advisors Distributors LLC, a registered broker-dealer; and the chairman of the board of trustees of the PIMCO Funds: Multi-Manager Series. The Commission's complaint, filed in May 2004, alleged that Treadway defrauded investors by approving, but not disclosing, a market timing arrangement that allowed Canary Capital Partners LLC to market time certain of the PIMCO equity funds. Treadway approved this trading arrangement in approximately January 2002, before Canary's trading started, and despite knowing that the disclosures in the funds' prospectus represented to investors that the funds discouraged and restricted market timing. Treadway did not disclose his knowledge of the Canary market timing deal to the board of trustees until approximately September 2003, when Canary's trading activities were being investigated by government authorities. From February 2002 through April 2003, Canary engaged in over 100 round-trip transactions in the aggregate amount of over $4 billion in several PIMCO mutual funds pursuant to the special market timing arrangement that Treadway approved. The final judgment in the federal district court action permanently enjoined Treadway from violating Sections 17(a)(2) and 17(a)(3) of the Securities Act of 1933, Section 10(b) and Rules 10b-5(b) and (c) of the Securities Exchange Act of 1934, Section 206(2) of the Investment Advisers Act of 1940, and Section 34(b) of the Investment Company Act of 1940. Treadway is also enjoined from breaching his fiduciary duty within the meaning of Section 36(a) of the Investment Company Act, and from serving for one year as an officer or director of a registered investment company pursuant to Section 36(a) of the Investment Company Act. The judgment further ordered Treadway to pay disgorgement of $261,215, prejudgment interest of $49,304.32, and a civil penalty of $261,215. Previously, in June 2006, Kenneth W. Corba, the former chief executive officer of PIMCO Equity Advisors LLC, the investment subadviser for several of the PIMCO funds, settled the SEC's charges before trial. In September 2004, PIMCO Advisors Fund Management LLC, PIMCO Equity Advisors LLC, and PIMCO Advisors Distributors LLC paid a total of $50 million to settle the Commission's fraud charges arising from Canary's market timing activity. Treadway consented to the SEC's Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions, without admitting or denying any of the Commission's findings, with the exception of the Commission's jurisdiction and entry of the final judgment by consent. (Rel. IA-2566; File No. 3-12473) COURT ENTERS FINAL JUDGMENT BY CONSENT AGAINST DEFENDANT CHARLES SULLIVAN The Commission announced that on November 6 a Rhode Island federal court entered a final judgment by consent against Charles W. Sullivan, a defendant who participated in a fraudulent offering scheme that raised at least $52 million from investors. In addition to being permanently enjoined from future violations of the antifraud provisions of the federal securities laws, Sullivan was ordered to pay disgorgement, plus prejudgment interest, in the total amount of approximately $1.3 million, and was assessed a $120,000 civil monetary penalty. The Commission filed its action against Sullivan and eight other defendants and a relief defendant on April 1, 2002, alleging that Sullivan and others participated in a scheme that made fraudulent representations to investors about a purported high yield trading program operated through an entity formerly known as Brite Business Corporation. Among other things, the Commission alleged in its complaint that Sullivan, who incorporated Brite Business and acted as its vice president and general counsel, assisted and supported the establishment of the fraudulent trading program, disbursed certain investor funds through his entity, Commonwealth Management Associates, and took certain investor funds as "loans." In addition, according to the Commission's complaint, Sullivan sent numerous letters to an investor containing misrepresentations concerning the returns the investor could expect to receive and the date when the investor would receive his money back. Without admitting or denying the allegations in the Commission's complaint, Sullivan consented to a final judgment entered by the Court. The final judgment ordered that Sullivan be permanently enjoined from violating Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b- 5 thereunder; pay disgorgement in the amount of $910,884 (representing profits gained as a result of conduct alleged in the complaint), plus prejudgment interest in the amount of $402,961.38, for a total amount of $1,313,845.38; and pay a civil penalty in the amount of $120,000. For further information, please see LR-17461, April 5, 2002) [complaint against Sullivan and others]. [SEC v. Dennis S. Herula, et al., USDC, District of Rhode Island, C.A. No. 02-154-ML] (LR-19900) DEFAULT PERMANENT INJUNCTION ASSESSED AGAINST STANSBURY HOLDINGS CORPORATION The Commission announced that on Oct. 12, 2006, the U.S. District Court for the District of Colorado entered a default judgment against Defendant Stansbury Holdings Corporation. In its complaint, the Commission alleged that Stansbury Holdings defrauded investors by materially overstating its assets in annual and quarterly reports filed with the Commission and in a private placement memorandum. Stansbury fraudulently overvalued two if its mining properties known as Hamilton and Dillon despite numerous events demonstrating they were worth far less, including foreclosure actions on the properties. Stansbury also failed to adjust the value of these assets even after Stansbury changed its business plan and decided not to mine vermiculite, the activity for which it had purchased the two mining claims. Stansbury failed to create and maintain required books, records and accounts and to devise and maintain a required system of internal accounting controls. It failed to obtain quarterly reviews of its financial statements for several quarters and it failed to file two mandatory periodic reports with the Commission. By order of the court, Stansbury Holdings is permanently restrained and enjoined from violating, directly or indirectly, Section 17(a) of the Securities Act of 1933 (Securities Act), Sections 10(b), 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5, 12b-20, 13a-1, 13a-2 and 13b2-1 thereunder. [SEC v. Stansbury Holdings, et al., Civil Action No. 06- cv-00088-REB-BNB] (LR-19901; AAE Rel. No. 2511) INVESTMENT COMPANY ACT RELEASES ANNUITY INVESTORS LIFE INSURANCE COMPANY, ET AL. A notice has been issued giving interested persons until Dec. 1, 2006, to request a hearing on an application filed by Annuity Investors Life Insurance Company and Annuity Investors Variable Account A, Annuity Investors Variable Account B, and Annuity Investors Variable Account C (Separate Accounts). Applicants seek an order pursuant to Section 26(c) of the Investment Company Act to permit the substitution of securities issued by certain registered investment companies and held by the Separate Accounts for shares of certain other registered investment companies. (Rel. IC-27546 - November 6) ADDITIONS AND CORRECTIONS An inaccurate Administrative Proceeding File Number was published in the November 6th issue of the Digest in the Matter of David Kreinberg, CPA. The correct File Number is 3-12472. SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx- 2006-62) relating to PACE Equity Transaction Charge and NMS 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. 34-54688) A proposed rule change (SR-NYSEArca-2006-79) filed by NYSE Arca relating to extending the time period by which the Exchange will amend the NASD-NYSE Arca Options Agreement Pursuant to Rule 17d-2 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. 34-54690) The National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., filed a proposed rule change (SR-NASD-2006-116) to modify pricing for NASD members using ITS/CAES, Brut and Inet. 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. 34-54695) 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-11 Cole Credit Property Trust II Inc, 2555 E CAMELBACK ROAD, SUITE 400, PHOENIX, AZ, 85016, 602.778.8700 - 150,000,000 ($1,487,500,000.00) Equity, (File 333-138444 - Nov. 6) (BR. 08A) S-3ASR ARRIS GROUP INC, 3871 LAKEFIELD DRIVE, SUWANEE, GA, 30024, 770-622-8400 - 0 ($0.00) Debt Convertible into Equity, 0 ($0.00) Equity, (File 333-138445 - Nov. 6) (BR. 11B) S-4 BENCHMARK ELECTRONICS INC, 3000 TECHNOLOGY DRIVE, ANGLETON, TX, 77515, 9798496550 - 0 ($207,793,582.00) Equity, (File 333-138446 - Nov. 6) (BR. 10A) S-8 BLACKBAUD INC, 2000 DANIEL ISLAND DRIVE, CHARLESTON, SC, 24992-7541, 8432166200 - 0 ($46,900,000.00) Equity, (File 333-138448 - Nov. 6) (BR. 03A) S-8 Danaos Corp, 14 AKTI KONDYLI, 185 45 PIRAEUS, ATHENS, J3, 00000, 011302104496480 - 0 ($66,320,097.00) Equity, (File 333-138449 - Nov. 6) (BR. 05A) S-4 CROWN CASTLE INTERNATIONAL CORP, 510 BERING DRIVE, SUITE 600, HOUSTON, TX, 77057, 7135703000 - 0 ($3,862,334,861.00) Equity, (File 333-138450 - Nov. 6) (BR. 11A) S-1 Rand Acquisition Corp. II, 450 PARK AVENUE, 10TH FLOOR, NEW YORK, NY, 10022, 212-644-3450 - 0 ($106,980,100.00) Equity, (File 333-138452 - Nov. 6) (BR. ) S-8 RADIOSHACK CORP, 100 THROCKMORTON ST, STE 1700, FORT WORTH, TX, 76102, 8174153700 - 0 ($6,910,000.00) Equity, (File 333-138453 - Nov. 6) (BR. 02A) S-8 RADIOSHACK CORP, 100 THROCKMORTON ST, STE 1700, FORT WORTH, TX, 76102, 8174153700 - 0 ($27,640,000.00) Equity, (File 333-138454 - Nov. 6) (BR. 02A) S-8 PATCH INTERNATIONAL INC/CN, 666 BURRARD ST., #1220, VANCOUVER BC CANADA, A1, V6C 2X8, 604 685-0002 - 1,500,000 ($1,260,000.00) Equity, (File 333-138455 - Nov. 6) (BR. 04C) S-8 ANGIODYNAMICS INC, 603 QUEENSBURY AVE, QUEENSBURY, NY, 12804, 5187981215 - 0 ($21,945,000.00) Equity, (File 333-138456 - Nov. 6) (BR. 10A) S-3ASR TRW AUTOMOTIVE HOLDINGS CORP, 0 ($0.00) Equity, (File 333-138457 - Nov. 6) (BR. 05C) S-8 V F CORP, 105 CORPORATE CENTER BOULEVARD, GREENSBORO, NC, 27408, (336)424-6000 - 2,000,000 ($152,300,000.00) Equity, (File 333-138458 - Nov. 6) (BR. 02A) S-1 EAGLE BROADBAND INC, 101 COURAGEOUS DRIVE, LEAGUE CITY, TX, 77573, 2815386000 - 3,431,187 ($2,556,234.00) Equity, (File 333-138459 - Nov. 6) (BR. 11C) S-8 REGIONS FINANCIAL CORP, 417 N 20TH ST, BIRMINGHAM, AL, 35203, 205-944-1300 - 48,283,686 ($731,798,960.35) Equity, (File 333-138460 - Nov. 6) (BR. 07A) S-8 BROADVISION INC, 585 BROADWAY, REDWOOD CITY, CA, 94063, 6502615100 - 0 ($2,657,000.00) Equity, (File 333-138461 - Nov. 6) (BR. 03C) 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 ------------------------------------------------------------------------------------------------------- ABRAXAS PETROLEUM CORP NV 2.02,9.01 11/03/06 Abraxis BioScience, Inc. DE 2.02,9.01 11/06/06 ACADIA PHARMACEUTICALS INC DE 2.02,9.01 11/06/06 ACCESS INTEGRATED TECHNOLOGIES INC DE 2.02,9.01 11/03/06 ACCESS INTEGRATED TECHNOLOGIES INC DE 2.03 11/03/06 ACCREDITED HOME LENDERS HOLDING CO DE 2.02,9.01 11/06/06 ACIES CORP NV 2.03,9.01 10/31/06 ACTIVE POWER INC DE 1.01 11/01/06 ACTIVISION INC /NY DE 2.02,9.01 11/06/06 ADOLOR CORP 8.01,9.01 11/06/06 Advanced BioPhotonics Inc. DE 8.01,9.01 11/03/06 ADVANCED BIOTHERAPY INC DE 5.02,9.01 10/18/06 AES CORP DE 2.02,9.01 11/06/06 AETHER HOLDINGS INC DE 2.01,9.01 10/31/06 AFC ENTERPRISES INC MN 2.02,9.01 11/01/06 AFFORDABLE RESIDENTIAL COMMUNITIES IN MD 2.02,8.01,9.01 11/02/06 AGILENT TECHNOLOGIES INC DE 2.01,9.01 10/31/06 AGILYSYS INC OH 2.02,7.01,9.01 11/06/06 AKSYS LTD DE 3.01,9.01 11/02/06 ALANCO TECHNOLOGIES INC AZ 8.01,9.01 11/02/06 ALEXANDRIA REAL ESTATE EQUITIES INC MD 1.01 10/31/06 ALGODYNE ETHANOL ENERGY CORP. NV 5.03,9.01 11/06/06 ALLIED WORLD ASSURANCE CO HOLDINGS LT 1.01,9.01 11/01/06 ALMOST FAMILY INC DE 2.02,9.01 11/06/06 ALTERA CORP DE 2.02,9.01 11/06/06 AMEDISYS INC DE 7.01,9.01 11/06/06 AMERICA SERVICE GROUP INC /DE DE 1.01,2.03,9.01 10/31/06 AMERICAN MORTGAGE ACCEPTANCE CO MA 5.02,5.03,9.01 11/01/06 AMERICAN STATES WATER CO CA 2.02,9.01 11/06/06 AMERICAN VANGUARD CORP DE 2.02,9.01 11/06/06 AMPEX CORP /DE/ DE 7.01,9.01 11/06/06 AMPEX CORP /DE/ DE 2.02,9.01 11/02/06 ANDREW CORP DE 1.01,8.01,9.01 11/01/06 ANIKA THERAPEUTICS INC MA 7.01 11/06/06 ANWORTH MORTGAGE ASSET CORP MD 2.02,9.01 11/06/06 APOGEE TECHNOLOGY INC DE 3.01,9.01 11/01/06 APOLLO GROUP INC AZ 8.01 11/03/06 APPLIED IMAGING CORP DE 1.01,9.01 11/02/06 APPLIED MATERIALS INC /DE DC 7.01,9.01 11/03/06 APRIA HEALTHCARE GROUP INC DE 1.01,5.02,9.01 11/06/06 AQUANTIVE INC WA 8.01 10/31/06 ARADIGM CORP CA 5.02,9.01 11/06/06 ARC WIRELESS SOLUTIONS INC UT 2.01,5.02,7.01,9.01 10/31/06 ARIZONA LAND INCOME CORP AZ 1.01,9.01 11/02/06 ARRAY BIOPHARMA INC DE 1.01,9.01 11/02/06 ARRAY BIOPHARMA INC DE 2.02,9.01 11/06/06 ARROW RESOURCES DEVELOPMENT INC DE 1.01,9.01 11/06/06 ARVANA INC NV 1.02,3.02,5.02,9.01 10/31/06 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 11/02/06 ASIA PAYMENT SYSTEMS INC NV 1.01,3.02,9.01 11/06/06 ASTORIA FINANCIAL CORP DE 8.01,9.01 11/06/06 AXS ONE INC DE 1.01,2.03,9.01 10/31/06 AZCO MINING INC DE 2.01,9.01 11/03/06 BALDWIN & LYONS INC IN 2.02,7.01,9.01 11/02/06 BANK HOLDINGS NV 2.02 11/03/06 BANK OF AMERICA CORP /DE/ DE 3.03,5.03,8.01 10/30/06 BARRY R G CORP /OH/ OH 2.02,9.01 11/06/06 Bear Stearns Asset Backed Securities DE 6.02 11/01/06 Bear Stearns Asset Backed Securities DE 9.01 07/24/06 Bear Stearns Asset Backed Securities DE 6.02 11/01/06 Bear Stearns Asset Backed Securities DE 6.02 11/01/06 BIDVILLE INC NV 1.01,1.02,2.01,5.02,9.01 11/01/06 BIG 5 SPORTING GOODS CORP DE 2.02,9.01 11/06/06 BioMed Realty Trust Inc MD 2.02,9.01 11/06/06 BIOMIMETIC THERAPEUTICS, INC. DE 8.01,9.01 11/04/06 BLACKBAUD INC 8.01,9.01 11/06/06 BNS HOLDING, INC. 1.01,2.01,2.03,5.02, 10/31/06 5.03,5.06,9.01 BOE FINANCIAL SERVICES OF VIRGINIA IN VA 2.02 10/20/06 BofI Holding, Inc. DE 2.02,9.01 11/06/06 BOOKHAM, INC. DE 2.02,9.01 11/06/06 BOSTON SCIENTIFIC CORP DE 1.01 10/31/06 Brand Energy & Infrastructure Service DE 8.01,9.01 11/06/06 BreitBurn Energy Partners L.P. DE 8.01 11/06/06 BROADCAST INTERNATIONAL INC UT 1.01,3.02,9.01 11/02/06 BROOKE CORP KS 1.01,2.03,7.01,9.01 10/31/06 BSD MEDICAL CORP DE 7.01,9.01 11/06/06 BUFFETS HOLDINGS, INC. DE 2.02,9.01 11/06/06 BUSINESS OBJECTS S.A. 5.03,8.01,9.01 11/01/06 C & F FINANCIAL CORP VA 8.01,9.01 11/03/06 C-COR INC PA 1.01,2.03,9.01 11/01/06 CALPINE CORP DE 1.01,5.02 11/03/06 CAPITAL CORP OF THE WEST CA 8.01,9.01 11/02/06 CAPITAL SENIOR LIVING CORP DE 7.01,9.01 11/02/06 CAPITAL TRUST INC MD 1.01 11/01/06 CARDINAL HEALTH INC OH 1.01,9.01 10/31/06 CARDIODYNAMICS INTERNATIONAL CORP CA 8.01,9.01 11/06/06 CARRIAGE SERVICES INC DE 7.01,9.01 11/06/06 CASH AMERICA INTERNATIONAL INC TX 1.01,9.01 10/31/06 CATERPILLAR INC DE 7.01,9.01 11/03/06 CBIZ, Inc. DE 8.01,9.01 11/02/06 CEDAR SHOPPING CENTERS INC MD 8.01,9.01 08/23/06 CEDAR SHOPPING CENTERS INC MD 2.02,7.01,9.01 11/06/06 CELGENE CORP /DE/ DE 8.01,9.01 11/01/06 CELGENE CORP /DE/ DE 1.01,9.01 11/03/06 CELL THERAPEUTICS INC WA 8.01,9.01 11/03/06 CENTRAL EUROPEAN DISTRIBUTION CORP DE 2.02,9.01 11/06/06 CENTRAL VERMONT PUBLIC SERVICE CORP VT 1.01,9.01 11/03/06 CENTURY CASINOS INC /CO/ DE 1.01,9.01 11/06/06 CEPHALON INC DE 1.01,9.01 11/01/06 CEPHEID CA 1.01,5.02,9.01 10/31/06 CHAMPION PARTS INC IL 2.01,2.03,9.01 11/06/06 Chaparral Energy, Inc. DE 1.01,2.01,2.03,7.01,9.01 10/31/06 CHECKFREE CORP \GA\ DE 1.01,5.03,8.01,9.01 11/02/06 CHENIERE ENERGY INC DE 1.01,9.01 01/03/06 AMEND CHESAPEAKE UTILITIES CORP DE 8.01 10/31/06 CHICAGO MERCANTILE EXCHANGE HOLDINGS DE 1.01 11/01/06 CHINA WORLD TRADE CORP NV 2.01 10/03/06 CHINDEX INTERNATIONAL INC DE 1.01,9.01 10/31/06 CHOICEONE FINANCIAL SERVICES INC MI 2.01,5.01,5.02,9.01 11/01/06 CIMAREX ENERGY CO DE 2.02,7.01,9.01 08/02/06 CIMAREX ENERGY CO DE 2.02,7.01,9.01 11/06/06 AMEND CINCINNATI FINANCIAL CORP OH 2.02,9.01 11/03/06 AMEND CIPHERGEN BIOSYSTEMS INC DE 1.01,2.03,3.02,9.01 11/03/06 CIPHERGEN BIOSYSTEMS INC DE 1.01,5.02,9.01 11/06/06 CITADEL BROADCASTING CORP DE 2.02,9.01 11/06/06 CITADEL SECURITY SOFTWARE INC DE 1.01,9.01 08/11/06 CITIGROUP DIVERSIFIED FUTURES FUND LP 3.02 11/01/06 CITIGROUP FAIRFIELD FUTURES FUND LP I 3.02 11/01/06 CITIZENS COMMUNICATIONS CO DE 8.01,9.01 11/06/06 CLARK INC DE 1.01,3.03,9.01 11/01/06 COACHMEN INDUSTRIES INC IN 8.01,9.01 11/06/06 COCONNECT INC NV 4.01,4.02,9.01 11/06/06 AMEND COGENT COMMUNICATIONS GROUP INC 2.02,9.01 11/06/06 COLE KENNETH PRODUCTIONS INC NY 2.02 11/02/06 COLLAGENEX PHARMACEUTICALS INC DE 8.01 11/03/06 COLOR KINETICS INC DE 5.02,9.01 11/06/06 COMBINATORX, INC DE 8.01,9.01 11/06/06 COMMUNITY BANK SHARES OF INDIANA INC IN 1.01,9.01 11/02/06 COMMVAULT SYSTEMS INC DE 2.02,9.01 11/06/06 COMPUCREDIT CORP GA 2.02,9.01 11/06/06 COMPUTER SOFTWARE INNOVATIONS INC 1.01 10/31/06 Comstock Homebuilding Companies, Inc. DE 2.02,9.01 11/06/06 CORAUTUS GENETICS INC DE 1.01,9.01 10/31/06 CORE LABORATORIES N V P7 1.01,2.03,3.02,9.01 10/31/06 CORE MOLDING TECHNOLOGIES INC DE 1.01 10/31/06 CORPORATE EXECUTIVE BOARD CO DE 8.01,9.01 11/02/06 CORRECTIONS CORP OF AMERICA MD 2.02,9.01 11/06/06 COSTCO WHOLESALE CORP /NEW WA 8.01,9.01 11/03/06 COUSINS PROPERTIES INC GA 2.02,9.01 11/06/06 Crystal River Capital, Inc. MD 8.01,9.01 11/01/06 CSAB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 11/06/06 CUISINE SOLUTIONS INC DE 1.01,2.03,9.01 11/01/06 CUTERA INC DE 2.02,9.01 11/06/06 CWHEQ Revolving Home Equity Loan Trus 6.02 11/02/06 CWHEQ Revolving Home Equity Loan Trus 6.02 11/02/06 CWHEQ Revolving Home Equity Loan Trus 6.02 11/02/06 CWHEQ Revolving Home Equity Loan Trus 6.02 11/02/06 CYBERONICS INC DE 1.01,8.01,9.01 10/31/06 CYTRX CORP DE 1.01 11/01/06 DATASTAND TECHNOLOGIES INC IN 4.01 11/06/06 DELTA APPAREL INC GA 2.02,7.01,9.01 11/06/06 DELTA WOODSIDE INDUSTRIES INC /SC/ SC 1.01,8.01,9.01 10/31/06 DEZ, Inc. NV 2.01,5.01,5.02,8.01,9.01 10/31/06 DHB INDUSTRIES INC DE 1.01 10/31/06 Digital Realty Trust, Inc. MD 2.02,7.01,9.01 11/06/06 Digital Realty Trust, Inc. MD 1.01 10/31/06 DIOMED HOLDINGS INC NV 7.01,9.01 11/06/06 DOMINION HOMES INC OH 1.01,2.02,4.02,7.01,8.01,9.01 10/31/06 DORCHESTER MINERALS LP DE 2.02,7.01,9.01 09/30/06 DPL INC OH 7.01,9.01 11/06/06 EAGLE BANCORP/MT 1.01,9.01 11/03/06 EDISON INTERNATIONAL CA 7.01,9.01 11/06/06 EFJ INC DE 2.02,9.01 11/06/06 EL PASO CORP/DE DE 2.02,7.01,9.01 11/06/06 ELEMENT 21 GOLF CO DE 1.01,9.01 10/31/06 ELKCORP DE 3.03,7.01,9.01 11/05/06 EMCORE CORP NJ 2.02,4.02,8.01,9.01 11/06/06 EMS TECHNOLOGIES INC GA 1.01 10/31/06 ENCORIUM GROUP INC NV 1.01,2.01,2.03,3.02,9.01 11/01/06 ENCYSIVE PHARMACEUTICALS INC DE 8.01 11/06/06 ENCYSIVE PHARMACEUTICALS INC DE 7.01,9.01 11/06/06 ENDEAVOUR INTERNATIONAL CORP NV 1.01,2.01,2.03,3.03,5.03,9.01 10/31/06 ENERGY PARTNERS LTD DE 2.02 11/06/06 Enterprise GP Holdings L.P. DE 5.02,7.01,9.01 11/01/06 EQUUS TOTAL RETURN, INC. DE 5.02,9.01 10/31/06 EVEREST FUND L P IA 8.01 10/31/06 EXCHANGE NATIONAL BANCSHARES INC MO 8.01,9.01 11/03/06 EXELON CORP PA 7.01 11/06/06 EXIDE TECHNOLOGIES DE 1.01,9.01 10/31/06 EXPLORATION CO OF DELAWARE INC DE 2.02,9.01 11/03/06 FBL FINANCIAL GROUP INC IA 2.02 11/06/06 FBO AIR, INC. NV 1.02,5.02,9.01 10/31/06 Federal Home Loan Bank of New York X1 8.01,9.01 11/03/06 FEDERAL REALTY INVESTMENT TRUST MD 2.02,9.01 11/06/06 FEDERATED INVESTORS INC /PA/ PA 1.01,2.03 10/31/06 FIELDSTONE INVESTMENT CORP 1.01,1.02,9.01 10/31/06 FINOVA GROUP INC DE 1.01,9.01 10/31/06 FIRST AMERICAN CAPITAL CORP /KS KS 4.01 11/01/06 FIRST BANCSHARES INC /MS/ MS 8.01,9.01 11/02/06 FIRST FEDERAL BANCSHARES INC /DE DE 1.01,1.02,9.01 11/03/06 FIRST SECURITY GROUP INC/TN TN 7.01 11/02/06 FISHER COMMUNICATIONS INC WA 2.01,9.01 10/31/06 FLICKERING STAR FINANCIAL INC NV 1.01,9.01 10/30/06 FLUOR CORP DE 2.02,9.01 11/06/06 FORSTER DRILLING CORP NV 1.01,2.03,3.02,9.01 11/02/06 FREMONT MICHIGAN INSURACORP INC MI 2.02,9.01 11/06/06 G&K SERVICES INC MN 8.01 11/06/06 GAYLORD ENTERTAINMENT CO /DE DE 2.02,9.01 11/06/06 GENTA INC DE/ DE 3.01,9.01 11/02/06 GENTA INC DE/ DE 8.01,9.01 11/06/06 GEVITY HR INC FL 7.01 11/06/06 GLOBAL SIGNAL INC DE 2.02,9.01 11/06/06 GLOBALNET CORP NV 1.01,2.03,3.02,9.01 11/02/06 GLOBECOMM SYSTEMS INC 1.01,2.03,9.01 10/31/06 GNC CORP DE 2.02,7.01,8.01,9.01 11/03/06 GOLDEN PATRIOT CORP NV 8.01,9.01 11/03/06 GREENBRIER COMPANIES INC DE 1.01,5.02,5.03,9.01 10/31/06 GreenPoint MFT 2006-AR2 DE 8.01,9.01 03/31/06 AMEND GreenPoint MFT 2006-AR3 DE 8.01,9.01 04/28/06 AMEND GreenPoint Mortgage Funding Trust 200 8.01,9.01 02/28/06 AMEND GULF ISLAND FABRICATION INC LA 8.01,9.01 11/06/06 H&R BLOCK INC MO 1.01,2.03,8.01,9.01 10/31/06 HANDHELD ENTERTAINMENT, INC. DE 3.01,5.02 10/31/06 HARRAHS ENTERTAINMENT INC DE 8.01,9.01 11/03/06 HARVEY ELECTRONICS INC NY 5.02,9.01 10/30/06 Health Fitness Corp /MN/ MN 2.02,9.01 11/06/06 HENRY JACK & ASSOCIATES INC DE 1.01,5.03,9.01 10/31/06 HENRY JACK & ASSOCIATES INC DE 8.01,9.01 11/06/06 HERBALIFE LTD. E9 2.02,9.01 11/06/06 HERCULES OFFSHORE, INC. DE 2.02,9.01 11/06/06 HIRSCH INTERNATIONAL CORP NY 8.01 10/31/06 HIRSCH INTERNATIONAL CORP NY 8.01 10/31/06 HOME FEDERAL BANCORP INC 1.01,9.01 11/06/06 HOOPER HOLMES INC NY 1.02,5.02,8.01,9.01 11/02/06 HORNBECK OFFSHORE SERVICES INC /LA DE 8.01,9.01 11/06/06 HORTON D R INC /DE/ DE 1.01,2.03,9.01 11/01/06 Houston Wire & Cable CO 2.02 11/06/06 HSBC USA INC /MD/ MD 8.01 11/03/06 HYPERCOM CORP DE 5.03,9.01 10/31/06 I TRAX INC DE 2.02,9.01 11/02/06 ICONIX BRAND GROUP, INC. DE 1.01,2.01,2.03,9.01 10/31/06 ICONIX BRAND GROUP, INC. DE 1.01,9.01 10/31/06 IDERA PHARMACEUTICALS, INC. DE 1.01 10/31/06 IEC ELECTRONICS CORP DE 2.02,9.01 11/06/06 IKANOS COMMUNICATIONS CA 1.01,9.01 10/31/06 IKONICS CORP 2.02,9.01 10/31/06 IMCLONE SYSTEMS INC DE 8.01,9.01 11/06/06 IMPART MEDIA GROUP INC NV 2.02,4.02 10/31/06 INDEPENDENT BANK CORP /MI/ MI 1.01,9.01 11/06/06 InfoSearch Media, Inc. DE 1.01,1.02,9.01 11/01/06 INLAND REAL ESTATE CORP MD 8.01,9.01 11/06/06 INLAND REAL ESTATE CORP MD 8.01,9.01 11/06/06 INNOTRAC CORP GA 2.01,9.01 10/31/06 INNOTRAC CORP GA 2.02,9.01 11/06/06 INNOVEX INC MN 2.02,9.01 11/06/06 INNUITY, INC. /UT/ UT 2.02,9.01 11/06/06 INNUITY, INC. /UT/ UT 7.01,9.01 11/06/06 INPHONIC INC 2.02,9.01 11/06/06 INSIGHT ENTERPRISES INC DE 2.02,9.01 11/06/06 INSIGHT ENTERPRISES INC DE 9.01 09/07/06 AMEND INSPIRE PHARMACEUTICALS INC DE 8.01,9.01 11/06/06 INTEGRATED ELECTRICAL SERVICES INC DE 1.01,9.01 10/30/06 INTERMOST CORP UT 5.02 11/03/06 INTERNATIONAL ALUMINUM CORP CA 2.02,9.01 11/06/06 INTERNATIONAL BANCSHARES CORP TX 2.02 11/06/06 INTEST CORP DE 2.02,9.01 11/01/06 INTEVAC INC CA 7.01,9.01 11/06/06 INVACARE CORP OH 7.01 11/06/06 INVESTORS REAL ESTATE TRUST ND 2.01,9.01 11/06/05 AMEND INX Inc DE 7.01,9.01 11/03/06 IRWIN FINANCIAL CORP IN 2.02,8.01,9.01 11/03/06 IsoRay, Inc. MN 1.01,9.01 10/06/06 ITC Holdings Corp. MI 7.01,9.01 11/06/06 JACKSON HEWITT TAX SERVICE INC DE 7.01,9.01 11/06/06 JAVO BEVERAGE CO INC DE 5.03,9.01 11/03/06 JER Investors Trust Inc 2.02,9.01 11/06/06 JLG INDUSTRIES INC PA 7.01 11/06/06 K&F Industries Holdings, Inc. 2.02,9.01 11/06/06 Kearny Financial Corp. X1 2.02,9.01 11/02/06 KING PHARMACEUTICALS INC TN 1.01 10/31/06 KIRKLANDS INC 2.02,9.01 11/02/06 KITE REALTY GROUP TRUST MD 2.02,9.01 11/06/06 KLA TENCOR CORP DE 8.01,9.01 11/06/06 KMG America CORP VA 2.02,9.01 11/06/06 KMG America CORP VA 1.01 11/02/06 KNOVA SOFTWARE, INC. DE 1.01 10/30/06 Koppers Holdings Inc. PA 5.02 11/02/06 KOPPERS INC PA 5.02 11/02/06 KRISPY KREME DOUGHNUTS INC NC 1.01,3.02,9.01 10/31/06 KSW INC NY 2.02,9.01 11/06/06 L-1 IDENTITY SOLUTIONS, INC. DE 2.02,7.01 11/02/06 AMEND LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 11/06/06 LANBO FINANCIAL GROUP, INC. NV 4.01,9.01 09/30/06 LARGO VISTA GROUP LTD NV 1.01,9.01 09/02/06 LBI MEDIA HOLDINGS INC 2.01 11/06/06 LCA VISION INC DE 1.01,5.02,9.01 11/01/06 LEHMAN ABS CORP KRAFT FOODS NOTE BACK DE 8.01,9.01 11/01/06 Liberty Global, Inc. 1.01,9.01 10/31/06 LIBERTY MEDIA CORP 2.02 11/06/06 LIFETIME BRANDS, INC DE 5.02 11/02/06 LIFETIME BRANDS, INC DE 1.01,2.03,9.01 10/31/06 LIFETIME BRANDS, INC DE 2.02,9.01 11/06/06 Lightstone Value Plus Real Estate Inv MD 1.01,9.01 11/01/06 LIN TV CORP DE 5.02 10/31/06 AMEND LODGIAN INC DE 7.01,9.01 11/02/06 LOUISIANA-PACIFIC CORP DE 5.02,5.03,9.01 11/03/06 LUMINENT MORTGAGE CAPITAL INC 5.02,9.01 10/31/06 LUNA INNOVATIONS INC 2.02,9.01 11/06/06 MANARIS CORP NV 1.01,9.01 11/01/06 MANPOWER INC /WI/ WI 1.01,8.01,9.01 10/31/06 MARINEMAX INC DE 1.01,9.01 10/31/06 McCormick & Schmicks Seafood Restaura 1.01,9.01 10/31/06 MCKESSON CORP DE 8.01,9.01 11/06/06 MEDAREX INC NJ 1.01,5.02,7.01,9.01 11/05/06 MEDICSIGHT INC DE 5.02,9.01 11/06/06 MEDSOLUTIONS INC TX 9.01 08/16/06 AMEND MEDSTRONG INTERNATIONAL CORP 3.02,9.01 10/31/06 MENTOR CORP /MN/ MN 2.02,9.01 09/30/06 Mercantile Bancorp, Inc. DE 8.01,9.01 11/06/06 MERCURY COMPUTER SYSTEMS INC MA 7.01,9.01 11/06/06 MERCURY GENERAL CORP CA 2.02,5.02,9.01 11/06/06 METALICO INC 7.01,9.01 11/06/06 METALICO INC 3.02,7.01,8.01 11/03/06 METALLINE MINING CO NV 3.01,8.01,9.01 11/06/06 METRETEK TECHNOLOGIES INC DE 2.02,9.01 11/06/06 METTLER TOLEDO INTERNATIONAL INC/ DE 5.02,5.03,9.01 11/02/06 MFRI INC DE 1.01,2.03 11/01/06 MICHAEL FOODS INC/NEW DE 2.02,9.01 11/06/06 MICHAELS STORES INC DE 1.01,1.02,2.03,3.01,3.03,5.01, 10/31/06 5.02,5.03,9.01 MIGO SOFTWARE, INC. DE 8.01 10/19/06 AMEND MILLER HERMAN INC MI 7.01 11/06/06 MINRAD INTERNATIONAL, INC. 1.01,9.01 10/31/06 MOBILEMAIL (US) INC. NV 8.01,9.01 10/31/06 MOLDFLOW CORP 2.02,9.01 11/06/06 MOMENTA PHARMACEUTICALS INC DE 2.02,9.01 11/03/06 MONEYGRAM INTERNATIONAL INC 8.01 11/06/06 Morgan Stanley ABS Capital I Inc. Tru DE 6.02 11/01/06 Morgan Stanley ABS Capital I Inc. Tru DE 6.02 11/01/06 Morgan Stanley Home Equity Loan Trust DE 6.02 11/01/06 Morgan Stanley Home Equity Loan Trust DE 6.02 11/01/06 Morgan Stanley Home Equity Loan Trust DE 6.02 11/01/06 MOSCOW CABLECOM CORP DE 8.01,9.01 11/06/06 MS STRUCTURED SATURNS SERIES 2003-4 DE 8.01,9.01 11/01/06 MSAC 2006-NC1 DE 6.02 11/01/06 MSAC Trust 2006-HE3 DE 6.02 11/01/06 Mueller Water Products, Inc. DE 5.01,9.01 11/06/06 MULTI FINELINE ELECTRONIX INC 2.02,9.01 11/06/06 MYERS INDUSTRIES INC OH 2.02,9.01 11/06/06 Nalco Finance Holdings LLC 1.01,9.01 11/06/06 Nalco Holding CO 1.01,9.01 11/06/06 Nalco Holdings LLC DE 1.01,9.01 11/06/06 NAPCO SECURITY SYSTEMS INC DE 2.02,9.01 11/06/06 NATHANS FAMOUS INC DE 5.02,5.03,9.01 11/01/06 NATIONAL ATLANTIC HOLDINGS CORP NJ 8.01 11/03/06 NATIONAL RETAIL PROPERTIES, INC. MD 2.02,9.01 11/06/06 NationsHealth, Inc. DE 7.01,9.01 11/06/06 NATURALLY ADVANCED TECHNOLOGIES INC A1 1.01,9.01 11/03/06 NaturalNano , Inc. NV 7.01,9.01 11/06/06 NAVISTAR FINANCIAL CORP DE 8.01,9.01 07/31/06 AMEND NAVTEQ CORP DE 1.01,9.01 11/05/06 NEOPHARM INC DE 1.01,9.01 11/01/06 NeoStem, Inc. DE 8.01 11/06/06 NESTOR INC DE 5.02 11/01/06 Neuralstem, Inc. DE 8.01,9.01 10/30/06 NEW HORIZONS WORLDWIDE INC DE 2.02,8.01,9.01 11/06/06 NEW HORIZONS WORLDWIDE INC DE 7.01,9.01 11/06/06 NEW ULM TELECOM INC MN 2.01,9.01 11/03/06 NEWMONT MINING CORP /DE/ DE 1.01 10/31/06 NewPage Holding CORP DE 2.05,9.01 10/31/06 NEWPOWER HOLDINGS INC DE 8.01 10/30/06 NEXMED INC NV 3.01 10/31/06 NGP Capital Resources CO MD 2.02,9.01 11/06/06 NORTH AMERICAN SCIENTIFIC INC 1.01,2.03,9.01 10/31/06 NORTH BAY BANCORP/CA CA 2.02,9.01 11/02/06 NORTHEAST UTILITIES MA 2.02,7.01,9.01 11/06/06 NORTHERN GROWERS LLC SD 7.01,9.01 11/06/06 NORTHSTAR REALTY 1.01 11/03/06 NORTHWESTERN CORP DE 1.01,2.02,9.01 11/06/06 NOVACEA INC DE 1.01 09/13/06 NOVADEL PHARMA INC DE 8.01,9.01 11/06/06 NOVEN PHARMACEUTICALS INC DE 2.02 11/06/06 NT HOLDING CORP. DE 1.02,9.01 10/31/03 NTELOS HOLDINGS CORP 2.02,9.01 11/06/06 NVIDIA CORP DE 4.02,9.01 11/01/06 NYFIX INC DE 1.01 02/28/06 OccuLogix, Inc. DE 2.02,9.01 11/01/06 ONLINE VACATION CENTER HOLDINGS CORP 1.01,2.01,9.01 08/31/06 AMEND OPEN TEXT CORP A6 2.02,9.01 11/06/06 OPHTHALMIC IMAGING SYSTEMS CA 2.02,7.01,9.01 11/06/06 OPTIMAL GROUP INC 7.01 11/06/06 ORIENTAL FINANCIAL GROUP INC PR 8.01 11/01/06 ORIGEN FINANCIAL INC DE 2.02,9.01 11/02/06 ORTHOFIX INTERNATIONAL N V 7.01,9.01 11/01/06 ORTHOFIX INTERNATIONAL N V 2.02,9.01 11/03/06 AMEND OSCIENT PHARMACEUTICALS CORP MA 8.01 11/06/06 OSI RESTAURANT PARTNERS, INC. DE 1.01,4.02,9.01 11/05/06 OVERSTOCK.COM, INC UT 2.02,9.01 11/06/06 OwnIt Mortgage Loan Trust Mortgage Lo DE 6.01,9.01 11/03/06 PALATIN TECHNOLOGIES INC DE 7.01,9.01 11/06/06 PARK NATIONAL CORP /OH/ OH 8.01,9.01 11/06/06 Partners Financial CORP FL 8.01 11/06/06 PATIENT INFOSYSTEMS INC DE 1.01,3.02,8.01,9.01 11/03/06 PC MALL INC DE 2.02,9.01 11/03/06 PDL BIOPHARMA, INC. DE 2.02,9.01 11/02/06 PEAPACK GLADSTONE FINANCIAL CORP NJ 2.02,9.01 11/01/06 PER SE TECHNOLOGIES INC DE 2.02,9.01 11/06/06 PER SE TECHNOLOGIES INC DE 8.01,9.01 11/06/06 PERFICIENT INC DE 2.02,9.01 11/02/06 PERFICIENT INC DE 8.01 11/06/06 PHARMACOPEIA DRUG DISCOVERY INC DE 7.01,9.01 11/06/06 PHARMOS CORP NV 2.02,7.01,9.01 11/01/06 PHOENIX COMPANIES INC/DE DE 2.02,9.01 11/06/06 PHOENIX COMPANIES INC/DE DE 2.02,9.01 11/06/06 PHOENIX TECHNOLOGIES LTD DE 2.02,9.01 11/06/06 PHOTOMEDEX INC DE 1.01,3.02,9.01 10/31/06 PHYSICAL SPA & FITNESS INC DE 1.01 11/06/06 PIERRE FOODS INC NC 1.01,7.01,9.01 11/03/06 PIERRE FOODS INC NC 2.01,9.01 08/21/06 AMEND Pike Electric CORP 1.01,9.01 10/31/06 PINNACLE ENTERTAINMENT INC DE 2.02,9.01 11/06/06 PINNACLE ENTERTAINMENT INC DE 1.01,9.01 10/31/06 PLACER SIERRA BANCSHARES CA 7.01,9.01 11/06/06 PLATINA ENERGY GROUP INC. DE 2.01 11/06/06 PLAYLOGIC ENTERTAINMENT INC DE 1.02,5.02 10/31/06 PLUM CREEK TIMBER CO INC DE 5.02,9.01 10/31/06 PLY GEM HOLDINGS INC DE 1.01,2.01,2.03,9.01 11/02/06 POLYMER GROUP INC DE 1.01,1.02,5.02 10/31/06 POWERWAVE TECHNOLOGIES INC DE 2.02,9.01 11/02/06 PRESSTEK INC /DE/ DE 8.01,9.01 11/06/06 PRESSTEK INC /DE/ DE 8.01,9.01 11/06/06 Prime Mortgage Trust 2006-1 DE 6.02 11/01/06 Prime Mortgage Trust 2006-1 DE 6.02 11/01/06 Prime Mortgage Trust 2006-1 DE 6.02 11/01/06 PROQUEST CO DE 1.01,9.01 11/01/06 PROSPERO MINERALS CORP. NV 2.01,3.02,9.01 10/31/06 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01 11/06/06 PUGET ENERGY INC /WA WA 7.01,9.01 11/03/06 QPC Lasers NV 8.01,9.01 11/02/06 QUANTUM CORP /DE/ DE 3.03,9.01 11/01/06 QUEST RESOURCE CORP NV 7.01,9.01 11/06/06 Rackable Systems, Inc. DE 1.01,9.01 11/01/06 RAE SYSTEMS INC DE 2.02,9.01 11/06/06 Rand Logistics, Inc. DE 8.01 11/01/06 RAYONIER INC NC 5.02 11/01/06 RBC LIFE SCIENCES, INC. DE 1.01,2.05,9.01 10/31/06 REALNETWORKS INC WA 2.02,9.01 11/06/06 REALTY INCOME CORP MD 2.02,9.01 11/03/06 REALTY INCOME CORP MD 2.01,9.01 11/01/06 REGAL ENTERTAINMENT GROUP DE 3.02 11/06/06 REGIONS FINANCIAL CORP DE 2.01,5.02,9.01 11/04/06 REPLIDYNE INC 7.01,9.01 11/03/06 Republic Property Trust MD 9.01 09/06/06 AMEND RF MICRO DEVICES INC NC 5.02,9.01 11/01/06 ROCKY BRANDS, INC. OH 2.02,9.01 11/06/06 ROOMLINX INC NJ 7.01,9.01 11/06/06 Rosetta Resources Inc. DE 7.01,9.01 11/06/06 SABINE ROYALTY TRUST TX 2.02,9.01 11/03/06 SAFECO CORP WA 5.02 11/02/06 SALEM COMMUNICATIONS CORP /DE/ DE 2.02,7.01,9.01 11/06/06 SALOMON SMITH BARNEY ORION FUTURES FU 3.02 11/01/06 SANFILIPPO JOHN B & SON INC DE 7.01,9.01 11/06/06 SCM MICROSYSTEMS INC DE 5.02 11/03/06 SCOLR Pharma, Inc. DE 2.02,9.01 11/06/06 SEMCO ENERGY INC MI 2.02,9.01 11/06/06 Seneca Gaming Corp XX 5.02 10/14/06 SES SOLAR INC. 7.01,9.01 11/03/06 SHEFFIELD PHARMACEUTICALS INC DE 1.01,4.01,5.01,5.02,5.06,9.01 10/31/06 SHILOH INDUSTRIES INC DE 2.05,2.06 10/31/06 SHORE BANCSHARES INC MD 7.01,9.01 11/06/06 Siberian Energy Group Inc. NV 8.01 11/06/06 SIERRA PACIFIC RESOURCES /NV/ NV 7.01 11/03/06 SL INDUSTRIES INC NJ 2.01,9.01 10/31/06 SMITH BARNEY POTOMAC FUTURES FUND LP 3.02 11/01/06 SMITH BARNEY WESTPORT FUTURES FUND LP 3.02 11/01/06 SONUS NETWORKS INC DE 2.02,4.02,9.01 11/02/06 SOUTHCREST FINANCIAL GROUP INC GA 1.01,2.01,3.02,5.02,8.01,9.01 10/31/06 SPATIALIGHT INC NY 5.02,9.01 11/03/06 SRI SURGICAL EXPRESS INC FL 2.02,9.01 11/06/06 ST JOE CO FL 1.02,5.02,9.01 11/06/06 ST. BERNARD SOFTWARE, INC. CA 1.01,5.02,9.01 11/01/06 STAAR SURGICAL CO DE 7.01 10/31/06 STEEL TECHNOLOGIES INC KY 8.01,9.01 11/06/06 STELLAR TECHNOLOGIES, INC. CO 1.01,3.02,9.01 10/31/06 STELLENT INC MN 1.01,9.01 11/02/06 AMEND STERLING BANCORP NY 2.02,7.01,9.01 11/03/06 STEWARDSHIP FINANCIAL CORP NJ 2.01 10/31/06 STOCKERYALE INC MA 1.01,2.01,2.03,3.02,9.01 10/31/06 STRATASYS INC DE 2.02,9.01 10/31/06 SUMMIT ENVIRONMENTAL CORP INC TX 5.02 10/23/06 SUN NEW MEDIA INC. MN 5.02 10/30/06 AMEND SUNTRUST BANKS INC GA 8.01,9.01 10/25/06 SWIFT TRANSPORTATION CO INC NV 7.01,9.01 11/06/06 SWS GROUP INC DE 2.02,9.01 11/06/06 SYKES ENTERPRISES INC FL 2.02,9.01 11/06/06 TAKE TWO INTERACTIVE SOFTWARE INC DE 3.01,9.01 11/02/06 TANDY BRANDS ACCESSORIES INC DE 1.01,9.01 10/31/06 TANDY LEATHER FACTORY INC DE 2.02,9.01 10/31/06 TAPESTRY PHARMACEUTICALS, INC DE 7.01,9.01 11/06/06 TASER INTERNATIONAL INC 1.01,9.01 11/01/06 TCF FINANCIAL CORP DE 8.01,9.01 11/03/06 TEAM FINANCIAL INC /KS KS 2.02,9.01 11/03/06 TECHNICAL OLYMPIC USA INC DE 2.04 11/06/06 TELEPHONE & DATA SYSTEMS INC /DE/ DE 1.01,9.01 11/02/06 TELIK INC DE 2.02,9.01 11/06/06 TENFOLD CORP /UT DE 2.02 11/01/06 THINK PARTNERSHIP INC NV 7.01,9.01 11/06/06 TIDEWATER INC DE 8.01 11/06/06 TIME WARNER TELECOM INC DE 2.01,2.03,8.01,9.01 10/31/06 TORVEC INC NY 3.02 11/06/06 TOTAL LUXURY GROUP INC IN 9.01 11/02/06 Traffic.com, Inc. DE 2.02,9.01 11/06/06 Traffic.com, Inc. DE 1.01,9.01 11/05/06 TRAILER BRIDGE INC 7.01,9.01 11/01/06 TRANSACTION SYSTEMS ARCHITECTS INC DE 2.01 10/31/06 TRANSCEND SERVICES INC DE 1.01 11/06/06 TransDigm Group INC DE 1.01,8.01,9.01 10/06/06 TUT SYSTEMS INC DE 2.02,9.01 11/06/06 TXU CORP /TX/ TX 7.01,9.01 11/06/06 TXU CORP /TX/ TX 7.01 11/06/06 AMEND U. S. Premium Beef, LLC 7.01,9.01 11/06/06 UAP HOLDING CORP DE 1.01,9.01 11/02/06 UMH PROPERTIES, INC. MD 7.01,9.01 11/06/06 UNITED STATES CELLULAR CORP DE 1.01,9.01 11/02/06 UNITED SURGICAL PARTNERS INTERNATIONA DE 7.01,9.01 11/06/06 UNITRIN INC DE 8.01,9.01 11/01/06 UNITY BANCORP INC /NJ/ NJ 7.01,9.01 11/03/06 UNIVERSAL INSURANCE HOLDINGS INC DE 8.01,9.01 10/24/06 VALEANT PHARMACEUTICALS INTERNATIONAL DE 5.03,9.01 10/31/06 VALENTIS INC DE 1.01,2.05,5.02 11/01/06 VALERO L P DE 1.01 11/06/06 VALPEY FISHER CORP MD 2.02,9.01 11/06/06 Veri-Tek International, Corp. MI 1.01,3.02,7.01,9.01 11/03/06 VERIDICOM INTERNATIONAL INC DE 1.01,2.03,3.02,9.01 10/31/06 VERISIGN INC/CA DE 1.01,9.01 10/31/06 VIASPACE Inc. NV 1.01,9.01 10/31/06 VIRAGE LOGIC CORP CA 2.02,9.01 11/06/06 Vocus, Inc. DE 8.01 11/01/06 W R GRACE & CO DE 1.01,5.02,9.01 11/01/06 Wallace Mountain Resources Corp. NV 1.01,2.01,3.02,5.01, 10/31/06 5.02,5.06,9.01 WALTER INDUSTRIES INC /NEW/ DE 8.01,9.01 11/06/06 WARNACO GROUP INC /DE/ DE 1.01,2.02,2.05,8.01,9.01 11/06/06 WARREN RESOURCES INC MD 2.02,7.01,9.01 11/02/06 WASHINGTON GROUP INTERNATIONAL INC DE 2.02,9.01 11/06/06 WATSON PHARMACEUTICALS INC NV 1.01,1.02,2.01,2.03,9.01 11/03/06 WEBSIDESTORY INC CA 2.02,9.01 11/06/06 WESBANCO INC WV 7.01,9.01 11/06/06 WESCO FINANCIAL CORP CA 2.02,9.01 11/03/06 WESTBANK CORP MA 2.02,9.01 11/03/06 WESTMORELAND COAL CO DE 2.02,9.01 11/06/06 WESTMORELAND COAL CO DE 1.01,2.01,2.03,9.01 06/29/06 AMEND WESTWOOD ONE INC /DE/ DE 1.01,9.01 10/31/06 WHEELING PITTSBURGH CORP /DE/ DE 7.01,8.01,9.01 11/06/06 WILEY JOHN & SONS INC NY 5.02 11/06/06 WILLIAMS COAL SEAM GAS ROYALTY TRUST DE 2.02,9.01 11/03/06 WILLOW FINANCIAL BANCORP, INC. PA 1.01 10/31/06 WOIZE INTERNATIONAL LTD. 5.02 10/31/06 WORKSTREAM INC 4.01,9.01 11/02/06 XM SATELLITE RADIO HOLDINGS INC DE 2.02,7.01,9.01 11/06/06 XVARIANT INC NV 5.01,5.03,8.01,9.01 11/03/06 YOUNG BROADCASTING INC /DE/ DE 2.02,9.01 11/06/06 YOUNG BROADCASTING INC /DE/ DE 7.01 11/06/06 ZAP CA 1.01,8.01,9.01 11/06/06 ZAP CA 3.01,9.01 10/31/06 ZIOPHARM ONCOLOGY INC 1.01,9.01 11/03/06 ZONE 4 PLAY INC NV 1.01,9.01 11/06/06