SEC NEWS DIGEST Issue 2006-240 December 14, 2006 COMMISSION ANNOUNCEMENTS SEC VOTES TO PROPOSE RULE TO PROHIBIT FRAUD BY INVESTMENT ADVISERS TO CERTAIN POOLED INVESTMENT VEHICLES; ALSO VOTES TO PROPOSE REVISIONS TO CRITERIA FOR ACCREDITED INVESTORS IN CERTAIN PRIVATE INVESTMENT VEHICLES On December 13, the Commission voted to propose several new rules that are intended to provide additional protections to investors in hedge funds and other pooled investment vehicles. The proposals include the following: * Antifraud Provision under the Investment Advisers Act of 1940. The proposal would make it a fraudulent, deceptive, or manipulative act, practice, or course of business for an investment adviser to a pooled investment vehicle to make false or misleading statements or to otherwise defraud investors or prospective investors in that pool. The rule would apply to all investment advisers to pooled investment vehicles, regardless of whether the adviser is registered under the Advisers Act. Under the proposed rule, a pooled investment vehicle would include any investment company and any company that would be an investment company but for the exclusions in sections 3(c)(1) or 3(c)(7) of the Investment Company Act. * Amendments to Private Offering Rules under the Securities Act of 1933. The proposals would define a new category of accredited investor that would apply to offers and sales of securities issued by hedge funds and other private investment pools to natural persons. The proposed definition would include any natural person who (a) meets either the net worth test or income test specified in rule 501(a) or rule 215, as applicable, and (b) owns at least $2.5 million in investments, as defined in the proposed rules. Comments on these proposals should be received by the Commission within 60 days of their publication in the Federal Register. (Press Rel. 2006-208) SEC VOTES TO ADOPT E-PROXY RULE AMENDMENTS AND PROPOSE MANDATORY MODEL On December 13, the Securities and Exchange Commission voted to adopt amendments to its proxy rules that would allow companies to furnish proxy materials to shareholders through a "notice and access" model using the Internet. The Commission also voted to propose rule changes that would require companies and soliciting persons to follow the notice and access model for all solicitations not related to a business combination transaction in the future. Internet Availability of Proxy Materials Pursuant to amendments to the Commission's proxy rules, a company may, but is not required to, furnish proxy materials to shareholders through a "notice and access" model. A company choosing to follow the model must post its proxy materials on an Internet Web site and send a Notice of Internet Availability of Proxy Materials to shareholders at least 40 days before the meeting date. A proxy card may not accompany the Notice. However, a company may send a paper proxy card accompanied by another copy of the Notice 10 days or more after it sending the initial the Notice. The new alternative model for furnishing proxy materials seeks to substantially decrease the expense incurred by issuers to comply with the proxy rules and provide persons other than the company with a more cost-effective means to undertake their own proxy solicitations. The Notice must be written in plain English and contain a prominent legend that advises shareholders of the date, time, and location of the meeting; the availability of the proxy materials at a specified Web site address; a toll-free phone number, e-mail address and a website that shareholders may use to request copies of the proxy materials; and a clear and impartial description of the matters to be considered at the meeting. The company must send a copy of the materials within three business days after receiving a request from a shareholder. A shareholder may make a permanent election to receive all proxy materials in paper or by e-mail with respect to future proxy solicitations conducted by the company or soliciting person. When a company or soliciting party chooses to rely on the notice and access model, brokers, banks and similar intermediaries must prepare and send their own Notices designed for beneficial shareholders. A beneficial shareholder desiring a paper or e-mail copy of the proxy materials must request one from the intermediary. A soliciting person other than the company may follow the notice and access model in substantially the same manner as a company. However, its Notice must be sent to shareholders by the later of 40 days before the meeting or 10 days after the company filed its proxy materials. It may limit its solicitation to shareholders who have not previously requested paper or e-mail copies. But if the soliciting person sends a Notice to a shareholder, it must send that shareholder a paper or e- mail copy upon request. The compliance date for the amendments is July 1, 2007. No person may comply with the notice and access model before that date. "The new rules for the Internet availability of proxy materials that the Commission adopted today have been carefully crafted to decrease substantially the costs incurred by issuers and others soliciting proxies while safeguarding the interests of investors. It is worth emphasizing that any investor who wants to receive paper proxy materials may continue to do so, without charge, under these rules even if the company has chosen to follow the voluntary notice and access model," remarked John W. White, Director of the Division of Corporation Finance at the SEC. "A shareholder needs only to tell his broker or the company by whatever means is convenient -- a toll free call, by mail, by email or on the proxy website. And, once the request for paper proxy materials is made, that preference continues with respect to subsequent solicitations in later years without any further action by the shareholder. We also added 10 days of additional time for this to occur." The Commission also is proposing to require companies and soliciting persons to follow the notice and access model for all solicitations not related to a business combination transaction in the future. The proposed mandatory model would operate in substantially the same manner as the voluntary model. However, under the proposal, the Notice could be accompanied by a full set of proxy materials, including the proxy statement, annual report, and proxy card. Comments on these proposals should be received by the Commission within 60 days of their publication in the Federal Register. (Press Rel. 2006-209) ENFORCEMENT PROCEEDINGS IN THE MATTER OF JOHN REPINE AND ARCHER ALEXANDER SECURITIES CORP. On December 14, the Commission instituted administrative proceedings against Archer Alexander Securities Corp. (Archer Alexander), a registered broker-dealer, and its former chief executive officer, John M. Repine. The Commission's Order finds that during 2003 Repine and Archer Alexander failed reasonably to supervise a registered representative associated with the firm with a view to detecting and preventing his violations of the federal securities laws arising from a fraudulent trading scheme involving inverse floating rate collateralized mortgage obligations (inverse floaters), a highly complex, risky, and volatile type of mortgage-backed security derivative. The Order also finds that Repine and Archer Alexander failed reasonably to supervise the registered representative by failing to respond to red flags that he was selling these complex and risky securities to investors for whom they were unsuitable. The Order further finds that Archer Alexander violated various net capital, books and records, and reporting provisions as a result of the registered representative's conduct. The Order censures Repine and Archer Alexander, orders that Archer Alexander cease-and-desist from committing any violations of various net capital, books and records, and reporting provisions, revokes the registration of Archer Alexander as a broker and dealer with the Commission, effective Dec. 15, 2006, suspends Repine from associating with any broker or dealer in a supervisory capacity for a period of six months, effective on the second Monday following the issuance of the Order, and orders Repine to pay a penalty of $15,000. Repine and Archer Alexander consented to the issuance of the Order without admitting or denying any of the findings, except as to the Commission's jurisdiction over them and the subject matter of the proceeding. On November 8, in a related proceeding, the Commission filed a civil action against Jamie L. Solow, 45, a former registered representative, alleging that, during 2003, Solow engaged in a fraudulent trading scheme involving inverse floaters. At that time, Solow was a registered representative associated with Archer Alexander and was based in Boca Raton, Florida. The Commission's complaint further alleges that, during the same period, Solow sold inverse floaters to retail customers for whom they were unsuitable investments. The Commission's complaint, filed in the United States District Court for the Southern District of Florida, alleges that by engaging in this conduct, Solow violated the antifraud provisions of the federal securities law, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), Exchange Act Rule 10b-5, and Section 17(a) of the Securities Act of 1933. The complaint also alleges that Solow aided and abetted Archer Alexander's violations of various broker-dealer net capital, books and records, and reporting provisions. The Commission's complaint seeks a permanent injunction against Solow, disgorgement, prejudgment interest, and civil money penalties (SEC v. Jamie L. Solow, Civil Action No. 06-81041-CIV-Middlebrooks/Johnson (S.D. Fla.); LR-19906). The staff's investigation is continuing. (Rel. 34-54937; File No. 3- 12505) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-BSE-2006-54) and Amendment No. 1 thereto filed by the Boston Stock Exchange relating to the removal of Minimum Volume and Fill-Or-Kill order type designations, 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 December 18. (Rel. 34-54915) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change and Amendment Nos. 1 and 2 thereto (SR-NYSE-2006-70) submitted by the New York Stock Exchange relating to iShares® Lehman Bond Funds. Publication is expected in the Federal Register during the week of December 18. (Rel. 34-54916) 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-8 NATIONAL FINANCIAL PARTNERS CORP, 787 7TH AVE, NEW YORK, NY, 10019, 212-301-4000 - 3,500,000 ($154,735,000.00) Equity, (File 333-139288 - Dec. 13) (BR. 01B) S-8 ASTRONICS CORP, 130 COMMERCE WAY, -, EAST AURORA, NY, 14052-2191, 716-805-1599 - 250,000 ($4,255,000.00) Equity, (File 333-139292 - Dec. 13) (BR. 05A) F-1 ONCOGENEX TECHNOLOGIES INC, SUITE 550, 2660 OAK STREET, VANCOUVER, A1, 00000, 6047363678 - 0 ($48,000,000.00) Equity, (File 333-139293 - Dec. 13) (BR. 01) S-1 TFS Financial CORP, 7007 BROADWAY AVENUE, CLEVELAND, OH, 44105, (216) 441-6000 - 0 ($977,099,490.00) Equity, (File 333-139295 - Dec. 13) (BR. 07) SB-2 China Kangtai Cactus Bio-tech, Inc., 99 TAIBEI ROAD,, LIMIN ECONOMIC AND TECHNOLOGICAL DEVELOP, HARBIN, HEILONGJIANG PROVINCE,, F4, 150025, 86-451-57351189 - 3,700,000 ($2,997,000.00) Equity, (File 333-139297 - Dec. 13) (BR. 01B) SB-2 Bridgeline Software, Inc., 10 SIXTH ROAD, WOBURN, MA, 01801, 781 376 5555 - 4,142,000 ($24,852,000.00) Equity, (File 333-139298 - Dec. 13) (BR. 03) SB-2 ALLEGRO BIODIESEL CORP, 6033 W. CENTURY BLVD, SUITE 850, LOS ANGELES, CA, 90045, 3106702093 - 0 ($346,711,050.00) Equity, (File 333-139299 - Dec. 13) (BR. 10A) S-1 CHS INC, 5500 CENEX DRIVE, INVER GROVE HEIGHTS, MN, 55077, 651-355-6000 - 0 ($36,000,000.00) Equity, (File 333-139300 - Dec. 13) (BR. 05B) S-4 COMMUNITY BANKS INC /PA/, 750 EAST PARK DR, HARRISBURG, PA, 17111, 7179205803 - 785,893 ($10,835,985.00) Equity, (File 333-139301 - Dec. 13) (BR. 07A) S-1 WINDSWEPT ENVIRONMENTAL GROUP INC, 100 SWEENEYDALE AVE, BAY SHORE, NY, 11706, 5166947060 - 5,395,061 ($458,580.00) Equity, (File 333-139303 - Dec. 13) (BR. 06C) S-3 ENDEAVOUR INTERNATIONAL CORP, 1000 MAIN STREET, SUITE 3300, HOUSTON, TX, 77002, 713-307-8700 - 85,000,000 ($200,600,000.00) Equity, (File 333-139304 - Dec. 13) (BR. 04B) F-3 DIANA SHIPPING INC., PENDELIS 16, 175 64 PALAIO FALIRO, ATHENS, J3, 00000, 30-210-947-0100 - 0 ($423,525,000.00) Unallocated (Universal) Shelf, (File 333-139306 - Dec. 13) (BR. 05A) S-1 LifeWatch Corp., 1351A ABBOTT COURT, BUFFALO GROVE, IL, 60089, 847.720.2100 - 0 ($86,250,000.00) Equity, (File 333-139307 - Dec. 13) (BR. ) S-B PROVINCE OF NEW BRUNSWICK, 670 KING ST., FREDERICTON, A3, E3B 5H1, (506) 453-2515 - 1,500,000,000 ($1,500,000,000.00) Non-Convertible Debt, (File 333-139308 - Dec. 13) (BR. DN) S-8 NEURO-HITECH PHARMACEUTICALS INC, ONE PENN PLAZA, SUITE 2514, NEW YORK, NY, 10119, 212-798-8100 - 199,286 ($2,386,625.00) Equity, (File 333-139309 - Dec. 13) (BR. 01B) S-8 AMDOCS LTD, SUITE 5, TOWER HILL HOUSE LE BORDAGE, ST PETER PORT, ISLAND OF GUERNSEY, X0, GY1 3QT, 011-44-1481-728444 - 0 ($160,349.00) Equity, (File 333-139310 - Dec. 13) (BR. 03B) S-4 AMERICANWEST BANCORPORATION, 41 W. RIVERSIDE AVENUE, SUITE 400, SPOKANE, WA, 99201-3631, (509)467-6993 - 6,666,666 ($46,460,800.00) Equity, (File 333-139311 - Dec. 13) (BR. 07A) SB-2 Vallenar Holdings Inc., 3388 VIA LIDO, FOURTH FLOOR, NEWPORT BEACH, CA, 92663, 866-472-7987 - 4,000,000 ($755,552.00) Equity, (File 333-139312 - Dec. 13) (BR. ) S-8 J CREW GROUP INC, 770 BROADWAY, NEW YORK, NY, 10003, 2122092500 - 0 ($19,205,000.00) Equity, (File 333-139313 - Dec. 13) (BR. 02C) S-8 MICRON ENVIRO SYSTEMS INC, 789 WEST PENDER ST, SUITE 1250, VANCOUVER BC, A1, V6C 1H2, 6046466903 - 27,500,000 ($415,250.00) Equity, (File 333-139314 - Dec. 13) (BR. 04A) S-8 CORILLIAN CORP, 3400 NW JOHN OLSEN PLACE, HILLSBORO, OR, 97124, 5036270729 - 0 ($9,606,662.00) Equity, (File 333-139315 - Dec. 13) (BR. 03B) S-8 Wellstar International, Inc., 6911 PILLIOD ROAD, HOLLAND, OH, 43528, (419) 865-0069 - 5,000,000 ($375,000.00) Equity, (File 333-139316 - Dec. 13) (BR. 10C) S-8 ORION HEALTHCORP INC, 1805 OLD ALABAMA ROAD, SUITE 350, ROSWELL, GA, 30076, 7136651406 - 13,450,782 ($2,824,664.22) Equity, (File 333-139317 - Dec. 13) (BR. 01C) 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 @ROAD, INC DE 1.01,9.01 12/10/06 ABBOTT LABORATORIES IL 3.03,9.01 12/08/06 ABM INDUSTRIES INC /DE/ DE 2.02,8.01,9.01 12/12/06 ABX AIR INC 5.02,9.01 12/08/06 ACACIA RESEARCH CORP DE 1.01,8.01,9.01 12/07/06 ADVANCIS PHARMACEUTICAL CORP 1.01,3.02,9.01 12/08/06 AETNA INC /PA/ PA 7.01 12/13/06 AFFILIATED COMPUTER SERVICES INC DE 4.02 12/07/06 Aircastle LTD D0 8.01,9.01 12/13/06 AIRTRAN HOLDINGS INC NV 7.01,8.01,9.01 12/13/06 ALABAMA POWER CO AL 5.03,8.01,9.01 12/05/06 ALESCO FINANCIAL INC 1.01 12/08/06 Alexza Pharmaceuticals Inc. DE 7.01,9.01 12/13/06 ALLEGHENY ENERGY, INC MD 5.03,9.01 12/07/06 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 12/11/06 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 12/11/06 ALLIED CAPITAL CORP MD 2.02,9.01 12/12/06 ALLIED DEFENSE GROUP INC DE 1.01,3.02,5.02,9.01 12/11/06 ALNYLAM PHARMACEUTICALS, INC. 8.01,9.01 12/12/06 ALPHARMA INC DE 7.01,9.01 12/13/06 ALPHARMA INC DE 7.01,9.01 12/13/06 AMB PROPERTY CORP MD 5.02 12/07/06 AMERICAN CELLULAR CORP /DE/ 9.01 10/05/06 AMEND AMERICAN TOWER CORP /MA/ DE 7.01 12/13/06 AMERICAS WIND ENERGY CORP NV 4.01,9.01 11/29/06 AMERISOURCEBERGEN CORP DE 8.01,9.01 12/13/06 ANALOGIC CORP MA 5.03,9.01 12/07/06 ANTIGENICS INC /DE/ DE 5.02,9.01 12/07/06 APPLEBEES INTERNATIONAL INC DE 5.02 12/07/06 ASHLAND INC. KY 7.01 12/13/06 ASSURED GUARANTY LTD 1.01,2.03,9.01 12/07/06 ATMEL CORP DE 2.05,2.06,8.01,9.01 12/07/06 ATS MEDICAL INC MN 5.02,9.01 12/07/06 AUTOZONE INC NV 1.01,9.01 12/13/06 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 12/13/06 AVERY DENNISON CORPORATION DE 5.02,5.03,9.01 12/13/06 AXIS CAPITAL HOLDINGS LTD 5.02 12/12/06 BA Credit Card Trust 8.01,9.01 12/13/06 BANKUNITED FINANCIAL CORP FL 5.02 12/12/06 BEAR STEARNS DEPOSITOR INC SERIES 200 8.01,9.01 12/01/06 BEAR STEARNS DEPOSITOR INC TRUST CERT 8.01,9.01 12/01/06 BECKMAN COULTER INC DE 5.02 12/07/06 Behringer Harvard Opportunity REIT I, MD 2.01,2.03,7.01,9.01 12/08/06 BELL MICROPRODUCTS INC CA 8.01,9.01 12/13/06 BEST BUY CO INC MN 5.04,9.01 12/13/06 BigString CORP DE 8.01,9.01 12/11/06 BIRNER DENTAL MANAGEMENT SERVICES INC CO 8.01 12/13/06 BJ SERVICES CO DE 5.02,5.03,9.01 12/07/06 Bloodhound Search Technologies, Inc. NV 1.01,1.02,5.02,9.01 12/08/06 BLUE HOLDINGS, INC. NV 5.02,9.01 12/07/06 BOYD GAMING CORP NV 5.02,9.01 12/07/06 Brand Energy & Infrastructure Service DE 8.01,9.01 12/12/06 BUCKLE INC NE 5.02,8.01,9.01 12/12/06 BUFFALO WILD WINGS INC MN 5.02,9.01 12/07/06 Bunge LTD 7.01,9.01 12/12/06 CABLEVISION SYSTEMS CORP /NY DE 8.01 12/13/06 CABOT MICROELECTRONICS CORP DE 8.01,9.01 12/12/06 CADENCE DESIGN SYSTEMS INC DE 8.01,9.01 12/12/06 CANEUM INC NV 4.01,9.01 12/08/06 CANYON COPPER CORP. 1.01,7.01,9.01 11/27/06 CAPITAL AUTO RECEIVABLES LLC DE 8.01,9.01 12/06/06 CAPITALSOURCE INC DE 5.02 12/07/06 CARDIODYNAMICS INTERNATIONAL CORP CA 8.01,9.01 12/12/06 CAREY W P & CO LLC DE 5.02 12/06/06 Caribou Coffee Company, Inc. MN 7.01,9.01 12/13/06 CATERPILLAR INC DE 8.01 12/13/06 CEDAR SHOPPING CENTERS INC MD 8.01,9.01 09/27/06 Celanese CORP DE 7.01,9.01 12/13/06 Celanese CORP DE 7.01,9.01 12/13/06 CELGENE CORP /DE/ DE 8.01,9.01 12/13/06 CENTRAL EUROPEAN DISTRIBUTION CORP DE 1.01,9.01 12/12/06 CENTRAL VERMONT PUBLIC SERVICE CORP VT 5.02 12/12/06 CENTURY CASINOS INC /CO/ DE 7.01 12/13/06 CENTURY CASINOS INC /CO/ DE 8.01,9.01 12/13/06 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 12/12/06 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 12/12/06 Chase Mortgage Finance Trust Series 2 DE 8.01,9.01 12/13/06 CHAUS BERNARD INC NY 5.02 12/08/06 CHEESECAKE FACTORY INCORPORATED DE 8.01,9.01 12/11/06 CHESAPEAKE UTILITIES CORP DE 5.02,5.05,9.01 12/07/06 China Media Group CORP TX 1.01,3.02,9.01 12/07/06 CHORDIANT SOFTWARE INC DE 1.01,2.02,9.01 12/13/06 CHORDIANT SOFTWARE INC DE 8.01,9.01 12/13/06 CITIGROUP INC DE 5.02 12/11/06 CKE RESTAURANTS INC DE 5.03,9.01 12/07/06 CLAIMSNET COM INC DE 5.02 12/07/06 CLARK INC DE 1.01,9.01 12/10/06 COMPUTER SCIENCES CORP NV 7.01,9.01 12/12/06 CONSUMER PORTFOLIO SERVICES INC CA 1.01,2.03,9.01 12/07/06 COREL CORP A6 2.01,9.01 12/12/06 COVANCE INC DE 1.01,9.01 12/07/06 CPI INTERNATIONAL, INC. DE 2.02,9.01 12/12/06 CPI INTERNATIONAL, INC. DE 5.02,9.01 12/07/06 Craft College Inc UT 4.01 12/07/06 CROGHAN BANCSHARES INC OH 5.02,9.01 12/12/06 CSK AUTO CORP DE 5.04,9.01 12/13/06 CUBIST PHARMACEUTICALS INC DE 5.02,9.01 12/07/06 CULP INC NC 5.02,9.01 12/11/06 CYBERONICS INC DE 1.02,5.02,9.01 12/07/06 CYGNUS OIL & GAS CORP DE 5.02,8.01,9.01 12/07/06 CytoCore Inc DE 1.01,5.02,9.01 11/20/06 DARLING INTERNATIONAL INC DE 5.02,9.01 12/07/06 DDI CORP CA 1.01 12/07/06 Diagnostic CORP of America DE 2.01,9.01 11/30/06 AMEND DiamondRock Hospitality Co 2.01,9.01 12/08/06 DIRECT GENERAL CORP 1.01,9.01 11/22/06 DOLLAR TREE STORES INC VA 1.01,7.01,9.01 12/11/06 DOV PHARMACEUTICAL INC DE 1.01 12/07/06 DREW INDUSTRIES INC DE 8.01,9.01 12/13/06 DYNEGY INC /IL/ IL 2.02,2.06,8.01,9.01 12/08/06 E MED FUTURE INC NV 1.03 11/22/06 EAGLE BROADBAND INC TX 1.01,5.02 12/07/06 EASTMAN CHEMICAL CO DE 5.02 12/07/06 Education Management LLC DE 1.01,9.01 12/07/06 EFOODSAFETY COM INC NV 8.01 12/11/06 EGPI FIRECREEK, INC. NV 3.02,7.01,8.01,9.01 12/08/06 Embarq CORP DE 5.02,9.01 12/07/06 EMBREX INC /NC/ NC 8.01,9.01 12/11/06 EMC CORP MA 8.01,9.01 12/13/06 Emerge Capital Corp. DE 1.01,2.01,3.02,9.01 09/30/06 AMEND EMERGING VISION INC NY 9.01 09/29/06 AMEND EMTEC INC/NJ UT 1.01,9.01 12/07/06 EMULEX CORP /DE/ DE 9.01 10/02/06 AMEND ENDOCARE INC DE 5.02,9.01 12/07/06 ENDOVASC INC NV 5.02,9.01 12/13/06 ENTERCOM COMMUNICATIONS CORP PA 1.01 12/08/06 ENTREMED INC DE 1.01,8.01,9.01 12/12/06 EQUUS TOTAL RETURN, INC. DE 2.02,9.01 12/12/06 ERIE INDEMNITY CO PA 8.01,9.01 12/13/06 ESTERLINE TECHNOLOGIES CORP DE 5.02 12/07/06 ev3 Inc. DE 5.02 12/07/06 EXCO RESOURCES INC TX 8.01,9.01 05/15/06 AMEND EZ English Online Inc. DE 5.01,5.02,8.01,9.01 12/12/06 FAVRILLE INC DE 7.01 12/13/06 FIFTH THIRD BANCORP OH 9.01 12/13/06 FINANCIAL FEDERAL CORP NV 5.02,9.01 12/06/06 First Federal of Northern Michigan Ba 8.01,9.01 12/12/06 FIRST MIDWEST BANCORP INC DE 5.02 12/13/06 FIRST STATE BANCORPORATION NM 8.01,9.01 12/12/06 FIRST UNITED ETHANOL LLC 7.01 12/13/06 FLEETWOOD ENTERPRISES INC/DE/ DE 2.02,9.01 12/07/06 FLORIDA ROCK INDUSTRIES INC FL 8.01 12/13/06 FORD MOTOR CREDIT CO DE 1.01,9.01 12/12/06 FTI CONSULTING INC MD 1.01,9.01 12/11/06 FURNITURE BRANDS INTERNATIONAL INC DE 8.01,9.01 12/13/06 FUTOMIC INDUSTRIES INC NJ 3.02 12/12/06 GANDER MOUNTAIN CO MN 1.01,1.02,3.02,5.02,7.01,9.01 12/08/06 GATX CORP NY 1.01,5.02 12/07/06 GATX FINANCIAL CORP DE 1.01 12/11/06 GEORGIA POWER CO GA 8.01,9.01 12/08/06 Geovax Labs, Inc. IL 5.02,5.03,9.01 12/07/06 GLOBAL INDUSTRIES LTD LA 5.02 12/07/06 GLOBALSANTAFE CORP 5.02,9.01 12/07/06 Goodman Global Inc 7.01,9.01 12/13/06 Google Inc. DE 8.01,9.01 12/12/06 GRANITE BROADCASTING CORP DE 1.01,1.03,2.02,2.04,8.01,9.01 12/11/06 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 12/08/06 GREAT WALL ACQUISITION CORP DE 1.01,2.03,9.01 12/07/06 GREAT WESTERN LAND RECREATION INC NV 5.02 11/27/06 Great Wolf Resorts, Inc. DE 1.01,2.03,9.01 12/12/06 GTX INC /DE/ DE 8.01,9.01 12/13/06 H&R BLOCK INC MO 1.01 12/08/06 HAEMONETICS CORP MA 5.02,9.01 12/07/06 HALF ROBERT INTERNATIONAL INC /DE/ DE 5.02,9.01 12/07/06 HarborView 2006-12 DE 8.01,9.01 12/13/06 HarborView 2006-13 DE 8.01,9.01 12/13/06 HARLEYSVILLE NATIONAL CORP PA 1.01,5.02,9.01 12/08/06 HARMONIC INC DE 2.01,9.01 12/08/06 HEALTH NET INC DE 7.01 12/13/06 HEARTLAND OIL & GAS CORP NV 1.01,2.03,5.02,8.01,9.01 12/08/06 HERITAGE OAKS BANCORP CA 5.02,9.01 12/11/06 HEXCEL CORP /DE/ DE 7.01,9.01 12/12/06 HILTON HOTELS CORP DE 7.01,9.01 12/13/06 HOLLY CORP DE 1.01,9.01 12/13/06 HSI ASSET SECURITIZATION CORP 8.01,9.01 12/12/06 HYDRON TECHNOLOGIES INC NY 4.01 12/12/06 HYTHIAM INC DE 1.01,3.02,7.01,9.01 12/12/06 ICONIX BRAND GROUP, INC. DE 1.01,9.01 12/07/06 IDAHO GENERAL MINES INC ID 1.01,9.01 12/11/06 IDERA PHARMACEUTICALS, INC. DE 1.01,3.02 12/08/06 IMPSAT FIBER NETWORKS INC DE 8.01,9.01 12/12/06 Industrial Enterprises of America, In NV 7.01 12/11/06 INN OF THE MOUNTAIN GODS RESORTS & CA 2.02,8.01,9.01 12/13/06 INPUT OUTPUT INC DE 7.01,9.01 12/13/06 INTEGRATED SILICON SOLUTION INC DE 5.02 12/12/06 INTERNATIONAL PAPER CO /NEW/ NY 1.01,2.03,9.01 12/07/06 INTERNATIONAL STAR INC NV 7.01,9.01 12/07/06 INVERNESS MEDICAL INNOVATIONS INC DE 5.02 12/08/06 ISRAMCO INC DE 5.02 12/07/06 J P MORGAN CHASE & CO DE 5.02,9.01 12/12/06 J P MORGAN CHASE & CO DE 9.01 12/08/06 J P MORGAN CHASE & CO DE 9.01 12/08/06 JORDAN INDUSTRIES INC IL 7.01 12/13/06 KENTUCKY UTILITIES CO KY 2.03,9.01 12/07/06 KIMBERLY CLARK CORP DE 8.01,9.01 12/13/06 KINTERA INC 1.01,3.02,9.01 12/12/06 KOS PHARMACEUTICALS INC FL 1.02,5.01,9.01 12/13/06 LAUREATE EDUCATION, INC. MD 5.02 12/12/06 LEGEND INTERNATIONAL HOLDINGS INC DE 1.01,3.02,8.01,9.01 12/13/06 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01,9.01 12/01/06 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01,9.01 12/01/06 LEHMAN ABS CORP BELLSOUTH DEB BCKD SE DE 8.01,9.01 12/01/06 LEHMAN ABS CORP CORP BACKED TRUST CER DE 8.01,9.01 12/01/06 LEHMAN ABS CORP CORPORATE BACKED TRUS DE 8.01,9.01 12/01/06 LEHMAN ABS CORP NEWS AMERICA DEBENTUR DE 8.01,9.01 12/01/06 Lexington Energy Services Inc. NV 7.01,9.01 12/12/06 LIN TV CORP DE 5.02,9.01 12/13/06 LODGENET ENTERTAINMENT CORP DE 1.01,3.02 12/13/06 MACE SECURITY INTERNATIONAL INC DE 1.01,8.01,9.01 12/07/06 MACE SECURITY INTERNATIONAL INC DE 8.01,9.01 12/13/06 MARVELL TECHNOLOGY GROUP LTD D0 3.01,9.01 12/08/06 MATHSTAR INC MN 5.02 12/13/06 McNab Creek Gold Corp. NV 5.02 12/01/06 MED-EMERG INTERNATIONAL INC 4.01,9.01 12/13/06 AMEND MEDIMMUNE INC /DE DE 7.01 12/13/06 MEDIRECT LATINO INC 8.01,9.01 12/11/06 MELO BIOTECHNOLOGY HOLDINGS INC. A6 2.03,9.01 12/07/06 MERRILL LYNCH & CO INC DE 8.01,9.01 12/07/06 MERRILL LYNCH DEP INC PUBLIC STEERS T NY 8.01,9.01 11/15/06 MERRILL LYNCH DEPOSITOR INC INDEXPLUS DE 8.01,9.01 06/20/06 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 11/15/06 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 11/15/06 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 12/01/06 MERRILL LYNCH DEPOSITOR INC PREFERRED NY 8.01,9.01 11/01/06 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 12/01/06 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 12/01/06 METASOLV INC DE 7.01 12/12/06 METROMEDIA INTERNATIONAL GROUP INC DE 8.01,9.01 12/12/06 MGM MIRAGE DE 9.01 12/13/06 MIRANT CORP DE 1.01,9.01 12/11/06 MOBILE MINI INC DE 7.01 12/12/06 MONROE BANCORP IN 1.01,9.01 12/07/06 MOTHERS WORK INC DE 8.01,9.01 12/11/06 N-VIRO INTERNATIONAL CORP DE 5.02,8.01,9.01 12/07/06 NATIONAL BEVERAGE CORP DE 2.02,9.01 12/12/06 NATIONAL HEALTH INVESTORS INC MD 8.01 12/13/06 National Investment Managers Inc. FL 1.01,9.01 12/11/06 NATIONAL MEDICAL HEALTH CARD SYSTEMS DE 1.01,2.03,8.01,9.01 12/08/06 NATURAL HEALTH TRENDS CORP DE 1.01,1.02,9.01 12/08/06 NBTY INC DE 7.01,9.01 12/12/06 NEKTAR THERAPEUTICS DE 5.02 12/06/06 AMEND NEOMEDIA TECHNOLOGIES INC DE 5.02,9.01 12/08/06 NETWORK APPLIANCE INC CA 1.01,2.03 12/07/06 New Era Marketing Inc 1.01,2.01,2.03,3.02,4.01,5.01, 12/08/06 5.02,5.06,9.01 NEWMARKET CORP VA 1.01,2.03,8.01,9.01 12/06/06 NexCen Brands, Inc. DE 1.01,5.02,9.01 12/11/06 NMS COMMUNICATIONS CORP DE 5.02 12/07/06 NNN Apartment REIT, Inc. MD 7.01 12/13/06 NORD RESOURCES CORP DE 8.01,9.01 12/12/06 NORTHSTAR REALTY 2.03 12/07/06 NOVAVAX INC DE 1.01,9.01 12/07/06 NOVELL INC DE 5.03,9.01 12/12/06 NYSE Group, Inc. DE 8.01,9.01 12/13/06 OAKLEY INC WA 5.02,9.01 12/07/06 OLD NATIONAL BANCORP /IN/ IN 5.02,9.01 12/13/06 OMNICOM GROUP INC NY 5.02,9.01 12/07/06 ON ASSIGNMENT INC DE 1.01,5.02 12/08/06 ONLINE VACATION CENTER HOLDINGS CORP 1.01,2.01,9.01 10/03/06 AMEND ORBITAL SCIENCES CORP /DE/ DE 1.01,2.03,3.02,9.01 12/07/06 PATTERSON COMPANIES, INC. MN 5.02,9.01 12/12/06 PEABODY ENERGY CORP DE 8.01 12/13/06 Penn Virginia GP Holdings, L.P. 1.01,2.03,3.02,5.03,9.01 12/08/06 PENN VIRGINIA RESOURCE PARTNERS L P DE 1.01,2.03,3.02,5.03,9.01 12/08/06 PEOPLES FINANCIAL CORP /MS/ MS 8.01,9.01 12/13/06 PHARMACYCLICS INC DE 8.01,9.01 12/13/06 PHHMC Series 2006-4 Trust DE 9.01 11/29/06 PHOTON DYNAMICS INC CA 5.02,9.01 11/28/06 PIONEER COMPANIES INC DE 8.01,9.01 12/12/06 PLATO LEARNING INC DE 1.01,9.01 12/07/06 POINT ACQUISITION CORP NV 3.03,5.03,9.01 12/11/06 POZEN INC /NC 8.01,9.01 12/13/06 PPG INDUSTRIES INC PA 5.04,9.01 12/13/06 PPL CORP PA 7.01 12/11/06 PPLUS Trust Series GSC-2 DE 8.01,9.01 11/15/06 PRICESMART INC DE 5.02,8.01 12/07/06 PRINCIPAL LIFE INSURANCE CO IA 9.01 12/08/06 PRINCIPAL LIFE INSURANCE CO IA 9.01 12/08/06 PRINCIPAL LIFE INSURANCE CO IA 9.01 12/08/06 PROGRESSIVE CORP/OH/ OH 5.02,7.01,9.01 12/13/06 PRUDENTIAL FINANCIAL INC NJ 2.03 12/11/06 Public Steers(R) Trust Certificates, DE 8.01,9.01 12/01/06 QUANEX CORP DE 7.01 12/13/06 QUANTA CAPITAL HOLDINGS LTD 5.02,7.01,9.01 12/11/06 RALI Series 2006-QH1 Trust DE 8.01,9.01 12/13/06 REPUBLIC BANCORP INC MI 7.01 12/13/06 Residential Asset Securitization Trus 8.01,9.01 11/03/06 AMEND Residential Asset Securitization Trus 8.01,9.01 11/28/06 Rim Semiconductor CO UT 8.01 12/08/06 RIVIERA HOLDINGS CORP NV 7.01,9.01 12/13/06 ROCHESTER MEDICAL CORPORATION MN 8.01,9.01 12/11/06 S&C HOLDCO 3 INC 7.01,9.01 12/12/06 SABRE HOLDINGS CORP DE 7.01,9.01 12/12/06 SAIA INC DE 1.01,5.02,9.01 12/07/06 SALIX PHARMACEUTICALS LTD 8.01,9.01 12/13/06 SCHULMAN A INC DE 1.02,3.03 12/07/06 SCIELE PHARMA, INC. DE 5.02,9.01 12/07/06 SE FINANCIAL CORP 8.01,9.01 12/12/06 SHOE PAVILION INC DE 1.01,9.01 12/11/06 SIGMA ALDRICH CORP DE 1.01,2.03,9.01 12/11/06 Siouxland Ethanol, LLC NE 1.01 12/11/06 SIX FLAGS INC DE 7.01,9.01 12/12/06 AMEND SJW CORP CA 5.02 12/07/06 SL INDUSTRIES INC NJ 1.01 12/08/06 SoftBrands, Inc. DE 2.01,9.01 08/14/06 AMEND SOURCE INTERLINK COMPANIES INC DE 2.02,7.01,9.01 12/11/06 SOURCE PETROLEUM INC. NV 8.01 12/12/06 SOURCE PETROLEUM INC. NV 5.03,9.01 12/08/06 SOURCE PETROLEUM INC. NV 1.01,9.01 09/06/06 SPECIALIZED HEALTH PRODUCTS INTERNATI DE 1.01 12/08/06 Specialty Underwriting & Residential DE 8.01,9.01 11/28/06 SPECTRX INC DE 1.01,2.03 12/12/06 SPRINT NEXTEL CORP KS 5.02,8.01,9.01 10/08/06 AMEND SRKP 6 INC 1.01,9.01 12/06/06 STEINER LEISURE LTD C5 5.02 12/05/06 STELLAR TECHNOLOGIES, INC. CO 3.02,5.02,8.01 12/01/06 SUNOCO INC PA 7.01,9.01 12/13/06 SUNOCO INC PA 8.01 12/07/06 SUPERIOR ENERGY SERVICES INC DE 1.01,2.03,3.02,8.01,9.01 12/07/06 SUPERIOR ENERGY SERVICES INC DE 1.01,2.01,7.01,9.01 12/12/06 SUPERVALU INC DE 7.01,9.01 12/13/06 SWIFT TRANSPORTATION CO INC NV 5.02 12/11/06 SYCAMORE NETWORKS INC DE 3.01,9.01 12/13/06 Tarpon Industries, Inc. MI 3.02 12/08/06 Tarpon Industries, Inc. MI 1.01,2.01,9.01 03/20/06 AMEND TAYLOR CAPITAL GROUP INC DE 8.01,9.01 12/13/06 TELEPHONE & DATA SYSTEMS INC /DE/ DE 3.01,5.02,9.01 12/08/06 THINK PARTNERSHIP INC NV 1.01,3.02,9.01 12/12/06 TIBCO SOFTWARE INC DE 2.02,9.01 12/13/06 TITAN INTERNATIONAL INC IL 8.01,9.01 12/13/06 Tix CORP DE 1.01,3.01,9.01 12/07/06 AMEND Tix CORP DE 1.01,3.02,9.01 11/30/06 AMEND TorreyPines Therapeutics, Inc. DE 4.01,9.01 12/11/06 TorreyPines Therapeutics, Inc. DE 9.01 12/11/06 AMEND TRACEGUARD TECHNOLOGIES, INC. 1.01,3.02 12/11/06 TRUSTMARK CORP MS 1.01,2.03,9.01 12/13/06 ULURU INC. NV 8.01 12/13/06 UNITED FUEL & ENERGY CORP NV 5.02 12/07/06 UNITED NATURAL FOODS INC DE 7.01,9.01 12/13/06 UNITED STATES CELLULAR CORP DE 3.01,9.01 12/08/06 UNITED STATES STEEL CORP DE 3.03,8.01,9.01 12/12/06 US BANCORP \DE\ DE 5.02,9.01 12/12/06 US GLOBAL NANOSPACE INC DE 8.01 11/17/06 VARSITY GROUP INC 7.01,9.01 12/13/06 VIASPACE Inc. NV 8.01,9.01 12/13/06 VIASYSTEMS INC DE 5.02 12/08/06 VOIP INC 1.01,3.02,9.01 12/07/06 VORNADO REALTY LP DE 3.02 12/11/06 WABASH NATIONAL CORP /DE DE 5.02,8.01 12/07/06 WaMu Asset Acceptance Corp. DE 6.01 12/12/06 Warner Chilcott Ltd D0 5.02,9.01 12/07/06 Warner Music Group Corp. DE 8.01,9.01 12/13/06 Warrior Energy Services CORP DE 8.01,9.01 12/12/06 Watson Wyatt Worldwide, Inc. DE 4.01,9.01 12/07/06 WD 40 CO DE 8.01,9.01 12/13/06 WEBMETHODS INC DE 9.01 09/27/06 AMEND WELLCARE HEALTH PLANS, INC. DE 5.02 12/13/06 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 11/28/06 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 11/29/06 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 11/29/06 WESTERN GOLDFIELDS INC ID 7.01,9.01 12/13/06 WESTFIELD FINANCIAL INC MA 8.01,9.01 12/13/06 WET SEAL INC DE 8.01,9.01 12/13/06 WET SEAL INC DE 4.02 12/07/06 AMEND WILLBROS GROUP INC R1 5.02,9.01 12/07/06 WILLIS LEASE FINANCE CORP DE 1.01,9.01 12/08/06 WPS RESOURCES CORP WI 5.02,9.01 12/07/06 XETHANOL CORP CO 5.02,9.01 12/07/06 ZILA INC DE 2.02,9.01 12/07/06 ZIMMER HOLDINGS INC DE 8.01,9.01 12/08/06