SEC NEWS DIGEST Issue 2007-16 January 25, 2007 COMMISSION ANNOUNCEMENTS SEC, EURONEXT REGULATORS SIGN REGULATORY COOPERATION ARRANGEMENT On January 25, the Securities and Exchange Commission and the College of Euronext Regulators announce the signing of a comprehensive arrangement to facilitate cooperation in market oversight in view of the pending combination between the NYSE Group, Inc. and Euronext N.V. into NYSE Euronext, Inc. Through this Memorandum of Understanding (MOU), the regulators express their commitment to close cooperation and collaboration to promote investor protection, foster market integrity, and maintain investor confidence and systemic stability in connection with the regulation of the combined group. "The combination of major US and European stock exchanges marks a notable step in the continuing globalization of the world's capital markets," said Chairman Christopher Cox. "This arrangement reflects a modern approach to oversight of globally-active institutions and underscores the intent of securities regulators on both sides of the Atlantic to work together to coordinate our supervisory efforts." Ethiopis Tafara, Director of the SEC's Office of International Affairs, said, "This MOU establishes a framework for coordination, consultation, cooperation and the exchange of information in connection with oversight of NYSE Euronext and its markets. We look forward to working collaboratively with the College of Euronext Regulators as we work to fulfill our respective regulatory mandates." This MOU will not go into effect until publication by Euronext Paris S.A. of a declaration that the thresholds for acceptance of the NYSE Euronext offer have been reached. The authorities making up the College of Euronext Regulators are the * Authority for the Financial Markets (AFM), Netherlands; * Autorité des Marchés Financiers (AMF), France; * Banking Finance and Insurance Commission (CBFA), Belgium; * Comissão do Mercado de Valores Mobiliários (CMVM), Portugal; and * Financial Services Authority (FSA), United Kingdom. (Press Rel. 2007-8) RULES AND RELATED MATTERS SEC EXTENDS COMPLIANCE DATES FOR REGULATION NMS On January 25, the Securities and Exchange Commission announced the extension for a limited period of time three of the future compliance dates for Rule 610 and Rule 611 of Regulation NMS. The Commission is extending the three compliance dates to give automated trading centers additional time to complete the rollout of their new or modified trading systems. The Completion Date of Oct. 8, 2007, remains unchanged. Rule 610 is intended to assure fair access to quotations, limit fees for accessing quotations, and require self-regulatory organizations (SROs) to prohibit their members from displaying quotations that lock or cross quotations previously displayed by other markets. Rule 611 requires trading centers to establish policies and procedures to prevent "trade-throughs" - the execution of trades at prices inferior to the best-priced quotations displayed by automated trading centers. Automated trading centers must operate trading systems that comply with the automated response and other requirements of Regulation NMS. The trading systems can be operated by an SRO or operated by a broker-dealer that displays its quotes on the NASD's Alternative Display Facility. The Commission has extended the Trading Phase Date until March 5, 2007 (previously Feb. 5, 2007), the Pilot Stocks Phase Date until July 9, 2007 (previously May 21, 2007), and the All Stocks Phase Date until Aug. 20, 2007 (previously July 9, 2007). The Commission's extension of compliance dates is available on its website at www.sec.gov/spotlight/regnms.htm. (Press Rel. 2007-9) INTERMARKET TRADING SYSTEM DE MINIMIS EXEMPTION EXTENDED The Commission issued an order granting an extension of the de minimis exemption from the provisions of the Intermarket Trading System Plan governing intermarket trade-throughs with respect to transactions in Dow Jones Industrial Average ETF (DIA) and the Standard & Poor's 500 Index ETF (SPY). Publication of the order is expected in the Federal Register during the week of January 29. (Rel. 34-55165) ENFORCEMENT PROCEEDINGS IN THE MATTER OF DETOUR MEDIA GROUP, INC. On January 25, an Administrative Law Judge issued an Order Making Findings and Revoking Registrations by Default in Detour Media Group, Inc., Administrative Proceeding No. 3-12493. The Order Instituting Proceedings alleged that six Respondents, namely Detour Media Group, Inc., DrivingAmerica.com, Inc., Legends Enterprises, Inc., OXIR Investments, Inc., Spinplanet.com, Inc., n/k/a EntertainMax Worldwide, Inc., and Tessa Complete Health Care, Inc., failed repeatedly to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true as to five of the six named Respondents. It revokes the registrations of each class of registered securities of these five Respondents, pursuant to Section 12(j) of the Securities Exchange Act of 1934. The proceeding remains pending as to the sixth Respondent, Spinplanet.com, Inc., n/k/a EntertainMax Worldwide, Inc. (Rel. 34-55169; File No. 3-12493) IN THE MATTER OF JOSEPH SPIEGEL On January 24, the Commission issued an order instituting and simultaneously settling administrative proceedings against Joseph J. Spiegel, 35, of New York, N.Y., pursuant to Section 203(f) of the Investment Advisers Act barring him from association with any investment adviser, with a right to reapply after three years. Spiegel agreed to the entry of the investment adviser bar without admitting or denying the Commission's findings. The proceedings are based on the entry of a final judgment against Spiegel, a former portfolio manager for Spinner Global Technology Fund, Ltd. (SGTF), permanently enjoining him from violating the antifraud and registration provisions of the federal securities laws. The Commission's complaint in the civil action, filed in the U.S. District Court for the District of Columbia on January 4, alleged that Spiegel engaged in an unlawful trading scheme on SGTF's behalf in violation of the antifraud and registration provisions of the federal securities laws in connection with three "PIPE" (Private Investment in Public Equity) offerings. Without admitting or denying the allegations in the Commission's complaint, Spiegel agreed to the entry of a final judgment in the civil action (i) permanently enjoining him from violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and Section 5 of the Securities Act of 1933, and (ii) ordering him to pay a $110,000 civil penalty. The final judgment was entered on January 5. See LR-19956. (Rel. IA-2585; File No. 3- 12548) COURT ORDERS DEFENDANT LEEROY ALLEN, JR., FORMER CEO OF INTERNATIONAL BIOFUEL AND BIOCHEMICAL CORPORATION, TO PAY A TOTAL OF $269,079.22 IN DISGORGEMENT, INTEREST AND A CIVIL PENALTY On January 24, the United States District Court for the District of Columbia entered a final judgment against LeeRoy Allen, Jr., the former chairman, chief executive officer and president of International Biofuel and Biochemical Corporation (IBBC). The final judgment orders Allen to pay disgorgement of $122,331.00 plus prejudgment interest of $26,748.22 and a third-tier civil penalty of $120,000. Previously, on Oct. 24, 2006, the Court entered a judgment permanently enjoining Allen from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Exchange Act of 1934 and Rules 10b-5 and 13a-14 thereunder; permanently barring Allen from acting as an officer or director of a public company and permanently barring Allen from participating in the offering of any penny stock. Allen consented to entry of the judgment without admitting or denying any of the allegations in the complaint. On Sept. 29, 2005, the Commission filed this action against Allen. The complaint alleges that from December 2002, through Aug. 30, 2004, Allen made numerous materially false and misleading statements in filings IBBC made with the Commission which created the illusion that IBBC was a viable business that would use cutting edge technology to produce, distribute and market biodiesel fuel (also known as biofuel). In reality, IBBC never produced, distributed or marketed any biofuel. As Allen knew, IBBC was nothing more than a startup company with no assets, funding or viable product. For further information, please see LR-19405 (Sept. 29, 2005) and LR-19889 (Oct. 26, 2006) and In the Matter of International Biofuel and Biochemical Corporation, Admin. Proc. File No. 34-52525 (Sept. 29, 2005). [SEC v. LeeRoy Allen, Jr., Civil Action No. 1:05CV01919, D.D.C.] (LR-19980) SEC SUES FLORIDIAN FOR SCHEME TO INTRUDE INTO ONLINE ACCOUNTS, MANIPULATE MARKET On January 25, the Commission filed a complaint in the United States District Court for the Middle District of Florida charging twenty-one year old Aleksey Kamardin with participating in a fraudulent scheme to manipulate the prices of numerous stocks through the unauthorized use of other people's online brokerage accounts. The complaint alleges that between July 13 and Aug. 25, 2006, Kamardin, or others acting in concert, commandeered the online trading accounts of unwitting investors at various broker-dealers, liquidated existing equity positions and, using the resulting proceeds, purchased thinly traded stocks in order to create the appearance of trading activity and pump up the price of the stocks. The complaint further alleges that in seventeen instances, Kamardin, in his own account, bought shares in the thinly traded issuer just prior to or at the same time that compromised accounts were made to buy shares, creating the false appearance of market activity. Shortly after the intrusions, Kamardin sold all of his shares at the inflated prices. In all but three of these instances, Kamardin realized a profit from his trading, netting a total profit of $82,960. The Commission's action charges Kamardin with violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and seeks permanent injunctive relief, disgorgement and civil money penalties. The SEC's Office of Investor Education and Assistance has previously issued an investor alert, available on the SEC's website, which provides tips for avoiding becoming a victim of an online intrusion. See http://www.sec.gov/investor/pubs/onlinebrokerage.htm. [SEC v. Aleksey Kamardin, Civil Action No. 8:07-CV-159-T24MAP, M.D. Fla.] (LR- 19981) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change submitted under Rule 19b-4 by the National Securities Clearing Corporation (SR-NSCC-2006- 12) relating to streamlining the processing of buy-ins of municipal securities. Publication of the proposal is expected in the Federal Register during the week of January 29. (Rel. 34-55157) 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-2 Mackenzie Taylor Minerals Inc., 904 - 228 26TH AVENUE S.W., CALGARY, A0, T2S 3C6, 1-250-754-1811 - 1,000,000 ($50,000.00) Equity, (File 333-140170 - Jan. 24) (BR. 04) SB-2 GRAN TIERRA ENERGY, INC., 300, 611-10TH AVENUE S.W., CALGARY, A0, T2R 0B2, (403) 265-3221 - 0 ($6,261,683.00) Equity, (File 333-140171 - Jan. 24) (BR. 04C) S-3 AIRSPAN NETWORKS INC, 777 YAMATO ROAD, SUITE 105, BOCA RATON, FL, 33431, 561-893-8670 - 20,069,000 ($86,196,355.00) Equity, (File 333-140172 - Jan. 24) (BR. 11B) S-8 CuraTech Industries, Inc., 6337 HIGHLAND DRIVE, # 1053, SALT LAKE CITY, UT, 84121, (801) 836-9810 - 890,000 ($1,891,250.00) Equity, (File 333-140173 - Jan. 24) (BR. 05B) F-3 TOWER SEMICONDUCTOR LTD, RAMAT GAVRIEL, P O BOX 619, MIGDAL HAEMEK 23105, L3, 97246506611 - 117,763,158 ($211,973,684.00) Equity, (File 333-140174 - Jan. 24) (BR. 10C) S-3ASR SCHOOL SPECIALTY INC, W6316 DESIGN DRIVE, GREENVILLE, WI, 54942, (920) 734-5712 - 200,000,000 ($200,000,000.00) Debt Convertible into Equity, (File 333-140175 - Jan. 24) (BR. 02A) S-8 INVESTORS REAL ESTATE TRUST, 12 SOUTH MAIN STREET, PO BOX 1988, MINOT, ND, 58702-1988, 701-837-4738 - 100,000 ($1,014,000.00) Equity, (File 333-140176 - Jan. 24) (BR. 08B) SB-2 Duke Mountain Resources, Inc, 1990 TOLMIE STREET, VANCOUVER, A1, V6R 4C2, 778-329-2200 - 3,000,000 ($1,450,000.00) Equity, (File 333-140177 - Jan. 24) (BR. ) SB-2 RAPTOR NETWORKS TECHNOLOGY INC, 1241 E. DYER ROAD, SUITE 150, SANTA ANA, CA, 92705, (949) 623-9300 - 15,267,292 ($12,366,506.52) Equity, (File 333-140178 - Jan. 24) (BR. 03B) S-8 ProLink Holdings Corp., 410 SOUTH BENSON LANE, CHANDLER, AZ, 85224, 480-961-8800 - 10,000,000 ($8,159,882.91) Equity, (File 333-140179 - Jan. 24) (BR. 09A) S-8 HAIN CELESTIAL GROUP INC, 58 SOUTH SERVICE ROAD, MELVILLE, NY, 11747, 6317302200 - 2,750,000 ($79,598,750.00) Equity, (File 333-140180 - Jan. 24) (BR. 04C) S-8 BIG LOTS INC, 300 PHILLIPI ROAD, P.O.BOX 28512, COLUMBUS, OH, 43228-0512, 614-278-6800 - 4,725,572 ($107,877,115.00) Equity, (File 333-140181 - Jan. 24) (BR. 02C) S-8 EVOLUTION PETROLEUM CORP, 820 GESSNER, SUITE 1340, HOUSTON, TX, 77024, 713-935-0122 - 0 ($10,094,495.00) Equity, (File 333-140182 - Jan. 24) (BR. 04C) S-8 ENTERGY CORP /DE/, 639 LOYOLA AVE, NEW ORLEANS, LA, 70113, 5045764000 - 0 ($631,750,000.00) Equity, (File 333-140183 - Jan. 24) (BR. 02C) S-8 TECK COMINCO LTD, 200 BURRARD STREET STE 600, VANCOUVER BRITISH COLUMBIA CANADA, V6C 3L9, A1, 604 687 1117 - 6,000,000 ($483,360,000.00) Equity, (File 333-140184 - Jan. 24) (BR. 04C) S-8 NATURAL ALTERNATIVES INTERNATIONAL INC, 1185 LINDA VISTA DR, SAN MARCOS, CA, 92069, 6197447340 - 0 ($1,125,250.00) Equity, (File 333-140185 - Jan. 24) (BR. 01B) S-3 TARGETED GENETICS CORP /WA/, 1100 OLIVE WAY, STE 100, SEATTLE, WA, 98101, 2066237612 - 2,943,000 ($12,125,160.00) Equity, (File 333-140187 - Jan. 24) (BR. 01C) S-8 BROADCOM CORP, 16215 ALTON PARKWAY, IRVINE, CA, 92618, 9494508700 - 0 ($111,325,000.00) Equity, (File 333-140188 - Jan. 24) (BR. 10A) S-8 CATAPULT COMMUNICATIONS CORP, 160 SOUTH WHISMAN ROAD, MOUNTAIN VIEW, CA, 94041, 0 ($8,820,000.00) Equity, (File 333-140189 - Jan. 24) (BR. 03A) S-1 ZHONGPIN INC., C/O PRYOR CASHMAN SHERMAN & FLYNN LLP, 410 PARK AVENUE, NEW YORK, NY, 10022, 212-326-0846 - 0 ($11,250,037.00) Equity, (File 333-140190 - Jan. 24) (BR. 09B) 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 1 800 FLOWERS COM INC DE 2.02 01/24/07 1ST CONSTITUTION BANCORP NJ 2.02,9.01 01/24/07 ABATIX CORP DE 5.02 12/31/06 ABBOTT LABORATORIES IL 2.02,7.01,9.01 01/24/07 ABBOTT LABORATORIES IL 1.01,9.01 01/18/07 ACADIA REALTY TRUST MD 5.02,9.01 01/19/07 ACCESS NATIONAL CORP VA 2.02,9.01 01/23/07 ACE COMM CORP MD 9.01 01/24/07 ACE Securities Corp. Home Equity Loan DE 2.01,9.01 12/19/06 AMEND ACL SEMICONDUCTOR INC 4.01,4.02,9.01 12/20/06 AMEND ACTEL CORP CA 4.02 01/18/07 ACXIOM CORP DE 2.02,9.01 12/31/06 ADESA INC 1.01 01/18/07 ADESA INC 8.01,9.01 01/24/07 ADVANCED MAGNETICS INC DE 2.02,9.01 01/24/07 AETNA INC /PA/ PA 1.01,2.03,9.01 01/20/07 AFFILIATED COMPUTER SERVICES INC DE 5.02,7.01,9.01 01/24/07 AFFILIATED MANAGERS GROUP INC DE 2.02,9.01 01/24/07 AIR PRODUCTS & CHEMICALS INC /DE/ DE 2.02,9.01 01/24/07 ALLEGHENY TECHNOLOGIES INC DE 2.02,5.02,9.01 01/24/07 ALLEGHENY TECHNOLOGIES INC DE 2.02,7.01,9.01 01/24/07 Allis Chalmers Energy Inc. DE 1.01,9.01 01/23/07 Alternative Loan Trust 2006-43CB 9.01 12/29/06 ALTIGEN COMMUNICATIONS INC 2.02,9.01 01/24/07 AMB PROPERTY CORP MD 2.02,8.01,9.01 01/23/07 AMERICAN AIRLINES INC DE 1.01,9.01 01/22/07 AMERICAN BIO MEDICA CORP NY 2.03,9.01 01/22/07 AMERICAN INTERNATIONAL VENTURES INC / DE 8.01 01/18/07 AMERICANWEST BANCORPORATION WA 8.01,9.01 01/23/07 AMERICREDIT CORP TX 2.02,9.01 01/24/07 AMERISOURCEBERGEN CORP DE 8.01,9.01 01/24/07 AMR CORP DE 1.01,9.01 01/22/07 ANALEX CORP DE 1.01,5.02,7.01,9.01 01/20/07 API Nanotronics Corp. DE 3.02 12/11/06 APPLERA CORP DE 5.02 01/18/07 APPLICA INC FL 2.01,3.01,5.01,5.02,5.03, 8.01,9.01 01/23/07 APPLIED DIGITAL SOLUTIONS INC MO 9.01 01/19/07 ARCTIC CAT INC MN 2.02,9.01 01/24/07 ARIBA INC DE 2.02,9.01 01/24/07 ARIEL WAY INC FL 8.01,9.01 01/24/07 ARKANSAS BEST CORP /DE/ DE 2.02,9.01 01/24/07 ARKANSAS BEST CORP /DE/ DE 8.01,9.01 01/23/07 ARTISTDIRECT INC DE 2.04 01/18/07 ARVINMERITOR INC IN 8.01 01/23/07 ASHLAND INC. KY 2.02,9.01 01/24/07 ASHLAND INC. KY 7.01,9.01 01/24/06 ASIAINFO HOLDINGS INC DE 2.02,9.01 01/24/07 ASSOCIATED BANC-CORP WI 8.01 01/24/07 AT&T INC. DE 2.02,9.01 01/24/07 ATARI INC DE 8.01 01/19/07 AURIGA LABORATORIES, INC. DE 7.01,9.01 01/24/07 AVALON PHARMACEUTICALS INC 1.01,3.02,9.01 01/19/07 AVAYA INC DE 2.02,9.01 01/23/07 AVX CORP DE 2.02,9.01 12/31/06 BANCFIRST CORP /OK/ OK 2.02,9.01 01/23/07 BANCORP RHODE ISLAND INC 8.01,9.01 01/24/07 BANK MUTUAL CORP WI 2.02 01/18/07 BANK OF AMERICA CORP /DE/ DE 8.01,9.01 01/24/07 BANK OF AMERICA CORP /DE/ DE 5.03,9.01 01/24/07 BANNER CORP WA 2.02,9.01 01/24/07 BIOSPECIFICS TECHNOLOGIES CORP DE 5.02 01/21/07 BOTTOMLINE TECHNOLOGIES INC /DE/ DE 2.02,9.01 01/24/07 BreitBurn Energy Partners L.P. DE 2.01,2.03,9.01 01/22/07 BROCADE COMMUNICATIONS SYSTEMS INC DE 3.03,8.01,9.01 01/23/07 BRT REALTY TRUST MA 5.02,9.01 01/24/07 CALIFORNIA FIRST NATIONAL BANCORP CA 2.02,7.01,9.01 01/24/07 CAPITAL BANCORP INC TN 2.02,9.01 01/24/07 CAPITAL BANK CORP NC 2.02,9.01 10/18/06 CAPITAL RESOURCE FUNDING INC NC 4.01,9.01 01/12/07 CAPITOL FEDERAL FINANCIAL 7.01,9.01 01/23/07 CAPTEC FRANCHISE CAPITAL PARTNERS L P DE 2.01,9.01 01/22/07 CARACO PHARMACEUTICAL LABORATORIES LT MI 1.01 01/19/07 CARDIOGENESIS CORP /CA CA 5.02 01/22/07 CARMAX AUTO FUNDING LLC DE 1.01,8.01,9.01 01/23/07 CARREKER CORP DE 2.01,2.05,9.01 01/22/07 Carrington Mortgage Loan Trust, Serie DE 8.01,9.01 01/24/07 CARTOON ACQUISITION, INC. DE 8.01 01/24/07 CASTSM STEP-UP TRUST III DE 8.01,9.01 01/16/07 CENTERPOINT ENERGY INC 8.01 01/18/07 CENTRAL EUROPEAN DISTRIBUTION CORP DE 1.01,5.02,9.01 01/18/07 CERIDIAN CORP /DE/ DE 5.02 01/18/07 CHAMPIONS SPORTS INC DE 5.03 01/24/07 Chaparral Energy, Inc. DE 1.01,2.03,9.01 01/10/07 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 01/24/07 CHICAGO MERCANTILE EXCHANGE HOLDINGS DE 8.01 01/24/07 CHILDRENS PLACE RETAIL STORES INC 1.01 01/18/07 CHINA DIGITAL MEDIA CORP NV 2.01 01/24/07 China VoIP & Digital Telecom Inc. NV 8.01,9.01 01/22/07 CIB MARINE BANCSHARES INC WI 5.02 01/18/07 Citigroup Mortgage Loan Trust 2006-HE 2.01,9.01 12/07/06 CITIZENS HOLDING CO /MS/ MS 5.03,9.01 01/23/07 Claymore MACROshares Oil Up Holding T DE 1.01 01/04/07 CLEAN POWER TECHNOLOGIES INC. NV 1.01,3.02,9.01 01/18/07 CNX Gas CORP DE 2.02,9.01 01/24/07 COAST FINANCIAL HOLDINGS INC 2.06,9.01 01/22/07 COASTAL FINANCIAL CORP /DE DE 2.02,9.01 01/24/07 COBIZ INC CO 1.01,9.01 01/18/07 COHEN & STEERS INC 2.02,9.01 01/24/07 COMARCO INC CA 8.01,9.01 01/24/07 COMMUNITY TRUST BANCORP INC /KY/ KY 1.02,2.04 01/24/07 COMPETITIVE TECHNOLOGIES INC DE 5.02 01/18/07 CONOCOPHILLIPS DE 2.02,9.01 01/23/07 CONSOLIDATED CAPITAL PROPERTIES IV CA 1.01,9.01 01/18/07 CONSOLIDATED EDISON INC NY 2.02,9.01 01/19/07 CONSORTIUM SERVICE MANAGEMENT GROUP I TX 8.01,9.01 01/03/07 CONVERGYS CORP OH 2.02,9.01 01/24/07 COOPERATIVE BANKSHARES INC NC 2.02,9.01 01/24/07 CORNING INC /NY NY 2.02,9.01 12/31/06 CORTS TRUST II FOR FORD NOTES DE 8.01,9.01 01/16/07 COVANCE INC DE 2.02,9.01 01/24/07 COVANTA HOLDING CORP DE 8.01,9.01 01/23/07 CRESCENT BANKING CO GA 5.02,9.01 01/18/07 CRESTED CORP CO 1.01,4.01,5.02,9.01 01/19/07 CRM Holdings, Ltd. 9.01 11/14/06 AMEND CrossPoint Energy CO NV 4.01,9.01 01/22/07 Crystal River Capital, Inc. MD 7.01,9.01 01/24/07 CUBIST PHARMACEUTICALS INC DE 2.02,9.01 01/24/07 CULLEN FROST BANKERS INC TX 2.02,9.01 01/24/07 CYPRESS SEMICONDUCTOR CORP /DE/ DE 8.01,9.01 01/24/07 DATAMEG CORP DE 8.01 01/22/07 DAXOR CORP NY 5.02,9.01 01/24/07 AMEND DEARBORN BANCORP INC /MI/ MI 2.02,9.01 01/16/07 AMEND DEBT RESOLVE INC DE 1.01,2.01,9.01 01/19/07 DENTAL PATIENT CARE AMERICA INC UT 1.01,2.01,9.01 01/20/07 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 01/23/07 DIGITAL INSIGHT CORP DE 5.02 01/23/07 DOVER DOWNS GAMING & ENTERTAINMENT IN DE 7.01,9.01 01/24/07 DOVER MOTORSPORTS INC DE 7.01,9.01 01/24/07 DREW INDUSTRIES INC DE 8.01,9.01 01/24/07 DSP GROUP INC /DE/ DE 2.02,9.01 01/24/07 DST SYSTEMS INC DE 2.02,9.01 01/23/07 DURECT CORP DE 1.01 01/23/07 EAGLE BROADBAND INC TX 8.01 01/23/07 Eagle Test Systems, Inc. IL 2.02,9.01 01/24/07 EAST PENN FINANCIAL CORP 2.02,9.01 01/24/07 EAST WEST BANCORP INC 2.02,9.01 12/31/06 EBAY INC DE 2.02,9.01 01/24/07 EESTech, Inc. 5.02 02/01/06 AMEND EESTech, Inc. 5.02 07/20/05 AMEND EESTech, Inc. 5.02 12/22/05 AMEND ELECTROGLAS INC DE 1.01,2.03,9.01 01/22/07 Electronic Sensor Technology, Inc 1.01 01/16/07 AMEND ELEPHANT & CASTLE GROUP INC 1.01,8.01,9.01 01/22/07 EMPIRE FINANCIAL HOLDING CO FL 2.01,8.01,9.01 11/10/06 AMEND ENERGEN CORP AL 2.02,9.01 01/24/07 ENERGIZER HOLDINGS INC MO 2.02 12/31/06 Enterprise GP Holdings L.P. DE 2.02,9.01 01/23/07 ENTERPRISE PRODUCTS PARTNERS L P DE 2.02,9.01 01/23/07 ES Bancshares, Inc. MD 1.01,9.01 01/22/07 ETHAN ALLEN INTERIORS INC DE 2.02,9.01 01/24/07 ev3 Inc. DE 7.01,9.01 01/24/07 EVERGREEN SOLAR INC DE 5.02,9.01 01/19/07 EVERGREENBANCORP INC WA 5.02,9.01 01/18/07 EXAR CORP DE 2.02,9.01 01/23/07 AMEND EXCO RESOURCES INC TX 1.01,9.01 07/22/06 AMEND EXELON CORP PA 2.02,9.01 01/24/07 EXPRESS SCRIPTS INC DE 8.01,9.01 01/24/07 F5 NETWORKS INC WA 2.02,9.01 01/24/07 FAIR ISAAC CORP DE 2.02,5.02,9.01 01/24/07 FAIRPOINT COMMUNICATIONS INC DE 7.01,8.01,9.01 01/23/07 FBL FINANCIAL GROUP INC IA 7.01 01/24/07 FIRST BANKS, INC MO 2.02,9.01 12/31/06 FIRST BUSEY CORP /NV/ NV 2.02,8.01,9.01 01/23/07 FIRST CASH FINANCIAL SERVICES INC DE 2.02,9.01 01/24/07 First Clover Leaf Financial Corp. MD 8.01,9.01 01/23/07 FIRST COMMUNITY BANCSHARES INC /NV/ NV 7.01 01/24/07 FIRST COMMUNITY BANK CORP OF AMERICA FL 5.02,9.01 01/24/07 FIRST DATA CORP DE 2.02,9.01 01/24/07 FIRST IPSWICH BANCORP /MA MA 2.02,9.01 01/24/07 FIRST MERCHANTS CORP IN 1.01,5.02,8.01,9.01 01/24/07 FIRST MIDWEST BANCORP INC DE 2.02,9.01 01/24/07 FIRST MUTUAL BANCSHARES INC WA 2.02,9.01 01/23/07 FIRST NATIONAL CORP /VA/ VA 2.02,9.01 01/22/07 FIRST NATIONAL LINCOLN CORP /ME/ ME 2.02 12/31/06 FIRST OF LONG ISLAND CORP NY 1.01,5.02 01/18/07 FIRST RELIANCE BANCSHARES INC SC 2.02,9.01 01/23/06 FIRST STATE BANCORPORATION NM 5.02,9.01 01/23/07 FIRST UNITED ETHANOL LLC 1.01 01/17/07 FIRSTBANK CORP MI 2.02,9.01 01/24/07 FIRSTMERIT CORP /OH/ OH 2.02,9.01 01/23/07 FLEETWOOD ENTERPRISES INC/DE/ DE 5.02,9.01 01/04/07 AMEND FLUSHING FINANCIAL CORP DE 7.01,9.01 01/18/07 FORRESTER RESEARCH INC DE 5.02 01/19/07 FP Technology, Inc. DE 1.01 01/22/07 Fremont Home Loan Trust 2006-3 DE 1.01,9.01 09/29/06 GANDER MOUNTAIN CO MN 5.02,9.01 01/24/07 GEMSTAR TV GUIDE INTERNATIONAL INC DE 8.01,9.01 01/22/07 GENERAL DYNAMICS CORP DE 2.02,9.01 01/24/07 GENERAL DYNAMICS CORP DE 7.01 01/24/07 GENERAL MILLS INC DE 8.01,9.01 01/17/07 GENESEE CORP NY 8.01 01/19/07 Gentor Resources, Inc. FL 8.01 01/24/07 Georgia Exploration, Inc. NV 4.01,9.01 01/18/07 AMEND GLOBAL GOLD CORP DE 1.01,2.01 08/15/05 GLOBAL INNOVATIVE SYSTEMS INC NV 1.01,2.03,3.02,9.01 01/18/07 GLOBAL PARTNERS LP 7.01,9.01 01/24/07 Global Telecom & Technology, Inc. DE 5.02,9.01 01/22/07 GLOBALSCAPE INC DE 4.01,9.01 01/22/07 GMH Communities Trust MD 1.01 01/18/07 GOLDEN TELECOM INC DE 8.01,9.01 01/24/07 Goodman Global Inc 2.02,9.01 01/22/07 Granite Master Issuer plc X0 9.01 01/24/07 GREAT SOUTHERN BANCORP INC MD 2.02,9.01 01/19/07 GREEN PLAINS RENEWABLE ENERGY, INC. IA 5.02,9.01 01/23/07 GREENS WORLDWIDE INC AZ 8.01,9.01 01/23/07 GSAMP Trust 2006-HE8 DE 8.01,9.01 12/27/06 GUARDIAN TECHNOLOGIES INTERNATIONAL I DE 5.02,8.01,9.01 01/24/07 HALIFAX CORP VA 4.02,9.01 01/24/07 HAMPTON ROADS BANKSHARES INC VA 8.01,9.01 01/24/07 HAMPTON ROADS BANKSHARES INC VA 2.02,8.01,9.01 01/24/07 HARSCO CORP DE 8.01 01/23/07 HARSCO CORP DE 8.01 01/24/07 HARSCO CORP DE 5.02,9.01 01/23/07 HARTFORD LIFE INSURANCE CO CT 9.01 01/24/07 HARTFORD LIFE INSURANCE CO CT 9.01 01/24/07 HAYNES INTERNATIONAL INC DE 5.02 01/18/07 HEALTHCARE ACQUISITION CORP DE 8.01,9.01 01/23/07 AMEND HEALTHCARE SERVICES GROUP INC PA 8.01,9.01 01/23/07 HERITAGE FINANCIAL CORP /WA/ WA 2.02,7.01,9.01 01/24/07 HERSHEY CO DE 2.02,5.02,9.01 01/24/07 HINES HORTICULTURE INC DE 1.01,1.02,2.03,9.01 01/18/07 HMS HOLDINGS CORP 5.02,9.01 01/22/07 HOME DEPOT INC DE 5.02,9.01 01/02/07 AMEND HOME FEDERAL BANCORP IN 5.02,9.01 01/23/07 HOMEBANC CORP 1.01,1.02,2.03,9.01 01/19/07 Homeland Security Network, Inc. 5.02 12/30/06 HORNBECK OFFSHORE SERVICES INC /LA DE 8.01,9.01 01/19/07 HouseValues, Inc. WA 5.02,9.01 01/23/07 HUDSON CITY BANCORP INC DE 2.02,9.01 01/24/07 HUTCHINSON TECHNOLOGY INC MN 2.02,9.01 01/24/07 HYDROFLO INC 8.01 01/24/07 IC ISAACS & CO INC DE 7.01,9.01 01/24/07 ICF International, Inc. DE 7.01,9.01 01/24/07 IDEARC INC. DE 5.02 01/18/07 iDNA, Inc. DE 7.01,9.01 01/24/07 IMS HEALTH INC DE 5.02,9.01 01/24/07 INNKEEPERS USA TRUST/FL MD 8.01,9.01 01/24/07 INTEGRATED BIOPHARMA INC DE 3.01,9.01 01/24/07 INTER PARFUMS INC DE 2.02 01/23/07 INTERNAP NETWORK SERVICES CORP DE 5.02,8.01 01/18/07 INTERNAP NETWORK SERVICES CORP DE 8.01,9.01 01/11/07 INTERNATIONAL FOOD & WINE CONSULTANTS NV 4.02 01/24/07 INTERNATIONAL RECTIFIER CORP /DE/ DE 1.01,9.01 01/24/07 INTERNET COMMERCE CORP DE 8.01,9.01 01/24/07 INTERSIL CORP/DE DE 2.02,7.01,9.01 01/24/07 INVACARE CORP OH 8.01,9.01 01/24/07 INVESTORS REAL ESTATE TRUST ND 8.01,9.01 01/24/07 iPCS, INC DE 5.02,9.01 01/18/07 IPORUSSIA INC DE 5.02 01/22/07 IRON MOUNTAIN INC DE 8.01,9.01 01/24/07 ISCO INTERNATIONAL INC DE 2.02,9.01 01/24/07 ISIS PHARMACEUTICALS INC DE 1.01,2.03,3.02,8.01,9.01 01/17/07 ITC Holdings Corp. MI 1.01,9.01 01/18/07 ITT EDUCATIONAL SERVICES INC DE 5.02 01/22/07 JACOBS ENGINEERING GROUP INC /DE/ DE 2.02,9.01 01/22/07 KELLY SERVICES INC DE 8.01,9.01 01/24/07 KENNAMETAL INC PA 2.02,9.01 01/24/07 KEYSTONE AUTOMOTIVE OPERATIONS INC PA 5.02,5.03,9.01 01/19/07 KID CASTLE EDUCATIONAL CORP FL 1.01,3.02,5.01 01/17/07 AMEND KNBT BANCORP INC PA 2.02,9.01 01/24/07 KOMAG INC /DE/ DE 2.02,9.01 01/24/07 KYPHON INC DE 1.01,2.01,2.03,7.01,9.01 01/18/07 LAIDLAW INTERNATIONAL INC DE 5.02 01/24/07 LEARNING TREE INTERNATIONAL INC DE 5.02 01/23/07 LECROY CORP DE 2.02,9.01 01/24/07 LEUCADIA NATIONAL CORP NY 1.01 01/23/07 LEXINGTON REALTY TRUST MD 8.01,9.01 01/24/07 LIME ENERGY CO. DE 3.03,5.03,7.01,9.01 01/22/07 Live Nation, Inc. DE 5.02,9.01 01/18/07 LSI LOGIC CORP DE 2.02,8.01,9.01 01/24/07 M&F BANCORP INC /NC/ NC 1.02,8.01,9.01 01/18/07 MACRO Securities Depositor, LLC DE 1.01 01/04/07 MAINSOURCE FINANCIAL GROUP IN 2.02,9.01 01/24/07 MARINE PRODUCTS CORP DE 8.01,9.01 01/24/07 MARKEL CORP VA 2.02,9.01 01/24/07 MARVELL TECHNOLOGY GROUP LTD D0 9.01 11/08/06 AMEND MATRITECH INC/DE/ DE 1.01,2.03,3.02,3.03,5.02,5.03,9.01 01/19/07 MCCORMICK & CO INC MD 2.02,9.01 01/24/07 MCCORMICK & CO INC MD 5.02 01/23/07 MCDATA CORP DE 8.01,9.01 01/23/07 MCDONALDS CORP DE 2.02,9.01 01/24/07 MEDICAL SOLUTIONS MANAGEMENT INC. NV 1.01,2.03 01/18/07 Meritage Homes CORP MD 2.02,9.01 01/24/07 MESA ROYALTY TRUST/TX TX 7.01,9.01 01/24/07 MGP INGREDIENTS INC KS 7.01,9.01 01/24/07 MIDDLEFIELD BANC CORP OH 2.02,9.01 01/23/07 MIDNIGHT HOLDINGS GROUP INC DE 1.01,2.03,3.02,9.01 12/31/06 MIDNIGHT HOLDINGS GROUP INC DE 4.01,9.01 11/30/06 AMEND MIPS TECHNOLOGIES INC DE 2.02,9.01 12/31/06 MOBILITY ELECTRONICS INC DE 5.02,9.01 01/22/07 Monarch Financial Holdings, Inc. VA 2.02,7.01,9.01 01/24/07 MONEYGRAM INTERNATIONAL INC 2.02 01/24/07 MONTANA ACQUISITION CORP DE 1.02,2.04,3.03,8.01,9.01 10/23/06 MORGAN STANLEY DE 5.03,9.01 01/22/07 Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 07/31/06 Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 10/31/06 Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 01/31/06 Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 01/31/06 Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 02/28/06 Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 03/31/06 Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 04/28/06 Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 05/31/06 Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 05/31/06 Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 07/31/06 MOSAIC CO 7.01,9.01 01/24/07 MOTIENT CORP DE 1.01 01/19/07 MOUNTAIN NATIONAL BANCSHARES INC TN 7.01,9.01 01/24/07 MSW ENERGY HOLDINGS LLC DE 8.01,9.01 01/23/07 MTS SYSTEMS CORP MN 2.02,9.01 01/24/07 National Interstate CORP OH 2.02,9.01 01/23/07 NATURAL ALTERNATIVES INTERNATIONAL IN DE 1.01,2.02,2.03,9.01 01/22/07 NAVISTAR INTERNATIONAL CORP DE 1.01,2.03,9.01 01/19/07 NEKTAR THERAPEUTICS DE 5.02 12/21/06 NETFLIX INC DE 2.02,9.01 01/24/07 NETLOGIC MICROSYSTEMS INC 2.02,9.01 01/24/07 NEW HAMPSHIRE THRIFT BANCSHARES INC DE 2.02,9.01 10/13/06 NEW WORLD RESTAURANT GROUP INC DE 1.01,9.01 01/18/07 NEW YORK COMMUNITY BANCORP INC DE 2.02,7.01,9.01 01/24/07 NITCHES INC CA 2.02,9.01 01/24/07 NORFOLK SOUTHERN CORP VA 2.02,7.01,9.01 01/24/07 NORTHERN EMPIRE BANCSHARES CA 8.01,9.01 01/24/07 NORTHRIM BANCORP INC AK 2.02,9.01 01/24/07 NORTHWEST BANCORP INC PA 2.02,9.01 01/22/07 NORTHWEST BIOTHERAPEUTICS INC DE 2.03 01/19/07 NORTHWEST PIPE CO OR 2.02,9.01 01/23/07 NOVA BIOGENETICS INC DE 5.02 01/15/07 NOVELLUS SYSTEMS INC CA 2.02,9.01 01/24/07 ODYSSEY MARINE EXPLORATION INC NV 1.01,3.02,5.03,9.01 01/22/07 OMEGA FINANCIAL CORP /PA/ PA 2.02 01/22/07 OMNOVA SOLUTIONS INC OH 5.02,9.01 01/19/07 Option One Mortgage Loan Trust 2007-1 DE 9.01 01/16/07 OSI RESTAURANT PARTNERS, INC. DE 7.01,9.01 01/24/07 OSI SYSTEMS INC CA 2.02,9.01 01/24/07 PACIFIC CONTINENTAL CORP OR 2.02,9.01 12/31/06 PACIFIC FUEL CELL CORP NV 1.01,9.01 12/18/06 PARAMETRIC TECHNOLOGY CORP MA 2.02,9.01 01/24/07 Partners Financial CORP FL 5.02 01/22/07 PARTNERS TRUST FINANCIAL GROUP INC 2.02 12/31/06 Patients & Physicians, Inc. DE 5.03,8.01,9.01 01/12/07 PATRON SYSTEMS INC DE 5.02,8.01,9.01 01/18/07 PATTERSON UTI ENERGY INC DE 2.02 01/22/07 PAYCHEX INC DE 5.02 01/18/07 PEMCO AVIATION GROUP INC DE 8.01,9.01 01/24/07 PEOPLES FINANCIAL CORP /MS/ MS 2.02,9.01 01/24/07 PEOPLES FINANCIAL SERVICES CORP/ PA 9.01 12/31/06 PETMED EXPRESS INC FL 7.01,8.01,9.01 01/22/07 PETROLEUM DEVELOPMENT CORP NV 8.01,9.01 01/24/07 PFF BANCORP INC DE 2.02,9.01 12/31/06 PHAR MOR INC PA 7.01 01/23/07 PHH CORP MD 2.02,9.01 01/24/07 PILGRIMS PRIDE CORP DE 1.01,9.01 01/24/07 PILGRIMS PRIDE CORP DE 9.01 12/27/06 AMEND PINNACLE AIRLINES CORP DE 1.01,2.01,8.01,9.01 01/18/07 PIPER JAFFRAY COMPANIES 2.02,9.01 01/24/07 PLACER SIERRA BANCSHARES CA 2.02,8.01,9.01 01/24/07 PLEXUS CORP WI 2.02 01/24/07 PNC FINANCIAL SERVICES GROUP INC PA 7.01,8.01,9.01 01/24/07 POINT THERAPEUTICS INC DE 5.02,9.01 01/24/07 POLYCOM INC DE 2.02,9.01 01/24/07 POWER EFFICIENCY CORP DE 1.01,3.02,5.02,8.01,9.01 01/18/07 PPLUS Trust Series DCNA-1 DE 8.01,9.01 01/18/07 PRAXAIR INC DE 2.02,9.01 01/24/07 Precision Aerospace Components, Inc. DE 5.02 01/18/07 PRECISION CASTPARTS CORP OR 2.02,9.01 01/23/07 PREMIERE GLOBAL SERVICES, INC. GA 5.02 01/22/07 PRICE T ROWE GROUP INC MD 1.01,9.01 01/23/07 PRINCIPAL LIFE INSURANCE CO IA 9.01 01/19/07 PRINCIPAL LIFE INSURANCE CO IA 9.01 01/19/07 PROASSURANCE CORP DE 7.01,9.01 01/23/07 PROSPERITY BANCSHARES INC TX 2.02,9.01 01/24/07 ProUroCare Medical Inc. NV 3.02 01/18/07 PROVIDENT FINANCIAL HOLDINGS INC DE 7.01,9.01 01/24/07 PROVIDENT FINANCIAL HOLDINGS INC DE 8.01,9.01 01/23/07 PROVIDENT FINANCIAL HOLDINGS INC DE 8.01,9.01 01/23/07 PSI CORP NV 5.02 12/15/06 PSS WORLD MEDICAL INC FL 2.02,9.01 12/29/06 QUALCOMM INC/DE DE 2.02,9.01 01/24/07 QUEPASA CORP NV 3.01,5.02 01/19/07 R H DONNELLEY CORP DE 5.02,9.01 01/22/07 R H DONNELLEY CORP DE 7.01,9.01 01/24/07 RADIAN GROUP INC DE 2.02,9.01 01/23/07 RAIT Financial Trust MD 1.01,9.01 01/18/07 RALCORP HOLDINGS INC /MO MO 1.01,2.03,9.01 01/18/07 RAMBUS INC DE 2.02,3.01,9.01 01/19/07 RANGE RESOURCES CORP DE 8.01,9.01 01/24/07 RAYMOND JAMES FINANCIAL INC FL 2.02,7.01,9.01 01/23/07 REGIONS FINANCIAL CORP DE 5.02 01/18/07 REGIS CORP MN 2.02,9.01 01/24/07 Republic Property Trust MD 1.01,9.01 01/18/07 RIVERVIEW BANCORP INC WA 2.02,9.01 01/23/07 ROCKFORD CORP AZ 1.01 01/18/07 ROCKWELL AUTOMATION INC DE 2.02 01/24/07 ROCKWELL AUTOMATION INC DE 2.02,7.01,9.01 01/24/07 RPC INC DE 8.01,9.01 01/24/07 RYLAND GROUP INC MD 2.02,9.01 01/24/07 SALIX PHARMACEUTICALS LTD 8.01,9.01 01/24/07 Santa Lucia Bancorp CA 2.02,9.01 01/24/07 SAVVIS, Inc. DE 2.01,5.02,9.01 01/22/07 SEAGATE TECHNOLOGY E9 8.01,9.01 01/23/07 SEATTLE GENETICS INC /WA DE 5.02,9.01 01/22/07 SECURED INVESTMENT RESOURCES FUND LP DE 2.02 06/30/06 AMEND SECURED INVESTMENT RESOURCES FUND LP DE 2.02 09/30/06 AMEND SELECTICA INC DE 8.01 01/24/07 SEMITOOL INC MT 2.02,9.01 01/24/07 SEQUENOM INC DE 5.02,9.01 01/18/07 SEREFEX CORP DE 4.01,9.01 01/19/07 Shire plc 8.01,9.01 01/22/07 SHORE FINANCIAL CORP VA 7.01,9.01 12/31/06 SHUTTERFLY INC 5.02 01/19/07 SILICON STORAGE TECHNOLOGY INC CA 2.02,9.01 01/24/07 SILVERADO GOLD MINES LTD A1 8.01,9.01 01/22/07 SIMTEK CORP CO 2.02,9.01 01/22/07 SIMTROL INC DE 1.01,2.03 01/19/07 SMALL BUSINESS CO DE 1.01,3.02,9.01 01/19/07 SMURFIT STONE CONTAINER CORP DE 2.02,9.01 01/24/07 SONIC SOLUTIONS/CA/ CA 5.02,8.01,9.01 01/23/07 SPAN AMERICA MEDICAL SYSTEMS INC SC 2.02,9.01 01/24/07 STEAK & SHAKE CO IN 2.02,9.01 01/24/07 STEEL DYNAMICS INC IN 2.02,9.01 01/23/07 STERIS CORP OH 8.01,9.01 01/23/07 STRATUS SERVICES GROUP INC DE 1.01 01/14/07 STRUCTURED PROD CORP CORTS TRUST III DE 8.01,9.01 01/16/07 STRUCTURED PRODUCTS CORP CORTS R TR F DE 8.01,9.01 01/16/07 STRUCTURED PRODUCTS CORP CORTS R TRUS DE 8.01,9.01 01/16/07 STRUCTURED PRODUCTS CORP TIERS PRI PR DE 8.01,9.01 01/16/07 STRUCTURED PRODUCTS CORP TRUST IV FOR DE 8.01,9.01 01/16/07 SUNBURST ACQUISITIONS III INC CO 5.03,9.01 01/22/07 SUPERCONDUCTIVE COMPONENTS INC OH 5.02 01/18/07 SUPERCONDUCTIVE COMPONENTS INC OH 8.01 01/19/07 SUPERCONDUCTOR TECHNOLOGIES INC DE 5.02,9.01 01/18/07 SURF Mortgage Loan Asset-Backed Certi DE 8.01,9.01 01/24/07 SURMODICS INC MN 2.02,9.01 01/24/07 SYBASE INC DE 2.01,9.01 11/08/06 AMEND SYMANTEC CORP DE 2.02,8.01,9.01 01/24/07 TALX CORP MO 2.02,9.01 01/24/07 TCF FINANCIAL CORP DE 2.02,9.01 01/24/07 TD BANKNORTH INC. DE 2.02,9.01 01/24/07 TECH OPS SEVCON INC DE 2.02 12/30/06 TECHNEST HOLDINGS INC NV 4.02 09/28/06 TECHNICAL OLYMPIC USA INC DE 7.01,9.01 01/24/07 Tennessee Commerce Bancorp, Inc. TN 2.02,7.01,9.01 01/24/07 Tennessee Valley Authority 2.02,5.02,9.01 01/19/07 Terra Nova Acquisition CORP DE 8.01,9.01 01/24/07 TEXTRON INC DE 2.02,9.01 01/24/07 TheRetirementSolution.com, Inc. UT 5.02,9.01 01/18/07 THORNBURG MORTGAGE INC MD 2.02,9.01 01/23/07 TIDEWATER INC DE 2.02,9.01 01/24/07 TNS INC 7.01,9.01 01/23/07 TOMPKINS TRUSTCO INC NY 2.02,8.01,9.01 01/23/07 TRADESTAR SERVICES, INC. NV 4.01,9.01 01/24/07 TRANSCEND SERVICES INC DE 2.02,9.01 01/24/07 TRANSWITCH CORP /DE DE 2.02,9.01 01/24/07 TRI COUNTY FINANCIAL CORP /MD/ 8.01,9.01 01/23/07 TRIDENT MICROSYSTEMS INC DE 2.02,8.01,9.01 01/24/07 TRIMBLE NAVIGATION LTD /CA/ CA 8.01,9.01 01/23/07 TRUSTREET PROPERTIES INC MD 7.01,9.01 01/24/07 Trycera Financial, Inc. NV 8.01 01/22/07 TWIN DISC INC WI 2.02,7.01,9.01 01/23/07 U-Store-It Trust MD 7.01,9.01 01/24/07 U.S. Helicopter CORP DE 8.01 01/23/07 UIL HOLDINGS CORP CT 8.01,9.01 01/24/07 UNISYS CORP DE 2.02,9.01 12/31/06 UNIVERSAL AMERICAN FINANCIAL CORP NY 1.01,2.03,8.01,9.01 01/18/07 UNIVERSAL HEALTH REALTY INCOME TRUST MD 1.01,2.03,9.01 01/19/07 US ENERGY CORP WY 1.01,4.01,5.02,9.01 01/19/07 VARIAN INC DE 2.02,8.01,9.01 01/24/07 VARIAN MEDICAL SYSTEMS INC DE 2.02,9.01 01/24/07 VASCULAR SOLUTIONS INC DE 7.01 01/22/07 VERIDICOM INTERNATIONAL INC DE 4.02 09/20/06 AMEND VERTRUE INC DE 2.02,9.01 01/24/07 VIASPACE Inc. NV 8.01,9.01 01/24/07 VIEWSONIC CORP DE 1.01,9.01 01/19/07 VISHAY INTERTECHNOLOGY INC DE 1.01,9.01 01/24/07 VITRO DIAGNOSTICS INC NV 4.01,9.01 01/23/07 AMEND VIVUS INC CA 8.01,9.01 01/23/07 VMS NATIONAL PROPERTIES JOINT VENTURE IL 1.01,9.01 01/18/07 Voyager Petroleum, Inc. NV 1.01,2.03,9.01 01/19/07 VPGI CORP TX 3.02 01/18/07 WaMu Mortgage Pass-Through Certificat DE 6.01 01/24/07 WASHINGTON TRUST BANCORP INC RI 2.02,9.01 01/24/07 WATERS CORP /DE/ DE 2.02,9.01 01/24/07 WCI COMMUNITIES INC 8.01 01/22/07 WELLPOINT INC IN 2.02,9.01 01/24/07 WELLS FARGO & CO/MN DE 9.01 01/24/07 WERNER ENTERPRISES INC NE 2.02,9.01 01/22/07 WESTERN PLAINS ENERGY LLC KS 5.02 01/22/07 WGNB CORP GA 8.01,9.01 01/22/07 WHITTIER ENERGY CORP NV 1.01,5.02,9.01 01/18/07 WIDEPOINT CORP DE 4.01,9.01 01/22/07 XFormity Technologies, Inc. CO 7.01 01/24/07 YORK WATER CO PA 5.03,9.01 01/24/07