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SEC NEWS DIGEST
Issue 2007-220 November 15, 2007
COMMISSION ANNOUNCEMENTS
FEE RATE ADVISORY #3 FOR FISCAL YEAR 2008
The continuing resolution funding the Securities and Exchange
Commission for fiscal year 2008 since Oct. 1, 2007, has been extended
further through Dec. 14, 2007. Therefore, fees paid under Section 6(b)
of the Securities Act of 1933 and Sections 13(e), 14(g) and 31 of the
Securities Exchange Act of 1934 will remain at their current rates.
As previously announced, thirty days after the date of enactment of
the Commission's regular fiscal year 2008 appropriation, the Section
31 fee rate applicable to securities transactions on the exchanges and
in the over-the-counter markets will decrease to $11.00 per million
dollars from the current rate of $15.30 per million dollars. The
assessment on security futures transactions under Section 31(d) will
remain unchanged at $0.0042 for each round turn transaction.
In addition, five days after the date of enactment of the Commission's
regular appropriation, the Section 6(b) fee rate applicable to the
registration of securities, the Section 13(e) fee rate applicable to
the repurchase of securities, and the Section 14(g) fee rate
applicable to proxy solicitations and statements in corporate control
transactions will increase to $39.30 per million dollars from the
current rate of $30.70 per million dollars.
The Division of Trading and Markets' Office of Interpretation and
Guidance is available to answer questions relating to Section 31. That
office may be reached by phone at 202-551-5777 or by email at
tradingandmarkets@sec.gov.
A copy of the Commission's April 30, 2007, order regarding fee rates
for fiscal year 2008 is available at:
http://www.sec.gov/rules/other/2007/33-8794.pdf.
The Commission will issue further notices as appropriate to keep the
public informed of developments relating to enactment of the
Commission's regular appropriation and the effective dates for the
above fee rate changes. These notices will be posted at the SEC's
Internet web site at http://www.sec.gov. (Press Rel. 2007-232)
ENFORCEMENT PROCEEDINGS
COMMISSION VACATES CEASE-AND-DESIST ORDER AGAINST TUDOR INVESTMENT
CORPORATION
The Commission has vacated a Sept. 12, 1996, cease-and-desist order
imposed against Tudor Investment Corporation (Tudor). The order
required Tudor to cease and desist from committing or causing any
violations or future violations of Section 10(a) of the Securities
Exchange Act of 1934 and Exchange Act Rule 10a-1. Exchange Act Rule
10a-1 imposed certain restrictions on short sales of securities. On
July 3, 2007, the Commission repealed Exchange Act Rule 10a-1. The
Commission found that, under the circumstances presented, it was
appropriate to vacate the cease-and-desist order. (Rel. 34-56782; File
No. 3-9077)
IN THE MATTER OF JOHN R. GLUSHKO
On November 14, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange Act of 1934 and Notice of Hearing (Order) against John R.
Glushko of Las Vegas, Nevada, based on the entry of an injunction in
the civil action SEC v. Competitive Technologies, Inc. et al., Civil
Action No. 3:04-CV-1331 in the U.S. District Court for the District of
Connecticut.
On Oct. 26, 2007, the U.S. District Court for the District of
Connecticut entered a Final Judgment of Permanent Injunction enjoining
Glushko from violating Section 17(a) of the Securities Act and
Sections 9(a) and 10(b) of the Exchange Act and Rule 10b-5 thereunder.
The Division of Enforcement alleges in the Order that the Commission's
complaint filed on Aug. 11, 2004, alleges that Glushko, along with an
officer of Competitive Technologies, Inc. (CTT), and five other
current or former registered representatives of broker-dealers
participated in a scheme to manipulate and inflate the price of CTT
stock from at least July 1998 to June 2001. The Complaint further
alleges that the defendants artificially raised and maintained the
price of CTT's stock and created a false or misleading appearance with
respect to the market for CTT stock through manipulative practices
such as placing buy orders at or near the close of the market in order
to inflate the reported closing price (marking the close), placing
successive buy orders in small amounts at increasing prices (painting
the tape), and using accounts they controlled or serviced to place
pre-arranged buy and sell orders in virtually identical amounts
(placing matched trades).
A hearing will be scheduled before an administrative law judge to
determine whether the allegations contained in the Order are true, to
provide Glushko an opportunity to dispute the allegations, and to
determine what, if any, remedial action is appropriate and in the
public interest pursuant to Section 15(b) of the Exchange Act. The
Order requires the Administrative Law Judge to issue an initial
decision no later than 210 days from the date of service of the Order,
pursuant to Rule 360(a)(2) of the Commission's Rules of Practice.
(Rel. 34-56785; File No. 3-12888)
IN THE MATTER OF EARL SHAWN CASIAS
An Administrative Law Judge has issued an Order Making Findings and
Imposing Remedial Sanction by Default (Default Order) in the matter of
Earl Shawn Casias. The Order Instituting Proceedings alleged that, on
Sept. 5, 2007, the U.S. District Court for the Southern District of
Texas permanently enjoined Casias from future violations of Sections
5(a), 5(c), and 17(a) of the Securities Act of 1933, Section 10(b) of
the Securities Exchange Act of 1934, Exchange Act Rule 10b-5, and Rule
101 of Securities and Exchange Commission Regulation M.
The Default Order concludes that, pursuant to Section 15(b)(6) of the
Exchange Act, it is in the public interest to bar Casias from
associating with any broker or dealer. (Rel. 34-56788; File No. 3-
12802)
IN THE MATTER OF JEFFREY D. MITCHELL
On November 14, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions
(Order) against Jeffrey D. Mitchell. Mitchell, a Spokane, Washington
resident and a principal of National Marketing Solutions, L.L.C.
received transaction based compensation earned from the sale of the
Capital Holdings offering. At no time during the Capital Holdings
offering was Mitchell registered as a broker-dealer with the
Commission or with any state. The Order finds that on Oct. 23, 2007, a
judgment was entered against Mitchell permanently enjoining him from
future violations of Sections 5(a), 5(c) and 17(a) of the Securities
Act of 1933 (Securities Act) [15 U.S.C. §§ 77e(a), 77e(c) and 77q(a)],
and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934
(Exchange Act) [15 U.S.C. §§ 78j(b) and 78o(a)] and Rule 10b-5
promulgated thereunder [17 C.F.R. § 240.10b-5], in the civil action
captioned Securities and Exchange Commission v. Capital Holdings,
L.L.C., et al., Civil Action No. 03-RB-0923, in the U.S. District
Court for the District of Colorado.
The Commission's complaint alleged that Capital Holdings, L.L.C.,
Smitty's Investments, LLC, Capital Holdings Int., LLC and Monarch
Capital Holdings LLC, and their principals defrauded investors by
falsely promising that: (1) investor funds would be used as collateral
to facilitate leveraged trading of financial instruments issued by
major banks and governments and that investors would share in the
trading profits; (2) investors would earn a fixed monthly return
ranging from 2% to 15%; (3) the safety of invested principal would be
guaranteed; and (4) investors' funds would be fully insured. The
complaint also alleged that there is no trading program and that the
defendants regularly paid undisclosed sales commissions, Ponzi
payments and personal expenses with investor funds.
Based on the above, the Order bars Mitchell from association with any
broker or dealer. Jeffrey D. Mitchell consented to the issuance of the
Order without admitting or denying any of the findings in the Order,
except as to the Commission's jurisdiction over him, the subject
matter of the proceedings, and the entry of the injunction against
him, which are admitted. (Rel. 34-56791; File No. 3-12891)
SEC FILES CIVIL ACTION AND OBTAINS ASSET FREEZE IN CONNECTION WITH
WIDESPREAD REAL ESTATE-BASED OFFERING FRAUD
The Commission announced that today it filed a civil action in the
U.S. District Court for the Southern District of Florida against James
Thomas Webb and several companies that he owns and controls alleging
that they engaged in a real estate-based fraudulent investment scheme
that raised at least $8.4 million from more than 80 investors. In
addition to Webb, the Commission's complaint names as defendants
CitiRise Redevelopment, LLC (a North Carolina limited liability
company), CitiRise Redevelopment, LLC (a Florida limited liability
company), Progressive Redevelopment, LLC, and Alpine Properties, LLC.
According to the complaint, Webb and his companies falsely represented
to investors that, in exchange for their investment, the defendants
would generate substantial investment returns through the purchase,
renovation and resale of "distressed" residential real estate.
Instead, according to the complaint, Webb routinely used investor
funds for his own purposes, including to fund his personal bank
accounts and to pay for personal expenses, such as leases on exotic
cars and recreation travel. The Commission's complaint also names as
relief defendants Webb's wife, Sharon Sloan-Webb, and two other
entities owned or controlled by Webb and/or his wife, Majestic
Redevelopment, LLC and Webb Builders LLC.
In its filing, the Commission sought, on an emergency basis, a court
order freezing the defendants' and relief defendants' assets during
the pendency of the case and an order requiring the defendants and
relief defendants to provide a verified accounting for, among other
things, the receipt and disbursement of all investor funds. The court
entered the emergency Order today granting this relief and set an
initial hearing date of Nov. 26, 2007. The Commission's complaint
alleges that the defendants violated Sections 5(a), 5(c), and 17(a) of
the Securities Act of 1933 and Section 10(b) of the Securities
Exchange Act of 1934 and Exchange Act Rule 10b-5. In addition to the
emergency relief, the Commission's complaint seeks a judgment
permanently enjoining the defendants from violating these provisions
of the securities laws, disgorgement of ill-gotten gains with
prejudgment interest, and civil penalties. The Commission also seeks
from each relief defendant disgorgement off ill-gotten gains with
prejudgment interest. [SEC v. James Thomas Webb, et al., Civil Action
No. 07-61655, (DMM) S.D. Fla.] (LR-20364)
SELF-REGULATORY ORGANIZATIONS
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission, pursuant to Section 19(b)(2) of the Securities
Exchange Act of 1934, granted accelerated approval of a proposed rule
change (SR-ISE-2007-93) filed by the International Securities Exchange
to send P/A Orders through Linkage prior to the opening of trading.
Publication is expected in the Federal Register during the week of
November 19. (Rel. 34-56781)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
A proposed rule change and Amendment No. 1 thereto (SR-CHX-2007-25)
filed by the Chicago Stock Exchange to eliminate references to the ITS
Plan and other now-obsolete matters has become effective under Section
19(b)(3)(A) under the Securities Exchange Act of 1934. Publication is
expected in the Federal Register during the week of November 19. (Rel.
34-56784)
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:
publicinfo@sec.gov. In most cases, this information is also available
on the Commission's website: www.sec.gov.
S-3 KONA GRILL INC, 7150 EAST CAMELBACK ROAD, SUITE 220, SCOTTSDALE, AZ,
85251, 4809228100 - 950,000 ($15,314,000.00) Equity, (File 333-147362 -
Nov. 14) (BR. 05B)
SB-2 Biostar Pharmaceuticals, Inc., 11 EAST 86TH STREET, SUITE 19 B,
NEW YORK, NY, 10028, 1-646-623-6999 - 2,177,176 ($1,817,942.00) Other,
(File 333-147363 - Nov. 14) (BR. 01)
SB-2 WESCORP ENERGY INC, SUITE 770, 435 - 4TH AVE SW, CALGARY, A0, T2P3A8,
(403) 206-3990 - 25,275,319 ($16,898,540.17) Equity, (File 333-147364 -
Nov. 14) (BR. 04B)
SB-2 TC Power Management Corp., PO BOX 132, PROVIDENCIALES, W7, 11111,
649-231-6559 - 2,000,000 ($200,000.00) Equity, (File 333-147365 -
Nov. 14) (BR. 08)
SB-2 Pelcor, Inc., 109 MILLS COVER, VICTORIA, A1, V9B 6RB, 250-992-1895 -
2,500,000 ($100,000.00) Equity, (File 333-147366 - Nov. 14) (BR. 02)
SB-2 Infrared Systems International, 15 N. LONGSPUR DRIVE, THE WOODLANDS,
TX, 77380, 2814191955 - 2,426,353 ($24,263.53) Equity,
(File 333-147367 - Nov. 14) (BR. 10)
SB-2 GARNER INVESTMENTS INC, 10200 W. 44TH AVENUE, SUITE 400, WHEAT RIDGE,
CO, 80033, 3034228127 - 5,780,000 ($578,000.00) Equity,
(File 333-147368 - Nov. 14) (BR. 09)
S-3ASR AVERY DENNISON CORPORATION, 150 N ORANGE GROVE BLVD, PASADENA, CA,
91103, 6263042000 - 0 ($0.00) Other, (File 333-147369 - Nov. 14)
(BR. 09A)
S-4 MARKWEST ENERGY PARTNERS L P, 1515 ARAPAHOE STREET, TOWER 2, SUITE 700,
DENVER, CO, 80202-2126, 303-925-9200 - 0 ($498,384,566.30) Equity,
(File 333-147370 - Nov. 14) (BR. 04A)
S-3ASR MANITOWOC CO INC, 2400 SOUTH 44TH STREET, MANITOWOC, WI, 54221-0066,
9206522222 - 0 ($0.00) Other, (File 333-147371 - Nov. 14) (BR. 10B)
SB-2 Power of The Dream Ventures Inc, 1095 BUDAPEST, SOROKSARI, K5, 94-96,
3614566061 - 12,532,000 ($31,330,000.00) Equity, (File 333-147372 -
Nov. 14) (BR. 06C)
F-6 HITACHI LTD, 6-6, MARUNOUCHI 1-CHOME, CHIYODA-KU, TOKYO JAPAN, M0,
100-8280, 813-3258-1111 - 100,000,000 ($5,000,000.00) ADRs/ADSs,
(File 333-147373 - Nov. 14) (BR. 06A)
S-8 CEPHALON INC, 41 MOORES ROAD, FRAZER, PA, 19355, 6103440200 -
0 ($76,300,000.00) Equity, (File 333-147374 - Nov. 14) (BR. 01A)
SB-2 Nascent Wine Company, Inc., 2355-A PASEO DE LAS AMERICAS, SAN DIEGO,
CA, 92154, (619) 661-0458 - 0 ($48,674,276.00) Equity,
(File 333-147376 - Nov. 14) (BR. 09B)
S-8 AUTOMATIC DATA PROCESSING INC, ONE ADP BOULVARD, ROSELAND, NJ, 07068,
9739747849 - 150,000 ($7,041,000.00) Equity, (File 333-147377 -
Nov. 14) (BR. 03A)
S-4 FIRST NIAGARA FINANCIAL GROUP INC, 6950 SOUTH TRANSIT ROAD, PO BOX 514,
LOCKPORT, NY, 14095, 7166257500 - 0 ($64,916,998.00) Equity,
(File 333-147378 - Nov. 14) (BR. 07B)
S-8 ATHERSYS, INC / NEW, 3201 CARNEGIE AVENUE, CLEVELAND, OH, 44115-2634,
216-431-9900 - 1,465,000 ($6,929,450.00) Equity, (File 333-147379 -
Nov. 14) (BR. 01C)
S-8 ATHERSYS, INC / NEW, 3201 CARNEGIE AVENUE, CLEVELAND, OH, 44115-2634,
216-431-9900 - 3,035,000 ($14,355,550.00) Equity, (File 333-147380 -
Nov. 14) (BR. 01C)
S-4 QWEST CORP, 1801 CALIFORNIA ST, SUITE 2950, DENVER, CO, 80202,
3038963099 - 0 ($500,000,000.00) Debt, (File 333-147381 - Nov. 14)
(BR. 11B)
S-8 ArcelorMittal, 19 AVE DE LA LIBERTE, L-2930 LUXEMBOURG,
R.C.S. LUXEMBOURG, N4, 00000, 35247922151 - 0 ($730,201,631.64) Equity,
(File 333-147382 - Nov. 14) (BR. 06A)
S-8 SELECTIVE INSURANCE GROUP INC, 40 WANTAGE AVENUE, BRANCHVILLE, NJ,
07890, 9739483000 - 0 ($40,000,000.00) Other, (File 333-147383 -
Nov. 14) (BR. 01C)
S-3 FUSHI INTERNATIONAL INC, 1 SHUANG QIANG ROAD, JINZHOU, DALIAN, F4,
116100, (860)435-7000 - 5,743,143 ($93,498,368.00) Equity,
(File 333-147384 - Nov. 14) (BR. 06A)
S-8 ARYx Therapeutics, Inc., 6300 DUMBARTON CIRCLE, FREMONT, CA, 94555,
(510) 585-2200 - 0 ($10,591,092.78) Equity, (File 333-147385 - Nov. 14)
(BR. 01C)
S-8 LADENBURG THALMANN FINANCIAL SERVICES INC,
590 MADISON AVENUE 34TH FLOOR, NEW YORK, NY, 10022, 5164701000 -
0 ($5,730,000.00) Equity, (File 333-147386 - Nov. 14) (BR. 08A)
S-8 ZIPREALTY INC, 2000 POWELL STREET, SUITE 1555, EMERYVILLE, CA, 94608,
510-735-2600 - 180,000 ($1,202,400.00) Equity, (File 333-147387 -
Nov. 14) (BR. 08B)
S-1 MAGNACHIP SEMICONDUCTOR LLC, C/O MAGNACHIP SEMICONDUCTOR S.A.,
10, RUE DE VIANDEN, LUXEMBOURG, N4, L-2680, (352) 45-62-62 -
0 ($575,000,000.00) Equity, (File 333-147388 - Nov. 14) (BR. 10B)
S-8 ILLUMINA INC, 9885 TOWNE CENTRE DRIVE, SAN DIEGO, CA, 92121,
8582024500 - 0 ($176,474,817.27) Equity, (File 333-147389 - Nov. 14)
(BR. 10B)
SB-2 TAGALDER GLOBAL INVESTMENT, INC.,
ROOM 3505-06, 35TH FL. EDINBURGH TOWER, THE LANDMARK, 15 QUEEN, K3,
00000, 852 2736 2111 - 6,456,000 ($2,646,960.00) Equity,
(File 333-147390 - Nov. 14) (BR. 09)
S-3ASR Fidelity National Financial, Inc., 601 RIVERSIDE AVENUE, JACKSONVILLE,
FL, 32204, 904-854-8100 - 0 ($0.00) Other, (File 333-147391 - Nov. 14)
(BR. 01C)
S-3D NEWBRIDGE BANCORP, P O BOX 867, ONE LSB PLZ, LEXINGTON, NC, 27293-0867,
3362486500 - 0 ($32,400,000.00) Equity, (File 333-147392 - Nov. 14)
(BR. 07A)
S-8 NEWBRIDGE BANCORP, P O BOX 867, ONE LSB PLZ, LEXINGTON, NC, 27293-0867,
3362486500 - 0 ($15,414,160.00) Equity, (File 333-147393 - Nov. 14)
(BR. 07A)
SB-2 Sewell Ventures Inc., 1671 BEAVER DAM ROAD, POINT PLEASANT, NJ, 08742,
732-612-1141 - 0 ($96,000.00) Equity, (File 333-147394 - Nov. 14) (BR. )
F-1 CGEN DIGITAL MEDIA CO LTD, SUITE 3213-3214, TOWER B,
SHANGHAI CITY CENTER, NO. 100 ZUNYI ROAD, SHANGHAI, F4, 200051,
(86-21) 6237 2250 - 0 ($100,000,000.00) ADRs/ADSs, (File 333-147395 -
Nov. 14) (BR. )
SB-2 SIONIX CORP, 9272 JERONIMO RD, SUITE 108, IRVINE, CA, 92618,
9494549283 - 42,070,390 ($12,200,413.00) Equity, (File 333-147396 -
Nov. 14) (BR. 10C)
S-8 SCOTTS MIRACLE-GRO CO, 14111 SCOTTSLAWN ROAD, MARYSVILLE, OH, 43041,
9376440011 - 300,000 ($11,361,000.00) Equity, (File 333-147397 -
Nov. 14) (BR. 05C)
S-1 PROS Holdings, Inc., 3100 MAIN STREET, SUITE 900, HOUSTON, TX, 77002,
713-335-5151 - 0 ($103,097,500.00) Equity, (File 333-147398 - Nov. 14)
(BR. 03C)
S-8 MEDTRONIC INC, 710 MEDTRONIC PKWY, MS LC300, MINNEAPOLIS, MN, 55432,
7635144000 - 0 ($116,761,202.37) Equity, (File 333-147399 - Nov. 14)
(BR. 10B)
S-8 ORACLE CORP, 500 ORACLE PARKWAY, MAIL STOP 5 OP 7, REDWOOD CITY, CA,
94065, 6505067000 - 413,444 ($8,264,745.56) Equity, (File 333-147400 -
Nov. 14) (BR. 03B)
S-8 TELEDYNE TECHNOLOGIES INC, 1049 CAMINO DOS RIOS, THOUSAND OAKS, CA,
91360, 805-373-4545 - 0 ($9,433,403.00) Equity, (File 333-147401 -
Nov. 14) (BR. 06B)
S-8 SONY CORP, 7-1, KONAN, 1-CHOME, MINATO-KU, TOKYO, M0, 108-0075,
0367482180 - 0 ($77,318,172.72) Equity, (File 333-147402 - Nov. 14)
(BR. 11B)
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:
publicinfo@sec.gov. In most cases, this information is also available
on the Commission's website: www.sec.gov.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
------------------------------------------------------------------------------------------------------
ABLEAUCTIONS COM INC FL 2.02,9.01 11/14/07
ACCESS PHARMACEUTICALS INC DE 1.01,3.02,7.01,9.01 11/14/07
ACE LTD D0 1.01,1.02,2.03,9.01 11/08/07
ACORN FACTOR, INC. DE 1.01,2.01,2.03,9.01 11/07/07
ADEPT TECHNOLOGY INC CA 7.01,9.01 11/08/07
ADVISORY BOARD CO DE 5.03,9.01 11/12/07
AeroGrow International, Inc. NV 1.01,2.02,5.02,7.01,9.01 11/14/07
AES CORP DE 8.01,9.01 11/14/07
AFFILIATED COMPUTER SERVICES INC DE 8.01,9.01 11/13/07
Affinion Group, Inc. DE 2.02,9.01 11/13/07
AIRNET SYSTEMS INC OH 2.02,9.01 11/12/07
ALASKA PACIFIC BANCSHARES INC AK 9.01 09/30/07
ALLIANCEBERNSTEIN HOLDING L.P. DE 8.01 11/14/07
ALLIANCEBERNSTEIN L.P. DE 8.01 11/14/07
ALLTEL CORP DE 8.01,9.01 11/14/07
ALPHA INNOTECH CORP DE 2.02 11/14/07
ALSERES PHARMACEUTICALS INC /DE DE 2.02,9.01 11/14/07
Alternative Loan Trust 2007-J2 DE 8.01,9.01 05/29/07
ALTIGEN COMMUNICATIONS INC 2.02,9.01 07/25/07
ALTRUST FINANCIAL SERVICES INC 1.01,9.01 11/13/07
AMBASSADORS INTERNATIONAL INC DE 5.02,9.01 11/09/07
American Community Newspapers Inc. DE 1.01,2.02,9.01 11/13/07
AMERICAN COMMUNITY PROPERTIES TRUST MD 2.02 09/30/07
AMERICAN EXPRESS CO NY 7.01 11/13/07
AMERICAN PUBLIC EDUCATION INC DE 1.01,3.02,5.03 11/08/07
AMERICAN SHARED HOSPITAL SERVICES CA 2.02,9.01 11/14/07
American Unity Investments, Inc. FL 5.02 11/13/07
AMERIGAS PARTNERS LP DE 2.02,9.01 11/14/07
AMERITRANS CAPITAL CORP DE 2.02,9.01 09/30/07
ANSOFT CORP PA 2.02,9.01 11/14/07
ANWORTH MORTGAGE ASSET CORP MD 2.02,9.01 11/14/07
AP PHARMA INC /DE/ DE 2.02 11/13/07
APARTMENT INVESTMENT & MANAGEMENT CO MD 7.01,9.01 11/14/07
APPLIED MATERIALS INC /DE DC 2.02,9.01 11/14/07
ARAMARK CORP DE 2.02,9.01 11/14/07
ARCADIA RESOURCES, INC NV 2.02,5.05,9.01 11/07/07
ARES CAPITAL CORP MD 1.01,9.01 11/13/07
Argo Group International Holdings, Lt 8.01 11/13/07
ARIZONA LAND INCOME CORP AZ 5.02 11/12/07
ARRIS GROUP INC DE 8.01,9.01 11/14/07
ASCENDANT SOLUTIONS INC DE 2.02 11/14/07
Ascent Solar Technologies, Inc. DE 3.01,9.01 11/14/07
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 11/14/07
Asia Electrical Power International G 8.01 11/13/07
ASIA PREMIUM TELEVISION GROUP NV 5.03 11/14/07
ASPEN INSURANCE HOLDINGS LTD D0 7.01,9.01 11/14/07
ATHERSYS, INC / NEW DE 2.02,9.01 11/14/07
ATSI COMMUNICATIONS INC/DE NV 2.02,9.01 11/14/07
ATWOOD OCEANICS INC TX 7.01 11/14/07
ATWOOD OCEANICS INC TX 3.03,9.01 11/14/07
AUBURN NATIONAL BANCORPORATION INC DE 8.01,9.01 11/13/07
Aurora Oil & Gas CORP UT 5.02 11/14/07
AUTOBYTEL INC DE 2.02,9.01 11/08/07
Avantair, Inc DE 2.02,9.01 11/14/07
AVP INC DE 1.01,5.02,9.01 11/07/07
AXESSTEL INC NV 3.01,9.01 11/08/07
AXIS CAPITAL HOLDINGS LTD 7.01,9.01 11/14/07
B2B INTERNET HOLDRSSM TRUST NY 8.01,9.01 11/08/07
BACKWEB TECHNOLOGIES LTD 2.02,9.01 11/14/07
Bank of the Carolinas CORP NC 1.02,7.01,9.01 11/14/07
BANKATLANTIC BANCORP INC FL 7.01,9.01 11/09/07
BEA SYSTEMS INC DE 3.01,9.01 11/09/07
BEA SYSTEMS INC DE 5.02,9.01 11/07/07
BEA SYSTEMS INC DE 1.01,9.01 11/07/07
BEA SYSTEMS INC DE 5.03,9.01 11/07/07
BENACQUISTA GALLERIES INC NV 1.01,5.01,5.02,8.01,9.01 11/12/07
BERLINER COMMUNICATIONS INC DE 2.02,9.01 11/14/07
BIG CAT ENERGY CORP 7.01,9.01 11/14/07
BIO KEY INTERNATIONAL INC MN 2.02,9.01 11/13/07
Biodel Inc 1.01,5.02,9.01 11/12/07
BIODELIVERY SCIENCES INTERNATIONAL IN DE 4.02 11/09/07
BIOTECH HOLDRS TRUST 9.01 11/08/07
BLACK HAWK EXPLORATION 1.01,9.01 11/14/07
BLONDER TONGUE LABORATORIES INC DE 2.02,9.01 11/14/07
BLUEFLY INC DE 2.02,9.01 11/13/07
Bois d Arc Energy, Inc. NV 8.01,9.01 11/14/07
BOLIVAR MINING CORP. NV 8.01 11/14/07
BORGWARNER INC DE 1.01,9.01 10/17/07
BOSS HOLDINGS INC DE 1.01 11/13/07
BOSTON CAPITAL REAL ESTATE INVESTMENT MD 8.01,9.01 11/13/07
BRIDGETECH HOLDINGS INTERNATIONAL INC DE 5.02 10/24/07
BROADBAND HOLDRS TRUST 8.01,9.01 11/07/07
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 8.01,9.01 11/14/07
BROADVIEW INSTITUTE INC MN 2.02,9.01 11/14/07
BUILD A BEAR WORKSHOP INC DE 4.02 11/08/07
CABCO SERIES 2002-1 TRUST (AOL TIME W DE 8.01,9.01 11/01/07
CACI INTERNATIONAL INC /DE/ DE 5.02,9.01 11/14/07
CADENCE PHARMACEUTICALS INC 2.02,9.01 11/14/07
CAMINOSOFT CORP CA 1.01,9.01 11/12/07
CANTERBURY PARK HOLDING CORP MN 2.02,9.01 11/13/07
Capital Auto Receivables Asset Trust DE 8.01,9.01 11/14/07
CARDIOGENESIS CORP /CA CA 2.02,9.01 11/14/07
Cardium Therapeutics, Inc. 8.01,9.01 11/14/07
CARDTRONICS INC DE 2.02 11/14/07
CASTLE GROUP INC 2.02,9.01 11/14/07
CELSION CORP MD 1.01,2.03,9.01 11/09/07
CELSION CORP MD 2.02,9.01 11/08/07
CENTRAL PACIFIC FINANCIAL CORP HI 5.03,9.01 10/31/07
CERTIFIED TECHNOLOGIES CORP 8.01,9.01 11/12/07
CHAMPION INDUSTRIES INC WV 2.01,9.01 09/14/07 AMEND
CHARLOTTE RUSSE HOLDING INC 2.02,9.01 11/14/07
Chelsea Therapeutics International, L DE 8.01,9.01 11/08/07
CHEMOKINE THERAPEUTICS CORP DE 2.02,9.01 11/14/07
CHENIERE ENERGY INC DE 7.01,9.01 11/13/07
China Direct, Inc DE 2.02,9.01 11/14/07
CHINA SHEN ZHOU MINING & RESOURCES, I NV 2.02,9.01 11/14/07
CHINACAST EDUCATION CORP DE 2.02 11/13/07
CHINACAST EDUCATION CORP DE 8.01,9.01 11/14/07
CIT GROUP INC DE 8.01,9.01 11/13/07
CITIGROUP INC DE 1.01,9.01 11/14/07
CLEVELAND CLIFFS INC OH 8.01,9.01 11/13/07
CLEVELAND CLIFFS INC OH 8.01 11/13/07
CLINICAL DATA INC DE 2.02,9.01 11/14/07
COACTIVE MARKETING GROUP INC DE 2.02,9.01 11/12/07
COBIZ FINANCIAL INC CO 7.01,9.01 11/13/07
Coleman Cable, Inc. DE 2.02,5.02,9.01 11/09/07
COLONIAL PROPERTIES TRUST AL 7.01,9.01 11/14/07
COMERICA INC /NEW/ DE 5.03,9.01 11/13/07
COMMERCIAL NATIONAL FINANCIAL CORP /P PA 8.01 11/14/07
CONAGRA FOODS INC /DE/ DE 8.01,9.01 11/14/07
CONCHO RESOURCES INC DE 2.02,9.01 11/13/07
Consolidated Communications Holdings, DE 8.01 11/13/07
CONSOLIDATED GRAPHICS INC /TX/ TX 1.01,2.03,9.01 11/09/07
CONSTELLATION BRANDS, INC. DE 1.01,7.01,9.01 11/09/07
CONSTELLATION BRANDS, INC. DE 2.05,7.01,9.01 11/11/07
COOPER COMPANIES INC DE 7.01,9.01 11/14/07
CORUS BANKSHARES INC MN 8.01,9.01 11/13/07
COUNTRYWIDE FINANCIAL CORP DE 9.01 10/26/07 AMEND
COVER ALL TECHNOLOGIES INC DE 2.02,9.01 11/14/07
Credit Suisse Commercial Mortgage Tru DE 9.01 11/14/07
CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 11/14/07
CROWN CRAFTS INC DE 2.02,9.01 11/14/07
Crystal River Capital, Inc. MD 1.01,9.01 11/08/07
CTI INDUSTRIES CORP DE 2.02,9.01 11/12/07
CUBIST PHARMACEUTICALS INC DE 5.02,9.01 11/08/07
CWABS Asset-Backed Certificates Trust DE 8.01,9.01 10/30/07
CYTRX CORP DE 2.02,9.01 11/14/07
DAKTRONICS INC /SD/ SD 2.02,9.01 10/27/07
DARLING INTERNATIONAL INC DE 7.01,9.01 11/09/07
DAWSON GEOPHYSICAL CO TX 2.02,9.01 11/14/07
DAYSTAR TECHNOLOGIES INC DE 5.02,9.01 11/08/07
DAYTON SUPERIOR CORP DE 2.02,9.01 11/13/07
DCP Midstream Partners, LP DE 7.01,9.01 11/14/07
DEERE & CO DE 8.01 11/14/07
DEERE & CO DE 7.01 11/14/07
DEFENSE INDUSTRIES INTERNATIONAL INC NV 2.02,4.02 11/14/07
DELTA AIR LINES INC /DE/ DE 8.01,9.01 11/14/07
DELTA AIR LINES INC /DE/ DE 8.01,9.01 11/14/07
DESERT CAPITAL REIT INC MD 4.01 11/14/07
DESIGN WITHIN REACH INC DE 2.02,9.01 11/08/07
Digital Music Group, Inc. DE 8.01,9.01 11/13/07
Digital Realty Trust, Inc. MD 7.01,8.01,9.01 11/14/07
DISPATCH AUTO PARTS, INC. 3.03 11/02/07
DIVX INC 1.01,9.01 11/07/07
DIVX INC 5.02 10/31/07 AMEND
DOMINION HOMES INC OH 1.01,9.01 11/09/07
DOR BIOPHARMA INC DE 2.02,9.01 11/14/07
DORAL FINANCIAL CORP PR 7.01,9.01 11/12/07
DOVER CORP DE 5.03,9.01 11/08/07
DOVER CORP DE 1.01,1.02,2.03,8.01,9.01 11/09/07
DOVER CORP DE 5.02 11/08/07 AMEND
DPAC TECHNOLOGIES CORP CA 2.02,9.01 11/14/07
DREAMS INC UT 2.02,9.01 11/14/07
DreamWorks Animation SKG, Inc. 1.01,8.01,9.01 11/08/07
DRI CORP NC 2.02,7.01,9.01 11/14/07
DSI REALTY INCOME FUND IX CA 4.01 09/30/07
DSI REALTY INCOME FUND VI CA 4.01 09/30/07
DSI REALTY INCOME FUND VII CA 4.01 09/30/07
DSI REALTY INCOME FUND VIII CA 4.01 09/30/07
DSI REALTY INCOME FUND X CA 4.01 09/30/07
DSI REALTY INCOME FUND XI CA 4.01 09/30/07
DTE ENERGY CO MI 2.02,9.01 11/14/07
DUKE REALTY CORP IN 7.01,9.01 11/14/07
DUKE REALTY LIMITED PARTNERSHIP/ IN 7.01,9.01 11/14/07
DUNE ENERGY INC DE 8.01,9.01 05/01/07
DURA AUTOMOTIVE SYSTEMS INC DE 7.01 11/13/07
DVL INC /DE/ DE 1.01 08/10/07
EAGLE ROCK ENERGY PARTNERS L P DE 2.02,9.01 11/13/07
EDGEWATER TECHNOLOGY INC/DE/ DE 2.02,9.01 10/24/07 AMEND
EMERGING VISION INC NY 8.01 11/08/07
EMERGING VISION INC NY 1.01 11/05/07
Employers Holdings, Inc. NV 9.01 11/13/07
Emrise CORP DE 2.02,9.01 11/12/07
ENCOMPASS HOLDINGS, INC. NV 5.02 11/14/07
ENER1 INC FL 7.01,9.01 11/14/07
ENERGY FOCUS, INC/DE DE 2.02,9.01 11/06/07
EnerLume Energy Management Corp. CO 2.02,9.01 11/14/07
ENTERGY GULF STATES INC TX 5.03,9.01 11/14/07
Enterprise GP Holdings L.P. DE 1.01,2.03,9.01 11/08/07
ENVIRONMENTAL SOLUTIONS WORLDWIDE INC 2.02,7.01,9.01 11/13/07
Epic Bancorp 5.03,8.01,9.01 11/07/07
EQUITY LIFESTYLE PROPERTIES INC MD 8.01 11/14/07
ESPEED INC DE 5.02 11/07/07
ESTEE LAUDER COMPANIES INC DE 5.02,9.01 11/08/07
ETHAN ALLEN INTERIORS INC DE 8.01,9.01 11/13/07
EUROPE 2001 HOLDRS TRUST NY 8.01,9.01 11/07/07
EXPEDITORS INTERNATIONAL OF WASHINGTO WA 2.02,9.01 11/13/07
EYI INDUSTRIES INC. 8.01 11/13/07
EZENIA INC DE 5.02,9.01 11/09/07
Federal Home Loan Bank of Chicago X1 5.02,7.01,9.01 11/14/07
Federal Home Loan Bank of Chicago X1 2.03 11/07/07
FEDERAL MOGUL CORP MI 1.03,8.01,9.01 11/08/07
FiberTower CORP DE 2.02,9.01 11/14/07
FIFTH THIRD BANCORP OH 7.01,9.01 11/14/07
FIRST COMMUNITY BANK CORP OF AMERICA FL 8.01,9.01 11/14/07
FIRST CONSULTING GROUP INC DE 8.01 11/08/07
FIRST INTERSTATE BANCSYSTEM INC MT 8.01 11/13/07
FIRST MID ILLINOIS BANCSHARES INC DE 5.03,9.01 11/13/07
FIRST MID ILLINOIS BANCSHARES INC DE 8.01 11/13/07
FIRST POTOMAC REALTY TRUST MD 7.01 11/14/07
FIRST UNITED CORP/MD/ MD 5.03,9.01 11/04/07
FIRST WEST VIRGINIA BANCORP INC WV 2.02,9.01 11/09/07
FIRSTPLUS FINANCIAL GROUP INC NV 1.01,5.02,9.01 11/13/07
FIVE STAR PRODUCTS INC DE 2.02,9.01 11/14/07
Fleurs De Vie, Inc. NV 5.02 11/11/07
FLORIDA PUBLIC UTILITIES CO FL 2.02,9.01 11/14/07
FOAMEX INTERNATIONAL INC DE 2.02,9.01 11/12/07
FONAR CORP DE 2.02 09/30/07
FORTUNE BRANDS INC DE 8.01,9.01 11/09/07
FOSTER WHEELER LTD D0 5.02,9.01 11/12/07
FRANKLIN COVEY CO UT 2.02,8.01,9.01 11/13/07
FRANKLIN ELECTRONIC PUBLISHERS INC PA 2.02,5.03,9.01 11/12/07
FUSHI INTERNATIONAL INC NV 8.01,9.01 11/14/07
GateHouse Media, Inc. DE 2.02,8.01,9.01 11/13/07
GATEWAY ENERGY CORP/NE DE 2.01,9.01 09/06/07 AMEND
GCA III ACQUISITION CORP DE 1.01,2.03,3.02,5.01,5.02,9.01 11/07/07
GENERAL GROWTH PROPERTIES INC DE 2.02,7.01,9.01 11/12/07
GENERAL GROWTH PROPERTIES INC DE 7.01,9.01 11/13/07
General Moly, Inc ID 4.02 11/07/07
GENIUS PRODUCTS INC DE 2.02,7.01,9.01 11/14/07
GEOPETRO RESOURCES CO 7.01,9.01 11/13/07
GEORESOURCES INC CO 2.02,9.01 11/12/07
GETTY REALTY CORP /MD/ MD 5.02,9.01 11/13/07
Global Cash Access Holdings, Inc. DE 8.01,9.01 11/14/07
Global Telecom & Technology, Inc. DE 1.01,3.02,9.01 11/12/07
GlobalOptions Group, Inc. DE 2.02,9.01 11/14/07
GLOBALSANTAFE CORP 5.02,8.01,9.01 11/08/07
Globalstar, Inc. DE 2.02,9.01 11/14/07
GLOWPOINT INC DE 2.02,8.01,9.01 11/14/07
GMAC LLC DE 5.02,9.01 11/13/07
GRANT PRIDECO INC DE 5.02 11/09/07
GREAT LAKES BANCORP, INC. DE 8.01,9.01 11/14/07
GREATER COMMUNITY BANCORP NJ 8.01,9.01 11/13/07
GREEN PLAINS RENEWABLE ENERGY, INC. IA 3.02,9.01 11/14/07
GROWERS DIRECT COFFEE COMPANY, INC. NV 4.01,9.01 11/05/07 AMEND
GRYPHON GOLD CORP NV 7.01,9.01 11/14/07
GSE SYSTEMS INC DE 1.01 11/13/07
GTSI CORP DE 2.02,9.01 11/14/07
Guidance Software, Inc. DE 2.02,7.01,9.01 11/14/07
GULF RESOURCES, INC. DE 2.02,7.01,9.01 11/12/07
GULFPORT ENERGY CORP DE 5.02 11/09/07
HALLIBURTON CO DE 8.01 11/13/07
HALOZYME THERAPEUTICS INC NV 1.01 11/12/07
HANCOCK HOLDING CO MS 8.01,9.01 11/13/07
HANCOCK HOLDING CO MS 8.01,9.01 11/13/07
Hawaiian Telcom Communications, Inc. DE 2.02,9.01 11/14/07
HD Partners Acquisition CORP CA 8.01,9.01 11/13/07
HEALTH BENEFITS DIRECT CORP DE 2.02,9.01 11/13/07
Health Fitness Corp /MN/ MN 1.01,9.01 09/27/07
HEALTH NET INC DE 7.01 11/14/07
HEALTHSOUTH CORP DE 7.01,9.01 11/14/07
HEMACARE CORP /CA/ CA 2.02,9.01 11/12/07
HERATSI PHARMACEUTICALS DE 1.01,3.02,5.01,5.02,9.01 11/09/07
HEXION SPECIALTY CHEMICALS, INC. NJ 2.02,9.01 11/14/07
hhgregg, Inc. DE 2.02,9.01 11/14/07
Hilltop Holdings Inc. MD 2.02,7.01,9.01 11/09/07
HIRSCH INTERNATIONAL CORP NY 2.02,9.01 11/14/07
HNI CORP IA 5.02,8.01,9.01 11/09/07
Hostopia.com Inc. 2.02,9.01 09/12/07
House of Taylor Jewelry, Inc. NV 9.01 11/12/07
HSBC Finance Corp 7.01,9.01 11/14/07
HSI Asset Loan Obligation Trust 2007- 8.01,9.01 11/14/07
HUDSON CITY BANCORP INC DE 7.01,9.01 11/13/07
HUTTIG BUILDING PRODUCTS INC DE 7.01,9.01 11/14/07
IBASIS INC DE 5.03,9.01 11/08/07
ICONIX BRAND GROUP, INC. DE 1.01,8.01,9.01 11/07/07
IDERA PHARMACEUTICALS, INC. DE 5.02 11/14/07
ILX RESORTS INC AZ 2.02,9.01 11/14/07
IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL 5.02,9.01 11/07/07
IMPERIAL INDUSTRIES INC DE 2.02,9.01 11/14/07
INLAND REAL ESTATE CORP MD 7.01,9.01 11/14/07
INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 11/13/07
INNODATA ISOGEN INC DE 2.02,9.01 11/14/07
INNUITY, INC. /UT/ UT 2.02,9.01 11/14/07
Institutional REIT, Inc. MD 1.02 11/09/07
INSULET CORP DE 2.02,9.01 11/14/07
INTEGRATED BIOPHARMA INC DE 2.02,9.01 09/30/07
Intellect Neurosciences, Inc. 5.02 11/12/07
INTELLIGENT SYSTEMS CORP GA 2.02 11/14/07
INTERLINE BRANDS, INC./DE DE 5.03,9.01 11/14/07
INTERLINK ELECTRONICS INC DE 2.02,9.01 11/14/07
Intermec, Inc. DE 5.02 11/12/07
INTERNATIONAL BUSINESS MACHINES CORP NY 8.01,9.01 11/14/07
INTERNATIONAL WIRE GROUP INC DE 2.02,9.01 11/14/07
INTERNET ARCHITECTURE HOLDRSSM TRUST NY 8.01,9.01 11/08/07
INTERNET HOLDRS TRUST NY 8.01,9.01 11/08/07
INTERNET INFRASTRUCTURE HOLDRSSM TRUS NY 9.01 11/08/07
Intersearch Group Inc FL 2.02,9.01 11/14/07
INVESTOOLS INC DE 2.02,4.02,9.01 11/08/07
IOMEGA CORP DE 5.03,9.01 11/13/07
IRIS INTERNATIONAL INC DE 5.02,9.01 11/07/07
IRONCLAD PERFORMANCE WEAR CORP 2.02,9.01 11/12/07
ISCO INTERNATIONAL INC DE 7.01,9.01 11/13/07
IVAX DIAGNOSTICS INC DE 2.02,9.01 11/14/07
Ivivi Technologies, Inc. NJ 2.02,9.01 11/14/07
J P MORGAN CHASE & CO DE 9.01 11/09/07
JACO ELECTRONICS INC NY 2.02,9.01 11/14/07
JAG MEDIA HOLDINGS INC NV 1.01,2.03,4.02,9.01 11/08/07
JK Acquisition Corp. 5.02,8.01,9.01 11/14/07
K-FED BANCORP 8.01 11/14/07
KAISER ALUMINUM CORP DE 2.02,9.01 11/14/07
KAMAN CORP CT 8.01,9.01 11/14/07
KAMAN CORP CT 8.01,9.01 11/14/07
KANSAS CITY LIFE INSURANCE CO MO 2.02 09/30/07
KANSAS CITY LIFE INSURANCE CO MO 5.02 11/13/07
KBS Real Estate Investment Trust, Inc MD 1.01,2.01,2.03,9.01 11/07/07
KELLY SERVICES INC DE 1.01,2.03,9.01 11/08/07
Kraton Polymers LLC DE 2.02,9.01 08/09/07
KREISLER MANUFACTURING CORP DE 2.02,9.01 11/14/07
L-1 IDENTITY SOLUTIONS, INC. DE 7.01,9.01 11/14/07
LABOR READY INC WA 7.01,9.01 11/14/07
LANGER INC NY 2.02,9.01 11/14/07
LBI MEDIA HOLDINGS INC 2.02,9.01 11/14/07
Lee Fine Arts, Inc. NV 2.01,5.01,5.02 09/17/07
LEGGETT & PLATT INC MO 2.05,2.06,7.01,8.01,9.01 11/13/07
LIMCO-PIEDMONT INC DE 8.01,9.01 11/14/07
LIME ENERGY CO. DE 2.02,9.01 11/14/07
LINCOLN NATIONAL CORP IN 1.01,8.01,9.01 11/12/07
LION INC/WA WA 2.02,9.01 11/14/07
Live Nation, Inc. DE 1.01,9.01 11/08/07
LMI AEROSPACE INC MO 7.01,9.01 11/14/07
LONG-E INTERNATIONAL, INC. UT 5.02,9.01 11/08/07
LONGS DRUG STORES CORP MD 2.02,9.01 11/14/07
LSB FINANCIAL CORP IN 2.02,9.01 11/13/07
LYONDELL CHEMICAL CO DE 8.01,9.01 11/13/07
LYRIS, INC. 2.02,9.01 11/14/07
LYRIS, INC. 2.02,9.01 11/14/07 AMEND
Macy's, Inc. DE 2.02,9.01 11/14/07
MAD CATZ INTERACTIVE INC 2.02,9.01 11/14/07
MANAGEMENT NETWORK GROUP INC 2.02 11/12/07
Mandalay Media, Inc. DE 1.01,3.02,3.03,5.02,9.01 11/07/07
MARINER ENERGY INC DE 7.01,9.01 11/14/07
MARKET 2000 PLUS HOLDRS SM TRUST NY 8.01,9.01 11/08/07
MARKWEST ENERGY PARTNERS L P 8.01,9.01 11/14/07
MARKWEST HYDROCARBON INC DE 8.01,9.01 11/14/07
MATTSON TECHNOLOGY INC DE 5.02,7.01,9.01 11/14/07
MAXXAM INC DE 8.01 11/14/07
MEDCATH CORP DE 2.02,9.01 11/13/07
Medefile International, Inc. NV 5.02,9.01 11/13/07
MEDIA SCIENCES INTERNATIONAL INC 2.02,9.01 09/30/07
MEDIS TECHNOLOGIES LTD DE 8.01,9.01 11/13/07
MEDISTEM LABORATORIES, INC. 2.02,9.01 05/09/07
MEDTOX SCIENTIFIC INC DE 5.03,9.01 11/09/07
MEMRY CORP DE 5.02 11/09/07
MERCK & CO INC NJ 1.01,8.01,9.01 11/09/07
MERCURY COMPUTER SYSTEMS INC MA 5.02 11/13/07
MERRILL LYNCH & CO INC DE 8.01,9.01 11/13/07
MERRILL LYNCH & CO INC DE 8.01,9.01 11/07/07
MERRILL LYNCH & CO INC DE 8.01,9.01 11/08/07
MERRILL LYNCH & CO INC DE 8.01,9.01 11/07/07
METROPCS COMMUNICATIONS INC DE 2.02,9.01 11/14/07
METTLER TOLEDO INTERNATIONAL INC/ DE 5.02 11/12/07
MICREL INC CA 8.01 11/13/07
MICROMET, INC. DE 5.02,8.01,9.01 11/07/07
MICRUS ENDOVASCULAR CORP 5.02,9.01 11/12/07 AMEND
MiddleBrook Pharmaceuticals, Inc. 2.02,9.01 11/14/07
MIDDLETON DOLL CO WI 2.02,9.01 11/14/07
MIDWEST BANC HOLDINGS INC DE 1.02 11/07/07
MIGO SOFTWARE, INC. DE 2.02,9.01 11/14/07
MILACRON INC DE 5.02,9.01 11/08/07
MINGHUA GROUP INTERNATIONAL HOLDINGS NY 1.01,2.01,3.02,4.01,5.01,5.02, 11/12/07
5.03,5.06,9.01
MISSISSIPPI POWER CO MS 8.01,9.01 11/08/07
ML MACADAMIA ORCHARDS L P DE 2.02,9.01 11/13/07
MONRO MUFFLER BRAKE INC NY 8.01,9.01 11/13/07
MONTEREY GOURMET FOODS DE 5.02,9.01 11/06/07
MTM Technologies, Inc. NY 2.02,9.01 11/13/07
MUZAK HOLDINGS LLC DE 2.02,9.01 11/14/07
MxEnergy Holdings Inc 1.01,9.01 11/09/07
MYLAN INC. PA 8.01,9.01 11/14/07
NAREK PHARMACEUTICALS DE 1.01,3.02,5.01,5.02,9.01 11/14/07
NASTECH PHARMACEUTICAL CO INC DE 8.01,9.01 11/13/07
NATIONAL BANKSHARES INC VA 5.03,9.01 11/14/07
NATIONAL BANKSHARES INC VA 7.01,9.01 11/14/07
NATIONAL ENERGY GROUP INC DE 2.02,9.01 11/13/07
NATIONAL PATENT DEVELOPMENT CORP DE 2.02,9.01 11/14/07
NATIONAL PRESTO INDUSTRIES INC WI 4.01,8.01,9.01 11/08/07
NCO Group, Inc. 2.02,7.01,9.01 11/14/07
Neonode, Inc DE 2.02,7.01,9.01 09/30/07
NETWORK APPLIANCE INC CA 2.02,9.01 11/14/07
NETWORK CN INC DE 1.01,3.02,9.01 11/12/07
NeurogesX Inc CA 2.02,9.01 11/14/07
NEVADA GOLD & CASINOS INC NV 1.01,9.01 11/13/07
NEW CENTURY BANCORP INC NC 2.02,8.01,9.01 11/08/07
New England Bancshares, Inc. 2.02,9.01 11/13/07
NEW M&I CORP WI 8.01 11/13/07
NEW M&I CORP WI 8.01,9.01 11/13/07
New Oriental Energy & Chemical Corp. DE 2.02,9.01 11/14/07
NEWMONT MINING CORP /DE/ DE 5.02 11/08/07
NewPage Holding CORP DE 7.01,9.01 11/14/07
NEWS CORP 1.01,2.03 11/14/07
NEXMED INC NV 2.02,9.01 11/14/07
NEXT INC/TN DE 5.02,9.01 11/08/07
NEXTERA ENTERPRISES INC DE 2.02,9.01 11/14/07
NEXTPHASE WIRELESS, INC. NV 3.03,8.01,9.01 10/02/07 AMEND
Nexxus Lighting, Inc. DE 9.01 09/28/07 AMEND
Nielsen CO B.V. P7 2.02,9.01 11/14/07
NOCOPI TECHNOLOGIES INC/MD/ MD 9.01 11/14/07
NORD RESOURCES CORP DE 7.01 11/13/07
NORFOLK SOUTHERN CORP VA 1.01,9.01 11/14/07
NORTH COAST PARTNERS INC DE 5.02 11/06/07
NOVASTAR FINANCIAL INC MD 1.01,9.01 11/07/07
NOVASTAR FINANCIAL INC MD 2.02,9.01 11/14/07
NPS PHARMACEUTICALS INC DE 5.02,9.01 11/09/07
NTR Acquisition Co. DE 7.01,9.01 11/13/07
OAKLEY INC WA 2.01,3.01,3.03,5.01,5.02,8.01, 11/14/07
9.01
OIL SERVICE HOLDRS TRUST NY 8.01,9.01 11/07/07
Oilsands Quest Inc 4.01,8.01,9.01 11/13/07
OMEGA FINANCIAL CORP /PA/ PA 5.02,9.01 11/07/07
OMNI ENERGY SERVICES CORP LA 2.02,9.01 11/08/07
ONEIDA FINANCIAL CORP DE 5.03,9.01 11/13/07
Onstream Media CORP FL 7.01,8.01,9.01 11/14/07
Orange 21 Inc. DE 2.02,9.01 11/14/07
ORASURE TECHNOLOGIES INC DE 7.01,9.01 11/14/07
ORION HEALTHCORP INC DE 2.02,8.01,9.01 11/14/07
Oritani Financial Corp. 1.01,9.01 11/13/07
OXIGENE INC DE 8.01 11/13/07
PARK BANCORP INC DE 2.02,9.01 11/14/07
Patient Portal Technologies, Inc. DE 2.01,2.03,3.02,7.01,9.01 11/02/07
PAVILION BANCORP INC 8.01,9.01 09/30/07
PDL BIOPHARMA, INC. DE 2.02,4.02,9.01 11/08/07
PEOPLES LIBERATION INC DE 2.02,9.01 11/14/07
PEPSICO INC NC 7.01,9.01 11/14/07
PERCEPTRON INC/MI MI 2.02,4.02,9.01 11/11/07
PETSMART INC DE 2.02,9.01 11/14/07
PFSWEB INC DE 2.02 11/13/07
PHARMACEUTICAL HOLDRS TRUST 8.01,9.01 11/08/07
PHARMACOPEIA INC DE 7.01,9.01 11/14/07
PHOENIX COMPANIES INC/DE DE 5.02 11/12/07
PIEDMONT NATURAL GAS CO INC NC 7.01,8.01,9.01 11/01/07
PINNACLE BANCSHARES INC AL 2.02,9.01 11/13/07
PLIANT CORPORORATION DE 7.01,9.01 11/14/07
PORTA SYSTEMS CORP DE 2.02,9.01 11/13/07
POSSIS MEDICAL INC MN 7.01,9.01 11/14/07
POTOMAC BANCSHARES INC WV 2.02 11/14/07
POWERSECURE INTERNATIONAL, INC. DE 7.01,9.01 11/12/07
PRO DEX INC CO 2.02,9.01 11/13/07
PRO PHARMACEUTICALS INC NV 1.01,3.02,9.01 11/09/07
PROELITE, INC. NJ 1.01 11/14/07
PROSPECT CAPITAL CORP MD 8.01,9.01 11/14/07
PROSPECT MEDICAL HOLDINGS INC DE 8.01,9.01 11/14/07
PRUDENTIAL BANCORP INC OF PENNSYLVANI 5.02,9.01 11/08/07
PYRAMID BREWERIES INC WA 2.02,9.01 11/13/07
QSGI INC. DE 2.02,9.01 11/06/07
RadNet, Inc. NY 7.01,9.01 11/14/07
Rand Logistics, Inc. DE 8.01,9.01 11/13/07
Rand Logistics, Inc. DE 7.01,9.01 11/14/07
Redpoint Bio CORP 2.02 11/14/07
REDWOOD TRUST INC MD 5.02 11/10/07
Regency Energy Partners LP DE 2.02,7.01,9.01 11/14/07
REGIONAL BANK HOLDERS SM TRUST NY 8.01,9.01 11/08/07
Renegy Holdings, Inc. DE 1.01,2.01,9.01 11/07/07
RETAIL HOLDRS TRUST NY 9.01 11/07/07
REX ENERGY CORP DE 2.02,9.01 11/14/07
Rockville Financial Inc. 8.01 11/14/07
ROKWADER, INC. 1.01,2.03,9.01 11/13/07
Rosetta Resources Inc. DE 2.02,9.01 11/14/07
ROWAN COMPANIES INC DE 7.01,9.01 11/13/07 AMEND
RUB A DUB SOAP INC CO 1.01,7.01,9.01 11/14/07 AMEND
RURAL/METRO CORP /DE/ DE 2.02,8.01,9.01 11/14/07
SAGEMARK COMPANIES LTD NY 2.03,9.01 11/05/07 AMEND
SAIC, Inc. DE 8.01 11/09/07
Sanford Exploration, Inc. 4.01,9.01 10/25/07
SATCON TECHNOLOGY CORP DE 1.01,2.03,5.02,5.03,9.01 11/07/07
SECURED DIGITAL APPLICATIONS INC DE 2.02,9.01 11/14/07
SemGroup Energy Partners, L.P. DE 2.02,9.01 11/13/07
SEMICONDUCTOR HOLDRS TRUST NY 8.01,9.01 11/07/07
SEPRACOR INC /DE/ DE 5.02 11/12/07
SERVICE CORPORATION INTERNATIONAL TX 7.01,9.01 11/14/07
SERVICEMASTER CO DE 8.01,9.01 11/14/07
SGS International, Inc. DE 2.02,9.01 11/14/07
SHAW GROUP INC LA 4.02,9.01 11/12/07
SHORE BANCSHARES INC MD 5.03,9.01 11/08/07
SI Financial Group, Inc. X1 8.01,9.01 11/14/07
SIGMA ALDRICH CORP DE 8.01,9.01 11/13/07
SILVERLEAF RESORTS INC 5.03,9.01 11/09/07
Sirtris Pharmaceuticals, Inc. DE 2.02,9.01 11/12/07
SITESTAR CORP NV 1.01,9.01 10/31/07
SMITH MICRO SOFTWARE INC DE 4.02 11/08/07
SOFTWARE HOLDRS TRUST NY 9.01 11/07/07
SOTHEBYS DE 2.02,9.01 11/09/07
Soundview Home Loan Trust 2007-OPT5 DE 8.01,9.01 10/10/07
SOUTHERN CO DE 8.01 11/13/07
SOUTHERN CONNECTICUT BANCORP INC CT 8.01,9.01 11/14/07
SOUTHERN POWER CO 2.06,8.01 11/13/07
SPAR GROUP INC DE 1.01,2.02,5.03,9.01 11/08/07
SPHERION CORP DE 1.01,7.01,9.01 11/14/07
ST. BERNARD SOFTWARE, INC. CA 5.02 11/08/07
STAGE STORES INC NV 8.01,9.01 11/13/07
STAKTEK HOLDINGS INC DE 9.01 11/14/07 AMEND
STEC, INC. CA 2.02,9.01 11/13/07
STEEL DYNAMICS INC IN 8.01,9.01 11/14/07
STELLAR PHARMACEUTICALS INC 8.01,9.01 11/08/07
STERLING CHEMICALS INC DE 1.02,2.02,2.05,9.01 11/12/07
STERLING CHEMICALS INC DE 2.02,7.01,9.01 11/14/07
STERLING FINANCIAL CORP /PA/ PA 2.06,8.01 05/23/07 AMEND
STOCKGROUP INFORMATION SYSTEMS INC CO 2.02,5.02,9.01 11/08/07
STRATEGIC DIAGNOSTICS INC/DE/ DE 2.02,9.01 11/14/07
Structured Adjustable Rate Mortgage L DE 8.01,9.01 10/30/07
SUMMIT FINANCIAL SERVICES GROUP INC FL 8.01,9.01 11/14/07
SUNTRUST BANKS INC GA 5.03,8.01,9.01 11/13/07
Super Micro Computer, Inc. CA 7.01,9.01 11/13/07
Susser Holdings CORP DE 2.02,9.01 11/14/07
Symmetry Medical Inc. DE 2.02,9.01 11/12/07
SYNERGETICS USA INC 5.02,9.01 11/09/07
SYSCO CORP DE 5.02,9.01 11/08/07
TALEO CORP DE 5.02,9.01 11/09/07
Targa Resources Partners LP DE 9.01 10/18/07 AMEND
TECHNE CORP /MN/ MN 5.03,8.01,9.01 11/08/07
TECHNOLOGY RESEARCH CORP FL 2.02,9.01 11/13/07
TECHNOLOGY SOLUTIONS COMPANY DE 2.02,9.01 11/13/07
TEEKA TAN PRODUCTS, INC. DE 1.01,7.01,8.01,9.01 10/31/07
Tejas Inc DE 2.02,9.01 11/14/07
Telanetix,Inc DE 2.02,9.01 11/14/07
TELECOM HOLDRS TRUST NY 9.01 11/08/07
TELTRONICS INC DE 2.02,9.01 11/14/07
TEMPLE INLAND INC DE 8.01,9.01 11/14/07
TEREX CORP DE 1.01,2.03,9.01 11/13/07
TESCO CORP 7.01 11/14/07
Thornburg Mortgage Securities Trust 2 DE 8.01,9.01 10/30/07
TII NETWORK TECHNOLOGIES, INC. DE 2.02,5.03,9.01 11/13/07
TITAN INTERNATIONAL INC IL 7.01,9.01 11/14/07
TM Entertainment & Media, Inc. DE 8.01,9.01 11/14/07
TM Entertainment & Media, Inc. DE 8.01,9.01 11/14/07 AMEND
TorreyPines Therapeutics, Inc. DE 2.02,9.01 11/14/07
TORTOISE CAPITAL RESOURCES CORP 8.01,9.01 11/12/07
TRAFFIX INC DE 4.01,9.01 11/07/07
TRANSOCEAN INC E9 3.02,8.01,9.01 11/09/07
TRANSTECH INDUSTRIES INC DE 8.01 11/14/07
TRI STATE 1ST BANK INC OH 1.01,9.01 11/09/07
TRIQUINT SEMICONDUCTOR INC DE 5.02,9.01 11/08/07
TRIQUINT SEMICONDUCTOR INC DE 8.01,9.01 11/05/07
Tropicana Entertainment, LLC DE 7.01,9.01 11/14/07
TRUE TEMPER SPORTS INC 2.02,7.01,9.01 11/14/07
TRW AUTOMOTIVE HOLDINGS CORP DE 5.02 11/14/07
TTM TECHNOLOGIES INC WA 5.03,9.01 11/08/07
TTM TECHNOLOGIES INC WA 7.01,9.01 11/14/07
TWEETER HOME ENTERTAINMENT GROUP INC DE 8.01,9.01 10/30/07
TYSON FOODS INC DE 2.02,9.01 11/13/07
UGI CORP /PA/ PA 2.02,9.01 11/14/07
UGI UTILITIES INC PA 2.02,9.01 11/14/07
ULURU INC. NV 2.02,9.01 11/13/07
UNITED ENERGY CORP /NV/ NV 5.02,9.01 11/09/07
UNITED FUEL & ENERGY CORP NV 9.01 11/13/07 AMEND
UNITED RENTALS INC /DE DE 8.01,9.01 11/14/07
Uraniumcore CO DE 4.01 10/11/07 AMEND
US BANCORP \DE\ DE 4.02,9.01 11/14/07
US DATAWORKS INC NV 1.01,2.02,2.03,3.02,9.01 11/13/07
UTEK CORP 8.01,9.01 11/12/07
UTILITIES HOLDERS SM TRUST NY 8.01,9.01 11/07/07
VAALCO ENERGY INC /DE/ DE 2.02,9.01 11/09/07
VALUEVISION MEDIA INC MN 5.02,9.01 11/08/07
Vantage Energy Services, Inc. DE 8.01,9.01 11/14/07
VELOCITY EXPRESS CORP DE 7.01,9.01 11/14/07
VERASUN ENERGY CORP 2.02,9.01 11/14/07
VERBENA PHARMACEUTICALS INC DE 1.01,3.02,5.01,5.02,9.01 11/14/07
VERISIGN INC/CA DE 5.02,8.01 11/08/07
Vestin Realty Mortgage I, Inc. 8.01,9.01 11/13/07
Vestin Realty Mortgage II, Inc 8.01,9.01 11/13/07
VIASPACE Inc. NV 2.02,9.01 11/14/07
VIEWCAST COM INC DE 2.02,9.01 11/14/07
ViewPoint Financial Group X1 7.01,9.01 11/14/07
VOXWARE INC DE 2.02,9.01 11/14/07
WABASH NATIONAL CORP /DE DE 7.01,9.01 11/14/07
WASHINGTON POST CO DE 5.03,9.01 11/08/07
WEBSITE PROS INC DE 5.03,9.01 11/13/07
WEBSTER FINANCIAL CORP DE 7.01 11/14/07
WHITNEY HOLDING CORP LA 8.01,9.01 11/14/07
WILLBROS GROUP INC R1 8.01 11/14/07
WIRELESS HOLDRS TRUST NY 9.01 11/07/07
WIRELESS XCESSORIES GROUP INC DE 2.02,7.01 11/13/07
WORLD HEART CORP A6 2.02,9.01 11/14/07
XCEL ENERGY INC MN 8.01,9.01 11/09/07
XCEL ENERGY INC MN 2.02,9.01 11/14/07
XELR8 HOLDINGS, INC. NV 1.01,8.01,9.01 11/14/07
XETA TECHNOLOGIES INC OK 7.01,9.01 11/13/07
XM SATELLITE RADIO HOLDINGS INC DE 8.01,9.01 11/13/07
XPLORE TECHNOLOGIES CORP DE 2.02,9.01 11/13/07
XSUNX INC CO 1.01,5.02,9.01 11/12/07
Zagg INC 2.02,9.01 11/14/07
ZONE 4 PLAY INC NV 1.01,1.02,9.01 11/14/07
http://www.sec.gov/news/digest/2007/dig111507.htm
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