SEC NEWS DIGEST Issue 2006-220 November 15, 2006 COMMISSION ANNOUNCEMENTS CHANGE IN THE MEETING: TIME CHANGE The time of the closed meeting scheduled for Monday, Nov. 20, 2006, at 2:00 p.m. has been changed to 10:00 a.m. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGS SEC SANCTIONS BROKER-DEALER FOR UNSUITABLE 529 PLAN UNIT RECOMMENDATIONS On November 15, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 (Order) against 1st Global Capital Corp., a Dallas, Texas, broker-dealer registered with the Commission, relating to 1st Global's offer and sale of units of tax-advantaged qualified tuition savings plans, commonly known as Section 529 College Savings Plans (529 Plans). The Order explains that because of the unique cost structures associated with 529 Plan units, careful analysis of the costs of differing classes of 529 Plan units is necessary. The Order further states that broker-dealers recommending a 529 Plan investment to a customer must analyze the plan carefully to compare the relative costs of the different classes of units before recommending that a customer purchase a particular unit class. The Order states that the anticipated number of years until withdrawal is a critical factor in determining the appropriate class of units class for a 529 Plan investment, and that where the beneficiary of a 529 Plan is a young child, the effect of higher annual, ongoing expenses on the performance of the investment may be significant, even where the initial investment is relatively small. The Order finds that between January 2001 and 2004, 1st Global recommended and sold investments in particular classes of 529 Plan units without necessarily having reasonable grounds to believe that its recommendations were suitable, based upon 529 Plan fee structures and customer needs and objectives, particularly the beneficiary's age. The Order additionally finds that 1st Global's supervisory procedures were inadequate to determine whether its registered representatives were evaluating the suitability of their recommendations of particular classes of 529 Plan units in light of the 529 Plan structure and fees and the customers' objectives and needs, particularly the beneficiary's age. Further, to the extent the Firm had procedures, they were ineffectively implemented for this purpose. The Order finds that as a result of this conduct, 1st Global willfully violated MSRB Rules G-17 and G-19, and Section 15B(c)(1) of the Securities Exchange Act of 1934, by making unsuitable recommendations in connection with the offer and sale of 529 Plan investments. Furthermore, based on the above, the Order requires 1st Global to cease-and-desist from committing or causing any violations of those provisions and to pay a $100,000 civil penalty. 1st Global settled to the entry of the Commission's order without admitting or denying the Commission's findings. (Rel. 34-54754; File No. 3-12479; Press Rel. 2006-192) PENNY STOCK BAR - JAMES FRANKLIN James E. Franklin (Franklin) of San Diego, California, has been barred from participating in an offering of penny stock. Thus, he is prohibited from engaging in any activities related to the issuance, purchase, or sale of such speculative, low-priced securities. Franklin was enjoined in 2005 by a United States District Court in California against violations of the securities laws based on his wrongdoing in a scheme to defraud involving penny stocks. The penny stock bar was based on this injunction and was ordered in an administrative proceeding before an administrative law judge. Franklin orchestrated a fraudulent scheme, with others, to tout Easy Cellular, a penny stock, and other stocks. He personally obtained ill- gotten gains of $830,000 from the scheme, and the court fined him $770,000 in addition to the injunction. His disciplinary history also includes an injunction, fine, and order of disgorgement imposed in 2004 by a United States District Court in New York based on his wrongdoing in an unrelated scheme. (Initial Decision No. 323; File No. 3-12228) COURT ENTERS ORDER OF CONTEMPT FOR FAILURE TO OBEY TEMPORARY RESTRAINING ORDER AND PRELIMINARY INJUNCTION AGAINST DEFENDANT HENRY JONES On November 2, the US District Court for the Central District of California entered an order of contempt against Defendant Henry Jones for failure to obey the temporary restraining order and preliminary injunction that were issued in May 2005. Without admitting or denying the allegations of civil contempt made by the Securities and Exchange Commission, Jones consented to the entry of the finding of civil contempt. To purge his contempt, Jones agreed to an amended preliminary injunction with a broader prohibition of conduct. In particular, Jones is permanently enjoined from "any involvement in, or conduct facilitating or relating in any way to, investing or soliciting investment in any program purporting to involve coal or a coal mine operation, an international gold transaction, or an international banking transaction, with or from any participant, officer, director, or investor in Tri Energy Inc., H&J Energy Inc., La Vie D'Argent, Global Village Records, or Marina Investors Group, Inc." The contempt finding was based upon the SEC's evidence that, after the Court entered a temporary restraining order and preliminary injunction, Jones continued to solicit and obtain money from investors in an ongoing affinity fraud and Ponzi scheme involving Tri Energy, Inc. According to the evidence, Jones established a new business called Global Village Records (GVR) in May of 2005. GVR appeared to be operating in place of Jones' other businesses Marina Investors Group, Inc. and MIG Records, whose accounts were subject to an asset freeze due to the fraud. According to the evidence, Jones opened a new bank account in the name of GVR, which he used to receive additional funds from Tri Energy investors. The evidence also shows that Jones caused at least $500,000 from a Tri-Energy investor to be sent to one of Jones' performers under the pretense that the performer was really an attorney for the gold transaction. The SEC's complaint alleges that the gold transaction was a fraud that Jones and others used to defraud hundreds of investors of over $50 million by promising returns of 100% or more within 60 days. The SEC's complaint alleges that Jones and other have been telling investors that these extraordinary profits were to be generated in part by helping an unnamed Saudi Arabian prince move gold from Israel through Luxembourg to the United Arab Emirates. In reality, according to the Complaint, although some money has been paid out to investors, these funds appear to have come from new investor money, and substantial amounts of investor funds have been transferred to bank accounts controlled by the proposed defendants and relief defendants. Defendants have characterized the purported gold transaction to religiously devout investors as "deistically inspired" and "divinely guided." For their roles in the alleged scheme, the SEC charged Jones and the other defendants with violations of Sections 5 and 17(a) of the Securities Act of 1933 (Securities Act) and violations of, and aiding and abetting violations of, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The SEC also named various relief defendants, including the performer who received the $500,000, who allegedly received investor funds to which they have no legitimate claim. [SEC v. Tri Energy, Inc., H & J Energy Company, Inc., Marina Investors Group, Inc., Lowell Decker, Robert Jennings, Henry Jones, Arthur Simburg, Mildred Stultz, DJM, LLC, Financial MD, Inc., Financial MD and Associates, Inc., Daniel J. Merriman, Global Village Records, and La Vie D'Argent, as defendants, and R.P.J. Investment Group, Inc., T.M.A. Investment Enterprises, Thomas Avery, and Wing NGA Lau, a/k/a Adrienne Lau, as relief defendants, Case No. ED CV 05-00351 AG(MANx) (C.D. California] (LR-19907) FINAL DISTRIBUTION ORDERED The Commission announced that on Aug. 22, 2006, the Honorable James D. Whittemore of the Middle District of Florida entered a Final Order authorizing the distribution of disgorgement funds to defrauded investors and barring all future claims. Judge Whittemore allowed 32 claims, disallowed one claim and directed the transfer of $121,997.93 for distribution. The funds were distributed in September 2006. Previously, in September 2005 the Commission notified 73 investors in Investment Recovery Network and its predecessor company, Global Investment Recovery Services (collectively IRN), of the availability of disgorged funds for distribution and the procedure for making claims of the funds. Subsequently, 33 of the investors submitted claims. The Commission filed this lawsuit in February 2003, alleging in part that in connection with the offer and sale of IRN stock, Robert Magnan and IRN made a series of misrepresentations and omissions to prospective purchasers regarding IRN's past performance, likelihood of going public, and future projections. In October 2004, without admitting or denying any of the allegations of the Complaint, Magnan and IRN consented to the entry of an injunction against future violations of the anti-fraud and other provisions of the federal securities laws. The injunction against Magnan also ordered him to pay $125,000 in disgorgement into the Court Registry Investment System for distribution to defrauded IRN investors. [SEC v. Robert A. Magnan, Investment Recovery Network, Inc., John Delprince, and Old Dominion Securities, Inc., Case No. 8:03-CV-321-T-27 TBM (M.D. Fla.)] (LR- 19909) SEC CHARGES WORLD INFORMATION TECHNOLOGY, INC., ITS FORMER CHAIRMAN AND CEO, AND OTHERS WITH A "PUMP-AND-DUMP" SCHEME The Commission announced that on November 14 it filed a complaint in the U.S. District Court for the Southern District of New York against World Information Technology, Inc., its former Chairman and CEO, Gary Morgan, a stock promoter, Ira Dicapua, and a registered stockbroker, Steven Sirianni, with a "pump-and-dump" scheme involving World Information stock. The Commission's complaint alleges that, in early 2003, Morgan and others working with him (Morgan's Group) purchased a publicly-traded shell company and merged it with a Taiwanese-based company controlled by a member of Morgan's Group. Shortly thereafter, the shell company changed its name to World Information Technology, Inc., issued more than 13.8 million shares to entities controlled by Morgan's Group, and appointed Morgan as its CEO and Chairman. In order to increase the price of World Information stock, Morgan made false and misleading statements in public filings and press releases about World Information. For example, Morgan falsely stated that World Information had received a "firm commitment" for $20 million in funding. Morgan's false and misleading statements significantly increased World Information's stock price. For example, World Information's stock price increased from an average price of $2.245 to $4.527 per share following Morgan's interview with an on-line marketing firm in which he made false statements about World Information's funding. Morgan also failed to disclose his beneficial ownership and control of World Information stock. In order to create demand for World Information stock, Morgan arranged to pay brokers kickbacks to sell World Information stock to customers. Morgan paid Dicapua, a consultant engaged to promote securities among brokers, approximately $117,500. Dicapua then paid Sirianni, a stock broker for a registered broker- dealer, approximately $75,800 to solicit purchases of World Information stock from his customers and to purchase shares in his own account. While engaged in the pump-and-dump scheme, Morgan sold approximately 300,000 shares of World Information and received approximately $866,000 in illicit trading profits. The complaint charges all defendants with 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 World Information with violating Section 13(a) of the Exchange Act and Rules 12b-20, 13a-1, and 13a-13 thereunder. The complaint also charges Morgan with violating Sections 5(a) and 5(c) of the Securities Act and Sections 13(d) and 16(a) of the Exchange Act and Rules 12b-20, 13d-1, 13d-2, 13a-14, and 16a-3 and aiding and abetting World Information's violations of Section 13(a) of the Exchange Act and Rules 12b-20 and 13a-13 thereunder pursuant to Section 20(e) of the Exchange Act. The complaint further charges Sirianni with violating Section 15(a)(1) of the Exchange Act. In its action, the Commission is seeking permanent injunctions prohibiting defendants from committing future violations of the foregoing federal securities laws, disgorgement of ill-gotten gains plus pre-judgment interest thereon, civil penalties, and an officer and director bar against Morgan. [SEC v. World Information Technology, Inc., et al., Civil Action No. 06-CV-13181 (VM) (S.D.N.Y.)] (LR-19910) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGES The New York Stock Exchange filed a proposed rule change (SR-NYSE- 2006-79) relating to a fee on orders in equities and exchange traded funds routed from the Exchange and executed in another market pursuant to the Linkage Plan. The proposed rule change became effective upon filing with the Commission. Publication is expected in the Federal Register during the week of November 13. (Rel. 34-54727) The National Securities Clearing Corporation filed a proposed rule change (SR-NSCC-2006-10), which became effective upon filing, relating to clarifying and technical changes to its rules regarding ACATS Fund/SERV. Publication is expected in the Federal Register during the week of November 13. (Rel. 34-54737) A proposed rule change (SR-CBOE-2006-91) filed by the Chicago Board Options Exchange increasing the class quoting limit in the option class Research in Motion has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 13. (Rel. 34-54738) A proposed rule change (SR-NASD-2006-122) filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., to modify pricing for NASD members using ITS/CAES, Brut, and Inet has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 13. (Rel. 34-54742) A proposed rule change filed by the New York Stock Exchange relating to Rule 116 ("Stop" Constitutes Guarantee) (SR-NYSE-2006-91) has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 13. (Rel. 34-54743) The Commission issued notice of immediate effectiveness of a proposed rule change (SR-Phlx-2006-71) filed by the Philadelphia Stock Exchange relating to clarifying its payment for order flow program as it relates to order flow providers. Publication is expected in the Federal Register during the week of November 13. (Rel. 34-54746) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-NASD-2006-073) as amended by Amendment No. 2 submitted by the National Association of Securities Dealers to amend NASD Interpretive Material 2210-4 to require a member firm or a person associated with a member firm that refers, on its internet Web site, to the firm's membership in NASD to provide a hyperlink to NASD's Web site. Publication is expected in the Federal Register during the week of November 13. (Rel. 34-54740) PROPOSED RULE CHANGE A proposed rule change has been filed by the American Stock Exchange (SR-Amex-2006-106) relating to the adoption of a penny pilot program under Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 13. (Rel. 34-54741) AMENDED FILING OF A PROPOSED RULE CHANGE The Options Clearing Corporation filed an amendment to proposed rule change (SR-OCC-2006-01) under Section 19(b)(1) of the Exchange Act that would allow OCC to amend Article VI (Clearance of Exchange Transactions), Section 11A of OCC's By-Laws to (1) eliminate the need to round strike prices and/or units of trading in the event of certain stock dividends, stock distributions, and stock splits and (2) provide for the adjustment of outstanding options for special dividends (i.e., cash distributions not declared pursuant to a policy or practice of paying such distributions on a quarterly or other regular basis). The proposed rule change would also add a $12.50 per contract threshold amount for cash dividends and distributions to trigger OCC's adjustment rules. Publication is expected in the Federal Register during the week of November 20. (Rel. 34-54748) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 Skagit State Bancorp, Inc., 301 E. FAIRHAVEN AVENUE, BURLINGTON, WA, 98233, 360-755-0411 - 0 ($9,720,073.00) Equity, (File 333-138665 - Nov. 14) (BR. 07) S-8 Cardium Therapeutics, Inc., 3611 VALLEY CENTRE DRIVE, SUITE 525, SAN DIEGO, CA, 92130, (858) 436-1000 - 0 ($15,864,396.80) Equity, (File 333-138666 - Nov. 14) (BR. 01B) SB-2 VALLEY FORGE COMPOSITE TECHNOLOGIES, INC., RIVER CENTER I, 50 E RIVER CENTER BLVD, SUITE 820, COVINGTON, KY, 41011, 858-581-5111 - 9,296,500 ($17,296,500.00) Equity, (File 333-138667 - Nov. 14) (BR. 09) SB-2 PERFORMANCE HEALTH TECHNOLOGIES INC, 6654 GUNPARK DRIVE #200, BOULDER, CO, 80301, 303-527-0600 - 82,699,231 ($20,674,807.75) Other, (File 333-138668 - Nov. 14) (BR. 10) S-8 ELECTROGLAS INC, 5729 FONTANOSO WAY, SAN JOSE, CA, 95138, 408-528-3000 - 4,000,000 ($11,760,000.00) Equity, (File 333-138669 - Nov. 14) (BR. 10B) F-3ASR ALCATEL, 54 RUE LA BOETIE, 2288 BH, PARIS FRANCE, I0, 75008, 3314076101 - 0 ($1,630,500,000.00) Debt, (File 333-138670 - Nov. 14) (BR. 11A) SB-2 LEGACY MINING LTD., SUITE 806, 1288 ALBERNI STREET, VANCOUVER, A1, V6E 4N5, 604-664-0499 - 5,605,176 ($280,258.80) Equity, (File 333-138672 - Nov. 14) (BR. 09) S-8 TITAN PHARMACEUTICALS INC, 400 OYSTER POINT BLVD, SUITE 505, SAN FRANCISCO, CA, 94080, 4152444990 - 1,000,000 ($2,270,000.00) Equity, (File 333-138673 - Nov. 14) (BR. 01C) S-8 CADIZ INC, 777 SOUTH FIGUEROA STREET, SUITE 4250, LOS ANGELES, CA, 90017, 213-271-1600 - 50,000 ($980,000.00) Equity, (File 333-138674 - Nov. 14) (BR. 02C) S-4 XPLORE TECHNOLOGIES CORP, 6535B MISSISSAUGUA RD, ONTARIO, A6, 00000, 0 ($21,982,200.00) Debt, (File 333-138675 - Nov. 14) (BR. 03) S-4 WINDSTREAM CORP, 4001 RODNEY PARHAM RD., LITTLE ROCK, AR, 72212, 5017487000 - 0 ($2,546,000,000.00) Non-Convertible Debt, (File 333-138678 - Nov. 14) (BR. 11B) S-3 EPIX Pharmaceuticals, Inc., 4 MAGUIRE ROAD, LEXINGTON, MA, 02421, 6172506000 - 0 ($32,513,636.34) Equity, (File 333-138679 - Nov. 14) (BR. 01A) S-8 EPIX Pharmaceuticals, Inc., 4 MAGUIRE ROAD, LEXINGTON, MA, 02421, 6172506000 - 0 ($7,337,486.35) Equity, (File 333-138680 - Nov. 14) (BR. 01A) S-3 AKORN INC, 2500 MILLBROOK DRIVE, BUFFALO GROVE, IL, 60089, 8472796100 - 0 ($4,350,000.00) Equity, (File 333-138681 - Nov. 14) (BR. 01C) S-8 CHART INDUSTRIES INC, ONE INFINITY CORPORATE CENTRE DRIVE, SUITE 300, GARFIELD HEIGHTS, OH, 44125-5370, 4407531490 - 3,421,030 ($43,310,239.80) Equity, (File 333-138682 - Nov. 14) (BR. 06C) S-1 TELULAR CORP, 647 N LAKEVIEW PKWAY, 920 DEERFIELD PKWY, VERNON HILLS, IL, 60061, 8474654500 - 0 ($5,856,762.60) Equity, (File 333-138683 - Nov. 14) (BR. 11C) SB-2 PHOTOMATICA, INC., 112 NORTH CURRIE STREET, CARSON CITY, NV, 89703-4934, 775-321-8243 - 3,200,000 ($800,000.00) Equity, (File 333-138684 - Nov. 14) (BR. ) S-8 CORPORATE EXECUTIVE BOARD CO, 2000 PENNSYLVANIA AVE NW, WASHINGTON, DC, 20006, 2026725600 - 0 ($50,000,000.00) Equity, (File 333-138685 - Nov. 14) (BR. 08A) N-2 Claymore Strategic Opportunities Fund, 2455 CORPORATE WEST DRIVE, LISLE, IL, 60532, 630-505-3700 - 50,000 ($1,000,000.00) Equity, (File 333-138686 - Nov. 14) (BR. ) S-8 HEALTH SCIENCES GROUP INC, HOWARD HUGHES CENTER, 6080 CENTER DRIVE, 6TH FLOOR, LOS ANGELES, CA, 90045, 3102426700 - 12,600,000 ($504,000.00) Equity, (File 333-138687 - Nov. 14) (BR. 06C) N-2 Kiewit Investment Fund LLLP, 73 TREMONT STREET, BOSTON, MA, 02108, 800-443-4306 - 3,040 ($50,006,996.80) Limited Partnership Interests, (File 333-138688 - Nov. 14) (BR. 22) S-3 SI INTERNATIONAL INC, 12012 SUNSET HILLS ROAD, SUITE 800, RESTON, VA, 20190-5869, 7032347000 - 0 ($145,862,000.00) Equity, (File 333-138689 - Nov. 14) (BR. 03A) S-8 BOOTS & COOTS INTERNATIONAL WELL CONTROL INC, 11615 N. HOUSTON ROSSLYN, HOUSTON, TX, 77086, 7136217911 - 0 ($3,940,000.00) Equity, (File 333-138690 - Nov. 14) (BR. 04B) S-8 BOOTS & COOTS INTERNATIONAL WELL CONTROL INC, 11615 N. HOUSTON ROSSLYN, HOUSTON, TX, 77086, 7136217911 - 895,250 ($1,763,643.00) Equity, (File 333-138691 - Nov. 14) (BR. 04B) SB-2 FC FINANCIAL SERVICES INC, 7075 PLACE ROBERT-JONCAS, UNIT 131, MONTREAL, A8, H4M 2Z2, 514-270-5770 - 10,000,000 ($22,000,000.00) Equity, (File 333-138693 - Nov. 14) (BR. 07) S-8 ORACLE CORP, 500 ORACLE PARKWAY, MAIL STOP 5 OP 7, REDWOOD CITY, CA, 94065, 6505067000 - 1,473,500 ($27,613,390.00) Equity, (File 333-138694 - Nov. 14) (BR. 03B) S-8 BIOVAIL CORP INTERNATIONAL, 7150 MISSISSAUGA ROAD, MISSISSAUGA, ONTARIO, A6, 00000, 905 286-3000 - 0 ($96,330,000.00) Equity, (File 333-138697 - Nov. 14) (BR. 01C) S-8 TECHNOLOGY SOLUTIONS COMPANY, 205 N MICHIGAN AVE, SUITE 1500, CHICAGO, IL, 60601, 3122284500 - 0 ($4,087,500.00) Equity, (File 333-138698 - Nov. 14) (BR. 03C) S-1 Alyst Acquisition Corp., 233 EAST 69TH STREET, #6J, NEW YORK, NY, 10021, 212-650-0232 - 0 ($135,800,100.00) Equity, (File 333-138699 - Nov. 14) (BR. ) S-3 IMAGE ENTERTAINMENT INC, 20525 NORDHOFF STREET, SUITE 200, CHATSWORTH, CA, 91311, 8184079100 - 0 ($21,095,197.00) Equity, (File 333-138701 - Nov. 14) (BR. 05B) S-8 GSE SYSTEMS INC, 7133 RUTHERFORD RD, SUITE 200, BALTIMORE, MD, 21244, 4102773740 - 1,875,000 ($5,962,500.00) Equity, (File 333-138702 - Nov. 14) (BR. 03C) S-8 ROBERTS REALTY INVESTORS INC, 450 NORTHRIDGE PARKWAY, STE 302, ATLANTA, GA, 30350, 7703946000 - 400,000 ($3,148,000.00) Equity, (File 333-138703 - Nov. 14) (BR. 08C) S-8 Kodiak Oil & Gas Corp, SUITE 330 1625 BROADWAY, DENVER, CO, 90202, 303-592-8070 - 7,496,942 ($18,018,345.00) Equity, (File 333-138704 - Nov. 14) (BR. 04) S-3ASR VERIZON COMMUNICATIONS INC, 140 WEST STREET, 29TH FLOOR, NEW YORK, NY, 10007, 212-395-1000 - 30,000,000 ($1,073,100,000.00) Equity, (File 333-138705 - Nov. 14) (BR. 11B) S-3 APEX SILVER MINES LTD, CALEDONIAN HOUSE MARY STREET, GEORGETOWN BWI, GRAND CAYMAN ISLAND, 3038395060 - 0 ($200,000,000.00) Other, (File 333-138707 - Nov. 14) (BR. 04C) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE DATE COMMENT ABFC 2006-OPT3 Trust DE 9.01 11/14/06 ABIOMED INC DE 4.01,9.01 11/09/06 ABLEAUCTIONS COM INC FL 2.02 11/14/06 ACCELLENT INC 2.02,9.01 11/14/06 ACCESS WORLDWIDE COMMUNICATIONS INC DE 2.02,7.01,9.01 11/14/06 ACE Securities Corp. Home Equity Loan DE 9.01 10/30/06 ACME COMMUNICATIONS INC DE 2.02 11/14/06 ACUSPHERE INC DE 2.02,9.01 11/14/06 ADAMS RESOURCES & ENERGY, INC. DE 2.02 09/30/06 Adams Respiratory Therapeutics, Inc. DE 5.02,8.01,9.01 11/08/06 ADEPT TECHNOLOGY INC CA 2.02,9.01 11/14/06 ADVANT E CORP DE 2.02,9.01 11/14/06 AETHER HOLDINGS INC DE 1.01,2.01,3.02,8.01,9.01 11/07/06 AFFILIATED COMPUTER SERVICES INC DE 2.04,9.01 11/09/06 Affinia Group Intermediate Holdings I DE 2.02,9.01 11/14/06 Affinion Group, Inc. DE 2.02,9.01 11/13/06 AFFIRMATIVE INSURANCE HOLDINGS INC DE 2.02,7.01,9.01 11/09/06 AGILENT TECHNOLOGIES INC DE 2.02,9.01 11/14/06 AK STEEL HOLDING CORP DE 7.01,9.01 11/13/06 Akeena Solar, Inc. DE 2.02,9.01 11/13/06 AKORN INC LA 1.01,9.01 11/08/06 ALEXION PHARMACEUTICALS INC DE 8.01,9.01 11/14/06 ALL AMERICAN SEMICONDUCTOR INC DE 2.02,9.01 11/14/06 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 11/14/06 Alliance Distributors Holding Inc. DE 2.02,9.01 11/14/06 ALLIANCE IMAGING INC /DE/ DE 5.02,9.01 11/13/06 ALLIED HEALTHCARE INTERNATIONAL INC NY 8.01,9.01 11/10/06 Alphatec Holdings, Inc. DE 8.01,9.01 07/27/06 Alphatec Holdings, Inc. DE 8.01,9.01 11/07/06 Alternative Loan Trust 2006-J7 DE 8.01,9.01 10/30/06 AMCOL INTERNATIONAL CORP DE 1.01,8.01,9.01 11/10/06 AMCOMP INC /FL DE 4.02 11/09/06 AMERICAN ACCESS TECHNOLOGIES INC FL 2.02,9.01 11/14/06 AMERICAN CLAIMS EVALUATION INC NY 2.02,9.01 11/14/06 AMERICAN PHYSICIANS CAPITAL INC MI 7.01,9.01 11/14/06 AMERICAN TOWER CORP /MA/ DE 8.01 11/14/06 AMERICAS CARMART INC TX 2.02,9.01 11/13/06 AMERISERV FINANCIAL INC /PA/ PA 8.01,9.01 11/14/06 AMERISOURCEBERGEN CORP DE 5.02,8.01,9.01 11/08/06 AMERITRANS CAPITAL CORP DE 2.02,9.01 09/30/06 AMERIVEST PROPERTIES INC MD 1.01,2.01,9.01 11/08/06 ANALOG DEVICES INC MA 2.02,9.01 11/14/06 ANSOFT CORP PA 2.02,9.01 11/14/06 APOGEE ENTERPRISES INC MN 7.01,9.01 11/13/06 APOLLO DRILLING, INC. DE 1.01,9.01 11/10/06 APPLEBEES INTERNATIONAL INC DE 7.01,8.01,9.01 11/14/06 APPLETON PAPERS INC/WI 2.02,9.01 11/13/06 APPLICA INC FL 8.01,9.01 11/13/06 APPLIED SPECTRUM TECHNOLOGIES INC MN 4.01,9.01 11/14/06 ARADIGM CORP CA 3.01,9.01 11/09/06 ARC WIRELESS SOLUTIONS INC UT 2.02,9.01 11/14/06 ARCH CAPITAL GROUP LTD. 8.01 11/08/06 ARRIS GROUP INC DE 7.01,9.01 11/14/06 ARVINMERITOR INC IN 2.02,9.01 11/14/06 ASG Consolidated LLC DE 5.02,9.01 11/08/06 ASHLAND INC. KY 5.02 11/10/06 ASSISTED LIVING CONCEPTS INC NV 1.01,2.01,2.03,5.02, 11/10/06 5.03,8.01,9.01 ASSURANT INC 4.02,5.02 11/09/06 ASTRO MED INC /NEW/ RI 2.02,9.01 11/14/06 ATLANTIC AMERICAN CORP GA 2.02,9.01 09/30/06 Atlas Pipeline Holdings, L.P. DE 1.01,9.01 11/10/06 AUBURN NATIONAL BANCORPORATION INC DE 8.01,9.01 11/14/06 AUGRID CORP NV 1.01 11/08/06 AVATECH SOLUTIONS INC DE 5.02,9.01 11/08/06 AVENUE GROUP INC DE 4.02 11/14/06 AVEROX INC. NV 1.01,2.01,3.02,4.01,5.01, 11/13/06 5.02,5.06,8.01,9.01 AVISTA CORP WA 5.03,9.01 11/09/06 BA Credit Card Trust 8.01,9.01 11/14/06 BALLY TECHNOLOGIES, INC. NV 2.02,9.01 11/09/06 Banc of America Alternative Loan Trus DE 8.01,9.01 10/30/06 Banc of America Funding 2006-7 Trust DE 8.01,9.01 10/30/06 Banc of America Mortgage 2006-B Trust DE 8.01,9.01 10/30/06 BANCORPSOUTH INC MS 7.01,9.01 11/13/06 BANKATLANTIC BANCORP INC FL 7.01,9.01 11/14/06 Bear Stearns Asset Backed Securities DE 9.01 08/30/06 AMEND Bear Stearns Asset Backed Securities DE 9.01 10/30/06 BEHRINGER HARVARD REIT I INC MD 7.01,9.01 11/10/06 BELL INDUSTRIES INC /NEW/ CA 1.01,9.01 11/10/06 BELL INDUSTRIES INC /NEW/ CA 2.02,9.01 11/14/06 BEXIL CORP MD 2.02,4.02,9.01 11/10/06 BIO KEY INTERNATIONAL INC MN 2.02,9.01 11/13/06 BIOFORCE NANOSCIENCES HOLDINGS, INC. NV 9.01 02/24/06 AMEND BIOSANTE PHARMACEUTICALS INC DE 2.02,9.01 11/14/06 BISON INSTRUMENTS INC MN 5.02 11/13/06 BJS WHOLESALE CLUB INC DE 2.02,9.01 11/14/06 BLONDER TONGUE LABORATORIES INC DE 2.02,9.01 11/14/06 BLUE HOLDINGS, INC. NV 2.02,9.01 11/14/06 BLUEFLY INC DE 2.02,9.01 11/14/06 Boardwalk Pipeline Partners, LP DE 1.01,7.01,9.01 11/14/06 BORLAND SOFTWARE CORP DE 1.01,2.02,5.02,9.01 11/14/06 BROADVIEW INSTITUTE INC MN 2.02,9.01 11/14/06 Brookdale Senior Living Inc. DE 2.02,9.01 11/14/06 BSABS 2006-HE8 DE 9.01 10/30/06 BSD MEDICAL CORP DE 7.01,9.01 11/14/06 BUILDING MATERIALS HOLDING CORP DE 2.01 11/09/06 BUILDING MATERIALS HOLDING CORP DE 1.01,9.01 11/10/06 BULLION RIVER GOLD CORP 1.01,2.03,3.02,9.01 11/08/06 C-BASS Mortgage Loan Asset-Backed Cer DE 8.01,9.01 10/30/06 CADENCE FINANCIAL CORP MS 2.01,9.01 11/14/06 CalAmp Corp. DE 1.01 11/10/06 CALPINE CORP DE 2.02,7.01,9.01 09/30/06 CAMERON INTERNATIONAL CORP DE 5.02 11/14/06 Canadian Rockport Homes Int'l, Inc. 8.01 11/14/06 CAPITAL TRUST INC MD 7.01,9.01 11/14/06 CARACO PHARMACEUTICAL LABORATORIES LT MI 7.01,9.01 11/14/06 CARDICA INC DE 5.02,9.01 11/08/06 CAREGUIDE INC DE 2.02,9.01 11/14/06 CASCADE NATURAL GAS CORP WA 1.01,9.01 11/07/06 CASPIAN INTERNATIONAL OIL CORP DE 4.01,9.01 08/10/06 CATALYTICA ENERGY SYSTEMS INC DE 2.02,9.01 11/14/06 CATALYTICA ENERGY SYSTEMS INC DE 9.01 10/25/06 AMEND CATERPILLAR FINANCIAL SERVICES CORP DE 8.01,9.01 11/13/06 CEC ENTERTAINMENT INC KS 8.01 11/13/06 CENTERSTATE BANKS OF FLORIDA INC FL 1.01,9.01 11/13/06 Century Petroleum Corp. NV 2.01 10/01/06 CENVEO, INC CO 1.01 11/08/06 Chelsea Therapeutics International, L DE 2.02,8.01,9.01 11/14/06 CHEMOKINE THERAPEUTICS CORP DE 8.01 11/14/06 CHINA EXPERT TECHNOLOGY, INC. NV 2.02,9.01 11/14/06 CHINA-BIOTICS, INC DE 5.02 11/13/06 CHORDIANT SOFTWARE INC DE 8.01 11/14/06 CHS INC MN 4.02,9.01 11/09/06 CIGNA CORP DE 8.01,9.01 11/07/06 CIPHERGEN BIOSYSTEMS INC DE 2.01,9.01 11/13/06 CITIBANK CREDIT CARD MASTER TRUST I DE 8.01 11/14/06 COACTIVE MARKETING GROUP INC DE 1.01,9.01 11/08/06 COAST DISTRIBUTION SYSTEM INC DE 2.02,9.01 11/13/06 COLLINS & AIKMAN FLOOR COVERINGS INC DE 8.01 11/10/06 COLONIAL COMMERCIAL CORP NY 2.02,9.01 11/13/06 Columbia Equity Trust, Inc. MD 2.02,7.01,9.01 11/14/06 Columbia Equity Trust, Inc. MD 9.01 09/08/06 AMEND COMBINATORX, INC DE 2.02,9.01 11/14/06 COMERICA INC /NEW/ DE 8.01,9.01 11/14/06 COMERICA INC /NEW/ DE 7.01,9.01 11/14/06 Complete Production Services, Inc. DE 1.01,2.01,3.02,7.01,9.01 11/08/06 COMPUTER HORIZONS CORP NY 2.02,9.01 11/09/06 COMTEX NEWS NETWORK INC DE 1.01,2.02,5.02,9.01 11/10/06 Conihasset Capital Partners, Inc. DE 5.02 11/10/06 CONSTAR INTERNATIONAL INC DE 2.02,9.01 11/14/06 CONSUMER PORTFOLIO SERVICES INC CA 1.01,9.01 11/09/06 CONTINENTAL AIRLINES INC /DE/ DE 1.01,2.03,8.01,9.01 11/14/06 CONTINENTAL MATERIALS CORP DE 2.02,9.01 11/13/06 Copano Energy, L.L.C. DE 7.01,9.01 11/10/06 CORAUTUS GENETICS INC DE 2.02,9.01 11/14/06 CORCEPT THERAPEUTICS INC 1.01,2.02,9.01 11/08/06 COST U LESS INC WA 1.01,2.02,9.01 11/07/06 COUNTERPATH SOLUTIONS, INC. NV 4.01 11/07/06 AMEND CPG INTERNATIONAL INC. DE 2.02,9.01 11/14/06 CPI AEROSTRUCTURES INC NY 2.02,9.01 11/14/06 CREDITRISKMONITOR COM INC NV 2.02,9.01 11/14/06 CRM Holdings, Ltd. 1.01,2.01,2.03,7.01,9.01 11/14/06 CRONOS GROUP 2.02,9.01 11/13/06 CROWLEY MARITIME CORP DE 4.02 11/13/06 CRYOCOR INC DE 1.01,9.01 11/08/06 Crystal River Capital, Inc. MD 2.02,7.01,9.01 11/09/06 CSAB Mortgage-Backed Trust 2006-3 8.01,9.01 11/14/06 CSMC Mortgage-Backed Trust 2006-9 DE 8.01,9.01 11/14/06 CTC Media, Inc. 1.01,2.03 11/14/06 CWHEQ Revolving Home Equity Loan Trus 8.01,9.01 08/29/06 AMEND DAWSON GEOPHYSICAL CO TX 2.02,9.01 11/14/06 DCP Midstream Partners, LP DE 5.02,8.01 11/09/06 DCP Midstream Partners, LP DE 9.01 11/07/06 AMEND DEERE & CO DE 7.01 11/14/06 DELL INC DE 8.01,9.01 11/14/06 DELPHI CORP DE 1.01,9.01 11/13/06 DIASYS CORP DE 3.01 11/14/06 DICKS SPORTING GOODS INC DE 1.01,9.01 11/13/06 DIGENE CORP DE 5.02,9.01 11/13/06 DIGITAL RECORDERS INC NC 2.02,7.01,9.01 11/14/06 Directed Electronics, Inc. FL 2.02,9.01 11/14/06 Discovery Holding CO DE 2.02 11/13/06 Dividend Capital Total Realty Trust I MD 2.01,9.01 09/28/06 AMEND DOR BIOPHARMA INC DE 2.02,9.01 11/14/06 DOV PHARMACEUTICAL INC DE 2.02,9.01 11/09/06 DOV PHARMACEUTICAL INC DE 8.01 11/09/06 DSL NET INC DE 2.02,9.01 11/14/06 DUKE REALTY CORP IN 8.01,9.01 11/14/06 DUKE REALTY LIMITED PARTNERSHIP/ IN 8.01,9.01 11/14/06 DYNAVAX TECHNOLOGIES CORP DE 8.01,9.01 11/12/06 DYNCORP INTERNATIONAL INC. DE 7.01,9.01 11/14/06 Eagle Bulk Shipping Inc. 7.01,9.01 11/09/06 EARTHLINK INC DE 7.01,9.01 11/13/06 EATON VANCE CORP MD 7.01,9.01 11/14/06 ECC Capital CORP 2.02,9.01 11/14/06 Eddie Bauer Holdings, Inc. DE 2.02,7.01,9.01 11/14/06 Edgen Corp 5.02,7.01 11/13/06 ELCOM INTERNATIONAL INC DE 2.02,9.01 11/10/06 EMC CORP MA 8.01,9.01 11/14/06 EMDEON CORP DE 8.01,9.01 11/10/06 EMPIRE FINANCIAL HOLDING CO FL 2.02,8.01,9.01 11/13/06 EMPIRE RESOURCES INC /NEW/ DE 2.02,9.01 11/13/06 ENCORE WIRE CORP /DE/ DE 7.01,9.01 11/14/06 ENCORIUM GROUP INC NV 2.02,9.01 11/14/06 Energy Transfer Partners, L.P. DE 2.02,7.01,9.01 11/14/06 ENERGY WEST INC MT 2.02,9.01 11/14/06 ENIGMA SOFTWARE GROUP, INC DE 1.01,9.01 11/14/06 ENTREMED INC DE 2.02,9.01 11/06/06 ENVIRONMENTAL POWER CORP DE 1.01,2.03,3.03,5.03,8.01,9.01 11/08/06 EPIQ SYSTEMS INC MO 2.02,4.02,9.01 11/14/06 EPL Intermediate, Inc. DE 2.02,9.01 11/09/06 ERICO INTERNATIONAL CORP 8.01 11/14/06 ESCO TECHNOLOGIES INC MO 2.02,7.01,9.01 11/14/06 ESSEX CORP VA 5.02 11/08/06 EVANS BOB FARMS INC DE 2.02,9.01 11/13/06 EXPRESS SCRIPTS INC DE 7.01 11/14/06 FAIRCHILD CORP DE 8.01,9.01 11/13/06 FAVRILLE INC DE 2.02,9.01 11/14/06 FCStone Group, Inc. IA 5.02,5.05,9.01 11/09/06 Federal Home Loan Bank of Atlanta X1 2.03 11/08/06 Federal Home Loan Bank of Boston X1 2.03 11/08/06 Federal Home Loan Bank of Chicago X1 2.03 11/08/06 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 11/08/06 Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/10/06 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/08/06 Federal Home Loan Bank of New York X1 2.03,9.01 11/09/06 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/08/06 Federal Home Loan Bank of San Francis X1 2.03 11/08/06 Federal Home Loan Bank of Seattle 2.03 11/13/06 Federal Home Loan Bank of Topeka 2.03 11/08/06 FEDERAL NATIONAL MORTGAGE ASSOCIATION 1.01,5.02,9.01 11/07/06 FIRST BANCTRUST CORP DE 2.02,9.01 11/10/06 First Business Financial Services, In 5.02 11/08/06 FIRST CONSULTING GROUP INC DE 5.02,9.01 11/12/06 FIRST FEDERAL BANCSHARES INC /DE DE 2.02,9.01 11/14/06 First Franklin Mortgage Loan Trust 20 DE 8.01,9.01 10/30/06 First Franklin Mortgage Loan Trust 20 DE 8.01,9.01 10/30/06 FIRST IPSWICH BANCORP /MA MA 2.02,9.01 11/14/06 FIRST LITCHFIELD FINANCIAL CORP DE 8.01,9.01 11/13/06 FIRST MCMINNVILLE CORP TN 5.02,9.01 06/20/06 FIRSTFED FINANCIAL CORP DE 7.01,9.01 09/30/06 FIVE STAR QUALITY CARE INC 8.01,9.01 11/14/06 FLOWSERVE CORP NY 2.02,9.01 11/09/06 FNB CORP \VA\ VA 5.02 11/13/06 FOG CUTTER CAPITAL GROUP INC MD 2.02,9.01 11/13/06 FORCE PROTECTION INC NV 1.01,9.01 11/09/06 FORD MOTOR CO DE 8.01,9.01 11/14/06 FORD MOTOR CREDIT CO DE 8.01,9.01 11/14/06 FOREST OIL CORP NY 7.01 11/14/06 FORMFACTOR INC DE 5.02 11/10/06 Fortunet, Inc. NV 2.02,9.01 11/14/06 FOSSIL INC DE 2.02,8.01,9.01 11/14/06 FOXHOLLOW TECHNOLOGIES, INC. DE 1.01,5.02,9.01 11/07/06 FRANKLIN ELECTRONIC PUBLISHERS INC PA 2.02,9.01 11/13/06 Gaming Partners International CORP NV 7.01,9.01 11/14/06 GENERAL COMMUNICATION INC AK 2.02,4.02,9.01 11/13/06 GENERAL GROWTH PROPERTIES INC DE 5.03,9.01 11/08/06 GENTEK INC DE 2.02,9.01 11/09/06 GENTEX CORP MI 5.02 11/14/06 GENVEC INC DE 2.02,9.01 11/08/06 GENWORTH FINANCIAL INC DE 1.01,2.03,8.01,9.01 11/07/06 GIANT INDUSTRIES INC DE 2.02,9.01 09/30/06 GLOBAL GREEN SOLUTIONS INC. WA 1.01 11/10/06 GLOBETEL COMMUNICATIONS CORP DE 5.02,7.01 11/07/06 GOLDEN PATRIOT CORP NV 8.01,9.01 11/09/06 Golf Galaxy, Inc. MN 1.01,9.01 11/13/06 GRAHAM PACKAGING HOLDINGS CO DE 2.02,7.01,9.01 11/13/06 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 11/10/06 Gregg Appliances Inc 2.02,9.01 11/14/06 Guideline, Inc. NY 2.02,9.01 11/14/06 H&E Equipment Services, Inc. DE 7.01,9.01 11/13/06 HALIFAX CORP VA 2.02,9.01 11/14/06 HANMI FINANCIAL CORP DE 7.01,9.01 11/14/06 HANSEN NATURAL CORP DE 8.01 11/07/06 HAPC, Inc. DE 4.02 11/13/06 HAPC, Inc. DE 8.01,9.01 04/26/06 AMEND HARBOR FLORIDA BANCSHARES INC DE 1.01,9.01 11/08/06 HarborView 2006-SB1 8.01,9.01 10/31/06 Hawaiian Telcom Communications, Inc. DE 2.02,9.01 11/14/06 HCA INC/TN DE 8.01,9.01 11/13/06 HEALTH BENEFITS DIRECT CORP DE 2.02,9.01 11/14/06 HEALTH CARE REIT INC /DE/ DE 8.01,9.01 11/13/06 HEALTHSOUTH CORP DE 7.01,9.01 11/13/06 HEARUSA INC DE 2.02,9.01 11/14/06 HERCULES OFFSHORE, INC. DE 8.01,9.01 11/13/06 HEWITT ASSOCIATES INC DE 2.02,2.05,9.01 11/10/06 HIGHLANDS BANKSHARES INC /WV/ WV 8.01 11/14/06 Hill International, Inc. DE 7.01,9.01 11/13/06 HNI CORP IA 1.01,2.03,4.01,9.01 11/08/06 HOME CITY FINANCIAL CORP OH 8.01,9.01 10/30/06 HOME DEPOT INC DE 2.02,9.01 11/14/06 HOME SOLUTIONS OF AMERICA INC DE 7.01,9.01 11/14/06 HOOPER HOLMES INC NY 8.01 11/10/06 HORNBECK OFFSHORE SERVICES INC /LA DE 8.01,9.01 11/13/06 HORTON D R INC /DE/ DE 2.02,9.01 11/14/06 HUDSON CITY BANCORP INC DE 7.01,9.01 11/14/06 Hughes Communications, Inc. DE 2.02,9.01 11/14/06 Hughes Network Systems, LLC DE 2.02,9.01 11/14/06 HYDRIL CO DE 8.01 11/09/06 HYDROGEN ENGINE CENTER, INC. NV 9.01 11/13/06 IBASIS INC DE 2.02,3.01,9.01 11/14/06 IC ISAACS & CO INC DE 2.02,9.01 11/13/06 ICOP DIGITAL, INC CO 2.02,9.01 11/13/06 IDAHO GENERAL MINES INC ID 1.01,8.01,9.01 10/23/06 IMAGE ENTERTAINMENT INC DE 2.02,9.01 11/14/06 IMATION CORP DE 5.02,9.01 11/09/06 INDIANA MICHIGAN POWER CO IN 8.01,9.01 11/14/06 IndyMac INDA Mortgage Loan Trust 2006 8.01,9.01 10/30/06 INFORM WORLDWIDE HOLDINGS INC CO 1.01,9.01 11/07/06 INFRASOURCE SERVICES INC DE 8.01,9.01 10/26/06 INKSURE TECHNOLOGIES INC. DE 8.01,9.01 11/14/06 INNKEEPERS USA TRUST/FL MD 8.01,9.01 11/14/06 INSITE VISION INC DE 2.02,9.01 11/14/06 INTEGRA BANK CORP IN 8.01,9.01 11/14/06 INTEGRA LIFESCIENCES HOLDINGS CORP DE 5.02,9.01 11/14/06 INTEGRATED ALARM SERVICES GROUP INC DE 2.02,9.01 11/09/06 INTELLIGENT SYSTEMS CORP GA 2.02 11/14/06 INTELSAT LTD 2.02,9.01 11/14/06 INTERCARE DX INC CA 4.01 11/13/06 INTERCARE DX INC CA 4.01 11/13/06 INTERLINE BRANDS, INC./DE DE 8.01,9.01 11/13/06 INTERNATIONAL CARD ESTABLISHMENT INC DE 5.02 11/10/06 INTERNATIONAL RECTIFIER CORP /DE/ DE 1.01,9.01 11/08/06 INTERNATIONAL WIRE GROUP INC DE 5.02,9.01 11/09/06 INTERNATIONAL WIRE GROUP INC DE 7.01 11/14/06 INTERPUBLIC GROUP OF COMPANIES, INC. DE 2.02,9.01 11/08/06 ION NETWORKS INC DE 5.02,8.01,9.01 11/08/06 IPAYMENT INC DE 7.01,8.01,9.01 11/13/06 IPAYMENT INC DE 2.02,9.01 11/14/06 IRIS INTERNATIONAL INC DE 2.02,9.01 11/14/06 IRIS INTERNATIONAL INC DE 5.02 11/07/06 Irish Mag, Inc. 1.02,9.01 09/30/06 ITC Holdings Corp. MI 8.01 11/13/06 IWT TESORO CORP NV 5.02 10/19/06 AMEND J P MORGAN CHASE & CO DE 7.01,9.01 11/14/06 J P MORGAN CHASE & CO DE 9.01 11/10/06 J.P. Morgan Alternative Loan Trust 20 DE 9.01 11/14/06 JABIL CIRCUIT INC DE 4.02 11/07/06 JACK IN THE BOX INC /NEW/ DE 5.02,9.01 11/09/06 JACO ELECTRONICS INC NY 2.02,9.01 11/14/06 JARDEN CORP DE 1.01,9.01 11/08/06 JETBLUE AIRWAYS CORP DE 1.01,2.03,9.01 11/14/06 JMG Exploration, Inc. NV 1.01,7.01,9.01 11/14/06 JORDAN INDUSTRIES INC IL 2.01,5.02 11/10/06 JPMAC 2006-CH1 DE 8.01,9.01 11/14/06 Juniper Partners Acquisition Corp. DE 7.01 11/14/06 K2 INC DE 5.02 11/09/06 AMEND KANSAS CITY LIFE INSURANCE CO MO 2.02 09/30/06 KANSAS CITY SOUTHERN DE 8.01,9.01 11/13/06 Kansas City Southern de Mexico, S.A. O5 8.01,9.01 11/13/06 KATY INDUSTRIES INC DE 2.02,9.01 11/14/06 KBS Real Estate Investment Trust, Inc MD 1.01 11/07/06 KENDLE INTERNATIONAL INC OH 5.02 11/09/06 KEYCORP /NEW/ OH 8.01 11/10/06 KEYSTONE CONSOLIDATED INDUSTRIES INC DE 2.02,7.01,9.01 11/14/06 KOS PHARMACEUTICALS INC FL 9.01 03/31/04 AMEND LANGER INC NY 2.02,8.01,9.01 11/14/06 LANTRONIX INC DE 2.02,9.01 11/14/06 LBI MEDIA HOLDINGS INC 2.02,9.01 11/14/06 LEAR CORP DE 3.02,5.02,9.01 11/09/06 LEARNING TREE INTERNATIONAL INC DE 2.02,4.02,8.01,9.01 11/08/06 Lehman Mortgage Trust 2006-7 DE 8.01,9.01 10/30/06 LEINER HEALTH PRODUCTS INC DE 2.02,9.01 11/14/06 LEXINGTON CORPORATE PROPERTIES TRUST MD 1.01,8.01,9.01 11/10/06 Lexington Energy Services Inc. NV 1.01,2.03,3.02 11/09/06 LIFETIME BRANDS, INC DE 7.01,9.01 11/14/06 LINENS N THINGS INC DE 2.02,9.01 11/14/06 LINN ENERGY, LLC DE 9.01 11/14/06 LINN ENERGY, LLC DE 2.02,7.01,9.01 11/14/06 LITHIUM TECHNOLOGY CORP DE 1.01,2.03,8.01 11/09/06 LSB INDUSTRIES INC DE 2.02,9.01 11/08/06 LSB INDUSTRIES INC DE 1.01,3.02 11/08/06 LUMERA CORP 8.01,9.01 11/10/06 LUMINENT MORTGAGE CAPITAL INC 2.02,9.01 11/09/06 MACE SECURITY INTERNATIONAL INC DE 2.02,9.01 11/13/06 MARVELL TECHNOLOGY GROUP LTD D0 1.01,2.01,2.03,9.01 11/08/06 MAVERICK MINERALS CORP NV 4.01,9.01 07/21/06 MCDONALDS CORP DE 5.03,8.01,9.01 11/08/06 MCF CORP DE 3.03,9.01 11/14/06 MEADOW VALLEY CORP NV 2.02,9.01 11/14/06 MEDI HUT CO INC DE 1.01,9.01 11/10/06 MEDIA SCIENCES INTERNATIONAL INC 2.02,9.01 11/14/06 MELLON BANK N A MA 8.01,9.01 11/09/06 Mercantile Bancorp, Inc. DE 8.01,9.01 11/10/06 MEREDITH CORP IA 8.01,9.01 11/14/06 MERIDIAN HOLDINGS INC CO 4.01 11/13/06 Merrill Lynch Mortgage Investors Trus DE 2.01,9.01 10/30/06 MERRIMAC INDUSTRIES INC DE 2.02,9.01 11/14/06 METROCORP BANCSHARES INC 7.01,9.01 11/09/06 METROPOLITAN HEALTH NETWORKS INC FL 4.02 11/11/06 MICROSOFT CORP WA 8.01,9.01 10/26/06 MICROTUNE INC DE 2.02,3.01,9.01 11/14/06 MIDWEST AIR GROUP INC WI 8.01,9.01 11/10/06 MILESTONE SCIENTIFIC INC/NJ DE 8.01 11/13/06 MISONIX INC NY 2.02,9.01 11/14/06 MONSTER WORLDWIDE INC DE 3.01,9.01 11/10/06 Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 10/31/06 MOVIE GALLERY INC DE 2.02,9.01 11/14/06 MTI TECHNOLOGY CORP DE 2.02,9.01 11/14/06 MTM Technologies, Inc. NY 2.02,9.01 11/14/06 MULTIBAND CORP MN 7.01,9.01 11/09/06 MUZAK HOLDINGS LLC DE 2.02,5.02,9.01 11/13/06 Nano-Jet Corp. NV 4.01 11/09/06 NASH FINCH CO DE 2.02,9.01 11/14/06 NATIONAL CITY CORP DE 2.02,9.01 10/17/06 AMEND NATIONAL FUEL GAS CO NJ 7.01,9.01 11/14/06 NBT BANCORP INC DE 5.02 11/10/06 NBTY INC DE 7.01,9.01 11/13/06 NESTOR INC DE 2.02,8.01,9.01 11/09/06 NET PERCEPTIONS INC DE 2.02,9.01 11/14/06 NETOPIA INC DE 2.02,9.01 11/14/06 NETOPIA INC DE 1.01,8.01,9.01 11/13/06 NEUROLOGIX INC/DE DE 2.02,9.01 11/14/06 New Century Alternative Mortgage Loan DE 8.01,9.01 10/30/06 New Era Marketing Inc 3.03,5.03,9.01 11/14/06 NEW WORLD RESTAURANT GROUP INC DE 8.01,9.01 11/09/06 NEW YORK COMMUNITY BANCORP INC DE 7.01,9.01 11/14/06 NEWELL RUBBERMAID INC DE 3.03,5.02 11/08/06 NEWPARK RESOURCES INC DE 8.01 11/13/06 NEWPOWER HOLDINGS INC DE 8.01,9.01 11/09/06 NextWave Wireless Inc. DE 1.01,2.01,3.02,3.03,9.01 11/07/06 NIC INC CO 7.01,9.01 11/14/06 NICHOLAS FINANCIAL INC FL 1.01,9.01 08/09/06 NISSAN AUTO LEASING LLC II DE 8.01,9.01 11/10/06 NORFOLK SOUTHERN CORP VA 7.01,9.01 11/13/06 NORTHERN ETHANOL, INC. DE 3.02,5.02 11/01/06 NOVAVAX INC DE 2.02,9.01 11/14/06 NOVAVAX INC DE 9.01 11/14/06 AMEND Novelis Inc. A6 2.02,9.01 11/14/06 NRG ENERGY, INC. DE 1.01,8.01,9.01 11/08/06 Nuance Communications, Inc. DE 2.02,9.01 11/14/06 NUTRITION 21 INC NY 2.02,9.01 11/14/06 NYER MEDICAL GROUP INC FL 1.01,2.03,9.01 07/11/06 O2DIESEL CORP 2.02,9.01 11/14/06 OCCAM NETWORKS INC/DE DE 8.01 11/14/06 OILGEAR CO WI 2.02,9.01 11/14/06 OM GROUP INC DE 5.02,9.01 11/07/06 OMTOOL LTD DE 1.01,2.02,9.01 11/13/06 ONE VOICE TECHNOLOGIES INC NV 5.02 11/08/06 ONSCREEN TECHNOLOGIES INC CO 5.02 11/13/06 OPTIMAL GROUP INC 7.01 11/14/06 OSCIENT PHARMACEUTICALS CORP MA 7.01 11/14/06 OSI PHARMACEUTICALS INC DE 8.01 11/14/06 OWENS ILLINOIS INC /DE/ DE 7.01 11/13/06 OXFORD MEDIA, INC. NV 2.01,9.01 09/01/06 AMEND PALMETTO BANCSHARES INC SC 2.02,9.01 11/08/06 Paradigm Oil & Gas, Inc. NV 5.01,5.02 11/13/06 PARK BANCORP INC DE 2.02,9.01 11/14/06 PARTNERS TRUST FINANCIAL GROUP INC 7.01 11/14/06 PATRICK INDUSTRIES INC IN 7.01,9.01 11/13/06 PAULSON CAPITAL CORP OR 8.01,9.01 11/14/06 PAYLESS SHOESOURCE INC /DE/ DE 5.02 09/21/06 AMEND PEAPACK GLADSTONE FINANCIAL CORP NJ 4.01,9.01 11/10/06 PeopleSupport, Inc. DE 1.01,9.01 11/09/06 PEP BOYS MANNY MOE & JACK PA 2.02,9.01 11/14/06 PERCEPTRON INC/MI MI 2.02,9.01 11/14/06 PEREGRINE PHARMACEUTICALS INC DE 8.01 11/10/06 PETROLEUM DEVELOPMENT CORP NV 7.01,9.01 11/14/06 PETROLEUM DEVELOPMENT CORP NV 2.02,9.01 11/10/06 PETROQUEST ENERGY INC DE 8.01,9.01 11/10/06 PFSWEB INC DE 2.02 11/14/06 PHC INC /MA/ MA 9.01 11/13/06 Pike Electric CORP 8.01,9.01 11/13/06 PILGRIMS PRIDE CORP DE 7.01 11/14/06 PILGRIMS PRIDE CORP DE 7.01 11/14/06 PILGRIMS PRIDE CORP DE 2.02,9.01 11/14/06 PLANGRAPHICS INC CO 5.02 11/07/06 PLIANT CORPORORATION DE 7.01,9.01 11/14/06 POLYCOM INC DE 5.02 11/08/06 PQ CORP PA 2.02,9.01 11/14/06 PREMIER EXHIBITIONS, INC. 8.01,9.01 11/14/06 PRICESMART INC DE 2.02,9.01 11/13/06 PRIME GROUP REALTY TRUST MD 2.01,9.01 11/14/06 PRINCETON REVIEW INC DE 2.02,9.01 11/14/06 PROLIANCE INTERNATIONAL, INC. DE 2.02,9.01 11/13/06 PROLOGIS MD 1.01,2.03,9.01 11/09/06 Propex Inc. DE 2.02,9.01 11/14/06 PRUDENTIAL FINANCIAL INC NJ 8.01,9.01 11/14/06 QUAKER CHEMICAL CORP PA 5.02 11/08/06 QUEST RESOURCE CORP NV 2.02,9.01 11/14/06 QUIPP INC FL 2.02,9.01 11/10/06 R H DONNELLEY CORP DE 8.01,9.01 11/09/06 RAIKE FINANCIAL GROUP INC/GA GA 5.03,9.01 11/01/06 RALI Series 2006-QA9 Trust DE 8.01,9.01 11/14/06 RALI Series 2006-QO8 Trust DE 8.01,9.01 11/14/06 RALI Series 2006-QS14 Trust DE 8.01,9.01 10/14/06 RALI Series 2006-QS15 Trust DE 8.01,9.01 10/13/06 RAMP Series 2006-RS6 Trust DE 8.01,9.01 10/14/06 RANCHER ENERGY CORP. NV 3.02,5.02,9.01 11/14/06 RANCHER ENERGY CORP. NV 1.01,3.02,9.01 11/14/06 AMEND RASC Series 2006-KS9 Trust DE 8.01,9.01 11/14/06 AMEND Ready Mix, Inc. NV 2.02,9.01 11/14/06 Regency Energy Partners LP DE 5.01 11/14/06 Regency Energy Partners LP DE 2.02,7.01,9.01 11/14/06 RELIANCE STEEL & ALUMINUM CO CA 8.01,9.01 11/13/06 REMOTE MDX INC UT 1.01,3.02,9.01 11/09/06 RENAISSANCE CAPITAL GROWTH & INCOME F TX 7.01,9.01 11/13/06 RFMSI Series 2006-S10 Trust DE 8.01,9.01 10/14/06 RICKS CABARET INTERNATIONAL INC TX 8.01,9.01 11/10/06 RICKS CABARET INTERNATIONAL INC TX 2.01,9.01 08/24/06 AMEND Rockwood Holdings, Inc. DE 2.02,9.01 11/14/06 RONCO CORP DE 8.01 11/01/06 ROSS STORES INC DE 2.02,9.01 11/14/06 ROYAL CARIBBEAN CRUISES LTD 7.01 11/14/06 RUB A DUB SOAP INC CO 5.01 02/21/06 AMEND RURAL/METRO CORP /DE/ DE 2.02,9.01 11/14/06 S1 CORP /DE/ DE 1.01,9.01 11/13/06 SAKS INC TN 2.02,9.01 11/14/06 SALTON INC DE 2.02,9.01 11/14/06 SANFILIPPO JOHN B & SON INC DE 8.01,9.01 11/13/06 SAST 2006-3 VA 8.01,9.01 11/14/06 SCHOOL SPECIALTY INC WI 2.02,9.01 11/14/06 SCIENCE DYNAMICS CORP DE 5.02 11/06/06 SCM MICROSYSTEMS INC DE 2.02,9.01 11/14/06 SECURE COMPUTING CORP DE 2.01,9.01 08/31/06 AMEND SecureLogic Corp NV 5.02 11/09/06 Securitized Asset Backed Receivables 8.01,9.01 08/31/06 AMEND Securitized Asset Backed Receivables 8.01,9.01 09/28/06 AMEND SELIGMAN NEW TECHNOLOGIES FUND II INC MD 7.01 11/14/06 SELIGMAN NEW TECHNOLOGIES FUND, INC 7.01 11/14/06 Seneca Gaming Corp XX 1.01,9.01 11/09/06 SENESCO TECHNOLOGIES INC DE 1.01,9.01 11/08/06 SENIOR HOUSING PROPERTIES TRUST MD 8.01,9.01 11/14/06 SERACARE LIFE SCIENCES INC 1.01 11/10/06 SHARPER IMAGE CORP DE 5.02,9.01 11/08/06 SHAW GROUP INC LA 1.02,5.02,9.01 11/08/06 SILICON GRAPHICS INC DE 2.02,9.01 11/13/06 SLS INTERNATIONAL INC DE 2.02,9.01 11/14/06 SMART ONLINE INC 1.01,2.02,2.03,9.01 11/08/06 SMI PRODUCTS INC 4.01,9.01 10/31/06 AMEND Somaxon Pharmaceuticals, Inc. DE 1.01,9.01 11/09/06 SONIC FOUNDRY INC MD 2.02,9.01 11/14/06 SONIC FOUNDRY INC MD 8.01 11/14/06 SONUS NETWORKS INC DE 3.01,9.01 11/10/06 SOTHEBYS DE 2.02,9.01 11/09/06 SOVEREIGN BANCORP INC PA 5.02,9.01 11/08/06 Spectrum Brands, Inc. WI 2.02,2.06,9.01 11/14/06 SPRINT NEXTEL CORP KS 8.01 11/13/06 STAGE STORES INC NV 8.01,9.01 11/10/06 Stanley, Inc. DE 2.02,9.01 11/14/06 STAPLES INC DE 2.02,9.01 11/14/06 STATE STREET CORP MA 7.01,9.01 11/14/06 STEAK & SHAKE CO IN 2.02,9.01 11/14/06 STERICYCLE INC DE 1.01,9.01 11/08/06 STOCKGROUP INFORMATION SYSTEMS INC CO 8.01,9.01 11/10/06 STRATEGIC DISTRIBUTION INC DE 2.02 11/13/06 STRATEGIC HOTELS & RESORTS, INC 9.01 08/31/06 AMEND SUMTOTAL SYSTEMS INC DE 1.01,3.02,7.01,9.01 11/13/06 SUMTOTAL SYSTEMS INC DE 7.01,9.01 11/14/06 SUN HYDRAULICS CORP FL 2.02,9.01 11/08/06 SUNTRUST BANKS INC GA 5.02,7.01,9.01 11/14/06 SUPERCONDUCTOR TECHNOLOGIES INC DE 5.02 11/08/06 SUTRON CORP VA 2.02,9.01 11/08/06 Tank Sports, Inc. CA 5.03,9.01 11/10/06 TARGET CORP MN 2.02,8.01,9.01 11/14/06 TARGET RECEIVABLES CORP MN 8.01,9.01 11/14/06 TARGET RECEIVABLES CORP MN 8.01,9.01 11/14/06 TARRANT APPAREL GROUP CA 2.02,7.01,9.01 11/14/06 TASER INTERNATIONAL INC 5.02 08/30/06 AMEND TECHNICAL OLYMPIC USA INC DE 2.02,9.01 11/14/06 TENNANT CO MN 1.01,3.03,5.03 11/10/06 TENNECO INC DE 8.01,9.01 11/13/06 TENNESSEE VALLEY FINANCIAL HOLDINGS I TN 4.01,9.01 11/14/06 TEXAS PACIFIC LAND TRUST 8.01,9.01 11/14/06 THERMO FISHER SCIENTIFIC INC. DE 1.01,2.01,2.03,5.02, 11/07/06 5.03,5.05,9.01 TIB FINANCIAL CORP. FL 1.01,7.01,9.01 11/13/06 TIENS BIOTECH GROUP USA INC 8.01,9.01 11/14/06 TJX COMPANIES INC /DE/ DE 2.02,9.01 11/14/06 TOFUTTI BRANDS INC DE 2.02,9.01 11/14/06 TOREADOR RESOURCES CORP DE 8.01,9.01 11/14/06 Tower Group, Inc. DE 1.01,3.02 11/13/06 TRACK DATA CORP DE 2.02 11/14/06 TRAMMELL CROW CO DE 9.01 10/30/06 AMEND TRANSGENOMIC INC DE 2.02,9.01 11/14/06 TRANSTECH INDUSTRIES INC DE 8.01 11/14/06 TRANSTECH INDUSTRIES INC DE 8.01 11/14/06 AMEND TRIMAS CORP DE 2.02,9.01 11/14/06 TRM CORP OR 2.02,9.01 11/14/06 TRONOX INC DE 7.01,9.01 11/13/06 TTM TECHNOLOGIES INC WA 7.01,9.01 11/14/06 Turquoise Card Backed Securities plc X0 8.01,9.01 11/14/06 UCBH HOLDINGS INC DE 4.02 11/13/06 UNITED INDUSTRIAL CORP /DE/ DE 8.01,9.01 11/14/06 URANIUM RESOURCES INC /DE/ DE 8.01,9.01 11/13/06 US LEC CORP DE 2.02,9.01 11/14/06 USA TECHNOLOGIES INC PA 2.02,9.01 11/13/06 VALENTIS INC DE 2.02,9.01 11/14/06 VALLEY NATIONAL BANCORP NJ 7.01,9.01 11/14/06 VALLEY NATIONAL GASES INC WV 1.01,8.01,9.01 11/13/06 VCAMPUS CORP DE 2.02,9.01 11/14/06 VECTOR GROUP LTD DE 2.02,9.01 11/14/06 Verigy Ltd. U0 2.02,5.02,9.01 11/10/06 VERSO TECHNOLOGIES INC MN 2.02,9.01 11/14/06 VERTICAL BRANDING, INC. DE 1.01,2.03,9.01 11/08/06 VERTICALNET INC PA 2.02,9.01 11/14/06 Vestin Realty Mortgage II, Inc 8.01,9.01 11/14/06 VIASPACE Inc. NV 8.01,9.01 11/14/06 VIEWCAST COM INC DE 2.02,9.01 11/14/06 VIGNETTE CORP DE 8.01,9.01 11/12/06 VION PHARMACEUTICALS INC DE 2.02,8.01,9.01 11/13/06 VONAGE HOLDINGS CORP DE 1.01,9.01 11/13/06 Vyteris Holdings (Nevada), Inc. NV 3.02 11/08/06 WABASH NATIONAL CORP /DE DE 2.02,8.01,9.01 11/13/06 Wachovia Bank Commercial Mortgage Tru NC 1.01,9.01 10/31/06 WAL MART STORES INC DE 2.02,9.01 11/14/06 WARWICK VALLEY TELEPHONE CO NY 8.01,9.01 11/14/06 Washington Mutual Mortgage Pass-Throu DE 9.01 10/30/06 WEBB INTERACTIVE SERVICES INC CO 8.01 11/14/06 WEBSTER FINANCIAL CORP DE 8.01 11/14/06 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 10/30/06 WESTERN DIGITAL CORP DE 5.02 11/08/06 WESTERN GOLDFIELDS INC ID 7.01,9.01 11/14/06 Western Refining, Inc. DE 2.02,9.01 11/14/06 WHEELING ISLAND GAMING INC DE 2.02,9.01 11/13/06 WHEELING PITTSBURGH CORP /DE/ DE 8.01,9.01 11/14/06 WILD OATS MARKETS INC DE 2.05,9.01 11/13/06 WILLBROS GROUP INC R1 2.02,9.01 11/08/06 WILLIS LEASE FINANCE CORP DE 2.02,7.01,9.01 11/13/06 WILSONS THE LEATHER EXPERTS INC MN 2.02,9.01 11/14/06 WINDSTREAM CORP DE 8.01,9.01 11/14/06 WIRELESS XCESSORIES GROUP INC DE 2.02,7.01 11/13/06 WOLVERINE TUBE INC DE 1.01 11/08/06 WOODWARD GOVERNOR CO DE 9.01 11/13/06 WORLD HEART CORP A6 2.02,9.01 11/14/06 Wright Express CORP 8.01,9.01 11/07/06 WYNN RESORTS LTD 1.02,5.02,5.03,8.01,9.01 11/13/06 XANSER CORP DE 2.02 11/14/06 XETHANOL CORP CO 1.01,2.01,3.02,9.01 11/07/06 XO HOLDINGS INC DE 8.01 11/08/06 ZAP CA 2.02,9.01 11/14/06 ZIX CORP TX 5.02 11/10/06