SEC NEWS DIGEST Issue 2007-21 February 1, 2007 COMMISSION ANNOUNCEMENTS SEC VOTES TO PROPOSE EXPANSION OF INTERACTIVE DATA VOLUNTARY PROGRAM; ALSO VOTES TO PROPOSE RULES REGARDING NATIONALLY RECOGNIZED STATISTICAL RATING ORGANIZATIONS On Jan. 31, 2007, the Securities and Exchange Commission voted to publish for comment rule amendments that would expand the agency's interactive data voluntary program to enable mutual funds to submit data tagged risk/return summary information. The Commission also voted to propose rules required under the Credit Rating Agency Reform Act of 2006. 1. Expansion of Interactive Data Voluntary Program to Include Mutual Fund Information The Commission voted to propose rule amendments to enable mutual funds to submit risk/return summary information from their prospectuses using interactive data under the Commission's voluntary program. The risk/return summary at the front of every mutual fund prospectus includes information about a fund's investment objectives and strategies, risks, costs, and historical performance. The submission of tagged risk/return summary information would be supplemental and would not replace the required official versions of the information. Any mutual fund submitting tagged risk/return summary information would be required to include this information as an amendment to a filing on Form N-1A, the registration form for mutual funds. The proposed rule amendments would permit mutual funds to submit tagged risk/return summary information using a taxonomy being developed by the Investment Company Institute (ICI). This month, the ICI released its draft risk/return summary taxonomy and announced that it would provide a 45-day period for public review and comment. The taxonomy, as well as instructions for commenting on the taxonomy, are available at the ICI's Web site at http://members.ici.org/xbrl. Data tagging uses standard definitions (or data tags) to translate text-based information into data that is interactive, that is, data that can be retrieved, searched, and analyzed through automated means. Tags are standardized through the development of taxonomies, which are essentially data dictionaries that describe individual items of information and mathematical and definitional relationships among the items. Tagged information can help investors, analysts, and other users to mine the wealth of information contained in detailed paper disclosure documents, providing users with the ability to access precisely the information in which they are interested and to analyze that data. Comments on these proposed amendments should be received by the Commission within 30 days of their publication in the Federal Register. 2. Proposed Rules to Implement the Credit Rating Agency Reform Act of 2006 The Securities and Exchange Commission voted to propose rules to implement provisions of the Credit Rating Agency Reform Act of 2006 (Public Law No. 109-291), which was enacted on Sept. 29, 2006. The Credit Rating Agency Reform Act defines the term "nationally recognized statistical rating organization" (NRSRO), provides authority for the Commission to implement registration, recordkeeping, financial reporting, and oversight rules designed to ensure that NRSROs conduct their activities with integrity and impartiality, and directs the Commission to issue final rules no later than 270 days after its enactment (or by June 26, 2007). * Proposed Rule 17g-1 would require a credit rating agency to apply to the Commission for registration as an NRSRO and, if approved, to provide updated information (when certain information provided becomes materially inaccurate) and an annual certification on proposed Form NRSRO. The credit rating agency would be required to provide information such as the classes of credit ratings for which it is applying to be registered; credit ratings performance statistics; methods for determining credit ratings; organizational structure; procedures to prevent the misuse of material non-public information; conflicts of interest; procedures to address and manage conflicts of interest; and the qualifications of its credit analysts and compliance personnel. The credit rating agency would be required to provide on a confidential basis certifications from qualified institutional buyers; a list of its largest customers; audited financial statements; and certain summary financial information. The proposed rule would also require an NRSRO to make the non-confidential information and documents submitted to the Commission in its application or amendments to the application publicly available and readily accessible; for example, by posting them on its Web site. * Proposed Rule 17g-2 would require an NRSRO to make and retain certain records relating to the business of issuing and maintaining credit ratings. The proposed rule would also prescribe the time periods and manner in which the records must be maintained. * Proposed Rule 17g-3 would require NRSROs to furnish the Commission, on a confidential basis, financial statements audited by an independent public accountant annually. In addition to statements of financial condition, results of operations, and cash flows, the audited statements would include summary financial information that would assist the Commission in carrying out its statutory responsibilities under the Credit Rating Agency Reform Act. * Proposed Rule 17g-4 would require an NRSRO to have procedures designed to prevent three specific potential misuses of material nonpublic information. NRSROs would be required to have procedures designed to prevent the dissemination of confidential information, procedures designed to prevent employees of the NRSRO from trading on material nonpublic information, and procedures designed to prevent the misuse of information relating to a pending credit rating action. * Proposed Rule 17g-5 would require an NRSRO to disclose and manage those conflicts of interest that arise in the normal course of engaging in the business of issuing credit ratings. These include receiving compensation from persons being rated or from subscribers that use the credit ratings for regulatory purposes. The proposed rule would prohibit other conflicts of interest. For example, an NRSRO could not rate an affiliate. " * Proposed Rule 17g-6 would prohibit the NRSRO from engaging in certain acts or practices relating to the issuance of credit ratings that the Commission has determined to be unfair, coercive, or abusive. For example, an NRSRO could not pressure a customer to buy other services or products sold by the NRSRO by threatening to lower a credit rating if the purchase were not made. Comments on these proposals should be received by the Commission within 30 days of their publication in the Federal Register. * * * The full text of the detailed release concerning these items will be posted to the SEC Web site as soon as possible. (Press Rel. 2007-12) RULES AND RELATED MATTERS JOINT INDUSTRY PLAN AMENDMENT IMMEDIATELY EFFECTIVE The American Stock Exchange, Boston Stock Exchange, Chicago Stock Exchange, Chicago Board Options Exchange, International Securities Exchange, NASD, National Stock Exchange, Nasdaq Stock Market, NYSEArca, and Philadelphia Stock Exchange filed a request to amend the Plan for Nasdaq-listed securities traded on exchanges on an Unlisted Privilege basis (S7-24-89). Publication of the proposal is expected in the Federal Register during the week of February 5. (Rel. 34-55192) ENFORCEMENT PROCEEDINGS INITIAL DECISION REVOKING REGISTRATION OF SECURITIES ISSUED BY AIC INTERNATIONAL, INC. AND MILLENNIUM SPORTS MANAGEMENT, INC. DECLARED FINAL On Jan. 31, the Securities and Exchange Commission declared final the decision of an administrative law judge revoking pursuant to Section 12(j) of the Securities Exchange Act of 1934 the registration of each class of securities of AIC International Inc. and Millennium Sports Management, Inc. The law judge found that AIC had not filed any periodic reports since it filed a Form 10-KSB for the period ended Feb. 28, 1998, a filing that was nine months late. The law judge further found that Millennium had not filed any periodic reports since its Form 10-QSB for the period ended Sept. 30, 1999. (Rel. 34-55201; File No. 3-12408) IN THE MATTER OF KEITH GILABERT On Jan. 31, 2007, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing against Keith G. Gilabert. Gilabert, age 35, of Valencia, Calif., was the managing member and portfolio manager of CMG-Capital Management Group Holding Company, LLC (CMG), an unregistered investment adviser, and was also managing partner of The GLT Venture Fund, L.P. (GLT), an unregistered investment company. In the Order, the Division of Enforcement alleges that, on Dec. 6, 2006, the United States District Court for the Central District of California entered a final judgment against Gilabert pursuant to his default, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act, in the civil action entitled SEC v. CMG-Capital Management Group Holding Company, LLC, et al., Civil Action Number CV 06-2595 GHK (JWJx) (C.D. Cal.). The Commission's complaint in the civil action alleged that, from September 2001 to January 2005, in connection with the sale of GLT limited partnership interests, Gilabert engaged in a variety of conduct that operated as a fraud and deceit on investors, including misappropriating GLT's and investors' funds, paying investor returns with new investor funds, falsely touting GLT as profitable, falsely claiming that the GLT portfolio was diverse, and failing to disclose that the California Department of Corporations had revoked CMG's investment adviser registration. The complaint also alleged that Gilabert sold GLT limited partnership interests in an unregistered securities offering and acted as an unregistered broker-dealer. A hearing will be convened by an Administrative Law Judge to determine whether the allegations in the Order are true and what, if any, remedial sanctions against Gilabert are appropriate in the public interest pursuant to Section 15(b) of the Exchange Act and Section 203(f) of the Advisers Act. The Commission directed that the Administrative Law Judge shall issue an initial decision in this matter within 210 days from the date of service of the Order. (Rel. 34-55212; File No. 3-12556) SEC CHARGES FORMER ASSISTANT CONTROLLER OF ENTERASYS NETWORKS, INC. WITH FINANCIAL FRAUD On Jan. 30, 2007, the Commission filed a settled civil fraud action in the United States District Court for the District of New Hampshire against Anthony L. Hurley, the former assistant controller for Enterasys Networks, Inc. and its former parent company, Cabletron Systems, Inc. The complaint alleges that from March 2000 through December 2001, Hurley participated in a company-wide scheme to fraudulently inflate revenues at Enterasys and its former parent company, Cabletron, and thereby convince the market that Enterasys was a viable independent company with consistently strong revenue growth. The Commission's complaint further alleges that Hurley directly participated in transactions which involved undisclosed side agreements in which the purchaser was granted full return or exchange rights, or payment for the product was contingent upon the purchaser's resale of the product, or payment was contingent upon an investment by Enterasys. In the latter, Enterasys agreed to take a debt or equity interest in its customer, in return for that company's agreement to use those funds to purchase product from Enterasys. Hurley, without admitting or denying the allegations of the complaint, consented to an injunction against future violations of Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 and Rules 10b-5, 13b2-1 and 13b2-2 thereunder; and from aiding and abetting any violation of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder. Additionally, Hurley consented to paying disgorgement in the amount of $24,498, plus prejudgment interest in the amount of $7,526, reflecting the full amount of his ill gotten gains. In a related criminal case, Hurley pled guilty to one count of wire fraud and cooperated with the U.S. Attorney's Office for the District of New Hampshire in the prosecution of U.S. v. Barber et al., Criminal No. 04-126 (D.N.H.). [SEC v. Anthony L. Hurley, Civil Action No. 07cv022, D.N.H.] (LR- 19986) HOUSTON ATTORNEY CHARGED WITH VIOLATING SECURITIES REGISTRATION PROVISIONS On February 1, the Commission filed to amend its complaint in a lawsuit against Allixon International Corp., a Delaware corporation based in South Korea, to name Houston attorney Hank A. Vanderkam as a defendant. Vanderkam is the former securities counsel to Allixon. The SEC filed the original lawsuit in November 2005 against Allixon and other defendants to halt an ongoing unregistered distribution of 1.3 million shares of Allixon's common stock. The amended complaint alleges that Vanderkam participated in the illegal distribution of the 1.3 million Allixon shares, which represented 94% of the company's float. The 1.3 million shares were issued to two offshore entities without a restrictive legend based on Vanderkam's opinion letter that the Allixon stock offering complied with "Section (sic) 504 of Regulation D and the laws of the State of Texas." In fact, the offering failed to comply with the requirements of Rule 504 under Regulation D of the Securities Act of 1933, and the offering was never registered in, and had no connection to, the State of Texas. The two offshore entities, defendants Silver Lake Investments, Inc. and Crescendo Investments Inc., were control persons of Allixon who allegedly sold over 900,000 of the Allixon shares in the Pink Sheets for approximately $4.3 million. In settlement of the SEC's lawsuit against him and without admitting or denying the allegations in the complaint, Vanderkam has consented to the entry of an agreed final judgment, permanently enjoining him from future violations of the securities-registration provisions of Sections 5(a) and 5(c) of the Securities Act, ordering $26,964 in disgorgement and interest, and ordering a $25,000 civil penalty. In addition, the consent order bars Vanderkam from issuing opinion letters under Rule 504 of Regulation D. [SEC v. Allixon International Corp., et al., Civil Action No. 3:05-CV-2260-P, United States District Court for the Northern District of Texas, Dallas Division] (LR-19987) INVESTMENT COMPANY ACT RELEASES VAN ECK ASSOCIATES CORPORATION, ET AL. A notice has been issued giving interested persons until February 26 to request a hearing on an application filed by Van Eck Associates Corporation, et al. for an order to amend an existing order that permits (a) open-end management investment companies, the series of which consist of the component securities of certain domestic equity securities indices, to issue shares of limited redeemability that would trade in the secondary market at negotiated prices; (b) dealers to sell shares of the series in the secondary market unaccompanied by a prospectus when prospectus delivery is not required by the Securities Act of 1933; (c) certain affiliated persons of the series to deposit securities into, and receive securities from, the series; and (d) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire shares of the series. The amended order would permit the open-end management investment companies in the prior order to offer additional series based on foreign equity securities indices. In addition, the order would delete a condition related to future relief in the existing order. (Rel. IC-27694 - Jan. 31, 2007) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by NYSE Arca relating to the establishment of a pilot program that increases position and exercise limits for options on the iShares® Russell 2000® Index Fund (SR- NYSEArca-2007-10) 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 February 5. (Rel. 34-55185) A proposed rule change filed by NYSE Arca relating to further extending the time period by which the exchange will enter into the NASD / NYSE Arca options agreement pursuant to Rule 17d-2 (SR- NYSEArca-2007-08) 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 February 5. (Rel. 34-55186) A proposed rule change (SR-CBOE-2006-111) filed by the Chicago Board Options Exchange relating to Exchange fees for fiscal year 2007 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 February 5. (Rel. 34-55193) A proposed rule change (SR-Amex-2006-117) and Amendment No. 1 thereto filed with the Commission by the American Stock Exchange relating to transaction charges for equities and ETFs has become immediately effective pursuant to 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 February 5. (Rel. 34-55195) PROPOSED RULE CHANGES The Commission issued notice of filing of a proposed rule change (SR- Amex-2006-110) filed by the American Stock Exchange under Rule 19b-4 of the Securities Exchange Act of 1934 relating to options based on commodity pool ETFs. Publication is expected in the Federal Register during the week of February 5. (Rel. 34-55187) A proposed rule change (SR-CBOE-2006-106) and Amendment No. 1 thereto has been filed with the Commission by the Chicago Board Options Exchange relating to an interpretation of Paragraph (b) of Article Fifth of its Certificate of Incorporation pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 5. (Rel. 34-55190) 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-3 AVALON PHARMACEUTICALS INC, 20358 SENECA MEADOWS PARKWAY, GERMANTOWN, MD, 20876, 3015569900 - 0 ($11,160,000.00) Equity, (File 333-140335 - Jan. 31) (BR. 01B) S-8 ASIA GLOBAL HOLDINGS CORP., 1601-1604 CRE CENTRE, 889 CHEUNG SHA WAN ROAD, KOWLOON, HONG KONG, F4, 00000, (213) 243-1503 - 30,000,000 ($3,555,000.00) Equity, (File 333-140336 - Jan. 31) (BR. 02B) S-8 MEDICAL INFORMATION TECHNOLOGY INC, MEDITECH CIRCLE, WESTWOOD, MA, 02090, 781-821-3000 - 260,000 ($9,100,000.00) Equity, (File 333-140337 - Jan. 31) (BR. 03C) SB-2 Textechnologies, Inc., 13520 ORIENTAL ST., ROCKVILLE, MD, 20853, 301-460-5818 - 5,000,000 ($8,750,000.00) Equity, (File 333-140338 - Jan. 31) (BR. ) S-8 PUBLICIS GROUPE SA, 133 AVENUE DES CHAMPS ELYSEES, PARIS FRANCE, I0, 75008, 01133144437300 - 3,640,000 ($75,917,387.04) Equity, (File 333-140339 - Jan. 31) (BR. 11A) S-8 Mindray Medical International LTD, MINDRAY BUILDING, KEJI 12TH ROAD SOUTH, HI-TECH INDUSTRIAL PARK, NANSHAN, SHENZHEN, F4, 518057, (86)-755-2658-2888 - 15,000,000 ($184,294,480.00) ADRs/ADSs, (File 333-140341 - Jan. 31) (BR. 10B) S-1 AFFINITY TECHNOLOGY GROUP INC, 8807 A TWO NOTCH ROAD, SUITE A, COLUMBIA, SC, 29223, 8037582511 - 4,535,714 ($1,905,000.00) Other, (File 333-140342 - Jan. 31) (BR. 11A) SB-2 Chartwell International, Inc., 177 MADISON AVENUE,, 2ND FLOOR, MORRISTOWN, NJ, 07960-6000, 973-400-7010 - 0 ($284,857.50) Equity, (File 333-140347 - Jan. 31) (BR. 05C) S-3 SILVERSTAR HOLDINGS LTD, 1900 GLADES ROAD, SUITE 435, BOCA RATON, FL, 33431, 561-479-0040 - 1,474,562 ($3,199,800.00) Equity, (File 333-140348 - Jan. 31) (BR. 03B) S-8 Altra Holdings, Inc., 14 HAYWARD STREET, QUINCY, MA, 02171, 617-328-3300 - 0 ($31,829,112.00) Equity, (File 333-140349 - Jan. 31) (BR. 06A) S-8 RESMED INC, 14040 DANIELSON ST, POWAY, CA, 920646857, 8587462400 - 0 ($61,487,820.00) Equity, (File 333-140350 - Jan. 31) (BR. 10C) S-8 RESMED INC, 14040 DANIELSON ST, POWAY, CA, 920646857, 8587462400 - 0 ($393,432,000.00) Equity, (File 333-140351 - Jan. 31) (BR. 10C) S-8 NEW JERSEY RESOURCES CORP, 1415 WYCKOFF RD, PO BOX 1468, WALL, NJ, 07719, 9089381494 - 750,000 ($35,407,500.00) Other, (File 333-140352 - Jan. 31) (BR. 02B) S-8 UNISOURCE ENERGY CORP, ONE SOUTH CHURCH AVENUE, SUITE 100, TUCSON, AZ, 85701, 520-571-4000 - 2,250,000 ($84,622,500.00) Equity, (File 333-140353 - Jan. 31) (BR. 02B) S-3 CAPITAL LEASE FUNDING INC, 1065 AVENUE OF THE AMERICAS, 19TH FLOOR, NEW YORK, NY, 10018, 2122176300 - 5,000,000 ($55,700,000.00) Equity, (File 333-140354 - Jan. 31) (BR. 08C) SB-2 HEALTH SYSTEMS SOLUTIONS INC, 405 N. REO STREET, SUITE 300, TAMPA, FL, 33609, 813-282-3303 - 417,544 ($208,772.00) Equity, (File 333-140355 - Jan. 31) (BR. 03A) SB-2 AMERICAN TECHNOLOGIES GROUP INC, 1017 S MOUNTAIN AVE, MONROVIA, CA, 91016, 6263575000 - 47,101,059 ($14,130,318.00) Equity, (File 333-140356 - Jan. 31) (BR. 06C) S-3 MTM Technologies, Inc., 1200 HIGH RIDGE ROAD, STAMFORD, CT, 06905, 203-975-3700 - 450,000 ($720,000.00) Equity, (File 333-140357 - Jan. 31) (BR. 03B) N-2 Pioneer Diversified High Income Trust, 60 STATE STREET, BOSTON, MA, 02109, 617-742-7825 - 40,000 ($1,000,000.00) Equity, (File 333-140358 - Jan. 31) (BR. ) S-1 Victory Acquisition Corp, 7 TIMES SQUARE, 17TH FLOOR, NEW YORK, NY, 10036, 212-683-5350 - 0 ($545,625,000.00) Other, (File 333-140359 - Jan. 31) (BR. ) S-8 EQUIFAX INC, 1550 PEACHTREE ST NW, ATLANTA, GA, 30302, 4048858000 - 0 ($10,245,900.00) Equity, (File 333-140360 - Jan. 31) (BR. 11B) SB-2 Pacific Copper Corp., 1226 WHITE OAKS BLVD., SUITE 10A, OAKVILLE, A6, L6H 2B9, 905-845-1839 - 11,305,487 ($5,652.74) Equity, (File 333-140361 - Jan. 31) (BR. ) S-4 PROTECTION ONE INC, 1035 N. 3RD ST., SUITE 101, LAWRENCE, KS, 66044, 785 856 5500 - 0 ($99,197,040.00) Equity, (File 333-140362 - Jan. 31) (BR. 11B) SB-2 DALRADA FINANCIAL CORP, 9449 BALBOA AVENUE, SAN DIEGO, CA, 92123, 858-277-5300 - 1,200,000 ($870,000.00) Equity, (File 333-140363 - Jan. 31) (BR. 08B) S-8 TREY RESOURCES INC, 750 RT 34, MATANAN, NJ, 07747, 730 441 7700 - 27,900,000 ($142,290.00) Equity, (File 333-140364 - Jan. 31) (BR. 08C) S-3 SEQUENOM INC, 3595 JOHN HOPKINS CT, SAN DIEGO, CA, 92121, 8582029000 - 0 ($20,000,000.00) Equity, (File 333-140365 - Jan. 31) (BR. 01C) S-8 MARINEMAX INC, 18167 US 19 N, SUITE 499, CLEARWATER, FL, 33764, 8135311700 - 250,000 ($5,957,500.00) Equity, (File 333-140366 - Jan. 31) (BR. 02B) SB-2 SYNTHESIS ENERGY SYSTEMS INC, 6330 WEST LOOP SOUTH SUITE 300, HOUSTON, TX, 77401, 713-579-0600 - 8,000,000 ($46,000,000.00) Equity, (File 333-140367 - Jan. 31) (BR. ) S-8 BREEZE-EASTERN CORP, 700 LIBERTY AVENUE, UNION, NJ, 07083, 908-688-2440 - 0 ($5,270,000.00) Equity, (File 333-140368 - Jan. 31) (BR. 05C) S-3 BREEZE-EASTERN CORP, 700 LIBERTY AVENUE, UNION, NJ, 07083, 908-688-2440 - 0 ($26,350,000.00) Equity, (File 333-140369 - Jan. 31) (BR. 05C) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE DATE COMMENT 1 800 CONTACTS INC DE 8.01,9.01 01/31/07 1ST CENTENNIAL BANCORP CA 2.02,9.01 01/30/07 1st Pacific Bancorp CA 8.01,9.01 01/30/07 21ST CENTURY INSURANCE GROUP CA 8.01 01/25/07 Abington Community Bancorp, Inc. PA 2.02,9.01 01/31/07 ACCESS NATIONAL CORP VA 9.01 01/31/07 ACCESS NATIONAL CORP VA 7.01,9.01 01/31/07 ACE LTD D0 2.02,9.01 01/30/07 ACT TELECONFERENCING INC CO 1.01,7.01,9.01 01/03/07 ACTION PRODUCTS INTERNATIONAL INC FL 1.01,9.01 01/31/07 AIRGAS INC DE 2.02,9.01 01/30/07 AKSYS LTD DE 1.02 01/17/07 ALCAN INC A6 2.02,9.01 01/31/07 Allegiant Travel CO NV 2.02,9.01 01/30/07 ALLERGAN INC DE 2.02,9.01 01/31/07 ALLIANCE BANCORP INC OF PENNSYLVANIA X1 8.01,9.01 01/30/07 ALLIANCE DATA SYSTEMS CORP DE 2.02,7.01,9.01 01/31/07 ALLIANCE FINANCIAL CORP /NY/ NY 2.02,9.01 01/30/07 ALLSTATE CORP DE 2.02,9.01 01/30/07 ALNILAM CORP NV 4.01 01/24/07 ALNILAM CORP NV 9.01 01/24/07 AMEND ALTRIA GROUP, INC. VA 1.01,8.01,9.01 01/31/07 ALTRIA GROUP, INC. VA 2.02,9.01 01/31/07 AMB PROPERTY CORP MD 7.01 01/29/07 AMBAC FINANCIAL GROUP INC DE 2.02,9.01 01/31/07 AMBASSADORS GROUP INC DE 1.01,9.01 01/30/07 AMEDIA NETWORKS, INC. DE 8.01 01/31/07 AMERALIA INC 1.01,9.01 01/29/07 AMERICAN MOLD GUARD INC 2.02 01/31/07 AMERICANWEST BANCORPORATION WA 2.02,9.01 01/31/07 AMERIGAS PARTNERS LP DE 2.02,9.01 01/31/07 Ameris Bancorp GA 2.02,9.01 01/31/07 ANDAIN, INC. NV 1.01,9.01 07/03/06 ANTS SOFTWARE INC DE 2.03,3.02 01/30/07 APPLEBEES INTERNATIONAL INC DE 7.01,8.01,9.01 01/31/07 APPLIED NEUROSOLUTIONS INC DE 5.02 01/30/07 AMEND APPLIX INC /MA/ MA 5.02,9.01 01/29/07 Ardent Acquisition CORP DE 7.01,8.01,9.01 01/29/07 ARMOR HOLDINGS INC DE 2.02,8.01,9.01 01/31/07 Ascent Solar Technologies, Inc. DE 5.02 01/30/07 ASPEN INSURANCE HOLDINGS LTD D0 5.02,7.01,9.01 01/25/07 ASTA FUNDING INC DE 5.02,9.01 01/25/07 ASTORIA FINANCIAL CORP DE 2.02,9.01 01/31/07 AURIGA LABORATORIES, INC. DE 1.01,9.01 01/25/07 AXCELIS TECHNOLOGIES INC DE 2.02,9.01 01/31/07 AXCESS INTERNATIONAL INC/TX DE 3.02 01/31/07 BA Credit Card Funding, LLC DE 8.01,9.01 01/31/07 BALDOR ELECTRIC CO MO 1.01,8.01,9.01 01/25/07 Banc of America Funding 2007-A Trust DE 9.01 01/31/07 Bancorp, Inc. 2.02,9.01 01/30/07 BANK HOLDINGS NV 8.01,9.01 01/25/07 Bank of Commerce Holdings CA 8.01,9.01 01/31/07 BANK OF THE JAMES FINANCIAL GROUP INC VA 2.02,9.01 01/26/07 BAUSCH & LOMB INC NY 1.01,2.02,7.01,9.01 01/26/07 BCB BANCORP INC 2.02,9.01 01/26/07 Bear Stearns ALT-A Trust 2007-1 DE 8.01,9.01 01/31/07 Bear Stearns Mortgage Funding Trust 2 DE 8.01,9.01 10/31/06 AMEND Bear Stearns Mortgage Funding Trust 2 DE 8.01,9.01 01/31/07 BFC FINANCIAL CORP FL 1.01,7.01,9.01 01/30/07 BIG CAT ENERGY CORP 3.02 01/25/07 BIG DOG HOLDINGS INC DE 2.02,7.01 01/30/07 BIOSPHERE MEDICAL INC DE 2.02,9.01 01/31/07 BLUEFLY INC DE 5.02,9.01 01/27/07 BOEING CAPITAL CORP DE 2.02,8.01,9.01 01/31/07 BOEING CO DE 2.02,9.01 01/31/07 BORLAND SOFTWARE CORP DE 2.02,9.01 01/30/07 BOSTON FINANCIAL QUALIFIED HOUSING LT DE 2.01 01/25/07 BOSTON PROPERTIES INC DE 8.01,9.01 11/17/06 BOSTON PROPERTIES LTD PARTNERSHIP 8.01,9.01 11/17/06 BPO Management Services DE 1.01,4.01,5.02,9.01 01/25/07 BRE PROPERTIES INC /MD/ MD 2.02,8.01,9.01 01/30/07 BRIGHAM EXPLORATION CO DE 2.02,7.01,9.01 01/31/07 BROADWAY FINANCIAL CORP \DE\ DE 5.02,9.01 01/31/07 Bronco Drilling Company, Inc. DE 2.01 01/31/07 AMEND BROWN FORMAN CORP DE 5.02,9.01 01/31/07 BRUSH ENGINEERED MATERIALS INC 1.01,9.01 01/31/07 BUCKEYE TECHNOLOGIES INC DE 2.02,9.01 01/30/07 BUFFETS HOLDINGS, INC. DE 7.01,9.01 01/31/07 BUREAU OF NATIONAL AFFAIRS INC DE 5.02 01/29/07 CADENCE DESIGN SYSTEMS INC DE 2.02,9.01 01/31/07 Canyon Bancorp 2.02,9.01 01/30/07 CAPITAL CITY BANK GROUP INC FL 5.02,9.01 01/31/07 CAPITAL ONE FUNDING, LLC 8.01,9.01 01/26/07 CARDINAL HEALTH INC OH 1.01 01/25/07 CAREMARK RX INC DE 8.01,9.01 01/31/07 CARRINGTON LABORATORIES INC /TX/ TX 1.01,9.01 01/25/07 CASS INFORMATION SYSTEMS INC MO 2.02,9.01 01/30/07 CATUITY INC DE 5.02 01/26/07 CBOT HOLDINGS INC DE 2.02,9.01 01/31/07 CBS CORP DE 5.02,9.01 01/31/07 CDRV Investors, Inc. DE 1.01,9.01 01/29/07 CENTRA FINANCIAL HOLDINGS INC WV 1.01,8.01 01/26/07 CENTRAL BANCORP INC /MA/ MA 2.03,8.01 01/31/07 Chemtura CORP DE 1.01,9.01 01/31/07 CHENIERE ENERGY INC DE 1.01,9.01 01/29/07 China Energy CORP NV 5.02 01/26/07 CHOLESTECH CORPORATION CA 2.02,9.01 01/31/07 CHS INC MN 1.01,9.01 01/30/07 CIRRUS LOGIC INC DE 8.01,9.01 01/31/07 CIRRUS LOGIC INC DE 2.02,9.01 01/31/07 Citigroup Mortgage Loan Trust 2007-AR 9.01 01/11/07 CITIZENS FIRST BANCORP INC DE 5.02 01/25/07 CIVITAS BANKGROUP INC TN 5.02,9.01 01/25/07 COACHMEN INDUSTRIES INC IN 8.01,9.01 01/31/07 COFFEE HOLDING CO INC NV 2.02,9.01 01/26/07 COHERENT INC DE 2.02,9.01 01/31/07 COLLEGIATE PACIFIC INC DE 5.02 01/30/07 COLLINS & AIKMAN CORP DE 8.01 01/26/07 COLUMBUS MCKINNON CORP NY 5.02,9.01 01/31/07 COMMERCE ENERGY GROUP, INC. DE 5.02,8.01,9.01 01/25/07 COMMUNITY BANKS INC /PA/ PA 5.02,9.01 01/31/07 COMMUNITY FINANCIAL SHARES INC DE 2.02,9.01 01/31/07 COMPREHENSIVE CARE CORP DE 1.01,9.01 01/18/07 AMEND COMVERSE TECHNOLOGY INC/NY/ NY 3.01,9.01 01/30/07 Con-way Inc. DE 2.02,5.01,7.01 01/31/07 CONCUR TECHNOLOGIES INC WA 2.02,9.01 01/31/07 CONCURRENT COMPUTER CORP/DE DE 5.02,9.01 01/30/07 CONOR MEDSYSTEMS INC 8.01,9.01 01/30/07 CONSTAR INTERNATIONAL INC DE 1.01,9.01 01/30/07 CONSTELLATION ENERGY GROUP INC MD 2.02,9.01 01/30/07 Corporate Backed Callable Trust Certi 9.01 01/31/07 Corporate Backed Callable Trust Certi 9.01 01/31/07 AMEND CTS CORP IN 2.02,9.01 01/31/07 CURAGEN CORP DE 5.02,9.01 01/24/07 CUTERA INC DE 2.02,9.01 01/31/07 CWALT INC DE 9.01 01/31/07 CWHEQ Revolving Home Equity Loan Trus 8.01,9.01 01/31/07 CYGNI INVESTMENTS INC NV 4.01 01/24/07 CYGNI INVESTMENTS INC NV 9.01 01/24/07 AMEND CYTOGENIX INC NV 8.01,9.01 01/30/07 CYTOKINETICS INC 2.02,9.01 01/31/07 D&E COMMUNICATIONS INC PA 7.01,9.01 01/31/07 Deep Field Technologies, Inc. NJ 1.01,8.01,9.01 01/25/07 DEEP WELL OIL & GAS INC NV 1.01,1.02,3.02,9.01 01/29/07 DEERE JOHN RECEIVABLES INC DE 8.01,9.01 08/15/06 DELPHI CORP DE 7.01,9.01 01/31/07 DENDRITE INTERNATIONAL INC NJ 5.02 01/25/07 DEPOMED INC CA 8.01 01/30/07 Deutsche Alt-A Securities Mortgage Lo 8.01,9.01 01/31/07 DEWEY ELECTRONICS CORP NY 8.01 01/31/07 DIAMOND OFFSHORE DRILLING INC DE 5.02,8.01,9.01 01/30/07 DIGITAL IMAGING RESOURCES INC. DE 5.02 12/29/06 Digital Music Group, Inc. DE 1.01 01/26/07 DIONEX CORP /DE CA 2.02 01/31/07 DOMINION RESOURCES INC /VA/ VA 2.02,9.01 01/31/07 DOMINION RESOURCES INC /VA/ VA 5.02,9.01 01/31/07 Douglas Lake Minerals Inc. 3.02 01/23/07 DOVER CORP DE 2.02,9.01 01/31/07 DRESS BARN INC CT 2.02 01/31/07 DRINKS AMERICAS HOLDINGS, LTD DE 1.01,3.02,9.01 01/30/07 DRUGSTORE COM INC DE 2.02,5.02,9.01 01/30/07 Duke Energy CORP DE 8.01 01/31/07 DURA AUTOMOTIVE SYSTEMS INC DE 7.01,9.01 01/30/07 AMEND EAGLE MATERIALS INC DE 2.02,9.01 01/31/07 EASTERN VIRGINIA BANKSHARES INC VA 2.02,9.01 01/19/07 AMEND EASTMAN CHEMICAL CO DE 2.05,2.06 01/25/07 EASTMAN KODAK CO NJ 2.02,9.01 01/31/07 EESTech, Inc. 1.01,3.02,9.01 07/03/06 AMEND EL CAPITAN PRECIOUS METALS INC NV 1.01,5.02,9.01 01/25/07 ELECTRO OPTICAL SCIENCES INC /NY 1.01,5.02,8.01,9.01 01/30/07 ELKCORP DE 7.01,9.01 01/31/07 ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 01/31/07 ENDURANCE SPECIALTY HOLDINGS LTD 8.01,9.01 01/31/07 EQUIFAX INC GA 2.02,9.01 01/31/07 EQUITY OFFICE PROPERTIES TRUST MD 2.02 01/31/07 ESTEE LAUDER COMPANIES INC DE 9.01 01/31/07 EVERGREEN ENERGY INC DE 7.01,9.01 01/31/07 EXPLORATION CO OF DELAWARE INC DE 7.01 01/31/07 EXPRESS SCRIPTS INC DE 8.01,9.01 01/31/07 FAR EAST ENERGY CORP 5.02 01/25/07 Federal Home Loan Bank of San Francis X1 5.02 01/09/07 AMEND Federal Home Loan Bank of San Francis X1 5.02 11/09/06 AMEND FIRST ADVANTAGE CORP DE 5.02 01/25/07 FIRST BANCSHARES INC /MS/ MS 2.02,7.01,9.01 01/30/07 FIRST CAPITAL BANCORP, INC. VA 2.02,9.01 01/31/07 FIRST CHARTER CORP /NC/ NC 5.02,9.01 01/24/07 FIRST FEDERAL BANCSHARES OF ARKANSAS TX 2.02,9.01 01/30/07 FIRST NORTHERN COMMUNITY BANCORP CA 2.02,7.01,9.01 01/31/07 FIRST OTTAWA BANCSHARES INC DE 2.02,9.01 01/31/07 FIRST SOLAR, INC. DE 8.01,9.01 01/25/07 FIRST UNITED ETHANOL LLC 1.01 01/23/07 FIRSTENERGY CORP OH 2.02,9.01 01/31/07 FISERV INC WI 2.02,8.01,9.01 01/31/07 FLAGSTAR BANCORP INC MI 2.02,9.01 01/30/07 FLORIDA ROCK INDUSTRIES INC FL 2.02,9.01 01/31/07 FLUSHING FINANCIAL CORP DE 7.01,9.01 01/31/07 FLUSHING FINANCIAL CORP DE 2.02,9.01 12/31/06 FNBH BANCORP INC MI 8.01,9.01 01/31/07 FORMFACTOR INC DE 2.02,9.01 01/31/07 FORMFACTOR INC DE 5.02,9.01 01/30/07 Fortress International Group, Inc. DE 5.02 01/25/07 FOSTER L B CO PA 2.02,9.01 01/31/07 FOUNDRY NETWORKS INC DE 2.02,5.02,9.01 01/25/07 FRANKLIN BANK CORP 2.02,9.01 01/30/07 FX ENERGY INC NV 7.01,9.01 01/31/07 GALLAGHER ARTHUR J & CO DE 1.01,9.01 01/25/07 GENCORP INC OH 5.02 01/29/07 GENLYTE GROUP INC DE 2.02,9.01 01/30/07 GEOCOM RESOURCES INC NV 3.02,9.01 01/29/07 GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 8.01,9.01 01/31/07 GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 8.01,9.01 01/31/07 GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 8.01,9.01 01/31/07 GEODYNE INSTITUTIONAL PENSION ENERGY OK 8.01,9.01 01/31/07 GEODYNE INSTITUTIONAL PENSION ENERGY TX 8.01,9.01 01/31/07 GeoMet, Inc. DE 7.01,8.01,9.01 01/26/07 GERMAN AMERICAN BANCORP, INC. IN 2.02,8.01,9.01 01/31/07 GILEAD SCIENCES INC DE 2.02,9.01 01/31/07 GLIMCHER REALTY TRUST MD 2.06,7.01,9.01 01/25/07 Global Developments Inc. DE 8.01 01/31/07 GMACM Home Equity Loan Trust 2006-HE4 DE 8.01,9.01 01/31/07 Google Inc. DE 2.02,9.01 01/31/07 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 01/26/07 AMEND GRIFFIN LAND & NURSERIES INC DE 7.01,9.01 01/31/07 GSAMP Trust 2007-H1 DE 8.01,9.01 01/31/07 GSR Mortgage Loan Trust 2007-AR1 DE 8.01,9.01 01/31/07 HABERSHAM BANCORP GA 2.02,9.01 12/31/06 HAEMONETICS CORP MA 7.01 01/29/07 HAEMONETICS CORP MA 2.02,9.01 01/30/07 HARMONIC INC DE 2.02,9.01 01/31/07 HARSCO CORP DE 2.02 01/31/07 HARTE HANKS INC DE 2.02,9.01 01/31/07 HARVEY ELECTRONICS INC NY 2.02,9.01 01/30/07 HEALTH ENHANCEMENT PRODUCTS INC NV 3.02 01/31/07 HESS CORP DE 2.02,7.01,9.01 01/31/07 HF FINANCIAL CORP DE 2.02,8.01,9.01 01/29/07 HILTON HOTELS CORP DE 2.02,9.01 01/31/07 HOLLY ENERGY PARTNERS LP DE 7.01,9.01 01/30/07 HOLOGIC INC DE 2.02,9.01 01/31/07 HOMEBANC CORP 5.02 01/29/07 HOMEBANC CORP 5.02 01/12/07 AMEND HORIZON BANCORP /IN/ IN 8.01,9.01 01/31/07 Horizon Lines, Inc. 5.02,9.01 01/30/07 HSBC Automotive Trust (USA) 2007-1 NV 8.01,9.01 01/31/07 IA GLOBAL INC DE 5.02,9.01 01/27/07 ICAD INC DE 5.02 01/25/07 ICAGEN INC DE 1.01,3.02,8.01,9.01 01/25/07 ICO INC TX 5.02,9.01 01/25/07 IDEXX LABORATORIES INC /DE DE 1.01,2.03,9.01 01/25/07 IEC ELECTRONICS CORP DE 2.02,9.01 01/31/07 IGIA, Inc. DE 5.02 01/26/07 IMMERSION CORP DE 5.02 01/25/07 IndyMac INDX Mortgage Loan Trust 2007 9.01 01/31/07 INFORTE CORP DE 2.02,5.02,7.01,9.01 01/25/07 INGERSOLL RAND CO LTD 2.02,9.01 01/31/07 Innophos, Inc. 5.02,9.01 01/26/07 INNOVATIVE SOLUTIONS & SUPPORT INC PA 2.02 01/30/07 InPlay Technologies, Inc. NV 7.01,9.01 01/31/07 INSIGHT COMMUNICATIONS CO INC DE 2.02,7.01 01/31/07 INSIGHT MIDWEST LP DE 2.02,7.01 01/31/07 INSURE.COM, INC DE 2.02,7.01,9.01 01/31/07 INTAC INTERNATIONAL INC NV 1.01,8.01,9.01 01/29/07 Intellect Neurosciences, Inc. 1.01,2.01,3.02,3.03,5.01,5.02,5.05,5.06,9.01 01/24/07 INTERNATIONAL BUSINESS MACHINES CORP NY 5.02 01/30/07 INTERNATIONAL FLAVORS & FRAGRANCES IN NY 5.02,9.01 01/31/07 INTERNATIONAL GAME TECHNOLOGY NV 3.02 01/31/07 INTERSTATE BAKERIES CORP/DE/ DE 5.02,7.01,9.01 01/30/07 Investors Bancorp Inc DE 2.02,9.01 01/30/07 IVOICE, INC /NJ NJ 1.01,9.01 01/26/07 J P MORGAN CHASE & CO DE 9.01 01/29/07 J&J SNACK FOODS CORP NJ 8.01,9.01 01/31/07 JACKSON VENTURES, INC. NV 8.01 01/26/07 JAG MEDIA HOLDINGS INC NV 1.01,2.03,9.01 01/26/07 JDS UNIPHASE CORP /CA/ DE 2.02,9.01 01/31/07 JENNIFER CONVERTIBLES INC DE 8.01 01/26/07 JOURNAL COMMUNICATIONS INC 5.02,9.01 01/29/07 K-SEA TRANSPORTATION PARTNERS LP 2.02,9.01 01/31/07 K2 DIGITAL INC DE 1.01 01/29/07 KAMAN CORP CT 1.01,9.01 01/31/07 KAPSTONE PAPER & PACKAGING CORP DE 5.02,9.01 01/30/07 KELLY SERVICES INC DE 7.01,9.01 01/31/07 KEY TECHNOLOGY INC OR 5.02,9.01 01/30/07 KEYSTONE AUTOMOTIVE INDUSTRIES INC CA 2.02,9.01 01/30/07 KIMBALL INTERNATIONAL INC IN 2.01,9.01 01/31/07 KLA TENCOR CORP DE 8.01,9.01 01/29/07 KRAFT FOODS INC VA 1.01,8.01,9.01 01/31/07 KRAFT FOODS INC VA 2.02 01/31/07 KUSHNER LOCKE CO CA 8.01,9.01 01/26/07 KYPHON INC DE 9.01 01/18/07 AMEND L 3 COMMUNICATIONS HOLDINGS INC DE 2.02,9.01 01/31/07 LABOR READY INC WA 2.02,8.01,9.01 01/31/07 LAIDLAW INTERNATIONAL INC DE 7.01,9.01 01/31/07 Lake Shore Bancorp, Inc. X1 1.01,2.02,5.02,8.01,9.01 01/01/07 LAKELAND BANCORP INC NJ 5.02 01/31/07 LANCASTER COLONY CORP OH 2.02,9.01 01/31/07 LANDAUER INC DE 2.02,9.01 01/30/07 Legacy Bancorp, Inc. DE 2.02,9.01 01/31/07 LEHMAN BROTHERS HOLDINGS INC DE 9.01 01/26/07 Lehman XS Trust 2007-1 DE 8.01,9.01 01/31/07 Lehman XS Trust Series 2007-2N DE 8.01,9.01 01/31/07 LEVITT CORP FL 1.01,2.02,7.01,9.01 01/30/07 LIFE USA INC CO 5.02 01/29/07 LIGHTBRIDGE INC DE 2.02,9.01 01/31/07 LILLY ELI & CO IN 2.01,2.02,9.01 01/29/07 Loma Verde Inc 5.02,8.01 01/30/07 LONE STAR TECHNOLOGIES INC DE 2.02,9.01 01/30/07 LONG-E INTERNATIONAL, INC. UT 1.01,2.03,3.02,9.01 01/25/07 LOWES COMPANIES INC NC 5.03 01/26/07 LUCYS CAFE INC 4.01,9.01 01/31/07 MAGELLAN MIDSTREAM HOLDINGS LP 2.02,5.02,9.01 01/26/07 MAGELLAN MIDSTREAM PARTNERS LP DE 2.02,5.02,9.01 01/29/07 MAGNETEK, INC. DE 2.02 01/31/07 MAINE & MARITIMES CORP ME 5.02,8.01,9.01 01/31/07 MANNATECH INC TX 1.01,9.01 01/25/07 MARKWEST ENERGY PARTNERS L P 1.01 01/25/07 MARKWEST ENERGY PARTNERS L P 5.03,8.01,9.01 01/25/07 MASTR Adjustable Rate Mortgages Trust 8.01,9.01 01/31/07 MASTR Asset Backed Securities Trust 2 DE 2.01,9.01 11/01/06 MASTR Asset Securitization Trust 2006 DE 8.01,9.01 01/31/07 AMEND MATTSON TECHNOLOGY INC DE 2.02,9.01 01/31/07 MBIA INC CT 1.01,9.01 01/25/07 McAfee, Inc. DE 5.02,8.01 01/30/07 MCGRAW-HILL COMPANIES INC NY 5.03,9.01 01/31/07 MD TECHNOLOGIES INC 3.02 01/31/07 MDC HOLDINGS INC DE 8.01 01/29/07 MEADE INSTRUMENTS CORP DE 8.01,9.01 01/31/07 MEADWESTVACO CORP DE 2.02,9.01 01/31/07 MEADWESTVACO CORP DE 8.01 01/31/07 MED GEN INC NV 8.01 01/31/07 MEDIA GENERAL INC VA 2.02,9.01 01/31/07 MEDICAL DISCOVERIES INC UT 5.02 01/25/07 MEDICOR LTD DE 1.01,2.03,2.04,3.02 06/27/06 MEMC ELECTRONIC MATERIALS INC DE 8.01,9.01 01/31/07 MENS WEARHOUSE INC TX 8.01,9.01 01/31/07 MERIX CORP OR 5.02 01/26/07 MESA OFFSHORE TRUST TX 1.01,8.01,9.01 01/26/07 MetaMorphix Inc. MD 1.01,8.01,9.01 01/26/07 MICROCHIP TECHNOLOGY INC DE 1.01,2.02,3.03,5.03,9.01 01/31/07 MITY ENTERPRISES INC UT 2.02,9.01 01/31/07 MMC ENERGY, INC. DE 1.01 01/23/07 MMC ENERGY, INC. DE 1.01 01/23/07 AMEND MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 01/31/07 MONADNOCK BANCORP INC MD 2.02,9.01 01/31/07 MONTPELIER RE HOLDINGS LTD D0 5.02,9.01 01/31/07 MRV COMMUNICATIONS INC DE 1.01,2.03,3.02,8.01,9.01 01/26/07 MRV COMMUNICATIONS INC DE 8.01,9.01 01/26/07 MULTI COLOR CORP OH 2.02,8.01,9.01 01/29/07 MULTI FINELINE ELECTRONIX INC 1.01,9.01 01/25/07 N-VIRO INTERNATIONAL CORP DE 1.01,3.02,9.01 12/22/06 NARA BANCORP INC DE 2.02,9.01 01/31/07 NATIONAL HOME HEALTH CARE CORP DE 8.01 01/29/07 NATIONAL RETAIL PROPERTIES, INC. MD 2.02,9.01 01/31/07 NATIONWIDE FINANCIAL SERVICES INC/ DE 8.01,9.01 01/31/07 NAUTILUS, INC. WA 1.01,5.01,5.02 01/31/07 NEUROLOGIX INC/DE DE 7.01,9.01 01/31/07 NEW MEXICO SOFTWARE, INC NV 9.01 01/29/07 NEW WORLD RESTAURANT GROUP INC DE 7.01 01/30/07 NEW YORK TIMES CO NY 2.02,4.02,9.01 01/29/07 NEWPORT CORP NV 2.02,9.01 01/31/07 NEWPORT CORP NV 8.01,9.01 01/31/07 NIC INC CO 2.02,7.01,9.01 01/31/07 Nomura Home Equity Loan, Inc., Home E DE 9.01 01/31/07 Nomura Home Equity Loan, Inc., Home E 9.01 01/31/07 NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 01/31/07 NORTH VALLEY BANCORP CA 2.02,9.01 01/30/07 NORTHERN CALIFORNIA BANCORP INC 5.02,9.01 01/24/07 Novori Inc. DE 1.01,2.03,3.02 01/29/07 NUCO2 INC /FL FL 2.02,7.01,9.01 01/31/07 NYMEX HOLDINGS INC DE 2.02,9.01 01/31/07 NYMEX HOLDINGS INC DE 7.01,9.01 01/31/07 OCCIDENTAL PETROLEUM CORP /DE/ DE 8.01,9.01 01/30/07 OCEAN SHORE HOLDING CO X1 2.02,9.01 01/31/07 OLD LINE BANCSHARES INC 5.02,9.01 01/25/07 OLD NATIONAL BANCORP /IN/ IN 5.02 01/25/07 OPNET TECHNOLOGIES INC DE 2.02,9.01 01/31/07 OPTICAL CABLE CORP VA 2.02,9.01 01/25/07 ORTEC INTERNATIONAL INC DE 1.01 01/29/07 Osteologix, Inc. DE 8.01,9.01 01/31/07 OVERSTOCK.COM, INC UT 5.02,9.01 01/29/07 PAB BANKSHARES INC GA 2.02 01/31/07 PAC-WEST TELECOMM INC 1.01,8.01,9.01 01/31/07 PACIFICAP ENTERTAINMENT HOLDINGS INC NV 1.01,5.02,9.01 01/19/07 PANERA BREAD CO DE 7.01,9.01 01/31/07 PAPA JOHNS INTERNATIONAL INC DE 5.02,8.01,9.01 01/27/07 Paradigm Holdings, Inc WY 1.01,7.01,9.01 01/29/07 PARAGON FINANCIAL CORP DE 1.01,1.02,5.02,7.01,8.01 04/26/06 PARKER HANNIFIN CORP OH 8.01,9.01 01/30/07 PATRICK INDUSTRIES INC IN 8.01,9.01 01/31/07 PEAK INTERNATIONAL LTD D0 2.02,9.01 01/31/07 PENTON MEDIA INC DE 8.01,9.01 01/31/07 PEPSIAMERICAS INC/IL/ DE 2.02,9.01 01/31/07 PERICOM SEMICONDUCTOR CORP CA 2.02,9.01 01/31/07 PETROQUEST ENERGY INC DE 2.02,9.01 01/31/07 PHARSIGHT CORP CA 2.02,9.01 01/25/07 PHOTON DYNAMICS INC CA 5.02,9.01 01/24/07 PIONEER COMPANIES INC DE 2.02,8.01,9.01 01/30/07 PIONEER NATURAL RESOURCES CO DE 7.01 01/26/07 PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 01/31/07 POLYONE CORP 2.02,9.01 01/30/07 POSITRON CORP TX 1.01,2.03,9.01 01/26/07 POSSIS MEDICAL INC MN 7.01,9.01 01/30/07 POZEN INC /NC 7.01 01/31/07 PPL CORP PA 5.02,9.01 01/25/07 PPL ELECTRIC UTILITIES CORP PA 5.02 01/25/07 PRG SCHULTZ INTERNATIONAL INC GA 3.02 01/25/07 PRIMEDIA INC DE 2.01,9.01 01/31/07 PRIMEGEN ENERGY CORP 5.02 01/26/07 PRINCIPAL LIFE INSURANCE CO IA 9.01 01/26/07 PRINCIPAL LIFE INSURANCE CO IA 9.01 01/26/07 PRINCIPAL LIFE INSURANCE CO IA 9.01 01/26/07 PRO-FAC COOPERATIVE INC 5.02,5.03,9.01 10/01/06 PROTOCALL TECHNOLOGIES INC NV 9.01 01/26/07 PROVECTUS PHARMACEUTICALS INC NV 3.02 01/30/07 PSYCHEMEDICS CORP DE 5.02 01/25/07 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 2.02,8.01,9.01 01/31/07 QRS MUSIC TECHNOLOGIES INC DE 4.01 01/31/07 QUANTA CAPITAL HOLDINGS LTD 5.02 01/26/07 QUICKLOGIC CORPORATION CA 2.02,9.01 01/31/07 Rackable Systems, Inc. DE 5.02,8.01 01/25/07 RAINIER PACIFIC FINANCIAL GROUP INC WA 2.02,9.01 01/31/07 RAINMAKER SYSTEMS INC CA 1.01,2.01,9.01 01/25/07 RBSGC 2007-A DE 8.01,9.01 01/31/07 READERS DIGEST ASSOCIATION INC DE 7.01,9.01 01/31/07 RED ROBIN GOURMET BURGERS INC DE 8.01,9.01 01/31/07 REGAN HOLDING CORP CA 1.01 01/25/07 REGENCY CENTERS CORP FL 2.02,9.01 01/31/07 RELIANT ENERGY INC DE 8.01 01/26/07 RENHUANG PHARMACEUTICALS INC NV 5.02 01/25/07 RENT A CENTER INC DE DE 2.01,9.01 11/15/06 AMEND REPROS THERAPEUTICS INC. DE 8.01,9.01 01/30/07 RESOURCE AMERICA INC DE 2.02,9.01 12/31/06 RIGHTNOW TECHNOLOGIES INC MT 2.02,9.01 01/31/07 RIVER VALLEY BANCORP IN 5.02,9.01 01/25/07 ROO GROUP INC DE 1.01,3.02,9.01 01/25/07 RYERSON INC. DE 1.01,2.03 01/26/07 SAIA INC DE 2.02,9.01 01/31/07 SALIX PHARMACEUTICALS LTD 8.01,9.01 01/31/07 Saltys Warehouse, Inc. FL 8.01 01/30/07 SANTA FE ENERGY TRUST TX 2.02,7.01,9.01 01/31/07 SATCON TECHNOLOGY CORP DE 3.02,7.01 01/23/07 SAVANNAH BANCORP INC GA 7.01 01/30/07 SCIENTIFIC GAMES CORP DE 1.01,2.03,9.01 01/25/07 SCOTTS MIRACLE-GRO CO OH 5.02,7.01,9.01 01/25/07 SEALED AIR CORP/DE DE 2.02,9.01 01/31/07 Securac Corp NV 4.01,9.01 01/29/07 SEITEL INC DE 7.01,9.01 01/31/07 SEMTECH CORP DE 5.02,8.01 01/25/07 SEPRACOR INC /DE/ DE 2.02,9.01 01/31/07 SEQUA CORP /DE/ DE 1.01,5.02,9.01 01/31/07 SERVICE BANCORP INC MA 2.02,9.01 01/31/07 SGX PHARMACEUTICALS, INC. DE 5.02 01/26/07 SHARPER IMAGE CORP DE 5.02 01/30/07 Shine Media Acquisition Corp. DE 8.01,9.01 01/25/07 SIERRA HEALTH SERVICES INC NV 2.02,9.01 01/30/07 SIGA TECHNOLOGIES INC DE 5.02,8.01,9.01 01/30/07 SILICON LABORATORIES INC DE 2.02,9.01 01/31/07 SIMMONS CO DE 2.01,9.01 11/15/06 AMEND SIRENZA MICRODEVICES INC DE 2.02,7.01,9.01 01/31/07 SIRF TECHNOLOGY HOLDINGS INC 5.02 01/24/07 SJW CORP CA 2.02,5.02,9.01 01/25/07 SLM CORP DE 5.02,5.03 01/23/07 SMUCKER J M CO OH 5.02 01/25/07 SOHU COM INC DE 1.01 01/27/07 SOLAR ENERGY LTD DE 4.01,9.01 01/26/07 SOLUTIA INC DE 1.01,9.01 01/25/07 SOLUTIA INC DE 7.01,9.01 01/31/07 SOTHEBYS DE 1.01 01/25/07 SOUTHERN COMMUNITY FINANCIAL CORP 2.02,9.01 01/31/07 SOUTHWEST BANCORP INC OK 1.01,7.01 01/25/07 SOVEREIGN BANCORP INC PA 7.01,9.01 01/31/07 SPARE BACKUP, INC. DE 1.01 01/31/07 SPARTAN STORES INC MI 2.02,9.01 01/31/07 SPARTON CORP OH 5.02 01/31/07 Spectra Energy Capital, LLC DE 8.01 01/31/07 Spectra Energy Corp. 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CO 3.02,5.02 01/29/07 TUPPERWARE BRANDS CORP DE 2.02,9.01 01/30/07 U S GLOBAL INVESTORS INC TX 8.01,9.01 01/31/07 UCN INC DE 1.01,3.02,9.01 01/26/07 UGI CORP /PA/ PA 2.02,9.01 01/31/07 UGI UTILITIES INC PA 2.02,9.01 01/31/07 ULTICOM INC NJ 3.01,9.01 01/30/07 UNION BANKSHARES CORP VA 2.02,9.01 01/25/07 UNION PACIFIC CORP UT 5.02,8.01 01/30/07 UNION PACIFIC RAILROAD CO/DE DE 5.02,8.01 01/30/07 UNITED AUTO GROUP INC DE 8.01,9.01 01/31/07 UNITIL CORP NH 1.01,9.01 01/26/07 UNIVERSAL DETECTION TECHNOLOGY CA 1.01,3.02 01/30/07 US AIRWAYS GROUP INC DE 8.01,9.01 01/31/07 US CONCRETE INC DE 2.02,9.01 01/31/07 VALERO L P DE 5.02,9.01 01/25/07 Vanda Pharmaceuticals Inc. DE 5.02 01/30/07 VERINT SYSTEMS INC 3.01,9.01 01/30/07 VERISIGN INC/CA DE 2.02,9.01 01/31/07 VERITEC INC NV 8.01,9.01 01/31/07 VERITEC INC NV 5.03,9.01 01/31/07 VERIZON COMMUNICATIONS INC DE 8.01 01/29/07 VERSO TECHNOLOGIES INC MN 1.01,2.01,3.02,8.01,9.01 01/25/07 VIASPACE Inc. NV 7.01,9.01 01/31/07 Village Bank & Trust Financial Corp. 2.02,9.01 01/30/07 VIRAGE LOGIC CORP CA 2.02,9.01 01/31/07 VITA FOOD PRODUCTS INC NV 5.02,9.01 01/25/07 VITESSE SEMICONDUCTOR CORP DE 5.02,9.01 01/25/07 VWR International, Inc. 1.01,9.01 01/29/07 W HOLDING CO INC PR 2.02,9.01 01/30/07 WACHOVIA ASSET SECURITIZATION INC 200 8.01,9.01 01/25/07 WACHOVIA ASSET SECURITIZATION INC AST 8.01,9.01 01/25/07 WADDELL & REED FINANCIAL INC DE 2.02,9.01 01/30/07 WALKER FINANCIAL CORP DE 4.01,9.01 01/31/07 WaMu Asset-Backed Certificates, WaMu DE 9.01 01/16/07 WASHINGTON BANKING CO WA 2.02,7.01,8.01,9.01 01/30/07 Washington Mutual Asset-Backed Certif DE 9.01 01/16/07 WASTE MANAGEMENT INC DE 5.02,9.01 01/25/07 WATAIRE INTERNATIONAL, INC. WA 1.01,9.01 01/25/07 WATERFORD GAMING LLC DE 8.01 01/31/07 WEBEX COMMUNICATIONS INC DE 2.02,9.01 01/31/07 WELLS REAL ESTATE FUND I GA 2.01,9.01 01/25/07 WESTERN GOLDFIELDS INC ID 7.01,9.01 01/31/07 WESTERN PLAINS ENERGY LLC KS 5.02 01/25/07 Western Union CO DE 2.02,9.01 01/31/07 WESTWOOD ONE INC /DE/ DE 5.02 01/29/07 WEYERHAEUSER CO WA 1.01,9.01 01/31/07 WILLIAM LYON HOMES DE 1.01,9.01 01/26/07 WILLIAMS COMPANIES INC DE 5.03,9.01 01/26/07 WILSHIRE BANCORP INC CA 2.02,9.01 01/30/07 WINSONIC DIGITAL MEDIA GROUP LTD NV 5.02 01/25/07 WINTRUST FINANCIAL CORP IL 1.01 01/25/07 WOLVERINE WORLD WIDE INC /DE/ MI 2.02,9.01 01/31/07 WPS RESOURCES CORP WI 2.02,9.01 01/31/07 XCEL ENERGY INC MN 2.02,9.01 01/31/07 XFormity Technologies, Inc. CO 4.01 01/31/07 ZENITH NATIONAL INSURANCE CORP DE 2.02,9.01 01/31/07 Zone Mining LTD 5.02,9.01 01/25/07