SEC NEWS DIGEST Issue 2007-58 March 27, 2007 RULES AND RELATED MATTERS NOTICE OF RE-OPENING OF COMMENT PERIOD The Commission is re-opening the comment period on the "Amendments to Regulation SHO" it proposed in Securities Exchange Act Release No. 54154 (July 14, 2006), 71 FR 41710 (July 21, 2006). Publication is expected in the Federal Register during the week of April 2, 2007. (Rel. 34-55520; File No. S7-12-06) ENFORCEMENT PROCEEDINGS IN THE MATTER OF DETOUR MEDIA GROUP, INC. An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default in the matter of Detour Media Group, Inc., et al. The Order Instituting Proceedings (OIP) alleged Respondent Spinplanet.com, Inc. (n/k/a EntertainMax Worldwide, Inc.), failed repeatedly to file required annual and quarterly reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of registered securities of Spinplanet.com, Inc. (n/k/a EntertainMax Worldwide, Inc.), pursuant to Section 12(j) of the Securities Exchange Act of 1934. Five other Respondents named in the OIP have previously been held in default. See Exchange Act Release No. 55169 (Jan. 25, 2007). Today's action closes the case as to the sixth and final Respondent. (Rel. 34- 55521; File No. 3-12493) IN THE MATTER OF CMERUN CORP., ET AL. An Administrative Law Judge issued an Order Making Findings and Revoking Registrations by Default as to CMERUN Corp., Combine Corp., Integrated Homes, Inc., and Lighthouse Fast Ferry, Inc. (Default Order), in CMERUN Corp. The Order Instituting Proceedings alleged that CMERUN Corp., Combine Corp., Integrated Homes, Inc., and Lighthouse Fast Ferry, 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 for these Respondents and revokes each class of their respective registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-55534; File No. 3-12517) IN THE MATTER OF JAMES CAVALIERE On March 27, the Commission issued an Order Makings Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Order) against James Cavaliere. The Order finds that from July 1999 to August 2000, James Cavaliere (Cavaliere) was a registered representative associated with Bryn Mawr Investment Group, Inc., a broker-dealer registered with the Commission, which later was known as Valley Forge Securities, Inc. (Valley Forge). On Oct. 18, 2005, Cavaliere pled guilty to one count of conspiracy to commit securities fraud and wire fraud. United States v. James Cavaliere, 05 Cr. 49 (D.N.J.). The sole count of the criminal information to which Cavaliere pled guilty alleged, inter alia, that Cavaliere, using various instrumentalities of interstate commerce, while employed at Valley Forge, defrauded investors by receiving undisclosed excessive cash commissions, which were not disclosed to customers. Cavaliere also paid excessive and undisclosed commissions to licensed and unlicensed brokers employed at Valley Forge's Staten Island Office. Cavaliere also employed deceptive sales practices to mislead customers into buying certain stocks. Based on the above, the Order bars James Cavaliere from association with any broker or dealer. James Cavaliere consented to the issuance of the Order, without admitting or denying the Commission's findings, except as to the Commission's jurisdiction over him, the subject matter of the proceedings, and his criminal conviction. (Rel. 34- 55535; File No. 3-12563) ADDITIONS AND CORRECTIONS A summary in the March 16th issue of the Digest entitled "SEC v. CONRAD BLACK, F. DAVID RADLER AND HOLLINGER INC." did not include the Accounting and Auditing Release number. The number is AAE Rel. 2582. SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-CBOE-2007-29) filed by the Chicago Board Options Exchange to increase the class quoting limit in the option class Accredited Home Lenders Holding (LEND) 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 March 26. (Rel. 34-55514) A proposed rule change (SR-NASD-2007-024) filed by the National Association of Securities Dealers relating to portfolio margin 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 March 26. (Rel. 34-55518) PROPOSED RULE CHANGE A proposed rule change (SR-NYSE-2007-06) relating to amendments to NYSE Rule 440A (telephone solicitation) has been filed by the New York Stock Exchange. Publication is expected in the Federal Register during the week of March 26. (Rel. 34-55517) 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-4 PLAINS ALL AMERICAN PIPELINE LP, 333 CLAY STREET, SUITE 1600, HOUSTON, TX, 77002, 7136544100 - 0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-141557 - Mar. 26) (BR. 04A) SB-2 AZCO MINING INC, 7239 NORTH EL MIRAGE ROAD, GLENDALE, AZ, 85307, 623-935-0774 - 14,642,930 ($15,316,330.58) Equity, (File 333-141558 - Mar. 26) (BR. 04A) S-8 CastlePoint Holdings, Ltd., ATTN: JOEL WEINER, CLARENDON HOUSE, 2 CHURCH STREET, HAMILTON, D0, HM 11, 4412951422 - 0 ($27,517,433.10) Equity, (File 333-141559 - Mar. 26) (BR. 01B) S-3ASR FIFTH THIRD BANCORP, 38 FOUNTAIN SQ PLZ, FIFTH THIRD CENTER, CINCINNATI, OH, 45263, 5135795300 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-141560 - Mar. 26) (BR. 07A) S-3ASR CHUBB CORP, 15 MOUNTAIN VIEW ROAD, WARREN, NJ, 07061, 9089032000 - 0 ($0.00) Other, (File 333-141561 - Mar. 26) (BR. 01A) F-6 SGL CARBON AKTIENGESELLSCHAFT, RHEINGAUSTRASSE 182, WEISBADEN GERMANY, I8, D-65203, 20,000,000 ($100,000,000.00) Equity, (File 333-141562 - Mar. 26) (BR. 10C) S-1 GEOVERA INSURANCE HOLDINGS, LTD., C/O GEOVERA HOLDINGS, INC., 4820 BUSINESS CENTER DRIVE, FAIRFIELD, CA, 94534, (707) 863-3700 - 0 ($115,000,000.00) Equity, (File 333-141563 - Mar. 26) (BR. ) S-3 MAKEMUSIC, INC., 7615 GOLDEN TRIANGLE DRIVE, SUITE M, EDEN PRAIRIE, MN, 55344, 9529379611 - 0 ($6,670,259.00) Equity, (File 333-141566 - Mar. 26) (BR. 03A) S-8 GREEN MOUNTAIN COFFEE ROASTERS INC, 33 COFFEE LANE, WATERBURY, VT, 05676, 8022445621 - 350,000 ($16,524,071.00) Equity, (File 333-141567 - Mar. 26) (BR. 04C) SB-2 TJS Wood Flooring, Inc., 31940 DANIEL WAY, TEMECULA, CA, 92591, 951-676-3469 - 1,760,000 ($17,600.00) Equity, (File 333-141568 - Mar. 26) (BR. ) F-8 ALGONQUIN POWER INCOME FUND, 2845 BRISTOL CIRCLE, OAKVILLE, A6, 00000, 0 ($68,144,838.83) Equity, (File 333-141569 - Mar. 26) (BR. ) S-3 ATC HEALTHCARE INC /DE/, 1983 MARCUS AVE, STE E122, LAKE SUCCESS, NY, 11042, 5167501600 - 10,989,999 ($3,626,700.00) Equity, (File 333-141570 - Mar. 26) (BR. 01A) S-8 Vanda Pharmaceuticals Inc., 9605 MEDICAL CENTER DRIVE, SUITE 300, ROCKVILLE, MD, 20850, 240-599-4500 - 885,141 ($21,924,942.57) Equity, (File 333-141571 - Mar. 26) (BR. 01B) S-1 BCSB Bancorp Inc., 4111 E. JOPPA ROAD, BALTIMORE, MD, 21236, 410-256-5000 - 0 ($104,141,260.00) Equity, (File 333-141572 - Mar. 26) (BR. ) SB-2 XA, INC., JOHN HANCOCK CENTER, 875 NORTH MICHIGAN AVENUE, SUITE 2626, CHICAGO, IL, 60611, 312-397-9100 - 5,092,505 ($1,884,226.85) Equity, (File 333-141573 - Mar. 26) (BR. 08A) S-8 GREENSHIFT CORP, 111 HOWARD STREET, SUITE 108, MT. ARLINGTON, NJ, 07856, 9733988183 - 10,000,000 ($950,000.00) Equity, (File 333-141574 - Mar. 26) (BR. 06B) S-8 GS CARBON CORP, 0NE PENN PLAZA, SUITE 1612, NEW YORK, NY, 10119, 212-994-5374 - 25,000,000 ($700,000.00) Equity, (File 333-141575 - Mar. 26) (BR. 08A) S-8 ULURU INC., 4452 BELTWAY DRIVE, ADDISON, TX, 75001, 214-905-5145 - 2,000,000 ($10,000,000.00) Equity, (File 333-141576 - Mar. 26) (BR. 01B) S-8 NEWPARK RESOURCES INC, 3850 N. CAUSEWAY BLVD, SUITE 1770, METAIRIE, LA, 70002, 5048388222 - 3,300,000 ($23,036,750.00) Equity, (File 333-141577 - Mar. 26) (BR. 04C) S-8 JOHNSON CONTROLS INC, 5757 N GREEN BAY AVENUE, P O BOX 591, MILWAUKEE, WI, 53201, 4145241200 - 0 ($1,166,951,690.00) Equity, (File 333-141578 - Mar. 26) (BR. 06A) S-8 TIME WARNER CABLE INC., 290 HARBOR DRIVE, STAMFORD, CT, 06902-7441, (203) 328-0600 - 100,000,000 ($3,806,500,000.00) Equity, (File 333-141579 - Mar. 26) (BR. 11A) S-4 LNB BANCORP INC, 457 BROADWAY, LORAIN, OH, 44052-1769, 800-860-1007 - 855,007 ($5,946,118.00) Equity, (File 333-141580 - Mar. 26) (BR. 07B) S-3 COMPOSITE TECHNOLOGY CORP, 2026 MCGRAW AVE, IRVINE, CA, 92614, (949) 428-8500 - 37,523,627 ($39,372,363.00) Equity, (File 333-141581 - Mar. 26) (BR. 10A) S-8 GENITOPE CORP, 6900 DUMBARTON CIRCLE, FREMONT, CA, 94555-3651, (510) 284-3000 - 0 ($7,569,877.50) Equity, (File 333-141583 - Mar. 26) (BR. 01A) S-3ASR ORBITAL SCIENCES CORP /DE/, 21839 ATLANTIC BLVD, DULLES, VA, 20166, 703406 5524 - 0 ($143,750,000.00) Debt Convertible into Equity, (File 333-141584 - Mar. 26) (BR. 11A) SB-2 PRAIRIE CREEK ETHANOL LLC, 415 N LOCUST ST, GOLDFIELD, IA, 50542, 515-368-1795 - 0 ($138,000,000.00) Equity, (File 333-141585 - Mar. 26) (BR. ) S-4 McLeodUSA INC, ONE MARTHA'S WAY, HIAWATHA, IA, 52233, 319 790-7800 - 0 ($120,000,000.00) Debt, (File 333-141586 - Mar. 26) (BR. 11A) S-8 SOCKET COMMUNICATIONS INC, 39700 EUREKA DRIVE, NEWARK, CA, 94560-4808, 5109333000 - 1,608,490 ($1,190,282.00) Equity, (File 333-141587 - Mar. 26) (BR. 03B) S-3 China Precision Steel, Inc., 8TH FLOOR, TEDA BUILDING, 87 WING LOK STREET, SHEUNGWAN, HONG KONG, K3, 000, 86 21 5994 8500 - 8,719,814 ($61,431,089.63) Equity, (File 333-141588 - Mar. 26) (BR. 06A) S-4 WGNB CORP, 201 MAPLE ST, POST OFFICE BOX 280, CARROLLTON, GA, 30117, 7708323557 - 1,222,683 ($14,147,478.00) Equity, (File 333-141589 - Mar. 26) (BR. 07A) 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 ABIOMED INC DE 1.01,8.01,9.01 03/21/07 ABLE ENERGY INC DE 1.01,2.03 03/20/07 ACTEL CORP CA 3.01,9.01 03/20/07 ACTIVE POWER INC DE 3.01,9.01 03/21/07 Advance Nanotech, Inc. DE 8.01,9.01 03/20/07 ADVANTA CORP DE 1.01 03/22/07 AFFILIATED COMPUTER SERVICES INC DE 8.01 03/22/07 AGERE SYSTEMS INC DE 8.01,9.01 03/26/07 AHPC Holdings, Inc. MD 3.01,9.01 03/20/07 Alexza Pharmaceuticals Inc. DE 7.01,9.01 03/26/07 ALLIED DEFENSE GROUP INC DE 2.04,8.01 03/20/07 ALLIED HOLDINGS INC GA 8.01 03/26/07 Alternative Loan Trust 2006-35CB 9.01 10/27/06 Alternative Loan Trust 2006-37R 9.01 10/30/06 Alternative Loan Trust 2006-39CB 9.01 11/30/06 Alternative Loan Trust 2006-41CB 9.01 11/30/06 Alternative Loan Trust 2006-J7 9.01 10/30/06 Altra Industrial Motion, Inc. DE 1.01,3.03,8.01,9.01 03/26/07 AMERICAN BILTRITE INC DE 2.02,9.01 03/21/07 AMERICAN EAGLE OUTFITTERS INC DE 5.02,9.01 03/21/07 AMERICANWEST BANCORPORATION WA 1.01,2.03 03/23/07 AMERIGROUP CORP 1.01,1.02,2.04,9.01 03/20/07 AMERISOURCEBERGEN CORP DE 8.01,9.01 03/26/07 Andover Medical, Inc. DE 1.01,9.01 03/20/07 ARCADIA RESOURCES, INC NV 2.03,3.02,8.01 03/20/07 ARROWHEAD RESEARCH CORP DE 1.01,3.02,8.01,9.01 03/21/07 AspenBio Pharma, Inc. CO 3.02,3.03,9.01 03/20/07 ASTORIA FINANCIAL CORP DE 8.01,9.01 03/26/07 AUTONATION INC /FL DE 5.02,9.01 03/23/07 AVENTINE RENEWABLE ENERGY HOLDINGS IN 1.01,2.03,8.01,9.01 03/23/07 Avicena Group, Inc. DE 1.01,9.01 03/20/07 BankFinancial CORP 8.01,9.01 03/26/07 BEAR STEARNS COMPANIES INC DE 8.01,9.01 02/28/07 BECKMAN COULTER INC DE 7.01,9.01 03/25/07 BECKMAN COULTER INC DE 1.01,9.01 03/24/07 BELL MICROPRODUCTS INC CA 3.01,9.01 03/20/07 BENCHMARK ELECTRONICS INC TX 9.01 01/08/07 AMEND Benda Pharmaceutical, Inc. MN 5.02,9.01 03/20/07 BIOMIMETIC THERAPEUTICS, INC. DE 8.01,9.01 03/22/07 BIOSITE INC DE 1.01,3.03,9.01 03/24/07 BLUE RIDGE PAPER PRODUCTS INC 8.01,9.01 03/26/07 BOOKHAM, INC. DE 1.01,3.02,9.01 03/22/07 BRADY CORP WI 2.03,9.01 03/23/07 BUCKEYE PARTNERS L P DE 8.01 03/26/07 BUTLER NATIONAL CORP DE 8.01,9.01 03/26/07 CANYON COPPER CORP. 2.01,9.01 03/16/07 CAPITAL GROWTH SYSTEMS INC /FL/ FL 9.01 09/08/06 AMEND CAPITAL TRUST INC MD 1.01 03/22/07 CAREGUIDE INC DE 8.01 03/23/07 CARROLLTON BANCORP MD 5.02 03/26/07 CATCHER HOLDINGS, INC 7.01,9.01 03/23/07 CBD Media Holdings LLC DE 2.01,5.01,5.02,5.03,7.01,9.01 03/20/07 CBD MEDIA LLC DE 2.01,5.01,5.02,7.01,9.01 03/20/07 CBS CORP DE 8.01,9.01 03/20/07 CENTURY ALUMINUM CO DE 5.02 03/26/07 CENTURYTEL INC LA 9.01 12/31/06 CHANNELL COMMERCIAL CORP DE 5.02 03/21/07 Chartwell International, Inc. NV 1.01,9.01 03/20/07 CHEMOKINE THERAPEUTICS CORP DE 5.02,9.01 03/21/07 CHENIERE ENERGY INC DE 7.01,9.01 03/26/07 Cheniere Energy Partners, L.P. DE 1.01,2.01,5.03,9.01 03/20/07 CHINA AOXING PHARMACEUTICAL COMPANY, FL 5.02 01/22/07 CHINA BIOPHARMA, INC. DE 2.02 03/20/07 CHL Mortgage Pass-Through Trust 2006- 9.01 10/30/06 CHL Mortgage Pass-Through Trust 2006- 9.01 11/29/06 CINEMARK USA INC /TX TX 1.01,3.03,7.01,9.01 03/20/07 CITIGROUP DIVERSIFIED FUTURES FUND LP 5.02 03/22/07 CITIGROUP FAIRFIELD FUTURES FUND LP I 5.02 03/22/07 CKE RESTAURANTS INC DE 5.02,7.01,9.01 03/20/07 COHESANT TECHNOLOGIES INC DE 2.02,5.02,9.01 03/26/07 COINSTAR INC DE 7.01 03/26/07 COMBINATORX, INC DE 8.01,9.01 03/26/07 Complete Production Services, Inc. DE 5.02,9.01 03/20/07 Congaree Bancshares Inc SC 5.02 05/17/06 CONSTAR INTERNATIONAL INC DE 1.01,9.01 03/20/07 COOPER COMPANIES INC DE 1.01,9.01 03/20/07 Copano Energy, L.L.C. DE 7.01,9.01 03/22/07 Crusade Global Trust No. 1 of 2007 8.01,9.01 03/15/07 CTI INDUSTRIES CORP DE 2.02,9.01 03/22/07 Darwin Professional Underwriters Inc DE 1.01,2.03,8.01,9.01 03/23/07 DATAWATCH CORP DE 5.02,9.01 03/26/07 DESIGN WITHIN REACH INC DE 5.02 03/20/07 DG FastChannel, Inc DE 2.02,9.01 03/26/07 DNB FINANCIAL CORP /PA/ PA 5.02,7.01 03/26/07 DOCUMENT SECURITY SYSTEMS INC NY 8.01,9.01 03/26/07 DOLLAR GENERAL CORP TN 2.02,7.01,9.01 03/26/07 DURA AUTOMOTIVE SYSTEMS INC DE 7.01,9.01 03/26/07 DURAVEST INC 1.01,1.03,2.03,3.02,5.02,9.01 09/27/06 ECLIPSYS CORP DE 3.01 03/20/07 EL PASO ELECTRIC CO /TX/ TX 5.02,9.01 03/20/07 ENERGY PARTNERS LTD DE 8.01,9.01 03/26/07 EVANS BANCORP INC NY 5.02 03/20/07 FAIRPOINT COMMUNICATIONS INC DE 7.01,8.01,9.01 03/26/07 FARO TECHNOLOGIES INC FL 7.01,8.01,9.01 03/26/07 FEDDERS CORP /DE DE 1.01,2.03,9.01 03/20/07 Federal Home Loan Bank of Des Moines X1 7.01,9.01 03/26/07 FiberTower CORP DE 2.02,9.01 03/26/07 FIRST AMERICAN CORP CA 1.01,5.02,9.01 03/20/07 FIRST INTERSTATE BANCSYSTEM INC MT 7.01,8.01 03/22/07 Fortissimo Acquisition Corp. DE 8.01,9.01 03/21/07 FRIEDMAN BILLINGS RAMSEY GROUP INC VA 5.02,5.03,8.01 03/26/07 GE Capital Credit Card Master Note Tr DE 8.01,9.01 03/15/07 GENESEE & WYOMING INC DE 8.01 03/20/07 GENTA INC DE/ DE 8.01,9.01 03/23/07 GENTEX CORP MI 5.02 03/26/07 GENWORTH FINANCIAL INC DE 5.02,8.01 03/20/07 GEVITY HR INC FL 7.01,9.01 03/26/07 Global Employment Holdings, Inc. 4.02 03/22/07 GLOBAL ENERGY INC NV 5.03,9.01 03/22/07 GLOBAL INDUSTRIES LTD LA 5.02,9.01 03/21/07 GOLDEN CHIEF RESOURCES INC KS 4.02 03/22/07 GOODRICH PETROLEUM CORP DE 2.01,9.01 03/20/07 HAIGHTS CROSS COMMUNICATIONS INC DE 4.02 03/20/07 HASTINGS ENTERTAINMENT INC TX 2.02,5.02,9.01 03/22/07 HAWAIIAN HOLDINGS INC DE 7.01,9.01 03/26/07 HEADWATERS INC DE 9.01 01/22/07 AMEND HEALTHSOUTH CORP DE 1.01,9.01 03/25/07 HERITAGE COMMERCE CORP CA 5.02 03/26/07 Home Equity Mortgage Trust 2007-1 DE 8.01,9.01 03/09/07 HOUSEHOLD AFFINITY CREDIT CARD MASTER DE 9.01 03/15/07 HSBC PRIVATE LABEL CREDIT CARD MASTER DE 9.01 03/15/07 HUMANA INC DE 8.01,9.01 03/26/07 HUTTON INVESTORS FUTURES FUND L P II DE 5.02 03/22/07 HYDRON TECHNOLOGIES INC NY 1.01,3.02,9.01 03/21/07 IA GLOBAL INC DE 8.01,9.01 03/22/07 ICON INCOME FUND EIGHT B LP 8.01 03/21/07 Ignis Petroleum Group, Inc. 4.01,9.01 03/20/07 IndyMac Residential Mortgage-Backed T DE 1.01,9.01 12/14/06 IndyMac Residential Mortgage-Backed T DE 8.01,9.01 03/21/07 INFORMATION ARCHITECTS CORP NC 5.02 03/26/07 INSIGNIA SOLUTIONS PLC 1.01,2.03 01/31/07 INTERCONTINENTALEXCHANGE INC 8.01,9.01 03/26/07 INTERNATIONAL ISOTOPES INC TX 1.01,3.02,8.01,9.01 03/21/07 INTERNATIONAL MONETARY SYSTEMS LTD /W WI 1.01,3.02,9.01 03/20/07 INTERSIL CORP/DE DE 5.02,9.01 03/24/07 IPARTY CORP DE 5.02,9.01 03/22/07 IPORUSSIA INC DE 1.01,3.02,5.01,5.02,8.01,9.01 03/23/07 ISIS PHARMACEUTICALS INC DE 8.01,9.01 03/25/07 ISONICS CORP CA 3.01,9.01 03/21/07 ITEC ENVIRONMENTAL GROUP INC DE 5.03 03/22/07 iWorld Projects & Systems, Inc. NV 8.01 03/26/07 J2 GLOBAL COMMUNICATIONS INC DE 1.01 03/22/07 JAGGED PEAK, INC. NV 2.02,9.01 03/26/07 Jazz Technologies, Inc. DE 5.02 03/21/07 KEYSTONE CONSOLIDATED INDUSTRIES INC DE 7.01,9.01 03/23/07 Kohlberg Capital CORP DE 8.01 03/26/07 LANCASTER COLONY CORP OH 8.01,9.01 03/23/07 LENOX GROUP INC DE 7.01,9.01 03/26/07 LITTLE SQUAW GOLD MINING CO AK 8.01,9.01 03/19/07 LL&E ROYALTY TRUST TX 7.01,9.01 03/26/07 LOCAL.COM DE 8.01 03/20/07 LOCATEPLUS HOLDINGS CORP 1.01,2.03,3.02,5.02 03/20/07 LOCKHEED MARTIN CORP MD 8.01,9.01 02/26/07 LODGENET ENTERTAINMENT CORP DE 8.01,9.01 03/26/07 LSB INDUSTRIES INC DE 2.02,9.01 03/26/07 LSI LOGIC CORP DE 8.01 03/26/07 LUDVIK CAPITAL INC DE 3.01 03/25/07 LUNA INNOVATIONS INC 1.01 03/20/07 MARLIN BUSINESS SERVICES CORP 7.01,9.01 03/20/07 MARMION INDUSTRIES CORP NV 1.01,3.02,9.01 03/22/07 MAXIMUM AWARDS INC 1.01,5.02,9.01 03/21/07 MDC PARTNERS INC A6 5.02 03/23/07 MEDecision, Inc. PA 5.02 03/21/07 Mercantile Bancorp, Inc. DE 1.01,2.03,9.01 03/20/07 Merrill Lynch Alternative Note Asset DE 8.01,9.01 03/26/07 Merrill Lynch Alternative Note Asset DE 8.01,9.01 03/09/07 METRETEK TECHNOLOGIES INC DE 5.02 03/20/07 METRIS MASTER TRUST DE 9.01 03/20/07 MICHAEL FOODS INC/NEW DE 2.02,9.01 03/26/07 MICHAEL FOODS INC/NEW DE 5.02,9.01 03/26/07 MICRO COMPONENT TECHNOLOGY INC MN 5.02,9.01 03/20/07 MICROSOFT CORP WA 5.02,9.01 03/26/07 MIDDLEFIELD BANC CORP OH 8.01 03/16/07 MIDDLETON DOLL CO WI 2.02,9.01 03/23/07 MIDNIGHT HOLDINGS GROUP INC DE 4.02,9.01 02/04/07 MILLER HERMAN INC MI 7.01 03/26/06 MINDEN BANCORP INC 5.03,9.01 03/20/07 MOBILEPRO CORP DE 8.01 03/22/07 MPHASE TECHNOLOGIES INC NJ 8.01 03/26/07 NANOMETRICS INC DE 5.02,9.01 03/26/07 NEURO-HITECH PHARMACEUTICALS INC DE 3.02,9.01 03/15/07 NEW GENERATION HOLDINGS INC DE 8.01,9.01 03/26/07 NEWTEK BUSINESS SERVICES INC NY 2.02,8.01,9.01 03/21/07 NextWave Wireless Inc. DE 4.02,9.01 12/18/06 NICOR INC IL 5.02,9.01 03/26/07 NNN Healthcare/Office REIT, Inc. MD 1.01,2.01,2.03,7.01,9.01 03/20/07 NORTH AMERICAN SCIENTIFIC INC 3.02,5.02 03/22/07 NORTH VALLEY BANCORP CA 1.01,9.01 03/22/07 NOVACEA INC DE 2.02,9.01 03/26/07 NOVAVAX INC DE 5.02,9.01 03/20/07 NYSE Euronext, Inc. DE 8.01,9.01 03/26/07 OI CORP OK 1.01,5.02,7.01,8.01,9.01 03/21/07 ON SEMICONDUCTOR CORP DE 5.02 03/21/07 ORBIT FR INC DE 5.03,9.01 03/21/07 OSHKOSH TRUCK CORP WI 5.02,9.01 03/20/07 OSIRIS THERAPEUTICS, INC. DE 7.01,9.01 03/25/07 PACER HEALTH CORP FL 5.02 03/03/07 PACIFIC STATE BANCORP 5.02 03/20/07 PACKETPORT COM NV 8.01 03/26/07 PANTRY INC DE 5.02 03/20/07 PARK CITY GROUP INC DE 5.02,9.01 03/15/07 PAVILION BANCORP INC 8.01,9.01 03/23/07 PEERLESS MANUFACTURING CO TX 5.02,9.01 03/21/07 PEGASYSTEMS INC MA 3.01 03/20/07 PHARMOS CORP NV 5.02,9.01 03/20/07 PHILLIPS VAN HEUSEN CORP /DE/ DE 2.02,9.01 03/26/07 PILGRIMS PRIDE CORP DE 7.01 03/26/07 PLASTINUM CORP DE 8.01,9.01 03/26/07 PLASTINUM CORP DE 8.01,9.01 03/26/07 AMEND POINT THERAPEUTICS INC DE 2.02,5.02,9.01 03/26/07 POLYCOM INC DE 2.01,9.01 03/20/07 POOL CORP DE 1.01,2.03,9.01 03/22/07 PRA International DE 1.01,3.03,5.03,8.01,9.01 03/23/07 PRIMEGEN ENERGY CORP 5.02 03/13/07 PRIVATEBANCORP, INC DE 7.01 03/26/07 PROCENTURY CORP 8.01,9.01 03/21/07 PROGRESS ENERGY INC NC 5.02,9.01 03/20/07 PROGRESSIVE CORP/OH/ OH 5.02,9.01 03/23/07 PROGRESSIVE GAMING INTERNATIONAL CORP NV 8.01 03/26/07 PROLOGIS MD 2.03,3.01,9.01 03/19/07 PROTECTION ONE INC DE 8.01 03/26/07 PROVIDENT BANKSHARES CORP MD 1.01,9.01 03/21/07 PSB BANCORP INC PA 1.01,9.01 03/25/07 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 03/26/07 PYRAMID OIL CO CA 8.01 03/21/07 QUAKER CHEMICAL CORP PA 1.01 03/26/07 QUIKBYTE SOFTWARE INC CO 1.01,3.02,9.01 03/26/07 R H DONNELLEY CORP DE 5.02 03/20/07 Rackable Systems, Inc. DE 5.02 03/21/07 RAINMAKER SYSTEMS INC CA 8.01,9.01 03/26/07 Rand Logistics, Inc. DE 1.01,2.01,2.03,8.01,9.01 03/23/07 REALOGY CORP DE 7.01,9.01 03/23/07 REALOGY CORP DE 8.01 03/26/07 REGENERX BIOPHARMACEUTICALS INC DE 7.01,9.01 03/24/07 REWARDS NETWORK INC DE 7.01 03/22/07 RUBIOS RESTAURANTS INC DE 2.02,9.01 03/26/07 SALESREPCENTRAL COM INC NV 3.02,5.01,5.02,9.01 03/25/07 SALOMON SMITH BARNEY AAA ENERGY FUND 5.02 03/22/07 SALOMON SMITH BARNEY DIVERSIFIED 2000 5.02 03/22/07 SALOMON SMITH BARNEY FAIRFIELD FUTURE NY 5.02 03/22/07 SALOMON SMITH BARNEY GLOBAL DIVERSIFI 5.02 03/22/07 SALOMON SMITH BARNEY ORION FUTURES FU 5.02 03/22/07 SAN JOAQUIN BANCORP CA 5.02 03/21/07 Santa Lucia Bancorp CA 8.01,9.01 03/21/07 SBA COMMUNICATIONS CORP FL 1.01,2.03,3.02,7.01,8.01,9.01 03/20/07 SEA CONTAINERS LTD /NY/ 2.04 03/20/07 Security Capital Assurance Ltd D0 8.01,9.01 03/26/07 Security With Advanced Technology, In CO 5.02,9.01 03/20/07 SERVICE AIR GROUP INC NJ 3.02 03/23/07 SEVERN BANCORP INC MD 7.01,9.01 03/21/07 SHEARSON LEHMAN SELECT ADVISORS FUTUR DE 5.02 03/22/07 SHEARSON MID WEST FUTURES FUND NY 5.02 03/22/07 ShengdaTech, Inc. 2.02,9.01 03/26/07 ShengdaTech, Inc. 2.02,9.01 03/26/07 AMEND Shire plc 8.01,9.01 03/23/07 SHUMATE INDUSTRIES INC DE 2.02,7.01,9.01 03/26/07 SMITH BARNEY AAA ENERGY FUND LP /NY 5.02 03/22/07 SMITH BARNEY DIVERSIFIED FUTURES FUND NY 5.02 03/22/07 SMITH BARNEY DIVERSIFIED FUTURES FUND NY 5.02 03/22/07 SMITH BARNEY MID WEST FUTURES FUND LP NY 5.02 03/22/07 SMITH BARNEY POTOMAC FUTURES FUND LP 5.02 03/22/07 SMITH BARNEY WESTPORT FUTURES FUND LP 5.02 03/22/07 SOURCE INTERLINK COMPANIES INC DE 5.02 03/22/07 SOUTH FINANCIAL GROUP INC SC 5.02,9.01 03/20/07 SOUTHERN COMMUNITY FINANCIAL CORP 7.01,9.01 03/26/07 Southern National Bancorp of Virginia VA 4.01,9.01 03/02/07 AMEND Specialty Underwriting & Residential DE 8.01,9.01 03/26/07 Spectrum Brands, Inc. WI 7.01,9.01 03/26/07 STEELCASE INC MI 5.02 03/22/07 STEIN MART INC FL 2.02,9.01 03/21/07 STEN CORP MN 1.01,8.01,9.01 03/20/07 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 03/15/07 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 03/15/07 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 03/15/07 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 03/15/07 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 03/15/07 Sugar Creek Financial Corp X1 8.01,9.01 03/23/07 SUPERIOR INDUSTRIES INTERNATIONAL INC CA 2.02,9.01 03/20/07 Susser Holdings CORP DE 2.02,9.01 03/19/07 AMEND TAIWAN FUND INC DE 7.01,9.01 02/01/07 TALBOTS INC DE 1.01,9.01 03/22/07 TALLY HO VENTURES INC DE 4.01,4.02,9.01 11/30/06 AMEND Tarpon Industries, Inc. MI 1.01,2.03,3.02,8.01,9.01 03/20/07 TARRANT APPAREL GROUP CA 2.02,9.01 03/26/07 TARRANT APPAREL GROUP CA 1.01 03/20/07 TECH DATA CORP FL 1.01,2.03,2.05 03/20/07 TEKELEC CA 1.01,2.05,2.06 03/20/07 TEKOIL & GAS CORP DE 1.01,9.01 03/22/07 TEKTRONIX INC OR 1.01,9.01 03/22/07 THRESHOLD PHARMACEUTICALS INC DE 1.01,5.02 03/20/07 TIFFANY & CO DE 8.01,9.01 03/23/07 TIFFANY & CO DE 2.02,9.01 03/26/07 Titan Global Holdings, Inc. UT 1.01,9.01 03/18/07 TITANIUM METALS CORP DE 7.01,9.01 03/26/07 TOREADOR RESOURCES CORP DE 8.01,9.01 03/26/07 TOREADOR RESOURCES CORP DE 1.01,3.02,9.01 03/23/07 TRANSCENDENT INC NV 4.01,8.01,9.01 03/22/07 TRANSCOMMUNITY FINANCIAL CORP VA 5.02,8.01,9.01 03/21/07 TRANSMERIDIAN EXPLORATION INC DE 5.02,9.01 03/21/07 TREX CO INC DE 2.02,9.01 03/26/07 Trubion Pharmaceuticals, Inc 2.02,9.01 03/26/07 TRW AUTOMOTIVE HOLDINGS CORP DE 1.01,3.03,8.01,9.01 03/21/07 U S GOLD CORP CO 2.01,7.01,9.01 03/23/07 U S GOLD CORP CO 2.01,7.01,9.01 03/23/07 U S GOLD CORP CO 2.01,7.01,9.01 03/23/07 U S WIRELESS DATA INC DE 1.02,2.01,3.02,4.01,5.01,5.02, 03/21/07 5.03,5.06,9.01 UAL CORP /DE/ DE 8.01,9.01 03/26/07 UAL CORP /DE/ DE 5.02,9.01 03/26/07 UNICO AMERICAN CORP NV 2.02 03/26/07 UNIONBANCAL CORP DE 2.03 03/23/07 UNITED COMPANIES CORP 2.01,7.01,9.01 02/22/07 UpSnap, Inc. 1.01,9.01 03/20/07 US AIRWAYS GROUP INC DE 1.01,1.02,2.03,9.01 03/23/07 USA TECHNOLOGIES INC PA 5.02 03/26/07 VALEANT PHARMACEUTICALS INTERNATIONAL DE 5.02 03/21/07 Valentec Systems, Inc DE 1.01,9.01 03/26/07 VALERO ENERGY CORP/TX DE 7.01,9.01 03/26/07 VIROPHARMA INC DE 1.01,2.03,3.02,8.01,9.01 03/20/07 VISION SCIENCES INC /DE/ DE 1.01 03/26/07 Vocus, Inc. DE 7.01,9.01 03/26/07 VYYO INC DE 1.01,5.02,9.01 03/21/07 Wachovia Mortgage Loan Trust, Series DE 6.01 03/26/07 WALGREEN CO IL 2.02,9.01 03/26/07 WaMu Mortgage Pass-Through Certificat DE 6.01 03/23/07 WEBSENSE INC DE 9.01 01/08/07 AMEND WESTERN GOLDFIELDS INC ID 7.01,9.01 03/26/07 WESTMORELAND COAL CO DE 8.01,9.01 03/21/07 WHEELING ISLAND GAMING INC DE 2.02,9.01 03/26/07 Winning Edge International, Inc. DE 8.01,9.01 03/19/07 XCORPOREAL, INC. DE 4.02 03/20/07 ZORAN CORP \DE\ DE 3.01,9.01 03/26/07