SEC NEWS DIGEST Issue 2007-110 June 8, 2007 COMMISSION ANNOUNCEMENTS SEC ANNOUNCES AGENDA AND PANELISTS FOR ROUNDTABLE ON MUTUAL RECOGNITION On June 8, the Securities and Exchange Commission announced the final agenda and participants for the upcoming roundtable on mutual recognition scheduled for June 12, 2007. The roundtable will examine how retail and institutional investors, U.S. and non-U.S. exchanges, global and regional broker-dealers, and others may be impacted by a selective mutual recognition regulatory regime. In addition, a separate panel will consider the issue of how the SEC can best assess regulatory comparability and convergence. The roundtable will begin at 9:00 a.m. ET, with opening remarks by SEC Chairman Christopher Cox. The agenda and participants are as follows: 9:15 a.m. The Impact on U.S. Market Participants of Increased Foreign Market Access Moderators: Erik Sirri, Director, Division of Market Regulation John White, Director, Division of Corporation Finance * Stephen E. Bepler, Capital Research and Management Company * Duane Kelly, Vanguard Group * Catherine R. Kinney, NYSE Euronext * Chris Concannon, The NASDAQ Stock Market, Inc. * Meyer S. Frucher, Philadelphia Stock Exchange * Jonathan Howell, London Stock Exchange * Roberta Karmel, Brooklyn Law School 11:15 a.m. The Impact on U.S. Market Participants of Increased Foreign Broker- Dealer Access to U.S. Investors Moderators: Erik Sirri, Director, Division of Market Regulation Ethiopis Tafara, Director, Office of International Affairs * Harold Evensky, Evensky & Katz * Edward F. Greene, Citigroup * David Grayson, Auerbach Grayson & Co. * Christopher Amato, E* Trade * James R. Allen, Hilliard Lyons * David Aufhauser, UBS Investment Bank 2:00 p.m. Defining and Measuring the Comparability of Regulatory Regimes Moderators: Ethiopis Tafara, Director, Office of International Affairs Erik Sirri, Director, Division of Market Regulation * Harvey L. Pitt, Kalorama Partners, LLC * Alan L. Beller, Cleary Gottlieb * Richard G. Ketchum, NYSE Regulation Inc. * Allen Ferrell, Harvard Law School * David Ruder, Northwestern University School of Law The roundtable will take place in the Auditorium at the Commission's headquarters at 100 F Street, N.E., Washington D.C. The roundtable will be open to the public with seating on a first-come, first-served basis. Doors will open at 8:30 a.m. and visitors will be subject to security checks. Real time and archived audio webcasts will be accessible at http://www.sec.gov. Materials related to the roundtable including the day's agenda, the list of panelists, and the comments that have been received by the Commission will be accessible at www.sec.gov/spotlight/mutualrecognition.htm. For additional information, contact Kelly Riley: (202) 551-6772. (Press Rel. 2007-111) ENFORCEMENT PROCEEDINGS IN THE MATTER OF PAUL KNIGHT, JOHN MONTANA AND WORLDWIDE T&P, INC. On June 8, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing against Paul E. Knight, John L. Montana and Worldwide T&P, Inc., based on the entry of permanent injunctions against them in SEC v. John L. Montana, et al., Civil Action Number 1:03-CV-1513, in the United States District Court for the Southern District of Indiana. The Commission's complaint in that action alleged that, from at least August 1999 until December 2000, in connection with the sale of interests in a purported trading program which would invest money in the trading of various instruments including medium term notes, Montana, through Worldwide T&P, made misrepresentations and omissions of material fact to investors regarding the purported trading program, including the investment's rate of return, the safety of the investment and the use of investors' funds. The complaint further alleged that Montana, through Worldwide T&P, sold unregistered securities and acted as an unregistered broker-dealer by effectuating transactions in securities for the accounts of others. The Commission's complaint also alleged that, from at least October 1999 until April 2000, in connection with the sale of interests in the purported trading program, Knight made misrepresentations and omissions of material fact to investors regarding the purported trading program, including the investment's rate of return, the safety of the investment and the use of investors' funds. The complaint further alleged that Knight sold unregistered securities and acted as an unregistered broker-dealer by effectuating transactions in securities for the accounts of others. On Nov. 22, 2006, the Honorable Sarah Evans Barker of the United States District Court for the Southern District of Indiana granted summary judgment in favor of the Commission and against Montana and Knight, among others. Defendant Worldwide T&P had previously defaulted. The Court found that Knight and Montana had violated Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b), 15(a)(1) and 15(c)(1) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. On May 23, 2007, final judgments were entered against Knight, Montana and Worldwide T&P permanently enjoining them from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b), 15(a)(1) and 15(c)(1) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Knight and his company, P.K. Trust & Holding, Inc., were also ordered to disgorge, jointly and severally, $1,750,945, representing profits or other financial gain resulting from the conduct alleged in the Commission's complaint, together with prejudgment interest thereon in the amount of $900,874, for a total payment of $2,651,819. Knight was further ordered to pay a civil penalty in the amount of $110,000. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide the Respondents an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest. (Rel. 34-55885; File No. 3-12654) FINAL JUDGMENTS OF PERMANENT INJUNCTION AND OTHER RELIEF ENTERED AGAINST DEFENDANTS PENSION FUND OF AMERICA L.C., PFA ASSURANCE GROUP, LTD., PFA INTERNATIONAL, LTD., CLAREN TPA, LLC, LUIS CORNIDE, AND ROBERT DE LA RIVA The Securities and Exchange Commission announced that on May 21, 2007, the Honorable K. Michael Moore, United States District Judge for the Southern District of Florida, entered final judgments of permanent injunction and other relief against Pension Fund of America, LC, PFA Assurance Group, Ltd., PFA International, Ltd., Claren TPA, LLC (PFA entities), Luis M. Cornide and Robert De la Riva for their involvement in an offering fraud that targeted Latin American investors. The defendants, without admitting or denying the complaint's allegations, consented to the entry of an order enjoining them from future violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The final judgments against Cornide and De la Riva also enjoin them from future violations of Section 15(a) of the Exchange Act. In addition, both defendants agreed to turn over several million dollars of assets apiece to the Court-appointed Receiver to partially satisfy their obligation to disgorge ill-gotten gains they received from the conduct alleged in the complaint. Both defendants turned over their homesteads to the Receiver, who will sell the houses and use the proceeds to help satisfy disgorgement. Previously, Cornide and De la Riva had turned over assets worth $2,691,743.71 and $2,441,351.55, respectively. Based on those payments and sworn representations of their financial condition, the Court waived a portion of disgorgement and did not impose a civil penalty against both Cornide and De la Riva. The Commission dismissed its disgorgement and civil penalty claims against the PFA entities because they are under the control of the Receiver. [SEC v. Pension Fund of America, LC, et al., Case No. 05-CIV-20863, S.D. Fla.] (LR-20147) STANDARDS SETTING BOARDS PROPOSED RULE AMENDMENT On June 7, the Commission published for comment proposed rules (PCAOB- 2007-02) submitted by the Public Company Accounting Oversight Board, which establish requirements that apply when an auditor is engaged to perform an audit of the effectiveness of internal control over financial reporting that is integrated with an audit of the financial statements (Auditing Standard No. 5, An Audit of Internal Control Over Financial Reporting That Is Integrated with An Audit of Financial Statements), a related independence rule (Rule 3525, Audit Committee Pre-Approval of Non-Audit Services Related to Internal Control Over Financial Reporting), and conforming amendments to its auditing standards. The comment period will end 30 days after the proposed rule amendment is published in the Federal Register. Publication of the proposed rules is expected in the Federal Register during the week of June 11. (Rel. 34-55876) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-Phlx-2007-41) filed by the Philadelphia Stock Exchange relating to the modification of Phlx Rule 185A has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of June 11. (Rel. 34-55860) A proposed rule change (SR-CBOE-2007-50), filed by the Chicago Board Options Exchange relating to its marketing fee program has become 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 June 11. (Rel. 34-55873) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval of a proposed rule change (SR-Amex-2006-17), as modified by Amendment Nos. 1, 2, 3, and 4, submitted under Rule 19b-4 of the Securities Exchange Act of 1934 by the American Stock Exchange relating to the procedures for at-risk cross transactions. Publication in the Federal Register is expected during the week of June 11. (Rel. 34-55875) PROPOSED RULE CHANGE The NASDAQ Stock Market filed with the Securities and Exchange Commission a notice of filing of a proposed rule change under Rule 19b-4 (SR-NASDAQ-2007-037) proposing to modify its Order Audit Trail System Rules to provide an exemption from transmission requirements for proprietary orders. Publication in the Federal Register is expected during the week of June 11. (Rel. 34-55870) APPROVAL OF PROPOSED RULE CHANGES The Commission granted approval of a proposed rule change (SR-OCC- 2007-01) filed by The Options Clearing Corporation under Section 19(b)(1) of the Exchange Act relating to credit default options. Publication of the order is expected in the Federal Register during the week of June 11. (Rel. 34-55872) The Commission issued an order approving a proposed rule change as modified by Amendment Nos. 1 and 2 thereto submitted by the Chicago Board Options Exchange (SR-CBOE-2006-101) to amend CBOE's rules to reflect the migration of its TPF technology platform over to the existing CBOEdirect technology platform. Publication is expected in the Federal Register during the week of June 11. (Rel. 34-55874) 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 DEXCOM INC, 5555 OBERLIN DRIVE, SAN DIEGO, CA, 92121, 8582000200 - 0 ($60,000,000.00) Debt Convertible into Equity, (File 333-143560 - Jun. 7) (BR. 10A) S-8 INFINERA CORP, 169 JAVA DRIVE, SUNNYVALE, CA, 94089, 408-572-5200 - 24,035,738 ($219,241,967.42) Equity, (File 333-143561 - Jun. 7) (BR. 11B) S-3 AVALON PHARMACEUTICALS INC, 20358 SENECA MEADOWS PARKWAY, GERMANTOWN, MD, 20876, 3015569900 - 0 ($25,527,839.12) Equity, (File 333-143562 - Jun. 7) (BR. 01B) S-3 James River Coal CO, 901 E. BYRD STREET, SUITE 1600, RICHMOND, VA, 23219, 804-780-3000 - 1 ($150,000,000.00) Equity, (File 333-143563 - Jun. 7) (BR. 04B) S-8 ASTRONICS CORP, 130 COMMERCE WAY, -, EAST AURORA, NY, 14052-2191, 716-805-1599 - 1,000,000 ($27,850,000.00) Equity, (File 333-143564 - Jun. 7) (BR. 05A) F-3 SILICOM LTD, 97297644555 - 1,104,687 ($26,346,784.00) Equity, (File 333-143565 - Jun. 7) (BR. 03C) SB-2 Amiworld, Inc., 60 E. 42ND STREET, SUITE 1225, NEW YORK, NY, 10165, 212-557-0223 - 3,573,900 ($3,573,900.00) Equity, (File 333-143566 - Jun. 7) (BR. 06) S-8 SPARTA INC /DE, 25531 COMMERCENTER DRIVE, STE 120, LAKE FOREST, CA, 92630-8873, 949 7688161 - 0 ($133,000,000.00) Equity, (File 333-143568 - Jun. 7) (BR. 06A) S-4 ARAMARK CORP, 1101 MARKET STREET, PHILADELPHIA, PA, 19107, 2152383000 - 0 ($1,780,000,000.00) Non-Convertible Debt, (File 333-143569 - Jun. 7) (BR. 05) SB-2 JJ&R Ventures, Inc., 2160 CALIFORNIA AVENUE, B#116, SAND CITY, CA, 93955, 831-393-1396 - 3,000,000 ($30,000.00) Face Amount Certificates, (File 333-143570 - Jun. 7) (BR. 11) S-3ASR NATIONAL SEMICONDUCTOR CORP, 2900 SEMICONDUCTOR DR, PO BOX 58090, SANTA CLARA, CA, 95052-8090, 4087215000 - 0 ($0.00) Debt, (File 333-143571 - Jun. 7) (BR. 10B) S-4 XTRA FINANCE CORP, 1801 PARK 270 DRIVE, SUITE 400, SAINT LOUIS, MO, 63146-4037, (314) 579-9300 - 0 ($400,000,000.00) Non-Convertible Debt, (File 333-143572 - Jun. 7) (BR. 05) S-8 ON THE GO HEALTHCARE INC, 85 CORSTATE AVENUE UNIT 1, CONCORD ONT. CANADA, A6, L4K 4Y2, 905 669 7979 EXT 400 - 100,000,000 ($1,400,000.00) Equity, (File 333-143573 - Jun. 7) (BR. 03B) S-8 WHITE MOUNTAINS INSURANCE GROUP LTD, 80 SOUTH MAIN ST, HANOVER, NH, 03755, 603 640 2200 - 0 ($118,398,000.00) Equity, (File 333-143574 - Jun. 7) (BR. 01C) S-4 DYNABAZAAR INC, 888 SEVENTH AVENUE, NEW YORK, NY, 10019, 212-974-5730 - 0 ($3,593,992.08) Equity, (File 333-143575 - Jun. 7) (BR. 11A) S-3 ENCORIUM GROUP INC, ONE GLENHARDIE CORPORATE CENTER, 1275 DRUMMERS LANE STE 100, WAYNE, PA, 19087, 6109759533 - 2,622,378 ($8,391,609.00) Equity, (File 333-143576 - Jun. 7) (BR. 01A) S-3 SMF ENERGY CORP, 200 WEST CYPRESS CREEK ROAD, SUITE 400, FT LAUDERDALE, FL, 33309, 954 308 4200 - 3,228,510 ($5,840,055.90) Equity, (File 333-143577 - Jun. 7) (BR. 04B) S-8 PMA CAPITAL CORP, 380 SENTRY PARKWAY, BLUE BELL, PA, 19422, 2156655046 - 2,552,686 ($27,415,848.00) Equity, (File 333-143578 - Jun. 7) (BR. 01B) S-4 TIME WARNER CABLE INC., 290 HARBOR DRIVE, STAMFORD, CT, 06902-7441, (203) 328-0600 - 0 ($5,000,000,000.00) Debt, (File 333-143580 - Jun. 7) (BR. 11A) SB-2 GRYPHON GOLD CORP, SUITE 810 - 1130 WEST PENDER STREET, VANCOUVER, A1, V6E 4A4, 604-261-2229 - 10,085,050 ($9,472,293.00) Equity, (File 333-143581 - Jun. 7) (BR. 04C) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE DATE COMMENT 3COM CORP DE 9.01 03/29/07 AMEND ABERCROMBIE & FITCH CO /DE/ DE 7.01,9.01 06/07/07 ABLEST INC DE 8.01,9.01 06/07/07 ABRAXAS PETROLEUM CORP NV 7.01,9.01 06/07/07 ACCURIDE CORP DE 8.01,9.01 06/04/07 ACTEL CORP CA 7.01,9.01 06/07/07 ACTIVISION INC /NY DE 8.01,9.01 06/07/07 ADCARE HEALTH SYSTEMS INC 1.01,8.01,9.01 06/07/07 AEGIS INDUSTRIES, INC. NV 1.01,5.03,8.01,9.01 05/31/07 ALFA INTERNATIONAL HOLDINGS CORP. DE 7.01 06/06/07 ALLEGRO BIODIESEL CORP DE 9.01 09/26/06 AMEND ALLETE INC MN 2.03 06/01/07 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 06/07/07 ALPHARMA INC DE 5.03 06/07/07 Alphatec Holdings, Inc. DE 5.02 06/04/07 ALPINE AIR EXPRESS INC/DE DE 4.02,9.01 05/10/07 ALTEON INC /DE DE 1.01,9.01 06/01/07 Alternative Loan Trust 2007-OH1 DE 9.01 05/30/07 AMC ENTERTAINMENT INC DE 7.01,9.01 06/07/07 AMDL INC DE 3.02,7.01,9.01 06/05/07 AMERICAN EAGLE OUTFITTERS INC DE 7.01,9.01 06/06/07 AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 06/07/07 AMERICAN LAND LEASE INC DE 7.01,9.01 06/05/07 ANADIGICS INC DE 4.01,9.01 06/04/07 ANALOG DEVICES INC MA 8.01,9.01 06/07/07 ANALOGIC CORP MA 2.02,9.01 06/07/07 ANALOGIC CORP MA 8.01,9.01 06/07/07 ANCHOR BANCORP WISCONSIN INC WI 2.02 06/07/07 ANGIODYNAMICS INC DE 5.02 06/06/07 ANNTAYLOR STORES CORP DE 7.01,9.01 06/07/07 APPLIX INC /MA/ MA 5.03,9.01 06/07/07 AQUACELL TECHNOLOGIES INC DE 3.02 02/14/07 Arcade Acquisition Corp. 8.01,9.01 06/07/07 ARGENTEX MINING CORP NV 3.02 05/31/07 ARGONAUT GROUP INC DE 8.01,9.01 06/06/07 ARI NETWORK SERVICES INC /WI WI 2.02,9.01 06/07/07 ARQULE INC DE 8.01,9.01 06/06/07 ATLANTIC COAST FEDERAL CORP X1 2.02,4.02,9.01 06/01/07 AURIGA LABORATORIES, INC. DE 1.01,8.01,9.01 06/06/07 AUTOZONE INC NV 8.01 06/06/07 AVALON PHARMACEUTICALS INC 1.01,9.01 06/07/07 AXIS CAPITAL HOLDINGS LTD 7.01,9.01 06/07/07 BANK JOS A CLOTHIERS INC /DE/ DE 7.01,9.01 06/07/07 BANKATLANTIC BANCORP INC FL 5.02 06/05/07 BARE ESCENTUALS INC DE 7.01,9.01 06/05/07 bebe stores, inc. CA 2.02,9.01 06/02/07 BG Financial Group, Inc. TN 5.02,9.01 06/01/07 BIOMET INC IN 8.01 06/07/07 BIOMET INC IN 1.01,5.03,8.01,9.01 06/06/07 BLACKHAWK CAPITAL GROUP BDC INC DE 3.02 06/06/07 BOTETOURT BANKSHARES INC VA 3.03,8.01 06/07/07 Bridge Capital Holdings CA 9.01 06/07/07 BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 5.02,5.03,9.01 06/01/07 BUSINESS OBJECTS S.A. 2.01,9.01 06/01/07 C-COR INC PA 1.01,9.01 06/04/07 Cal Alta Auto Glass Inc NV 3.02 03/31/07 CAPITAL AUTO RECEIVABLES LLC DE 8.01,9.01 06/07/07 CAPITAL TRUST INC MD 1.01 06/01/07 CARBIZ INC A6 8.01,9.01 06/01/07 CASCADE NATURAL GAS CORP WA 8.01 06/05/07 CASH TECHNOLOGIES INC DE 1.01,3.02,9.01 06/06/07 CAVCO INDUSTRIES INC DE 5.02 06/01/07 CENTRAL EUROPEAN MEDIA ENTERPRISES LT 1.01 06/01/07 CHARMING SHOPPES INC PA 1.02,8.01,9.01 06/04/07 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 06/05/07 CHASE PACKAGING CORP TX 5.02 06/05/07 CHINA EDUCATION ALLIANCE INC. NC 1.01,2.03,3.02,9.01 05/31/07 CHINA SECURITY & SURVEILLANCE TECHNOL D8 1.01,2.01,3.02,9.01 06/07/07 CHINDEX INTERNATIONAL INC DE 1.01,3.03,9.01 06/04/07 COLGATE PALMOLIVE CO DE 5.02,5.03 06/07/07 COMMAND SECURITY CORP NY 8.01,9.01 06/06/07 COMMUNITY TRUST BANCORP INC /KY/ KY 7.01,9.01 06/07/07 COMPUMED INC DE 5.02,9.01 06/07/07 COMVERSE TECHNOLOGY INC/NY/ NY 1.01,2.01,2.03,9.01 05/25/07 AMEND CONCUR TECHNOLOGIES INC WA 1.01,1.02,2.03,9.01 06/01/07 CONSOLIDATED NATURAL GAS CO/VA DE 1.01,2.05,9.01 06/01/07 CONTINENTAL GLOBAL GROUP INC DE 1.01,5.02,9.01 05/21/07 Convergence Ethanol, Inc. 2.04 06/01/07 CORE MOLDING TECHNOLOGIES INC DE 8.01 06/07/07 CORNING INC /NY NY 5.02 06/06/07 CORRECTIONS CORP OF AMERICA MD 8.01,9.01 06/07/07 CORTEX PHARMACEUTICALS INC/DE/ DE 1.01,9.01 06/01/07 CORVEL CORP DE 2.02,9.01 06/07/07 CRA INTERNATIONAL, INC. MA 2.02,9.01 06/07/07 CRAY INC WA 7.01 06/05/07 CREDIT ONE FINANCIAL INC 1.01,5.02,9.01 06/04/07 CRUISESTOCK INC. TX 5.02 06/01/07 CRYOLIFE INC FL 3.02,9.01 06/04/07 CUBIC CORP /DE/ DE 5.02 06/06/07 CUBIST PHARMACEUTICALS INC DE 5.02,8.01 06/07/07 CVB FINANCIAL CORP CA 7.01,8.01,9.01 06/05/07 DAG MEDIA INC NY 4.01,9.01 06/04/07 DATATRAK INTERNATIONAL INC OH 5.02 06/01/07 Deerfield Triarc Capital Corp MD 8.01,9.01 06/07/07 DELTA & PINE LAND CO DE 2.01,3.01,5.01,8.01,9.01 06/06/07 DELTA PETROLEUM CORP/CO CO 5.02 06/04/07 Deutsche Alt-A Securities Mortgage Lo 1.01,1.02,6.02,9.01 06/07/07 DEVON ENERGY CORP/DE DE 1.01 06/06/07 DILLARDS INC DE 7.01,9.01 06/07/07 DITECH NETWORKS INC DE 5.02 06/01/07 DOLE FOOD CO INC DE 5.02,8.01,9.01 06/05/07 DOLLAR GENERAL CORP TN 2.02,7.01,9.01 06/07/07 DOMINION RESOURCES INC /VA/ VA 1.01,2.05,9.01 06/01/07 DOW JONES & CO INC DE 5.02,9.01 06/04/07 DPL INC OH 5.02,9.01 06/04/07 DYNAMEX INC DE 7.01,9.01 06/06/07 DYNCORP INTERNATIONAL INC. DE 2.02,9.01 06/06/07 EDISON INTERNATIONAL CA 7.01,9.01 06/06/07 EDISON MISSION ENERGY DE 1.01 06/04/07 ENDEAVOUR INTERNATIONAL CORP NV 8.01,9.01 06/07/07 ENERGYTEC INC NV 7.01,9.01 06/07/07 ENSCO INTERNATIONAL INC DE 8.01,9.01 06/07/07 Equity Media Holdings CORP DE 5.02 06/01/07 ESCHELON TELECOM INC 8.01 06/05/07 EVERLAST WORLDWIDE INC DE 1.01,9.01 06/04/07 Eworld Interactive, Inc. FL 5.02,8.01 06/04/07 FACTORY CARD & PARTY OUTLET CORP DE 2.02,9.01 06/07/07 FAMILY DOLLAR STORES INC DE 2.02,9.01 06/07/07 FAMILY ROOM ENTERTAINMENT CORP NM 1.01,9.01 06/06/07 FAMILYMEDS GROUP, INC. NV 5.02 06/01/07 Federal Home Loan Bank of Atlanta X1 2.03 06/04/07 Federal Home Loan Bank of Boston X1 2.03 06/05/07 Federal Home Loan Bank of Chicago X1 2.03 06/05/07 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 06/04/07 Federal Home Loan Bank of Dallas 2.03 06/04/07 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 06/04/07 Federal Home Loan Bank of New York X1 2.03,9.01 06/04/07 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 06/04/07 Federal Home Loan Bank of San Francis X1 2.03 06/04/07 Federal Home Loan Bank of Seattle 2.03 06/06/07 Federal Home Loan Bank of Topeka 2.03 06/05/07 FERRELLGAS PARTNERS L P DE 2.02,7.01,9.01 06/07/07 FERRELLGAS PARTNERS L P DE 2.02,9.01 01/31/07 FINISH LINE INC /IN/ IN 2.02,9.01 06/07/07 FIRST COMMUNITY BANCORP /CA/ CA 7.01,9.01 06/07/07 FIRSTENERGY CORP OH 7.01,9.01 06/07/07 FLOWERS FOODS INC GA 5.03,9.01 06/06/07 FOREST OIL CORP NY 1.01,2.01,2.03,7.01,9.01 06/06/07 FOUNDRY NETWORKS INC DE 3.01 06/04/07 FREESTONE RESOURCES, INC. NV 8.01 06/07/07 GAP INC DE 7.01,9.01 06/07/07 GLOBAL CROSSING LTD 2.03,9.01 06/07/07 GLOBALSCAPE INC DE 5.02,9.01 06/01/07 GLOWPOINT INC DE 2.02,8.01,9.01 06/06/07 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 3.02 06/07/07 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 06/07/07 GREATBATCH, INC. DE 8.01,9.01 06/07/07 H&E Equipment Services, Inc. DE 7.01,9.01 06/07/07 HARKEN ENERGY CORP DE 5.03,7.01,9.01 06/06/07 HARLEYSVILLE GROUP INC DE 8.01,9.01 06/05/07 Hawaiian Telcom Communications, Inc. DE 1.01,2.03,9.01 06/01/07 HAYES LEMMERZ INTERNATIONAL INC DE 8.01,9.01 06/05/07 HAYES LEMMERZ INTERNATIONAL INC DE 2.02,7.01,9.01 06/07/07 HEALTH MANAGEMENT ASSOCIATES INC DE 8.01,9.01 06/04/07 HealthMarkets, Inc. DE 5.02 06/06/07 HEALTHWAYS, INC DE 7.01 06/06/07 Helios & Matheson North America Inc. NY 5.02,9.01 06/07/07 HQ SUSTAINABLE MARITIME INDUSTRIES, I DE 5.02 06/01/07 HUBBELL INC CT 5.03,9.01 06/06/07 ICAD INC DE 3.01,9.01 06/04/07 IKANOS COMMUNICATIONS CA 5.02,9.01 06/04/07 INDEVUS PHARMACEUTICALS INC DE 8.01,9.01 06/07/07 INFOCUS CORP OR 1.01,5.02,5.03,9.01 06/05/07 INGRAM MICRO INC DE 7.01,9.01 06/06/07 Innovive Pharmaceuticals, Inc. DE 8.01,9.01 06/07/07 Interactive Brokers Group, Inc. DE 7.01,9.01 06/07/07 INTERNET COMMERCE CORP DE 2.02,9.01 06/05/07 INVU INC CO 1.01,3.02,8.01,9.01 06/01/07 IXYS CORP /DE/ DE 5.02 03/26/07 AMEND J P MORGAN CHASE & CO DE 9.01 06/06/07 KAL ENERGY INC DE 5.02,7.01,9.01 05/30/07 KOHLS CORPORATION WI 7.01,9.01 06/07/07 KRONOS INC MA 1.02 06/01/07 KULICKE & SOFFA INDUSTRIES INC PA 1.01,2.03,8.01,9.01 06/06/07 LA-Z-BOY INC MI 5.02 06/05/07 LAKELAND INDUSTRIES INC DE 2.02,9.01 06/07/07 Legacy Bancorp, Inc. DE 7.01,9.01 06/06/07 LEINER HEALTH PRODUCTS INC DE 2.05,8.01,9.01 06/07/07 LEXINGTON REALTY TRUST MD 1.01,2.01,2.03,3.02,8.01,9.01 06/01/07 LINCOLN NATIONAL CORP IN 8.01,9.01 06/07/07 Lincolnway Energy, LLC IA 1.02 06/07/07 LogSearch, Inc. NV 5.02 06/04/07 LONGPORT INC DE 8.01 06/07/07 MACERICH CO MD 9.01 06/07/07 MAGNA ENTERTAINMENT CORP DE 1.01,9.01 06/07/07 Magnum dOr Resources Inc 1.01 06/03/07 MANAS PETROLEUM CORP 5.02,9.01 06/06/07 MARCHEX INC DE 7.01 06/07/07 Marquee Holdings Inc. DE 7.01,9.01 06/07/07 MASTERCARD INC DE 5.02,5.03,8.01,9.01 06/07/07 MASTR Adjustable Rate Mortgages Trust DE 6.02 06/01/07 MATRITECH INC/DE/ DE 1.01,9.01 06/01/07 MAYS J W INC NY 2.02 06/06/07 MDU COMMUNICATIONS INTERNATIONAL INC DE 1.01 06/05/07 MEDCO HEALTH SOLUTIONS INC DE 7.01,9.01 06/06/07 MEDICAL SOLUTIONS MANAGEMENT INC. NV 2.03 06/04/07 MEDIS TECHNOLOGIES LTD DE 5.02 06/04/07 Meritage Homes CORP MD 8.01,9.01 06/06/07 Merrill Lynch Alternative Note Asset 6.02,9.01 06/01/07 Merrill Lynch Alternative Note Asset 6.02,9.01 06/01/07 Merrill Lynch Alternative Note Asset DE 6.02,9.01 06/01/07 Merrill Lynch Alternative Note Asset DE 6.02,9.01 06/01/07 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 06/01/07 Merrill Lynch Mortgage Backed Securit DE 6.02,9.01 06/01/07 MEXORO MINERALS LTD CO 8.01 06/07/07 MICRON ENVIRO SYSTEMS INC NV 8.01,9.01 06/04/07 MICRONETICS INC DE 1.01,2.01,7.01,9.01 06/05/07 MISSION ENERGY HOLDING CO DE 1.01 06/04/07 MISSISSIPPI POWER CO MS 8.01 06/01/07 MONMOUTH CAPITAL CORP NJ 7.01,9.01 06/06/07 MONSANTO CO /NEW/ DE 2.01,2.03,8.01 06/01/07 MONSANTO CO /NEW/ DE 2.01,2.03 06/01/07 MSTI Holdings, Inc. DE 1.01,8.01,9.01 06/02/07 NATIONAL HEALTH REALTY INC MD 8.01 06/07/07 NATIONAL HOME HEALTH CARE CORP DE 1.01,9.01 06/04/07 NATIONAL SEMICONDUCTOR CORP DE 1.01,2.02,2.03,7.01,8.01,9.01 06/07/07 Nationstar Home Equity Loan Trust 200 DE 8.01,9.01 06/07/07 NATROL INC DE 1.01,2.01,7.01,9.01 06/01/07 NaturalNano , Inc. NV 5.02 06/06/07 Neiman Marcus, Inc. DE 2.02,9.01 06/07/07 Neiman Marcus, Inc. DE 2.02,7.01 06/07/07 NEOGENOMICS INC NV 3.02,5.02 06/07/07 NEOMAGIC CORP DE 2.02,9.01 06/07/07 NETSOL TECHNOLOGIES INC NV 5.02 06/04/07 NEUROLOGIX INC/DE DE 7.01,9.01 06/07/07 NEWS CORP 8.01,9.01 06/07/07 NewStar Financial, Inc. 1.01,2.03,9.01 06/05/07 NORDSTROM INC WA 7.01 06/07/07 NORTHEAST UTILITIES MA 8.01 06/04/07 NORTHERN CALIFORNIA BANCORP INC 8.01,9.01 06/06/07 NORTHWEST BIOTHERAPEUTICS INC DE 1.01,3.02,9.01 06/01/07 NOVADEL PHARMA INC DE 8.01,9.01 06/05/07 NOVASTAR FINANCIAL INC MD 1.01 06/01/07 NUVASIVE INC DE 5.02,9.01 06/06/07 NYSE Euronext DE 8.01 06/07/07 NYSE Euronext DE 8.01 06/07/07 OPENWAVE SYSTEMS INC DE 2.05,5.02 06/03/07 OPSWARE INC DE 2.01,9.01 04/26/07 AMEND OSI PHARMACEUTICALS INC DE 8.01,9.01 06/05/07 OSIRIS THERAPEUTICS, INC. DE 1.01,3.02,7.01,9.01 06/06/07 Osteologix, Inc. DE 1.01,9.01 06/04/07 OVERSEAS SHIPHOLDING GROUP INC DE 8.01,9.01 06/06/07 OVERSEAS SHIPHOLDING GROUP INC DE 8.01,9.01 06/06/07 PACIFIC GAS & ELECTRIC CO CA 7.01,9.01 06/06/07 PAINCARE HOLDINGS INC CT 2.01,9.01 06/06/07 PC MALL INC DE 5.02 06/03/07 PENTAIR INC MN 2.03,9.01 06/04/07 PETROSEARCH ENERGY CORP 5.02,9.01 05/01/07 PG&E CORP CA 7.01,9.01 06/06/07 PNM RESOURCES INC NM 1.01,2.01,9.01 06/07/07 PRESSTEK INC /DE/ DE 7.01,9.01 06/07/07 ProLink Holdings Corp. DE 5.02 06/01/07 PROSPECT MEDICAL HOLDINGS INC DE 1.02,2.01,3.02,5.02,9.01 06/01/07 PSB Holdings, Inc. 8.01,9.01 06/06/07 PUBLIC CO MANAGEMENT CORP NV 1.01,1.02,5.02,9.01 04/12/07 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 06/07/07 PW EAGLE INC MN 8.01,9.01 06/06/07 QLOGIC CORP DE 5.02 06/01/07 RAE SYSTEMS INC DE 4.01,9.01 06/04/07 RALCORP HOLDINGS INC /MO MO 5.03,9.01 06/01/07 RECYCLENET CORP UT 8.01 06/07/07 ReoStar Energy CORP 2.01,9.01 06/06/07 REPLIGEN CORP DE 2.02,9.01 06/07/07 RIDGEFIELD ACQUISITION CORP CO 2.01 06/01/07 RITE AID CORP DE 1.01,2.03,3.02,5.02,5.03,9.01 06/07/07 RIVIERA HOLDINGS CORP NV 1.02,9.01 06/06/07 SAFLINK CORP DE 3.01,3.02 06/07/07 SAKS INC TN 5.02,9.01 06/06/07 SAKS INC TN 8.01,9.01 06/07/07 SAMSONITE CORP/FL DE 2.02,9.01 06/07/07 SANFILIPPO JOHN B & SON INC DE 2.03 06/01/07 SATCON TECHNOLOGY CORP DE 5.02 06/05/07 SCORES HOLDING CO INC UT 1.01,8.01 02/28/07 Sequoia Mortgage Trust 2007-2 1.01,9.01 05/25/07 SHOE PAVILION INC DE 5.02 06/06/07 SIRIUS SATELLITE RADIO INC DE 5.02,9.01 06/06/07 SKY PETROLEUM, INC. NV 7.01,9.01 06/07/07 SMITHFIELD FOODS INC VA 2.02,9.01 06/07/07 SOLAR ENERTECH CORP NV 1.01,5.02,9.01 06/01/07 SOLECTRON CORP DE 5.02 06/03/07 SONIC INNOVATIONS INC DE 1.01,2.01,9.01 06/01/07 SOUTHERN MISSOURI BANCORP INC MO 8.01 06/01/07 SOVRAN SELF STORAGE INC MD 2.01,9.01 06/07/07 Spansion Inc. DE 1.01,2.03,8.01,9.01 06/07/07 SPEAKING ROSES INTERNATIONAL INC NV 5.02,9.01 06/06/07 Sputnik, Inc. NV 9.01 06/07/07 STONELEIGH PARTNERS ACQUISITION CORP. DE 8.01,9.01 06/05/07 STRATAGENE CORP DE 5.01 06/06/07 STRATUS PROPERTIES INC DE 1.01,2.03 06/01/07 SUNTRUST BANKS INC GA 8.01 05/31/07 SUPERIOR BANCORP DE 8.01,9.01 06/07/07 Surfect Holdings, Inc NV 1.01,2.03,3.02,9.01 06/01/07 SWIFT ENERGY CO 2.03 06/01/07 SWMX, INC. DE 2.02,5.02,9.01 06/01/07 TARRANT APPAREL GROUP CA 8.01 06/07/07 TATONKA OIL & GAS, INC. CO 5.02,9.01 06/01/07 TAYLOR CAPITAL GROUP INC DE 8.01,9.01 06/07/07 TEKELEC CA 5.02,5.03,9.01 06/05/07 Tennessee Commerce Bancorp, Inc. TN 3.01 06/01/07 TERRACE VENTURES INC NV 5.02 06/04/07 TESCO CORP 1.01,9.01 06/05/07 THQ INC DE 1.01 06/01/07 TIDEWATER INC DE 5.02 06/06/07 TORVEC INC NY 1.02 06/06/07 TOUCHSTONE SOFTWARE CORP /CA/ DE 1.01 06/07/07 Tower Group, Inc. DE 5.02,9.01 06/06/07 TRACKPOWER INC WY 4.01,9.01 06/01/07 Trident Systems International/AAMPRO NV 5.02 06/04/07 TXU CORP /TX/ TX 1.01,1.02 06/01/07 U S WIRELESS DATA INC DE 1.01,1.02,2.01,2.03,3.02,9.01 06/01/07 UGODS, INC. NV 9.01 05/30/07 AMEND UMPQUA HOLDINGS CORP OR 8.01,9.01 06/07/07 UNIFI INC NY 7.01,9.01 06/07/07 UNION BANKSHARES CO/ME ME 7.01,9.01 06/07/07 UNITED AMERICA INDEMNITY, LTD E9 5.02 06/01/07 UNITED SECURITY BANCSHARES INC DE 8.01,9.01 06/07/07 UNIVERSAL FOG INC 5.02 06/05/07 UNIVERSAL HEALTH REALTY INCOME TRUST MD 5.02,9.01 06/01/07 URANERZ ENERGY CORP. NV 8.01,9.01 06/06/07 UROPLASTY INC MN 2.02,9.01 06/06/07 UTG INC 1.01 06/07/07 UTi WORLDWIDE INC 2.02,9.01 06/06/07 VARIAN SEMICONDUCTOR EQUIPMENT ASSOCI DE 8.01 06/07/07 VASO ACTIVE PHARMACEUTICALS INC DE 2.04 06/01/07 VCG HOLDING CORP CO 2.01,2.03,8.01,9.01 05/31/07 VELCERA, INC. DE 1.01,9.01 06/01/07 VENTAS INC DE 8.01,9.01 06/06/07 VERTICALNET INC PA 1.01,3.02 06/01/07 VERTIS INC DE 5.02 05/31/07 VIEWPOINT CORP DE 3.01,9.01 06/07/07 VINEYARD NATIONAL BANCORP CA 2.02,9.01 06/07/07 VINEYARD NATIONAL BANCORP CA 2.02,9.01 06/07/07 VISTA GOLD CORP 8.01,9.01 06/06/07 VMS NATIONAL PROPERTIES JOINT VENTURE IL 2.01 06/01/07 VOLT INFORMATION SCIENCES, INC. NY 2.02,9.01 06/07/07 WAH KING INVEST CORP. DE 1.02,5.03,8.01,9.01 06/07/07 WaMu Mortgage Pass-Through Certificat DE 9.01 05/23/07 WARWICK VALLEY TELEPHONE CO NY 5.02,9.01 06/07/07 WASTE SERVICES, INC. A6 7.01,9.01 06/07/07 WELLS FARGO & CO/MN DE 9.01 06/07/07 WEYERHAEUSER CO WA 7.01 06/07/07 WHERIFY WIRELESS INC DE 5.02,8.01,9.01 06/06/07 WORLD AM, INC. 8.01,9.01 04/13/07 AMEND WORLDWIDE STRATEGIES INC NV 2.03,9.01 02/14/07 WYNN RESORTS LTD 8.01,9.01 06/07/07 XERIUM TECHNOLOGIES INC DE 1.01 06/06/07 XFONE INC NV 8.01,9.01 06/04/07 XTO ENERGY INC DE 8.01,9.01 06/06/07 YP CORP NV 1.01,2.01,3.02,5.02,9.01 06/06/07 YUKON GOLD CORP INC DE 8.01,9.01 05/14/07 ZALDIVA INC FL 4.02 05/25/07 ZION OIL & GAS INC DE 5.02,9.01 06/01/07 ZIX CORP TX 8.01 06/07/07