SEC NEWS DIGEST Issue 2005-225 November 23, 2005 COMMISSION ANNOUNCEMENTS FEE RATE ADVISORY #5 FOR FISCAL YEAR 2006 Registration Fees to Be Reduced by 9.1%; Transaction Fees by 26.6% The Securities and Exchange Commission announced today that the fees that public companies and other issuers pay to register their securities with the Commission will be reduced by 9.1 percent, and that fees on securities transactions will be reduced by 26.6 percent. President Bush signed H.R. 2862, the appropriations bill that includes funding for the Securities and Exchange Commission, on Nov. 22, 2005. Accordingly, effective Nov. 27, 2005, 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 decrease to $107.00 per million. The Section 6(b) rate is also the rate used to calculate the fees payable with the Annual Notice of Securities Sold Pursuant to Rule 24f-2 under the Investment Company Act of 1940. All filings submitted to the SEC before 5:30 p.m. EST, and filings pursuant to Rule 462(b) (17 C.F.R. 230.462(b)) submitted to the SEC before 10:00 p.m. EST, on Nov. 25, 2005, will be subject to the current fee rate of $117.70 per million. Rule 462(b) filings submitted after 10:00 p.m. EST, and all other filings submitted after 5:30 p.m. EST, on Nov. 25, 2005, shall be deemed filed as of the next business day, Nov. 28, 2005, under Section 232.13 of Regulation S-T (17 C.F.R. 232.13), and be subject to the new fee rate of $107.00 per million. Questions about the new Section 6(b), Section 13(e), or Section 14(g) fee rates should be directed to the Filer Support Unit in the Office of Filings and Information Services at (202) 551-8900. In addition, effective Dec. 22, 2005, the Section 31 fee rate applicable to securities transactions on the exchanges and over-the- counter markets will decrease to $30.70 per million. The Section 31 assessment on security futures transactions will remain unchanged at $0.009 per round turn transaction. Self-regulatory organizations collect Section 31 fees pursuant to their rules. Additional information on the transition to the new Section 31 fee rate will be available before the new rate becomes effective on the web sites of The New York Stock Exchange and NASD Regulation at http://www.nyse.com and http://www.nasd.com. The Office of Interpretation and Guidance in the Commission’s Division of Market Regulation is also available for questions on Section 31 fees at (202) 551-5777, or by e-mail at marketreg@sec.gov. The Commission is required to adjust the filing and securities transaction fee rates on an annual basis, after consultation with the Congressional Budget Office (CBO) and the Office of Management and Budget (OMB). A copy of the Commission's April 30, 2005, order regarding fee rates for fiscal year 2006 is available at http://www.sec.gov/news/press/2005-69.htm. The adjusted fee rates will not affect the amount of funding available to the Commission. The Commission will announce the new fee rates for fiscal year 2007 no later than April 30, 2006. These fee rates will become effective Oct. 1, 2006, or, if later, after the Commission's fiscal year 2007 appropriation is enacted. In addition, the Commission may be required to make a "mid-year" adjustment to the Section 31 fee rate for fiscal 2007, after consultation with CBO and OMB, which would be announced no later than March 1, 2006, effective April 1, 2006. 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. 2005-163) SEC SEEKS SOFTWARE INDUSTRY HELP TO GIVE INVESTORS ACCESS TO INTERACTIVE DATA The U.S. Securities and Exchange Commission, which is planning a major push to let investors use the Internet to access mutual fund and corporate information, on November 22, announced a request for software vendors to help. The request came in the form of a draft Request for Proposals (RFP) for the ongoing management of the EDGAR (Electronic Data Gathering, Analysis, and Retrieval) system. EDGAR has been the backbone of the SEC’s disclosure program since the early 1980s. It receives approximately 700,000 filings each year from tens of thousands of corporate securities issuers, investment companies, and individuals. While EDGAR is regarded as one of the most valuable repositories of investment information in the United States, the information it contains isn’t easily used by investors. Instead, the individuals and organizations that used EDGAR for over 375 million on-line searches in fiscal 2005 had to re-enter most of the data they found in order to analyze it. The last management contract for EDGAR was awarded in 1998. The draft RFP released today contemplates a significant, multi-year project to update the system’s underlying technology. It will also cover ongoing management of the system. “EDGAR was once state of the art,” said SEC Chairman Christopher Cox. “Moving from a paper-based world into electronic filing was a significant step in the 1980s. But investors today need access to information in real time, and that information can’t be static. It has to be interactive. During the next 12 months, the SEC will move beyond the EDGAR concept of electronic filing of paper-based forms, to an interactive data concept in which investors can have instant access to data that’s ready to use in myriad software applications on their desktops.” The SEC’s chief information officer, Corey Booth, said: “The SEC is moving quickly to put new information technology to work for investors. We look forward to revolutionizing the familiar EDGAR program, and to finding ways of taking fuller advantage of modern software, data interchange, and communications technologies with the help of the winning vendors.” The SEC has already begun to move toward the use of interactive data in its disclosure program. Since February 2005, the Commission has been testing the use of data tagging in periodic and investment company reports, using a format known as Extensible Business Reporting Language (XBRL). Filing financial data in XBRL is currently voluntary, and a number of registrants have begun to use the program. The draft RFP follows a Request for Information (RFI) issued October 20, 2005, in which the agency asked potential vendors for preliminary information and expressions of interest. The draft RFP will initiate a period of exchanges with the software industry leading up to the issuance of a final RFP, scheduled for mid-January, and a contract award, scheduled for mid-summer. A pre-solicitation conference is scheduled for early December at the SEC’s Headquarters in Washington, D.C. The full text of the draft RFP can be accessed on the General Services Administration’s “Federal Business Opportunities” website at http://www.fbo.gov. (Press Rel. 2005-162) SEC ACADEMIC FELLOWSHIPS The United States Securities and Exchange Commission (SEC) invites qualified accounting professors to apply for one of four available fellowship opportunities at its new headquarters next to Union Station in the heart of Washington, DC for the 2006–2007 academic year. An academic fellowship at the SEC provides an unparalleled opportunity for a professor to be directly involved in the work of the SEC and to gain insight into the SEC’s oversight and regulatory processes. An SEC fellowship is a remarkable way to spend a sabbatical year or a leave of absence and provides experiences that will greatly enhance subsequent teaching and publication activities. FELLOWSHIP DESCRIPTIONS Office of the Chief Accountant. Two of the fellowships are in the Office of the Chief Accountant (OCA), which functions as the primary advisor to the Securities and Exchange Commission on accounting and auditing matters. The OCA is interested in candidates with credentials in one or more of the three areas of auditing, financial accounting, and international accounting. These academic fellows serve as research resources for OCA, assist in registrant matters, and participate in OCA projects. These fellowships, which have been in existence for over 20 years, are for research-oriented professors with an interest in working closely with OCA leadership and staff on auditor and registrant issues. Requirements include a Ph.D., a strong research background in auditing, financial accounting, or international accounting, and a CPA or equivalent technical expertise. Division of Corporation Finance. The third fellowship is in the Division of Corporation Finance, which oversees corporate disclosure of information to the investing public. Its staff is responsible for the review of corporate filings by publicly held companies, such as registration statements and annual reports/10-Ks. The fellowship, which originated about seven years ago, typically involves researching financial reporting issues in connection with Division policy or program initiatives, reviewing filings by public companies to identify significant accounting and disclosure problems, and developing and presenting training on emerging or controversial accounting issues for accountants and attorneys at the Commission. Requirements include a Master’s or Ph.D. and teaching experience in upper-level/advanced financial accounting courses. Expertise in quantitative analysis, finance, and international accounting, as well as the ability to discuss issues in plain English, are plus factors. Office of Economic Analysis. The fourth fellowship is in the Office of Economic Analysis (OEA), which advises the Commission and its staff on the economic issues associated with the SEC's regulatory and policy activities. Accountants who serve as Academic Fellows in OEA are responsible for designing and conducting studies of the economic impact of existing and proposed rules promulgated by the Commission and self-regulatory agencies. They provide analytical support and advice to the Chief Economist and senior Commission staff on regulatory policy, enforcement policy, and financial economics. In addition, they design economic studies in anticipation of, and in response to, developments in the securities markets, prevailing financial practices among issuer firms, and Commission policies. A Ph.D. is required. Accountants in OEA tend to specialize in financial accounting or auditing. COMPENSATION AND APPLICATION INFORMATION Timing, Compensation, and Benefits. For faculty members at U.S. universities, the academic fellow positions are available under the Intergovernmental Personnel Act (IPA) and generally involve a 12- month period, August 1-July 31. An IPA contract is agreed upon by the SEC, the professor, and the professor’s university. Under an IPA contract, the professor continues to be an employee of the university, being paid by the university and receiving its benefits package; the SEC, in turn, reimburses the university for the professor’s time. Compensation for an academic fellow is typically 12/9s of the professor’s academic year salary, up to a maximum of pay grade SK 16/31 (currently about $164,732) plus related benefits. Relocation expenses to and from the Washington, D.C. area are generally reimbursed in accordance with Federal Travel Regulations and standard SEC policies which apply to IPA assignments. [Note: The salary cap does not mean that an academic fellow’s maximum 12-month salary is $164,732. Rather, $164,732 is the maximum salary that the SEC will reimburse to the university (all normal university benefits will also be reimbursed). The employing university is permitted to compensate the professor more than this amount.] Application Procedures. Please consider applying for these outstanding professional development opportunities. First, indicate your initial interest by sending an e-mail to one or more current academic fellows in Office of the Chief Accountant (Mark Taylor taylorm@sec.gov (audit); Teri Yohn yohnt@sec.gov (accounting); Cheryl Linthicum linthicumc@sec.gov (international accounting)), the Division of Corporation Finance (Andy McLelland mclellanda@sec.gov ), or Office of Economic Analysis (Bjorn Jorgensen jorgensenb@sec.gov). Feel free to contact the current academic fellows to discuss the nature of the position. IMPORTANT: To apply formally, you must electronically submit a vita and a cover letter which summarizes your qualifications and indicates the fellowship(s) in which you are primarily interested. Applications for fellowships in all areas must be electronically to Mark Taylor at taylorm@sec.gov. Optionally, provide a copy of one or two relevant working papers or recently published articles. Application reviews for the 2006 -2007 academic fellowships will begin January 3, 2006, and will continue until the positions are filled. Interviews will be conducted at the SEC headquarters in Washington, DC. Candidates’ travel expenses cannot be reimbursed by the SEC. The SEC’s goal is to announce final selections by March 2006. To find out more about the experiences of three previous academic fellows, see Thomas J. Linsmeier’s article in Accounting Horizons (September 1996) and articles by Steve Kolenda and Patricia Fairfield in the Financial Reporting Journal (Summer 2000.) ENFORCEMENT PROCEEDINGS IN THE MATTER OF THOMAS STEINBACH, ASHLEY SOSNER, TIM RICE, HOWARD KERBEL, BARRY BERMAN,VINCENT BARONE, AND BRUCE BIDDICK On November 22, the Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 as to Tim Rice (Order). The Commission issued the Order after accepting an Offer of Settlement made by Rice. The Order finds that on Jan. 3, 2003, Rice pled guilty to one count of conspiracy to commit securities fraud before the U.S. District Court for the Southern District of Florida arising from his participation in an offering of Equity Technologies & Resources, Inc. (ETCR), which is a penny stock. The count of the criminal indictment to which Rice pled guilty alleged that Rice and his co-defendants conspired to unjustly enrich themselves by defrauding a mutual fund through paying undisclosed kickbacks to certain persons affiliated with the mutual fund in exchange for causing the mutual fund to purchase large amounts of overpriced ETCR stock and Movie-O-Network, Inc. (MVEO) stock from Rice and his co-defendants. The count of the criminal indictment also alleged that the purpose and objective of the conspiracy was for Rice and his co-defendants to unjustly enrich themselves by defrauding the shareholders of ETCR and MVEO by artificially affecting the supply and demand for ETCR and MVEO stock in order to inflate the market price of these stocks through illegal means. Based on the above, the Order bars Rice from participation in any offering of a penny stock. (Rel. 34-52819; File No. 3-11938) IN THE MATTER OF NEIL FORMISANO On November 23, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Order) against Neil Formisano (Formisano), a former registered principal and registered representative of eWealth Securities, Inc. (eWealth). In the Order, the Division of Enforcement alleges that: (1) on Oct. 29, 2002, the Commission filed a civil action entitled Securities and Exchange Commission v. eWealth, et al., 02 civ. 8626 (JES), in the Southern District of New York against Formisano and others alleging that from January 2000 through July 2002 Formisano participated in the fraudulent offer and sale of over $7 million in unregistered eWealth Holdings, Inc. securities to approximately one hundred individuals; (2) the Commission’s complaint charges Formisano with violations of Sections 5 and 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and with aiding and abetting eWealth’s violations of Sections 17(a) and 17(b) of the Exchange Act and Rule 17(a)(4)(j) thereunder; and (3) on Oct. 21, 2005, a final judgment was entered against Formisano permanently enjoining him from future violations of Sections 5 and 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and from future aiding and abetting violations of Sections 17(a) and 17(b) of the Exchange Act and Rule 17(a)(4)(j) thereunder. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Formisano an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions against Formisano are appropriate and in the public interest pursuant to Section 15(b) of the Exchange Act. The Commission directed that an Administrative Law Judge shall issue an initial decision in this matter within 210 days (Rel. 34-52828; File No. 3-12107) IN THE MATTER OF STEVEN MASTROSIMONE On November 23, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Order) against Steven Mastrosimone (Mastrosimone), a former registered principal and registered representative of eWealth Securities, Inc. (eWealth). In the Order, the Division of Enforcement alleges that: (1) on Oct. 29, 2002, the Commission filed a civil action entitled Securities and Exchange Commission v. eWealth, et al., 02 civ. 8626 (JES), in the Southern District of New York against Mastrosimone and others alleging that from January 2000 through July 2002 Mastrosimone participated in the fraudulent offer and sale of over $7 million in unregistered eWealth Holdings, Inc. securities to approximately one hundred individuals; (2) the Commission’s complaint charges Mastrosimone with violations of Sections 5 and 17(a) of the Securities Act of 1933 (Securities Act), and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder; and (3) on Oct. 21, 2005, a final judgment was entered against Mastrosimone permanently enjoining him from future violations of Sections 5 and 17(a) of the Securities Act, and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Mastrosimone an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions against Mastrosimone are appropriate and in the public interest pursuant to Section 15(b) of the Exchange Act. The Commission directed that an Administrative Law Judge shall issue an initial decision in this matter within 210 days from the date of service of the Order. (Rel. 34-52829; File No. 3-12108) COURT ENTERS PRELININARY INJUNCTION AND ASSET FREEZE AGAINST MASSACHUSETTS HEDGE FUND MANAGER The Commission announced today that on November 10 the U.S. District Court for the District of Massachusetts entered a preliminary injunction order against hedge fund manager Mark R. Conway (Conway) and his firm, Groundswell Partners LLC (Groundswell Partners), both of Waltham, Massachusetts, in connection with a fraud action filed by the Commission on Nov. 4, 2005. The Court’s preliminary injunction prohibits the defendants from violating 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 Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. The Court also continued the relief it granted in its entry of a temporary restraining order and asset freeze on Nov. 4, 2005. Among other things, the Court’s order: (i) freezes certain of the defendant’s assets, as well as the assets in Groundswell Capital LP (the Fund), the defendant’s hedge fund, which was named as a relief defendant; (ii) requires the defendants to provide a detailed accounting of their assets and transactions; and (iii) provides the Commission with expedited discovery. In entering the asset freeze order, the Court excluded certain assets that Conway could use for certain expenses. The Commission’s complaint alleges that Conway defrauded his clients by not disclosing the millions of dollars in losses that the Fund incurred, the actual amount of assets in the Fund and the trading strategy he was employing. In addition, the Complaint alleges that Conway altered documents to cover-up his misrepresentations. [SEC v. Mark R. Conway and Groundswell Partners LLC, Civil Action No. 05- 12209-RWZ, USDC, D.Mass.] (LR-19473) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES The Options Clearing Corporation filed a proposed rule change (SR-OCC- 2005-14) under Section 19(b)(3)(A) of the Securities Exchange Act relating to position sub-accounts. Publication of the proposal is expected in the Federal Register during the week of November 21. (Rel. 34-52789) The Options Clearing Corporation filed a proposed rule change (SR-OCC- 2005-13) under Section 19(b)(3)(A) of the Securities Exchange Act relating to clearing fees for certain transactions executed on OneChicago, LLC. Publication of the proposal is expected in the Federal Register during the week of November 21. (Rel. 34-52790) A proposed rule change and Amendment No. 1 thereto (SR-CHX-2005-31) filed by the Chicago Stock Exchange to modify its trading permit fee have become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of November 28. (Rel. 34-52815) ACCELERATED APPROVAL OF A PROPOSED RULE CHANGES The Commission granted accelerated approval of a proposed rule change (SR-PCX-2005-108) submitted by the Pacific Exchange, through its wholly owned subsidiary PCX Equities, Inc. relating to listing standards for Investment Company Units and dissemination of intraday optimized portfolio value. Publication of the proposal is expected in the Federal Register during the week of November 21. (Rel. 34- 52809) The Commission granted accelerated approval to a proposed rule change (SR-PCX-2005-125), submitted by the Pacific Exchange to extend certain exceptions from the voting and ownership limitations in the Certificate of Incorporation of PCX Holdings, Inc. Publication of the proposal is expected in the Federal Register during the week of November 28. (Rel. 34-52811) The Commission granted accelerated approval to a proposed rule change (SR-NYSE-2005-70), submitted by the New York Stock Exchange relating to iShares MSCI Index Funds. Publication of the proposal is expected in the Federal Register during the week of November 28. (Rel. 34- 52816) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-PCX-2005-85) and Amendment Nos. 2 and 3 thereto, submitted under Section 19(b)(1) of the Securities Exchange Act of 1934 by the Pacific Exchange relating to exposure of orders in the PCX Plus Crossing Mechanism. Publication of the proposal is expected in the Federal Register during the week of November 28. (Rel. 34-52814) WITHDRAWAL GRANTED An order has been issued granting the application of N.V. Koninklijke Nederlandsche Petroleum Maatschappij (English translation, Royal Dutch Petroleum Company) to withdraw its ordinary shares, par value 0.56 Euro, from listing and registration on the New York Stock Exchange, effective at the opening of business on November 21. (Rel. 34-52805) WITHDRAWALS SOUGHT A notice has been issued giving interested persons until Dec. 15, 2005, to comment on the application of Centennial Specialty Foods Corporation to withdraw its common stock, $.0001 par value, from listing and registration on the Boston Stock Exchange. (Rel. 34- 52820) A notice has been issued giving interested persons until Dec. 15, 2005, to comment on the application of Nabors Industries Ltd. to withdraw its common shares, $.001 par value, from listing and registration on the American Stock Exchange. (Rel. 34-52821) 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 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 Brookdale Senior Living Inc., 330 NORTH WABASH, SUITE 1400, CHICAGO, IL, 60611, (312) 977-3700 - 0 ($38,000,000.00) Equity, (File 333-129877 - Nov. 22) (BR. 11C) N-2 TORTOISE ENERGY CAPITAL CORP, 10801 MASTIN BOULEVARD, OVERLAND PARK, KS, 66210, 913-981-1020 - 0 ($1,000,000.00) Equity, (File 333-129878 - Nov. 22) (BR. 16) S-3 KMG CHEMICALS INC, 10611 HARWIN, SUITE 402, HOUSTON, TX, 77036, 7139889252 - 0 ($8,603,100.00) Equity, (File 333-129879 - Nov. 22) (BR. 06C) S-1 Aearo Technologies Inc., 5457 WEST 79TH STREET, INDIANAPOLIS, IN, 46268, (317) 692-6666 - 0 ($230,000,000.00) Equity, (File 333-129880 - Nov. 22) (BR. 06) S-8 WEYCO GROUP INC, 333 W ESTABROOK BOULEVARD, GLENDALE, WI, 43312, 4149081600 - 1,000,000 ($19,350,000.00) Equity, (File 333-129881 - Nov. 22) (BR. 02C) S-1 Alliance Holdings GP, L.P., P.O. BOX 22027, TULSA, OK, 74121, 918-295-7600 - 0 ($316,250,000.00) Equity, (File 333-129883 - Nov. 22) (BR. 04) S-8 ZIOPHARM ONCOLOGY INC, 1180 AVENUE OF THE AMERICA, 19TH FLOOR, NEW YORK, NY, 10036, 617-214-0700 - 1,252,435 ($5,635,958.00) Equity, (File 333-129884 - Nov. 22) (BR. 01C) S-8 HERBALIFE LTD., P.O. BOX 309GT, UGLAND HOUSE, SOUTH CHURCH STREET, GEORGE TOWN, E9, 00000, 310 410 9600 - 6,168,261 ($178,571,155.95) Equity, (File 333-129885 - Nov. 22) (BR. 01C) S-8 Fidelity National Title Group, Inc., 601 RIVERSIDE AVENUE, JACKSONVILLE, FL, 32204, 904-854-8100 - 0 ($211,200,000.00) Equity, (File 333-129886 - Nov. 22) (BR. 01) S-8 SPORT CHALET INC, ONE SPORT CHALET DRIVE, LA CANADA, CA, 91101, 8187902717X256 - 0 ($31,780,616.00) Equity, (File 333-129887 - Nov. 22) (BR. 02C) S-8 PROLIANCE INTERNATIONAL, INC., 100 GANDO DRIVE, NEW HAVEN, CT, 06513, 2034016450 - 0 ($7,879,124.00) Equity, (File 333-129888 - Nov. 22) (BR. 05C) S-3 EMISPHERE TECHNOLOGIES INC, 765 OLD SAW MILL RIVER ROAD, TARRYTOWN, NY, 10591, 9143472220 - 5,259,170 ($24,014,890.00) Equity, (File 333-129889 - Nov. 22) (BR. 01A) S-8 TEKELEC, 26580 W AGOURA RD, CALABASAS, CA, 91302, 8188805656 - 1,000,000 ($14,380,000.00) Equity, (File 333-129890 - Nov. 22) (BR. 11A) S-3 EMISPHERE TECHNOLOGIES INC, 765 OLD SAW MILL RIVER ROAD, TARRYTOWN, NY, 10591, 9143472220 - 50,000 ($235,000.00) Equity, (File 333-129891 - Nov. 22) (BR. 01A) S-3 FRANKLIN BANK CORP, 9800 RICHMOND AVE, SUITE 680, HOUSTON, TX, 77042, 713-339-8900 - 831,913 ($14,749,817.00) Equity, (File 333-129892 - Nov. 22) (BR. 07B) S-8 VERSAR INC, 6850 VERSAR CENTER, SPRINGFIELD, VA, 22151, 7037503000 - 400,000 ($1,380,000.00) Equity, (File 333-129893 - Nov. 22) (BR. 06C) S-8 ROYAL BANCSHARES OF PENNSYLVANIA INC, 732 MONTGOMERY AVE, NARBERTH, PA, 19072, 6106684700 - 150,000 ($3,564,000.00) Equity, (File 333-129894 - Nov. 22) (BR. 07B) S-8 LANDEC CORP \CA\, 3603 HAVEN AVE, MENLO PARK, CA, 94025, 6503061650 - 0 ($5,919,636.25) Equity, (File 333-129895 - Nov. 22) (BR. 06C) S-3 US AIRWAYS GROUP INC, 2345 CRYSTAL DR, ARLINGTON, VA, 22227, 7038727000 - 0 ($1,408,180,921.89) Equity, (File 333-129896 - Nov. 22) (BR. 05C) S-8 FLAG FINANCIAL CORP, 3475 PIEDMONT RD NE, STE 550, ATLANTA, GA, 30305, 4047607700 - 0 ($6,204,588.00) Equity, (File 333-129897 - Nov. 22) (BR. 07C) S-8 COMMUNITY WEST BANCSHARES /, 445 PINE AVE, GOLETA, CA, 93117, 8056921862 - 450,000 ($5,854,500.00) Equity, (File 333-129898 - Nov. 22) (BR. 07C) S-3 US AIRWAYS GROUP INC, 2345 CRYSTAL DR, ARLINGTON, VA, 22227, 7038727000 - 0 ($12,383,534.62) Equity, (File 333-129899 - Nov. 22) (BR. 05C) S-1 Adams Respiratory Therapeutics, Inc., 425 MAIN STREET, CHESTER, NJ, 07930, (908) 879-1400 - 6,492,853 ($294,645,669.14) Equity, (File 333-129900 - Nov. 22) (BR. 01C) S-3 PXRE GROUP LTD, PXRE HOUSE, 110 PITTS BAY ROAD, PEMBROKE, D0, HM 08, 4412965858 - 34,090,906 ($454,431,777.00) Equity, (File 333-129901 - Nov. 22) (BR. 01B) 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 450 Fifth Street, N.W., Washington, D.C. 20549 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 --------------------------------------------------------------------------------------------------------- 5 G WIRELESS COMMUNICATIONS INC NV 8.01 11/02/05 AARON RENTS INC GA 5.02 11/16/05 AdAl Group Inc. DE 1.01,2.03,9.01 11/21/05 ADOLOR CORP 1.01 11/16/05 ADVANCED MARKETING SERVICES INC DE 1.01,9.01 11/22/05 ADVANCED MATERIALS GROUP INC NV 5.02 11/17/05 ADVANCED MEDICAL OPTICS INC DE 3.02 11/22/05 ADVANCED NEUROMODULATION SYSTEMS INC TX 5.01,5.02 11/16/05 ALAMOSA HOLDINGS INC DE 1.01,8.01,9.01 11/21/05 ALBERTSONS INC /DE/ DE 2.02 11/22/05 ALLIANCE RESOURCE PARTNERS LP DE 7.01 11/22/05 ALLIED HEALTHCARE INTERNATIONAL INC NY 5.02 11/17/05 ALLSTATE LIFE GLOBAL FUNDING DE 8.01 11/21/05 Alternative Loan Trust 2005-24 9.01 11/20/05 Alternative Loan Trust 2005-45 9.01 11/20/05 AMDL INC DE 8.01,9.01 11/21/05 AMERICAN EXPRESS CREDIT ACCOUNT MASTE DE 8.01,9.01 11/22/05 AMERICAN HEALTHWAYS INC DE 7.01,9.01 11/22/05 AMERICAN INTERNATIONAL GROUP INC DE 1.01,9.01 11/16/05 AMERICAN LOCKER GROUP INC DE 2.02,9.01 11/22/05 AMERICAN MEDIA OPERATIONS INC DE 2.02,9.01 11/18/05 AMERICAN SAFETY INSURANCE HOLDINGS LT 1.01 11/18/05 American Security Resources Corp. NV 5.02,8.01 11/21/05 Americredit Automobile Receivable Tru DE 1.01,9.01 11/17/05 AMGEN INC DE 1.01,9.01 11/21/05 AMISTAR CORP CA 2.02,9.01 11/18/05 AMSCAN HOLDINGS INC DE 8.01 11/22/05 AMSURG CORP TN 1.01,9.01 11/17/05 ANDREW CORP DE 1.01,9.01 11/16/05 ANVIL HOLDINGS INC DE 5.02 11/17/05 APARTMENT INVESTMENT & MANAGEMENT CO MD 8.01,9.01 11/21/05 APPLICA INC FL 3.01,9.01 11/21/05 APPLIED SIGNAL TECHNOLOGY INC CA 1.01 11/16/05 APPLIED SPECTRUM TECHNOLOGIES INC MN 1.01,5.03,9.01 11/17/05 APROPOS TECHNOLOGY INC 8.01,9.01 11/21/05 ARGENT SECURITIES INC 9.01 11/04/05 ART TECHNOLOGY GROUP INC DE 5.02 11/16/05 ASPEN TECHNOLOGY INC /DE/ DE 1.01 11/16/05 AspenBio Pharma, Inc. CO 2.02,8.01,9.01 11/22/05 ATWOOD OCEANICS INC TX 7.01 11/22/05 AVANIR PHARMACEUTICALS CA 1.01 11/16/05 AXM PHARMA INC 2.02,9.01 11/22/05 BANC OF AMERICA MORTGAGE SECURITIES I DE 8.01,9.01 11/22/05 BB&T CORP NC 8.01 11/16/05 BEACON POWER CORP DE 1.01 11/17/05 BEAR STEARNS ASSET BACKED SECURITIES DE 8.01,9.01 07/25/05 AMEND BEARD CO /OK OK 7.01,9.01 11/21/05 BELK INC 1.01,9.01 11/16/05 BELLAVISTA CAPITAL INC MD 7.01,9.01 11/22/05 BERKSHIRE INCOME REALTY INC 2.01,9.01 11/18/05 BERRY PETROLEUM CO DE 7.01,9.01 11/21/05 BIO TRACKING SECURITY INC FL 8.01,9.01 11/22/05 BIOVERIS CORP DE 8.01,9.01 11/22/05 BLACKBAUD INC 8.01 11/21/05 BLUEGREEN CORP MA 5.02 11/16/05 BOOTS & COOTS INTERNATIONAL WELL CONT DE 7.01,9.01 11/21/05 BOSTON BEER CO INC MA 7.01 11/21/05 BPZ ENERGY INC CO 4.02 11/17/05 BRINKS CO VA 1.01,5.02,5.03,9.01 11/17/05 BRITESMILE INC UT 1.01,9.01 11/21/05 BROCADE COMMUNICATIONS SYSTEMS INC DE 5.02 11/18/05 BROWN FORMAN CORP DE 2.02,9.01 11/22/05 BROWN SHOE CO INC NY 2.02,9.01 11/22/05 BULLDOG TECHNOLOGIES INC NV 7.01,9.01 11/22/05 CALA CORP OK 8.01 11/16/05 CAMDEN NATIONAL CORP ME 5.02 11/22/05 CAMPBELL SOUP CO NJ 1.01 11/17/05 CAPITAL ALLIANCE INCOME TRUST REAL ES DE 8.01 11/18/05 CAPITAL AUTO RECEIVABLES INC DE 8.01,9.01 11/15/05 CAPITAL AUTO RECEIVABLES INC DE 8.01,9.01 11/15/05 CARACO PHARMACEUTICAL LABORATORIES LT MI 1.01 11/17/05 CARDINAL HEALTH INC OH 1.01,1.02,2.03,7.01,9.01 11/18/05 CARNIVAL CORP DE 5.02 11/16/05 CARNIVAL PLC 5.02 11/16/05 CARRAMERICA REALTY L P DE 2.06 11/21/05 CARREKER CORP DE 5.02 11/22/05 AMEND CARRINGTON LABORATORIES INC /TX/ TX 1.01,2.03,3.02,3.03,7.01,9.01 11/18/05 CASA MUNRAS HOTEL PARTNERS L P CA 2.01,9.01 11/18/05 Cascade Energy, Inc. NV 3.02 11/22/05 CBL & ASSOCIATES PROPERTIES INC DE 1.01,9.01 11/16/05 CEF EQUIPMENT HOLDING GE COMMERCIAL E DE 8.01,9.01 11/21/05 CELL GENESYS INC DE 2.01,9.01 11/22/05 CELLSTAR CORP DE 1.01,5.02 11/21/05 CGI HOLDING CORP NV 7.01,9.01 11/22/05 CGI HOLDING CORP NV 4.02,9.01 11/21/05 AMEND CHADMOORE WIRELESS GROUP INC CO 8.01 11/21/05 Chase Auto Owner Trust 2005-A DE 8.01,9.01 11/15/05 CHASE MANHATTAN AUTO OWNER TRUST 2002 DE 8.01,9.01 11/15/05 CHASE MANHATTAN AUTO OWNER TRUST 2002 DE 8.01,9.01 11/15/05 CHASE MANHATTAN AUTO OWNER TRUST 2003 DE 8.01,9.01 11/15/05 CHASE MANHATTAN AUTO OWNER TRUST 2003 DE 8.01,9.01 11/15/05 CHASE MANHATTAN AUTO TRUST 2004-A DE 8.01,9.01 11/15/05 CHASE MANHATTAN BANK USA CHASE MANHAT DE 8.01,9.01 11/15/05 CHATTEM INC TN 5.02 11/16/05 CHEESECAKE FACTORY INCORPORATED DE 8.01,9.01 11/22/05 CHEESECAKE FACTORY INCORPORATED DE 8.01,9.01 11/22/05 CHICAGO RIVET & MACHINE CO IL 5.02 11/21/05 CHINA CABLE & COMMUNICATION INC DE 1.01,2.01 11/22/05 CHITTENDEN CORP /VT/ VT 1.01 11/16/05 CHL Mortgage Pass-Through Trust 2005- DE 9.01 11/20/05 CHL Mortgage Pass-Through Trust 2005- DE 9.01 11/20/05 CHL Mortgage Pass-Through Trust 2005- DE 9.01 11/20/05 CHL Mortgage Pass-Through Trust 2005- DE 9.01 11/20/05 CHL Mortgage Pass-Through Trust 2005- DE 9.01 11/20/05 CHURCHILL DOWNS INC KY 7.01,9.01 11/08/05 CLAIBORNE LIZ INC DE 8.01,9.01 11/18/05 CLAIBORNE LIZ INC DE 7.01,9.01 11/18/05 CLINICAL DATA INC DE 1.01,3.02,9.01 11/17/05 CLYVIA INC NV 7.01,9.01 11/15/05 CNE GROUP INC DE 5.02,8.01,9.01 11/14/05 COGNITRONICS CORP NY 2.01,9.01 11/18/05 COLDWATER CREEK INC DE 2.02,9.01 11/22/05 COLLECTORS UNIVERSE INC DE 7.01,9.01 11/21/05 COMMONWEALTH BIOTECHNOLOGIES INC VA 5.02,9.01 11/22/05 COMPUCREDIT CORP GA 8.01,9.01 11/22/05 COMPUCREDIT CORP GA 1.01,2.03,7.01,9.01 11/17/05 COMPUTER TASK GROUP INC NY 1.01 11/22/05 CONOR MEDSYSTEMS INC 8.01,9.01 11/22/05 COOPER COMPANIES INC DE 7.01,9.01 11/21/05 COOPER TIRE & RUBBER CO DE 1.01 11/17/05 Cord Blood America, Inc. FL 2.02,9.01 11/22/05 COUNTY BANK CORP MI 7.01 11/22/05 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 11/21/05 CREDIT SUISSE FIRST BOSTON USA INC DE 9.01 11/16/05 CRIIMI MAE INC MD 3.02 11/22/05 CROSSROADS SYSTEMS INC DE 2.02,9.01 11/22/05 CROWLEY MARITIME CORP DE 9.01 09/06/05 AMEND CSFB COMMERCIAL MORT PASS THR CERT 20 DE 8.01,9.01 11/18/05 CSFB COMMERCIAL MORT PASS THR CERT SE DE 8.01,9.01 11/21/05 CSFB COMMERCIAL MORT PASS THR CERTS S 8.01,9.01 11/18/05 CTI INDUSTRIES CORP DE 2.02,9.01 11/21/05 CWABS INC DE 8.01,9.01 11/21/05 CYBERONICS INC DE 2.02,9.01 11/21/05 CYMER INC NV 1.01,9.01 11/16/05 DARWIN RESOURCES CORP. 1.01,3.03,5.03,9.01 11/21/05 DATAMETRICS CORP DE 2.01,9.01 11/04/05 DAWSON GEOPHYSICAL CO TX 2.02,9.01 11/21/05 DAY INTERNATIONAL GROUP INC DE 8.01,9.01 11/21/05 DEERE & CO DE 2.02,7.01,8.01,9.01 11/22/05 DEERE JOHN CAPITAL CORP DE 2.02,7.01,8.01,9.01 11/22/05 DEL MONTE FOODS CO DE 7.01,9.01 11/21/05 DELPHI CORP DE 1.01,9.01 11/21/05 DENBURY RESOURCES INC DE 1.01,7.01,9.01 11/21/05 DIEBOLD INC OH 1.01,9.01 11/16/05 DIGIRAD CORP DE 8.01,9.01 11/22/05 DISCOVER CARD MASTER TRUST I DE 8.01,9.01 11/18/05 DNB FINANCIAL CORP /PA/ PA 1.01 11/22/05 DOLLAR GENERAL CORP TN 2.02,7.01,9.01 11/22/05 DOLLAR TREE STORES INC VA 2.02,7.01,9.01 11/22/05 DONALDSON CO INC DE 8.01,9.01 11/18/05 DONALDSON CO INC DE 5.02,9.01 11/18/05 DPAC TECHNOLOGIES CORP CA 1.01,9.01 08/05/05 AMEND DRAGON PHARMACEUTICAL INC FL 2.02,9.01 11/15/05 DST Media, Inc DE 5.01 11/21/05 DTOMI INC NV 2.01,3.02,5.02 11/08/05 DUKE CAPITAL LLC DE 1.01 11/17/05 DUKE ENERGY CORP NC 1.01 11/17/05 DWANGO NORTH AMERICA CORP NV 5.02,9.01 11/18/05 EASTMAN KODAK CO NJ 8.01 11/18/05 EATON VANCE CORP MD 9.01 10/31/05 ECHELON CORP DE 5.02,9.01 11/18/05 EDO CORP NY 8.01 11/17/05 ENDURANCE SPECIALTY HOLDINGS LTD 8.01,9.01 11/22/05 EQUITY INNS INC TN 1.01,2.03,9.01 11/18/05 FEDDERS CORP /DE DE 4.01 11/22/05 Federal Home Loan Bank of New York X1 2.03,9.01 11/17/05 Federal Home Loan Bank of San Francis X1 2.03 11/22/05 FERRO CORP OH 1.01 11/18/05 FINANCIAL SECURITY ASSURANCE HOLDINGS NY 7.01,9.01 11/21/05 FIRST CONSULTING GROUP INC DE 1.01 11/21/05 FIRST HORIZON ASSET SECURITIES INC DE 8.01,9.01 11/22/05 FIRST INDUSTRIAL REALTY TRUST INC MD 3.02 11/18/05 FIRST MIDWEST BANCORP INC DE 8.01,9.01 11/15/05 FIRSTFED BANCORP INC DE 4.01,9.01 11/17/05 FLAG FINANCIAL CORP GA 2.01,5.02,9.01 11/21/05 FLAG FINANCIAL CORP GA 5.04 11/22/05 flexSCAN, Inc. NV 1.01,2.04,3.02,9.01 09/30/05 FMC CORP DE 7.01 11/21/05 FOG CUTTER CAPITAL GROUP INC MD 5.02 11/22/05 FRANKLIN LAKE RESOURCES INC /NV NV 9.01 11/22/05 FREDS INC TN 2.02,9.01 11/22/05 FRESH CHOICE INC DE 8.01,9.01 11/21/05 FTI CONSULTING INC MD 1.01,3.02,7.01,9.01 11/19/05 GABRIEL TECHNOLOGIES CORP DE 7.01,9.01 11/22/05 GALAXY ENERGY CORP CO 8.01,9.01 11/22/05 GE Capital Credit Card Master Note Tr DE 8.01,9.01 11/15/05 GE Capital Credit Card Master Note Tr DE 8.01,9.01 11/15/05 GE COMM MORT PASS THROUGH CERT SERIES DE 8.01,9.01 08/10/05 AMEND GENEMAX CORP NV 1.02 11/22/05 GENERAL EMPLOYMENT ENTERPRISES INC IL 2.02,9.01 11/21/05 GENERAL MOTORS CORP DE 2.05,7.01 11/18/05 GENESCO INC TN 2.02,9.01 11/22/05 GENESIS HEALTHCARE CORP PA 1.01 11/16/05 GLOBAL ENVIROTECH INC CO 4.01,9.01 07/25/05 GLOBAL INDUSTRIES LTD LA 1.01,5.02,9.01 11/16/05 GOLDFIELD CORP DE 1.01,2.03,8.01,9.01 11/18/05 GOVERNMENT PROPERTIES TRUST INC 2.01,9.01 11/22/05 GREAT PLAINS ETHANOL LLC SD 8.01 11/16/05 GREEN DOLPHIN SYSTEMS CORP DE 4.01 06/09/05 GREEN DOLPHIN SYSTEMS CORP DE 4.01 06/09/05 AMEND GREENWICH CAPITAL ACCEPTANCE INC DE 8.01 11/22/05 GUARDIAN TECHNOLOGIES INTERNATIONAL I DE 8.01 11/22/05 GYMBOREE CORP DE 2.02,7.01,9.01 11/18/05 HANOVER COMPRESSOR CO / DE 1.01,2.03,9.01 11/21/05 HARTMAN COMMERCIAL PROPERTIES REIT TX 2.01,2.03,7.01,9.01 11/22/05 HASBRO INC RI 5.02,9.01 11/22/02 HAWAIIAN HOLDINGS INC DE 1.01,5.02 11/16/05 HCC INSURANCE HOLDINGS INC/DE/ DE 8.01,9.01 11/21/05 HEARTLAND PARTNERS L P DE 2.02,9.01 11/21/05 HEINZ H J CO PA 2.02 11/22/05 HEXCEL CORP /DE/ DE 5.02,9.01 11/22/05 HILFIGER TOMMY CORP 2.02,9.01 11/22/05 HILLENBRAND INDUSTRIES INC IN 2.02,4.02,9.01 11/16/05 HOME DEPOT INC DE 1.01 11/17/05 HOME EQUITY ASSET TRUST 2005-8 DE 8.01,9.01 11/22/05 HOME PRODUCTS INTERNATIONAL INC DE 2.05,8.01,9.01 11/18/05 HOOPER HOLMES INC NY 1.01,9.01 11/18/05 I2 TECHNOLOGIES INC DE 1.01,9.01 11/21/05 I2 TELECOM INTERNATIONAL INC WA 1.01,2.02,3.02,5.03,9.01 07/12/05 IDEX CORP /DE/ DE 1.01 11/16/05 IKON OFFICE SOLUTIONS INC OH 8.01,9.01 09/16/05 IMAGENETIX INC /NV/ NV 2.02,9.01 11/22/05 IMH ASSETS CORP DE 8.01,9.01 11/22/05 IMPCO TECHNOLOGIES INC DE 8.01,9.01 11/21/05 IMPCO TECHNOLOGIES INC DE 2.02,4.02,9.01 11/09/05 AMEND IMPSAT FIBER NETWORKS INC DE 1.01 11/17/05 INHIBITEX INC 8.01,9.01 11/22/05 Inland American Real Estate Trust, In MD 5.02,8.01 11/16/05 INNCARDIO, INC UT 1.02 11/14/05 INTEGRA LIFESCIENCES HOLDINGS CORP DE 1.01,9.01 11/20/05 INTEGRATED ELECTRICAL SERVICES INC DE 5.02,7.01,9.01 11/18/05 INTERLINK ELECTRONICS INC DE 3.01,8.01,9.01 11/15/05 INTERNAP NETWORK SERVICES CORP DE 1.01,5.02,9.01 11/18/05 International Coal Group, Inc. 2.01,3.02,3.03,5.03,9.01 11/18/05 IROQUOIS GAS TRANSMISSION SYSTEM LP DE 4.02 11/22/05 IROQUOIS GAS TRANSMISSION SYSTEM LP DE 5.02 11/22/05 ISLAND PACIFIC INC DE 1.01,9.01 11/16/05 ITC Holdings Corp. MI 1.01,8.01,9.01 11/16/05 J&J SNACK FOODS CORP NJ 8.01,9.01 11/22/05 JMAR TECHNOLOGIES INC DE 1.01,9.01 11/16/05 JOHNSON CONTROLS INC WI 1.01 11/15/05 JONES APPAREL GROUP INC PA 5.02,9.01 11/17/05 K-SEA TRANSPORTATION PARTNERS LP DE 7.01 11/22/05 KENILWORTH SYSTEMS CORP NY 5.02,9.01 11/21/05 KENTUCKY UTILITIES CO KY 2.03,9.01 11/17/05 KERR MCGEE CORP /DE DE 1.01,2.01,9.01 11/22/05 KEWAUNEE SCIENTIFIC CORP /DE/ DE 2.02,9.01 11/22/05 KINTERA INC 1.01,3.02,9.01 11/21/05 KIRKLANDS INC 2.02,9.01 11/18/05 KV PHARMACEUTICAL CO /DE/ DE 1.01,9.01 11/22/05 LA JOLLA PHARMACEUTICAL CO DE 7.01,9.01 11/22/05 LANCASTER COLONY CORP OH 1.01,8.01,9.01 11/22/05 LAND O LAKES INC 8.01,9.01 11/22/05 LARGO VISTA GROUP LTD NV 1.01 03/31/05 AMEND LARGO VISTA GROUP LTD NV 1.01 04/18/05 AMEND LARGO VISTA GROUP LTD NV 8.01 09/09/05 AMEND LEHMAN ABS CORP AT&T NOTE BACKED SERI DE 8.01,9.01 11/15/05 LEHMAN ABS CORP AT&T NOTE BACKED SERI DE 8.01,9.01 11/15/05 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01,9.01 11/15/05 LEHMAN ABS CORP BCKD TR CRTS FRD MOT DE 8.01,9.01 11/15/05 LEHMAN ABS CORP BELLSOUTH DEBT- BACKE DE 8.01,9.01 11/15/05 LEHMAN ABS CORP CNA FINANCIAL DEBENTU DE 8.01,9.01 11/15/05 LEHMAN ABS CORP CORPORATE BACKED TRUS DE 8.01,9.01 11/15/05 LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S DE 8.01,9.01 11/15/05 LEHMAN ABS CORP SPRINT CAPITAL BACK S DE 8.01,9.01 11/15/05 LIMELIGHT MEDIA GROUP INC NV 7.01 11/21/05 LOWRANCE ELECTRONICS INC DE 5.02,8.01,9.01 11/16/05 LSB INDUSTRIES INC DE 2.02,9.01 11/21/05 LSB INDUSTRIES INC DE 4.02 11/22/05 LUMINENT MORTGAGE CAPITAL INC 8.01 11/22/05 M&I DEALER AUTO SECURITIZATION LLC 8.01,9.01 11/22/05 M&T BANK CORP NY 1.01,8.01,9.01 11/15/05 MACROCHEM CORP DE 3.01 11/22/05 MARTHA STEWART LIVING OMNIMEDIA INC DE 1.01,9.01 11/21/05 MASTERCARD INC DE 1.01 11/16/05 MATHSTAR INC MN 2.02,9.01 11/22/05 MATHSTAR INC MN 3.02 11/16/05 MAVERICK TUBE CORPORATION DE 1.01,3.02,8.01,9.01 11/16/05 MCMORAN EXPLORATION CO /DE/ DE 8.01,9.01 11/22/05 MDU RESOURCES GROUP INC DE 1.01,5.02,9.01 11/22/05 MDwerks, Inc. DE 4.01,9.01 11/16/05 AMEND MED-DESIGN CORP 1.01,7.01,9.01 11/21/05 MEDICIS PHARMACEUTICAL CORP DE 8.01,9.01 11/22/05 MET PRO CORP PA 2.02,9.01 10/31/05 METRETEK TECHNOLOGIES INC DE 8.01,9.01 11/21/05 MICHAELS STORES INC DE 1.01,1.02,2.02,2.03,8.01,9.01 11/18/05 MICREL INC CA 8.01 11/22/05 MID STATE CAPITAL CORP DE 8.01,9.01 11/21/05 MIPS TECHNOLOGIES INC DE 1.01,9.01 11/17/05 MONEYGRAM INTERNATIONAL INC 1.01,8.01 11/17/05 MORGAN STANLEY DE 1.01,9.01 11/22/05 Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 09/26/05 AMEND Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 09/26/05 AMEND Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 09/26/05 AMEND Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 09/26/05 AMEND Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 09/26/05 AMEND MORGAN STANLEY DEAN WITTER CAPITAL I DE 8.01 11/18/05 MORGAN STANLEY DEAN WITTER CAPITAL I DE 8.01 11/16/05 MTI TECHNOLOGY CORP DE 1.01,9.01 11/21/05 MTS SYSTEMS CORP MN 2.02,9.01 11/21/05 MultiCell Technologies, Inc. DE 1.01 11/16/05 MUNICIPAL MORTGAGE & EQUITY LLC DE 1.01,2.03 11/16/05 NATIONAL AUTO CREDIT INC /DE DE 2.01,9.01 11/18/05 NATIONAL RV HOLDINGS INC DE 8.01,9.01 11/22/05 NATURAL HEALTH TRENDS CORP DE 3.01,9.01 11/18/05 NCT GROUP INC DE 1.01,2.03,3.02,9.01 11/15/05 NEOWARE SYSTEMS INC DE 1.01,2.01,9.01 11/16/05 NETBANK INC GA 7.01,9.01 11/21/05 NETGEAR INC DE 1.01 11/16/05 NEVSTAR GAMING & ENTERTAINMENT CORP NV 5.02 11/21/05 NewGen Technologies, Inc NV 1.01,2.02,9.01 11/21/05 NEWS CORP 8.01,9.01 11/22/05 NOBLE CORP 8.01,9.01 11/22/05 NOMURA ASSET ACCEPTANCE CORP DE 8.01,9.01 11/21/05 NORFOLK SOUTHERN CORP VA 8.01,9.01 11/22/04 NORTHEAST UTILITIES MA 2.02,9.01 11/22/05 NORTHWEST INDIANA BANCORP IN 5.02 11/16/05 NOVASTAR MORTGAGE FUNDING CORP DE 8.01,9.01 11/21/05 NYFIX INC DE 4.01,5.02,9.01 11/17/05 OCA, INC. / DE / DE 4.01,9.01 11/01/05 AMEND OMNIMED INTERNATIONAL, INC. NV 5.03,9.01 11/22/05 OPSWARE INC DE 2.02,9.01 11/22/05 Opteum Mortgage Acceptance CORP DE 8.01,9.01 11/21/05 ORAGENICS INC FL 1.01,9.01 11/22/05 ORRSTOWN FINANCIAL SERVICES INC PA 1.01,9.01 11/21/05 OSCIENT PHARMACEUTICALS CORP MA 8.01,9.01 11/21/05 OVATION PRODUCTS CORP 8.01 11/17/05 PACIFIC SUNWEAR OF CALIFORNIA INC CA 1.01,9.01 11/16/05 PANTRY INC DE 1.01,2.03,3.02,8.01,9.01 11/16/05 PARKERVISION INC FL 2.01,3.03,9.01 11/21/05 PARTNERS TRUST FINANCIAL GROUP INC 7.01 11/22/05 PERFORMANCE TECHNOLOGIES INC \DE\ DE 1.01 11/22/05 PETCO ANIMAL SUPPLIES INC DE 2.02,5.02,9.01 11/21/05 PETROLEUM DEVELOPMENT CORP NV 3.01,7.01,9.01 11/21/05 PETROLEUM DEVELOPMENT CORP NV 8.01,9.01 11/21/05 PLATINA ENERGY GROUP INC. DE 2.03 11/22/05 PMI GROUP INC DE 1.01,9.01 11/16/05 PNM RESOURCES INC NM 7.01 11/18/05 POINT THERAPEUTICS INC DE 1.01,8.01,9.01 11/21/05 POLYMEDICA CORP MA 5.02,9.01 11/18/05 POPULAR ABS, INC. DE 8.01,9.01 11/18/05 PRINCIPAL LIFE INCOME FUNDINGS TRSUT DE 8.01,9.01 11/15/05 PRINCIPAL LIFE INCOME FUNDINGS TRSUT DE 8.01,9.01 11/15/05 Principal Life Income Fundings Trust DE 8.01,9.01 11/14/05 Principal Life Income Fundings Trust DE 8.01,9.01 11/15/05 Principal Life Income Fundings Trust DE 8.01,9.01 11/15/05 PRINCIPAL LIFE INCOME FUNDINGS TRUST DE 8.01,9.01 11/15/05 PRINCIPAL LIFE INCOME FUNDINGS TRUST DE 8.01,9.01 11/15/05 PRINCIPAL LIFE INCOME FUNDINGS TRUST DE 8.01,9.01 11/15/05 PRINCIPAL LIFE INCOME FUNDINGS TRUST DE 8.01,9.01 11/15/05 PRINCIPAL LIFE INCOME FUNDINGS TRUST DE 8.01,9.01 11/15/05 Principal Life Income Fundings Trust DE 8.01,9.01 11/14/05 PRIVATEBANCORP INC DE 2.04,9.01 11/22/05 PROCTER & GAMBLE CO OH 7.01 09/30/05 PROTALEX INC DE 1.01,9.01 11/22/05 PROTEIN POLYMER TECHNOLOGIES INC DE 8.01,9.01 11/21/05 PROVIDENCE & WORCESTER RAILROAD CO/RI RI 5.02,9.01 11/22/05 PTS INC/NV/ NV 2.01,3.02,5.02 11/15/05 PUBLIC SERVICE CO OF NEW MEXICO NM 7.01 11/18/05 PUBLIC STORAGE INC /CA CA 5.03,9.01 11/21/05 QUALMARK CORP CO 5.02,9.01 11/16/05 QUESTAR CORP UT 7.01,9.01 11/22/05 QUESTAR PIPELINE CO UT 7.01,9.01 11/22/05 QUESTCOR PHARMACEUTICALS INC CA 2.03,7.01,9.01 11/18/05 R H DONNELLEY CORP DE 7.01,9.01 11/21/05 RADIOLOGIX INC DE 1.01,1.02,5.02,9.01 11/18/05 RAPTOR NETWORKS TECHNOLOGY INC 3.02 11/22/05 READERS DIGEST ASSOCIATION INC DE 1.01 11/18/05 REGAN HOLDING CORP CA 2.01,2.03 11/17/05 RELIANT ENERGY INC DE 1.01 11/16/05 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE 8.01,9.01 11/22/05 RESIDENTIAL FUNDING MORTGAGE SECURITI DE 8.01,9.01 11/22/05 RESTORATION HARDWARE INC CA 2.02,9.01 11/22/05 REVLON CONSUMER PRODUCTS CORP DE 5.04,9.01 11/22/05 REVLON INC /DE/ DE 5.04,9.01 11/22/05 RF MONOLITHICS INC /DE/ DE 1.01,9.01 11/15/05 RICHARDSON ELECTRONICS LTD/DE DE 1.01,2.03,2.04,3.02,7.01,9.01 11/22/05 RYERSON TULL INC /DE/ DE 1.01 11/22/05 RYERSON TULL INC /DE/ DE 1.01,5.02,7.01,9.01 11/22/05 S&P MANAGED FUTURES INDEX FUND LP DE 5.02,8.01 11/18/05 SALOMON SMITH BARNEY ORION FUTURES FU 3.02 11/01/05 SANGAMO BIOSCIENCES INC DE 1.01,9.01 11/18/05 SCANA CORP SC 5.02,9.01 11/21/05 SCIENCE APPLICATIONS INTERNATIONAL CO DE 1.01,9.01 11/22/05 SENSIENT TECHNOLOGIES CORP WI 2.05,2.06 11/21/05 SERVICE CORPORATION INTERNATIONAL TX 7.01,9.01 11/22/05 SFSB, Inc. X1 2.02,8.01,9.01 11/21/05 SIGMA DESIGNS INC CA 2.02,9.01 11/22/05 SIGMATEL INC DE 1.01,2.01,9.01 09/06/05 AMEND SMART ONLINE INC 9.01 11/15/05 AMEND Smart-tek Solutions Inc NV 8.01,9.01 11/22/05 SMARTIRE SYSTEMS INC 1.01 11/16/05 SONICWALL INC CA 8.01,9.01 11/18/05 SONTRA MEDICAL CORP MN 8.01,9.01 11/14/05 Southern Sauce Company, Inc. FL 4.01 11/16/05 SPACEHAB INC \WA\ WA 8.01,9.01 11/22/05 SPARTA INC /DE DE 7.01,9.01 11/21/05 SPECIALIZED HEALTH PRODUCTS INTERNATI DE 1.01,5.03,8.01,9.01 11/21/05 SPRING VALLEY MANAGEMENT CORP WY 5.02 11/21/05 SS&C TECHNOLOGIES INC DE 8.01,9.01 11/22/05 ST PAUL TRAVELERS COMPANIES INC MN 8.01 11/22/05 STANDARD CAPITAL CORP DE 5.02 11/18/05 STAR SCIENTIFIC INC DE 1.01 11/21/05 STARWOOD HOTEL & RESORTS WORLDWIDE IN MD 1.01,9.01 11/16/05 STEAKHOUSE PARTNERS INC DE 1.01,7.01,9.01 09/17/05 STEEL DYNAMICS INC IN 5.02 11/18/05 STEELCASE INC MI 1.01,9.01 11/22/05 STEWART & STEVENSON SERVICES INC TX 7.01,9.01 11/22/05 STRATEGIC DIAGNOSTICS INC/DE/ DE 3.01,9.01 11/21/05 SUMMUS INC DE 1.01,2.03,3.02,9.01 11/18/05 SUN OIL & GAS, INC NV 1.01,5.01,5.02,9.01 10/17/05 AMEND SUN OIL & GAS, INC NV 5.02 11/18/05 AMEND SUNRISE SENIOR LIVING INC DE 1.01,8.01 11/16/05 Sunstone Hotel Investors, Inc. MD 3.02,9.01 11/16/05 SYMMETRICOM INC DE 1.01,9.01 11/18/05 Tarpon Industries, Inc. MI 2.02,9.01 11/22/05 TARRANT APPAREL GROUP CA 4.01,9.01 11/17/05 TD BANKNORTH INC. DE 8.01,9.01 11/22/05 TECH DATA CORP FL 2.02,9.01 11/22/05 Tectonic Network, Inc DE 5.02 11/18/05 TELEGLOBE INTERNATIONAL HOLDINGS LTD 8.01,9.01 11/21/05 TELTRONICS INC DE 8.01 11/22/05 TENFOLD CORP /UT DE 5.02,9.01 11/17/05 TENGASCO INC TN 5.02,9.01 11/22/05 TERAYON COMMUNICATION SYSTEMS DE 3.01,8.01,9.01 11/17/05 TERRA INDUSTRIES INC MD 8.01,9.01 11/21/05 TEXAS NEW MEXICO POWER CO TX 7.01 11/18/05 TFM SA DE CV O5 1.01,5.02,9.01 07/05/05 TGC INDUSTRIES INC TX 1.01 11/17/05 THERMA WAVE INC DE 1.01,2.03,3.02,9.01 11/18/05 Thomas Equipment, Inc. DE 1.01,2.03,3.02,9.01 11/16/05 TIMCO AVIATION SERVICES INC DE 3.02,8.01,9.01 11/22/05 TITANIUM METALS CORP DE 5.02 11/05/05 TITANIUM METALS CORP DE 7.01,9.01 11/22/05 TOFUTTI BRANDS INC DE 2.02,9.01 11/21/05 TOMPKINS TRUSTCO INC NY 8.01,9.01 11/21/05 TRACTOR SUPPLY CO /DE/ DE 7.01,9.01 11/21/05 TRANSBOTICS CORP DE 8.01,9.01 11/22/05 TRAVELSHORTS COM INC WA 4.01,9.01 05/17/05 AMEND TRI VALLEY CORP DE 5.02 11/15/05 TRI-CONTINENTAL CORP MD 7.01,9.01 11/22/05 TRIO TECH INTERNATIONAL CA 2.02,9.01 11/22/05 TRUDY CORP DE 8.01,9.01 11/22/05 UNIGENE LABORATORIES INC DE 7.01,9.01 11/22/05 UNITED TENNESSEE BANKSHARES INC TN 4.02,9.01 11/08/05 AMEND UNIVERSAL PROPERTY DEVELOPMENT & ACQU CA 1.01,9.01 11/17/05 UPFC Auto Receivables Trust 2005-B DE 9.01 11/22/05 US AIRWAYS GROUP INC DE 8.01,9.01 11/22/05 USAA Auto Owner Trust 2005-4 8.01,9.01 11/22/05 VAALCO ENERGY INC /DE/ DE 2.01,9.01 11/11/05 VAALCO ENERGY INC /DE/ DE 2.02,9.01 11/03/05 VECTREN CORP IN 8.01 11/21/05 AMEND VENTURE LENDING & LEASING IV INC MD 1.01,2.03 11/22/05 VERSAR INC DE 1.01 09/30/05 VERTRUE INC DE 1.01,9.01 11/17/05 VESTA INSURANCE GROUP INC DE 1.01,5.02,9.01 11/17/05 VIASAT INC CA 3.02,9.01 11/18/05 VIASPACE Inc. NV 8.01,9.01 11/22/05 VIGNETTE CORP DE 1.01 11/22/05 VISTEON CORP DE 2.01,9.01 10/01/05 AMEND VITAL SIGNS INC NJ 2.02,7.01,9.01 11/22/05 VOIP INC 3.01,9.01 11/16/05 VWR International, Inc. 2.02,7.01 11/22/05 Wachovia Bank Commercial Mortgage Tru NC 8.01,9.01 11/18/05 WaMu Asset Acceptance Corp. DE 9.01 11/18/05 WaMu Asset Acceptance Corp. DE 9.01 11/21/05 WARWICK VALLEY TELEPHONE CO NY 8.01,9.01 11/22/05 WELLS FARGO ASSET SECURITIES CORP DE 8.01,9.01 11/22/05 WELLS REAL ESTATE INVESTMENT TRUST IN MD 1.01,7.01,8.01,9.01 11/18/05 WELLSFORD REAL PROPERTIES INC MD 2.01,8.01 11/22/05 WESTERN GAS RESOURCES INC DE 2.02,4.02,8.01,9.01 11/16/05 WESTERN WATER CO DE 2.01,2.05,9.01 11/17/05 WESTPAC SECURITISATION MGT PTY LTD SE 9.01 11/21/05 WEYCO GROUP INC WI 1.01,9.01 11/22/05 WHIRLPOOL CORP /DE/ DE 8.01,9.01 11/21/05 WILLBROS GROUP INC R1 9.01 11/22/05 AMEND WILLBROS GROUP INC R1 9.01 11/22/05 AMEND WILLIS LEASE FINANCE CORP DE 7.01,9.01 11/22/05 WIND RIVER SYSTEMS INC DE 2.02,9.01 11/22/05 WINDROSE MEDICAL PROPERTIES TRUST MD 2.01,2.03 10/26/05 AMEND WINFIELD CAPITAL CORP NY 1.03,4.01,5.02,9.01 10/14/05 WIZZARD SOFTWARE CORP /CO CO 9.01 09/08/05 AMEND WOODWARD GOVERNOR CO DE 2.02,9.01 11/21/05 World Omni Auto Receivables Trust 200 DE 9.01 10/01/05 WORLDWATER & POWER CORP DE 1.01,9.01 11/17/05 WRIGHT MEDICAL GROUP INC DE 1.01,9.01 11/22/05 ZIONS BANCORPORATION /UT/ UT 8.01,9.01 11/21/05