SEC NEWS DIGEST Issue 2006-221 November 16, 2006 ENFORCEMENT PROCEEDINGS IN THE MATTER OF RESEARCH AFFILIATES, LLC On November 15, the Commission issued an Order Affirming the Denial of Requests for Confidential Treatment in the Matter of Research Affiliates LLC. Research had requested confidential treatment of information filed pursuant to Section 13(f) of the Securities Exchange Act of 1934 for the calendar quarters ended Sept. 30, 2005, and Dec. 31, 2005. (Rel. 34-54757) COURT ENTERS JUDGMENT OF PERMANENT INJUNCTION AND OTHER RELIEF AGAINST DEFENDANT GLENN GLASSHAGEL The Commission announced that on Nov. 1, 2006, the Honorable Marcia G. Cooke of the U.S. District Court for the Southern District of Florida entered a Judgment of Permanent Injunction and Other Relief against Defendant Glenn E. Glasshagel. Glasshagel consented to the entry of 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 future 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. In addition, the Judgment bars Glasshagel from acting as an officer or director pursuant to Section 21(d)(2) of the Exchange Act, and provides for disgorgement and the imposition of a civil penalty to be determined by agreement of the parties or by the Court, upon motion by the Commission. [SEC v. Glenn E. Glasshagel, Case No. 05-61159-CIV-Cooke/Brown] (LR-19911; AAE Rel. No. 2514) FORMER HEAD OF WORLD-WIDE SALES AT COMPUTER ASSOCIATES, STEPHEN RICHARDS, SENTENCED TO 7 YEARS IN PRISON FOR ACCOUNTING FRAUD AND COMMITTING PERJURY DURING COMMISSION SUBPOENAED TESTIMONY The Commission announced that in a criminal case prosecuted by the U.S. Attorney's Office for the Eastern District of New York, Stephen Richards, a former Head of World-Wide Sales and Senior Vice President of Computer Associates International, Inc., was yesterday sentenced to a prison term of 7 years by Judge I. Leo Glasser of the United States District Court for the Eastern District of New York. Judge Glasser will determine Richards' restitution obligation at a later hearing. Richards, 41, pled guilty to eight felonies, including securities fraud, obstruction of justice, and perjury, on April 24, 2006, two weeks before a scheduled trial. Richards admitted fraudulently inflating the quarterly revenue and earnings of Computer Associates by keeping open the company's books past quarter-ends in order to give the appearance that the company had met or exceeded quarterly revenue projections, when, in fact, Computer Associates' performance had fallen short of those goals. The indictment charged that in 1999 and 2000, with Richards' participation, over $2 billion in revenue were manipulated to prop up the price of the stock. Richards also admitted to committing perjury during subpoenaed testimony before the Commission staff to conceal the fraud scheme. Richards' co-defendant, Sanjay Kumar, Computer Associates' former Chairman and CEO, also pled guilty to eight felonies on April 24, 2006, and was sentenced by Judge Glasser on November 2, 2006, to serve 12 years and pay an $8 million fine. Five other of Richards' co-conspirators previously entered guilty pleas, agreed to cooperate with the prosecution and are awaiting sentencing: David Kaplan, David Rivard, Lloyd Silverstein, Steven Woghin and Ira Zar. The Commission previously filed civil injunctive actions against Richards, the above-named former Computer Associates executives and Computer Associates itself. In the Commission's actions, Judge Glasser previously imposed injunctions and other equitable relief, on consent, against all of these defendants. The Commission's claims for disgorgement and civil penalties remain pending against Kumar, Rivard, Silverstein, Woghin and Zar. The Commission acknowledges the assistance of the U.S. Attorney's Office for the Eastern District of New York and the Federal Bureau of Investigation in this matter. For further information see prior Lit. Rel. Nos. 19898, 19730, 18954, 18891, 18665 and 18552. [U.S. v. Stephen Richards, 04 Cr. No. 846 (E.D.N.Y.) (I.L.G.); SEC v. Sanjay Kumar and Stephen Richards, 04 Civ. 4101 (E.D.N.Y.) (I.L.G.)] (LR- 19912; AAE Rel. No. 2515) COURT ADOPTS MAGISTRATE'S REPORT AND RECOMMENDATION AND ORDERS MELVIN LEVINE TO PAY A CIVIL PENALTY OF $55,000 The Commission announced that on Oct. 12, 2006, the Honorable Daniel T. K. Hurley, United States District Court for the Southern District of Florida adopted in full Magistrate Judge Frank J. Lynch's report and recommendation and ordered Melvin Levine to pay a civil money penalty in the amount of $55,000. Previously, on Oct. 5, 2004, Judge Hurley entered a Judgment of Permanent Injunction and Other Relief against Levine. Levine consented to the entry of an injunction against future violations of Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. The Commission alleged in its Complaint that Levine and others made materially false and misleading statements and failed to disclose material information in filings with the Commission in violation of the federal securities laws. [SEC v. Rhino Ecosystems, Inc., et al., Case No. 02-80768-CIV-HURLEY/LYNCH (S.D. FL)] (LR-19913) COURT ENTERS FINAL JUDGMENTS AGAINST MIN T. MA AND JOYCE MANNI NG The Commission announced that the U.S. District Court for the Northern District of California entered final judgments, by consent, against Min T. Ma and Joyce Manni Ng in settlement of an insider trading case previously filed by the Commission. The final judgment against Ma, entered on Sept. 27, 2006, permanently enjoins Ma from violating Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and orders him to pay disgorgement of $97,067 in illegal trading profits plus prejudgment interest. Payment of an additional $215,016 in trading profits and imposition of a civil penalty were waived based on Ma's sworn representations about his financial condition. The final judgment against Ng, entered on July 29, 2005, permanently enjoins Ng from violating Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and orders her to pay disgorgement of $135,506 in illegal trading profits plus prejudgment interest and a civil penalty of $20,000. The determination not to impose a greater penalty was based on Ng's sworn representations about her financial condition. The Commission filed its action against Ma and Ng on Dec. 14, 2004, alleging that they engaged in insider trading by purchasing stock in advance of mergers they learned about while working as onsite desktop publishers for Merrill Lynch, Pierce, Fenner & Smith Inc. Ma and Ng consented to entry of the respective final judgments against them without admitting or denying the allegations in the complaint. For more information, see Litigation Release No. 18998 (Dec. 14, 2004). [SEC v. Min T. Ma and Joyce Manni Ng, Case No. C-04-05295-JSW, N.D. Cal.] (LR-19914) COURT ENTERS FINAL JUDGMENT SETTING DISGORGEMENT AGAINST MAX FRANCOIS, JEAN FRITZ MONTINARD, FOCUS FINANCIAL ASSOCIATES, INC., AND FOCUS DEVELOPMENT CENTER, INC. AND CIVIL PENALTIES AGAINST FRANCOIS The Commission announced that on June 20, 2006, the Honorable K. Michael Moore, U.S. District Judge for the Southern District of Florida found Max Francois, Jean Fritz Montinard, Focus Financial Associates, Inc. and Focus Development Center, Inc., jointly and severally liable for disgorgement of $5.9 million, plus prejudgment interest in the amount of $372,264.01, for their involvement in a Ponzi scheme that targeted more than 600 Haitian-Americans living in South Florida through local radio programs and presentations to Haitian-American church congregations. Additionally, Defendant Francois was ordered to pay a civil money penalty of $120,000. [SEC v. Focus Financial Associates, Inc., Civil Action No. 05-21527-CIV- Moore/Garber (S.D. FL)] (LR-19915) JUDGMENT OF PERMANENT INJUNCTION ENTERED AGAINST DEFENDANT AIBY PIERRE-LOUIS The Commission announced that on Nov. 13, 2006, the Honorable K. Michael Moore, U.S. District Judge for the Southern District of Florida entered a judgment of permanent injunction against Aiby Pierre-Louis (Pierre-Louis) for his involvement in an affinity fraud that targeted members of the Haitian-American community in Miami through local radio programs and presentations to Haitian-American church congregations. Pierre-Louis consented to the entry of an injunction against 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. In addition, the Court reserved jurisdiction to determine upon the Commission's motion the amount of disgorgement, prejudgment interest, and civil penalty Pierre-Louis is liable to pay. The Commission alleged in its complaint that Pierre-Louis and others made materially false and misleading statements and failed to disclose material information in connection with the sale of twelve-month notes in violation of the federal securities laws. [SEC v. Focus Financial Associates, Inc., Civil Action No. 05-21527-CIV-Moore/Garber (S.D. FL)] (LR-19916) FORMER SENIOR VICE PRESIDENT OF LENDINGTREE SETTLES INSIDER TRADING CASE WITH SEC The Commission announced today that on Nov. 14, 2006, the Honorable Graham C. Mullen, U.S. District Judge for the Western District of North Carolina, entered a final judgment against David N. Anderson, former senior vice president of LendingTree, in an insider trading case the Commission filed in April 2006. See SEC v. Anderson and Dipietro, No. 3:06 CV 196 (W.D.N.C. April 24, 2006)/Lit. Rel. No. 19665. Without admitting or denying the allegations in the complaint, Anderson consented to the entry of the final judgment which (i) permanently enjoins him from future violations of Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, (ii) orders him to pay a civil penalty of $219,366.40, and (iii) bars him from serving as an officer or director of any public company. The Commission's complaint alleged that, shortly before a May 5, 2003, public announcement that LendingTree was being acquired by USA Interactive at a substantial premium to LendingTree shareholders, Anderson (then LendingTree's senior vice president of new business development) improperly provided material, nonpublic information concerning the pending acquisition to three friends and colleagues at LendingTree -- Michael J. Ricks, John H. Woody, and Mark P. Mead -- as well as to a friend outside the company, Nancy C. Dipietro. The complaint alleged that Anderson's tippees then purchased shares of LendingTree while in possession of this material, nonpublic information, and made illegal profits totaling $219,366.40 following the announcement of the acquisition. The complaint alleged that Anderson violated Exchange Act Section 10(b), and Rule 10b-5 thereunder, by improperly tipping Ricks, Woody, Mead, and Dipietro with material, nonpublic information concerning the pending acquisition. This concludes the Commission's action against Anderson. In a related criminal case brought by the U.S. Attorney's Office for the Western District of North Carolina, Anderson has pled guilty to a felony count of making false statements to the Commission's staff. Anderson is awaiting sentencing in that matter. The Commission previously filed and settled insider trading cases against Anderson's tippees, see SEC v. Anderson and Dipietro, No. 3:06CV196 (W.D.N.C. July 11, 2006)/Lit. Rel. No. 19762 and SEC v. Ricks, Woody, and Mead, No. 3:04CV576 (W.D.N.C. Nov. 22, 2004)/Lit. Rel. No. 18983, and has filed insider trading cases against other individuals in connection with this investigation. For further information see SEC v. Paquette and Lawrence, No. 3:05CV412 (W.D.N.C. Sept. 26, 2005)/Lit. Rel. No. 19393; SEC v. Talbot, No. CV 04-4556 (C.D. Cal. June 24, 2004)/Lit. Rel. No. 18762; and SEC v. Bartlett, No. 3:03CV463 (W.D.N.C. Sept. 24, 2003)/Lit. Rel. No. 18361. The Commission's investigation continues. [SEC v. David N. Anderson and Nancy C. Dipietro, No. 3:06 CV 196 (W.D.N.C.)] (LR-19917) INVESTMENT COMPANY ACT RELEASES ALLEGIANT FUNDS, ET AL. A notice has been issued giving interested persons until Dec. 8, 2006, to request a hearing on an application filed by Allegiant Funds, et al. for an order granting an exemption from Section 15(a) of the Investment Company Act and Rule 18f-2 under the Act. The order would permit certain registered open-end management investment companies to enter into and materially amend subadvisory agreements without shareholder approval. (Rel. IC-27551 - November 13) PIONEER AMERICA INCOME TRUST, ET AL. An order has been issued on an application filed by Pioneer America Income Trust, et al. under Section 12(d)(1)(J) of the Investment Company Act for an exemption from Sections 12(d)(1)(A) and (B) of the Act and under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act. The order permits certain registered open- end management investment companies to acquire shares of other registered open end management investment companies both within and outside the same group of investment companies. (Rel. IC-27552 - November 14) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES The National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc. filed a proposed rule change (SR-NASD-2006-114) to adopt an automated process for opening quotations of ITS/CAES market makers. Publication is expected in the Federal Register during the week of November 13. (Rel. 34-54728) A proposed rule change (SR-BSE-2006-51) and Amendment No. 1 thereto filed by the Boston Stock Exchange relating to Exchange fees and changes have become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 20. (Rel. 34-54747) A proposed rule change (SR-Phlx-2006-73) filed by the Philadelphia Stock Exchange relating to the definition of Core Session for XLE has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 20. (Rel. 34-54749) A proposed rule change (SR-NYSEArca-2006-88) filed by NYSE Arca relating to exchange fees and charges has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 20. (Rel. 34-54750) PROPOSED RULE CHANGE The NASDAQ Stock Market filed a proposed rule change (SR-NASDAQ-2006- 040) to modify certain fees for listing on The Nasdaq Stock Market and to make available products and services intended to assist companies with their disclosure and regulatory obligations, shareholder communications, and other corporate objectives. Publication is expected in the Federal Register during the week of November 20. (Rel. 34-54752) 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-3ASR CHARTERMAC, 625 MADISON AVENUE, NEW YORK, NY, 10022, 2124215333 - 267,755 ($5,419,631.20) Equity, (File 333-138706 - Nov. 15) (BR. 08A) S-8 Homeland Security Network, Inc., 2500 LEGACY DRIVE, SUITE 226, FRISCO, TX, 75034, 214-618-6400 - 30,000,000 ($262,500.00) Equity, (File 333-138708 - Nov. 15) (BR. 05B) F-10 MINEFINDERS CORP LTD., SUITE 2288, 1177 WEST HASTINGS STREET, VANCOUVER, A1, V6E 2K3, (604) 687-6263 - 0 ($85,000,000.00) Other, (File 333-138709 - Nov. 15) (BR. 04A) F-1 Central North Airport Group, AEROPUERTO INTERNACIONAL DE MONTERREY, CARRETERA MIGUEL ALEM?N, KM. 24 S/N, APODACA, NUEVO LE?N, O5, 66600, (52) (81) 8625 4300 - 0 ($396,165,000.00) Equity, (File 333-138710 - Nov. 15) (BR. 05) S-8 WHIRLPOOL CORP /DE/, WHIRLPOOL CNTR 2000 M 63, C/O CORPORATE SECRETARY, BENTON HARBOR, MI, 49022-2692, 6169235000 - 0 ($88,570,000.00) Equity, (File 333-138711 - Nov. 15) (BR. 11C) S-3ASR DreamWorks Animation SKG, Inc., GRANDVIEW BUILDING, 1000 FLOWER STREET, GLENDALE, CA, 91201, (818) 695-5000 - 0 ($330,000,000.00) Equity, (File 333-138712 - Nov. 15) (BR. 05A) S-8 IMMUNOGEN INC, 128 SIDNEY ST, CAMBRIDGE, MA, 02139, 6179952506 - 0 ($10,937,500.00) Equity, (File 333-138713 - Nov. 15) (BR. 01A) F-6 Central North Airport Group, AEROPUERTO INTERNACIONAL DE MONTERREY, CARRETERA MIGUEL ALEM?N, KM. 24 S/N, APODACA, NUEVO LE?N, O5, 66600, (52) (81) 8625 4300 - 100,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-138714 - Nov. 15) (BR. 05) S-8 LINCOLN EDUCATIONAL SERVICES CORP, 200 EXECUTIVE DRIVE, WEST ORANGE, NJ, 07052, 9737369340 - 1,000,000 ($13,120,000.00) Equity, (File 333-138715 - Nov. 15) (BR. 11B) S-8 IRON MOUNTAIN INC, 745 ATLANTIC AVENUE, BOSTON, MA, 02111, 6175354766 - 3,323,729 ($143,518,596.63) Equity, (File 333-138716 - Nov. 15) (BR. 05B) S-8 ALVARION LTD, 21A HABAMEL ST, TEL AVIV ISRAEL, L3, 69710, 01197236454803 - 1,500,000 ($10,208,102.84) Equity, (File 333-138717 - Nov. 15) (BR. 11A) S-8 RESPIRONICS INC, 1010 MURRY RIDGE LANE, MURRYSVILLE, PA, 15668-8525, 7243875200 - 1,000,000 ($35,580,000.00) Equity, (File 333-138718 - Nov. 15) (BR. 10C) S-8 RADVIEW SOFTWARE LTD, 2 HABARZEL ST, TEL AVIV ISRAEL, L3, 6172381111 - 0 ($350,000.00) Equity, (File 333-138719 - Nov. 15) (BR. 03B) S-3 METABASIS THERAPEUTICS INC, 9390 TOWNE CENTRE DRIVE, SAN DIEGO, CA, 92121, 0 ($47,041,545.00) Equity, (File 333-138720 - Nov. 15) (BR. 01B) S-8 CALLIDUS SOFTWARE INC, 160 WEST SANTA CLARA STREET, 15TH FLOOR, SAN JOSE, CA, 95113, 0 ($11,390,819.00) Equity, (File 333-138721 - Nov. 15) (BR. 03B) S-8 CPAC INC, 2364 LEICESTER RD, LEICESTER, NY, 14481, 5853823223 - 52,500 ($275,404.50) Equity, (File 333-138722 - Nov. 15) (BR. 10A) S-3 PHARMOS CORP, 99 WOOD AVENUE SOUTH, SUITE 301, ISELIN, NJ, 08830, 7324529556 - 20,000,000 ($37,500,000.00) Equity, (File 333-138723 - Nov. 15) (BR. 01B) S-3ASR Horizon Lines, Inc., 4064 COLONY ROAD, SUITE 200, CHARLOTTE, NC, 28211, 704-973-7000 - 0 ($68,445,741.70) Equity, (File 333-138726 - Nov. 15) (BR. 05A) SB-2 National Storm Management Inc., 999 NORTH MAIN STREET SUITE 202, GLEN ELLYN, IL, 60137, 60137 - 0 ($213,859.00) Equity, (File 333-138727 - Nov. 15) (BR. 06) SB-2 Lev Pharmaceuticals Inc, 122 WEST 42ND STREET, SUITE 2606, NEW YORK, NY, 10168, 212-682-3096 - 88,794,114 ($43,560,819.66) Equity, (File 333-138729 - Nov. 15) (BR. 01C) S-3 SOUTHCREST FINANCIAL GROUP INC, 108 SOUTH CHURCH STREET, THOMASTON, GA, 30286, 706-647-5426 - 371,135 ($9,181,800.00) Equity, (File 333-138731 - Nov. 15) (BR. 07C) S-3 UNIVERSAL DISPLAY CORP \PA\, 6096710980 - 91,055 ($1,119,977.00) Equity, (File 333-138732 - Nov. 15) (BR. 10C) S-8 SOUTHCREST FINANCIAL GROUP INC, 108 SOUTH CHURCH STREET, THOMASTON, GA, 30286, 706-647-5426 - 549,000 ($13,582,260.00) Equity, (File 333-138733 - Nov. 15) (BR. 07C) S-3 ITERIS, INC., 1515 S. MANCHESTER AVE., ANAHEIM, CA, 92802, 7147745000 - 0 ($578,688.00) Equity, (File 333-138735 - Nov. 15) (BR. 11A) S-3 SUNESIS PHARMACEUTICALS INC, 341 OYSTER POINT BOULEVARD, SOUTH SAN FRANCISCO, CA, 94080, 650-266-3500 - 0 ($75,000,000.00) Equity, (File 333-138736 - Nov. 15) (BR. 01C) S-8 SIPEX CORP, 233 SOUTH HILLVIEW DRIVE, MILPITAS, CA, 95035, 408-934-7500 - 0 ($6,502,500.00) Equity, (File 333-138737 - Nov. 15) (BR. 10C) S-8 WEBSIDESTORY INC, 10182 TELESIS COURT 6TH FL, STE 20 5, SAN DIEGO, CA, 92121, 8585460040 - 0 ($6,714,533.00) Equity, (File 333-138738 - Nov. 15) (BR. 08A) F-1 STERLITE INDUSTRIES (INDIA) LTD, VEDANTA, 75 NEHRU ROAD, VILE PARLE (EAST),, MUMBAI, K7, 400099, 91-22-66434500 - 2,000,000,000 ($2,000,000,000.00) ADRs/ADSs, (File 333-138739 - Nov. 15) (BR. ) S-1 SIPEX CORP, 233 SOUTH HILLVIEW DRIVE, MILPITAS, CA, 95035, 408-934-7500 - 0 ($30,000,000.00) Debt Convertible into Equity, 0 ($10,323,970.00) Equity, (File 333-138740 - Nov. 15) (BR. 10C) S-3ASR SKY FINANCIAL GROUP INC, 221 SOUTH CHURCH STREET, BOWLING GREEN, OH, 43402, 4193276300 - 0 ($4,405,298.40) Equity, (File 333-138741 - Nov. 15) (BR. 07B) S-8 CAPELLA EDUCATION CO, 330 SECOND AVE SOUTH STE 550, MINN, MN, 55401, 4,192,890 ($86,467,336.01) Equity, (File 333-138742 - Nov. 15) (BR. 08A) 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 ------------------------------------------------------------------------------------------------------- 21ST CENTURY HOLDING CO FL 2.02,9.01 11/15/06 3COM CORP DE 8.01 11/15/06 3M CO DE 8.01,9.01 10/27/06 5 G WIRELESS COMMUNICATIONS INC NV 3.02,5.02 09/21/06 99 CENTS ONLY STORES CA 2.02,9.01 11/13/06 ACA Capital Holdings Inc 1.01,9.01 11/15/06 ACCENTIA BIOPHARMACEUTICALS INC 8.01,9.01 11/06/06 ACCENTURE LTD 8.01 11/15/06 ACCENTURE SCA 8.01 11/15/06 ACCREDITED HOME LENDERS HOLDING CO DE 9.01 10/01/06 AMEND ACE Securities Corp. Home Equity Loan DE 2.01,9.01 07/25/06 ACE Securities Corp. Home Equity Loan DE 2.01,8.01,9.01 11/10/06 ACME UNITED CORP CT 5.02 11/15/06 ACTIVISION INC /NY DE 3.01 11/09/06 ACTUANT CORP WI 8.01 11/15/06 ADVANCE AUTO PARTS INC DE 5.03 11/15/06 ALANCO TECHNOLOGIES INC AZ 8.01 06/30/06 ALBERTO CULVER CO DE 1.01,2.03,9.01 11/13/06 ALCOA INC PA 5.02,9.01 11/14/06 ALION SCIENCE & TECHNOLOGY CORP DE 3.02,8.01 09/30/06 AMEND ALLIANCE LAUNDRY HOLDINGS LLC 2.02,9.01 11/14/06 ALLIED WORLD ASSURANCE CO HOLDINGS LT 1.01,5.02,9.01 11/10/06 Alternative Loan Trust 2006-23CB DE 8.01,9.01 06/28/06 AMEND Alternative Loan Trust 2006-OA18 9.01 11/15/06 ALTIGEN COMMUNICATIONS INC 2.02,9.01 11/15/06 AMERICA WEST AIRLINES INC DE 7.01,8.01,9.01 11/15/06 AMERICA WEST AIRLINES INC DE 5.02,9.01 11/13/06 AMERICAN BANCORP OF NEW JERSEY INC NJ 2.02,9.01 11/14/06 AMERICAN BANK NOTE HOLOGRAPHICS INC DE 2.02,9.01 11/14/06 American Express Issuance Trust DE 8.01,9.01 11/15/06 AMERICAN OIL & GAS INC NV 2.02,7.01,9.01 11/15/06 AMERICAN STATES WATER CO CA 5.02,9.01 11/10/06 AMERICAN TECHNOLOGIES GROUP INC NV 2.04 11/14/06 American Telecom Services Inc 2.02,9.01 11/14/06 AMERICANWEST BANCORPORATION WA 8.01,9.01 11/15/06 AMERIGAS PARTNERS LP DE 2.02,9.01 11/15/06 AMERIVEST PROPERTIES INC MD 7.01,8.01,9.01 11/13/06 AMERUS GROUP CO/IA IA 2.01,3.01,3.03,5.01,5.02, 11/14/06 5.03,8.01,9.01 AMERUS GROUP CO/IA IA 5.02,9.01 11/15/06 AMS HEALTH SCIENCES INC OK 2.02,9.01 09/30/06 ANALYTICAL SURVEYS INC CO 5.02 11/15/06 APEX CAPITAL GROUP INC NV 4.01,9.01 11/15/06 APOLLO GOLD CORP 2.02,9.01 11/14/06 APPLICA INC FL 8.01,9.01 11/15/06 APPLIED INDUSTRIAL TECHNOLOGIES INC OH 8.01,9.01 11/13/06 APPLIED MATERIALS INC /DE DC 2.02,9.01 11/15/06 APPLIED MICRO CIRCUITS CORP DE 3.01,8.01,9.01 11/13/06 ARADIGM CORP CA 2.02,9.01 11/10/06 AMEND ARAMARK CORP/DE DE 2.02 11/15/06 ARCADIA RESOURCES, INC NV 7.01,9.01 11/15/06 ASPEN INSURANCE HOLDINGS LTD D0 3.03,9.01 11/10/06 ASPYRA INC CA 2.02,9.01 11/14/06 AURORA GOLD CORP DE 8.01,9.01 11/13/06 Aurora Oil & Gas CORP UT 8.01,9.01 11/15/06 AUTOBYTEL INC DE 2.02,9.01 11/09/06 AUTOMATIC DATA PROCESSING INC DE 1.01,9.01 11/15/06 AUXILIO INC NV 5.02,7.01,9.01 11/15/06 AVIS BUDGET GROUP, INC. DE 4.02,7.01,9.01 11/15/06 AVP INC DE 8.01,9.01 11/14/06 B2B INTERNET HOLDRSSM TRUST NY 9.01 09/30/06 BANCSHARES OF FLORIDA INC FL 8.01,9.01 11/14/06 BEA SYSTEMS INC DE 5.02 11/13/06 BEA SYSTEMS INC DE 2.02,9.01 11/15/06 Bear Stearns ALT-A Trust 2006-7 DE 8.01,9.01 10/31/06 Bear Stearns Mortgage Funding Trust 2 DE 8.01,9.01 10/31/06 BEHRINGER HARVARD REIT I INC MD 7.01,9.01 11/15/06 Benjamin Franklin Bancorp, Inc. MA 8.01,9.01 11/14/06 BESTWAY COACH EXPRESS INC NY 5.02 11/14/06 BILL BARRETT CORP 7.01,9.01 11/13/06 BIOLIFE SOLUTIONS INC DE 5.02 10/17/06 BIOSYNERGY INC IL 9.01 11/11/06 BIOTECH HOLDRS TRUST 9.01 11/14/06 BLACK & DECKER CORP MD 8.01,9.01 11/13/06 BLUE DOLPHIN ENERGY CO DE 2.02,9.01 11/15/06 BlueLinx Holdings Inc. DE 7.01,9.01 11/15/06 BOVIE MEDICAL CORP DE 8.01 11/15/06 BOWATER INC DE 5.02,8.01,9.01 11/08/06 BRAVO RESOURCE PARTNERS LTD 4.01,9.01 11/08/06 BREDA TELEPHONE CORP IA 4.02 11/14/06 BRIGHTPOINT INC IN 5.02 11/09/06 BROADBAND HOLDRS TRUST 8.01,9.01 11/14/06 BSML INC UT 2.02,9.01 11/14/06 BUILDING MATERIALS CORP OF AMERICA DE 2.02,9.01 11/14/06 BURKE MILLS INC NC 2.02,9.01 09/30/06 Calumet Specialty Products Partners, DE 5.02,9.01 11/09/06 CAM COMMERCE SOLUTIONS INC DE 2.02,9.01 11/15/06 CAMBREX CORP DE 1.01,8.01,9.01 11/09/06 CAREER EDUCATION CORP DE 2.05,9.01 11/14/06 CAREER EDUCATION CORP DE 8.01 11/14/06 CARSUNLIMITED COM INC NV 1.01,9.01 11/10/06 CARVER BANCORP INC DE 2.02,9.01 11/15/06 CASEYS GENERAL STORES INC IA 7.01 11/15/06 CDRV Investors, Inc. DE 2.02,7.01,9.01 11/15/06 CENTERPOINT ENERGY INC 8.01 11/09/06 Cereplast Inc 5.02 11/10/06 CHAMPION COMMUNICATION SERVICES INC DE 2.02,9.01 11/15/06 CHAMPION PARTS INC IL 2.02,9.01 10/01/06 CHARMING SHOPPES INC PA 2.02,9.01 11/15/06 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 11/10/06 CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 11/15/06 CHATTEM INC TN 8.01,9.01 11/13/06 CHEMBIO DIAGNOSTICS, INC. NV 2.02,3.02,7.01,9.01 11/15/06 CHEROKEE INTERNATIONAL CORP DE 2.02,9.01 11/14/06 CHILDRENS PLACE RETAIL STORES INC 8.01,9.01 11/13/06 CHINA AGRITECH INC 2.02,9.01 11/15/06 CHINA EXPERT TECHNOLOGY, INC. NV 1.01,9.01 11/13/06 China Natural Gas, Inc. DE 7.01,9.01 11/15/06 CHITTENDEN CORP /VT/ VT 7.01,9.01 09/30/06 CIRRUS LOGIC INC DE 3.01,9.01 11/10/06 CITIBANK OMNI-S MASTER TRUST 8.01,9.01 11/15/06 CITIBANK SOUTH DAKOTA N A DE 8.01 10/26/06 Citigroup Mortgage Loan Trust 2006-WF 2.01,9.01 10/02/06 CITIZENS BANCORP/OR 4.01,9.01 11/08/06 CLEVELAND CLIFFS INC OH 1.01,8.01,9.01 11/10/06 CNB FINANCIAL CORP/PA PA 8.01,9.01 11/15/06 CNET NETWORKS INC DE 3.01,9.01 11/13/06 COLE KENNETH PRODUCTIONS INC NY 8.01 11/14/06 COLLINS & AIKMAN CORP DE 8.01,9.01 11/14/06 COLOMBIA GOLDFIELDS LTD 5.02 11/14/06 COMMODORE APPLIED TECHNOLOGIES INC DE 7.01,9.01 11/15/06 COMMONWEALTH BIOTECHNOLOGIES INC VA 2.02,9.01 11/10/06 COMMUNITY TRUST BANCORP INC /KY/ KY 7.01,9.01 09/30/06 Complete Production Services, Inc. DE 7.01,9.01 11/14/06 COMPUDYNE CORP NV 2.02,9.01 11/14/06 COMPUPRINT INC NC 1.01,5.03,8.01,9.01 11/13/06 COMPUTER HORIZONS CORP NY 4.01,9.01 11/10/06 Con-way Inc. DE 8.01 11/15/06 CORGENIX MEDICAL CORP/CO NV 2.02,9.01 11/15/06 CORINTHIAN COLLEGES INC 2.02 11/15/06 CORNERSTONE BANCSHARES INC TN 8.01,9.01 11/15/06 Corporate Backed Callable Trust Certi DE 8.01,9.01 11/09/06 CORTLAND BANCORP INC OH 2.02 11/15/06 CORUS BANKSHARES INC MN 8.01,9.01 11/14/06 COURIER CORP MA 1.01,2.03,9.01 11/09/06 CRAFTMADE INTERNATIONAL INC DE 7.01,9.01 11/13/06 CRIMSON EXPLORATION INC. TX 2.02 09/30/06 CROSS COUNTRY HEALTHCARE INC DE 1.01,8.01,9.01 11/13/06 CROWN CRAFTS INC DE 2.02,9.01 11/15/06 CRYSTAL FINANCE HOLDING CORP DE 8.01 11/14/06 CURON MEDICAL INC DE 1.03,5.02,8.01 11/13/06 CWALT INC DE 9.01 11/15/06 CYANOTECH CORP NV 3.01,3.03,8.01,9.01 11/14/06 CYBERONICS INC DE 5.02 11/09/06 CYTOKINETICS INC 8.01,9.01 11/15/06 CYTORI THERAPEUTICS, INC. DE 5.02 11/09/06 DAKTRONICS INC /SD/ SD 2.02,9.01 10/28/06 DATARAM CORP NJ 2.02,8.01,9.01 11/15/06 DATASTAND TECHNOLOGIES INC IN 4.01,9.01 11/14/06 AMEND DAYBREAK OIL & GAS INC WA 4.01,9.01 11/08/06 DECODE GENETICS INC DE 1.01,9.01 11/14/06 Deerfield Triarc Capital Corp MD 2.02,9.01 11/14/06 Deutsche Alt-A Securities Mortgage Lo 8.01,9.01 11/15/06 DEVCON INTERNATIONAL CORP FL 2.02,7.01,9.01 11/14/06 DEVRY INC DE 8.01 11/15/06 DIASYS CORP DE 3.02,9.01 09/30/06 DIGITAL DESCRIPTOR SYSTEMS INC DE 5.02,5.03,9.01 11/13/06 DIGITAL POWER CORP CA 2.02,9.01 09/30/06 DigitalFX International Inc FL 2.02,9.01 11/15/06 DIXIE GROUP INC TN 7.01,9.01 11/15/06 DOVER SADDLERY INC 5.02,8.01,9.01 11/14/06 DREAMS INC UT 5.02,9.01 11/15/06 DreamWorks Animation SKG, Inc. 8.01,9.01 11/15/06 DUANE READE HOLDINGS INC 2.02,9.01 11/15/06 DYNAMIC LEISURE CORP MN 1.01,9.01 11/09/06 DYNEGY INC /IL/ IL 8.01 11/15/06 EAGLE MATERIALS INC DE 7.01,9.01 11/15/06 Eagle Rock Energy Partners, L.P. DE 2.02,9.01 11/15/06 EARTHLINK INC DE 1.01,2.03,7.01,8.01,9.01 11/13/06 EGL INC TX 1.01,9.01 11/13/06 ELITE PHARMACEUTICALS INC /DE/ DE 1.01,9.01 11/10/06 EMBREX INC /NC/ NC 1.01,3.01,9.01 11/10/06 EMCORE CORP NJ 2.02,8.01,9.01 11/09/06 EMDEON CORP DE 5.02,9.01 11/09/06 Emergency Medical Services CORP DE 7.01,9.01 11/14/06 EMERSON RADIO CORP DE 2.02,9.01 11/15/06 ENESCO GROUP INC IL 2.02,9.01 11/14/06 ENGLOBAL CORP NV 2.02,9.01 09/30/06 ENGLOBAL CORP NV 8.01,9.01 11/15/06 ENIGMA SOFTWARE GROUP, INC DE 4.02 11/15/06 ENSCO INTERNATIONAL INC DE 2.02,9.01 11/15/06 ENXNET INC OK 7.01,9.01 11/15/06 EP MEDSYSTEMS INC NJ 2.02,9.01 11/15/06 Epic Bancorp 8.01,9.01 11/15/06 EPIC CAPITAL GROUP, INC. CO 8.01 11/15/06 EQUITABLE FINANCIAL CORP 5.02 11/14/06 EQUUS TOTAL RETURN, INC. DE 2.02,9.01 11/14/06 ESCALA GROUP INC NY 3.01,9.01 11/09/06 ESCO TECHNOLOGIES INC MO 5.02 11/09/06 ESPEED INC DE 5.02 11/09/06 EUROPE 2001 HOLDRS TRUST NY 8.01,9.01 09/30/06 EVANS & SUTHERLAND COMPUTER CORP UT 2.02,9.01 11/13/06 EXECUTE SPORTS INC NV 2.02,9.01 11/15/06 EXPLORATION CO OF DELAWARE INC DE 7.01,9.01 11/13/06 FAMILYMEDS GROUP, INC. NV 2.02,9.01 11/14/06 FERMAVIR PHARMACEUTICALS, INC. FL 1.01,2.03,3.02,9.01 11/09/06 FiberTower CORP DE 1.01,2.03,3.02,9.01 11/14/06 Fidelity National Information Service 1.01,9.01 11/09/06 FIELDPOINT PETROLEUM CORP CO 2.02,7.01 11/14/06 FINANCIAL SECURITY ASSURANCE HOLDINGS NY 8.01,9.01 11/15/06 FIRST AMERICAN CAPITAL CORP /KS KS 4.01 11/01/06 AMEND FIRST COMMUNITY BANK CORP OF AMERICA FL 2.02,9.01 10/17/06 FIRST INTERSTATE BANCSYSTEM INC MT 8.01 11/14/06 FIRST MARBLEHEAD CORP 5.02,9.01 11/09/06 FIRST SOUTH BANCORP INC /VA/ VA 4.01,9.01 11/10/06 FLEXIBLE SOLUTIONS INTERNATIONAL INC NV 2.02,9.01 11/14/06 FNB CORP/FL/ FL 5.04,9.01 11/14/06 FORCE PROTECTION INC NV 1.01,9.01 11/09/06 AMEND FRANKLIN CREDIT MANAGEMENT CORP/DE/ DE 2.02,9.01 11/15/06 GAMMACAN INTERNATIONAL INC DE 5.02,9.01 11/06/06 AMEND GANDER MOUNTAIN CO MN 2.02,9.01 11/15/06 GASTAR EXPLORATION LTD 1.01,3.02,8.01,9.01 11/14/06 GENE LOGIC INC DE 2.02,9.01 11/09/06 GEO GROUP INC FL 2.02,9.01 11/09/06 GLOBAL AIRCRAFT SOLUTIONS, INC. AZ 2.02,7.01,9.01 11/15/06 GLOBAL AXCESS CORP NV 2.02,9.01 11/14/06 GLOBAL EPOINT INC NV 4.01,9.01 11/10/06 GLOBAL GREEN SOLUTIONS INC. WA 7.01,9.01 11/15/06 GOLDFIELD CORP DE 2.02,9.01 11/14/06 GOVERNMENT TRUST 1 D IL 8.01 11/15/06 GOVERNMENT TRUST 2 F IL 8.01 11/15/06 GREAT SOUTHERN BANCORP INC MD 7.01 11/15/06 GREATER BAY BANCORP CA 7.01,9.01 11/15/06 GreenPoint Mortgage Funding Trust 200 DE 8.01,9.01 10/31/06 GRYPHON GOLD CORP NV 2.02,9.01 11/15/06 GSAMP Trust 2006-HE7 DE 1.01,4.01 10/27/06 GSAMP Trust 2006-S6 DE 8.01,9.01 10/20/06 GYMBOREE CORP DE 2.02,9.01 11/15/06 H&R BLOCK INC MO 1.01,2.03,5.02 11/10/06 Hanesbrands Inc. MD 2.05,7.01,9.01 11/15/06 HANGER ORTHOPEDIC GROUP INC DE 5.02 11/09/06 HANOVER CAPITAL MORTGAGE HOLDINGS INC MD 2.02,8.01,9.01 11/10/06 HARLEYSVILLE NATIONAL CORP PA 5.02,9.01 11/15/06 HEMACARE CORP /CA/ CA 2.01,3.02,7.01,9.01 08/29/06 AMEND HEXION SPECIALTY CHEMICALS, INC. NJ 2.02,9.01 11/14/06 Hiland Holdings GP, LP DE 2.02,7.01,9.01 11/10/06 Hiland Holdings GP, LP DE 5.02 11/10/06 Hiland Partners, LP 2.02,7.01,9.01 11/10/06 Hiland Partners, LP 5.02 11/10/06 HIRSCH INTERNATIONAL CORP NY 2.02,9.01 09/30/05 HOME EQUITY MORTGAGE TRUST 2006-5 DE 9.01 10/31/06 HOMELIFE INC NV 1.01 11/10/06 HOOPER HOLMES INC NY 2.02 11/14/06 HORIZON OFFSHORE INC DE 1.01,8.01,9.01 11/01/06 Horne International, Inc. DE 2.02,9.01 11/15/06 HOT TOPIC INC /CA/ CA 2.02,5.02,9.01 11/15/06 HUTTIG BUILDING PRODUCTS INC DE 7.01,9.01 11/15/06 IA GLOBAL INC DE 2.02,9.01 11/15/06 IMMUNOGEN INC MA 5.02 11/14/06 IMMUNOMEDICS INC DE 8.01,9.01 11/14/06 IMPSAT FIBER NETWORKS INC DE 2.02,9.01 11/14/06 IndyMac ABS Inc. Home Equity Mortgage 8.01,9.01 11/15/06 IndyMac INDX Mortgage Loan Trust 2006 8.01,9.01 10/31/06 INFORMEDIX HOLDINGS INC NV 8.01,9.01 11/09/06 InfoSearch Media, Inc. DE 5.02 11/09/06 INKSURE TECHNOLOGIES INC. DE 9.01 11/15/06 AMEND Innophos, Inc. 8.01,9.01 11/08/06 INPHONIC INC 8.01,9.01 11/15/06 INTEGRAL SYSTEMS INC /MD/ MD 5.02 11/09/06 INTERNATIONAL ELECTRONICS INC MA 5.02 11/15/06 International Securities Exchange Hol 8.01,9.01 11/13/06 INTERNET ARCHITECTURE HOLDRSSM TRUST NY 8.01,9.01 11/14/06 INTERNET HOLDRS TRUST NY 9.01 11/14/06 INTERNET INFRASTRUCTURE HOLDRSSM TRUS NY 8.01,9.01 09/30/06 INTRAOP MEDICAL CORP 5.02 11/10/06 INVESTORS CAPITAL HOLDINGS LTD MA 2.02,9.01 11/15/06 ISTAR FINANCIAL INC MD 8.01,9.01 11/09/06 IVAX DIAGNOSTICS INC DE 2.02,9.01 11/14/06 IWT TESORO CORP NV 7.01,9.01 11/14/06 J P MORGAN CHASE & CO DE 5.02,9.01 07/03/06 J P MORGAN CHASE & CO DE 9.01 11/13/06 JEWETT CAMERON TRADING CO LTD OR 2.02 11/14/06 KAMAN CORP CT 8.01,9.01 11/15/06 KRISPY KREME DOUGHNUTS INC NC 8.01 11/14/06 L 3 COMMUNICATIONS HOLDINGS INC DE 8.01,9.01 11/15/06 LABOR READY INC WA 7.01,9.01 11/15/06 Lehman XS Trust 2006-17 DE 8.01,9.01 10/31/06 LIGAND PHARMACEUTICALS INC DE 2.01,2.02,2.03,9.01 11/15/06 LIGHTPATH TECHNOLOGIES INC DE 2.02,9.01 11/15/06 LIONS PETROLEUM, INC DE 5.02 11/09/06 LITHIA MOTORS INC OR 2.02,4.02,9.01 11/14/06 LODGENET ENTERTAINMENT CORP DE 1.01,7.01,9.01 11/14/06 LOEWS CORP DE 7.01,9.01 11/15/06 LONGS DRUG STORES CORP MD 2.02,9.01 11/15/06 LUMINENT MORTGAGE CAPITAL INC 7.01,9.01 11/15/06 LYONDELL CHEMICAL CO DE 1.01,9.01 11/15/06 MAGNA ENTERTAINMENT CORP DE 8.01,9.01 11/14/06 MANARIS CORP NV 2.01,9.01 04/18/06 AMEND MARCHEX INC DE 7.01,9.01 11/14/06 MARKET 2000 PLUS HOLDRS SM TRUST NY 8.01,9.01 09/30/06 MARTIN MIDSTREAM PARTNERS LP DE 3.02 11/14/06 MARWICH II LTD CO 4.01,9.01 11/13/06 MASTR Adjustable Rate Mortgages Trust DE 8.01,9.01 11/15/06 MBIA INC CT 5.02,9.01 11/08/06 MED-EMERG INTERNATIONAL INC 2.02,9.01 11/15/06 MEDICINOVA INC DE 5.02,9.01 11/08/06 MEDIS TECHNOLOGIES LTD DE 8.01,9.01 11/10/06 MEDIVATION, INC. DE 7.01,9.01 11/15/06 MELO BIOTECHNOLOGY HOLDINGS INC. A6 8.01 11/15/06 MENS WEARHOUSE INC TX 2.02,8.01,9.01 11/15/06 MERCURY COMPUTER SYSTEMS INC MA 5.02,9.01 11/13/06 Merrill Lynch Mortgage Investors Trus DE 2.01,9.01 10/31/06 METROLOGIC INSTRUMENTS INC NJ 8.01 11/15/06 MIAD SYSTEMS LTD A6 5.03,9.01 11/14/06 MICRON ENVIRO SYSTEMS INC NV 8.01,9.01 11/13/06 MILACRON INC DE 5.02,9.01 11/14/06 MINERALS TECHNOLOGIES INC DE 5.02,9.01 11/14/06 MIPS TECHNOLOGIES INC DE 3.01,9.01 11/14/06 MORGAN BEAUMONT, INC. NV 7.01,9.01 11/15/06 MOSAIC CO 7.01,9.01 11/14/06 MOTIENT CORP DE 1.01 11/08/06 NABI BIOPHARMACEUTICALS DE 1.01,5.02,9.01 11/10/06 NASDAQ STOCK MARKET INC DE 8.01,9.01 11/15/06 NATIONAL MERCANTILE BANCORP CA 2.02,9.01 11/15/06 NETSOL TECHNOLOGIES INC NV 2.02,9.01 11/14/06 NETWORK 1 SECURITY SOLUTIONS INC DE 2.02,9.01 11/14/06 NETWORK APPLIANCE INC CA 2.02,9.01 11/15/06 NETWORK CN INC DE 1.01,3.02,9.01 11/15/06 NEW GENERATION HOLDINGS INC DE 4.02 11/13/06 NEW WORLD BRANDS INC DE 5.03 09/15/06 AMEND NICHOLAS FINANCIAL INC FL 1.01,9.01 08/09/06 AMEND Nomura Asset Acceptance Corporation, DE 2.01,9.01 09/29/06 NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 10/31/06 NOVELL INC DE 1.01,9.01 11/09/06 NUMEREX CORP /PA/ PA 3.02,9.01 11/15/06 NUVEEN INVESTMENTS INC DE 7.01,9.01 11/15/06 NYER MEDICAL GROUP INC FL 2.02,9.01 11/15/06 OFFICEMAX INC DE 1.01,9.01 11/10/06 OIL SERVICE HOLDRS TRUST NY 9.01 09/30/06 OIL STATES INTERNATIONAL, INC DE 8.01,9.01 11/13/06 Omni Financial Services, Inc. GA 7.01,9.01 11/15/06 ON ASSIGNMENT INC DE 8.01,9.01 11/09/06 ONELINK CORP DE 7.01,9.01 11/15/06 Option One Mortgage Loan Trust 2006-3 DE 2.01,9.01 10/16/06 ORAGENICS INC FL 8.01,9.01 11/15/06 Orsus Xelent Technologies Inc DE 2.02,9.01 11/15/06 OSCIENT PHARMACEUTICALS CORP MA 3.03,8.01,9.01 11/15/06 OSI RESTAURANT PARTNERS, INC. DE 1.01,9.01 11/08/06 OTELCO INC. AL 5.02,9.01 11/15/06 OUTDOOR CHANNEL HOLDINGS INC 2.06 11/14/06 OWENS ILLINOIS INC /DE/ DE 5.02,9.01 11/08/06 OXIS INTERNATIONAL INC DE 5.02 11/15/06 PACIFIC GAS & ELECTRIC CO CA 5.02 11/10/06 PANDA ETHANOL, INC. NV 5.05,9.01 11/08/06 PATCH INTERNATIONAL INC/CN NV 8.01,9.01 11/15/06 PAXAR CORP NY 5.02,9.01 11/14/06 PENN TRAFFIC CO DE 5.02 11/10/06 PENTON MEDIA INC DE 7.01,9.01 11/14/06 PERFORMANCE CAPITAL MANAGEMENT LLC CA 8.01 11/10/06 PETROLEUM DEVELOPMENT CORP NV 5.02,9.01 11/10/06 PETSMART INC DE 2.02,9.01 11/15/06 PFSWEB INC DE 7.01 11/14/06 PG&E CORP CA 5.02 11/10/06 PHARMACEUTICAL HOLDRS TRUST 9.01 09/30/06 PHOENIX FOOTWEAR GROUP INC DE 2.02,9.01 11/15/06 PIZZA INN INC /MO/ MO 3.01,9.01 11/09/06 PIZZA INN INC /MO/ MO 2.04 11/10/06 PLANAR SYSTEMS INC OR 2.02,9.01 11/15/06 PLASTINUM CORP DE 4.02 11/13/06 POLYMEDIX INC 8.01 11/14/06 Porter Bancorp, Inc. KY 7.01,9.01 11/14/06 PORTOLA PACKAGING INC DE 2.02,9.01 11/13/06 PRE PAID LEGAL SERVICES INC OK 1.01 11/10/06 PREFERRED VOICE INC DE 7.01,9.01 11/15/06 PRIDE BUSINESS DEVELOPMENT HOLDINGS, 8.01 11/05/06 PRIDE INTERNATIONAL INC DE 2.01,9.01 11/08/06 PRIME COMPANIES INC DE 8.01 11/15/06 PRINCIPAL LIFE INSURANCE CO IA 9.01 11/10/06 PRINCIPAL LIFE INSURANCE CO IA 9.01 11/10/06 PRINCIPAL LIFE INSURANCE CO IA 9.01 11/10/06 PRO DEX INC CO 2.02,9.01 11/14/06 Probe Manufacturing Inc NV 8.01 11/14/06 PROCERA NETWORKS INC NV 5.02,9.01 10/16/06 PROGRESS SOFTWARE CORP /MA MA 5.02,7.01,9.01 11/09/06 PROGRESSIVE CORP/OH/ OH 7.01,9.01 11/15/06 PRUDENTIAL BANCORP INC OF PENNSYLVANI 2.02,9.01 11/14/06 QUADRAMED CORP DE 2.02,8.01,9.01 11/09/06 QUAKER FABRIC CORP /DE/ DE 1.01,9.01 11/09/06 RADIANT LOGISTICS, INC DE 8.01,9.01 11/15/06 RAILAMERICA INC /DE DE 1.01,7.01,9.01 11/14/06 RAYONIER INC NC 8.01 11/15/06 Refco Finance Inc. DE 7.01,9.01 11/14/06 REGIONAL BANK HOLDERS SM TRUST NY 8.01,9.01 09/30/06 RENASANT CORP MS 7.01,9.01 11/15/06 RENT A CENTER INC DE DE 1.01,1.02,2.01,2.03,9.01 11/15/06 Residential Asset Securitization Trus 8.01,9.01 10/31/06 RESMED INC DE 5.02,9.01 11/09/06 RETAIL HOLDRS TRUST NY 8.01,9.01 09/30/06 RF MONOLITHICS INC /DE/ DE 9.01 09/15/06 AMEND RFMSI Series 2006-SA4 Trust DE 8.01,9.01 10/14/06 RITE AID CORP DE 1.01,2.03,9.01 11/08/06 ROCKWELL COLLINS INC DE 1.01,3.03,9.01 11/09/06 ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 7.01,9.01 11/15/06 ROGERS CORP MA 1.01,1.02,2.03 11/08/06 Rosetta Resources Inc. DE 2.02,9.01 11/14/06 SAKS INC TN 8.01 11/14/06 SALESFORCE COM INC DE 2.02,9.01 11/15/06 SANDS REGENT NV 2.02 11/15/06 SCHOOL SPECIALTY INC WI 8.01,9.01 11/15/06 SCIENTIFIC LEARNING CORP DE 2.02 11/07/06 Securitized Asset Backed Receivables 8.01,9.01 10/31/06 SELECT ASSET INC DE 8.01,9.01 11/09/06 SEMICONDUCTOR HOLDRS TRUST NY 8.01,9.01 11/14/06 SENESCO TECHNOLOGIES INC DE 1.01,9.01 11/08/06 AMEND SENTIGEN HOLDING CORP DE 8.01,9.01 11/14/06 SERVOTRONICS INC /DE/ DE 2.02,9.01 09/30/06 SILVERADO GOLD MINES LTD A1 1.01,9.01 10/31/06 SINOFRESH HEALTHCARE INC FL 2.02,9.01 11/15/06 SIRNA THERAPEUTICS INC DE 2.02,8.01,9.01 11/13/06 Smart Energy Solutions, Inc. UT 8.01 11/15/06 SMITH & WESSON HOLDING CORP NV 1.01,2.03,9.01 11/08/06 SOFTWARE HOLDRS TRUST NY 8.01,9.01 09/30/06 SPACEHAB INC \WA\ WA 7.01,9.01 11/14/06 SPARE BACKUP, INC. DE 1.01,3.02 11/09/06 AMEND SPARTA INC /DE DE 8.01,9.01 11/14/06 SPATIALIZER AUDIO LABORATORIES INC DE 2.02,9.01 11/14/06 SPORT HALEY INC CO 2.02,9.01 11/14/06 STATE BANCORP INC NY 1.01,9.01 11/13/06 STELLAR RESOURCES LTD NV 9.01 11/14/06 STEWART ENTERPRISES INC LA 8.01 11/07/06 STONEMOR PARTNERS LP DE 1.01,5.02,9.01 11/08/06 Storm Cat Energy CORP 2.01,9.01 08/29/06 AMEND STRATEGIC HOTELS & RESORTS, INC 9.01 09/01/06 AMEND STREICHER MOBILE FUELING INC FL 2.02,9.01 11/14/06 Structured Adjustable Rate Mortgage L DE 8.01,9.01 10/31/06 Structured Asset Mortgage Investments DE 9.01 10/31/06 SUMMIT FINANCIAL SERVICES GROUP INC FL 2.02,9.01 11/14/06 Sun Cal Energy , Inc. NV 5.02 11/07/06 AMEND SUN-TIMES MEDIA GROUP INC DE 5.02,7.01,9.01 11/14/06 SUNTERRA CORP MD 5.02 11/09/06 SUNTRON CORP DE 2.02,9.01 11/15/06 SUPPORTSOFT INC DE 1.01,9.01 11/09/06 SUPREME INDUSTRIES INC DE 2.02,9.01 11/14/06 SYSCO CORP DE 5.02,8.01,9.01 11/09/06 SYSCO CORP DE 5.02,8.01,9.01 11/09/06 AMEND TALBOTS INC DE 2.02,9.01 11/15/06 TALEO CORP DE 2.02,9.01 11/13/06 TARGETED GENETICS CORP /WA/ WA 8.01,9.01 11/13/06 TECUMSEH PRODUCTS CO MI 1.01,1.02,7.01,9.01 11/13/06 TEL INSTRUMENT ELECTRONICS CORP NJ 2.02 11/15/06 TELECOM HOLDRS TRUST NY 8.01,9.01 09/30/06 TENTHGATE INC 3.02 11/10/06 TENTHGATE INC 8.01 10/31/06 TERRA ENERGY & RESOURCE TECHNOLOGIES, DE 8.01 11/15/06 TERRA ENERGY & RESOURCE TECHNOLOGIES, DE 8.01 11/15/06 AMEND THOMAS PROPERTIES GROUP INC DE 2.02,9.01 11/14/06 TIDEWATER INC DE 7.01,9.01 11/13/06 TIME WARNER TELECOM INC DE 2.02,5.02 11/13/06 TIME WARNER TELECOM INC DE 5.03,9.01 11/13/06 TOREADOR RESOURCES CORP DE 5.02,9.01 11/08/06 TOWER AUTOMOTIVE INC DE 2.05 11/09/06 TRAMMELL CROW CO DE 7.01,9.01 11/15/06 TRANSACTION SYSTEMS ARCHITECTS INC DE 2.02,7.01,9.01 11/14/06 TRANSGENOMIC INC DE 5.02,9.01 11/14/06 TRANSNET CORP DE 7.01,9.01 11/15/06 TREX CO INC DE 1.01,2.03 11/09/06 TRIARC COMPANIES INC DE 8.01,9.01 11/14/06 TRICELL INC 5.02 11/09/06 TRIMERIS INC DE 8.01,9.01 11/10/06 TRIO TECH INTERNATIONAL CA 2.02,9.01 11/09/06 TRIPOS INC UT 2.02,7.01,9.01 11/14/06 TRUE TEMPER SPORTS INC 2.02,7.01,9.01 11/15/06 TRULITE INC DE 5.02,9.01 07/24/06 TRX INC/GA GA 1.01,1.02,5.02,9.01 11/10/06 TTM TECHNOLOGIES INC WA 7.01,9.01 11/15/06 TWEEN BRANDS, INC. DE 2.02,9.01 11/15/06 TWEETER HOME ENTERTAINMENT GROUP INC DE 5.02 11/13/06 TYCO INTERNATIONAL LTD /BER/ D0 2.02,8.01,9.01 11/15/06 UGI CORP /PA/ PA 2.02,9.01 11/15/06 UGI UTILITIES INC PA 2.02,9.01 11/15/06 UNISOURCE ENERGY CORP AZ 8.01,9.01 11/15/06 UNISOURCE ENERGY CORP AZ 8.01,9.01 11/15/06 AMEND UNITED COMPONENTS INC DE 2.02,9.01 11/15/06 UNITED DOMINION REALTY TRUST INC MD 7.01,9.01 11/15/06 UNITED HERITAGE CORP UT 1.01,9.01 11/10/06 UNITED SURGICAL PARTNERS INTERNATIONA DE 1.01,9.01 11/15/06 UNIVERSAL CITY DEVELOPMENT PARTNERS L 7.01 11/15/06 Universal City Florida Holding Co. I FL 7.01 11/15/06 UNIVERSAL HOSPITAL SERVICES INC MN 7.01,9.01 11/15/06 US CONCRETE INC DE 2.02,9.01 11/09/06 US CONCRETE INC DE 8.01,9.01 11/15/06 USA Mobility, Inc DE 2.02,7.01,9.01 11/09/06 USG CORP DE 8.01,9.01 11/14/06 UTILITIES HOLDERS SM TRUST NY 9.01 11/13/06 Vanda Pharmaceuticals Inc. DE 8.01,9.01 11/15/06 VCG HOLDING CORP CO 8.01,9.01 11/15/06 VERIDIEN CORP DE 7.01,9.01 11/14/06 VIASYS HEALTHCARE INC DE 5.02,9.01 11/15/06 VICTORY ENERGY CORP NV 3.03 11/10/06 VIKING SYSTEMS INC DE 5.02,7.01,9.01 11/09/06 VISHAY INTERTECHNOLOGY INC DE 1.01,9.01 11/08/06 VISTA GOLD CORP 8.01,9.01 11/13/06 Visualant, INC NV 5.02 11/14/06 VWR International, Inc. 2.02,7.01,9.01 11/15/06 WABASH NATIONAL CORP /DE DE 7.01,9.01 11/15/06 WASHINGTON POST CO DE 8.01 11/15/06 WHEELING PITTSBURGH CORP /DE/ DE 8.01,9.01 11/14/06 WHITE ELECTRONIC DESIGNS CORP ID 2.02,9.01 11/15/06 WHITE MOUNTAINS INSURANCE GROUP LTD D0 7.01 11/14/06 WHITTIER ENERGY CORP NV 2.02,9.01 11/15/06 WILLIAMS SONOMA INC CA 3.01 11/08/06 WILSON BROTHERS USA INC IL 4.01,5.02,9.01 11/13/06 WINN DIXIE STORES INC FL 7.01,9.01 11/09/06 WIRELESS HOLDRS TRUST NY 8.01,9.01 09/30/06 WITNESS SYSTEMS INC DE 3.01,9.01 11/09/06 XCEL ENERGY INC MN 2.02,9.01 11/15/06 ZANETT INC DE 2.02,9.01 11/15/06 ZAP CA 8.01 11/09/06 ZIMMER HOLDINGS INC DE 8.01,9.01 11/15/06 ZIONS BANCORPORATION /UT/ UT 7.01 11/15/06