SEC NEWS DIGEST Issue 2006-169 August 31, 2006 COMMISSION ANNOUNCEMENTS SEC SMALL BUSINESS FORUM TO FOCUS ON INTERACTIVE DATA AND CAPITAL FORMATION The Securities and Exchange Commission's annual Forum on Small Business Capital Formation at 9:00 a.m. on Friday, Sept. 29, 2006, at its Washington, D.C., headquarters, will focus on the advantages filing interactive data with the SEC can give smaller public companies and on capital formation challenges facing small business. The SEC's annual forum was authorized by Congress in 1980 and offers representatives of smaller companies an opportunity to meet and communicate with senior government officials. The two roundtable discussions on interactive data and capital formation are scheduled for the morning and will be open to the public and Webcast at www.sec.gov. The afternoon schedule will include breakout group sessions. Participants in the breakout groups will help formulate specific recommendations to improve small business capital formation through legislation, regulation and private action. Registration instructions and other information for this year's forum are available by visiting the SEC forum's Web page at http://www.sec.gov/info/smallbus/sbforum.shtml. Inquirers can also call the SEC's Office of Small Business Policy at (202) 551-3460. The SEC will post further information about the forum, including the agenda and list of participants, as arrangements are finalized. Members of the public who wish to suggest topics for discussion at the roundtable sessions or recommendations to be considered in the breakout groups should e-mail them to the SEC's Office of Small Business Policy at SmallBusiness@SEC.gov or mail them to the office at 100 F Street, N.E., Washington, D.C. 20549-3628. (Press Rel. 2006-146) COMMISSION MEETINGS CLOSED MEETING - THURSDAY, SEPTEMBER 7, 2006 - 2:00 P.M. The subject matter of the closed meeting scheduled for Thursday, September 7, will be: Formal orders of investigation; Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings of an enforcement nature; Litigation matters; and Consideration of amicus participation. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGS IN THE MATTER OF AXUM, INCORPORATED The Commission announced that on Aug. 30, 2006, it issued an order permanently suspending the Regulation A exemption of Axum, Incorporated (Axum). The Commission temporarily suspended Axum's Regulation A exemption on Jan. 24, 2006, and provided at that time that any person having an interest in the matter could file a written request for a hearing for the purpose of determining whether the temporary suspension should be vacated or made permanent. Axum requested a hearing, but subsequently submitted an offer of settlement which the Commission accepted. On April 28, 2006, the Commission issued an Order Making Findings, Staying Proceedings, Specifying Procedures and Delegating Authority in connection with the settlement. The April 28, 2006, order provided specific time frames under which Axum was required to file amendments to its offering statement, and further provided that if Axum failed to comply with the time frames the company's Regulation A exemption would be permanently suspended. In an Order Making Findings and Permanently Suspending Regulation A Exemption dated Aug. 30, 2006, the Commission found that Axum had failed to comply with the relevant time frames, and permanently suspended Axum's exemption under Regulation A. (Rel. 33-8736; File No. 3-12158) COMMISSION DISMISSES ARTHUR JAMES NIEBAUER'S APPLICATION FOR REVIEW OF EXCHANGE DISCIPLINARY ACTION AGAINST HIM The Commission has dismissed the application for review of disciplinary action taken by the New York Stock Exchange, Inc. against Arthur James Niebauer, a former principal of Westminster Securities Corporation, an Exchange member organization. The Exchange found that Niebauer violated Exchange rules (1) by breaking up customer round-lot orders into odd-lot orders and effecting their execution through the Exchange's odd-lot order system, and (2) by engaging in odd-lot trading on the Exchange which circumvented the Exchange's round lot auction market. For these violations, the Exchange censured Niebauer, suspended him for two months, and fined him $25,000. The Commission found that Niebauer violated Exchange rules as charged, and concluded that the sanctions imposed against him were appropriate to protect the public from harm. The Commission determined that Niebauer's trading practices at issue were inconsistent with traditional odd-lot trading practices and the integrity of the round lot auction market. The Commission concluded that, by circumventing the round lot auction market, Niebauer threatened the integrity of the pricing mechanism required for the maintenance of a fair and orderly market. Accordingly, the Commission saw no basis for reducing the Exchange's sanctions against Niebauer. (Rel. 34-54384; File No. 3- 12165) IN THE MATTER OF DELAWARE SERVICE COMPANY, INC. On August 31, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 9(b) and 9(f) of the Investment Company Act of 1940 (Investment Company Act) Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Delaware Service Company, Inc. (DSC). The Order finds that DSC caused and aided and abetted three closed-end funds' violations of Section 19(a) of the Investment Company Act and Rule 19a-1. Section 19(a) and Rule 19a-1 prohibit investment companies from making any distribution to shareholders from any source other than net income unless the distribution is accompanied by a written statement which adequately discloses its source. From January 2000 through March 2004, the Delaware Investments Dividend and Income Fund, Inc., Delaware Investments Global Dividend and Income Fund, Inc., and the Lincoln National Convertible Securities Fund, Inc. paid a total of 98 distributions without providing shareholders contemporaneous notice that the distributions were substantially derived from a return of shareholders' capital. DSC was contractually obligated as the fund administrator to send notices in compliance with Section 19(a), but failed to do so. The Order also finds that DSC violated Section 34(b) of the Investment Company Act by making a material misrepresentation to the Commission in an exemption application that such notices were sent when, in fact, they were not. Based on the above, the Order requires DSC to cease and desist from committing or causing any violations and any future violations of Section 34(b) of the Investment Company Act and causing any violations and any future violations of Section 19(a) of the Investment Company Act and Rule 19a-1 thereunder, and pay a civil penalty of $425,000. DSC consented to the issuance of the Order without admitting or denying any of the findings. (Rel. IC-27473; File No. 3-12403) SEC OBTAINS FINAL JUDGMENT AGAINST FORMER PRESIDENT OF OREX GOLD MINES CORPORATION AND TWO FORMER BOILER ROOM OPERATORS COURT ALSO GRANTS COMMISSION'S MOTION FOR SUMMARY JUDGMENT AGAINST PRIMARY ARCHITECT OF THE OREX MANIPULATION SCHEME, FINDS HIM LIABLE FOR SECURITIES FRAUD The Commission announced today that on Aug. 15, 2006, the Honorable James I. Cohn, U.S. District Judge for the Southern District of Florida, entered a final judgment by consent against the former president of Orex Gold Mines Corporation, Warren Heminger (formerly known as Warren Hemedinger), and two former boiler-room operators, Robert Vitale and Sal Puccio, in SEC v. John Surgent, et al., Civil Action No. 04-60493-CIV (S.D. Fla.) (JIC). All three defendants settled the charges without admitting or denying the allegations in the Commission's complaint. The Commission also announced today that on July 24, 2006, the Commission prevailed in its motion for summary judgment against John Surgent, the primary architect of the Orex manipulation scheme. The Court found Surgent liable for securities fraud and violations of the registration provisions of the Securities Act of 1933. The Court enjoined him from future violations of the antifraud and registration provisions of the federal securities laws, permanently barred him from participating in the offering of any penny stock and permanently barred him from acting as an officer or director of any public company. The Court reserved for a later hearing a determination of the monetary sanctions to be imposed against Surgent. Previously, Surgent was convicted in a related criminal proceeding (U.S. v. Surgent, # 04- cr-0364 (JG) (EDNY)) for securities fraud and money laundering, sentenced to a term of fourteen years incarceration, and ordered to pay $1.7 million in victim restitution. The Commission's complaint in this matter, filed on April 16, 2004, alleged that from March through July 1999, the defendants used false promotional materials and classic "boiler-room" tactics to sell approximately $6 million of Surgent's unregistered securities. The complaint alleged that Surgent, a recidivist securities law violator and disbarred attorney, controlled the majority of Orex stock and - together with Heminger, the company's nominal president - created and distributed promotional materials that falsely portrayed Orex as an active, established mining company with mines and a revolutionary gold extraction process. In truth, the complaint alleged, Orex neither owned any mines nor possessed any mining equipment. The complaint also alleged that the gold extraction process that formed the cornerstone of the Orex promotional campaign had never been tested or implemented on a commercial basis. The complaint further alleged that Vitale and Puccio - working as brokers at a "boiler room" operating out of the Pompano Beach, Florida office of Preferred Securities Group, Inc. - engaged in various sales practice abuses while selling Orex stock, made false and misleading statements about Orex, failed to make the required penny stock disclosures to customers concerning Orex, and otherwise engaged in a variety of fraudulent and deceptive conduct. The final judgment against Heminger permanently enjoins him from future violations of the antifraud and registration provisions of the federal securities laws, permanently bars him from participating in any penny stock offering, and bars him, for a period of ten years, from acting as an officer or director of any public company. The judgment further orders Heminger to disgorge $18,000, an amount representing his ill-gotten gains and pre-judgment interest thereon, as well as $7,000 in civil penalties. The judgment did not impose a penalty in excess of $7,000 based on Heminger's sworn financial statement and other information submitted to the Commission. The final judgments against Vitale and Puccio permanently enjoin each of them from future violations of the antifraud, registration, and penny stock disclosure provisions of the federal securities laws, permanently bar each of them from participating in any penny stock offerings, and order each of them to pay $40,025 in disgorgement plus pre-judgment interest and $60,000 in civil penalties. In addition, without admitting or denying the Commission's findings, Vitale and Puccio have agreed to Commission administrative orders, instituted today, that permanently bar each of them from association with any registered broker or dealer, based on the federal District Court's entry of injunctions against them. For further information see Litigation Release No. 18669 (April 19, 2004), Litigation Release No. 19006 (Dec. 20, 2004), and Litigation Release No. 19390 (Sept. 23, 2005). [SEC v. John W. Surgent, et al., Civil Action No. 04-60493-CIV (S.D. Fla.) (JIC)] (LR-19817); Administrative Proceeding (Puccio -Rel. 54392; File No. 3-12405; Vitale - Rel. 34-54393; File No. 3-12406) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-Phlx-2006-50) and Amendment No. 1 thereto filed by the Philadelphia Stock Exchange relating to extending its pilot programs for dividend, merger, and short stock interest strategies has become effective immediately under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of September 4. (Rel. 34-54381) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . SB-2 Revo Ventures Inc., POST OFFICE 020, LU YUAN DISTRICT, CHANG CHUN, JI LIN, CHANG CHUN, F4, 130062, 139-4303-4459 - 5,000,000 ($50,000.00) Equity, (File 333-136981 - Aug. 30) (BR. ) S-1 CEL SCI CORP, 8229 BOONE BLVD ., SUITE 802, VIENNA, VA, 22182, 7035069460 - 0 ($15,990,510.00) Equity, (File 333-136982 - Aug. 30) (BR. 01A) S-8 UNIVERSAL STAINLESS & ALLOY PRODUCTS INC, 600 MAYER ST, BRIDGEVILLE, PA, 15017, 4122577600 - 60,000 ($1,409,400.00) Equity, (File 333-136984 - Aug. 30) (BR. 06A) S-8 FBL FINANCIAL GROUP INC, 5400 UNIVERSITY AVE, WEST DES MOINES, IA, 50266, 5152255400 - 0 ($161,300,000.00) Equity, (File 333-136985 - Aug. 30) (BR. 01A) S-8 INTER PARFUMS INC, 551 FIFTH AVE, STE 1500, NEW YORK, NY, 10176, 2129832640 - 46,100 ($700,720.00) Equity, (File 333-136986 - Aug. 30) (BR. 06C) SB-2 OPEN ENERGY CORP, 674 GRANVILLE STREET, PO BOX 54037, VANCOUVER, A1, V6C 3P4, 604.657.2246 - 80,000,891 ($69,600,775.00) Equity, (File 333-136987 - Aug. 30) (BR. 04C) S-8 INTER PARFUMS INC, 551 FIFTH AVE, STE 1500, NEW YORK, NY, 10176, 2129832640 - 811,100 ($13,249,318.00) Equity, (File 333-136988 - Aug. 30) (BR. 06C) SB-2 China Unitech Group, Inc., SUITE 12B2, HANWEI PLAZA, 7 GUANGHUA ROAD, CHAOYANG DISTRICT, BEIJING, F4, 100004, (86-10) 6530-6109 - 2,000,000 ($200,000.00) Equity, (File 333-136989 - Aug. 30) (BR. ) S-8 AVID TECHNOLOGY INC, METROPOLITAN TECHNOLOGY PARK, ONE PARK WEST, TEWKSBURY, MA, 01876, 9786406789 - 34,581 ($292,210.00) Equity, (File 333-136991 - Aug. 30) (BR. 10A) S-1 ELECTRIC CITY CORP, 1280 LANDMEIER ROAD, ELK GROVE, IL, 60007, 8474371666 - 0 ($40,003,829.00) Equity, (File 333-136992 - Aug. 30) (BR. 10B) SB-2 PIPELINE DATA INC, 1599 WASHINGTON STREET, SUITE 1D, BRAINTREE, MA, 02184, 781 843 3812 - 35,543,134 ($44,428,918.00) Debt Convertible into Equity, 13,875,000 ($17,343,750.00) Equity, (File 333-136994 - Aug. 30) (BR. 08C) SB-2 RAPTOR NETWORKS TECHNOLOGY INC, 1241 E. DYER ROAD, SUITE 150, SANTA ANA, CA, 92705, (949) 623-9300 - 34,533,638 ($12,777,446.06) Equity, (File 333-136995 - Aug. 30) (BR. 03B) S-3 AMERICAN SKANDIA LIFE ASSURANCE CORP/CT, ONE CORPORATE DRIVE, SHELTON, CT, 06484, 2039261888 - 0 ($2,000,000,000.00) Other, (File 333-136996 - Aug. 30) (BR. 20) S-8 MB FINANCIAL INC /MD, 801 WEST MADISON STREET, CHICAGO, IL, 60607, 3124217600 - 332,760 ($8,790,040.00) Equity, (File 333-136997 - Aug. 30) (BR. 07A) S-3 ACCESS INTEGRATED TECHNOLOGIES INC, 55 MADISON AVENUE, SUITE 300, MORRISTOWN, NJ, 07960, 973-290-0080 - 974,184 ($7,910,374.00) Equity, (File 333-136998 - Aug. 30) (BR. 08A) S-3 American Home Mortgage Assets LLC, 538 BROADHOLLOW ROAD, MELVILLE, NY, 11747, (516) 622-8960 - 0 ($5,000,000,000.00) Mortgage Backed Securities, (File 333-136999 - Aug. 30) (BR. 05D) S-8 MORGAN BEAUMONT, INC., 6015 31ST STREET EAST, BRADENTON, FL, 34203, 941-753-2875 - 14,074,284 ($5,629,713.60) Equity, 10,925,716 ($2,075,886.04) Unallocated (Universal) Shelf, (File 333-137000 - Aug. 30) (BR. 07A) S-3 Eagle Bulk Shipping Inc., 477 MADISON AVENUE, SUITE 1405, NEW YORK, NY, 10022, 212-785-2500 - 0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-137003 - Aug. 30) (BR. 05B) S-8 L-1 IDENTITY SOLUTIONS, INC., 177 BROAD STREET, STAMFORD, CT, 06901, 203-504-1100 - 5,884,991 ($83,498,345.26) Equity, (File 333-137004 - Aug. 30) (BR. 03A) 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 ABX AIR INC 1.01,2.03 08/24/06 ACE CASH EXPRESS INC/TX TX 8.01,9.01 08/29/06 ACE CASH EXPRESS INC/TX TX 1.01,9.01 08/28/06 ADAPTEC INC DE 1.01,9.01 08/24/06 ADVANCED BIOTHERAPY INC DE 1.01,3.02,5.01,5.02,9.01 08/29/06 AFV SOLUTIONS, INC. NV 5.02,8.01,9.01 08/23/06 AKORN INC LA 2.04 08/27/06 ALANCO TECHNOLOGIES INC AZ 1.01 08/28/06 ALBANY INTERNATIONAL CORP /DE/ DE 1.01,2.03 08/28/06 ALCiS Health, Inc. DE 9.01 03/31/06 AMEND ALFA CORP DE 4.01,9.01 08/24/06 ALPHARMA INC DE 1.01 08/30/06 ALPHARMA INC DE 5.02 08/30/06 Alternative Loan Trust 2006-OA16 9.01 08/30/06 ALTERNET SYSTEMS INC NV 5.02 08/28/06 AMB PROPERTY CORP MD 1.01,5.03,8.01,9.01 08/18/06 AMB PROPERTY LP DE 5.03,9.01 08/25/06 American Home Mortgage Assets Trust 2 DE 9.01 08/30/06 AMERICAN HOME MORTGAGE INVESTMENT TRU DE 8.01,9.01 08/25/06 AMERICAN POWER CONVERSION CORPORATION MA 1.01,9.01 08/24/06 AMSURG CORP TN 7.01,9.01 08/30/06 APPLEBEES INTERNATIONAL INC DE 1.01,5.02,5.03,9.01 08/25/06 ARISTOTLE CORP DE 7.01,9.01 08/29/06 AROTECH CORP DE 1.01,3.02,9.01 08/30/06 ARTS WAY MANUFACTURING CO INC DE 4.01 08/29/06 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 08/30/06 AVATAR SYSTEMS INC TX 1.01,2.01,2.02,2.03,9.01 08/17/06 AVNET INC NY 9.01 08/29/06 AVP INC DE 5.02 08/24/06 AXONYX INC NV 8.01,9.01 08/30/06 BA Master Credit Card Trust II 8.01,9.01 08/30/06 BAY BANKS OF VIRGINIA INC VA 8.01 08/29/06 Bear Stearns Asset Backed Securities DE 9.01 08/30/06 Bear Stearns Mortgage Funding Trust 2 DE 8.01,9.01 07/31/06 AMEND BISYS GROUP INC DE 2.01,8.01,9.01 03/08/06 AMEND BLACKBOARD INC DE 1.01,5.02 08/29/06 BLAST ENERGY SERVICES, INC. CA 1.01,2.01,2.03,3.02,9.01 08/25/06 BLOUNT INTERNATIONAL INC DE 1.01 08/24/06 BRADLEY PHARMACEUTICALS INC DE 8.01,9.01 08/30/06 CABOT OIL & GAS CORP DE 1.01,7.01,9.01 08/25/06 CANO PETROLEUM, INC 1.01,3.02,3.03,9.01 08/25/06 CCH II LLC 8.01,9.01 08/29/06 CCO HOLDINGS LLC 8.01,9.01 08/29/06 CENDANT CORP DE 8.01,9.01 08/29/06 Centale, Inc. NY 5.02 08/28/06 Chaparral Steel CO DE 1.01,9.01 08/29/06 CHARTER COMMUNICATIONS HOLDINGS LLC DE 8.01,9.01 08/29/06 CHARTER COMMUNICATIONS INC /MO/ DE 8.01,9.01 08/29/06 CHARTER FINANCIAL CORP/GA 2.02,8.01,9.01 04/26/06 Chartwell International, Inc. NV 2.01,9.01 08/24/06 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 08/30/06 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 08/30/06 CHASE CORP MA 5.02 08/25/06 CHEESECAKE FACTORY INCORPORATED DE 8.01,9.01 08/29/06 Citicorp Residential Mortgage Trust S DE 9.01 08/30/06 Citigroup Mortgage Loan Trust 2006-HE 9.01 08/04/06 Citigroup Mortgage Loan Trust 2006-WF 9.01 08/09/06 CLEAR CHOICE FINANCIAL, INC. NV 2.01,3.02,9.01 05/31/06 AMEND COLLEGE PARTNERSHIP INC NV 4.01,5.02,9.01 07/26/06 COLUMBIA LABORATORIES INC DE 7.01,9.01 08/29/06 CONSUMER PORTFOLIO SERVICES INC CA 7.01,9.01 08/30/06 CORINTHIAN COLLEGES INC 1.01,9.01 08/24/06 CORNERSTONE MINISTRIES INVESTMENTS IN GA 8.01,9.01 08/30/06 COSTCO WHOLESALE CORP /NEW WA 2.02,9.01 08/30/06 CPG INTERNATIONAL INC. DE 4.02 08/28/06 CRA INTERNATIONAL, INC. MA 1.01 08/29/06 CROWN CRAFTS INC DE 1.01,3.03,9.01 08/30/06 CWABS Asset-Backed Certificates Trust DE 9.01 08/30/06 CWABS Asset-Backed Certificates Trust 9.01 08/29/06 CWALT INC DE 9.01 08/30/06 CWALT INC DE 9.01 08/30/06 CWALT INC DE 9.01 08/30/06 CWALT INC DE 9.01 08/30/06 CWHEQ Revolving Home Equity Loan Trus 8.01,9.01 08/30/06 CWHEQ Revolving Home Equity Loan Trus 8.01,9.01 08/30/06 CWMBS INC DE 9.01 08/30/06 CYBER DEFENSE SYSTEMS INC FL 1.01,9.01 08/30/06 DANA CORP VA 7.01,9.01 08/30/06 DAVITA INC DE 1.01,9.01 08/25/06 DDI CORP CA 1.01,9.01 08/08/06 AMEND DELTA AIR LINES INC /DE/ DE 2.02,9.01 08/30/06 DELTA MUTUAL INC 3.02 07/26/06 DILLARDS INC DE 7.01,9.01 08/30/06 DOR BIOPHARMA INC DE 1.01,5.02,9.01 08/24/06 DOV PHARMACEUTICAL INC DE 3.01,8.01 08/29/06 DRESS BARN INC CT 1.01,9.01 08/29/06 DSW Inc. OH 2.02,9.01 08/30/06 DUKE CAPITAL LLC DE 4.02 08/24/06 DUKE REALTY CORP IN 1.01,9.01 08/24/06 DUKE REALTY LIMITED PARTNERSHIP/ IN 1.01,9.01 08/24/06 DYNADAPT SYSTEM INC CO 5.02,5.03,8.01,9.01 08/29/06 EAST PENN FINANCIAL CORP 8.01,9.01 08/29/06 EASTMAN KODAK CO NJ 5.02,9.01 08/22/06 ENVIROKARE TECH INC NV 9.01 08/24/06 EQUITY TECHNOLOGIES & RESOURCES INC DE 2.01,3.02,5.01,5.02,8.01,9.01 08/25/06 ETOTALSOURCE INC CO 4.01,5.02,9.01 05/15/06 EXABYTE CORP /DE/ DE 8.01 08/30/06 EXELON CORP PA 2.06 08/29/06 FARMER BROTHERS CO CA 1.01,2.02,8.01,9.01 08/24/06 Federal Home Loan Bank of Des Moines X1 3.03,9.01 08/24/06 FIA Card Services, National Associati DE 8.01,9.01 08/25/06 FIRST BANCORP /PR/ PR 1.01 08/25/06 FIRST CITIZENS BANC CORP /OH OH 5.02 08/15/06 First Franklin Mortgage Loan Trust 20 DE 8.01 08/30/06 FIRST KEYSTONE CORP PA 8.01 08/30/06 FNB CORP \VA\ VA 1.01,9.01 08/25/06 G&K SERVICES INC MN 1.01 08/24/06 GENESEE & WYOMING INC DE 8.01,9.01 08/25/06 GIANT INDUSTRIES INC DE 1.01,9.01 08/26/06 GLOBAL ENTERTAINMENT CORP NV 2.02,9.01 08/30/06 GOLDEN PHOENIX MINERALS INC /MN/ MN 1.01,8.01,9.01 08/29/06 GREAT CHINA MINING, INC NV 8.01,9.01 08/29/06 GRIFFIN LAND & NURSERIES INC DE 7.01,9.01 08/30/06 Halo Technology Holdings, Inc. NV 1.01,2.03,9.01 08/24/06 Harborview 2006-7 DE 8.01,9.01 08/15/06 Harborview 2006-8 DE 8.01 08/30/06 HARTCOURT COMPANIES INC UT 5.02,9.01 08/30/06 HEADLINERS ENTERTAINMENT GROUP, INC. DE 1.02 08/29/06 HEICO CORP FL 2.02 08/30/06 HENNESSY ADVISORS INC 1.01,9.01 08/28/06 HERITAGE BANKSHARES INC /VA VA 2.02,9.01 08/29/06 HUDSON VALLEY HOLDING CORP NY 8.01,9.01 08/29/06 HUTTON HOLDINGS CORP NV 7.01,9.01 08/30/06 HYDROGEN ENGINE CENTER, INC. NV 9.01 08/28/06 ICON HEALTH & FITNESS INC DE 2.02,7.01,9.01 05/31/06 IDT CORP DE 2.01,7.01,9.01 08/24/06 IKONA GEAR INTERNATIONAL INC NV 1.01,9.01 08/30/06 IndyMac INDA Mortgage Loan Trust 2006 9.01 08/30/06 IndyMac INDX Mortgage Loan Trust 2006 9.01 08/30/06 INDYMAC MBS INC RESIDENTIAL ASSET SEC 8.01 08/25/06 IndyMac RAST 2004-R2 8.01 08/25/06 INNKEEPERS USA TRUST/FL MD 8.01,9.01 08/30/06 INTEGRATED SILICON SOLUTION INC DE 1.01,9.01 08/28/06 INTERNATIONAL BARRIER TECHNOLOGY INC/ 8.01,9.01 08/24/06 INTERNATIONAL IMAGING SYSTEMS INC 1.01,2.01,8.01,9.01 08/29/06 INTERNATIONAL MONETARY SYSTEMS LTD /W WI 1.01,2.01,9.01 08/29/06 International Power Group, Ltd. DE 8.01 08/29/06 INTERSTATE BAKERIES CORP/DE/ DE 1.01,9.01 08/25/06 INTERSTATE BAKERIES CORP/DE/ DE 5.02,9.01 08/30/06 IOMAI CORP 2.03 08/28/06 IOMED INC UT 2.02,9.01 08/29/06 IXYS CORP /DE/ DE 1.01,9.01 08/24/06 J P MORGAN CHASE & CO DE 9.01 08/28/06 J.P. Morgan Mortgage Acquisition Trus DE 8.01,9.01 08/30/06 JARDEN CORP DE 1.01,9.01 08/24/06 JDS UNIPHASE CORP /CA/ DE 2.02,9.01 08/30/06 KINGS ROAD ENTERTAINMENT INC DE 1.01 08/24/06 LAYNE CHRISTENSEN CO DE 2.02,9.01 08/30/06 LEGEND INTERNATIONAL HOLDINGS INC DE 3.02 08/30/06 LEHMAN BROTHERS HOLDINGS INC DE 9.01 08/24/06 Lehman Mortgage Trust 2006-5 DE 8.01 08/30/06 LESCO INC/OH OH 1.02 08/28/06 Liberty Global, Inc. 7.01 08/30/06 LIGAND PHARMACEUTICALS INC DE 1.01,9.01 08/30/06 LIQUIDITY SERVICES INC 1.01,9.01 08/29/06 LONG BEACH SECURITIES CORP DE 9.01 08/30/06 LTX CORP MA 2.02,9.01 08/30/06 LUCAS ENERGY, INC. NV 1.01,2.01,2.03,3.02 08/28/06 MAC-GRAY CORP DE 3.01 08/30/06 MAGNITUDE INFORMATION SYSTEMS INC DE 1.01,3.02,5.02,7.01,9.01 08/25/06 MANARIS CORP NV 5.02,9.01 08/24/06 AMEND MASTR Asset Backed Securities Trust 2 DE 9.01 08/03/06 MEADE INSTRUMENTS CORP DE 2.02,4.02,9.01 08/25/06 MED-TECH SOLUTIONS, INC. 8.01,9.01 08/29/06 MEDICALCV INC MN 5.02 08/24/06 MEDICSIGHT INC DE 1.01,2.03 08/25/06 Mercantile Bancorp, Inc. DE 1.01,9.01 08/24/06 MERCER INSURANCE GROUP INC PA 8.01,9.01 08/29/06 MESTEK INC PA 8.01,9.01 08/29/06 META FINANCIAL GROUP INC DE 8.01,9.01 08/28/06 METAL MANAGEMENT INC DE 8.01,9.01 08/30/06 MICROS SYSTEMS INC MD 2.02 08/29/06 MICROTEK MEDICAL HOLDINGS, INC GA 1.01,9.01 08/25/06 MINRAD INTERNATIONAL, INC. 1.01,5.02,9.01 08/28/06 MOTORCAR PARTS AMERICA INC NY 1.01,1.02,9.01 08/24/06 MOVENTIS CAPITAL, INC. DE 9.01 08/28/06 MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 08/25/06 MUZAK HOLDINGS LLC DE 5.02,9.01 08/24/06 Nalco Finance Holdings LLC 2.02,9.01 08/29/06 Nalco Holding CO 2.02,9.01 08/29/06 Nalco Holdings LLC DE 2.02,9.01 08/29/06 NATIONAL CITY AUTO RECEIVABLES TRUST 8.01,9.01 08/15/06 NATIONAL CITY CREDIT CARD MASTER TRUS 8.01,9.01 08/15/06 NEOMEDIA TECHNOLOGIES INC DE 1.01,3.02,9.01 08/24/06 NEOMEDIA TECHNOLOGIES INC DE 8.01,9.01 08/24/06 NewGen Technologies, Inc NV 1.01,2.03 08/24/06 NEWPARK RESOURCES INC DE 2.05,2.06,9.01 08/24/06 OCEANEERING INTERNATIONAL INC DE 1.01,5.02,9.01 08/25/06 OMNI USA INC NV 5.02,7.01,9.01 08/24/06 OPEN ENERGY CORP NV 2.02,8.01,9.01 08/22/06 OPTICAL COMMUNICATION PRODUCTS INC DE 2.01,9.01 08/24/06 ORTEC INTERNATIONAL INC DE 1.01,5.03 08/24/06 ORTHOLOGIC CORP DE 8.01,9.01 08/29/06 OSI RESTAURANT PARTNERS, INC. DE 1.01,9.01 08/30/06 PANACOS PHARMACEUTICALS, INC. DE 1.01,5.02 08/28/06 PC TEL INC DE 1.01 08/24/06 PDL BIOPHARMA, INC. DE 8.01,9.01 08/30/06 PHASE III MEDICAL INC/DE DE 3.02,7.01,8.01,9.01 08/17/06 PHH CORP MD 8.01,9.01 08/30/06 PIPELINE DATA INC 2.02,7.01 06/30/06 PIPELINE DATA INC 8.01 06/30/06 PLACER SIERRA BANCSHARES CA 1.02 08/24/06 PMC SIERRA INC DE 2.05 08/25/06 PRINCIPAL LIFE INSURANCE CO IA 9.01 08/25/06 PRINCIPAL LIFE INSURANCE CO IA 9.01 08/25/06 PROGRESS SOFTWARE CORP /MA MA 4.02,9.01 08/29/06 ProUroCare Medical Inc. NV 1.01,9.01 08/24/06 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 8.01 08/29/06 PYRAMID BREWERIES INC WA 5.02 08/25/06 QUALMARK CORP CO 8.01 08/28/06 Rackable Systems, Inc. DE 1.01,5.02,9.01 08/29/06 RASER TECHNOLOGIES INC UT 8.01,9.01 08/29/06 Red Lake Exploration Inc. NV 1.01 08/28/06 REDDY ICE HOLDINGS INC DE 7.01,8.01,9.01 08/29/06 RELIV INTERNATIONAL INC DE 1.01,5.02,9.01 08/24/06 REX STORES CORP DE 2.02,9.01 08/30/06 RFMSI Series 2006-S7 Trust DE 8.01,9.01 08/29/06 RFMSI Series 2006-SA3 Trust DE 8.01,9.01 08/29/06 Rhino Outdoor International, Inc. 5.03 08/30/06 ROGERS CORP MA 8.01,9.01 08/23/06 ROTONICS MANUFACTURING INC/DE DE 1.01,9.01 08/29/06 SACO I Trust 2006-9 DE 9.01 08/30/06 SAFETY COMPONENTS INTERNATIONAL INC DE 1.01,9.01 08/29/06 SAFETY COMPONENTS INTERNATIONAL INC DE 1.01,9.01 08/29/06 SALIX PHARMACEUTICALS LTD 8.01,9.01 08/30/06 SASCO 2006-BC2 DE 8.01,9.01 08/30/06 SASCO 2006-S3 DE 8.01 08/30/06 SBM CERTIFICATE CO MN 8.01 08/30/06 SCHOOL SPECIALTY INC WI 1.02,5.02,9.01 08/29/06 SEACHANGE INTERNATIONAL INC DE 2.02,9.01 08/30/06 SEALY CORP DE 1.01,5.02,9.01 08/25/06 Sequoia Mortgage Trust 2006-1 8.01,9.01 08/28/06 Shire plc 8.01,9.01 08/29/06 Shire plc 8.01,9.01 08/30/06 SIERRA PACIFIC RESOURCES /NV/ NV 8.01 08/30/06 SIMMONS FIRST NATIONAL CORP AR 7.01 08/30/06 SIMPLETECH INC CA 1.01,8.01,9.01 08/25/06 SMART ONLINE INC 1.01,1.02,2.02,9.01 08/28/06 SOFTECH INC MA 2.02,9.01 08/29/06 SOLUTIA INC DE 7.01,9.01 08/30/06 SORL Auto Parts Inc DE 4.02 08/30/06 SOUTHERN COPPER CORP/ DE 8.01,9.01 08/30/06 SOUTHERN UNION CO DE 1.01,1.02,2.01,7.01,9.01 08/24/06 ST JOSEPH INC CO 1.02,5.02,8.01 08/24/06 STANDEX INTERNATIONAL CORP/DE/ DE 2.02,9.01 06/30/06 STRATEGY INTERNATIONAL INSURANCE GROU TX 1.01,9.01 08/24/06 SUN-TIMES MEDIA GROUP INC DE 8.01 08/29/06 SYCAMORE NETWORKS INC DE 2.02,8.01,9.01 08/30/06 SYSTEMAX INC DE 5.03,8.01,9.01 08/29/06 TALEO CORP DE 5.02 08/25/06 TASER INTERNATIONAL INC 5.02,9.01 08/30/06 TBW Mortgage-Backed Trust Series 2006 DE 8.01,9.01 08/30/06 TEPPCO PARTNERS LP DE 8.01,9.01 06/30/06 THQ INC DE 8.01 08/30/06 TIVO INC DE 2.02,9.01 08/30/06 TIVO INC DE 8.01 08/30/06 Traffic.com, Inc. DE 1.01,3.02,9.01 08/28/06 TRINITY INDUSTRIES INC DE 7.01,9.01 08/30/06 TWEEN BRANDS, INC. DE 1.01,9.01 08/29/06 UGI CORP /PA/ PA 1.01,8.01,9.01 08/24/06 UGI UTILITIES INC PA 1.01,2.01,9.01 08/24/06 UNITED NATURAL FOODS INC DE 2.02,9.01 08/30/06 UROPLASTY INC MN 5.02,9.01 08/30/06 US AIRWAYS GROUP INC DE 1.01 08/24/06 US BANCORP \DE\ DE 8.01,9.01 08/30/06 US BIODEFENSE INC UT 1.01,5.02,9.01 08/21/06 VALASSIS COMMUNICATIONS INC DE 8.01,9.01 08/30/06 Vanda Pharmaceuticals Inc. DE 8.01,9.01 08/30/06 VASOMEDICAL INC DE 2.02,9.01 08/28/06 VCG HOLDING CORP CO 8.01,9.01 08/25/06 VIEWSONIC CORP DE 1.01 08/24/06 VIRGINIA FINANCIAL GROUP INC VA 4.01,9.01 08/25/06 VISTA GOLD CORP 8.01,9.01 08/29/06 Volcom Inc 7.01 08/29/06 W&T OFFSHORE INC TX 2.01,7.01,9.01 08/24/06 Wachovia Bank Commercial Mortgage Tru NC 8.01,9.01 08/23/06 WASHINGTON REAL ESTATE INVESTMENT TRU MD 2.01,9.01 08/25/06 Wells Fargo Mortgage Backed Securitie DE 9.01 08/30/06 Wells Fargo Mortgage Backed Securitie DE 9.01 08/30/06 Wells Fargo Mortgage Backed Securitie DE 9.01 08/30/06 WHEELING PITTSBURGH CORP /DE/ DE 8.01,9.01 08/30/06 WHITE ELECTRONIC DESIGNS CORP ID 1.01,9.01 08/24/06 WHITTIER ENERGY CORP NV 1.01,5.02,9.01 08/24/06 WINDSWEPT ENVIRONMENTAL GROUP INC DE 1.01,9.01 08/25/06 WorldSpace, Inc DE 1.01,3.01,9.01 08/24/06 XFONE INC NV 8.01,9.01 08/30/06 XILINX INC DE 8.01 08/25/06 YORK WATER CO PA 5.03,8.01,9.01 08/28/06 ZIPREALTY INC 1.01,5.02,9.01 08/30/06 ZOND WINDSYSTEM PARTNERS LTD SERIES 8 1.01 08/26/06 Zumiez Inc 7.01,9.01 08/30/06