SEC NEWS DIGEST


   Issue 2006-245 					December 21, 2006




   COMMISSION ANNOUNCEMENTS


   SEC CHIEF FINANCIAL OFFICER MARGARET CARPENTER TO RETIRE

   The Securities and Exchange  Commission  today  announced  that  chief
   financial officer Margaret J. Carpenter is retiring  in  January  2007
   after more than 32 years in federal government service.  As  Associate
   Executive  Director  (Finance)  in  the  SEC's  Office  of   Financial
   Management, she has been the Commission's top financial officer  since
   coming to the Commission in 1997.

   Among her many accomplishments, Ms. Carpenter directed the preparation
   of the SEC's first-ever audited financial statements,  for  the  years
   2004, 2005, and 2006, all of which received unqualified opinions  from
   the Commission's auditor, the Government Accountability Office  (GAO).
   She also played a vital role in strengthening  the  agency's  internal
   controls and eliminating, as reported  by  the  GAO  last  month,  any
   material weaknesses.

   Chairman Cox stated, "Margie worked at the Commission during a time of
   unprecedented growth at the SEC, and she worked ably and tirelessly to
   strengthen  the  management  of  the  agency's  finances  during  this
   challenging time. We at the SEC are deeply thankful for  her  efforts.
   On a personal level, we will truly miss her energy and enthusiasm. She
   has been a good and trusted friend to America's investors, and we wish
   her the very best."

   Ms. Carpenter said, "I am honored to have had the opportunity to  work
   with the superb professionals at the SEC. The mission of the agency is
   as important as ever, and I was proud to make  my  accomplishments  at
   the SEC the capstone of my federal career."

   Prior to her service at the SEC, Ms. Carpenter held a number of senior
   budget and management positions at the Department of Interior  for  13
   years and began her federal career at the  Office  of  Management  and
   Budget. She earned an M.B.A. from the University  of  Michigan  and  a
   B.A. in economics from Smith College.

   Ms. Carpenter will be succeeded by Kristine M. Chadwick, CPA,  as  the
   agency's new Associate Executive Director (Finance) in the  Office  of
   Financial Management. (Press Rel. 2006-215)

   KRISTINE CHADWICK NAMED SEC'S CHIEF FINANCIAL OFFICER

   Securities and Exchange  Commission  Chairman  Christopher  Cox  today
   announced that Kristine M. Chadwick, CPA, has been named the  agency's
   Chief Financial Officer and Associate Executive Director (Finance).

   Ms. Chadwick most recently served as the Chief Financial  Officer  for
   the  Department  of  Agriculture's  Farm   Service   Agency,   Foreign
   Agricultural  Service,  and  Commodity  Credit  Corporation.  In  that
   capacity, she oversaw the  primary  financing  arm  for  an  array  of
   domestic and international agricultural  programs,  with  hundreds  of
   field offices nationwide and over $30 billion in borrowing authority.

   "Kristine is coming to  the  SEC  with  a  wealth  of  experience  and
   knowledge in federal government  finance,  accounting,  and  budgets,"
   Chairman Cox said. "She is exceptionally well-suited to build upon the
   SEC's recent successful efforts to bolster its internal  controls  and
   financial management practices. It's a pleasure to welcome Kristine to
   our team."

   Ms. Chadwick said, "Given the SEC's  responsibilities  for  overseeing
   public companies and other participants in the securities markets,  it
   is critically important that the agency manage its finances in just as
   exemplary a fashion. I look forward to working  with  the  outstanding
   staff of the SEC to continue its strong record in this area."

   Ms. Chadwick is replacing Margaret J. Carpenter, who  is  retiring  in
   January 2007 after 32 years in the federal government.

   Prior to joining the SEC, Ms. Chadwick also served in senior positions
   at the Census Bureau, FDIC, and the Resolution Trust  Corporation,  as
   well as in the private sector at Arthur Anderson &  Co.  She  received
   her Masters in Accountancy from the University of Houston in 1986, and
   her B.S. degree from the University of Virginia in 1980.  She  started
   work at the SEC on Dec. 11, 2006. (Press Rel. 2006-216)

   JOINT RELEASE

   U.S.  Securities  and  Exchange  Commission  (SEC)  Financial   Crimes
   Enforcement Network (FinCEN)

   SEC AND FINCEN SIGN INFORMATION SHARING AGREEMENT

   The Securities and Exchange Commission (SEC) and the Financial  Crimes
   Enforcement Network (FinCEN) today announced that they have reached an
   agreement for the routine  exchange  of  examination  and  enforcement
   information relating to SEC-regulated firms' compliance with the  Bank
   Secrecy Act (BSA). The goal of the  agreement  is  to  assist  in  the
   identification, deterrence, and interdiction  of  terrorist  financing
   and money laundering. The  agreement  will  better  ensure  that  SEC-
   regulated firms have robust anti-money laundering programs and  assist
   the  agencies'  efforts  to  identify  financial   institutions   with
   significant BSA violations or deficiencies and  take  enforcement  and
   other action when appropriate. The BSA was  designed  to  protect  the
   U.S. financial system from money laundering and other financial  crime
   through a  system  of  regulatory  controls  and  reporting  aimed  at
   increasing transparency in the U.S.  financial  system.  SEC-regulated
   firms  include,  among  others,  broker-dealers  in   securities   and
   investment companies.

   The agencies entered into a Memorandum of  Understanding  (MOU)  under
   which the SEC will provide  FinCEN  with  detailed  information  on  a
   quarterly basis regarding the SEC's and the securities self-regulatory
   organizations'  anti-money  laundering  examination  and   enforcement
   activities. For its part under  the  agreement,  FinCEN  will  provide
   assistance and analytical reports to the SEC. The  MOU  is  consistent
   with those that FinCEN has reached with the federal  banking  agencies
   and the Internal Revenue Service.

   "This agreement is another cornerstone in FinCEN's  continuing  effort
   to strengthen communication and cooperation among  federal  regulators
   that examine financial  institutions  for  compliance  with  the  Bank
   Secrecy Act and other anti-money  laundering  regulations  to  further
   support our ability to follow up on and address financial crime," said
   Robert Werner, Director of FinCEN.

   SEC Chairman Christopher Cox said, "We are pleased  to  formalize  our
   already strong working relationship with FinCEN.  The  agreement  will
   improve our joint efforts to ensure aggressive  anti-money  laundering
   compliance programs to deter potential money laundering and  terrorist
   financing activities in the U.S."

   The SEC and FinCEN will  meet  regularly  as  part  of  the  agencies'
   continuing efforts to improve anti-money laundering and anti-terrorist
   financing compliance.

   The SEC is an independent federal agency responsible for administering
   the  federal  securities  laws.  The  SEC  and   the   self-regulatory
   organizations (SROs) it oversees conduct  examinations  of  the  anti-
   money  laundering  obligations  of  securities   firms   and   enforce
   compliance with the relevant SEC and SRO rules.

   The Financial Crimes Enforcement Network (FinCEN), a bureau within the
   U.S. Department of the Treasury, is  the  administrator  of  the  BSA.
   FinCEN has promulgated regulations requiring financial institutions to
   report  suspicious  transactions,  as  well  as  implement  anti-money
   laundering   and   customer   identification    programs.    Financial
   institutions currently subject to these  requirements  include,  among
   others, broker-dealers in securities and mutual funds.

   SEC Contact: John Heine, (202) 551-4120 FinCEN Contacts: Steve  Hudak,
   (703) 905-5149 or Anne Marie Kelly, (703) 905-5023 (Press  Rel.  2006-
   217)


   ENFORCEMENT PROCEEDINGS


   SEC CHARGES TWO FORMER  TYCO  EXECUTIVES  FOR  FRAUD  THAT  OVERSTATED
   INCOME BY MORE  THAN  ONE-HALF  BILLION  DOLLARS;  THIRD  FORMER  TYCO
   EXECUTIVE SETTLES FINANCIAL REPORTING AND RECORD-KEEPING CHARGES

   The Commission today filed a  civil  injunctive  action  in  the  U.S.
   District Court for the Southern District of New York  against  Richard
   D.  Power  and  Edward  Federman,  two  former  executives   of   Tyco
   International Ltd. The Commission's complaint alleges that  Power  and
   Federman designed and implemented fraudulent accounting  practices  at
   Tyco and thereby violated the antifraud and record-keeping  provisions
   of the federal securities laws and aided and abetted Tyco's violations
   of  the  antifraud,  reporting,  and  record-keeping  provisions.  The
   complaint alleges that Richard J. "Skip" Heger, a  third  former  Tyco
   executive, violated  the  record-keeping  provisions  of  the  federal
   securities laws  and  aided  and  abetted  Tyco's  violations  of  the
   reporting and record-keeping provisions. The complaint seeks permanent
   injunctions,  disgorgement  with  prejudgment  interest  thereon,  and
   penalties from each of the defendants, as well  as  an  order  barring
   Power and Federman from serving as an officer or director of a  public
   company.

   The Commission's complaint alleges that Power  and  Federman  inflated
   Tyco's operating income by hundreds of millions of dollars through the
   use  of  a  sham  transaction.  In  that  transaction,  Tyco   charged
   authorized  dealers  of  Tyco's  ADT  Security  Services,  Inc.  (ADT)
   subsidiary a "dealer connection fee" whenever  the  company  purchased
   security monitoring contracts from them. However, the  connection  fee
   was fully offset by a simultaneous increase in the purchase price  ADT
   allocated to the dealers' security  monitoring  contracts.  Thus,  the
   transaction lacked economic substance.  No  additional  money  changed
   hands as a result of the dealer connection fee transaction.  The  sham
   transaction was designed by Power immediately  following  Tyco's  1997
   merger with ADT Ltd. Federman subsequently  defended  the  transaction
   when  concerns  were  raised  in  meetings  with  Tyco's   independent
   accountant. His defense was successful, and the income inflation  from
   the transaction continued unabated. The  complaint  alleges  that  the
   transaction inflated Tyco's operating income by $567 million from  the
   company's fiscal year 1998 through its fiscal quarter ended  Dec.  31,
   2002.

   The complaint alleges that Power and Federman further inflated  Tyco's
   operating  income  by  means  of  fraudulent  acquisition  accounting,
   including  the  pre-acquisition  reduction  of  asset  valuations  and
   overstatement of liabilities in connection with several of Tyco's most
   significant business acquisitions. In addition,  Federman  engaged  in
   the improper use of accounting reserves  to  enhance  Tyco's  reported
   financial results, directing the reversal of reserves at Tyco's fiscal
   year-end to offset an unanticipated $40 million compensation expense.

   Heger was responsible for the financial results of the  Tyco  division
   that included the company's security monitoring business. He  approved
   division financial results that  he  knew,  or  was  reckless  in  not
   knowing, had been  inflated  by  the  sham  transaction  and  improper
   acquisition accounting and that had been enhanced or smoothed  by  the
   improper use of reserves.

   Heger, without admitting or denying the complaint's  allegations,  has
   consented to the  entry  of  a  proposed  final  judgment  permanently
   enjoining him from further violating the record-keeping provisions and
   from aiding and abetting  violations  of  the  reporting  and  record-
   keeping provisions of the federal securities laws, and ordering him to
   pay disgorgement of $300,000, prejudgment interest of $100,000, and  a
   penalty of $50,000. The Commission intends to have  any  disgorgement,
   prejudgment interest, and penalty amounts paid into  a  court  account
   pursuant to  the  Fair  Fund  provisions  of  Section  308(a)  of  the
   Sarbanes-Oxley Act of 2002, for ultimate distribution  to  victims  of
   the fraud. [SEC v. Richard D. Power, Edward Federman, and  Richard  J.
   "Skip" Heger, Civil Action No. 06 CV 15343, USDC, SDNY] (LR-19953; AAE
   Rel. No. 2527)

   COMMISSION BRINGS SETTLED ENFORCEMENT ACTIONS  AGAINST  DEUTSCHE  BANK
   SECURITIES, INC. AND REGISTERED REPRESENTATIVE MICHAEL G. VELASCO  FOR
   DECEPTIVE MARKET TIMING AND LATE TRADING OF MUTUAL FUNDS  

   On  December  21,  the  Commission   issued   an   Order   Instituting
   Administrative and Cease-and-Desist Proceedings, Making Findings,  and
   Imposing Remedial Sanctions and a Cease-and-Desist Order  Pursuant  to
   Sections 15(b) and 21B of the Securities  Exchange  Act  of  1934  and
   Sections 9(b) and 9(f) of the Investment Company Act of  1940  (Order)
   against Deutsche Bank Securities, Inc. (DBSI).

   The Order  finds  that  between  March  2003  and  September  2003,  a
   registered representative (RR) at DBSI, a registered broker-dealer and
   a subsidiary of Deutsche Bank AG, defrauded mutual funds  by  engaging
   in deceptive practices designed to mislead  mutual  funds  as  to  the
   identity  of  his  customers.  For  example,  various   mutual   funds
   identified the RR's customers as market timers, and funds rejected the
   customers' trades. In response, the RR opened  new  accounts  for  the
   customers and then executed trades  for  the  customers  in  the  same
   mutual funds that had rejected the customers' trades.  The  RR  opened
   the new accounts to conceal the true identity of his customers and  to
   mislead certain mutual funds  into  believing  that  the  trades  were
   coming from other DBSI customers, whose  trading  the  funds  had  not
   blocked. In addition, the RR entered late  trades  for  at  least  one
   customer. The RR received and entered orders to purchase,  redeem,  or
   exchange mutual fund shares after the 4:00 p.m.  Eastern  Time  market
   close, but entered the orders as if they had been  received  prior  to
   4:00 p.m. This enabled the customer to receive the share  price  based
   on the prior  net  asset  value  (NAV)  determined  as  of  4:00  p.m.
   Specifically, the RR entered the late trades on  occasions  when  fund
   companies identified the customer as a market timer  and  blocked  the
   customer's original orders, and the customer would then select another
   mutual fund in which to place trades, which often occurred after  4:00
   p.m. ET. This conduct  violated  Rule  22c-1(a)  adopted  pursuant  to
   Section 22(c) of the  Investment  Company  Act.  DBSI  had  inadequate
   procedures and systems to  prevent  and  detect  the  RR's  fraudulent
   conduct.  DBSI  also  had  inadequate  procedures  and   systems   for
   monitoring whether employees submitted orders for processing  at  that
   day's NAV only if they were received from customers before the  market
   close. As a result of this conduct, the RR violated Section  17(a)  of
   the Securities Act of 1933, Section 10(b) of the Exchange Act and Rule
   10b-5 thereunder. DBSI willfully violated Rule 22c-1, as adopted under
   Section 22(c) of the Investment Company Act,  and  the  RR  aided  and
   abetted DBSI's violations of Rule  22c-1.  In  addition,  DBSI  failed
   reasonably to  supervise  the  RR,  with  a  view  to  preventing  his
   violations of the antifraud provisions and Rule 22c-1 of  the  federal
   securities laws, pursuant to Section 15(b)(4)  of  the  Exchange  Act.
   Based on the above, the Order censures DBSI, directs DBSI shall  cease
   and desist from committing or causing any violations  and  any  future
   violations of Rule 22c-1(a) as adopted  under  Section  22(c)  of  the
   Investment Company Act,  and  directs  DBSI  to  pay  disgorgement  of
   $202,835 plus prejudgment  interest  of  $37,284  and  a  civil  money
   penalty in the amount of $202,835, for a total of payment of $442,954.
   DBSI consented to the issuance  of  the  Order  without  admitting  or
   denying any of the findings in the Order.

   In a related  matter,  the  Commission  announced  that  it  filed  an
   enforcement action in the United States District Court against Michael
   G. Velasco, a former RR at DBSI.  In  its  complaint,  the  Commission
   alleges that Velasco defrauded mutual funds by engaging  in  deceptive
   practices to circumvent  mutual  funds'  restrictions  on  his  market
   timing customers. Velasco has  consented  to  the  entry  of  a  final
   judgment in this action, without admitting or denying the  allegations
   in the complaint, permanently enjoining  him  from  violating  Section
   17(a) of the Securities Act, Section 10(b) of the  Exchange  Act,  and
   Rule 10b-5, directing him  to  pay  disgorgement  of  $60,824.26  plus
   prejudgment interest of $8,063.17, and directing him to  pay  a  civil
   penalty of $60,824.26.

   The Commission would like to acknowledge the  assistance  of  the  New
   York Attorney General in this matter. (Rel. 34-54993;  IC-27607;  File
   No. 3-12514); [SEC v. Michael G. Velasco, Civil Action No.  06  15345,
   WHP/KNF, SDNY] (LR-19954)

   IN  THE  MATTER  OF  DEUTSCHE  ASSET  MANAGEMENT,  INC.  AND  DEUTSCHE
   INVESTMENT MANAGEMENT AMERICAS, INC.

   On  December  21,  the  Commission   issued   an   Order   Instituting
   Administrative  and  Cease-and-Desist  Proceedings,  Making  Findings,
   Imposing Remedial Sanctions and a Cease-and-Desist Order  Pursuant  to
   Sections 203(e) and 203(k) of the Investment Advisers Act of 1940  and
   Sections 9(b) and 9(f) of the Investment Company Act of  1940  (Order)
   against Deutsche Asset Management, Inc. (DAMI) and Deutsche Investment
   Management  Americas,  Inc.  (DIMA).  

   The Order finds that from approximately late 1997 through March  2003,
   DAMI and DIMA  two  registered  investment  advisory  subsidiaries  of
   Deutsche Bank AG (Deutsche Bank) allowed certain investors  to  engage
   in short-term trading in a manner  inconsistent  with  the  respective
   mutual funds' prospectus disclosures,  and  also  failed  to  disclose
   these market timing arrangements to the funds' trustees. Specifically,
   from July 2000 through March 2003, DAMI entered into a "sticky  asset"
   arrangement with a hedge fund.  Pursuant  to  this  arrangement,  DAMI
   permitted the hedge fund to market time  three  Deutsche  Bank  mutual
   funds, in exchange for the hedge fund maintaining a static  investment
   in the same mutual funds.  This  arrangement,  which  DAMI  failed  to
   disclose to the  funds'  board  of  trustees,  was  inconsistent  with
   restrictions on market timing set forth in the funds' prospectuses. In
   addition, beginning at least as early  as  1997  and  continuing  into
   2002, DIMA  entered  into  trading  arrangements  with  six  investors
   allowing them to market time at least 15 different mutual funds in the
   Scudder and Kemper  fund  families.  These  arrangements,  which  DIMA
   failed to disclose to the relevant  funds'  board  of  trustees,  were
   inconsistent with restrictions on market timing in the relevant funds'
   prospectuses. DAMI and DIMA benefited  from  the  market  timing.  For
   example, through the trading arrangements, DAMI and DIMA increased the
   total amount of assets under management in  the  funds  they  advised,
   thereby increasing the advisory fees that DAMI and DIMA earned.  While
   DAMI and DIMA were earning  these  fees,  the  market  timing  trading
   harmed the mutual funds by, among other  things,  causing  significant
   dilution. By virtue of the activities described herein, DAMI and  DIMA
   willfully violated  Sections  206(1)  and  206(2)  of  the  Investment
   Advisers Act of 1940 and Section 34(b) of the Investment  Company  Act
   of 1940.

   Based on the above, the Order censures DAMI and DIMA, directs DAMI and
   DIMA to cease and desist from committing or causing any violations and
   any future violations of the provisions  referred  to  above,  directs
   DAMI  and  DIMA,  jointly  and  severally,  to  pay  disgorgement   of
   $17,200,000,  and  directs  DAMI  and  DIMA  to  comply  with  certain
   undertakings. DAMI and DIMA consented to the  issuance  of  the  Order
   without admitting or denying any of the findings in the Order.

   The Commission would like to acknowledge the  assistance  of  the  New
   York Attorney General in this matter. (Rel.  IA-2575;  IC-27606;  File
   No. 3-12513)

   ADMINISTRATIVE  PROCEEDING  IN  THE  MATTER  OF  INTERSTATE   BAKERIES
   CORPORATION

   On December 21, the Commission issued an Order Instituting  Cease-and-
   Desist Proceedings, Making Findings, and Imposing  a  Cease-and-Desist
   Order Pursuant to Section 21C of the Securities Exchange Act  of  1934
   (Order) against IBC. The Order finds that  IBC  violated  the  record-
   keeping, internal controls and reporting provisions  of  the  Exchange
   Act in  connection  with  its  financial  reporting  of  its  workers'
   compensation reserves  and,  consequently,  its  earnings  during  the
   second and third quarters of fiscal 2004. The Order further finds that
   IBC has failed to file timely Forms 10-K for fiscal  2004,  2005,  and
   2006, and has failed to file timely Forms 10-Q for each of its  fiscal
   2005 and fiscal 2006 quarters. The Order finds that  as  a  result  of
   this conduct, the company violated  Sections  13(a),  13(b)(2)(A)  and
   13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1,  13a-11,  and
   13a-13 thereunder, and orders the company to  cease  and  desist  from
   violating  those  provisions.  IBC  settled  to  the  entry   of   the
   Commission's order  without  admitting  or  denying  the  Commission's
   findings. (Rel. 34-54994; AAE Rel. 2528; File No. 3-12515)


   INVESTMENT COMPANY ACT RELEASES


   THE GMS GROUP, LLC, ET AL.

   An order has been issued on an application filed by The GMS Group, LLC
   (Sponsor), et al. under Section 6(c) of the Investment Company Act for
   exemptions from Sections 2(a)(32), 2(a)(35), 14(a), 19(b),  22(d)  and
   26(a)(2)(C) of the Act and Rules 19b-1 and 22c-1 under the Act,  under
   Sections 11(a) and 11(c) of the  Act  to  approve  certain  offers  of
   exchange,  rollover  privileges  and  conversion  offers,  and   under
   Sections 6(c) and 17(b) of the Act granting an exemption from  Section
   17(a) of the Act. The  order  would  permit  certain  unit  investment
   trusts to: (a) impose sales charges on a deferred basis and waive  the
   deferred sales charge in  certain  cases;  (b)  publicly  offer  units
   without requiring the Sponsor to take for its  own  account  or  place
   with others $100,000 worth of units;  (c)  offer  unitholders  certain
   exchange and rollover privileges and conversion offers; (d) distribute
   capital gains resulting from the sale of portfolio securities within a
   reasonable time after receipt; and (e) sell portfolio securities of  a
   terminating series of the trust to a new series of  the  trust.  (Rel.
   IC-27597 - December 12)


   SELF-REGULATORY ORGANIZATIONS


   IMMEDIATE EFFECTIVENESS OF PROPOSED AMENDMENT

   The  National  Futures  Association  filed  a  notice   of   immediate
   effectiveness of a proposed amendment  relating  to  the  Interpretive
   Notice to Compliance  Rule  2-9  Regarding  FCM  and  IB  AML  Program
   Requirements. Publication is expected in the Federal  Register  during
   the week of December 25. (Rel. 34-54956)

   APPROVAL OF PROPOSED RULE CHANGES

   The Commission approved a proposed rule  change  filed  by  the  Fixed
   Income Clearing Corporation (SR-FICC-2006-07) that  will  clarify  the
   frequency and timing of certain reports  that  FICC  provides  to  its
   members/participants. Publication is expected in the Federal  Register
   during the week of December 25. (Rel. 34-54957)

   The  Commission  approved  a  proposed  rule  change  (SR-CHX-2006-30)
   submitted by the Chicago Stock Exchange to  permit  routing  from  the
   matching  system  to  a  destination  selected   by   a   participant.
   Publication is expected in the Federal Register  during  the  week  of
   December 25. (Rel. 34-54963)

   The Commission approved a proposed rule change (SR-FICC-2006-15) filed
   by the Fixed Income Clearing that would modify its rules to  diversify
   and standardize  Clearing  Fund  collateral  requirements  across  the
   divisions to improve liquidity and  minimize  risk  for  its  members.
   Publication is expected in the Federal Register  during  the  week  of
   December 25. (Rel. 34-54969)

   IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES

   The National Securities Clearing Corporation  filed  a  proposed  rule
   change (SR-NSCC-2006-13) under Section 19(b)(3)(A) of  the  Securities
   Exchange Act. The proposed  rule  change,  which  was  effective  upon
   filing, will harmonize various aspects of NSCC's rules with the  rules
   of  its  clearing  agency  affiliates,  the  Fixed   Income   Clearing
   Corporation and The Depository Trust Company. Publication is  expected
   in the Federal Register during the week  of  December  25.  (Rel.  34-
   54958)

   A proposed rule change (SR-NASDAQ-2006-058) filed by The NASDAQ  Stock
   Market to permit orders to peg to the midpoint of  the  best  bid  and
   best offer has become  effective  under  Section  19(b)(3)(A)  of  the
   Securities Exchange Act  of  1934.  Publication  is  expected  in  the
   Federal Register during the week of December 25. (Rel. 34-54968)


   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:
   <publicinfo@sec.gov>.  In  most  cases,  this  information   is   also
   available on the Commission's website: <www.sec.gov>.


SB-2    UNIPRO FINANCIAL SERVICES INC, 1450 S. DIXIE HIGHWAY, SUITE 200, 
        BOCA RATON, FL, 33432, 5612895175 - 0 ($20,685,635.00) Equity, 
        (File 333-139498 - Dec. 20) (BR. 11C)

S-1     WILLBROS GROUP INC, DRESDNER BANK BUILDING, 
        50TH STREET 8TH FLOOR PO BOX 850048, PANAMA 5 REPUBLIC OF, R1, 00000, 
        5072639282 - 4,280,714 ($80,991,108.88) Equity, (File 333-139499 - 
        Dec. 20) (BR. 04C)

S-3     COBIZ INC, 821 - 17TH STREET, SUITE 900, DENVER, CO, 80202, 
        3032932265 - 0 ($144,440,000.00) Other, (File 333-139500 - Dec. 20) 
        (BR. 07A)

S-8     IXYS CORP /DE/, 3540 BASSETT ST, SANTA CLARA, CA, 95054, 4089540500 - 
        4,631,250 ($42,283,312.50) Equity, (File 333-139502 - Dec. 20) (BR. 10B)

S-3     Somaxon Pharmaceuticals, Inc., 12750 HIGH BLUFF DRIVE, SUITE 310, 
        SAN DIEGO, CA, 92130, (858) 509-3670 - 0 ($75,000,000.00) Other, 
        (File 333-139503 - Dec. 20) (BR. 01A)

S-11    Inland American Real Estate Trust, Inc., 2901 BUTTERFIELD ROAD, 
        OAK BROOK, IL, 60523, 630-218-8000 - 0 ($5,380,000,000.00) Equity, 
        (File 333-139504 - Dec. 20) (BR. 08A)

S-3ASR  Core Laboratories LP, 6316 WINDFERN ROAD, HOUSTON, TX, 77040, 
        (713) 328-2673 - 0 ($300,000,000.00) Debt Convertible into Equity, 
        (File 333-139506 - Dec. 20) (BR. 04)

S-3     Stanwich Asset Acceptance CO LLC, SEVEN GREENWICH OFFICE PARK, 
        599 WEST PUTNAM AVENUE, GREENWICH, CT, 06830, 204-661-6186 - 
        0 ($1,000,000.00) Mortgage Backed Securities, (File 333-139507 - 
        Dec. 20) (BR. 05)

SB-2    Inrob Tech Ltd., 1515 TROPICANA AVE, SUITE 140, LAS VEGAS, NV, 89119, 
        702-795-3601 - 18,405,000 ($4,969,935.00) Equity, (File 333-139508 - 
        Dec. 20) (BR. 11A)

S-8     IPG PHOTONICS CORP, 50 OLD WEBSTER ROAD, OXFORD, MA, 01540, 
        5083731100 - 10,000,000 ($243,000,000.00) Equity, (File 333-139509 - 
        Dec. 20) (BR. 10)

S-8     ELBIT SYSTEMS LTD, ADVANCED TECHNOLOGY CENTER, PO BOX 539, 
        HAIFA, ISRAEL, L3, 31053, 01197248316626 - 
        2,500,000 ($84,387,500.00) Equity, (File 333-139512 - Dec. 20) (BR. 05B)

S-8     COLLECTORS UNIVERSE INC, COLLECTORS UNIVERSE, INC., 
        1921 E. ALTON AVENUE, SANTA ANA, CA, 92705, 9495671234 - 
        1,355,000 ($17,425.30) Equity, (File 333-139513 - Dec. 20) (BR. 08A)

S-1     PARTICLE DRILLING TECHNOLOGIES INC/NV, 11757 KATY FREEWAY, SUITE 1300, 
        HOUSTON, TX, 77002, 713-223-3031 - 0 ($23,465,000.00) Equity, 
        (File 333-139514 - Dec. 20) (BR. 04B)

SB-2    Safe Rx Pharmacies, Inc., 503 FOURTH STREET, SOUTH POINT, OH, 45680, 
        304.522.0435 - 2,851,476 ($4,948,150.60) Equity, (File 333-139515 - 
        Dec. 20) (BR. )

S-8     RIGEL PHARMACEUTICALS INC, 1180 VETERANS BOULEVARD, 
        SOUTH SAN FRANCISCO, CA, 94080, 0 ($946,213.00) Equity, 
        (File 333-139516 - Dec. 20) (BR. 01B)

S-8     KREISLER MANUFACTURING CORP, 180 VAN RIPER AVE, ELMWOOD PARK, NJ, 
        07407, 201-791-0700 - 0 ($1,336,068.50) Equity, (File 333-139517 - 
        Dec. 20) (BR. 05B)

S-8     GENERAL DYNAMICS CORP, 2941 FAIRVIEW PARK DRIVE, SUITE 100, 
        FALLS CHURCH, VA, 22042-4513, 7038763000 - 0 ($1.00) Equity, 
        (File 333-139518 - Dec. 20) (BR. 06B)

S-8     TUTOGEN MEDICAL INC, 1719 ROUTE 10 STE 314, STE 130, PARSIPPANY, NJ, 
        07054, 973-359-84 - 1,000,000 ($6,600,000.00) Equity, 
        (File 333-139519 - Dec. 20) (BR. 09A)

S-3     BANNER CORP, 10 S FIRST AVENUE, WALLA WALLA, WA, 99362, 5095273636 - 
        100,000,000 ($100,000,000.00) Equity, (File 333-139520 - Dec. 20) 
        (BR. 07A)

F-3ASR  EMPRESA BRASILEIRA DE AERONAUTICA S.A., AV. BRIGADEIRO FARIA LIMA 2170, 
        SAO JOSE DOS CAMPOS, D5, 12227901, 551239274404 - 0 ($0.00) Equity, 
        (File 333-139521 - Dec. 20) (BR. 05A)

S-8     ALTRIA GROUP, INC., 120 PARK AVE, NEW YORK, NY, 10017, 9176634000 - 
        0 ($931,260,000.00) Equity, (File 333-139522 - Dec. 20) (BR. 04B)

S-8     ALTRIA GROUP, INC., 120 PARK AVE, NEW YORK, NY, 10017, 9176634000 - 
        0 ($1,227,570,000.00) Equity, (File 333-139523 - Dec. 20) (BR. 04B)

S-3     KULICKE & SOFFA INDUSTRIES INC, 1005 VIRGINIA DRIVE, FT. WASHINGTON, 
        PA, 19034, 2157846000 - 200,000 ($1,622,000.00) Equity, 
        (File 333-139524 - Dec. 20) (BR. 10B)

S-1     FGX International Holdings LTD, 500 GEORGE WASHINGTON HIGHWAY, 
        SMITHFIELD, RI, 02917, (401) 231-3800 - 0 ($143,750,000.00) Equity, 
        (File 333-139525 - Dec. 20) (BR. )

S-3     INTELLIGROUP INC, 499 THORNALL STREET, EDISON, NJ, 08837, 7325901600 - 
        24,313,725 ($32,337,254.25) Equity, (File 333-139526 - Dec. 20) 
        (BR. 03C)

SB-2    Surge Global Energy, Inc., 12220 EL CAMINO REAL, #400, SAN DIEGO, CA, 
        92130, 858-704-5010 - 11,400,000 ($6,669,000.00) Equity, 
        (File 333-139527 - Dec. 20) (BR. 04A)

SB-2    Disaster Preparedness Systems Inc., 3531 COMMERCIAL STREET, VANCOUVER, 
        A1, V5N 4E8, 250-888-5586 - 0 ($2,259,159.00) Equity, 
        (File 333-139528 - Dec. 20) (BR. )


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:
   <publicinfo@sec.gov>.  In  most  cases,  this  information   is   also
   available on the Commission's website: <www.sec.gov>.


				        STATE     
NAME OF ISSUER                          CODE   	 8K ITEM NO.		    	DATE       COMMENT
-------------------------------------------------------------------------------------------------------
3COM CORP                               DE       2.02,9.01                      12/20/06

3D SYSTEMS CORP                         DE       1.01,9.01                      12/18/06

A CONSULTING TEAM INC                   NY       1.01                           12/15/06

AAR CORP                                DE       2.02,9.01                      12/20/06

ABOVENET INC                            DE       8.01                           12/15/06

ACCENTURE LTD                                    2.02,9.01                      12/20/06

ACCENTURE SCA                                    2.02,9.01                      12/20/06

ACL SEMICONDUCTOR INC                            4.01,9.01                      12/20/06

ACTUANT CORP                            WI       2.02,9.01                      12/20/06

ADAMS GOLF INC                          DE       1.01,8.01,9.01                 12/15/06

ADVANCED MICRO DEVICES INC              DE       1.01,5.02,5.03,9.01            12/16/06

ADVENTRX PHARMACEUTICALS INC            DE       5.02,9.01                      12/20/06

ADVO INC                                DE       1.01,9.01                      12/18/06

AERO GROUP INCORPORATED                 UT       4.01                           09/16/06

AFFYMETRIX INC                          DE       5.02,9.01                      12/19/06

AFTERMARKET TECHNOLOGY CORP             DE       7.01                           12/20/06

AIR PRODUCTS & CHEMICALS INC /DE/       DE       7.01,9.01                      12/20/06

AIRTRAN HOLDINGS INC                    NV       8.01,9.01                      12/19/06

AKESIS PHARMACEUTICALS, INC.            NV       1.01,2.03,3.02,8.01,9.01       12/15/06

ALANCO TECHNOLOGIES INC                 AZ       1.01                           12/20/06

ALLEGHENY TECHNOLOGIES INC              DE       1.01,9.01                      12/15/06

ALLIANCE IMAGING INC /DE/               DE       5.02,9.01                      12/14/06

ALLOY  INC                              DE       1.01,5.02,9.01                 12/19/06

ALLSTATE CORP                           DE       5.02,9.01                      12/20/06

ALLSTATE LIFE INSURANCE CO                       8.01,9.01                      12/20/06

ALLSTATE LIFE INSURANCE CO OF NEW YOR            8.01,9.01                      12/20/06

Alphatec Holdings, Inc.                 DE       5.02,9.01                      12/14/06

Alternative Loan Trust 2006-39CB                 8.01,9.01                      11/29/06

Alternative Loan Trust 2006-41CB                 8.01,9.01                      12/18/06

Alternative Loan Trust 2006-OA22                 8.01,9.01                      12/11/06

Altra Holdings, Inc.                    DE       8.01,9.01                      12/20/06

Altra Industrial Motion, Inc.           DE       8.01,9.01                      12/20/06

Altus Pharmaceuticals Inc.              DE       8.01,9.01                      12/19/06

Altus Pharmaceuticals Inc.              DE       7.01,9.01                      12/19/06    AMEND

AMEDIA NETWORKS, INC.                   DE       1.01,2.03,8.01                 12/12/06

AMERICAN ITALIAN PASTA CO               DE       3.01,8.01,9.01                 12/15/06

American Racing Capital, Inc.           NV       1.01,8.01,9.01                 11/21/06

AMERICAN TECHNOLOGY CORP /DE/           DE       4.02,7.01,9.01                 12/15/06

American Telecom Services Inc                    8.01,9.01                      12/20/06

AMERICAN TOWER CORP /MA/                DE       8.01,9.01                      12/20/06

Ames True Temper, Inc.                  DE       2.02,9.01                      12/20/06

ANHEUSER-BUSCH COMPANIES, INC.          DE       8.01,9.01                      12/20/06

ANIKA THERAPEUTICS INC                  MA       5.02,9.01                      12/14/06

ANTS SOFTWARE INC                       DE       2.03,3.02                      12/20/06

APPLEBEES INTERNATIONAL INC             DE       1.01,2.03,9.01                 12/18/06

APPLIED SIGNAL TECHNOLOGY INC           CA       2.02,9.01                      12/20/06

ARAMARK CORP/DE                         DE       8.01,9.01                      12/20/06

Ardent Acquisition CORP                 DE       1.01,9.01                      12/15/06

ARK RESTAURANTS CORP                    NY       2.02,8.01,9.01                 12/20/06

ARTESIAN RESOURCES CORP                 DE       8.01                           12/19/06

Asset Backed Securities CORP Home Equ   DE       8.01,9.01                      12/19/06

ASSURANCEAMERICA CORP                   NV       4.01,9.01                      11/30/06    AMEND

ASSURED GUARANTY LTD                             1.01,9.01                      12/13/06

ASSURED GUARANTY LTD                             1.01,9.01                      12/18/06

AUTODESK INC                            DE       5.02,9.01                      12/14/06

AVICI SYSTEMS INC                       DE       5.02,9.01                      12/19/06

AVIS BUDGET GROUP, INC.                 DE       1.01,9.01                      12/20/06

BALLY TOTAL FITNESS HOLDING CORP        DE       5.02,8.01,9.01                 12/14/06

BANDAG INC                              IA       5.02,8.01,9.01                 12/14/06

BANK ONE AUTO SECURITIZATION TRUST 20   DE       8.01,9.01                      12/20/06

BANNER CORP                             WA       8.01                           12/20/06

BAR HARBOR BANKSHARES                   ME       8.01                           12/20/06

BDC Capital, Inc.                       MN       8.01                           12/14/06

BDC Capital, Inc.                       MN       5.02                           10/16/06    AMEND

BEACON POWER CORP                       DE       7.01,9.01                      12/18/06

Bear Stearns Asset Backed Securities    DE       9.01                           11/30/06

Bear Stearns Mortgage Funding Trust 2   DE       9.01                           11/30/06

BEAZER HOMES USA INC                    DE       5.03,8.01,9.01                 12/20/06

BEHRINGER HARVARD REIT I INC            MD       7.01,9.01                      12/20/06

BENACQUISTA GALLERIES INC               NV       8.01                           12/18/06

Bidz.com, Inc.                          CA       5.02,9.01                      12/18/06

BIG DOG HOLDINGS INC                    DE       1.01,2.03,7.01                 11/28/06

BigString CORP                          DE       8.01,9.01                      12/18/06

BIOJECT MEDICAL TECHNOLOGIES INC        OR       4.01,8.01,9.01                 12/14/06

BLUE COAT SYSTEMS INC                   DE       3.01,9.01                      12/14/06

BLUE RIDGE REAL ESTATE CO               PA       1.01,2.03,9.01                 12/15/06

BLYTH INC                               DE       1.01                           12/20/06

BNS HOLDING, INC.                                4.01,9.01                      12/08/06    AMEND

BOSTON PRIVATE FINANCIAL HOLDINGS INC   MA       8.01,9.01                      12/20/06

BOWNE & CO INC                          DE       5.02                           12/14/06

BRE PROPERTIES INC /MD/                 MD       7.01,9.01                      12/19/06

BRIDGE BANCORP INC                      NY       8.01,9.01                      12/19/06

BROOKE CORP                             KS       7.01,9.01                      12/18/06

BUILDING MATERIALS CORP OF AMERICA      DE       8.01,9.01                      12/20/06

CADENCE DESIGN SYSTEMS INC              DE       2.03,3.02,8.01,9.01            12/14/06

CAM COMMERCE SOLUTIONS INC              DE       1.01                           12/19/06

CAM COMMERCE SOLUTIONS INC              DE       1.01                           12/20/06

CAMCO FINANCIAL CORP                    DE       8.01,9.01                      12/19/06

CANARGO ENERGY CORP                     DE       7.01,9.01                      12/18/06

CANYON COPPER CORP.                              7.01,9.01                      12/19/06

CAPITAL AUTO RECEIVABLES LLC            DE       8.01,9.01                      12/14/06

CAREER EDUCATION CORP                   DE       5.02,9.01                      12/19/06

CARMAX INC                              VA       2.02,9.01                      12/20/06

CASCADE CORP                            OR       1.01,2.01,9.01                 12/14/06

CASPIAN INTERNATIONAL OIL CORP          DE       5.02,9.01                      12/05/06

CASUAL MALE RETAIL GROUP INC            DE       2.04,9.01                      12/18/06

CEC ENTERTAINMENT INC                   KS       2.02,4.02,9.01                 11/13/06    AMEND

CELLSTAR CORP                           DE       1.01,9.01                      11/20/06

CENTRAL HUDSON GAS & ELECTRIC CORP      NY       1.01,2.03,9.01                 12/19/06

CENTRAL PACIFIC FINANCIAL CORP          HI       8.01,9.01                      12/20/06

CENTURYTEL INC                          LA       1.01,8.01,9.01                 12/19/06

CEPHALON INC                            DE       1.01,3.02,8.01                 12/19/06

CH ENERGY GROUP INC                     NY       1.01,2.03,9.01                 12/19/06

CHENIERE ENERGY INC                     DE       5.02,9.01                      12/15/06

CHESAPEAKE ENERGY CORP                  OK       5.02,9.01                      12/15/06

CHICOS FAS INC                          FL       5.02                           12/18/06

CHINA EXPERT TECHNOLOGY, INC.           NV       1.01,9.01                      12/18/06

CHINA EXPERT TECHNOLOGY, INC.           NV       1.01,9.01                      12/12/06    AMEND

CHORDIANT SOFTWARE INC                  DE       3.01,9.01                      12/19/06

Citicorp Mortgage Securities Trust, S   DE       9.01                           12/20/06

CITIZENS COMMUNICATIONS CO              DE       5.02                           12/20/06

CLOROX CO /DE/                          DE       8.01,9.01                      12/20/06

CN BANCORP INC                          MD       8.01,9.01                      12/18/06

COACH INDUSTRIES GROUP INC              NV       1.01,9.01                      12/05/06

COBIZ INC                               CO       1.01,9.01                      12/19/06

COGNOS INC                              CA       2.02,9.01                      12/20/06

COHERENT INC                            DE       3.01,8.01,9.01                 12/15/06

Cold Spring Capital Inc.                DE       8.01,9.01                      12/19/06

COLLINS & AIKMAN CORP                   DE       1.01                           12/14/06

COMMONWEALTH BANKSHARES INC             VA       8.01,9.01                      12/19/06

COMMONWEALTH EDISON CO                  IL       1.01,2.03,9.01                 12/19/06

CONSECO INC                             DE       5.05                           12/14/06

CONSECO INC                             DE       5.02                           08/09/06    AMEND

CONSOLIDATED ENERGY INC                 WY       1.01,2.03,9.01                 12/15/06

CONTANGO OIL & GAS CO                   DE       1.01,2.01,9.01                 12/14/06

COOPER TIRE & RUBBER CO                 DE       1.01,9.01                      12/18/06

COOPER TIRE & RUBBER CO                 DE       5.02,9.01                      12/19/06

Cooper-Standard Holdings Inc.           DE       8.01,9.01                      12/18/06

Copano Energy, L.L.C.                   DE       8.01,9.01                      12/19/06

CORINTHIAN COLLEGES INC                          5.02,9.01                      12/15/06

CRYOLIFE INC                            FL       1.01,8.01,9.01                 12/15/06

CURIS INC                               DE       5.02,9.01                      12/14/06

CWABS Asset-Backed Certificates Trust   DE       9.01                           09/29/06

CYANOTECH CORP                          NV       8.01                           12/18/06

CYBER DIGITAL INC                       NY       1.01                           12/14/06

CYGNE DESIGNS INC                       DE       2.02,9.01                      12/20/06

CYTOKINETICS INC                                 8.01,9.01                      12/20/06

DAKOTA GROWERS PASTA CO INC             ND       7.01,9.01                      12/20/06

DARDEN RESTAURANTS INC                  FL       2.02,9.01                      12/19/06

DATAJUNGLE SOFTWARE INC                 NV       5.02                           12/15/06

DATAMEG CORP                            DE       8.01                           12/20/06

DAVITA INC                              DE       1.01,5.02,5.03,9.01            12/14/06

DELL INC                                DE       5.02,9.01                      12/15/06

DELMARVA POWER & LIGHT CO /DE/          DE       1.01,2.03,9.01                 12/20/06

DENDRITE INTERNATIONAL INC              NJ       1.01,9.01                      12/14/06

DENNYS CORP                             DE       1.01,2.03,9.01                 12/15/06

DIGITAL ANGEL CORP                      DE       5.02,9.01                      12/18/06

DIGITAL RECORDERS INC                   NC       7.01,9.01                      12/20/06

Double-Take Software, Inc.              DE       1.01,3.02,5.03,9.01            12/14/06

DreamWorks Animation SKG, Inc.                   1.01,9.01                      12/18/06

DYNTEK INC                              DE       5.02                           12/14/06

ECOLAB INC                              DE       2.03                           12/14/06

ECOSPHERE TECHNOLOGIES INC              FL       1.01,3.02,9.01                 12/19/06

EDEN ENERGY CORP                        NV       7.01,9.01                      12/19/06

EDISON INTERNATIONAL                    CA       5.03                           12/18/06

EDUCATION FUNDING CAPITAL I, LLC        DE       8.01,9.01                      12/15/06

EDUCATION FUNDING CAPITAL TRUST III     DE       8.01,9.01                      12/15/06

EDUCATION FUNDING CAPITAL TRUST-IV      DE       6.04,9.01                      12/15/06

EDULINK INC                             NV       1.01,2.01,5.01,5.02, 	        08/11/06    AMEND
					         5.03,5.06,9.01

EMCORE CORP                             NJ       5.02,5.03,9.01                 12/14/06

EMERSON ELECTRIC CO                     MO       7.01                           12/20/06

ENCYSIVE PHARMACEUTICALS INC            DE       8.01                           12/19/06

Endeavor Acquisition Corp.              DE       1.01,3.02,5.01,8.01,9.01       12/18/06

ENDEAVOUR INTERNATIONAL CORP            NV       8.01,9.01                      12/20/06

EPIX Pharmaceuticals, Inc.                       8.01                           12/08/06

ERICO INTERNATIONAL CORP                         1.01,3.03,9.01                 12/20/06

ERIE INDEMNITY CO                       PA       5.03                           12/20/06

ESB FINANCIAL CORP                      PA       8.01,9.01                      12/20/06

ESCALA GROUP INC                        NY       5.02,9.01                      12/15/06

EXAR CORP                               DE       7.01,9.01                      12/20/06

EXCO RESOURCES INC                      TX       9.01                           02/08/06    AMEND

FARNSWORTH BANCORP INC                  NJ       8.01,9.01                      12/19/06

FAVRILLE INC                            DE       1.01,3.02,9.01                 12/19/06

Federal Home Loan Bank of Boston        X1       5.02                           12/15/06

Federal Home Loan Bank of Topeka                 7.01,9.01                      12/20/06

FEDEX CORP                              DE       2.02,9.01                      12/20/06

FIFTH THIRD AUTO TRUST 2004-A                    8.01,9.01                      12/20/06

FINISH LINE INC /IN/                    IN       2.02,9.01                      12/20/06

FIRST CONSULTING GROUP INC              DE       7.01                           12/19/06

FIRST FRANKLIN CORP                     DE       5.03,9.01                      12/18/06

FIRST KEYSTONE FINANCIAL INC                     1.01,9.01                      12/11/06    AMEND

FIRST MCMINNVILLE CORP                  TN       7.01,9.01                      12/18/06

FIRST MERCHANTS CORP                    IN       7.01,9.01                      12/20/06

FIRSTCITY FINANCIAL CORP                DE       1.01,2.03,9.01                 12/14/06

Fittipaldi Logistics, Inc.              NV       7.01,9.01                      12/15/06

FOREST CITY ENTERPRISES INC             OH       4.01,9.01                      12/13/06

FREMONT MICHIGAN INSURACORP INC         MI       8.01,9.01                      12/20/06

FREMONT MORTGAGE SECURITIES CORP        DE       8.01,9.01                      12/06/06

FRIENDLY ICE CREAM CORP                 MA       7.01,9.01                      12/20/06

FULTON FINANCIAL CORP                   PA       5.02                           12/20/06

FULTON FINANCIAL CORP                   PA       7.01,8.01,9.01                 12/20/06

GEN PROBE INC                           DE       5.02                           12/17/06

GENERAL COMPONENTS, INC.                NV       3.02,9.01                      12/14/06

GENVEC INC                              DE       1.01,8.01,9.01                 12/19/06

George Foreman Enterprises Inc          DE       3.01                           11/24/06

GOLDEN GRAIN ENERGY                              5.02                           12/18/06

GOLDEN GRAIN ENERGY                              2.02,8.01                      12/18/06

GOLDEN TELECOM INC                      DE       1.01,9.01                      12/15/06

Granite Falls Energy, LLC               MN       2.02,9.01                      12/20/06

GREATER COMMUNITY BANCORP               NJ       8.01,9.01                      12/19/06

GREENBRIER COMPANIES INC                DE       2.02,9.01                      12/20/06

GRUBB & ELLIS CO                        DE       5.02                           12/14/06

Grubb & Ellis Realty Advisors, Inc.     DE       5.02                           12/14/06

GSAA Home Equity Trust 2006-12          DE       8.01,9.01                      07/28/06    AMEND

GSAA Home Equity Trust 2006-16          DE       8.01,9.01                      09/28/06    AMEND

GSAA Home Equity Trust 2006-17          DE       8.01,9.01                      10/30/06    AMEND

GSAA Home Equity Trust 2006-9           DE       8.01,9.01                      05/26/06    AMEND

GTC BIOTHERAPEUTICS INC                 MA       1.01,2.03,3.02,5.02,8.01,9.01  12/14/06

H&R BLOCK INC                           MO       1.01,2.03                      12/15/06

HAMPSHIRE GROUP LTD                     DE       5.02                           12/15/06

HANCOCK HOLDING CO                      MS       5.02,8.01,9.01                 12/19/06

Hanesbrands Inc.                        MD       1.01,2.03,9.01                 12/14/06

Harbin Electric, Inc                             4.01,5.02,5.03,9.01            12/14/06

HarborView 2006-14                      DE       8.01,9.01                      12/20/06

HARLAND JOHN H CO                       GA       1.01,3.03,8.01,9.01            12/19/06

HARLAND JOHN H CO                       GA       8.01,9.01                      12/20/06

HARRAHS ENTERTAINMENT INC               DE       1.01,9.01                      12/19/06

HAYNES INTERNATIONAL INC                DE       8.01                           12/19/06

HCC INSURANCE HOLDINGS INC/DE/          DE       1.01,2.03,7.01,9.01            12/19/06

HEALTH CARE REIT INC /DE/               DE       2.01,2.03,5.02,5.03,9.01       12/20/06

HEICO CORP                              FL       2.02                           12/20/06

HELMERICH & PAYNE INC                   DE       1.01,2.03,9.01                 12/18/06

Home Loan Trust 2006-HI5                DE       8.01,9.01                      12/20/06

Home Loan Trust 2006-HI5                DE       8.01,9.01                      12/20/06

HYDRIL CO                               DE       2.02,9.01                      12/19/06

HYDROFLO INC                                     8.01                           12/19/06

I2 TECHNOLOGIES INC                     DE       1.01,8.01,9.01                 12/14/06

IA GLOBAL INC                           DE       8.01,9.01                      12/18/06

ICF International, Inc.                 DE       1.01,5.02,9.01                 12/20/06

ICO Global Communications (Holdings)    DE       5.03,9.01                      12/19/06

ICP Solar Technologies Inc.                      1.01,8.01,9.01                 12/20/06

IDERA PHARMACEUTICALS, INC.             DE       5.02                           12/14/06

IMMUNE RESPONSE CORP                    DE       3.02,3.03,9.01                 12/18/06

Impac Secured Assets Corp., Mortgage             8.01,9.01                      12/20/06

INDYMAC ABS INC                         DE       8.01,9.01                      12/18/06

INDYMAC ABS INC                         DE       9.01                           12/20/06

INFINITY ENERGY RESOURCES, INC                   2.01,9.01                      12/15/06

INFINITY PHARMACEUTICALS, INC.          DE       5.02                           12/15/06

INLAND RETAIL REAL ESTATE TRUST INC     MD       8.01,9.01                      12/19/06

INNODATA ISOGEN INC                     DE       5.02,9.01                      12/14/06

INNODATA ISOGEN INC                     DE       5.02                           12/14/06

INTEGRAL SYSTEMS INC /MD/               MD       8.01                           12/14/06

INTEGRAL SYSTEMS INC /MD/               MD       5.02                           12/18/06

INTEGRAL TECHNOLOGIES INC               NV       1.01,7.01,9.01                 12/18/06

INTEGRATED ELECTRICAL SERVICES INC      DE       4.02                           12/20/06

INTEGRATED SILICON SOLUTION INC         DE       3.01                           12/18/06

Interactive Television Networks         NV       1.01,3.02,8.01,9.01            12/14/06

INTERNATIONAL BUSINESS MACHINES CORP    NY       8.01                           12/20/06

INTERNATIONAL GAME TECHNOLOGY           NV       1.01,2.03,3.02,8.01,9.01       12/14/06

IRIS INTERNATIONAL INC                  DE       5.02                           11/13/06

J P MORGAN CHASE & CO                   DE       9.01                           12/19/06

JABIL CIRCUIT INC                       DE       2.02,9.01                      12/20/06

JAFRA WORLDWIDE HOLDINGS LUX SARL       N4       1.01,9.01                      12/19/06

JAGGED PEAK, INC.                       NV       1.01,2.02,2.03,7.01,9.01       12/20/06

JETBLUE AIRWAYS CORP                    DE       7.01,9.01                      12/20/06

JMG Exploration, Inc.                   NV       7.01,9.01                      12/20/06

JPMAC 2006-WMC4                         DE       8.01,9.01                      12/20/06

JUNIPER NETWORKS INC                    DE       8.01,9.01                      12/20/06

Kearny Financial Corp.                  X1       8.01                           12/18/06

KENT FINANCIAL SERVICES INC             DE       5.03,9.01                      12/15/06

Kodiak Oil & Gas Corp                            1.01,8.01,9.01                 12/18/06

KULICKE & SOFFA INDUSTRIES INC          PA       5.02                           12/18/06

LANDRYS RESTAURANTS INC                          8.01                           12/19/06

LAS VEGAS SANDS CORP                    NV       1.01,2.03                      12/14/06

LEAPFROG ENTERPRISES INC                         2.05                           12/14/06

LEAR CORP                               DE       8.01                           12/20/06

LECG CORP                               DE       1.01,9.01                      12/15/06

LENNOX INTERNATIONAL INC                DE       1.01,9.01                      12/14/06

Lexington Energy Services Inc.          NV       1.02                           12/20/06

LEXMARK INTERNATIONAL INC /KY/          DE       5.03,8.01,9.01                 12/20/06

LIBERTY MEDIA CORP                               5.02                           12/15/06

LIFE SCIENCES RESEARCH INC              MD       1.01,5.02,9.01                 12/06/06    AMEND

LINDSAY CORP                            DE       2.02,9.01                      12/20/06

LIPID SCIENCES INC/                     AZ       1.01,3.02,7.01,9.01            12/18/06

LOGICVISION INC                         DE       1.01,3.02,9.01                 12/19/06

LONE STAR TECHNOLOGIES INC              DE       1.01,9.01                      12/20/06

M & F WORLDWIDE CORP                    DE       1.01,8.01,9.01                 12/19/06

MAGNETEK INC                            DE       5.02                           12/19/06

MARTIN MIDSTREAM PARTNERS LP            DE       3.02,7.01,9.01                 12/20/06

MDwerks, Inc.                           DE       4.01,9.01                      12/18/06

MEDCOM USA INC                          DE       8.01                           12/19/06

MEDICAL ACTION INDUSTRIES INC           DE       9.01                           10/18/06    AMEND

MEDIS TECHNOLOGIES LTD                  DE       8.01,9.01                      12/20/06

MEMORY PHARMACEUTICALS CORP                      3.02,8.01,9.01                 12/18/06

MERITAGE HOSPITALITY GROUP INC          MI       3.01,9.01                      12/20/06

METLIFE INC                             DE       8.01,9.01                      12/14/06

MFRI INC                                DE       1.01,2.03,9.01                 12/15/06

MILLER HERMAN INC                       MI       2.02,9.01                      12/20/06

Millstream II Acquisition CORP          DE       8.01,9.01                      12/19/06

Millstream II Acquisition CORP          DE       8.01,9.01                      12/20/06

MIVA, INC.                              DE       5.02,9.01                      12/15/06

MOVIE STAR INC /NY/                     NY       1.01,3.02,5.03,9.01            12/18/06

MULTI COLOR CORP                        OH       8.01                           12/18/06

MULTIMEDIA GAMES INC                    TX       2.02,9.01                      12/14/06

NATCO INTERNATIONAL INC.                DE       4.01                           12/19/06    AMEND

NATIONAL BANCSHARES CORP /OH/           OH       2.02,9.01                      12/20/06

NATIONAL CITY CORP                      DE       5.02,8.01,9.01                 12/19/06

NATURAL RESOURCE PARTNERS LP            DE       1.01,3.02,9.01                 12/19/06

NATUS MEDICAL INC                       DE       5.02,9.01                      12/14/06

NCR CORP                                MD       5.02,9.01                      12/18/06

NEENAH FOUNDRY CO                       WI       8.01,9.01                      12/15/06

NESTOR INC                              DE       8.01                           12/20/06

NETWORK APPLIANCE INC                   CA       1.01,2.03                      12/14/06

NEUROGEN CORP                           DE       8.01                           12/20/06

NEW YORK TIMES CO                       NY       4.01,9.01                      12/14/06

NEWS CORP                                        8.01                           12/19/06

NIKE INC                                OR       2.02,9.01                      12/20/06

NORD RESOURCES CORP                     DE       8.01,9.01                      12/20/06

NORTHERN STATES POWER CO                MN       1.01,1.02,2.03,9.01            12/14/06

NOVA BIOSOURCE FUELS, INC.              NV       1.01,3.02,7.01,9.01            12/19/06

NOVATEL WIRELESS INC                    DE       7.01                           12/15/06

NOVINT TECHNOLOGIES INC                 DE       1.01,9.01                      12/19/06

NTS REALTY HOLDINGS LP                  DE       8.01,9.01                      12/19/06

NUCLEAR SOLUTIONS INC                   NV       1.01,7.01,9.01                 12/12/06

NUCRYST Pharmaceuticals Corp.           A0       5.02,9.01                      12/20/06

OCEAN SHORE HOLDING CO                  X1       5.02                           12/20/06

OLD SECOND BANCORP INC                  DE       8.01                           12/19/06

ON ASSIGNMENT INC                       DE       1.01                           12/14/06

ON SEMICONDUCTOR CORP                   DE       1.01,2.03,3.02,8.01,9.01       12/15/06

Optelecom-NKF, Inc.                     DE       5.02,9.01                      12/18/06

Opteum Inc.                             MD       2.02,8.01,9.01                 12/20/06

ORIGINALLY NEW YORK INC                          3.02                           12/20/06

OVERSEAS SHIPHOLDING GROUP INC          DE       8.01,9.01                      12/19/06

OVERSTOCK.COM, INC                      UT       8.01,9.01                      12/20/06

OXFORD INDUSTRIES INC                   GA       5.02,9.01                      12/20/06

PAINEWEBBER R&D PARTNERS III L P        DE       5.02                           11/14/06

PARK ELECTROCHEMICAL CORP               NY       9.01                           12/20/06

PATHMARK STORES INC                     DE       1.01,9.01                      12/15/06

PAYCHEX INC                             DE       2.02                           12/20/06

PDG ENVIRONMENTAL INC                   DE       4.02,8.01                      12/20/06

PDI INC                                          5.02                           12/20/06

PEABODY ENERGY CORP                     DE       1.01,3.03,8.01,9.01            12/14/06

PEAPACK GLADSTONE FINANCIAL CORP        NJ       5.02,9.01                      12/14/06

PEMCO AVIATION GROUP INC                DE       5.02,9.01                      12/14/06

PENN TRAFFIC CO                         DE       5.02,9.01                      12/15/06

PENTON MEDIA INC                        DE       8.01,9.01                      12/20/06

PEOPLES COMMUNITY BANCORP INC /MD/      MD       8.01,9.01                      12/08/06

PETROL OIL & GAS INC                             5.02,8.01,9.01                 12/08/06

PETROSEARCH ENERGY CORP                          1.02,2.01,9.01                 12/15/06

PFF BANCORP INC                         DE       5.02,9.01                      12/14/06

PIZZA INN INC /MO/                      MO       1.01                           12/19/06

PLY GEM HOLDINGS INC                    DE       5.02                           12/20/06

PMC SIERRA INC                          DE       2.02,9.01                      12/20/06

PNC FINANCIAL SERVICES GROUP INC        PA       2.03,3.02                      12/14/06

POLYMEDIX INC                                    8.01                           12/18/06

POLYONE CORP                                     7.01,9.01                      12/20/06

PRIMEDIA INC                            DE       2.02,7.01,9.01                 12/20/06

PRINCETON REVIEW INC                    DE       1.01,2.03,9.01                 12/15/06

PRINCIPAL LIFE INSURANCE CO             IA       9.01                           12/15/06

PRINCIPAL LIFE INSURANCE CO             IA       9.01                           12/15/06

PRINCIPAL LIFE INSURANCE CO             IA       9.01                           12/15/06

PRO PHARMACEUTICALS INC                 NV       5.02,9.01                      12/20/06

PROGENICS PHARMACEUTICALS INC           DE       7.01,9.01                      12/20/06

PROGRESS SOFTWARE CORP /MA              MA       2.02,8.01,9.01                 12/18/06

PROQUEST CO                             DE       1.01,2.02,9.01                 12/14/06

PSS WORLD MEDICAL INC                   FL       8.01,9.01                      12/19/06

PUBLIC SERVICE CO OF COLORADO           CO       1.01,1.02,2.03,9.01            12/14/06

QC Holdings, Inc.                       KS       5.02,5.03,8.01,9.01            12/14/06

QLT INC/BC                              A1       8.01,9.01                      12/19/06

RAE SYSTEMS INC                         DE       7.01,9.01                      12/19/06

RAMP Series 2006-RZ5 Trust              DE       8.01,9.01                      12/20/06

READERS DIGEST ASSOCIATION INC          DE       5.02                           12/20/06

REDBACK NETWORKS INC                    DE       1.01,3.03,9.01                 12/19/06

REEDS INC                               DE       5.02                           12/13/06

Refco Inc.                                       1.03,9.01                      12/15/06

REGAL ENTERTAINMENT GROUP               DE       7.01                           12/20/06

REPTRON ELECTRONICS INC                 FL       1.01,8.01,9.01                 12/18/06

RESOLVE STAFFING INC                    NV       1.01,2.01,2.03,3.02,8.01,9.01  12/19/06    AMEND

Resource Capital Corp.                  MD       1.01,9.01                      12/14/06

REX STORES CORP                         DE       8.01,9.01                      12/20/06

RF MONOLITHICS INC /DE/                 DE       2.02,9.01                      12/20/06

RIDGEWOOD ENERGY K FUND LLC                      4.02                           12/15/06

Rosetta Resources Inc.                  DE       5.02,9.01                      12/15/06

ROTECH HEALTHCARE INC                   DE       5.02,8.01                      12/18/06

ROWAN COMPANIES INC                     DE       7.01,9.01                      12/20/06

RURAL ELECTRIC COOPERATIVE GRANTOR TR   NY       8.01,9.01                      12/15/06

SALAMON GROUP INC                                4.01                           11/16/06    AMEND

SALON MEDIA GROUP INC                   DE       1.01,3.02,9.01                 12/18/06

SAMSONITE CORP/FL                       DE       8.01,9.01                      12/20/06

SAVVIS, Inc.                            DE       1.01,2.03,9.01                 12/18/06

SCANA CORP                              SC       2.03                           12/19/06

SCOTIA PACIFIC CO LLC                   DE       8.01                           12/18/06

SECURED FINANCIAL NETWORK, INC.         NV       4.01,9.01                      12/14/06    AMEND

SENESCO TECHNOLOGIES INC                DE       5.02                           12/14/06

SHUTTERFLY INC                                   5.02                           12/15/06

SIERRA PACIFIC RESOURCES /NV/           NV       8.01                           12/19/06

SIERRA PACIFIC RESOURCES /NV/           NV       8.01,9.01                      12/19/06

SIGA TECHNOLOGIES INC                   DE       8.01,9.01                      12/20/06

SIMPSON MANUFACTURING CO INC /CA/       DE       5.02,9.01                      12/14/06

SM&A                                    CA       1.01,9.01                      12/19/06

SoftNet Technology Corp.                NV       2.01,9.01                      12/13/06    AMEND

SOLUTIA INC                             DE       5.02                           12/14/06

Somaxon Pharmaceuticals, Inc.           DE       7.01,9.01                      12/18/06

SONIC CORP                              DE       8.01,9.01                      12/20/06

SONIC INNOVATIONS INC                   DE       5.03,8.01,9.01                 12/11/06

SOUTHCREST FINANCIAL GROUP INC          GA       5.02                           12/14/06

SOUTHWESTERN PUBLIC SERVICE CO          NM       1.01,1.02,2.03,9.01            12/14/06

Spansion Inc.                           DE       5.02                           12/15/06

SPECTRE GAMING INC                      MN       5.02,8.01,9.01                 12/18/06

STAR ENERGY CORP                        NV       5.02                           12/12/06

STEINWAY MUSICAL INSTRUMENTS INC        DE       1.01,9.01                      12/15/06

STERLING FINANCIAL CORP /PA/            PA       5.02                           12/19/06

Storm Cat Energy CORP                            5.02,8.01,9.01                 12/14/06

STRUCTURED OBLIGATIONS CORP LONG TERM   DE       8.01,9.01                      12/15/06

STRUCTURED OBLIGATIONS CORP LONG TERM   DE       8.01,9.01                      12/15/06

STRUCTURED OBLIGATIONS CORP LONG TERM   DE       8.01,9.01                      12/15/06

STRUCTURED OBLIGATIONS CORP SELECT NO   DE       8.01,9.01                      12/15/06

STRUCTURED OBLIGATIONS CORP SELECT NO   DE       8.01,9.01                      12/15/06

STRUCTURED PRODUCTS CORP CORTS TRUST    DE       8.01,9.01                      12/18/06

SUMMIT FINANCIAL GROUP INC              WV       5.02,9.01                      12/14/06

SUPERIOR ENERGY SERVICES INC            DE       1.01,8.01,9.01                 12/14/06

SYMBION INC/TN                          DE       7.01,9.01                      12/19/06

SYS                                     CA       4.01,9.01                      12/15/06

SYSTEMAX INC                            DE       2.02,9.01                      12/19/06

TAL International Group, Inc.           DE       8.01,9.01                      12/19/06

TARGET RECEIVABLES CORP                 MN       8.01,9.01                      12/20/06

TARGET RECEIVABLES CORP                 MN       8.01,9.01                      12/20/06

TASER INTERNATIONAL INC                          8.01,9.01                      12/13/06

TAUBMAN CENTERS INC                     MI       7.01,9.01                      12/20/06

TBX RESOURCES INC                       TX       4.01,9.01                      12/07/06

TC PIPELINES LP                         DE       2.01,9.01                      12/19/06

TECHNEST HOLDINGS INC                   NV       5.03,9.01                      12/14/06

TERADYNE, INC                           MA       5.02                           12/19/06

THIRD WAVE TECHNOLOGIES INC /WI         DE       2.03,3.02,9.01                 12/20/06

TITAN INTERNATIONAL INC                 IL       8.01,9.01                      12/19/06

TorreyPines Therapeutics, Inc.          DE       5.02,9.01                      12/14/06

TRAMMELL CROW CO                        DE       1.02,2.01,3.01,3.03,5.01, 	12/20/06
					         5.02,5.03,9.01

TRI-CONTINENTAL CORP                    MD       7.01,9.01                      12/20/06

TRIAD AUTOMOBILE RECEIVABLES TRUST 20            8.01,9.01                      12/20/06

TRIAD HOSPITALS INC                     DE       5.02                           12/14/06

TRIMERIS INC                            DE       5.02,9.01                      12/20/06

TRM CORP                                OR       1.01                           12/14/06

TUESDAY MORNING CORP/DE                 DE       2.02,9.01                      12/19/06

TUESDAY MORNING CORP/DE                 DE       5.03,9.01                      12/14/06

TUPPERWARE BRANDS CORP                  DE       5.02,9.01                      12/14/06

ULTRATECH INC                           DE       5.02,7.01,9.01                 12/14/06

UNIPRO FINANCIAL SERVICES INC                    4.01,9.01                      12/18/06

UNITED GUARDIAN INC                     DE       5.02,8.01,9.01                 12/20/06

UNITED PARCEL SERVICE INC               DE       5.02,9.01                      12/18/06

UNITY WIRELESS CORP                     DE       1.01,2.03,3.02                 12/19/06

UNUMPROVIDENT CORP                      DE       5.02,9.01                      12/15/06

VALASSIS COMMUNICATIONS INC             DE       1.01,9.01                      12/18/06

VALENCE TECHNOLOGY INC                  DE       3.02,9.01                      12/18/06

VALLEY FINANCIAL CORP /VA/              VA       1.01,2.03,9.01                 12/20/06

VAXGEN INC                              DE       1.02,8.01,9.01                 12/19/06

VERTICALNET INC                         PA       1.01,2.03,7.01,9.01            12/19/06

VISTEON CORP                            DE       5.02,9.01                      12/14/06

VITESSE SEMICONDUCTOR CORP              DE       8.01,9.01                      12/19/06

VITESSE SEMICONDUCTOR CORP              DE       4.01,5.02,9.01                 12/14/06

VMS NATIONAL PROPERTIES JOINT VENTURE   IL       1.01,9.01                      12/14/06

Volkswagen Auto Lease Trust 2004-A      DE       8.01,9.01                      12/20/06

Volkswagen Auto Lease Trust 2005-A               8.01,9.01                      12/20/06

VOLKSWAGEN AUTO LOAN ENHANCED TRUST 2            1.02,2.01,8.01,9.01            12/20/06

VOLKSWAGEN AUTO LOAN ENHANCED TRUST 2   DE       8.01,9.01                      12/20/06

Volkswagen Auto Loan Enhanced Trust 2            8.01,9.01                      12/20/06

Volkswagen Credit Auto Master Owner T   DE       8.01,9.01                      12/20/06

WAL MART STORES INC                     DE       8.01,9.01                      12/14/06

WALTER INDUSTRIES INC /NEW/             DE       1.01,2.01,5.02,8.01,9.01       12/14/06

WaMu Mortgage Pass-Through Certificat   DE       6.01                           12/20/06

Waterbank of America (USA) Inc.         UT       8.01,9.01                      12/13/06

Wauwatosa Holdings, Inc.                WI       5.02,9.01                      12/19/06

WELLS FARGO & CO/MN                     DE       9.01                           12/20/06

Welwind Energy International CORP       DE       1.01,9.01                      08/17/06    AMEND

Wentworth Energy, Inc.                  OK       4.02                           12/13/06

WESCORP ENERGY INC                               1.01,3.02,7.01,9.01            12/14/06

WESTERN ALLIANCE BANCORPORATION                  1.01,8.01,9.01                 12/19/06

WEYERHAEUSER CO                         WA       5.02                           12/14/06    AMEND

WHEELING PITTSBURGH CORP /DE/           DE       5.02                           12/19/06

WHITNEY HOLDING CORP                    LA       1.01                           12/20/06

WHITTIER ENERGY CORP                    NV       4.02                           12/14/06

WILLOWTREE ADVISOR, INC.                NV       4.01,9.01                      12/15/06

WINDSTREAM CORP                         DE       5.02                           12/14/06

WINMARK CORP                            MN       5.02,9.01                      12/14/06

WINNER MEDICAL GROUP INC                NV       2.02,9.01                      12/20/06

WINSTON HOTELS INC                      NC       5.02,9.01                      12/20/06

WISCONSIN ENERGY CORP                   WI       1.01                           12/19/06

WMS INDUSTRIES INC /DE/                 DE       1.01,5.02,9.01                 12/14/06

X & O Cosmetics, Inc                             8.01,9.01                      12/15/06

XCEL ENERGY INC                         MN       1.01,1.02,2.03,9.01            12/14/06

XINYINHAI TECHNOLOGY, LTD.              UT       4.01,9.01                      12/18/06

YOUNG INNOVATIONS INC                   MO       5.02                           12/19/06

ZILA INC                                DE       5.02                           12/14/06

ZILA INC                                DE       8.01,9.01                      12/18/06