SEC NEWS DIGEST Issue 2005-230 December 1, 2005 ENFORCEMENT PROCEEDINGS COMMISSION REMANDS NYSE DISCIPLINARY PROCEEDING AGAINST PAUL GRASSI, JR. The Commission has remanded a disciplinary proceeding instituted by the New York Stock Exchange, Inc. against Paul K. Grassi, Jr., a floor broker and member of the NYSE. The NYSE found that Grassi engaged in acts detrimental to the interest or welfare of the Exchange, in violation of NYSE Rule 476(a)(7), when he obtained a blank prescription form from a medical office that was located on the Exchange's premises and that the Exchange made available to members and others, paid another person to complete the form and forge a doctor's name on the form, and then attempted to fill the prescription at a pharmacy located near the Exchange. The Exchange censured Grassi, and barred him for five years from membership, allied membership, approved person status, and from employment or association in any capacity with any member or member organization. The Commission concluded that Grassi's conduct was detrimental to the interest or welfare of the Exchange in violation of NYSE Rule 476(a)(7). The Commission, however, remanded the proceeding to the NYSE for reconsideration of the sanctions imposed in order for the parties to "more fully develop whether, under the circumstances of this case,” the five-year bar is “consistent with the purposes of the Exchange Act." (Rel. 34-52858; File No. 3-11796) COMMISSION MODIFIES INITIAL DECISIONS IN HUNTER ADAMS PROCEEDING AND DECLARES DECISIONS AS MODIFIED FINAL The Commission has modified the initial decision final as to respondents Hunter Adams, James L. Bila, Christian W. Blake, Jason A. Cohen, Steven M. Cohen, Louis R. Facchini, Jr., Roberto A. Mangiarano, David M. Margules, James J. Pellizzi, David M. Pesso, Michael Pugliese, Howard I. Weinstein, and Robert J. Winston. Respondents participated in the scheme to manipulate the market price of certain micro-cap securities and engaged in other deceptive sales practices. Respondents are also defendants in a related criminal proceeding. In the criminal proceeding, they have been ordered to make restitution in the criminal proceeding. The Commission determined that the disgorgement amounts imposed in this matter could be offset or reduced by any restitution that the respondents paid in the criminal case. The Commission declared final the initial decisions, as modified. The law judge barred respondents from association with a broker or dealer or from participation in a penny stock offering. The law judge further ordered respondents to cease and desist from violations of the antifraud provisions and to disgorge various amounts, together with prejudgment interest. Certain of the respondents were also ordered to pay civil penalties. (Rel. 34-52859; File No. 3-10437) AMERICAN EXPRESS FINANCIAL CORPORATION (NOW KNOWN AS AMERIPRISE FINANCIAL, INC.) TO PAY $15 MILLION TO SETTLE MARKET TIMING CHARGES On December 1, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and- Desist Order against American Express Financial Corporation (AEFC) (now known as Ameriprise Financial, Inc.), an investment adviser headquartered in Minneapolis, Minnesota, alleging that it failed to adequately disclose to shareholders in the American Express Funds (AXP Funds) that it advised, certain market timing activities that were inconsistent with the disclosures in the AXP Funds’ prospectuses. The Commission’s action is being brought contemporaneously with an action by the State of Minnesota which today also initiated a settled disciplinary proceeding against AEFC based on similar allegations. As part of its settlement with the Commission, AEFC will pay $15 million in disgorgement and civil penalties, all of which will be placed in a Fair Fund for distribution to certain investors in the AXP Funds. According to the Commission’s Order, in January 2002 AEFC changed the prospectus disclosures for the AXP Funds to prohibit market timing. Despite this change, AEFC still allowed certain shareholders to market time the AXP Funds for approximately six to eight more months. In addition, after changing the AXP Fund’s prospectus disclosures, AEFC did not put in place or disclose to investors its lack of procedures to monitor its employees’ 401(k) plan accounts for market timing activity until October 2003. As a result 27 past and present employees of AEFC and related companies market timed the AXP Funds in their 401(k) retirement plans. Finally, contrary to the disclosures in its variable annuity product prospectuses, AEFC allowed a known market timer to market time AEFC’s variable annuity products until October 2003. The Commission has accepted an offer of settlement from AEFC in which it consents, without admitting or denying the Commission’s findings, to an Order that it shall cease and desist from committing or causing any violations and any future violations of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 and Section 34(b) of the Investment Company Act of 1940. The Order also censures AEFC and requires AEFC to pay $15 million in disgorgement and civil penalties. The $15 million will be placed in a distribution fund for the benefit of certain customers of the firm. The Order further requires AEFC to comply with certain undertakings, including, making presentations to its Board of Directors and the AXP Funds’ Board of Directors at least once a year relating to, among other things, the adequacy of its policies and procedures to prevent market timing. (Rels. IA- 2451; IC-27170; File No. 3-12114; Press Rel. 2005-169) AMERICAN EXPRESS FINANCIAL ADVISORS (NOW KNOWN AS AMERIPRISE FINANCIAL SERVICES, INC.) TO PAY $30 MILLION TO SETTLE REVENUE SHARING CHARGES On December 1, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease and Desist Order against American Express Financial Advisors Inc. (AEFA) (now known as Ameriprise Financial Services, Inc.), a broker-dealer headquartered in Minneapolis, Minnesota, alleging that it failed to adequately disclose its receipt of millions of dollars in incentives, commonly known as revenue sharing payments, from a select group of mutual fund companies. The Commission’s action is being brought contemporaneously with actions by the NASD and the State of Minnesota which today also initiated settled disciplinary proceedings against AEFA based on similar allegations relating to the firm’s undisclosed receipt of revenue sharing payments. As part of its settlement with the Commission, AEFA will pay $30 million in disgorgement and civil penalties, all of which will be placed in a Fair Fund for distribution to certain of AEFA’s customers. According to the Commission’s Order, starting in 2001, AEFA began receiving revenue sharing payments from affiliates of certain mutual fund families in exchange for, among other things, inclusion on AEFA’s brokerage platform. Since that time, these mutual fund families have paid AEFA tens of millions of dollars each year in cash and non-cash revenue sharing payments in order to participate in AEFA’s Preferred Provider and Select Group programs. Until August 2004, AEFA failed to adequately disclose to investors its conflicts of interest in selling shares of these mutual fund families including the fact that it received tens of millions of dollars from affiliates of these mutual fund families each year, in addition to commissions and other fees, for selling their mutual funds. AEFA provided these mutual fund families with certain benefits not available to mutual fund families that did not pay revenue sharing, including reduced or no transaction charges for revenue sharing mutual fund families and different levels of access to AEFA’s financial advisors depending on the amount of revenue sharing paid. Since December 2003, AEFA also has failed to disclose its conflicts of interest in selling interests in nine 529 college savings plans offered by mutual fund families whose affiliates made revenue sharing payments to AEFA. The Commission has accepted an offer of settlement from AEFA in which it consents, without admitting or denying the Commission’s findings, to an Order that it shall cease and desist from committing or causing any violations and any future violations of Section 17(a)(2) of the Securities Act of 1933, Section 15B(c)(1) and Rule 10b-10 under the Securities Exchange Act of 1934, and Municipal Securities Rulemaking Board Rule G-15. The Order also censures AEFA and requires AEFA to pay $30 million in disgorgement and civil penalties. The $30 million will be placed in a distribution fund for the benefit of certain customers of the firm. The Order further requires AEFA to comply with certain undertakings, including: (1) providing heightened disclosures to customers on its website and in written form; and (2) making presentations to its Board of Directors at least once a year relating to, among other things, the adequacy of the policies and procedures that AEFA is required to devise and implement under the Order. (Rels. 33-8637; 34-52861; File No. 3-12115; Press Rel. 2005- 168) IN THE MATTER OF MILLENNIUM PARTNERS, L.P., MILLENNIUM MANAGEMENT, LLC, MILLENNIUM INTERNATIONAL MANAGEMENT, LLC, ISRAEL ENGLANDER, TERENCE FEENEY, FRED STONE AND KOVAN PILLAI On December 1, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, Section 9(b) of the Investment Company Act of 1940 and Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Millennium Partners, L.P. (Millennium Partners), Millennium Management, L.L.C. (Millennium Management), Millennium International Management, L.L.C. (Millennium International Management) (collectively, Millennium), Israel Englander (Englander), Terence Feeney (Feeney), Fred Stone (Stone), and Kovan Pillai (Pillai) (collectively with Millennium, Respondents). The Order finds that from at least 1999 to 2003, Millennium generated tens of millions of dollars in profits by engaging in a deceptive market timing scheme. Englander, Feeney, Stone and Pillai knew that mutual funds sought to detect market timers and frequently blocked Millennium’s trades and, therefore, they devised and carried out a fraudulent scheme to avoid detection and circumvent restrictions that the mutual funds imposed on market timing. Specifically, Millennium: (1) created approximately 100 legal entities to hide that Millennium was behind the mutual fund trading; (2) used those entities to create in excess of 1,000 accounts; (3) structured its trading to avoid detection by the mutual funds; (4) used omnibus accounts and variable annuities to further hide Millennium’s identity; and (5) entered into certain “sticky” asset arrangements. The Order finds that by engaging in the fraudulent scheme summarized above and described in the Order, the Respondents willfully violated Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. Without admitting or denying the Commission’s findings, the Respondents have consented to an Order that: (1) requires the Respondents to cease and desist from committing or causing any violations and any future violations of Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder; (2) prohibits Englander, Feeney, and Stone from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter for a period of three years; (3) denies Stone the privilege of appearing or practicing before the Commission as an attorney for six months; and (4) suspends Pillai from association with any investment adviser for a period of 12 months. The Order also requires the Respondents to pay disgorgement and civil penalties into a Fair Fund as follows: (1) Millennium Partners: $121.4 million in disgorgement; (2) Millennium Management and Millennium International Management, jointly and severally: $26.6 million in disgorgement; (3) Englander: $1 in disgorgement and a $30 million civil money penalty; (4) Feeney: $1 in disgorgement and a $2 million civil penalty; (5) Stone: $1 in disgorgement and a $25,000 civil money penalty; and (6) Pillai: $1 in disgorgement and a $150,000 civil money penalty. Further, Millennium must comply with certain undertakings, including the retention of an Independent Compliance Consultant to review its compliance program and the establishment of a Compliance, Legal, and Ethics Oversight Committee to ensure that such conduct does not recur. (Rels. 33-8639; 34-52863; IA-2453; IC-27172; File No. 3-12116; Press Rel. 2005-170) COMMISSION SETTLES PROCEEDING AGAINST FORMER CEO AND CFO FOR CAUSING VIOLATIONS OF SARBANES-OXLEY LOAN PROHIBITION On December 1, in the first enforcement action brought pursuant to the ban on public company loans to their executives, the Commission instituted and simultaneously settled cease-and-desist proceedings against Peter Goodfellow and Stamatis Molaris for causing their former employer, Stelmar Shipping Ltd., to violate Section 13(k) of the Securities Exchange Act of 1934. Section 13(k), an important investor protection that was enacted as part of the Sarbanes- Oxley Act of 2002, was designed to prevent executives of public companies from using company funds for personal purposes. In the order, the Commission found that, in the fall of 2003, Goodfellow, who was Stelmar’s CEO, and Molaris, who was Stelmar’s CFO, authorized interest-free loans to themselves from Stelmar. Molaris approved an interest-free loan from Stelmar to Goodfellow in the amount of 100,000 pounds (sterling), equivalent to $169,400 at the time, to be repaid in ninety days. Shortly thereafter, Goodfellow approved an interest-free loan from Stelmar to Molaris in the amount of $125,000, to be repaid in sixty days. Goodfellow’s loan amount equaled fifty-one percent of his 2002 salary, and Molaris’ loan amount equaled seventy-one percent of his 2002 salary. Both Goodfellow and Molaris were aware of the Sarbanes-Oxley prohibition on personal loans to executives at the time they authorized these loans to themselves. On February 9, 2004, while Stelmar’s annual audit was in progress, Molaris repaid his loan, although the terms of his loan required repayment by January 9, 2004. On February 10, 2004, during the course of their audit work, Stelmar’s outside auditors learned about the loans. In response to the auditors’ queries about the loans, Goodfellow repaid his loan on February 10, although the terms of his loan required repayment by January 25, 2004. Upon Stelmar’s board learning of these loans in February 2004, Stelmar took immediate corrective action including disclosing the loans in an SEC filing and imposing a $50,000 fine on Goodfellow and a $30,000 fine on Molaris. In January 2005, Stelmar was acquired by another company and, as a result, its shares are no longer publicly traded. Prior to the acquisition, Stelmar was a foreign private issuer whose securities were listed on the New York Stock Exchange, and were not listed on any foreign exchange. The Commission’s order finds that Goodfellow and Molaris each caused Stelmar to violate Section 13(k) of the Exchange Act, and requires that Goodfellow and Molaris cease and desist from causing any violations and any future violations of Section 13(k) of the Exchange Act. Goodfellow and Molaris each consented to the issuance of a cease-and-desist order, without admitting or denying the findings contained in the order. (Rel. 34-52865; File No. 3-12117) SEC CHARGES VINCENT LENARCIC, JR. AND AN AFFILIATED COMPANY WITH SECURITIES AND INVESTMENT ADVISER FRAUD The Commission filed an enforcement action in the U.S. District Court for the Western District of North Carolina on November 21, 2005, charging Vincent A. Lenarcic, Jr. and New Vision Investment Funds, LLC (New Vision) with securities and investment adviser fraud in connection with the sale of securities held by Fundamental Growth Investors, LP (Fundamental). Fundamental is a hedge fund for which New Vision and Lenarcic served as investment advisers. The complaint alleges that Lenarcic and New Vision funneled proceeds of the securities sales to New Vision and QMA Investment Management, LLC (QMA), an investment adviser registered with the Commission. Lenarcic managed and controlled QMA. The complaint alleges that from June 2000 to December 2003, Lenarcic of Charlotte, NC, and New Vision, a limited liability company located in Charlotte, misappropriated at least $807,000 by selling securities in Fundamental’s account and funneling the proceeds to QMA and New Vision. The complaint further alleges that the funds were misappropriated and spent in a manner contrary to the representations made to Fundamental’s investors in Fundamental’s offering materials. The complaint also alleges that Lenarcic and New Vision, in violation of their fiduciary duties to their advisory clients, misled, and failed to disclose their actions to the Fundamental investors, and that they thereby violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and (2) of the Investment Advisers Act of 1940. The complaint seeks permanent injunctive relief, an accounting, disgorgement plus prejudgment interest and civil penalties from Lenarcic and New Vision and seeks disgorgement of the misappropriated funds plus prejudgment interest from QMA, which is named as a relief defendant. [SEC v. Vincent A. Lenarcic, Jr. and New Vision Investment Funds, LLC, Defendants, and QMA Investment Management, LLC, Relief Defendant, Civil Action File No. 3:05-CV-487-H (W.D.N.C.)] (LR- 19478) INVESTMENT COMPANY ACT RELEASES SPECIAL SITUATIONS FUND III, L.P., ET AL. An order has been issued on an application filed by Special Situations Fund III, L.P, et al., under Section 17(b) of the Investment Company Act for an exemption from Section 17(a) of the Act. The order permits certain purchase and sale transactions in connection with a proposed division of a registered closed-end management investment company into two separate companies. (Rel. IC-27169 - November 29) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change submitted by the New York Stock Exchange (SR-NYSE-2005-65) regarding the Euro Currency Trust. Publication of the proposal is expected in the Federal Register during the week of December 5. (Rel. 34-52843) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-NYSE-2004- 51), and Amendment No. 1 thereto, filed by the New York Stock Exchange regarding a proposed Interpretation of Exchange Rule 342 (Offices – Approval, Supervision, and Control) to permit the waiver of the qualified resident branch office manager requirement for “limited purpose offices” with more than three registered representatives. Publication of the proposal is expected in the Federal Register during the week of December 5. (Rel. 34-52850) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change and Amendment No. 1 thereto (SR-CBOE- 2005-84) filed by the Chicago Board Options Exchange relating to transaction fees for options on the Dow Jones Industrial Average 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 December 5. (Rel. 34-52851) The Depository Trust Company filed a proposed rule change (SR- DTC-2005-18) under Section 19(b)(1) of the Exchange Act, which became effective upon filing, to clarify the scope of risk management controls as they relate to maturity presentment (MP) transactions of pledged Money Market Instruments (MMIs). Publication of the proposal is expected in the Federal Register during the week of December 5. (Rel. 34-52852) PROPOSED RULE CHANGE The International Securities Exchange filed a proposed rule change (SR-ISE-2005-46) relating to the operation of Primary Market Maker memberships. Publication of the proposal is expected in the Federal Register during the week of December 5. (Rel. 34-52856) 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 MRU HOLDINGS INC, 600 LEXINGTON AVENUE, NEW YORK, NY, 10022, 212-754-0774 - 0 ($16,500,000.00) Equity, (File 333-129997 - Nov. 30) (BR. 07A) S-8 MRU HOLDINGS INC, 600 LEXINGTON AVENUE, NEW YORK, NY, 10022, 212-754-0774 - 0 ($4,950,000.00) Equity, (File 333-129998 - Nov. 30) (BR. 07A) S-8 AMERICAN SOFTWARE INC, 470 E PACES FERRY RD NE, ATLANTA, GA, 30305, 4042614381 - 0 ($17,055,503.00) Equity, (File 333-129999 - Nov. 30) (BR. 03A) S-3 COINSTAR INC, 1800 114TH AVENUE S E, BELLEVUE, WA, 98004, 4259438000 - 0 ($47,241,015.00) Equity, (File 333-130000 - Nov. 30) (BR. 11B) S-8 VARIAN MEDICAL SYSTEMS INC, 3100 HANSEN WAY, PALO ALTO, CA, 94304-1000, 6504934000 - 0 ($7,000,000.00) Other, (File 333-130001 - Nov. 30) (BR. 10C) S-8 VITESSE SEMICONDUCTOR CORP, 741 CALLE PLANO, CAMARILLO, CA, 93012, 8053883700 - 8,803,998 ($17,167,796.10) Other, (File 333-130002 - Nov. 30) (BR. 10C) S-3 CELL THERAPEUTICS INC, 501 ELLIOTT AVE W, STE 400, SEATTLE, WA, 98119, 2062707100 - 0 ($22,225,347.00) Equity, (File 333-130004 - Nov. 30) (BR. 01A) S-8 SYNERTECK INC, 11585 SOUTH STATE, SUITE 102, DRAPER, UT, 84065, (801) 816-2511 - 2,900,000 ($681,500.00) Equity, (File 333-130005 - Nov. 30) (BR. 03) S-8 OPTELECOM INC, 9300 GAITHER RD, GAITHERSBURG, MD, 20877, 3018402121 - 0 ($2,514,000.00) Equity, (File 333-130006 - Nov. 30) (BR. 11C) S-8 WET SEAL INC, 26972 BURBANK, FOOTHILL RANCH, CA, 92610, 7145839029 - 0 ($59,375,000.00) Equity, (File 333-130007 - Nov. 30) (BR. 02A) S-3 HEMISPHERX BIOPHARMA INC, 1617 JFK BLVD #660, ONE PENN CENTER, PHILADELPHIA, PA, 19104, 2159880080 - 1,889,887 ($4,356,189.54) Equity, (File 333-130008 - Nov. 30) (BR. 01A) S-3 OXFORD INDUSTRIES INC, 222 PIEDMONT AVE NE, ATLANTA, GA, 30308, 4046592424 - 485,243 ($27,401,672.21) Equity, (File 333-130009 - Nov. 30) (BR. 02C) S-8 OXFORD INDUSTRIES INC, 222 PIEDMONT AVE NE, ATLANTA, GA, 30308, 4046592424 - 10,700,000 ($10,700,000.00) Other, (File 333-130010 - Nov. 30) (BR. 02C) SB-2 Shea Development Corp., 470 GRANVILLE STREET, SUITE 334, VANCOUVER, A1, V6C 1V5, 604-688-2615 - 3,300,000 ($165,000.00) Equity, (File 333-130011 - Nov. 30) (BR. ) S-3 IONATRON, INC., C/O IONATRON, INC., 3590 EAST COLUMBIA STREET, TUCSON, AZ, 85714, 520-628-7415 - 3,071,670 ($42,280,992.75) Equity, (File 333-130012 - Nov. 30) (BR. 05B) S-8 TECHNITROL INC, 1210 NORTHBROOK DR, SUITE 470, TREVOSE, PA, 19053, 2153552900 - 45,000 ($754,650.00) Equity, (File 333-130013 - Nov. 30) (BR. 10C) S-8 GIGABEAM CORP, 470 SPRING PARK PLACE, SUITE 900, HERNDON, VA, 20170, 703-378-0099 - 1,100,000 ($7,139,000.00) Equity, (File 333-130014 - Nov. 30) (BR. 11A) F-10 PETROFUND ENERGY TRUST, SUITE 600, 444 - 7TH AVENUE SW, CALGARY, A0, T2P 0X8, 403-218-8625 - 0 ($215,375,000.00) Other, (File 333-130015 - Nov. 30) (BR. 04C) S-8 ARMOR HOLDINGS INC, 1400 MARSH LANDING PARKWAY, SUITE 112, JACKSONVILLE, FL, 32250, 9047415600 - 0 ($50,000,000.00) Other, (File 333-130016 - Nov. 30) (BR. 10A) S-8 DITTYBASE TECHNOLOGIES INC., SUITE 102, 31 BASTION SQUARE, VICTORIA, A1, V8W 1J1, (250) 381-8780 - 1,895,000 ($397,950.00) Equity, (File 333-130017 - Nov. 30) (BR. 08C) S-8 ADVENT SOFTWARE INC /DE/, 301 BRANNAN ST, SAN FRANCISCO, CA, 94107, 4155437696 - 0 ($123,064,608.00) Equity, (File 333-130018 - Nov. 30) (BR. 03A) S-8 AUTONATION INC /FL, 110 SE 6TH ST, FT LAUDERDALE, FL, 33301, 9547696000 - 0 ($50,000,000.00) Other, (File 333-130019 - Nov. 30) (BR. 02C) S-3 SILVERSTAR HOLDINGS LTD, 6100 GLADES ROAD SUITE 305, BOCA RATON, FL, 33434, 5614790040 - 4,768,412 ($6,389,672.00) Equity, (File 333-130020 - Nov. 30) (BR. 05C) S-8 FAIRCHILD SEMICONDUCTOR INTERNATIONAL INC, 82 RUNNING HILL RD, SOUTH PORTLAND, ME, 04106, 2077758100 - 250,000 ($4,178,000.00) Equity, (File 333-130021 - Nov. 30) (BR. 10B) SB-2 GOLD ENERGY LLC, 1183 6TH ST SOUTH, WAHPETON, ND, 58075, 701-883-5783 - 0 ($75,000,000.00) Other, (File 333-130022 - Nov. 30) (BR. ) S-8 FAIRCHILD SEMICONDUCTOR INTERNATIONAL INC, 82 RUNNING HILL RD, SOUTH PORTLAND, ME, 04106, 2077758100 - 2,300,000 ($38,548,000.00) Equity, (File 333-130023 - Nov. 30) (BR. 10B) S-8 LADENBURG THALMANN FINANCIAL SERVICES INC, 590 MADISON AVENUE 34TH FLOOR, NEW YORK, NY, 10022, 5164701000 - 0 ($10,570,555.32) Equity, (File 333-130024 - Nov. 30) (BR. 07B) S-3 VERILINK CORP, 11551 E ARAPAHOE RD, SUITE 150, CENTENNIAL, CO, 80112-3833, 303.968.3000 - 2,000,000 ($1,760,000.00) Equity, (File 333-130025 - Nov. 30) (BR. 11) S-3 LADENBURG THALMANN FINANCIAL SERVICES INC, 590 MADISON AVENUE 34TH FLOOR, NEW YORK, NY, 10022, 5164701000 - 0 ($4,450,882.23) Equity, (File 333-130026 - Nov. 30) (BR. 07B) S-1 TRANSGENOMIC INC, 12325 EMMET ST, OMAHA, NE, 68164, 4027385480 - 0 ($22,158,913.00) Equity, (File 333-130027 - Nov. 30) (BR. 10C) S-3 LADENBURG THALMANN FINANCIAL SERVICES INC, 590 MADISON AVENUE 34TH FLOOR, NEW YORK, NY, 10022, 5164701000 - 0 ($7,326,895.43) Equity, (File 333-130028 - Nov. 30) (BR. 07B) SB-2 Telzuit Medical Technologies, Inc., 5422 CARRIER DRIVE, SUITE 306, ORLANDO, FL, 32819, 407-354-1222 - 50,758,406 ($166,233,780.00) Equity, (File 333-130029 - Nov. 30) (BR. 08C) S-3 RFS HOLDING LLC, 1600 SUMMER STREET, STAMFORD, CT, 06927, 2035856669 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-130030 - Nov. 30) (BR. 05) 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 NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ------------------------------------------------------------------------------------------------------- ABBOTT LABORATORIES IL 2.03 11/23/05 ACCESS NATIONAL CORP VA 8.01,9.01 11/30/05 ACE LTD D0 1.01 11/29/05 ACTIVCARD CORP DE 1.01 11/23/05 Advance Nanotech, Inc. CO 8.01,9.01 11/23/05 ADVANCED ENERGY INDUSTRIES INC DE 1.01 11/23/05 ADZONE RESEARCH INC DE 4.01,9.01 11/23/05 AEROPOSTALE INC 7.01,9.01 11/30/05 AFFIRMATIVE INSURANCE HOLDINGS INC DE 1.01,9.01 11/23/05 AGL RESOURCES INC GA 5.02,9.01 11/23/05 AIRGAS INC DE 7.01,9.01 11/30/05 AIRTRAN HOLDINGS INC NV 7.01,9.01 11/29/05 ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 7.01,8.01,9.01 11/29/05 ALLEGHENY TECHNOLOGIES INC DE 7.01,9.01 11/30/05 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 11/30/05 ALLIED HEALTHCARE INTERNATIONAL INC NY 8.01,9.01 11/30/05 Alternative Loan Trust 2005-13CB 9.01 11/25/05 Alternative Loan Trust 2005-19CB 9.01 11/25/05 Alternative Loan Trust 2005-21CB 9.01 11/25/05 Alternative Loan Trust 2005-22T1 9.01 11/25/05 ALTERNATIVE LOAN TRUST 2005-23CB 9.01 11/25/05 Alternative Loan Trust 2005-4 9.01 11/25/05 AMERICAN CONSOLIDATED MANAGEMENT GROU UT 1.01,2.03,9.01 11/23/05 AMERICAN PETRO-HUNTER INC NV 3.02,4.01,9.01 11/16/05 AMERICAN TECHNICAL CERAMICS CORP DE 1.01,2.03 11/28/05 AMERICANWEST BANCORPORATION WA 1.01,9.01 11/29/05 AMERISOURCEBERGEN CORP DE 1.01 11/23/05 AMR CORP DE 7.01 11/30/05 ANALOGIC CORP MA 5.02 11/23/05 ANGIODYNAMICS INC DE 1.01,2.03,9.01 11/23/05 ANTARES PHARMA INC MN 1.01 11/23/05 APPLIED INDUSTRIAL TECHNOLOGIES INC OH 1.01,9.01 11/29/05 APPLIED INNOVATION INC DE 1.01,9.01 11/28/05 ARCH CAPITAL GROUP LTD. 1.01,2.03,9.01 11/29/05 ARCH CHEMICALS INC VA 7.01,9.01 11/30/05 ARCH COAL INC DE 7.01,9.01 11/23/05 ARTISTDIRECT INC DE 1.01,9.01 11/25/05 ASYST TECHNOLOGIES INC CA 1.01,2.03 11/23/05 ATA HOLDINGS CORP IN 1.01,9.01 11/29/05 AVID TECHNOLOGY INC DE 8.01 11/30/05 BANCORPSOUTH INC MS 8.01,9.01 11/30/05 BankFinancial CORP 1.01,9.01 11/29/05 BANKUNITED FINANCIAL CORP FL 8.01,9.01 08/29/05 BAUSCH & LOMB INC NY 1.01,2.03,8.01 11/23/05 BEAR STEARNS COMMERCIAL MORTGAGE SECU 8.01,9.01 11/18/05 BELK INC 2.02,9.01 11/25/05 BENCHMARK ELECTRONICS INC TX 1.02 11/30/05 BERKSHIRE HILLS BANCORP INC 7.01,9.01 11/29/05 BIOCRYST PHARMACEUTICALS INC DE 1.01,8.01,9.01 11/30/05 BIRNER DENTAL MANAGEMENT SERVICES INC CO 2.02 11/29/05 BLUE NILE INC DE 8.01 11/23/05 BON TON STORES INC PA 8.01,9.01 11/30/05 BRESLER & REINER INC DE 1.01,2.03,7.01,9.01 11/23/05 BUCKEYE TECHNOLOGIES INC DE 5.02 11/30/05 BUCS FINANCIAL CORP MD 8.01,9.01 11/28/05 BULLDOG TECHNOLOGIES INC NV 7.01,9.01 11/30/05 BUSINESS OBJECTS S.A. 7.01 11/29/05 CADENCE RESOURCES CORP UT 1.01 11/30/05 CANARGO ENERGY CORP DE 7.01,9.01 11/30/05 CAPITAL BANK CORP NC 8.01,9.01 11/30/05 CAPITAL CORP OF THE WEST CA 1.01,9.01 11/29/05 Capital One Auto Receivables LLC DE 8.01,9.01 11/29/05 CAROLINA POWER & LIGHT CO NC 8.01,9.01 11/28/05 Cascade Energy, Inc. NV 5.02,9.01 11/25/05 CATHAY GENERAL BANCORP DE 1.01 11/30/05 CD 2005-CD1 Commercial Mortgage Trust 1.01,9.01 11/15/05 CEDRIC KUSHNER PROMOTIONS INC DE 1.01 11/23/05 Centale, Inc. NY 5.03 11/29/05 CERAGENIX PHARMACEUTICALS, INC. DE 3.02,9.01 11/28/05 CERAGENIX PHARMACEUTICALS, INC. DE 8.01 11/23/05 CF Industries Holdings, Inc. DE 7.01,9.01 11/30/05 Chase Auto Owner Trust 2005-B DE 8.01,9.01 11/15/05 CHEETAH OIL & GAS LTD. NV 4.01,9.01 05/03/05 CHINA EXPERT TECHNOLOGY INC NV 3.02 11/07/05 CHIQUITA BRANDS INTERNATIONAL INC NJ 2.06,9.01 11/27/05 CHL MORTGAGE PASS - THROUGH TRUST 200 DE 9.01 11/25/05 CHL MORTGAGE PASS-THROUGH TRUST 2005- DE 9.01 11/25/05 CHL Mortgage Pass-Through Trust 2005- DE 9.01 11/25/05 CHL Mortgage Pass-Through Trust 2005- DE 9.01 11/25/05 CHL Mortgage Pass-Through Trust 2005- DE 9.01 11/25/05 CHOICEONE FINANCIAL SERVICES INC MI 4.01,9.01 11/23/05 CIGNA CORP DE 7.01 11/30/05 CITIBANK SOUTH DAKOTA N A DE 8.01 09/27/05 CITIGROUP INC DE 9.01 11/29/05 CITIGROUP INC DE 9.01 11/29/05 CITIGROUP MORTGAGE LOAN TRUST INC 9.01 11/30/05 Citigroup Mortgage Loan Trust Inc., S 9.01 10/19/05 COCA COLA CO DE 5.02,9.01 11/30/05 COLLECTORS UNIVERSE INC DE 7.01,9.01 11/30/05 COLOMBIA GOLDFIELDS LTD 5.02 11/29/05 Colonial Bankshares Inc X1 1.01,9.01 11/28/05 COLONIAL PROPERTIES TRUST AL 2.01,9.01 11/23/05 COLONIAL REALTY LIMITED PARTNERSHIP DE 2.01,9.01 11/23/05 COMPUTER HORIZONS CORP NY 1.01,9.01 11/29/05 COMPX INTERNATIONAL INC DE 8.01 11/29/05 CONCENTRA OPERATING CORP NV 1.01,5.02,7.01,9.01 11/28/05 CONNETICS CORP DE 1.01 11/23/05 Consolidated Communications Holdings, DE 7.01,9.01 11/30/05 CONVERA CORP DE 2.02,9.01 11/30/05 CRAFTMADE INTERNATIONAL INC DE 5.02,9.01 11/29/05 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 11/29/05 CSFB HOME EQUITY MORTGAGE TRUST 2005- DE 8.01,9.01 11/25/05 CSFB HOME EQUITY MORTGAGE TRUST 2005- DE 8.01,9.01 11/25/05 CSFB Home Equity Mortgage Trust 2005- DE 8.01,9.01 11/25/05 CSFB Home Equity Mortgage Trust 2005- DE 8.01,9.01 11/25/05 CSFB Home Equity Pass-Through Certifi DE 8.01,9.01 11/25/05 CUBIC CORP /DE/ DE 1.01 11/30/05 CVF TECHNOLOGIES CORP NV 8.01,9.01 11/30/05 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 11/25/05 CWALT INC 8.01,9.01 11/30/05 CWALT INC 9.01 11/30/05 CWALT INC 9.01 11/30/05 CWALT INC 9.01 11/30/05 CWALT, INC. - Alternative Loan Trust 9.01 11/25/05 CWALT, Inc. Alternative Loan Trust 20 9.01 11/25/05 CWMBS INC - CHL MORTGAGE PASS-THROUGH DE 9.01 11/25/05 CWMBS, INC. - CHL Mortgage Pass-Throu DE 9.01 11/25/05 CWMBS, Inc. - CHL Mortgage Pass-Throu DE 9.01 11/25/05 DARWIN RESOURCES CORP. 1.01,2.01,3.02,5.01,5.02, 11/23/05 5.03,5.06,7.01,9.01 DARWIN RESOURCES CORP. 4.01,9.01 11/23/05 DEERE & CO DE 1.01,8.01 11/30/05 DEERE JOHN RECEIVABLES INC DE 8.01,9.01 11/30/05 DELCATH SYSTEMS INC DE 1.01,3.02,3.03,9.01 05/11/05 DELPHI FINANCIAL GROUP INC/DE DE 2.02,9.01 11/30/05 DESIGN WITHIN REACH INC DE 1.01,9.01 10/01/05 DIALYSIS CORP OF AMERICA FL 9.01 09/26/05 AMEND DiamondRock Hospitality Co 1.01,9.01 11/23/05 Digital Realty Trust, Inc. MD 7.01,9.01 11/30/05 DISCOVER CARD MASTER TRUST I DE 8.01,9.01 11/30/05 DOL RESOURCES INC WY 4.01,9.01 11/29/05 DRESS BARN INC CT 2.02,9.01 11/30/05 DynCorp International LLC 2.02,9.01 11/30/05 E CENTIVES INC DE 5.02 11/23/05 EAGLE BROADBAND INC TX 2.02 11/29/05 EARTH BIOFUELS INC DE 9.01 11/29/05 ECOST COM INC DE 1.01,8.01,9.01 11/29/05 EDIETS COM INC DE 5.02 11/29/05 ELECTRIC CITY CORP DE 1.01,2.03,9.01 11/23/05 EMERITUS CORP\WA\ WA 5.02 11/29/05 EMERITUS CORP\WA\ WA 1.01,2.03,3.02 11/23/05 ENDURANCE SPECIALTY HOLDINGS LTD 5.02 11/30/05 EVCI Career Colleges Holding Corp DE 9.01 09/16/05 AMEND EVERLAST WORLDWIDE INC DE 5.02,8.01,9.01 11/29/05 EXPLORATION CO OF DELAWARE INC DE 3.02,9.01 10/04/05 EXPLORATION CO OF DELAWARE INC DE 8.01,9.01 11/29/05 FACTORY CARD OUTLET CORP DE 5.02,9.01 11/29/05 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 7.01 11/30/05 FARO TECHNOLOGIES INC FL 7.01,9.01 11/29/05 FBR Securitization Trust 2005-3 8.01,9.01 11/25/05 FEDERAL NATIONAL MORTGAGE ASSOCIATION 7.01,9.01 11/30/05 FIELDSTONE INVESTMENT CORP 2.03,9.01 11/23/05 FINANCIAL ASSET SECURITIES CORP DE 9.01 10/28/05 FINANCIAL INSTITUTIONS INC NY 8.01 11/29/05 FINDEX COM INC NV 4.02 11/29/05 FIRST ALBANY COMPANIES INC NY 5.04,9.01 11/30/05 FIRST CHESTER COUNTY CORP PA 5.04,9.01 11/30/05 FIRST FEDERAL BANCSHARES OF ARKANSAS TX 8.01,9.01 11/30/05 First Franklin Mortgage Loan Trust 20 8.01,9.01 11/25/05 First Franklin Mortgage Loan Trust 20 DE 8.01,9.01 11/25/05 First Horizon Alternative Mortgage Se DE 9.01 11/25/05 First Horizon Alternative Mortgage Se DE 9.01 11/25/05 First Horizon Alternative Mortgage Se DE 9.01 11/25/05 First Horizon Alternative Mortgage Se DE 9.01 11/25/05 First Horizon Alternative Mortgage Se DE 9.01 11/25/05 First Horizon Asset Sec Mort Pas Thr DE 9.01 11/25/05 First Horizon Asset Sec Mort Pas Thr DE 9.01 11/25/05 First Horizon Asset Sec Mort Pas Thr DE 9.01 11/25/05 First Horizon Asset Sec Mort Pas Thr DE 9.01 11/25/05 First Horizon Asset Sec Mort Pas Thr DE 9.01 11/25/05 First Horizon Asset Sec Mort Pas Thr DE 9.01 11/25/05 First Horizon Asset Sec Mort Pas Thr DE 9.01 11/25/05 First Horizon Asset Sec Mort Pas Thr DE 9.01 11/25/05 First Horizon Asset Sec Mort Pas Thr DE 9.01 11/25/05 First Horizon Asset Sec Mort Pas Thr DE 9.01 11/25/05 First Horizon Asset Sec Mort Pas Thr DE 9.01 11/25/05 First Horizon Asset Sec Mort Pas Thr DE 9.01 11/25/05 First Horizon Asset Sec Mort Pas Thr DE 9.01 11/25/05 First Horizon Asset Sec Mort Pass Thr DE 9.01 11/25/05 First Horizon Asset Sec Mort Pass Thr DE 9.01 11/25/05 First Horizon Asset Sec Mort Pass Thr DE 9.01 11/25/05 First Horizon Asset Sec Mort Pass Thr DE 9.01 11/25/05 First Horizon Asset Sec Mort Pass Thr DE 9.01 11/25/05 First Horizon Asset Sec Mort Pass Thr DE 9.01 11/25/05 First Horizon Asset Sec Mort Pass Thr DE 9.01 11/25/05 FIRST HORIZON ASSET SECURITIES INC DE 8.01,9.01 11/30/05 FIRST HORIZON ASSET SECURITIES INC DE 8.01,9.01 11/30/05 First Horizon Mort Pass Thr Trust 200 DE 9.01 11/25/05 First Horizon Mort Pass Thr Trust 200 DE 9.01 11/25/05 First Horizon Mort Pass Thr Trust 200 DE 9.01 11/25/05 FIRST KEYSTONE FINANCIAL INC 2.02,9.01 11/25/05 FIRST MARINER BANCORP MD 5.02 11/28/05 FIRST NATIONAL FUNDING LLC NE 8.01,9.01 11/15/05 First NLC Trust 2005-1 8.01,9.01 11/25/05 First NLC Trust 2005-2 8.01,9.01 11/25/05 First NLC Trust 2005-3 Mortgate-Backe 8.01,9.01 11/16/05 FIRSTBINGO COM NV 5.02 11/30/05 FLORIDA ROCK INDUSTRIES INC FL 2.02,9.01 11/30/05 FOOTSTAR INC DE 7.01,9.01 11/30/05 FRANKLIN COVEY CO UT 2.02,9.01 11/30/05 FRIEDMANS INC DE 1.03,9.01 11/30/05 FX ENERGY INC NV 8.01,9.01 11/30/05 GE Commercial Mortgage Corp. Series 2 DE 8.01,9.01 11/29/05 GENESIS TECHNOLOGY GROUP INC FL 1.01,2.01,9.01 09/08/04 GEORGIA CAROLINA BANCSHARES INC GA 5.02 11/30/05 GLOBAL PAYMENT TECHNOLOGIES INC DE 3.01,9.01 11/28/05 GMACM Mortgage Loan Trust 2005-AR2 DE 8.01,9.01 11/25/05 GP STRATEGIES CORP DE 1.01,2.03,9.01 11/23/05 GREENE COUNTY BANCORP INC DE 8.01 11/29/05 GREENWICH CAPITAL ACCEPTANCE INC DE 8.01 11/30/05 GROEN BROTHERS AVIATION INC /UT/ UT 3.02 11/25/05 GS MORTGAGE SECURITIES CORP DE 8.01,9.01 11/29/05 GS MORTGAGE SECURITIES CORP DE 8.01,9.01 11/29/05 GSAMP Trust 2005-WMC1 DE 8.01,9.01 09/28/05 AMEND GUIDANT CORP IN 5.02 11/30/05 HALLMARK FINANCIAL SERVICES INC NV 1.01,9.01 11/23/05 HARBORVIEW MORTGAGE LOAN PASS-THROUGH DE 8.01,9.01 11/21/05 HARBORVIEW MORTGAGE LOAN PASS-THROUGH DE 8.01,9.01 08/19/05 AMEND HARBORVIEW MORTGAGE LOAN PASS-THROUGH DE 8.01,9.01 09/19/05 AMEND HARBORVIEW MORTGAGE LOAN PASS-THROUGH DE 8.01,9.01 10/19/05 AMEND HarborView Mortgage Loan Trust 2005-1 DE 8.01,9.01 11/21/05 HARBORVIEW MORTGAGE LOAN TRUST 2005-1 DE 8.01,9.01 11/21/05 HARRIS & HARRIS GROUP INC /NY/ NY 2.01,9.01 11/29/05 HARTE HANKS INC DE 8.01 11/29/05 HCC INSURANCE HOLDINGS INC/DE/ DE 7.01,9.01 11/30/05 HEALTH CARE REIT INC /DE/ DE 5.02 11/24/05 HEALTH CARE REIT INC /DE/ DE 7.01,8.01,9.01 11/29/05 HEALTHCARE ACQUISITION CORP DE 8.01 11/23/05 HERSHA HOSPITALITY TRUST MD 8.01 11/22/05 HIENERGY TECHNOLOGIES INC DE 8.01,9.01 11/30/05 HILLENBRAND INDUSTRIES INC IN 2.02,9.01 11/28/05 HINES REAL ESTATE INVESTMENT TRUST IN 8.01 11/30/05 HMB Acceptance Corp. DE 8.01 11/30/05 Home Equity Asset Trust 2005-5 DE 8.01,9.01 11/25/05 HOMESTORE INC DE 8.01 11/30/05 HONEYWELL INTERNATIONAL INC DE 2.03 11/23/05 HORIZON HEALTH CORP /DE/ DE 8.01 11/30/05 HOUSEHOLD CREDIT CARD MASTER NOTE TRU DE 9.01 11/15/05 HOUSEHOLD PRIVATE LABEL CREDIT CARD M DE 9.01 11/15/05 HUDSON VALLEY HOLDING CORP NY 8.01,9.01 11/29/05 HUSKER AG LLC NE 8.01,9.01 11/23/05 IMH ASSETS CORP DE 2.01,9.01 11/30/05 IMH ASSETS CORP DE 9.01 11/30/05 INDUSTRIAL SERVICES OF AMERICA INC /F FL 2.02,9.01 11/14/05 INDYMAC MBS INC 8.01,9.01 11/29/05 INDYMAC MBS INC 8.01,9.01 11/14/05 INDYMAC MBS INC 9.01 11/30/05 INFRASOURCE SERVICES INC DE 7.01,9.01 11/30/05 INSITE VISION INC DE 8.01,9.01 11/30/05 INTERFACE INC GA 1.01,9.01 11/29/05 INTERLAND INC /MN/ MN 1.01,9.01 11/29/05 INTERMUNE INC DE 1.01,9.01 11/28/05 IPAYMENT INC DE 1.01,3.03,9.01 11/28/05 J.P. Morgan Mortgage Acquisition Corp 8.01,9.01 11/25/05 J.P. Morgan Mortgage Acquisition Corp DE 8.01,9.01 11/25/05 J.P. Morgan Mortgage Acquisition Corp 8.01,9.01 11/25/05 JACK IN THE BOX INC /NEW/ DE 2.02,9.01 11/30/05 JPMorgan Chase Commercial Mortgage Se DE 8.01,9.01 08/24/05 AMEND Jump n Jax, Inc. UT 8.01,9.01 11/28/05 KINDER MORGAN INC KS 1.01,2.01,2.03,3.02,7.01,9.01 11/30/05 KRONOS WORLDWIDE INC 8.01 11/29/05 LADENBURG THALMANN FINANCIAL SERVICES FL 3.02,9.01 11/30/05 LANGER INC NY 1.02 11/23/05 LARGE SCALE BIOLOGY CORP DE 3.01 11/23/05 LAS VEGAS SANDS CORP NV 5.02 08/31/05 LEARNING CARE GROUP, INC MI 2.02,9.01 11/28/05 Lehman XS Trust Series 2005-1 DE 9.01 11/25/05 LEHMAN XS TRUST SERIES 2005-3 DE 9.01 11/25/05 Lehman XS Trust, Series 2005-6 DE 9.01 11/25/05 LIQUIDMETAL TECHNOLOGIES INC 4.01,9.01 11/23/05 LOGICVISION INC DE 1.01,9.01 11/04/05 AMEND LONG BEACH SECURITIES CORP DE 9.01 11/30/05 LONGVIEW FIBRE CO WA 7.01,9.01 11/30/05 LONGVIEW FIBRE CO WA 2.04,5.03,9.01 11/29/05 LOWRANCE ELECTRONICS INC DE 2.02,9.01 11/30/05 MAC-GRAY CORP DE 8.01,9.01 11/28/05 MACK CALI REALTY CORP MD 1.01,9.01 11/30/05 MAGELLAN PETROLEUM CORP /DE/ DE 1.01,9.01 11/28/05 MAI SYSTEMS CORP DE 8.01,9.01 11/29/05 MAINE & MARITIMES CORP 7.01,9.01 11/30/05 MASSEY ENERGY CO DE 8.01,9.01 11/30/05 MASSEY ENERGY CO DE 1.01 11/13/05 AMEND MASTR ASSET BACKED SECURITIES TRUST 2 DE 8.01,9.01 11/25/05 MASTR SEASONED SECURITIZATION TRUST 2 DE 8.01,9.01 11/25/05 MAVERICK TUBE CORPORATION DE 1.01 11/23/05 MAXYGEN INC DE 1.01 11/29/05 McCormick & Schmicks Seafood Restaura 1.01,9.01 11/23/05 MDU RESOURCES GROUP INC DE 8.01,9.01 11/30/05 MEADOWBROOK INSURANCE GROUP INC MI 7.01,9.01 11/30/05 MERCK & CO INC NJ 2.05 11/28/05 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 11/30/05 MERRILL LYNCH MORTGAGE INVESTORS TRUS DE 2.01,9.01 11/15/05 MESA OFFSHORE TRUST TX 5.02,9.01 11/30/05 METASOLV INC DE 1.01,9.01 11/28/05 METRIS COMPANIES INC DE 8.01,9.01 11/30/05 MIDWEST BANC HOLDINGS INC DE 7.01,9.01 11/30/05 MILLENNIUM BANKSHARES CORP VA 1.02,9.01 11/28/05 MILLENNIUM CAPITAL VENTURE HOLDINGS I DE 5.02,5.03,9.01 11/30/05 MOLDFLOW CORP 8.01 11/30/05 MORGAN STANLEY DEAN WITTER CAPITAL I DE 8.01 11/30/05 Morningstar, Inc. IL 4.01,9.01 11/23/05 MORTGAGE ASSET SEC TRANSACTION INC MA DE 8.01,9.01 11/01/05 MORTGAGE ASSET SECURITIZATION TRANSAC DE 9.01 11/28/05 MORTGAGE LOAN PASS-THROUGH CERTIFICAT DE 8.01,9.01 11/21/05 MORTGAGE LOAN PASS-THROUGH CERTIFICAT DE 8.01,9.01 10/19/05 AMEND MOSSIMO INC DE 5.02 11/25/05 Myriad Entertainment & Resorts, Inc. 1.01,3.02,9.01 11/10/05 NASDAQ STOCK MARKET INC DE 5.02,9.01 11/28/05 NATIONAL PATENT DEVELOPMENT CORP DE 8.01,9.01 11/29/05 NATIONAL SCIENTIFIC CORP/AZ 4.01 11/23/05 NEENAH FOUNDRY CO WI 2.02,8.01,9.01 11/29/05 NELNET STUDENT LOAN FUNDING LLC 8.01,9.01 11/25/05 NETWORTH TECHNOLOGIES, INC. DE 8.01,9.01 11/04/05 NETWORTH TECHNOLOGIES, INC. DE 8.01,9.01 11/04/05 AMEND NEVADA GOLD & CASINOS INC NV 5.02 11/28/05 NEVADA GOLD & CASINOS INC NV 5.02,9.01 11/28/05 NEWAVE INC UT 1.02 11/23/05 NEWS CORP 8.01,9.01 11/30/05 NGP Capital Resources CO MD 7.01,9.01 11/30/05 Nissan Auto Lease Trust 2005-A 8.01,9.01 11/15/05 NISSAN AUTO RECEIVABLES 2005-C OWNER DE 8.01,9.01 11/15/05 NL INDUSTRIES INC NJ 8.01 11/29/05 Nomura Home Equity Loan, Inc., Home E DE 8.01,9.01 11/25/05 NORWOOD FINANCIAL CORP PA 5.02,9.01 11/30/05 NOVOSTE CORP /FL/ FL 3.01 11/23/05 NS GROUP INC KY 7.01,9.01 11/30/05 NU SKIN ENTERPRISES INC DE 7.01,9.01 11/30/05 OLIN CORP VA 7.01,9.01 11/30/05 ONSCREEN TECHNOLOGIES INC CO 5.02,7.01 11/30/05 ONSCREEN TECHNOLOGIES INC CO 7.01,9.01 11/30/05 Opteum Mortgage Acceptance CORP DE 2.01,9.01 11/29/05 ORLEANS HOMEBUILDERS INC DE 1.01,2.03,9.01 11/23/05 OSPREY GOLD CORP NV 4.01 11/30/05 PAB BANKSHARES INC GA 8.01,9.01 11/29/05 PACIFIC GOLD CORP NV 7.01,9.01 11/30/05 PACIFIC PREMIER BANCORP INC DE 7.01,9.01 11/30/05 PACTIV CORP DE 1.01 11/29/05 PARTNERRE LTD 8.01,9.01 11/30/05 PEETS COFFEE & TEA INC WA 1.01,9.01 11/29/05 PEOPLES BANCORP INC/MD MD 5.02 11/23/05 PERICOM SEMICONDUCTOR CORP CA 1.01,5.02,9.01 11/30/05 PERINI CORP MA 8.01 11/29/05 PETROSEARCH ENERGY CORP 7.01,9.01 11/30/05 PETROSEARCH ENERGY CORP 8.01,9.01 11/30/05 PFSWEB INC DE 1.01,9.01 11/29/05 PHARMACYCLICS INC DE 8.01 11/30/05 PHEAA STUDENT LOAN TRUST I DE 8.01,9.01 11/15/05 PIZZA INN INC /MO/ MO 2.04,9.01 11/29/05 PLIANT CORP UT 8.01,9.01 11/23/05 PNM RESOURCES INC NM 8.01 11/29/05 Popular ABS Mortgage Pass-Through Tru DE 9.01 11/30/05 Popular ABS Mortgage Pass-Through Tru DE 8.01,9.01 11/30/05 POPULAR INC PR 8.01,9.01 11/23/05 POSSIS MEDICAL INC MN 8.01,9.01 11/30/05 PREMIER FINANCIAL BANCORP INC KY 8.01,9.01 11/30/05 Prestige Brands Holdings, Inc. 4.02 11/29/05 AMEND PRG SCHULTZ INTERNATIONAL INC GA 1.01,3.03,9.01 11/23/05 PRICESMART INC DE 2.02,8.01,9.01 11/18/05 PRINCETON NATIONAL BANCORP INC DE 7.01,9.01 11/25/05 PROCENTURY CORP 7.01,9.01 11/28/05 Propex Fabrics Inc. DE 2.05 11/28/05 PROSPECT ENERGY CORP MD 8.01,9.01 11/30/05 PROTECTIVE LIFE INSURANCE CO TN 9.01 11/25/05 PROTECTIVE LIFE SECURED TRUST 2003-1 DE 1.03,2.01,8.01,9.01 11/25/05 PROVIDENCE & WORCESTER RAILROAD CO/RI RI 8.01,9.01 11/30/05 PXRE GROUP LTD 1.01,9.01 11/29/05 RAINING DATA CORP DE 1.01,5.03,9.01 11/28/05 RECYCLENET CORP UT 8.01 11/29/05 REGAL BELOIT CORP WI 5.02 11/30/05 RELIANT ENERGY INC DE 1.01 11/23/05 REX STORES CORP DE 1.01,8.01,9.01 11/28/05 REX STORES CORP DE 2.02,9.01 11/30/05 RTI INTERNATIONAL METALS INC OH 1.01 11/29/05 SAKS CREDIT CARD MASTER TRUST NV 9.01 11/15/05 SALISBURY BANCORP INC CT 8.01,9.01 11/30/05 Samurai Energy Corp. DE 9.01 11/30/05 AMEND SIERRA PACIFIC RESOURCES /NV/ NV 5.02,8.01,9.01 11/28/05 Smart-tek Solutions Inc NV 8.01,9.01 11/30/05 SMITHFIELD FOODS INC VA 2.02,9.01 11/30/05 SMITHTOWN BANCORP INC NY 8.01 11/29/05 SOLUTIA INC DE 7.01,9.01 11/30/05 SONICBLUE INC DE 8.01,9.01 10/31/05 Soundview Home Loan Trust 2005-OPT4 DE 9.01 10/24/05 SPARTAN MOTORS INC MI 7.01,9.01 11/29/05 SPHERIX INC DE 3.02 07/22/05 AMEND SPORTS CLUB CO INC DE 1.01,9.01 11/30/05 STAR SCIENTIFIC INC DE 8.01,9.01 11/30/05 STEN CORP MN 3.02 11/25/05 STEWART & STEVENSON SERVICES INC TX 2.02,9.01 11/30/05 STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 11/21/05 STRATUS PROPERTIES INC DE 1.01 11/23/05 STRATUS SERVICES GROUP INC DE 1.01 11/23/05 Structured Adjustable Rate Mortgage L DE 9.01 11/25/05 Structured Asset Investment Loan Trus DE 8.01,9.01 11/25/05 Structured Asset Investment Loan Trus DE 8.01,9.01 11/25/05 Structured Asset Investment Loan Trus DE 8.01,9.01 11/25/05 Structured Asset Investment Loan Trus DE 8.01,9.01 11/25/05 STRUCTURED ASSET SECURITIES CORP DE 8.01 11/30/05 STRUCTURED ASSET SECURITIES CORP DE 8.01 11/30/05 STRUCTURED ASSET SECURITIES CORP DE 8.01 11/30/05 STRUCTURED ASSET SECURITIES CORP DE 8.01 11/30/05 STRUCTURED ASSET SECURITIES CORP DE 8.01,9.01 11/30/05 STRUCTURED ASSET SECURITIES CORP DE 8.01,9.01 11/30/05 STRUCTURED ASSET SECURITIES CORP DE 8.01,9.01 11/30/05 STRUCTURED ASSET SECURITIES CORP DE 8.01,9.01 11/30/05 Structured Asset Securities Corp Mort DE 9.01 11/25/05 Structured Asset Securities Corp Mort DE 9.01 11/25/05 Structured Asset Securities Corp Mort DE 9.01 11/25/05 Structured Asset Securities Corp Mort DE 9.01 11/25/05 Structured Asset Securities Corp Mort DE 8.01,9.01 11/25/05 Structured Asset Securities Corp. 200 DE 9.01 11/25/05 Structured Asset Securities Corp. 200 DE 9.01 11/25/05 Structured Asset Securities Corp. 200 DE 9.01 11/25/05 Structured Asset Securities Corp. Tru DE 9.01 11/25/05 STRUCTURED PROD CORP STEP UP TR CREDI DE 8.01,9.01 11/15/05 STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 11/15/05 SUMTOTAL SYSTEMS INC DE 1.01,5.02,9.01 11/29/05 SUN HEALTHCARE GROUP INC DE 1.01,9.01 11/28/05 SUNAIR ELECTRONICS INC FL 8.01,9.01 11/30/05 SUNTRUST BANKS INC GA 1.01,9.01 11/29/05 SYNOPSYS INC DE 2.02,9.01 11/30/05 TARGETED GENETICS CORP /WA/ WA 8.01,9.01 11/28/05 TECHNE CORP /MN/ MN 5.02,9.01 11/29/05 TECHNOCONCEPTS, INC. CO 8.01 11/30/05 TEMPLE INLAND INC DE 7.01,9.01 11/29/05 TERRA INDUSTRIES INC MD 8.01,9.01 11/29/05 THAXTON GROUP INC SC 8.01,9.01 11/22/05 THEATER XTREME ENTERTAINMENT GROUP, I FL 1.01,9.01 11/29/05 TIDEL TECHNOLOGIES INC DE 1.01 11/25/05 TIFFANY & CO DE 2.02,9.01 11/30/05 TIFFANY & CO DE 2.02,9.01 10/31/05 AMEND TRANSOCEAN INC E9 7.01,9.01 11/30/05 TRI VALLEY CORP DE 5.02 11/18/05 TRIDENT MICROSYSTEMS INC DE 5.02,9.01 11/29/05 TRIO TECH INTERNATIONAL CA 2.02,9.01 11/22/05 TRIUMPH GROUP INC / DE 8.01 11/28/05 TRONOX INC DE 1.01,9.01 11/28/05 Trycera Financial, Inc. NV 9.01 11/02/04 AMEND UNIT CORP DE 5.04,9.01 11/28/05 UNITED CAPITAL CORP /DE/ DE 8.01,9.01 11/28/05 UNITED DOMINION REALTY TRUST INC MD 7.01,9.01 11/30/05 UNITED RETAIL GROUP INC/DE DE 1.01,9.01 11/30/05 USA VIDEO INTERACTIVE CORP WY 8.01,9.01 11/29/05 VALEANT PHARMACEUTICALS INTERNATIONAL DE 7.01,9.01 11/30/05 VALHI INC /DE/ DE 8.01 11/29/05 VERTICALNET INC PA 3.02 11/28/05 VERTIS INC DE 1.01,2.03,9.01 11/25/05 VirtualScopics, Inc. DE 3.02,9.01 11/23/05 Vivid Learning Systems, Inc. DE 1.02 11/30/05 VOLT INFORMATION SCIENCES, INC. NY 1.01 11/15/05 Wachovia Bank Commercial Mortgage Tru NC 1.01,8.01,9.01 11/30/05 AMEND WATERS CORP /DE/ DE 1.01,2.03 11/28/05 WESTWOOD ONE INC /DE/ DE 1.01,9.01 11/28/05 WEYERHAEUSER CO WA 7.01 11/29/05 WGNB CORP GA 1.01,5.02,9.01 11/28/05 WILLBROS GROUP INC R1 1.01 11/23/05 WILLIAMS COMPANIES INC DE 7.01,9.01 11/30/05 WILSON BROTHERS USA INC IL 1.01,1.02,2.03 11/23/05 WILSON HOLDINGS, INC. NV 7.01,9.01 11/30/05 WORLD FINANCIAL NETWORK CREDIT CARD M DE 8.01,9.01 11/15/05 World Omni Auto Receivables Trust 200 DE 9.01 10/01/05 WORTHINGTON INDUSTRIES INC OH 7.01,9.01 11/30/05 Y-TEL INTERNATIONAL INC DE 5.02 11/18/05 AMEND ZORAN CORP \DE\ DE 1.01,9.01 11/23/05 Zumiez Inc 7.01,9.01 11/30/05