SEC NEWS DIGEST Issue 2007-39 February 28, 2007 COMMISSION ANNOUNCEMENTS SEC CHAIRMAN NAMES JONATHAN BURKS AS DIRECTOR OF OFFICE OF LEGISLATIVE AND INTERGOVERNMENTAL AFFAIRS Chairman Christopher Cox announced today that Jonathan W. Burks will join the Commission as Director of the newly designated Office of Legislative and Intergovernmental Affairs. Previously the Office of Legislative Affairs, the agency's staff liaison with Congress has been renamed to reflect its responsibilities in dealing with matters involving other federal agencies as well as state governments. The renaming marks a return to the unit's roots: until 2002, it had been called the Office of Congressional and Intergovernmental Affairs. Mr. Burks is well equipped to deal with the broad responsibilities he will assume as head of the Office, having served in top positions in the White House, the Department of Treasury, and on Capitol Hill. He is currently chief of staff for the 185-person Office of International Affairs at the Department of Treasury, serving simultaneously as Senior Advisor to the Under Secretary for International Affairs. Previously, he served as Acting Executive Secretary of the Department of Treasury. In 2005 Mr. Burks was Policy Advisor on the transition team to assist with the creation of the Office of the Director of National Intelligence. From 2001 to 2005, he held various senior staff positions in the White House, including Special Assistant to the President for Policy. During the 1990s, Mr. Burks served as a Policy Analyst for the House Policy Committee under then-Chairman Cox. "Jon's experience in both the legislative and executive branches, as well as his demonstrated management ability, will well serve the long tradition of outstanding relations between the SEC and the Congress," Chairman Cox said. "His thorough knowledge and understanding of financial markets, and in particular the cutting-edge international issues facing the Commission, will be an asset not only to this agency but to all of the congressional members and staff whom his office will serve. During his service at the Treasury, he has amply demonstrated his dedication to maintaining the integrity and strength of U.S. markets in an era of unprecedented global competition." "A vibrant dialogue among the Commission, the Congress, and other governmental agencies at all levels is critical to the success of the SEC's mission of investor protection, market integrity, and capital formation," Mr. Burks said. "The agency has a long and proud history of outstanding relations with the Congress, and I look forward to building on that solid foundation. I particularly look forward to working with the Office's dedicated and talented team of professionals." Mr. Burks holds a bachelor's degree from the Georgetown University School of Foreign Service. He will join the staff of the Commission on March 5, 2007. (Press Rel. 2007-25) ENFORCEMENT PROCEEDINGS IN THE MATTER OF ROBERT NESS, JR. On February 27, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings and Imposing Remedial Sanctions (Order) against Robert A. Ness, Jr., an accountant who holds a certificate in the State of Washington. Ness served as Controller of Metropolitan Mortgage & Securities Co., Inc. from 2001 until his termination in April 2004. On Sept. 26, 2005, the Commission filed a complaint against Ness in SEC v. Robert A. Ness, et al. (Civil Action No. 2:05-CV-1631). On Feb. 2, 2007, the court entered an order permanently enjoining Ness, by consent, from future violations of Section 17(a) of the Securities Act of 1933, Sections 10(b) and 13(b)(5) of the Exchange Act and Rules 10b-5, 13a-14, 13b2-1 and 13b2-2 thereunder, and aiding and abetting violations 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. The Commission's complaint alleged, among other things, that Ness, at the direction of Metropolitan's former President and Chief Executive Officer, approved the use of an accounting treatment that did not comply with Generally Accepted Accounting Principles (GAAP). The inappropriate accounting treatment recognized the full gain on several sales of real estate immediately, when one or more of the criteria required by GAAP had not been met. To facilitate the real estate sales Metropolitan had financed all or nearly all of the sales prices to the buyers. Under GAAP, recognition of the full gain on these real estate sales was not permitted until various criteria were met including, that the buyers make their own substantial initial down payments demonstrating their commitments to pay for the properties. Despite this, Ness approved the immediate recognition of the full gain for the transactions even though he knew, or was reckless in not knowing, that such accounting treatment was a departure from GAAP and contrary to the advice Metropolitan had received from its auditor. The fraudulently recorded income from the transactions allowed Metropolitan to report a net profit for the third fiscal quarter of 2002 and the 2002 fiscal year instead of a net loss. Based on the above, the Order suspends Ness from appearing or practicing before the Commission as an accountant. Under the terms of the Order, after a period of five years from the date of the Order, Ness may submit an application to the Commission for reinstatement. Ness consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rels. 34-55359; AAE Rel. 2566; File No. 3-12575) IN THE MATTER OF AMIR ROSENTHAL On February 28, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Amir Rosenthal. The Order finds that Rosenthal was the managing member of Aragon Capital Management LLC, a Delaware limited liability company set up by Rosenthal in 2003 to act as the General Partner of, and investment adviser to, Aragon Partners LP (Aragon Partners). Aragon Partners is the Rosenthal family hedge fund and Rosenthal traded for the benefit of himself and his family in the Aragon Partners' brokerage account. Aragon was not registered with the Commission as an investment adviser. On Feb. 8, 2007, Rosenthal pled guilty to one count of conspiracy to commit securities fraud in violation of Title 18 United States Code, Section 371 before the U.S. District Court for the Eastern District of New York, in United States v. Amir Rosenthal, 07 CR 069. The count of the criminal information to which Rosenthal pled guilty alleged, inter alia, that on multiple occasions, Rosenthal engaged in transactions in the securities of Taro Pharmaceutical Industries, Inc. (Taro) while knowingly in possession of material, non-public information and conveyed that information to others who traded in Taro securities. The criminal information also alleged that Rosenthal received a $60,000 kickback from a tippee for the inside information. Based on the above, the Order bars Amir Rosenthal from association with any investment adviser. Amir Rosenthal consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. IA-2594; File No. 3-12576) SEC CHARGES FORMER GENERAL COUNSEL OF MCAFEE, INC. FOR FRAUDULENTLY RE-PRICING OPTION GRANTS The Commission today charged Kent H. Roberts, the former General Counsel and Corporate Secretary of McAfee, Inc., with securities fraud for wrongfully re-pricing McAfee stock option grants awarded to him and others in an effort to secretly increase the value of the grants. The Commission's complaint alleges that Roberts, secretly and without authorization, changed the grant date of a February 2000 grant made to him in order to take advantage of McAfee's then-declining stock price, which increased the potential value of his option grant by approximately $197,500. Roberts concealed his fraudulent re-pricing by filing false stock ownership reports with the Commission, and by failing to properly disclose in a McAfee proxy statement, which he signed, that the grant had been illicitly re-priced to confer a potential benefit of approximately $197,500 on Roberts. The complaint also alleges that in 2002, Roberts, in his capacity as secretary of the compensation committee of McAfee's board of directors, falsified the minutes of a compensation committee meeting, and directed the company to issue a 420,000 share option grant to McAfee's chief executive a day later than the committee had directed. By re-dating the grant to a day after the committee's intended grant date, Roberts gave the chief executive a potential benefit of approximately $739,200, due to an intervening decline in McAfee's stock price. Roberts later signed a company proxy statement that misleadingly described the chief executive's option grants, and failed to disclose that the CEO had received an extra $739,200 of potential value due to the unauthorized re-pricing. Roberts was terminated from his positions at McAfee, Inc. in May 2006, after he confessed his option re-pricing to members of McAfee's board of directors. Roberts did so as McAfee was conducting an internal investigation into option granting practices. Roberts is charged with violating Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), and Rule 10b-5 thereunder, the antifraud provisions; with violating Section 13(b)(5) of the Exchange Act and Rule 13b2-1 thereunder, for circumventing internal controls; and with violating Section 16(a) of the Exchange Act, and Rule 16a-3 thereunder, regarding disclosures of stock ownership by public company officers. He is also charged with violating, and aiding and abetting violations by McAfee, Section 14(a) of the Exchange Act and Rules 14a- 3 and 14a-9 thereunder for proxy statement disclosure violations. The Commission is seeking injunctive relief, disgorgement, and money penalties against Roberts, in addition to a permanent bar to prohibit Roberts from serving as an officer or director of a public company. [SEC v. Kent H. Roberts, USDC, District of Columbia, Civil Action No.07-CV-00407 D.D.C.] (LR-20020; AAE Rel. 2567; Press Rel. 2007-26) SEC CHARGES CORPORATE ATTORNEY WITH SECURITIES FRAUD AND OBTAINS ASSET FREEZE The Commission announced today that it filed an injunctive action in U.S. District Court for the Southern District of New York alleging that from approximately January 2006 to February 2007, Louis W. Zehil, a corporate attorney, and two entities he controlled, Strong Branch Ventures IV LP and Chestnut Capital Partners II, LLC, engaged in a fraudulent scheme to obtain and sell to the investing public millions of shares of securities in violation of the antifraud and registration provisions of the federal securities laws. With the consent of the parties, Judge Preska entered an order granting a preliminary injunction, an asset freeze, the appointment of a receiver and other relief. Zehil, age 41, was until recently a partner with the law firm of McGuireWoods LLP. Zehil is a resident of Ponte Vedra Beach, Florida and worked at the firm's offices in New York, New York, and Jacksonville, Florida. The Complaint alleges that between January 2006 and February 2007, Zehil represented seven public companies in issuing their stock in PIPE transactions (private investments in public equity). The seven public companies were Gran Tierra Energy, Inc., Foothills Resources, Inc., MMC Energy, Inc., Alternative Energy Sources, Inc., Ethanex Energy, Inc., GoFish Corp., and Kreido BioFuels, Inc. At all relevant times, their common stock was registered with the Commission and quoted on the OTC-BB. In these PIPE transactions (as in PIPEs generally), the investors purchase restricted stock at a discount to market price. The Complaint also alleges that Zehil personally invested in the issuers' PIPE transactions through Strong and Chestnut. In the subscription agreements for each PIPE transaction, the Defendants agreed (as all the PIPE subscribers did) that the shares they received would be issued with restrictive legends until such time as the issuers filed registration statements with the Commission and the Commission declared them effective. As counsel for the issuers, Zehil then sent letters to the issuers' transfer agents directing the issuance of shares to the PIPE subscribers. Zehil's letters instructed that all the shares should bear restrictive legends except the shares issued to his entities, Strong and Chestnut. Zehil's letters stated, falsely, that the shares issued to Strong and Chestnut satisfied legal criteria to be issued without restrictive legend. As a result of their fraudulent conduct, the Defendants were able to receive shares without restrictive legends, which they quickly sold into the public market, and generated illicit profits of at least $17 million The complaint charges Zehil, Strong and Chestnut with violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Court granted, among other relief, a preliminary injunction order which included an asset freeze and the appointment of a receiver over Strong and Chestnut. In its enforcement action, the Commission is seeking additional relief, including orders permanently enjoining Zehil, Strong and Chestnut from committing future violations of the foregoing federal securities laws, and a final judgment ordering Zehil, Strong and Chestnut to disgorge ill-gotten gains, and assessing civil penalties. [SEC v. Louis W. Zehil, et al., Civil Action No. 07 CV 1439 (LAP) (SDNY)] (LR-20021) INVESTMENT COMPANY ACT RELEASES NASDAQ-100 TRUST, SERIES 1, ET AL. A notice has been issued giving interested persons until March 19, 2007, to request a hearing on an application filed by Nasdaq-100 Trust, Series 1, et al. for an order to permit (a) Nasdaq-100 Trust, Series 1 (Trust), a unit investment trust whose portfolio consists of the component stocks of the Nasdaq-100 Index, to issue shares (Nasdaq- 100 Shares) that are only redeemable in large aggregations; (b) secondary market transactions in Nasdaq-100 Shares to occur at negotiated prices; (c) dealers to sell Nasdaq-100 Shares to purchasers in the secondary market unaccompanied by a prospectus when prospectus delivery is not required by the Securities Act of 1933; (d) the Trust, rather than PowerShares Capital Management LLC (Sponsor), to bear certain expenses associated with the maintenance of the Trust; (e) certain affiliated persons of the Trust to deposit securities into, and receive securities from, the Trust in connection with the purchase and redemption of Nasdaq-100 Shares; and (f) the Trust to reimburse the Sponsor for payment of an annual licensing fee to The Nasdaq Stock Market, Inc. (Rel. IC-27740 - February 27) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the Chicago Stock Exchange to specify that a "SOLD" indicator must be affixed to a trade to the extent required by the applicable intermarket trade reporting plans (SR-CHX- 2007-01) 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 26. (Rel. 34-55319) A proposed rule change filed by the Chicago Stock Exchange regarding a change to the Trading Phase Date (SR-CHX-2007-03) 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 26. (Rel. 34-55334) A proposed rule change filed by the NYSE Arca, Inc. clarifying the operative date of rules relating to Regulation NMS (SR-NYSEArca-2007- 18) 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 26. (Rel. 34-55340) A proposed rule change filed by the National Association of Securities Dealers to make conforming changes to the rules relating to the NASD/NSX TRF, NASD/BSE TRF, and NASD/NYSE TRF consistent with the new requirements of Regulation NMS (SR-NASD-2007-014) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-55346) A proposed rule change (SR-NYSEArca-2007-19) filed by the NYSE Arca to extend the standard position and exercise limit pilot program has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-55347) A proposed rule change (SR-NASDAQ-2007-007) filed by The NASDAQ Stock Market regarding technical and conforming changes to Nasdaq's 7000 Series Rules has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-55355) A proposed rule change (SR-CBOE-2007-16) filed by the Chicago Board Options Exchange relating to an extension of the dividend, merger and short stock interest strategies fee cap pilot program has become immediately effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 5. . (Rel. 34-55357) PROPOSED RULE CHANGES NYSE Arca, through its wholly owned subsidiary, NYSE Arca Equities, Inc., filed a proposed rule change (SR-NYSEArca-2007-14) to amend its listing standards applicable to Investment Company Units. Publication is expected in the Federal Register during the week of February 26. (Rel. 34-55339) The New York Stock Exchange filed a proposed rule change (SR-NYSE- 2007-12) to amend Section 703.16 of the NYSE Listed Company Manual to eliminate the requirement regarding index calculation methodology. Publication is expected in the Federal Register during the week of February 26. (Rel. 34-55343) The New York Stock Exchange filed a proposed rule change (SR-NYSE- 2007-15) regarding the amendment of NYSE Rule 300 relating to trading licenses. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-55345) The New York Stock Exchange filed a proposed rule change (SR-NYSE- 2006-71) to list and trade nine series of Exchange-Traded Notes of Barclays Bank PLC linked to the performance of sub-indices of the Dow Jones - AIG Commodity IndexSM. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-55352) The New York Stock Exchange filed a proposed rule change (SR-NYSE- 2007-04) relating to approval of fee for NYSE Real-Time Trade Prices. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-55354) ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission granted accelerated approval to a proposed rule change (SR-NASDAQ-2006-057) submitted by The NASDAQ Stock Market to trade certain CurrencyShare Trusts pursuant to unlisted trading privileges. Publication is expected in the Federal Register during the week of February 26. (Rel. 34-55344) The Commission granted accelerated approval to a proposed rule change (SR-Amex-2007-18) and Amendment No. 1 thereto submitted by the American Stock Exchange under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to fee changes. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-55348) The Commission provided notice of Amendment No. 3 to and granted accelerated approval of a proposed rule change (SR-NASD-2005-146) and Amendment Nos. 2 and 3 thereto, filed by the National Association of Securities Dealers to expand the scope of IM-2110-2 relating to trading ahead of customer limit orders to apply to all OTC equity securities. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-55351) The Commission granted accelerated approval of a proposed rule change (SR-NASDAQ-2007-011) filed by The NASDAQ Stock Market to permit trading pursuant to unlisted trading privileges of shares of 93 funds of the Proshares Trust. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-55353) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-OCC-2006-08) filed by The Options Clearing Corporation to amend Article XII (Futures and Futures Options), Section 3 (Adjustments to Futures and Futures Options) of OCC's By-Laws to conform to the changes adopted in rule change SR-OCC-2006-01, which amended Article VI (Clearance of Exchange Transactions), Section 11A (Adjustments for Stock Option Contracts). Publication is expected in the Federal Register during the week of March 5. (Rel. 34-55349 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: . SB-2 Rite Time Mining, Inc., 47395 MONROE ST. #274, INDIO, CA, 92201, 760-413-8976 - 1,250,000 ($25,000.00) Equity, (File 333-140900 - Feb. 27) (BR. 04) S-8 AVNET INC, 2211 SOUTH 47TH STREET, PHOENIX, AZ, 85034, 4806432000 - 5,000,000 ($178,250,000.00) Equity, (File 333-140903 - Feb. 27) (BR. 10A) S-8 ARTES MEDICAL INC, 5870 PACIFIC CENTER BLVD, SAN DIEGO, CA, 92121, 858-550-9999 - 0 ($56,977,034.09) Equity, (File 333-140904 - Feb. 27) (BR. 01C) S-8 HEMIS CORP, NEUHOFSTRASSE 8, DUEBENDORF, V8, 8600, (702) 387-2382 - 10,000,000 ($19,000,000.00) Equity, (File 333-140905 - Feb. 27) (BR. 04A) S-8 Saifun Semiconductors Ltd., 45 HAMELACHA STREET, SAPPIR INDUSTRIAL PARK, NETANYA, L3, 42504, 01197298928444 - 700,000 ($9,569,000.00) Equity, (File 333-140906 - Feb. 27) (BR. 10C) S-1 ENERGY XXI (BERMUDA) LTD, CANONS COURT, 22 VICTORIA STREET PO BX HM 1179, HAMILTON, D0, 00000, 713 351 3003 - 76,293,930 ($383,123,839.20) Equity, (File 333-140916 - Feb. 27) (BR. 04A) S-8 YAHOO INC, 4083493300 - 0 ($623,723.00) Equity, (File 333-140917 - Feb. 27) (BR. 03B) SB-2 GREEN ENERGY CORP, 9600 E ARAPAHOE RD, SUITE 260, ENGLEWOOD, CO, 80111, (303) 790-8503 - 329,702 ($168,148.00) Equity, (File 333-140918 - Feb. 27) (BR. ) S-8 RAINING DATA CORP, 25A TECHNOLOGY DRIVE, IRVINE, CA, 92618, 949-442-4400 - 0 ($4,577,768.00) Equity, (File 333-140919 - Feb. 27) (BR. 03B) S-8 MED GEN INC, 7284 W PALMETTO ROAD, SUITE 106, BOCA RATON, FL, 33433, 5617501100 - 300,000,000 ($1,530,000.00) Equity, (File 333-140920 - Feb. 27) (BR. 01B) S-3ASR INTEGRYS ENERGY GROUP, INC., 130 EAST RANDOLPH DRIVE, CHICAGO, IL, 60601, 800-699-1269 - 4,000,000 ($227,120,000.00) Equity, (File 333-140921 - Feb. 27) (BR. 02B) S-8 BARNES GROUP INC, 123 MAIN ST, BRISTOL, CT, 06010, 8605837070 - 2,900,000 ($66,932,000.00) Equity, (File 333-140922 - Feb. 27) (BR. 06C) S-3 HSI ASSET SECURITIZATION CORP, 452 FIFTH AVENUE, NEW YORK, NY, 10018, 212 525-8119 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-140923 - Feb. 27) (BR. 05) SB-2 TSEVNI REAL ESTATE GROUP INC, 8018 E SANTA ANA CANYON RD, SUITE 100-48, ANAHEIM, CA, 92808, 714-398-8004 - 1,283,000 ($160,375.00) Equity, (File 333-140924 - Feb. 27) (BR. ) S-8 SUB SURFACE WASTE MANAGEMENT OF DELAWARE INC, 5922-B FARNSWORTH COURT, CARLSBAD, CA, 92008, 760-918-1860 - 20,000,000 ($600,000.00) Equity, (File 333-140925 - Feb. 27) (BR. 06B) S-8 ADAM INC, 1600 RIVEREDGE PARKWAY, STE 800, ATLANTA, GA, 30328, 7709800888 - 0 ($1,170,729.00) Equity, (File 333-140926 - Feb. 27) (BR. 03C) F-1 EndoCeutics, Inc., (418) 652-0197 - 0 ($75,000,000.00) Equity, (File 333-140927 - Feb. 27) (BR. ) S-3ASR RYDER SYSTEM INC, 11690 N.W. 105TH STREET, MIAMI, FL, 33178, 3055003726 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-140928 - Feb. 27) (BR. 05C) SB-2 ENVIRO VORAXIAL TECHNOLOGY INC, 98 SE 7TH STREET, STE 4-5, DEERFIELD BEACH, FL, 33441, 9544216141 - 9,543,363 ($9,546,883.80) Equity, (File 333-140929 - Feb. 27) (BR. 10B) S-3 AFS SenSub Corp., 2265B RENAISSANCE DRIVE, SUITE 17, LAS VEGAS, NV, 89119, 702-932-4914 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-140931 - Feb. 27) (BR. 05D) 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 NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ------------------------------------------------------------------------------------------------------- 1st Pacific Bancorp CA 8.01,9.01 02/26/07 ACCELLENT INC 2.02,9.01 02/27/07 ACCREDITED HOME LENDERS HOLDING CO DE 5.02 02/22/07 ACRO INC. NV 3.02 02/27/07 AMEND ADOLOR CORP 2.02,9.01 02/27/07 AES CORP DE 2.06,8.01,9.01 02/27/07 AFP IMAGING CORP NY 1.01,9.01 02/22/07 AIRTRAN HOLDINGS INC NV 8.01,9.01 02/23/07 Aleris International, Inc. DE 5.02,5.03 02/21/07 ALEXANDER & BALDWIN INC HI 2.02,9.01 12/31/06 ALLEGHENY TECHNOLOGIES INC DE 5.02 02/21/07 ALLIED WASTE INDUSTRIES INC DE 1.01,8.01,9.01 02/26/07 ALPHARMA INC DE 2.02,9.01 02/27/07 Alternative Loan Trust 2007-5CB DE 9.01 02/27/07 Alternative Loan Trust 2007-OA2 DE 7.01,9.01 02/15/07 AMERICAN SOIL TECHNOLOGIES INC NV 3.02,7.01,9.01 02/27/07 ANALYSTS INTERNATIONAL CORP 2.02,7.01,9.01 02/27/07 ANR PIPELINE CO DE 5.01 02/27/07 Apple REIT Seven, Inc. VA 2.01,9.01 02/21/07 APPLIANCE RECYCLING CENTERS OF AMERIC MN 8.01,9.01 02/20/07 ARBITRON INC DE 5.02 02/21/07 ARMSTRONG HOLDINGS INC /PA/ PA 1.01,9.01 02/26/07 ARMSTRONG WORLD INDUSTRIES INC PA 1.01,9.01 02/26/07 ARTS WAY MANUFACTURING CO INC DE 2.02 11/30/06 ASI TECHNOLOGY CORP NV 1.01,3.02,9.01 02/26/07 ASPEN INSURANCE HOLDINGS LTD D0 8.01,9.01 02/22/07 ASTEC INDUSTRIES INC TN 2.02,9.01 12/30/06 ATLAS AIR WORLDWIDE HOLDINGS INC DE 4.01,9.01 02/21/07 Atlas Pipeline Holdings, L.P. DE 2.02,9.01 02/26/07 ATLAS PIPELINE PARTNERS LP DE 2.02,9.01 02/26/07 Aurora Oil & Gas CORP UT 5.03 02/23/07 AUTO UNDERWRITERS OF AMERICA, INC. 5.02 02/21/07 AUTODESK INC DE 4.02,9.01 02/23/07 AUTODESK INC DE 2.02,9.01 02/27/07 AUTOZONE INC NV 2.02,8.01,9.01 02/27/07 AVENTINE RENEWABLE ENERGY HOLDINGS IN 5.02,9.01 02/27/07 BALLY TECHNOLOGIES, INC. NV 8.01,9.01 02/27/07 Banc of America Commercial Mortgage I DE 8.01 02/27/07 Banc of America Funding 2007-2 Trust DE 9.01 02/27/07 Banc of America Mortgage 2007-1 Trust DE 9.01 02/27/07 BANK OF FLORIDA CORP FL 5.02 02/21/07 BCAP LLC Trust 2007-AA1 8.01,9.01 02/27/07 BE AEROSPACE INC DE 5.02 02/22/07 BELLAVISTA CAPITAL INC MD 7.01,9.01 02/27/07 BENE IO INC 1.01,8.01,9.01 02/26/07 BILL BARRETT CORP 2.02,7.01,9.01 02/27/07 BioMed Realty Trust Inc MD 2.02,9.01 02/26/07 BIOMET INC IN 5.02,9.01 02/26/07 BIOPACK ENVIRONMENTAL SOLUTIONS INC. NV 5.03,7.01,9.01 02/27/07 BIOPHAN TECHNOLOGIES INC NV 1.01,2.04,3.02,9.01 02/01/07 BITSTREAM INC DE 2.02,9.01 02/27/07 BLOCKBUSTER INC DE 2.02,5.02,9.01 02/21/07 BMW Vehicle Owner Trust 2004-A 9.01 02/25/07 BMW Vehicle Owner Trust 2005-A 9.01 02/25/07 BORLAND SOFTWARE CORP DE 2.03,3.02,9.01 02/23/07 BOSTON FINANCIAL QUALIFIED HOUSING TA DE 1.01 02/21/07 BOSTON FINANCIAL QUALIFIED HOUSING TA DE 1.01 02/21/07 BOSTON FINANCIAL QUALIFIED HOUSING TA DE 1.01 02/21/07 BOSTON FINANCIAL TAX CREDIT FUND VII MA 1.01 02/21/07 BRIGHAM EXPLORATION CO DE 7.01,9.01 02/27/07 BROADVISION INC DE 2.02,9.01 12/31/06 Brooklyn Cheesecake & Desert Com NY 5.02 02/22/07 CABOT OIL & GAS CORP DE 8.01 02/23/07 Cal Dive International, Inc. DE 2.02,7.01,9.01 02/26/07 CALPINE GENERATING COMPANY, LLC DE 2.01,2.05,9.01 02/27/07 CAPITAL LEASE FUNDING INC 2.02,9.01 02/27/07 CAPITAL ONE FINANCIAL CORP DE 5.02 02/21/07 CAPITAL TRUST INC MD 3.03,5.03,8.01 02/27/07 CAPITALSOURCE INC DE 2.02 02/27/07 CAPSTONE TURBINE CORP DE 5.02 02/23/07 CARAUSTAR INDUSTRIES INC NC 1.01 02/21/07 Cardiac Science CORP 2.02,9.01 02/27/07 CAREY W P & CO LLC DE 7.01,9.01 02/26/07 CARRINGTON LABORATORIES INC /TX/ TX 5.02 02/26/07 CBRE Realty Finance Inc 2.02,7.01,9.01 02/26/07 CBRL GROUP INC TN 7.01,9.01 02/27/07 CBS CORP DE 2.02,9.01 02/27/07 CBS CORP DE 8.01,9.01 02/27/07 CBS CORP DE 8.01,9.01 02/27/07 CDI CORP PA 2.02 02/27/07 CENTERPOINT ENERGY INC 5.02,9.01 02/21/07 Century Petroleum Corp. NV 1.01,9.01 02/16/07 CERAGENIX PHARMACEUTICALS, INC. DE 7.01,9.01 02/26/07 Chase Mortgage Finance Trust Series 2 DE 8.01,9.01 02/27/07 CHINA CLEAN ENERGY INC DE 7.01,9.01 02/21/07 China Premium Lifestyle Enterprise, I NV 4.01,9.01 02/27/07 CHYRON CORP NY 1.01 02/21/07 CIT GROUP INC DE 8.01,9.01 02/26/07 CITIGROUP INC DE 9.01 02/27/07 CITIZENS COMMUNICATIONS CO DE 2.02,9.01 12/31/06 CITIZENS COMMUNICATIONS CO DE 5.02,8.01,9.01 02/27/07 CLECO CORP LA 2.02,9.01 12/31/06 CLEVELAND CLIFFS INC OH 7.01,9.01 02/27/07 CMALT (CitiMortgage Alternative Loan DE 9.01 02/27/07 CNL Hotels & Resorts, Inc. MD 8.01,9.01 02/16/07 Cogdell Spencer Inc. MD 2.02,9.01 02/26/07 COLOMBIA GOLDFIELDS LTD 1.01 02/27/07 COLONIAL BANCGROUP INC DE 7.01,9.01 02/27/07 Columbia Equity Trust, Inc. MD 8.01,9.01 02/27/07 COMMONWEALTH TELEPHONE ENTERPRISES IN PA 2.02,9.01 02/27/07 COMMUNITY BANKS INC /PA/ PA 8.01 02/27/07 COMPUTER SCIENCES CORP NV 7.01,9.01 02/21/07 COMPUTER TASK GROUP INC NY 2.02,9.01 02/26/07 CONCEPTUS INC DE 2.02,8.01,9.01 02/27/07 CORONADO INDUSTRIES INC NY 5.02,5.03,9.01 02/16/07 COSTAR GROUP INC 1.01 02/22/07 COVANTA HOLDING CORP DE 2.02,7.01,9.01 02/26/07 COX RADIO INC DE 2.02,9.01 02/27/07 CROWN CASTLE INTERNATIONAL CORP DE 5.02 02/21/07 CROWN CASTLE INTERNATIONAL CORP DE 5.02 01/11/07 AMEND CRUISESTOCK INC. TX 1.01,2.01,2.03,3.02,5.01,5.02, 02/21/07 5.03,5.06,9.01 CSK AUTO CORP DE 5.02,9.01 02/22/07 CTC Media, Inc. 2.02,9.01 02/27/07 CVB FINANCIAL CORP CA 5.02,8.01 02/21/07 CWALT INC DE 9.01 02/27/07 CWALT INC DE 9.01 02/27/07 CWALT INC DE 9.01 02/27/07 CWALT INC DE 9.01 02/27/07 CWALT INC DE 8.01,9.01 02/27/07 CWHEQ, Inc. 8.01,9.01 02/27/07 CWMBS INC DE 9.01 02/27/07 CYANOTECH CORP NV 3.01,8.01 02/21/07 CYANOTECH CORP NV 9.01 02/21/07 AMEND D&E COMMUNICATIONS INC PA 5.03 02/27/07 DALRADA FINANCIAL CORP DE 5.02,9.01 02/20/07 DECKERS OUTDOOR CORP DE 2.02,9.01 02/27/07 DELCATH SYSTEMS INC DE 8.01,9.01 01/02/07 DELPHAX TECHNOLOGIES INC MN 3.01,9.01 02/26/07 DELPHI CORP DE 2.02,9.01 02/27/07 Deutsche Alt-A Securities Mortgage Lo 8.01,9.01 02/27/07 Deutsche Alt-A Securities Mortgage Lo 8.01,9.01 02/27/07 DEVELOPERS DIVERSIFIED REALTY CORP OH 1.01,2.01,2.03,8.01,9.01 02/27/07 DEXCOM INC 2.02,9.01 02/27/07 DGT Corp. NV 5.01 02/22/07 DILLARDS INC DE 2.02,9.01 02/27/07 DISCOVER CARD MASTER TRUST I DE 8.01,9.01 02/26/07 DIXIE GROUP INC TN 2.02,9.01 02/27/07 DreamWorks Animation SKG, Inc. 2.02,9.01 02/27/07 DTE ENERGY CO MI 2.02,9.01 02/26/07 DTE ENERGY CO MI 7.01,9.01 02/27/07 Dujour Products, Inc. NV 5.02,9.01 02/22/07 DYNABAZAAR INC DE 1.01,9.01 02/26/07 DYNAMIC MATERIALS CORP DE 2.02,9.01 02/22/07 DYNAVAX TECHNOLOGIES CORP DE 2.02,9.01 02/23/07 DYNAVAX TECHNOLOGIES CORP DE 8.01,9.01 02/23/07 DYNCORP INTERNATIONAL INC. DE 1.01,9.01 02/26/07 Dynegy Acquisition, Inc. DE 2.02,8.01,9.01 02/27/07 ECOSPHERE TECHNOLOGIES INC FL 1.01 02/26/07 EDISON INTERNATIONAL CA 1.01,2.03,5.02,9.01 02/22/07 EL CAPITAN PRECIOUS METALS INC NV 3.02 02/21/07 EL PASO CORP/DE DE 2.02,7.01,9.01 02/27/07 Embarq CORP DE 5.02,9.01 02/21/07 EMERSON ELECTRIC CO MO 7.01 02/27/07 EMISPHERE TECHNOLOGIES INC DE 8.01,9.01 02/27/07 EMISPHERE TECHNOLOGIES INC DE 2.02,9.01 02/27/07 ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 02/27/07 ENDOCARE INC DE 1.02,5.02,9.01 02/21/07 ENDOLOGIX INC /DE/ DE 2.02,9.01 02/22/07 ENERGIZER HOLDINGS INC MO 5.02 02/26/07 ENTERTAINMENT PROPERTIES TRUST MD 2.02,9.01 02/26/07 EPIX Pharmaceuticals, Inc. 2.02,9.01 02/27/07 ERIE INDEMNITY CO PA 8.01,9.01 02/26/07 EUROTELECOM COMMUNICATIONS INC DE 3.03,5.01,5.02,9.01 02/26/07 ev3 Inc. DE 5.02 02/23/07 EVERGREEN ENERGY INC DE 5.03,9.01 02/21/07 Extra Space Storage Inc. MD 2.02,9.01 02/27/07 FAMOUS DAVES OF AMERICA INC MN 5.02,9.01 02/21/07 Federal Home Loan Bank of Atlanta X1 2.03 02/21/07 Federal Home Loan Bank of Boston X1 2.03 02/21/07 Federal Home Loan Bank of Chicago X1 2.03 02/22/07 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 02/21/07 Federal Home Loan Bank of Dallas 2.03 02/21/07 Federal Home Loan Bank of Des Moines X1 2.03,9.01 02/21/07 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 02/21/07 Federal Home Loan Bank of New York X1 2.03,8.01,9.01 02/21/07 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/21/07 Federal Home Loan Bank of San Francis X1 2.03 02/21/07 Federal Home Loan Bank of Seattle 2.03 02/26/07 Federal Home Loan Bank of Topeka 2.03 02/21/07 FEDERAL NATIONAL MORTGAGE ASSOCIATION 2.02,3.02,8.01,9.01 02/27/07 FEDERATED DEPARTMENT STORES INC /DE/ DE 2.02,9.01 02/27/07 FEDERATED DEPARTMENT STORES INC /DE/ DE 1.01,2.03,9.01 02/26/07 FEDEX CORP DE 5.02,7.01,9.01 02/22/07 FEI CO OR 5.02,8.01 02/21/07 FIRST BANKS, INC MO 8.01 02/27/07 FIRST CAPITAL INSTITUTIONAL REAL ESTA FL 8.01 02/27/07 FIRST CAPITAL INSTITUTIONAL REAL ESTA FL 8.01 02/27/07 First Clover Leaf Financial Corp. MD 5.02,9.01 02/21/07 FIRST COMMUNITY BANCSHARES INC /NV/ NV 8.01,9.01 02/27/07 FIRST PLACE FINANCIAL CORP /DE/ DE 2.02,7.01,9.01 02/27/07 Florida East Coast Industries, Inc. 5.02 02/21/07 FLORIDA ROCK INDUSTRIES INC FL 7.01,9.01 02/27/07 FNB FINANCIAL SERVICES CORP NC 1.01,9.01 02/26/07 FOREST OIL CORP NY 2.02,7.01,9.01 02/26/07 FOSTER WHEELER LTD D0 2.02,9.01 02/27/07 FRONTIER OIL CORP /NEW/ WY 2.02,9.01 02/27/07 FULTON FINANCIAL CORP PA 5.03 02/27/07 GALAXY ENERGY CORP CO 2.03,9.01 02/26/07 GateHouse Media, Inc. DE 8.01,9.01 02/26/07 GE Capital Credit Card Master Note Tr DE 8.01,9.01 02/15/07 GENERAL EMPLOYMENT ENTERPRISES INC IL 1.01 02/26/07 GENERAL NUTRITION CENTERS, INC. 2.02,9.01 02/26/07 GENITOPE CORP DE 7.01 02/27/07 GEOPETRO RESOURCES CO 7.01,9.01 02/20/07 GEORGIA INTERNATIONAL MINING CORP NV 5.02 02/26/07 GERBER SCIENTIFIC INC CT 2.02,9.01 02/27/07 GIANT INDUSTRIES INC DE 2.02,9.01 02/27/07 GLADSTONE COMMERCIAL CORP MD 2.02,9.01 02/27/07 GLIMCHER REALTY TRUST MD 5.02 02/21/07 GLOBAL GREEN SOLUTIONS INC. WA 2.01,7.01,9.01 02/26/07 GLOBALSANTAFE CORP 2.02,9.01 02/26/07 GLOWPOINT INC DE 2.02,9.01 02/23/07 GOLDEN STAR RESOURCES LTD 1.01,9.01 02/21/07 GOLDEN TELECOM INC DE 1.01,9.01 02/22/07 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 02/23/07 GREATER BAY BANCORP CA 8.01,9.01 02/26/07 GREYSTONE LOGISTICS, INC. 1.01,1.02,2.01,2.03,3.02,9.01 02/07/07 GS CARBON CORP DE 1.01,2.03,3.02,9.01 02/27/07 GSI GROUP INC A3 2.02,9.01 02/27/07 GTC TELECOM CORP NV 4.02 02/20/07 HAMPTONS LUXURY HOMES INC DE 8.01,9.01 02/27/07 HANSEN NATURAL CORP DE 2.02,9.01 02/27/07 HARDINGE INC NY 2.02,9.01 02/22/07 HARDINGE INC NY 5.02 02/20/07 HARLEYSVILLE GROUP INC DE 5.02 02/27/07 HARRAHS ENTERTAINMENT INC DE 8.01,9.01 02/27/07 HARRAHS ENTERTAINMENT INC DE 2.02,9.01 02/27/07 HARRINGTON WEST FINANCIAL GROUP INC/C 5.02,9.01 02/27/07 HARTCOURT COMPANIES INC UT 1.01,9.01 02/27/07 HAWKINS INC MN 3.01,9.01 02/21/07 HEALTHEXTRAS INC DE 2.02,9.01 02/26/07 HEIDRICK & STRUGGLES INTERNATIONAL IN DE 2.02,9.01 02/26/07 HEINZ H J CO PA 2.02,9.01 02/27/07 HELIX ENERGY SOLUTIONS GROUP INC MN 2.02,8.01,9.01 02/26/07 HERITAGE COMMERCE CORP CA 5.02,8.01 02/27/07 HINES REAL ESTATE INVESTMENT TRUST IN 7.01,9.01 02/27/07 HINES REAL ESTATE INVESTMENT TRUST IN 2.01,9.01 01/03/07 AMEND HINES REAL ESTATE INVESTMENT TRUST IN 2.01,9.01 12/20/06 AMEND HOME PROPERTIES INC MD 7.01,9.01 02/22/07 AMEND HOMEBANC CORP 2.02,7.01,9.01 02/26/07 HOMEBANC CORP 2.01,8.01 02/21/07 Honda Auto Receivables 2007-1 Owner T CA 8.01,9.01 02/27/07 HOST AMERICA CORP DE 5.02,9.01 02/23/07 HOST HOTELS & RESORTS, INC. MD 8.01,9.01 02/26/07 HOUSTON EXPLORATION CO DE 2.02,9.01 02/27/07 HOVNANIAN ENTERPRISES INC DE 2.02,2.06 01/31/07 HUB INTERNATIONAL LTD A6 1.01,2.02,7.01,9.01 02/25/07 Hughes Communications, Inc. DE 1.01,9.01 02/23/07 Hughes Network Systems, LLC DE 1.01,9.01 02/23/07 HUMAN GENOME SCIENCES INC DE 2.02,9.01 02/27/07 I TRAX INC DE 3.02 02/22/07 IA GLOBAL INC DE 5.02 02/22/07 ICONIX BRAND GROUP, INC. DE 1.01,9.01 02/21/07 IDACORP INC ID 5.02,9.01 02/27/07 IDAHO GENERAL MINES INC ID 5.02,9.01 02/22/07 IGATE CORP PA 2.02,9.01 02/27/07 IndyMac INDX Mortgage Loan Trust 2007 9.01 02/27/07 INDYMAC MBS INC 9.01 02/27/07 INDYMAC MBS INC RESIDENTIAL ASSET SEC 8.01 02/26/07 INLAND WESTERN RETAIL REAL ESTATE TRU MD 8.01,9.01 02/26/07 InPlay Technologies, Inc. NV 1.01,9.01 02/27/07 INTEGRA LIFESCIENCES HOLDINGS CORP DE 1.01,2.03,5.02,9.01 02/27/07 INTEGRYS ENERGY GROUP, INC. WI 2.01,5.02,5.03,9.01 02/21/07 INTERSTATE BAKERIES CORP/DE/ DE 7.01,9.01 02/27/06 INVENTIV HEALTH INC DE 2.02,9.01 02/27/07 IPARTY CORP DE 2.02,9.01 02/27/07 J.P. Morgan Alternative Loan Trust 20 DE 8.01,9.01 02/27/07 James River Coal CO VA 1.01,9.01 02/26/07 JURAK CORP WORLD WIDE INC MN 1.01,9.01 12/01/06 K-FED BANCORP 8.01 02/27/07 KAYDON CORP DE 5.02,9.01 02/22/07 KINDRED HEALTHCARE, INC DE 2.02,7.01,9.01 02/26/07 KLA TENCOR CORP DE 8.01 02/27/07 KOMAG INC /DE/ DE 1.01,1.02,9.01 02/23/07 LANDEC CORP \CA\ CA 5.02 02/22/07 Lazy Days R.V. Center, Inc. 1.01 02/27/07 LEAP WIRELESS INTERNATIONAL INC DE 2.02,9.01 02/27/07 LECG CORP DE 2.02,5.02,9.01 02/19/07 LENOX GROUP INC DE 8.01 02/22/07 LEXMARK INTERNATIONAL INC /KY/ DE 5.02,9.01 02/21/07 LIN TV CORP DE 5.02,9.01 02/22/07 LITHIUM TECHNOLOGY CORP DE 4.01 02/23/07 LKQ CORP DE 2.02,9.01 02/27/07 LKQ CORP DE 5.02,9.01 02/26/07 LOOKSMART LTD DE 5.02 02/22/07 LQ CORP INC DE 1.01,9.01 02/26/07 LSB BANCSHARES INC /NC/ NC 1.01,9.01 02/26/07 M & F WORLDWIDE CORP DE 2.02,9.01 02/27/07 MAF BANCORP INC DE 7.01 02/27/07 MAGELLAN HEALTH SERVICES INC DE 5.02,8.01,9.01 02/21/07 MAGUIRE PROPERTIES INC MD 1.01,5.02,9.01 02/27/07 MARTHA STEWART LIVING OMNIMEDIA INC DE 5.02,5.05,9.01 02/22/07 MASTR Adjustable Rate Mortgages Trust DE 8.01,9.01 02/27/07 MASTR ASSET BACKED SECURITIES TRUST 2 DE 9.01 02/06/07 MAXIMUS EXPLORATION CORP NJ 4.01 02/22/07 MB FINANCIAL INC /MD MD 5.02,5.03,9.01 02/21/07 MCG CAPITAL CORP DE 2.02,9.01 02/27/07 MCKESSON CORP DE 8.01 02/23/07 MERCANTILE BANKSHARES CORP MD 8.01,9.01 02/27/07 MERCER INSURANCE GROUP INC PA 2.02,9.01 12/31/06 MERCER INTERNATIONAL INC. WA 2.02,9.01 02/26/07 MERRILL LYNCH & CO INC DE 8.01,9.01 02/27/07 META FINANCIAL GROUP INC DE 8.01,9.01 02/26/07 METRIS MASTER TRUST DE 9.01 02/20/07 MHI Hospitality CORP MD 5.02 02/22/07 MICROFINANCIAL INC MA 5.02 02/22/07 MICROHELIX INC OR 5.02 02/24/07 MICROSOFT CORP WA 8.01,9.01 01/25/07 MIDDLESEX WATER CO NJ 8.01 02/27/07 MIDWEST BANC HOLDINGS INC DE 7.01,9.01 02/25/07 MILE MARKER INTERNATIONAL INC FL 2.02,9.01 02/27/07 MILLIPORE CORP /MA MA 5.02 02/25/07 MM2 GROUP, INC. NY 2.02,9.01 02/21/07 MOBILEPRO CORP DE 1.01,8.01,9.01 02/20/07 MODAVOX INC 4.01 02/27/07 MODAVOX INC 4.01 02/27/07 Modigene Inc. 5.02,8.01,9.01 02/26/07 MOHAWK INDUSTRIES INC DE 8.01 02/27/07 MONTPELIER RE HOLDINGS LTD D0 5.02 02/22/07 MSCC HELOC Trust 2007-1 DE 8.01,9.01 02/26/07 MSCC HELOC Trust 2007-1 DE 9.01 02/26/07 MTC TECHNOLOGIES INC DE 2.02,9.01 02/27/07 NARA BANCORP INC DE 8.01,9.01 02/26/07 NATIONAL BANCSHARES CORP /OH/ OH 7.01,9.01 02/27/07 National Interstate CORP OH 2.02,9.01 02/26/07 NATIONAL PRESTO INDUSTRIES INC WI 2.02,9.01 02/23/07 NATIONWIDE FINANCIAL SERVICES INC/ DE 5.02,5.03 02/20/07 Navitrak International CORP 7.01 01/17/07 Navitrak International CORP 1.01,3.02,9.01 02/27/07 NETRATINGS INC DE 5.02 02/27/07 NETWORK CN INC DE 1.01,3.02,9.01 02/27/07 NEWPOWER HOLDINGS INC DE 8.01,9.01 02/26/07 NEWS CORP 8.01,9.01 02/27/07 NII HOLDINGS INC DE 2.02,9.01 02/27/07 Nissan Auto Receivables 2007-A Owner DE 8.01,9.01 02/22/07 NORDSON CORP OH 2.02,9.01 02/27/07 NORTHWEST NATURAL GAS CO OR 5.02,9.01 02/21/07 Nova Mining CORP NV 4.01 02/22/07 NOVAMED INC DE 5.02,9.01 02/21/07 NOVATEL WIRELESS INC DE 2.02,9.01 02/27/07 Nuance Communications, Inc. DE 1.01,3.02,7.01,9.01 02/21/07 NUMEREX CORP /PA/ PA 2.02,9.01 02/27/07 NUVELO INC DE 2.02,9.01 02/27/07 NYSE Group, Inc. DE 5.02,9.01 02/26/07 OCEANEERING INTERNATIONAL INC DE 1.01,9.01 02/23/07 ONEOK INC /NEW/ OK 2.02,9.01 02/26/07 ONEOK Partners LP DE 2.02,9.01 02/26/07 OPTIMER PHARMACEUTICALS INC 1.01,1.02,8.01,9.01 02/26/07 OPTIUM CORP DE 2.02,9.01 02/27/07 Organetix NJ 1.01,9.01 02/16/07 ORIENT EXPRESS HOTELS LTD 2.02,4.02,9.01 02/26/07 ORMAT TECHNOLOGIES, INC. DE 1.01,5.02,9.01 02/27/07 ORTHOFIX INTERNATIONAL N V 5.02 02/22/07 OXFORD MEDIA, INC. NV 5.02 02/21/07 P&F INDUSTRIES INC DE 1.01,9.01 02/27/07 PAB BANKSHARES INC GA 8.01 02/27/07 PACIFIC GAS & ELECTRIC CO CA 1.01,2.03 02/27/07 PACIFIC GOLD CORP NV 1.01,3.02,3.03,9.01 02/26/07 PACIFICHEALTH LABORATORIES INC DE 3.02,5.02,9.01 02/22/07 PANACOS PHARMACEUTICALS, INC. DE 2.02,9.01 10/25/06 AMEND PAPA JOHNS INTERNATIONAL INC DE 5.02,9.01 02/21/07 PARKWAY PROPERTIES INC MD 5.03,9.01 02/23/07 PATHMARK STORES INC DE 8.01,9.01 02/27/07 PAVILION BANCORP INC 5.02 02/22/07 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.02,9.01 02/27/07 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 5.02,9.01 02/21/07 PEOPLES ENERGY CORP IL 2.01,3.01,5.01,5.02,5.03,9.01 02/22/07 PERFORMANCE FOOD GROUP CO TN 2.02,5.02,9.01 02/22/07 PERINI CORP MA 1.01,2.03,9.01 02/22/07 Permanent Master Issuer plc 1.01,9.01 02/27/07 PFIZER INC DE 5.02,9.01 02/27/07 PG&E CORP CA 1.01,2.03 02/27/07 PHARMACEUTICAL PRODUCT DEVELOPMENT IN NC 1.01,9.01 02/23/07 PHARMACEUTICAL PRODUCT DEVELOPMENT IN NC 5.02,7.01,9.01 02/27/07 PHYTOMEDICAL TECHNOLOGIES INC NV 7.01,9.01 02/21/07 PLACER SIERRA BANCSHARES CA 5.02,8.01 02/21/07 PLANGRAPHICS INC CO 5.02,9.01 02/21/07 PMI GROUP INC DE 5.02,9.01 02/21/07 POLYCOM INC DE 5.02,9.01 02/21/07 POPULAR INC 7.01,9.01 02/26/07 PREMIERWEST BANCORP OR 7.01,9.01 02/27/07 PRIMEDIA INC DE 2.02,9.01 02/27/07 PRIMUS GUARANTY LTD 1.01,5.02,9.01 02/27/07 PROASSURANCE CORP DE 2.02,9.01 02/27/07 PROLOGIS MD 3.02 02/12/07 AMEND PROVIDENT FINANCIAL SERVICES INC DE 5.02,9.01 02/22/07 PS BUSINESS PARKS INC/CA CA 2.02,9.01 12/31/06 QUALITY DISTRIBUTION INC FL 2.02,9.01 02/26/07 QUANEX CORP DE 2.02 02/27/07 QUEST OIL CORP NV 8.01 02/26/07 QUIGLEY CORP NV 2.02,8.01,9.01 02/27/07 RADIOSHACK CORP DE 2.02,9.01 02/26/07 RALI Series 2006-QO8 Trust DE 8.01,9.01 02/26/07 RALI Series 2006-QO9 Trust DE 8.01,9.01 02/26/07 RALI Series 2007-QS3 Trust DE 8.01,9.01 02/27/07 RANGE RESOURCES CORP DE 2.02,9.01 02/26/07 RELIANT ENERGY INC DE 2.02,9.01 02/27/07 REPUBLIC SERVICES INC DE 5.02 02/27/07 Residential Asset Securitization Trus 9.01 02/27/07 RFMSI Series 2007-S2 Trust DE 8.01,9.01 02/27/07 RONCO CORP DE 8.01 02/22/07 ROWAN COMPANIES INC DE 2.02,9.01 02/27/07 ROWAN COMPANIES INC DE 9.01 02/27/07 RR Donnelley & Sons Co DE 2.02,9.01 02/27/07 RUSH ENTERPRISES INC \TX\ TX 1.01,5.02,9.01 02/23/07 S3 INVESTMENT COMPANY, INC. CA 5.02 02/26/07 SAFETY INSURANCE GROUP INC DE 2.02,9.01 02/26/07 SAGA COMMUNICATIONS INC DE 2.02,9.01 02/27/07 SCO GROUP INC DE 5.02 02/21/07 SEABRIGHT INSURANCE HOLDINGS INC 2.02,9.01 02/27/07 SEACOR HOLDINGS INC /NEW/ DE 2.02,9.01 02/22/07 SEAGATE TECHNOLOGY E9 5.02,7.01 02/22/07 SECURED DIGITAL APPLICATIONS INC DE 8.01,9.01 02/27/07 Securitized Asset Backed Receivables 8.01,9.01 02/27/07 SERVICE AIR GROUP INC NJ 4.01,9.01 02/19/07 Shine Media Acquisition Corp. DE 8.01 02/23/07 SHUFFLE MASTER INC MN 2.02,9.01 02/27/07 SIERRA HEALTH SERVICES INC NV 7.01,9.01 02/27/07 SILICON IMAGE INC DE 5.02,9.01 02/06/07 AMEND SILVERLEAF RESORTS INC 1.01,2.03 02/21/07 SIRIUS SATELLITE RADIO INC DE 2.02,8.01,9.01 02/27/07 SKYWORKS SOLUTIONS INC DE 8.01,9.01 02/26/07 SKYWORKS SOLUTIONS INC DE 3.02,8.01,9.01 02/27/07 SLM Student Loan Trust 2007-2 DE 1.01,2.01,9.01 02/22/07 SMART ONLINE INC 1.01,3.02 02/21/07 SONIC AUTOMOTIVE INC DE 2.02,7.01,9.01 02/27/07 SONOCO PRODUCTS CO SC 5.02 02/26/07 SOUTHCREST FINANCIAL GROUP INC GA 1.01,2.02,9.01 02/23/07 SOUTHERN CALIFORNIA EDISON CO CA 1.01,2.03,5.02,9.01 02/22/07 SOUTHWEST CASINO CORP 1.01,3.02 02/26/07 SOUTHWEST GAS CORP CA 2.02 02/27/07 STEELCLOUD INC VA 5.02,9.01 02/22/07 STEM CELL INNOVATIONS, INC. DE 1.01,3.02,9.01 02/21/07 STERLING FINANCIAL CORP /WA/ WA 8.01,9.01 02/26/07 STERLING FINANCIAL CORP /WA/ WA 7.01,9.01 02/27/07 STEWARDSHIP FINANCIAL CORP NJ 2.02,9.01 02/26/07 STONE ENERGY CORP DE 2.02,7.01,9.01 02/26/07 STRUCTURED PROD TIERS CORP BOND-BCKD DE 8.01,9.01 02/15/07 STRUCTURED PRODUCTS CORP COR TRUST FO DE 8.01,9.01 02/15/07 STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 02/15/07 STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 02/15/07 STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 02/15/07 SUFFOLK BANCORP NY 8.01 02/26/07 SUNCOM WIRELESS HOLDINGS, INC. 2.02,9.01 02/27/07 SunOpta Inc. 2.02,9.01 02/22/07 SUNRISE SENIOR LIVING INC DE 2.02 02/27/07 SUPERIOR ENERGY SERVICES INC DE 2.02,9.01 02/26/07 SUPERTEL HOSPITALITY INC VA 2.02,9.01 02/26/07 SYCAMORE NETWORKS INC DE 2.02,8.01,9.01 02/27/07 SYNIVERSE HOLDINGS INC DE 2.02,9.01 02/27/07 TARGET CORP MN 2.02,8.01,9.01 02/27/07 TASKER PRODUCTS CORP NV 2.03,3.02 02/21/07 TECHNOCONCEPTS, INC. CO 1.01,3.02,9.01 02/21/07 TECHNOCONCEPTS, INC. CO 1.01,2.03,3.02,3.03,9.01 02/21/07 TECHNOLOGY SOLUTIONS COMPANY DE 5.02 02/21/07 TEJON RANCH CO DE 2.02,9.01 02/27/07 TEMECULA VALLEY BANCORP INC CA 1.01 02/21/07 TEMPUR PEDIC INTERNATIONAL INC DE 1.01,5.02,9.01 02/22/07 TENET HEALTHCARE CORP NV 2.02 02/27/07 TEREX CORP DE 5.02 02/23/07 THIRD WAVE TECHNOLOGIES INC /WI DE 5.02 02/21/07 Thomas Weisel Partners Group, Inc. DE 7.01 02/27/07 Thornburg Mortgage Securities Trust 2 DE 8.01,9.01 02/27/07 THRESHOLD PHARMACEUTICALS INC DE 8.01,9.01 02/26/07 Tower Group, Inc. DE 2.02,9.01 02/26/07 TRANSMETA CORP DE 5.02 02/27/07 TRANSMETA CORP DE 2.02,7.01,9.01 02/27/07 TRAVELERS COMPANIES, INC. MN 5.03,9.01 02/26/07 TREX CO INC DE 5.02,5.03,9.01 02/22/07 Triangle Petroleum Corp NV 1.01,3.02,9.01 02/27/07 TRONOX INC DE 2.01,9.01 02/22/07 TUESDAY MORNING CORP/DE DE 2.02,9.01 02/27/07 TURBODYNE TECHNOLOGIES, INC NV 7.01,9.01 02/26/07 TUXIS CORP MD 5.02,9.01 02/21/07 TXU CORP /TX/ TX 2.02,9.01 02/27/07 U S ENERGY SYSTEMS INC DE 1.01,3.02,5.02 02/21/07 U S PHYSICAL THERAPY INC /NV NV 2.02 02/27/07 UIL HOLDINGS CORP CT 8.01,9.01 02/27/07 UNITED COMMUNITY FINANCIAL CORP OH 5.02,9.01 02/21/07 UNITED RENTALS INC /DE DE 2.02,9.01 02/26/07 UNITED STATIONERS INC DE 5.02 02/20/07 UNIVERSAL COMPRESSION HOLDINGS INC DE 5.02,9.01 02/22/07 UNIVERSAL PROPERTY DEVELOPMENT & ACQU NV 2.01,9.01 02/23/07 URS CORP /NEW/ DE 9.01 12/29/06 US DRY CLEANING CORP DE 1.01,3.02 02/21/07 USG CORP DE 1.01,9.01 02/25/07 VALENTIS INC DE 3.01,9.01 02/21/07 VECTREN CORP IN 1.01,8.01,9.01 02/22/07 VERSANT CORP CA 2.02,9.01 02/27/07 VIACELL INC 2.02,9.01 02/27/07 VIAD CORP DE 5.02,5.03,9.01 02/22/07 ViewPoint Financial Group X1 2.02,9.01 02/22/07 VIKING SYSTEMS INC DE 1.01,2.03,3.02,9.01 02/24/07 VIKING SYSTEMS INC DE 1.01,2.03,3.02,9.01 02/24/07 AMEND VITESSE SEMICONDUCTOR CORP DE 4.01,5.02,9.01 12/14/06 AMEND VIVUS INC CA 5.02,9.01 02/27/07 VOLTERRA SEMICONDUCTOR CORP 5.02,7.01,9.01 02/27/07 VOS INTERNATIONAL INC CO 5.02 02/22/07 WACHOVIA ASSET SECURITIZATION INC 200 8.01,9.01 02/26/07 WACHOVIA ASSET SECURITIZATION INC AST 8.01,9.01 02/26/07 WASHINGTON GROUP INTERNATIONAL INC DE 2.02,9.01 02/26/07 WATSON PHARMACEUTICALS INC NV 2.02,9.01 02/27/07 Wauwatosa Holdings, Inc. WI 8.01,9.01 02/21/07 WCA WASTE CORP 1.01,2.01,2.03,7.01,9.01 02/27/07 WEBSIDESTORY INC CA 1.01,1.02,2.03,2.04,9.01 02/23/07 Wells Fargo Alternative Loan 2007-PA1 DE 9.01 02/27/07 Wells Fargo Mortgage Backed Securitie DE 9.01 02/27/07 WESBANCO INC WV 7.01,9.01 02/27/07 WEST MARINE INC DE 2.02,4.02,9.01 02/21/07 WESTAR ENERGY INC /KS KS 5.02 02/21/07 WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 5.02,9.01 02/21/07 WESTMORELAND COAL CO DE 8.01,9.01 02/23/07 WHITE MOUNTAINS INSURANCE GROUP LTD D0 5.02 02/21/07 Whos Your Daddy Inc NV 8.01 02/19/07 WINN DIXIE STORES INC FL 5.02,9.01 02/22/07 WORLD OMNI AUTO RECEIVABLES LLC DE 8.01,9.01 02/21/07 XILINX INC DE 8.01,9.01 02/26/07