SEC NEWS DIGEST Issue 2005-194 October 7, 2005 COMMISSION ANNOUNCEMENTS SEC, NASAA ANNOUNCE IARD SYSTEM FEE WAIVER On October 7, the U.S. Securities and Exchange Commission and the North American Securities Administrators Association (NASAA) announced a one- year waiver of certain system fees paid by investment advisers and all investment adviser representatives for registration in the Investment Adviser Registration Depository (IARD) program. Separately, NASAA also announced that it is reducing by 30 percent system fees paid by state- regulated investment advisers on an on-going basis. The IARD system is an Internet-based national database sponsored by NASAA and the SEC and operated by NASD in its role as a vendor. IARD provides a single nationwide database for the collection and dissemination of information about individuals and firms in the investment advisory field; and offers investment advisers and representatives a single source for filing state and federal registration and disclosures. IARD system fees are used for user and system support along with periodic enhancements to the system. “Since its inception, the IARD system has exceeded expectations,” said Patricia D. Struck, Wisconsin Securities Administrator and President of NASAA, the membership organization of securities administrators in the 50 states, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, the provinces and territories of Canada, and Mexico. “The system provides streamlined registration procedures for investment advisers and their representatives, promotes consistency, and allows investors to research the employment and disciplinary histories of more than 21,000 investment adviser firms and eventually 200,000 individual investment adviser representatives. We are pleased that IARD’s success has allowed us to grant a waiver and reduction in the system fees.” "This Internet resource has been invaluable to investors. It allows the investing public instant access, without additional charge, to information about their money managers. Now there is even better news: we can, for the next year at least, eliminate the annual adviser fees that go with it," said SEC Chairman Christopher Cox. NASAA is waiving payment of IARD system renewal fees by state-regulated investment advisers and all investment adviser representatives. Currently, state-regulated investment adviser firms pay an annual system fee of $100 and individual representatives pay an annual system fee of $45. Struck also announced that the system fees paid by state-regulated investment advisers will be reduced by 30 percent to $70 on an on-going basis. Struck said NASAA’s Board of Directors approved the waiver and system fee reduction and will continue to monitor the system’s revenues to determine whether future fee adjustments are warranted. The SEC has approved a waiver of IARD filing fees for all SEC-registered advisers with respect to Form ADV annual updating amendments filed from November 1, 2005 through October 31, 2006. Currently, SEC-registered adviser firms pay an annual IARD fee of $100, $400, or $550, depending on their assets under management. The SEC also announced that current projections of fee revenues and system expenses cause it to believe that a reduction in annual IARD filing fees will be necessary to more closely align those fees with the costs of filings. The SEC plans shortly to solicit public comment on potential IARD fee alternatives following the waiver period, including reductions in fees or an extension of the waiver. Both SEC and NASAA observed that revenue from IARD system fees had exceeded original projections. Struck attributed the waiver and reduction in system fees primarily to the overwhelming support of the states in mandating the use of the system for registrants. More investment advisers and investment adviser representatives have registered through the system than originally anticipated, the regulators said. Numbers of SEC-registered advisers have also grown and many advisers have moved to higher fee categories because they have more assets under management. Media Contacts: John Nester (SEC), (202) 551-4125; Bob Webster (NASAA), (202) 737-0900. (Press Rel. 2005-145) ENFORCEMENT PROCEEDINGS IN THE MATTER OF FRANK PERSICO An Administrative Law Judge has issued an Order Making Findings and Imposing Remedial Sanction by Default in Frank Persico, Administrative Proceeding No. 3-11993. The Order Instituting Proceedings alleged that Persico pleaded guilty to one count of conspiracy to commit securities fraud and wire fraud in the United States District Court for the District of New Jersey. The Default Order finds these allegations to be true and, pursuant to Section 15(b) of the Securities Exchange Act of 1934, bars Persico from associating with any broker or dealer. (Rel. 34- 52570; File No. 3-11993) COMMISSION DISMISSES JEFFREY A. KING’S APPLICATION FOR REVIEW OF NASD DISCIPLINARY ACTION The Commission has dismissed the application for review of NASD disciplinary action filed by Jeffrey A. King, formerly a registered representative. NASD found that King failed to provide information that it requested pursuant to its Conduct Rules and it barred King from association with any member firm in any capacity. The Commission dismissed King's application for review because King had failed to follow NASD procedures for timely seeking a hearing from NASD after he had been suspended for his failure to provide the requested information. (Rel. 34-52571; File No. 3-11851) INVESTMENT ADVISERS ACT RELEASE INVESTMENT ADVISER REGISTRATION DEPOSITORY FILING FEES An order has been issued waiving, for one year, Investment Adviser Registration Depository annual filing fees for advisers registered with the Commission. The waiver will apply to IARD system fees due in connection with annual updating amendments filed from Nov. 1, 2005, through Oct. 31, 2006. (Rel. IA-2439 - October 7) INVESTMENT COMPANY ACT RELEASE NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION, ET AL. A notice has been issued giving interested persons until October 28 to request a hearing on an application filed by New York Life Insurance and Annuity Corporation (NYLIAC) and its NYLIAC Variable Annuity Separate Account – III (SA-III). The applicants request an order, pursuant to Section 26© OF THE Investment Company act, approving the substitutions by SA-III of its subaccounts’ shares of the AmSouth Enhanced Market Fund, AmSouth International Equity Fund, AmSouth Large Cap Fund, and AmSouth Mid Cap Fund, each separate portfolios of the Variable Insurance Funds, with shares of certain series of the MainStay VP S&P 500 Index Portfolio, MainStay VP International Equity Portfolio, MainStay VP Value Portfolio (MainStay Replacing Funds), and Fidelity® VIP Mid Cap Portfolio. The MainStay Replacing Funds are separate portfolios of the MainStay VP Series Fund, Inc. The Fidelity® VIP Mid Cap Portfolio is a portfolio of the Variable Insurance Products Fund. (Rel. IC-27112 – October 5) SELF REGULATORY ORGANIZATIONS DELISTING An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the common stock, $.01 par value, of Nashua Corporation, effective at the opening of business on October 7. (Rel. 34-52567) 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 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 ev3 Inc., 4600 NATHAN LANE NORTH, PLYMOUTH, MN, 55442, (763) 398-7000 - 0 ($21,517,705.00) Equity, (File 333-128841 - Oct. 6) (BR. 10B) S-4 ROCKWOOD SPECIALTIES GROUP INC, 100 OVERLOOK CENTER, PRINCETON, NJ, 08540, 6095140300 - 0 ($652,175,000.00) Non-Convertible Debt, (File 333-128842 - Oct. 6) (BR. 06C) S-1 ECB BANCORP INC, P O BOX 337, HWY 264, ENGELHARD, NC, 27824, 2529259411 - 0 ($24,607,125.00) Equity, (File 333-128843 - Oct. 6) (BR. 07A) S-3 HyperSpace Communications, Inc., 8480 EAST ORCHARD ROAD, SUITE 6600, GREENWOOD VILLAGE, CO, 80111, (303) 566-6500 - 4,050,000 ($21,606,750.00) Equity, (File 333-128846 - Oct. 6) (BR. 03B) F-3 TEFRON LTD, 28 CHIDA ST, ISRAEL, BNEI BRAK, 51371, 11,521,259 ($80,015,143.76) Other, (File 333-128847 - Oct. 6) (BR. 02C) N-2 OPPENHEIMER SENIOR FLOATING RATE FUND, 6803 SOUTH TUCSON WAY, N/A, CENTENNIAL, CO, 80112-3924, 303-768-3200 - 50,000,000 ($478,500,000.00) Non-Convertible Debt, (File 333-128848 - Oct. 6) (BR. 16) S-1 NTELOS HOLDINGS CORP, 401 SPRING LANE, SUITE 300, P.O. BOX 1990, WAYNESBORO, VA, 22980, 5409463500 - 0 ($175,000,000.00) Equity, (File 333-128849 - Oct. 6) (BR. 11) S-4 CAPITOL BANCORP LTD, ONE BUSINESS & TRADE CNTR, 200 WASHINGTON SQ N, LANSING, MI, 48933, 5174876555 - 0 ($5,561,597.80) Equity, (File 333-128850 - Oct. 6) (BR. 07C) S-4 DONNELLEY R R & SONS CO, 77 W WACKER DR, CHICAGO, IL, 60601, 3123268000 - 0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-128852 - Oct. 6) (BR. 05A) S-4 CCO HOLDINGS LLC, 12405 POWERCOURT DR, ST LOUIS, MO, 63131, 314-965-0555 - 0 ($295,312,500.00) Non-Convertible Debt, (File 333-128853 - Oct. 6) (BR. 11) S-8 PALATIN TECHNOLOGIES INC, 4C CEDAR BROOK DRIVE, CRANBURY, NJ, 08512, 609-495-2200 - 5,000,000 ($11,500,000.00) Equity, (File 333-128854 - Oct. 6) (BR. 01B) SB-2 MEDIVATION, INC., 501 SECOND STREET, SUITE 211, SAN FRANCISCO, CA, 94107, 415-543-3470 - 10,005,000 ($28,514,250.00) Equity, (File 333-128855 - Oct. 6) (BR. 01B) SB-2 iCURIE, INC., ESPIRITO SANTO PLAZA, 1395 BRICKELL AVE. SUITE 800, MIAMI, FL, 33131, 3055296290 - 0 ($44,093,442.00) Equity, (File 333-128856 - Oct. 6) (BR. 10) S-3 EQUINIX INC, 301 VELOCITY WAY, 5TH FLOOR, FOSTER CITY, CA, 94404, 650-513-7000 - 3,091,243 ($124,978,954.49) Equity, (File 333-128857 - Oct. 6) (BR. 11C) S-8 PALM INC, 950 W. MAUDE AVENUE, SUNNYVALE, CA, 94085, 4086177000 - 3,214,213 ($89,612,258.44) Equity, (File 333-128858 - Oct. 6) (BR. 03B) S-8 PROCTER & GAMBLE CO, ONE PROCTER & GAMBLE PLZ, CINCINNATI, OH, 45202, 5139831100 - 110,500,000 ($6,447,122,500.00) Equity, (File 333-128859 - Oct. 6) (BR. 06B) S-8 WALT DISNEY CO/, 500 SOUTH BUENA VISTA ST, BURBANK, CA, 91521, 8185601000 - 0 ($728,400,000.00) Equity, (File 333-128860 - Oct. 6) (BR. 05C) S-1 Bronco Drilling Company, Inc., 14313 NORTH MAY AVENUE, SUITE 100, OKLAHOMA CITY, OK, 73134, 405.848.8807 - 0 ($91,080,000.00) Equity, (File 333-128861 - Oct. 6) (BR. 04) S-3 FelCor Lodging Trust Inc, 545 E JOHN CARPENTER FREEWAY, SUITE 1300, IRVING, TX, 75062, 9724444900 - 0 ($12,284,992.00) Other, (File 333-128862 - Oct. 6) (BR. 08B) S-2 ENVIRONMENTAL POWER CORP, ONE CATE STREET, 4TH FLOOR, PORTSMOUTH, NH, 03801, 6034311780 - 2,300,000 ($17,986,000.00) Equity, (File 333-128863 - Oct. 6) (BR. 02A) S-3 SENOMYX INC, 11099 N TORREY PINES ROAD, SUITE 160, LA JOLLA, CA, 92037, 8586468300 - 0 ($50,000,000.00) Unallocated (Universal) Shelf, (File 333-128865 - Oct. 6) (BR. 01) 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 450 Fifth Street, N.W., Washington, D.C. 20549 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 24HOLDINGS INC DE 1.01,2.01,3.02,5.01,5.02,9.01 09/30/05 ABERDENE MINES LTD 7.01,9.01 10/06/05 ACCENTURE LTD 2.02,9.01 10/06/05 ACCENTURE SCA 2.02,9.01 10/06/05 ACCESS INTEGRATED TECHNOLOGIES INC 1.01,9.01 09/30/05 ADAPTEC INC DE 1.01,2.01,9.01 09/30/05 Affinity Group Holding, Inc. DE 5.02 10/01/05 AFFINITY GROUP INC DE 5.02 10/01/05 AGERE SYSTEMS INC DE 8.01 09/30/05 ALEXANDER & BALDWIN INC HI 1.01,1.02,2.03 10/06/05 ALION SCIENCE & TECHNOLOGY CORP DE 3.02 09/30/05 ALLBRITTON COMMUNICATIONS CO DE 5.02 09/30/05 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 10/06/05 ALPINE GROUP INC /DE/ DE 1.01,9.01 09/30/05 AMERICAN BANCORP OF NEW JERSEY INC NJ 8.01,9.01 10/05/05 AMERICAN EAGLE OUTFITTERS INC DE 7.01,8.01,9.01 10/05/05 AMERICAN EXPRESS CO NY 1.01,2.01,7.01,9.01 09/30/05 AMERICAN ITALIAN PASTA CO DE 1.01,9.01 10/01/05 AMERICAN SCIENCE & ENGINEERING INC MA 1.01,9.01 10/06/05 AMERICAN SKIING CO /ME DE 1.01 10/06/05 AMERICAN WATER STAR INC NV 8.01 09/30/05 AMERICANA PUBLISHING INC CO 5.02 10/03/05 AMERICAS CARMART INC TX 1.01,2.03,9.01 09/30/05 AMERISOURCEBERGEN CORP DE 1.01,2.01,9.01 10/03/05 AMN HEALTHCARE SERVICES INC DE 1.01,3.02,9.01 10/05/05 ANDREW CORP DE 8.01 09/30/05 ANNTAYLOR STORES CORP DE 7.01,9.01 10/06/05 APTIMUS INC WA 5.02,7.01,9.01 10/06/05 ARGO TECH CORP DE 7.01,9.01 10/06/05 ARIBA INC DE 1.01,1.02,5.02 09/30/05 ARROWHEAD RESEARCH CORP DE 1.02 10/03/05 ASB HOLDING CO 8.01,9.01 10/05/05 Asset Backed Pass-Through Certificate DE 8.01,9.01 09/25/05 AT&T CORP NY 1.01,9.01 10/05/05 ATC HEALTHCARE INC /DE/ DE 3.02 09/30/05 ATLAS AIR WORLDWIDE HOLDINGS INC DE 7.01,9.01 10/05/05 ATWOOD OCEANICS INC TX 8.01,9.01 10/05/05 AUGUST TECHNOLOGY CORP MN 4.02 09/23/05 AMEND AUTODESK INC DE 1.01 10/04/05 BANC OF AMERICA FUNDING CORP DE 8.01,9.01 10/04/05 BANK JOS A CLOTHIERS INC /DE/ DE 2.02,9.01 10/06/05 BAYCORP HOLDINGS LTD DE 1.01,9.01 09/30/05 BEAR STEARNS ASSET BACKED SECURITIES DE 8.01,9.01 10/06/05 BEARD CO /OK OK 3.02 10/04/05 BEBE STORES INC CA 2.02,9.01 10/01/05 BEHRINGER HARVARD REIT I INC MD 8.01,9.01 10/01/05 BELLSOUTH CORP GA 2.06 09/30/05 BEVERLY ENTERPRISES INC DE 7.01,9.01 10/06/05 BIG LOTS INC OH 2.03,2.05,7.01,9.01 10/04/05 BIOCRYST PHARMACEUTICALS INC DE 5.02,9.01 10/03/05 BIOLASE TECHNOLOGY INC DE 8.01,9.01 10/06/05 BIOVEST INTERNATIONAL INC DE 1.01,3.02,9.01 09/30/05 BODISEN BIOTECH, INC DE 2.01,2.02,9.01 10/04/05 BOISE CASCADE CO DE 1.01,5.02,9.01 10/01/05 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 2.01,8.01,9.01 10/01/05 BOULEVARD ACQUISITION CORP DE 1.01,5.03,7.01 09/30/05 BRANDPARTNERS GROUP INC DE 7.01,9.01 10/06/05 BURLINGTON COAT FACTORY WAREHOUSE COR DE 1.02,2.02,9.01 10/03/05 C-BASS MORTGAGE LOAN ASSET-BACKED CER DE 8.01,9.01 08/25/05 C2 Global Technologies Inc FL 1.02,2.01,5.02,8.01,9.01 09/30/05 CAL DIVE INTERNATIONAL INC MN 1.01,2.03,8.01,9.01 09/30/05 CalAmp Corp. DE 2.02,9.01 10/06/05 CALPINE CORP DE 8.01,9.01 10/04/05 CALYPSO WIRELESS INC DE 4.01,9.01 09/21/05 AMEND CALYPTE BIOMEDICAL CORP DE 5.02,9.01 09/29/05 CANCERVAX CORP DE 2.05 10/01/05 CAP ROCK ENERGY CORP 3.01,7.01,9.01 10/06/05 CAPITALSOURCE INC DE 8.01 10/06/05 CARDIOTECH INTERNATIONAL INC MA 5.02,9.01 10/03/05 CAREY W P & CO LLC DE 1.01 09/30/05 CATSKILL LITIGATION TRUST 7.01,9.01 09/30/05 CATUITY INC DE 1.01 09/30/05 CDI CORP PA 5.02 09/30/05 CENTENNIAL COMMUNICATIONS CORP /DE DE 2.02,9.01 10/06/05 CENTRA SOFTWARE INC DE 1.01,8.01,9.01 10/05/05 CFS BANCORP INC DE 1.01,7.01,9.01 10/06/05 CHARMING SHOPPES INC PA 7.01,9.01 10/06/05 CHASE MORTGAGE FINANCE CORP CHASEFLEX DE 8.01,9.01 09/26/05 Chase Mortgage Finance Trust Series 2 DE 8.01,9.01 09/26/05 ChaseFlex Trust Series 2005-2 DE 8.01,9.01 09/26/05 CHEC FUNDING LLC DE 8.01,9.01 10/04/05 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 10/06/05 CHUBB CORP NJ 7.01,9.01 10/06/05 CITADEL BROADCASTING CORP DE 7.01,9.01 10/05/05 CITICORP MORTGAGE SECURITIES INC DE 8.01 10/06/05 Citigroup Mortgage Loan Trust Inc. 20 9.01 09/30/05 CKE RESTAURANTS INC DE 7.01,9.01 10/05/05 CLAIRES STORES INC DE 2.02,9.01 10/06/05 CLEAR CHANNEL COMMUNICATIONS INC TX 1.01,1.02 05/27/05 CNB CORP /SC/ SC 2.02,9.01 10/05/05 COGNOS INC CA 7.01 09/21/05 COLDWATER CREEK INC DE 1.01,9.01 10/01/05 COLE COMPUTER CORP NV 8.01 10/06/05 COLLEGIATE FUNDING SERVICES INC DE 1.01,8.01,9.01 09/30/05 COMMERCEFIRST BANCORP INC MD 8.01 10/01/05 CONNETICS CORP DE 1.01,9.01 09/30/05 CONSTELLATION BRANDS, INC. DE 2.02,7.01,9.01 10/06/05 CORNERSTONE REALTY FUND LLC CA 2.01,9.01 09/30/05 CORPORATE PROPERTY ASSOCIATES 14 INC MD 1.01 09/30/05 CORPORATE PROPERTY ASSOCIATES 15 INC MD 1.01 09/30/05 CORPORATE PROPERTY ASSOCIATES 16 GLOB MD 1.01 09/30/05 COSI INC DE 5.02,9.01 09/30/05 COST U LESS INC WA 2.02,9.01 10/05/05 COSTCO WHOLESALE CORP /NEW WA 2.02,9.01 10/06/05 Creative Eateries Corp NV 2.01,9.01 10/05/05 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 10/06/05 CRESCENT BANKING CO GA 1.01,2.03,9.01 09/30/05 CRIIMI MAE INC MD 1.01,3.03,8.01,9.01 10/06/05 CRUZAN INTERNATIONAL, INC. DE 1.01,5.02,9.01 09/30/05 CRYO CELL INTERNATIONAL INC DE 2.02,9.01 10/06/05 CTS CORP IN 1.01 10/04/05 CV THERAPEUTICS INC DE 8.01,9.01 10/02/05 CVS CORP DE 2.02,9.01 10/06/05 CWABS INC ASSET BACKED CERTIFICATES S DE 8.01,9.01 09/27/05 CYBER MERCHANTS EXCHANGE INC CA 3.02,5.02 10/05/05 CYBERGUARD CORP FL 5.02 09/30/05 DATASTREAM SYSTEMS INC DE 4.01,7.01,9.01 09/29/05 AMEND DEFENSE TECHNOLOGY SYSTEMS, INC. DE 8.01,9.01 10/06/05 DELPHI FINANCIAL GROUP INC/DE DE 2.02,9.01 10/06/05 DENNYS CORP DE 1.01 10/03/05 DEVCON INTERNATIONAL CORP FL 2.01,9.01 09/30/05 AMEND DEX MEDIA INC DE 1.01,1.02,5.02,9.01 10/02/05 DIEBOLD INC OH 5.02,9.01 09/30/05 DIGITAL GENERATION SYSTEMS INC DE 8.01,9.01 10/06/05 DIGITAL IMAGING RESOURCES INC. DE 1.01,2.01 09/30/05 DILLARDS INC DE 7.01,9.01 10/06/05 Discovery Bancorp CA 5.02,9.01 09/30/05 DIVERSA CORP DE 1.01,2.03,9.01 09/30/05 DOANE PET CARE CO DE 7.01,9.01 10/05/05 Dolby Laboratories, Inc. DE 1.01,5.02,9.01 10/05/05 DOLLAR GENERAL CORP TN 7.01,9.01 10/06/05 DOLLAR TREE STORES INC VA 7.01,9.01 10/06/05 DORAL FINANCIAL CORP PR 1.01,7.01,9.01 10/03/05 DRESS BARN INC CT 2.02,9.01 10/06/05 DUSKA THERAPEUTICS, INC. NV 1.01,3.02 10/01/05 EASTMAN KODAK CO NJ 1.01 09/30/05 EDEN BIOSCIENCE CORP WA 3.01,9.01 10/06/05 EDMONDS 1 INC. 1.01,5.01,5.02 10/05/05 EGL INC TX 1.01 09/30/05 EGPI FIRECREEK, INC. NV 5.02,9.01 10/04/05 ELCOM INTERNATIONAL INC DE 8.01 09/30/05 ELECSYS CORP KS 1.01,9.01 10/05/05 Electronic Sensor Technology, Inc 1.01,5.02,9.01 05/26/05 AMEND ENCORE CAPITAL GROUP INC DE 1.01,3.02,8.01,9.01 09/30/05 ENCYSIVE PHARMACEUTICALS INC DE 8.01 10/06/05 ENDURANCE SPECIALTY HOLDINGS LTD 8.01 10/04/05 AMEND EQUINIX INC DE 1.01,8.01,9.01 10/06/05 EQUINIX INC DE 1.01,2.02,9.01 10/03/05 ETERNAL TECHNOLOGIES GROUP INC DE 2.01,2.02,9.01 10/01/05 EVANS BOB FARMS INC DE 7.01,9.01 10/04/05 EVEREST RE GROUP LTD D0 8.01,9.01 10/06/05 EXX INC/NV/ NV 9.01 10/05/05 EYETECH PHARMACEUTICALS INC DE 7.01 10/05/05 EZCOMM INC 2.01,3.02,4.01,5.01, 5.02,5.03,9.01 09/30/05 EZCORP INC DE 1.01 10/01/05 FACTORY CARD OUTLET CORP DE 2.02,9.01 10/06/05 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 7.01 09/30/05 FAMILY DOLLAR STORES INC DE 7.01,9.01 10/06/05 FBO AIR, INC. NV 5.02 09/30/05 FEDDERS CORP /DE DE 4.01,9.01 10/06/05 FEDERAL AGRICULTURAL MORTGAGE CORP 8.01 10/06/05 Federal Home Loan Bank of New York X1 2.03,9.01 09/30/05 Federal Home Loan Bank of San Francis X1 2.03 10/06/05 FEDERAL MOGUL CORP MI 5.02 10/06/05 AMEND FENTURA FINANCIAL INC MI 3.02 09/30/05 FIRST AMERICAN CORP CA 5.02,5.03,9.01 10/01/05 First Business Financial Services, In 7.01,9.01 10/06/05 First Franklin Mortgage Loan Trust 20 DE 2.01,9.01 08/26/05 AMEND FIRST MARBLEHEAD CORP 1.01 10/06/05 FLIGHT SAFETY TECHNOLOGIES INC NV 7.01 10/06/05 FLOW INTERNATIONAL CORP WA 5.02,9.01 10/05/05 FNB CORP/FL/ FL 1.01 10/04/05 FORD MOTOR CO DE 1.01,8.01,9.01 10/01/05 Franchise Capital Corp. NV 2.01,9.01 10/05/05 FURIA ORGANIZATION INC /DE/ DE 1.01 10/05/05 GAINSCO INC TX 1.01,2.03,9.01 09/30/05 GALAXY ENERGY CORP CO 1.01,9.01 03/01/05 GALLAGHER ARTHUR J & CO DE 1.01,1.02,2.03,9.01 10/05/05 GAMEZNFLIX INC NV 1.01,9.01 10/04/05 GAP INC DE 7.01,9.01 10/06/05 GEN PROBE INC DE 8.01,9.01 10/05/05 GEO GROUP INC FL 1.02,9.01 09/30/05 GLOBALSANTAFE CORP 7.01,9.01 10/06/05 GLYCOGENESYS INC NV 1.01,9.01 09/30/05 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 10/06/05 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 3.02 10/06/05 GOODYS FAMILY CLOTHING INC /TN TN 8.01,9.01 10/06/05 Google Inc. DE 1.01,5.02,9.01 10/03/05 Grant Life Sciences, Inc. NV 5.02,9.01 10/06/05 GREAT LAKES BANCORP INC DE 2.02,8.01 10/06/05 GS MORTGAGE SECURITIES CORP DE 8.01,9.01 10/04/05 GTREX CAPITAL, INC. DE 5.02 10/01/05 GUARANTY FEDERAL BANCSHARES INC DE 1.01,1.02 10/01/05 GUARANTY FEDERAL BANCSHARES INC DE 1.01,1.02 10/06/05 AMEND GuruNet CORP 8.01 10/06/05 HALIFAX CORP VA 1.01,9.01 10/04/05 HARRAHS ENTERTAINMENT INC DE 8.01,9.01 10/06/05 HCA INC/TN DE 1.01,9.01 10/01/05 HEARST ARGYLE TELEVISION INC DE 1.01,5.02 10/04/05 HILLENBRAND INDUSTRIES INC IN 1.01 09/30/05 HOMEBANC CORP GA 1.01,9.01 09/30/05 HSBC Finance CORP 5.02 10/01/05 HSI ASSET SECURITIZATION CORP 8.01 10/06/05 HUNTINGTON BANCSHARES INC/MD MD 8.01,9.01 10/06/05 HyperSpace Communications, Inc. CO 9.01 10/03/05 IA GLOBAL INC DE 2.01,2.03,9.01 09/30/05 ID-CONFIRM, INC. NV 1.01,9.01 08/31/05 IEC ELECTRONICS CORP DE 2.03,9.01 09/30/05 ILINC COMMUNICATIONS INC DE 3.02 09/30/05 IMAGEWARE SYSTEMS INC CA 1.01 09/30/05 IMERGENT INC DE 3.01,9.01 10/06/05 INFORTE CORP DE 1.01 10/01/05 INOVIO BIOMEDICAL CORP 1.01,9.01 09/30/05 INTEGRAL SYSTEMS INC /MD/ MD 3.02,8.01,9.01 10/03/05 INTEGRATED ALARM SERVICES GROUP INC DE 2.01,9.01 10/03/05 INTELLIGROUP INC NJ 1.01,9.01 09/30/05 INTERNAP NETWORK SERVICES CORP DE 1.01,9.01 09/30/05 INTERNATIONAL SHIPPING ENTERPRISES, I DE 8.01,9.01 08/25/05 AMEND INTERNATIONAL SPEEDWAY CORP FL 2.02,7.01,9.01 08/31/05 INTERPUBLIC GROUP OF COMPANIES, INC. DE 2.02,9.01 09/30/05 Irwin Home Equity Loan Trust 2005-1 DE 8.01,9.01 09/26/05 J JILL GROUP INC DE 2.02,9.01 10/06/05 J.P. Morgan Mortgage Acquisition Corp DE 8.01,9.01 09/26/05 JCM PARTNERS LLC DE 3.02 10/01/05 JDS UNIPHASE CORP /CA/ DE 4.01,9.01 10/03/05 JEFFERIES GROUP INC /DE/ DE 8.01 10/06/05 JOVE CORP MI 4.01 09/30/05 KANA SOFTWARE INC DE 1.01,5.02,9.01 10/03/05 KANSAS CITY SOUTHERN DE 1.01,2.03 09/30/05 KOHLS CORPORATION WI 7.01,9.01 10/06/05 KRISPY KREME DOUGHNUTS INC NC 8.01,9.01 10/04/05 LANGER INC NY 1.02 09/30/05 LENNOX INTERNATIONAL INC DE 8.01 10/06/05 LEXINGTON CORPORATE PROPERTIES TRUST MD 1.01,9.01 09/30/05 LONE STAR STEAKHOUSE & SALOON INC DE 8.01,9.01 10/04/05 LONGPORT INC DE 7.01,9.01 10/03/05 LONGS DRUG STORES CORP MD 7.01,9.01 10/06/05 LUCILLE FARMS INC DE 3.01,9.01 10/06/05 MARINE PRODUCTS CORP DE 8.01,9.01 10/06/05 MARRIOTT INTERNATIONAL INC /MD/ DE 2.02,9.01 10/06/05 MARTEK BIOSCIENCES CORP DE 1.01,1.02,2.03,9.01 09/30/05 MATRIX SERVICE CO DE 2.02,8.01,9.01 10/06/05 MEDCATH CORP DE 1.01 09/30/05 MEDIMMUNE INC /DE DE 1.01 10/06/05 MELLON FINANCIAL CORP PA 8.01 09/30/05 Meritage Homes CORP MD 2.02,9.01 10/06/05 Merrill Auto Trust Securitization 200 DE 8.01,9.01 09/26/05 MERRILL LYNCH & CO INC DE 8.01,9.01 10/06/05 MICROMED CARDIOVASCULAR INC DE 5.02,9.01 09/30/05 MICRUS ENDOVASCULAR CORP 1.01,9.01 09/30/05 MILLENNIUM BANKSHARES CORP VA 8.01,9.01 10/06/05 MOBILE MINI INC DE 8.01,9.01 10/05/05 MOLECULAR IMAGING CORP DE 1.01,8.01 09/30/05 MOMENTA PHARMACEUTICALS INC DE 1.01,9.01 09/30/05 MONONGAHELA POWER CO /OH/ OH 2.01,9.01 09/30/05 Morgan Stanley ABS Capital I Inc. IXI DE 8.01,9.01 09/26/05 MOTIENT CORP DE 7.01,9.01 10/06/05 MPW INDUSTRIAL SERVICES GROUP INC OH 2.02,9.01 10/04/05 MRO SOFTWARE INC MA 1.01,9.01 09/30/05 MSC SOFTWARE CORP DE 7.01,9.01 10/05/05 Mueller Group, Inc. DE 1.01,1.02,2.03,2.04, 5.01,8.01,9.01 10/03/05 MULTIBAND CORP MN 1.01 09/30/05 MULTIMEDIA GAMES INC TX 1.01 09/30/05 MVB FINANCIAL CORP WV 1.01,9.01 10/03/05 National Collegiate Student Loan Trus 8.01,9.01 10/06/05 NATURAL GAS SERVICES GROUP INC 7.01,9.01 10/06/05 NATURAL HEALTH TRENDS CORP FL 3.01,5.02,9.01 09/29/05 Navios Maritime Holdings Inc. 1T 8.01,9.01 08/25/05 AMEND NEIMAN MARCUS GROUP INC DE 2.02,7.01 10/06/05 NEIMAN MARCUS GROUP INC DE 8.01,9.01 10/06/05 NELX INC KS 3.02,9.01 10/05/05 NEOMEDIA TECHNOLOGIES INC DE 1.01 10/04/05 NET2PHONE INC DE 2.02 10/06/05 NETWORK INSTALLATION CORP NV 1.01,2.01,2.03,9.01 09/22/05 NETWORTH TECHNOLOGIES, INC. DE 1.01,9.01 09/30/05 NEUROLOGIX INC/DE DE 5.02 10/02/05 New York & Company, Inc. 7.01,9.01 10/06/05 NEW YORK COMMUNITY BANCORP INC DE 1.01,1.02,5.02,9.01 10/06/05 NICOR INC IL 8.01,9.01 10/05/05 NOBLE CORP 2.02,7.01,8.01,9.01 10/06/05 NORCROSS SAFETY PRODUCTS LLC DE 1.01,8.01,9.01 10/03/05 NORDSTROM INC WA 7.01 10/06/05 NORTHERN ILLINOIS GAS CO /IL/ /NEW/ IL 8.01,9.01 10/05/05 NovaStar Mortgage Funding Trust, Seri DE 8.01,9.01 09/26/05 NovaStar Mortgage Funding Trust, Seri DE 8.01,9.01 09/26/05 NS8 CORP DE 1.01,9.01 08/09/05 NTL INC DE 1.01,9.01 10/02/05 ODYSSEY RE HOLDINGS CORP DE 8.01,9.01 10/06/05 OFFICE DEPOT INC DE 5.05 10/05/05 OFFSHORE LOGISTICS INC DE 8.01,9.01 10/03/05 ONEIDA LTD NY 8.01 09/30/05 Onstream Media CORP FL 1.02 10/03/05 OPTIMAL GROUP INC 7.01 10/06/05 Option One Mortgage Loan Trust 2005-4 DE 9.01 09/12/05 OUTDOOR CHANNEL HOLDINGS INC 1.01 10/04/05 OVATION PRODUCTS CORP 5.03,8.01,9.01 09/30/05 OXFORD INDUSTRIES INC GA 2.02,9.01 10/06/05 PACIFIC CMA INC DE 7.01,9.01 10/05/05 PACIFIC ENERGY PARTNERS LP 1.01,1.02,2.01,2.03, 3.02,7.01,9.01 09/30/05 PACIFIC SUNWEAR OF CALIFORNIA INC CA 5.02,9.01 10/03/05 PACIFICNET INC DE 1.01,9.01 09/28/05 PAINCARE HOLDINGS INC CT 7.01,9.01 10/05/05 PANACOS PHARMACEUTICALS, INC. DE 1.01,9.01 10/05/05 PARTNERRE LTD 1.01,9.01 10/06/05 PAYLESS SHOESOURCE INC /DE/ DE 7.01,9.01 10/06/05 PECO II INC OH 7.01,9.01 10/06/05 PEOPLES FINANCIAL SERVICES CORP/ PA 9.01 09/30/05 PERMA FIX ENVIRONMENTAL SERVICES INC DE 8.01,9.01 09/30/05 PETROL OIL & GAS INC 7.01,8.01,9.01 10/04/05 PHARMA SERVICES INTERMEDIATE HOLDING 2.01,9.01 09/30/05 PINNACLE FOODS GROUP INC DE 5.02 10/05/05 PLANGRAPHICS INC CO 1.01,2.01 09/30/05 PLATINUM UNDERWRITERS HOLDINGS LTD D0 8.01,9.01 10/06/05 PNM RESOURCES INC NM 1.01,2.03 10/06/05 POLYMEDICA CORP MA 1.01,8.01,9.01 09/30/05 POPE & TALBOT INC /DE/ DE 1.01,9.01 09/30/05 PRA International DE 1.01,9.01 09/30/04 PRAXAIR INC DE 8.01 10/05/05 PRIMEDIA INC DE 2.01,9.01 09/30/05 PRO PHARMACEUTICALS INC NV 8.01,9.01 10/06/05 PROASSURANCE CORP DE 7.01,9.01 10/05/05 PROFESSIONAL VETERINARY PRODUCTS LTD NE 1.01 10/01/05 PUBLIC SERVICE CO OF NEW HAMPSHIRE NH 8.01,9.01 10/05/05 PW EAGLE INC MN 1.01,3.02,9.01 09/30/05 QUICKSILVER RESOURCES INC DE 5.02 10/03/05 Quintana Maritime LTD 1T 1.01,2.03,9.01 10/04/05 QUINTILES TRANSNATIONAL CORP NC 2.01,9.01 09/30/05 QUOVADX INC DE 1.01,9.01 09/30/05 R H DONNELLEY CORP DE 1.01,3.03,9.01 10/02/05 RADNOR HOLDINGS CORP DE 4.02,5.02,9.01 09/30/05 REAL ESTATE ASSOCIATES LTD VI CA 8.01 09/27/05 REAL ESTATE ASSOCIATES LTD VI CA 8.01 09/27/05 RECOM MANAGED SYSTEMS, INC. DE 4.01,9.01 09/29/05 REDWOOD TRUST INC MD 7.01,9.01 10/06/05 RELIANT ENERGY INC DE 1.01,9.01 09/30/05 REMEC INC CA 1.01,1.02,5.02,9.01 09/30/05 RENT WAY INC PA 1.01,5.02 09/30/05 RENTECH INC /CO/ CO 1.01,5.02,8.01,9.01 09/30/05 Republic Companies Group, Inc. DE 7.01,8.01,9.01 10/05/05 RIGEL PHARMACEUTICALS INC DE 5.02,9.01 10/04/05 RONSON CORP NJ 1.01,9.01 09/30/05 RONSON CORP NJ 2.01,9.01 09/30/05 ROWAN COMPANIES INC DE 3.01,8.01,9.01 10/06/05 RPM INTERNATIONAL INC/DE/ DE 2.02,9.01 10/06/05 RTW INC /MN/ MN 8.01,9.01 10/06/05 RUBY TUESDAY INC GA 1.01,3.01,9.01 10/04/05 RURAL CELLULAR CORP MN 3.02 09/23/05 SABA SOFTWARE INC DE 1.01,9.01 10/05/05 SABINE ROYALTY TRUST TX 2.02,9.01 10/05/05 SAFE TRANSPORTATION SYSTEMS INC FL 5.02 09/20/05 Safety Products Holdings, Inc. DE 1.01,8.01,9.01 10/03/05 SANMINA-SCI CORP DE 1.01 10/06/05 SAXON CAPITAL INC MD 7.01,9.01 10/06/05 SCHNITZER STEEL INDUSTRIES INC OR 2.02 10/06/05 SCHNITZER STEEL INDUSTRIES INC OR 2.01,9.01 09/30/05 SCOTIA PACIFIC CO LLC DE 8.01 10/05/05 AMEND Sealy Mattress CORP DE 7.01,9.01 10/05/05 SEASONS BANCSHARES INC GA 5.02,9.01 09/30/05 Securac Corp NV 1.01,2.03,3.02,9.01 09/30/05 SECURECARE TECHNOLOGIES INC NV 8.01,9.01 10/06/05 SENTO CORP UT 1.01,2.02,7.01,9.01 09/30/05 SERACARE LIFE SCIENCES INC 1.01,9.01 09/30/05 SHIRE PHARMACEUTICALS GROUP PLC 8.01,9.01 10/06/05 SHOE PAVILION INC DE 2.02,9.01 10/06/05 SIGA TECHNOLOGIES INC DE 8.01,9.01 10/06/05 SIMTEK CORP CO 5.02 09/30/05 SIRNA THERAPEUTICS INC CO 1.01,5.02 09/30/05 SITEWORKS INC /FL FL 8.01 10/05/05 SMART ONLINE INC 8.01,9.01 10/04/05 SMARTSERV ONLINE INC DE 2.03,9.01 09/30/05 SMURFIT STONE CONTAINER CORP DE 1.01,9.01 10/05/05 SOURCECORP INC DE 8.01,9.01 10/05/05 SOUTHWEST GAS CORP CA 1.01,2.03 10/01/05 SPECTRE GAMING INC MN 1.01,2.03,3.02,8.01 09/30/05 SPORT CHALET INC DE 4.01,9.01 09/20/05 AMEND SPRINT NEXTEL CORP KS 8.01,9.01 10/06/05 Stanwich Asset Acceptance CO LLC DE 6.01,9.01 10/05/05 STEAKHOUSE PARTNERS INC DE 3.02,9.01 09/30/05 STONE ENERGY CORP DE 7.01,9.01 10/06/05 STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 09/30/05 STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 10/01/05 STREICHER MOBILE FUELING INC FL 1.01,2.01,2.03,7.01,9.01 10/01/05 SUMTOTAL SYSTEMS INC DE 1.01,2.01,2.03,5.02,9.01 10/03/05 SYMBION INC/TN DE 1.01 09/30/05 TABATHA V INC CO 1.01,2.01,3.02,5.01,5.02,9.01 10/01/05 TARGET CORP MN 8.01,9.01 10/06/05 TechAlt, Inc. NV 5.02,8.01,9.01 09/30/05 TEKELEC CA 2.01,9.01 10/03/05 TELEWEST GLOBAL INC 1.01,9.01 10/06/05 TELEWEST GLOBAL INC 1.01,3.03,9.01 10/02/05 Terwin Mortgage Trust, Series TMTS 20 DE 8.01,9.01 09/26/05 TEXAS NEW MEXICO POWER CO TX 1.01,2.03 10/06/05 TGC INDUSTRIES INC TX 1.01,1.02,2.03,9.01 09/30/05 TGC INDUSTRIES INC TX 7.01,9.01 10/06/05 THERMA WAVE INC DE 1.01,2.03,9.01 09/30/05 TLC VISION CORP A6 8.01,9.01 10/06/05 TOREADOR RESOURCES CORP DE 2.03,3.02 09/30/05 TORRENT ENERGY CORP CO 5.02,9.01 10/03/05 TORVEC INC NY 3.02 10/06/05 TOUCHSTONE RESOURCES USA, INC. 1.01,3.02,9.01 09/30/05 TOYS R US INC DE 7.01 10/06/05 TRANSAX INTERNATIONAL LTD CO 2.02,9.01 10/06/05 TRANSDIGM INC 1.01,9.01 09/30/05 TRI-S SECURITY CORP GA 1.01,3.02,9.01 09/30/05 TRIMERIS INC DE 8.01 10/04/05 TRINITY LEARNING CORP UT 7.01 10/05/05 TUESDAY MORNING CORP/DE DE 2.02,9.01 10/06/05 TURNER VALLEY OIL & GAS INC NV 1.01,2.01 09/23/05 TXU CORP /TX/ TX 8.01 10/04/05 U-Store-It Trust MD 1.01,9.01 10/03/05 UAP HOLDING CORP DE 2.02,8.01,9.01 10/06/05 UNION BANKSHARES CORP VA 8.01,9.01 10/05/05 UNIPRO FINANCIAL SERVICES INC 1.01,3.01,9.01 09/19/05 UNITED AMERICA INDEMNITY, LTD E9 1.02,5.02 10/05/05 UNITED INDUSTRIAL CORP /DE/ DE 1.01 10/06/05 UNIVERSAL TECHNICAL INSTITUTE INC DE 1.01,9.01 09/30/05 US AIRWAYS GROUP INC DE 1.01,9.01 09/30/05 UTSTARCOM INC DE 2.02,9.01 10/06/05 UTSTARCOM INC DE 8.01 10/06/05 VALERO L P DE 1.01,2.01,5.02,9.01 10/06/05 VECTREN CORP IN 8.01 10/06/05 VENDINGDATA CORP NV 1.01,3.02 10/01/05 VERILINK CORP DE 3.02 10/06/05 VERIZON COMMUNICATIONS INC DE 8.01 10/06/05 VIDEO WITHOUT BOUNDARIES INC FL 4.02 05/02/05 VIKING SYSTEMS INC NV 8.01,9.01 10/06/05 VISTEON CORP DE 1.01,1.02,2.01,8.01,9.01 09/30/05 Vivid Learning Systems, Inc. DE 8.01 10/05/05 WAKO LOGISTICS GROUP INC 1.01,9.01 10/01/05 WALT DISNEY CO/ DE 1.01,5.02,9.01 10/06/05 AMEND WASHINGTON REAL ESTATE INVESTMENT TRU MD 2.03,9.01 10/06/05 WASTE MANAGEMENT INC DE 2.06 09/30/05 WCA WASTE CORP 1.01,2.01,2.03,3.02,9.01 09/30/05 WESTERN GOLDFIELDS INC ID 1.01,8.01,9.01 09/30/05 WGL HOLDINGS INC VA 1.01,9.01 09/30/05 WHIRLPOOL CORP /DE/ DE 8.01,9.01 10/06/05 WHITEHALL JEWELLERS INC DE 1.01,2.03,3.02,9.01 10/03/05 WINDROSE MEDICAL PROPERTIES TRUST MD 1.01,2.03,9.01 09/30/05 WINDSWEPT ENVIRONMENTAL GROUP INC DE 1.01,2.03,3.02,9.01 10/06/05 WINNEBAGO INDUSTRIES INC IA 7.01,9.01 10/06/05 WIRELESS AGE COMMUNICATIONS INC NV 1.02,8.01,9.01 09/30/05 WORLD HEALTH ALTERNATIVES INC FL 5.02 10/06/05 WRIGHT MEDICAL GROUP INC DE 1.01,5.02,9.01 10/05/05 WYETH DE 7.01,9.01 10/06/05 X RITE INC MI 1.01,9.01 10/03/05 XECHEM INTERNATIONAL INC DE 1.01,3.02,9.01 08/25/05 AMEND XEROX CORP NY 8.01 10/05/05