SEC NEWS DIGEST


   Issue 2006-221 					November 16, 2006



   ENFORCEMENT PROCEEDINGS


   IN THE MATTER OF RESEARCH AFFILIATES, LLC

   On November 15, the Commission issued an Order Affirming the Denial of
   Requests  for  Confidential  Treatment  in  the  Matter  of   Research
   Affiliates LLC.  Research  had  requested  confidential  treatment  of
   information filed pursuant to Section 13(f) of the Securities Exchange
   Act of 1934 for the calendar quarters ended Sept. 30, 2005,  and  Dec.
   31, 2005. (Rel. 34-54757)

   COURT ENTERS JUDGMENT OF PERMANENT INJUNCTION AND OTHER RELIEF AGAINST
   DEFENDANT GLENN GLASSHAGEL

   The Commission announced that on Nov. 1, 2006, the Honorable Marcia G.
   Cooke of the U.S. District Court for the Southern District of  Florida
   entered a Judgment of Permanent Injunction and  Other  Relief  against
   Defendant Glenn E. Glasshagel. Glasshagel consented to the entry of an
   injunction against future violations of Sections 10(b) and 13(b)(5) of
   the Securities Exchange Act of 1934, and Rules 10b-5, 13b2-1 and 13b2-
   2 thereunder, and from aiding and abetting any  future  violations  of
   Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the  Exchange  Act  and
   Rules 12b-20, 13a-1 and 13a-13 thereunder. In addition,  the  Judgment
   bars Glasshagel from acting as an  officer  or  director  pursuant  to
   Section 21(d)(2) of the Exchange Act, and  provides  for  disgorgement
   and the imposition of a civil penalty to be determined by agreement of
   the parties or by the Court, upon motion by the  Commission.  [SEC  v.
   Glenn E. Glasshagel, Case No. 05-61159-CIV-Cooke/Brown] (LR-19911; AAE
   Rel. No. 2514)

   FORMER HEAD  OF  WORLD-WIDE  SALES  AT  COMPUTER  ASSOCIATES,  STEPHEN
   RICHARDS, SENTENCED TO 7 YEARS IN  PRISON  FOR  ACCOUNTING  FRAUD  AND
   COMMITTING PERJURY DURING COMMISSION SUBPOENAED TESTIMONY

   The Commission announced that in a criminal  case  prosecuted  by  the
   U.S. Attorney's Office for the Eastern District of New  York,  Stephen
   Richards, a former Head of World-Wide Sales and Senior Vice  President
   of Computer Associates International, Inc., was yesterday sentenced to
   a prison term of 7 years by Judge I. Leo Glasser of the United  States
   District Court for the Eastern District of  New  York.  Judge  Glasser
   will determine Richards' restitution obligation at  a  later  hearing.
   Richards, 41, pled guilty  to  eight  felonies,  including  securities
   fraud, obstruction of justice, and perjury, on  April  24,  2006,  two
   weeks  before  a  scheduled  trial.  Richards  admitted   fraudulently
   inflating the quarterly revenue and earnings of Computer Associates by
   keeping open the company's books past quarter-ends in  order  to  give
   the appearance that the company had met or exceeded quarterly  revenue
   projections, when,  in  fact,  Computer  Associates'  performance  had
   fallen short of those goals.

   The  indictment  charged  that  in  1999  and  2000,  with   Richards'
   participation, over $2 billion in revenue were manipulated to prop  up
   the price of the stock. Richards also admitted to  committing  perjury
   during subpoenaed testimony before the Commission staff to conceal the
   fraud  scheme.  Richards'   co-defendant,   Sanjay   Kumar,   Computer
   Associates' former  Chairman  and  CEO,  also  pled  guilty  to  eight
   felonies on April 24, 2006, and was  sentenced  by  Judge  Glasser  on
   November 2, 2006, to serve 12 years and pay an $8 million  fine.  Five
   other of Richards' co-conspirators previously  entered  guilty  pleas,
   agreed to cooperate with the prosecution and are awaiting  sentencing:
   David Kaplan, David Rivard, Lloyd Silverstein, Steven Woghin  and  Ira
   Zar.

   The Commission  previously  filed  civil  injunctive  actions  against
   Richards, the above-named former Computer  Associates  executives  and
   Computer Associates itself. In the Commission's actions, Judge Glasser
   previously imposed injunctions and other equitable relief, on consent,
   against  all  of  these  defendants.  The  Commission's   claims   for
   disgorgement and civil penalties remain pending against Kumar, Rivard,
   Silverstein, Woghin and Zar.

   The Commission acknowledges the  assistance  of  the  U.S.  Attorney's
   Office for the Eastern District of New York and the Federal Bureau  of
   Investigation in this matter. For further information see  prior  Lit.
   Rel. Nos. 19898, 19730,  18954,  18891,  18665  and  18552.  [U.S.  v.
   Stephen Richards, 04 Cr. No. 846 (E.D.N.Y.) (I.L.G.);  SEC  v.  Sanjay
   Kumar and Stephen Richards, 04 Civ.  4101  (E.D.N.Y.)  (I.L.G.)]  (LR-
   19912; AAE Rel. No. 2515)

   COURT ADOPTS MAGISTRATE'S REPORT AND RECOMMENDATION AND ORDERS  MELVIN
   LEVINE TO PAY A CIVIL PENALTY OF $55,000

   The Commission announced that on Oct. 12, 2006, the  Honorable  Daniel
   T. K. Hurley, United States District Court for the  Southern  District
   of Florida adopted in full Magistrate Judge Frank  J.  Lynch's  report
   and recommendation and ordered Melvin Levine  to  pay  a  civil  money
   penalty in the amount of $55,000.

   Previously, on Oct. 5,  2004,  Judge  Hurley  entered  a  Judgment  of
   Permanent Injunction and Other Relief against Levine. Levine consented
   to the entry of an injunction against  future  violations  of  Section
   10(b)  of  the  Securities  Exchange  Act  of  1934,  and  Rule  10b-5
   thereunder. The Commission alleged in its Complaint  that  Levine  and
   others made materially false and misleading statements and  failed  to
   disclose material  information  in  filings  with  the  Commission  in
   violation of the federal securities laws. [SEC  v.  Rhino  Ecosystems,
   Inc., et al., Case No. 02-80768-CIV-HURLEY/LYNCH (S.D. FL)] (LR-19913)


   COURT ENTERS FINAL JUDGMENTS AGAINST MIN T. MA AND JOYCE MANNI NG

   The Commission announced that the U.S. District Court for the Northern
   District of California entered final judgments,  by  consent,  against
   Min T. Ma and Joyce Manni Ng in settlement of an insider trading  case
   previously filed by the Commission.

   The final judgment against Ma, entered on Sept. 27, 2006,  permanently
   enjoins Ma from violating Section 10(b) of the Exchange Act  and  Rule
   10b-5 thereunder, and orders him to pay  disgorgement  of  $97,067  in
   illegal trading profits  plus  prejudgment  interest.  Payment  of  an
   additional $215,016 in trading  profits  and  imposition  of  a  civil
   penalty were waived based on  Ma's  sworn  representations  about  his
   financial condition.

   The final judgment against Ng, entered on July 29,  2005,  permanently
   enjoins Ng from violating Section 10(b) of the Exchange Act  and  Rule
   10b-5 thereunder, and orders her to pay disgorgement  of  $135,506  in
   illegal trading profits plus prejudgment interest and a civil  penalty
   of $20,000. The determination not to  impose  a  greater  penalty  was
   based on Ng's sworn representations about her financial condition.

   The Commission filed its action against Ma and Ng on  Dec.  14,  2004,
   alleging that they engaged in insider trading by purchasing  stock  in
   advance of mergers they learned about while working as onsite  desktop
   publishers for Merrill Lynch, Pierce, Fenner & Smith Inc.  Ma  and  Ng
   consented to entry of the  respective  final  judgments  against  them
   without admitting or denying the allegations  in  the  complaint.  For
   more information, see Litigation Release No. 18998  (Dec.  14,  2004).
   [SEC v. Min T. Ma and Joyce Manni Ng, Case  No.  C-04-05295-JSW,  N.D.
   Cal.] (LR-19914)

   COURT ENTERS FINAL JUDGMENT SETTING DISGORGEMENT AGAINST MAX FRANCOIS,
   JEAN FRITZ MONTINARD, FOCUS  FINANCIAL  ASSOCIATES,  INC.,  AND  FOCUS
   DEVELOPMENT CENTER, INC. AND CIVIL PENALTIES AGAINST FRANCOIS

   The Commission announced that on  June  20,  2006,  the  Honorable  K.
   Michael Moore, U.S.  District  Judge  for  the  Southern  District  of
   Florida found Max Francois,  Jean  Fritz  Montinard,  Focus  Financial
   Associates, Inc. and  Focus  Development  Center,  Inc.,  jointly  and
   severally liable for disgorgement of $5.9  million,  plus  prejudgment
   interest in the amount of $372,264.01,  for  their  involvement  in  a
   Ponzi scheme that targeted more than 600 Haitian-Americans  living  in
   South Florida  through  local  radio  programs  and  presentations  to
   Haitian-American   church   congregations.   Additionally,   Defendant
   Francois was ordered to pay a civil money penalty of $120,000. [SEC v.
   Focus Financial  Associates,  Inc.,  Civil  Action  No.  05-21527-CIV-
   Moore/Garber (S.D. FL)] (LR-19915)

   JUDGMENT  OF  PERMANENT  INJUNCTION  ENTERED  AGAINST  DEFENDANT  AIBY
   PIERRE-LOUIS

   The Commission announced that on  Nov.  13,  2006,  the  Honorable  K.
   Michael Moore, U.S.  District  Judge  for  the  Southern  District  of
   Florida entered  a  judgment  of  permanent  injunction  against  Aiby
   Pierre-Louis (Pierre-Louis) for his involvement in an  affinity  fraud
   that targeted members  of  the  Haitian-American  community  in  Miami
   through local radio programs  and  presentations  to  Haitian-American
   church congregations.  Pierre-Louis  consented  to  the  entry  of  an
   injunction  against  future  violations  of  Section  17(a)   of   the
   Securities Act of 1933 and Section 10(b) of  the  Securities  Exchange
   Act of 1934 and Rule 10b-5 thereunder. In addition, the Court reserved
   jurisdiction to determine upon the Commission's motion the  amount  of
   disgorgement, prejudgment interest, and civil penalty Pierre-Louis  is
   liable to pay.

   The Commission alleged in its complaint that Pierre-Louis  and  others
   made materially false and misleading statements and failed to disclose
   material information in connection with the sale of twelve-month notes
   in violation of the federal securities laws. [SEC v.  Focus  Financial
   Associates, Inc., Civil  Action  No.  05-21527-CIV-Moore/Garber  (S.D.
   FL)] (LR-19916)

   FORMER SENIOR VICE PRESIDENT OF LENDINGTREE  SETTLES  INSIDER  TRADING
   CASE WITH SEC

   The Commission announced today that on Nov. 14,  2006,  the  Honorable
   Graham C. Mullen, U.S. District Judge  for  the  Western  District  of
   North Carolina, entered a final judgment against  David  N.  Anderson,
   former senior vice president of LendingTree,  in  an  insider  trading
   case the Commission filed in April  2006.  See  SEC  v.  Anderson  and
   Dipietro, No. 3:06 CV 196 (W.D.N.C.  April  24,  2006)/Lit.  Rel.  No.
   19665. Without admitting or denying the allegations in the  complaint,
   Anderson consented to the  entry  of  the  final  judgment  which  (i)
   permanently enjoins him from future violations of Section 10(b) of the
   Securities Exchange Act of  1934,  and  Rule  10b-5  thereunder,  (ii)
   orders him to pay a civil penalty of $219,366.40, and (iii)  bars  him
   from serving as an officer or director of any public company.

   The Commission's complaint alleged that, shortly before a May 5, 2003,
   public  announcement  that  LendingTree  was  being  acquired  by  USA
   Interactive at a  substantial  premium  to  LendingTree  shareholders,
   Anderson (then LendingTree's senior vice  president  of  new  business
   development)  improperly  provided  material,  nonpublic   information
   concerning the pending acquisition to three friends and colleagues  at
   LendingTree -- Michael J. Ricks, John H. Woody, and Mark P. Mead -- as
   well as to a friend  outside  the  company,  Nancy  C.  Dipietro.  The
   complaint alleged that Anderson's tippees  then  purchased  shares  of
   LendingTree  while  in  possession   of   this   material,   nonpublic
   information, and made illegal profits totaling  $219,366.40  following
   the announcement  of  the  acquisition.  The  complaint  alleged  that
   Anderson  violated  Exchange  Act  Section  10(b),  and   Rule   10b-5
   thereunder, by improperly tipping Ricks,  Woody,  Mead,  and  Dipietro
   with  material,   nonpublic   information   concerning   the   pending
   acquisition.

   This concludes the Commission's action against Anderson. In a  related
   criminal case brought by the U.S. Attorney's Office  for  the  Western
   District of North Carolina, Anderson has pled guilty to a felony count
   of making false statements to  the  Commission's  staff.  Anderson  is
   awaiting sentencing in that matter.

   The Commission previously filed  and  settled  insider  trading  cases
   against Anderson's tippees, see SEC  v.  Anderson  and  Dipietro,  No.
   3:06CV196 (W.D.N.C. July 11, 2006)/Lit. Rel.  No.  19762  and  SEC  v.
   Ricks, Woody, and Mead, No. 3:04CV576 (W.D.N.C.  Nov.  22,  2004)/Lit.
   Rel. No. 18983, and has filed  insider  trading  cases  against  other
   individuals  in  connection  with  this  investigation.  For   further
   information see SEC v. Paquette and Lawrence, No. 3:05CV412  (W.D.N.C.
   Sept. 26, 2005)/Lit. Rel. No. 19393; SEC v.  Talbot,  No.  CV  04-4556
   (C.D. Cal. June 24, 2004)/Lit. Rel. No. 18762; and  SEC  v.  Bartlett,
   No. 3:03CV463 (W.D.N.C. Sept. 24, 2003)/Lit. Rel. No. 18361.

   The Commission's investigation continues. [SEC v.  David  N.  Anderson
   and Nancy C. Dipietro, No. 3:06 CV 196 (W.D.N.C.)] (LR-19917)


   INVESTMENT COMPANY ACT RELEASES


   ALLEGIANT FUNDS, ET AL.

   A notice has been issued giving interested persons until Dec. 8, 2006,
   to request a hearing on an application filed by  Allegiant  Funds,  et
   al. for an order granting an  exemption  from  Section  15(a)  of  the
   Investment Company Act and Rule 18f-2 under the Act. The  order  would
   permit certain registered open-end management investment companies  to
   enter  into  and  materially  amend  subadvisory  agreements   without
   shareholder approval. (Rel. IC-27551 - November 13)

   PIONEER AMERICA INCOME TRUST, ET AL.

   An order has been issued on an application filed  by  Pioneer  America
   Income Trust, et al.  under  Section  12(d)(1)(J)  of  the  Investment
   Company Act for an exemption from Sections 12(d)(1)(A) and (B) of  the
   Act and under Sections 6(c) and 17(b) of the Act for an exemption from
   Section 17(a) of the Act. The order permits certain  registered  open-
   end  management  investment  companies  to  acquire  shares  of  other
   registered open end management investment companies  both  within  and
   outside the same group  of  investment  companies.  (Rel.  IC-27552  -
   November 14)


   SELF-REGULATORY ORGANIZATIONS


   IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES

   The  National  Association  of   Securities   Dealers,   through   its
   subsidiary, The Nasdaq Stock Market, Inc. filed a proposed rule change
   (SR-NASD-2006-114)  to  adopt  an  automated   process   for   opening
   quotations of ITS/CAES market makers. Publication is expected  in  the
   Federal Register during the week of November 13. (Rel. 34-54728)

   A proposed rule change (SR-BSE-2006-51) and Amendment  No.  1  thereto
   filed by the Boston Stock  Exchange  relating  to  Exchange  fees  and
   changes  have  become  effective  under  Section  19(b)(3)(A)  of  the
   Securities Exchange Act  of  1934.  Publication  is  expected  in  the
   Federal Register during the week of November 20. (Rel. 34-54747)

   A proposed rule change (SR-Phlx-2006-73)  filed  by  the  Philadelphia
   Stock Exchange relating to the definition of Core Session for XLE  has
   become effective under Section 19(b)(3)(A) of the Securities  Exchange
   Act of 1934. Publication is expected in the  Federal  Register  during
   the week of November 20. (Rel. 34-54749)

   A proposed  rule  change  (SR-NYSEArca-2006-88)  filed  by  NYSE  Arca
   relating to exchange fees and charges has become immediately effective
   under Section 19(b)(3)(A) of the  Securities  Exchange  Act  of  1934.
   Publication is expected in the Federal Register  during  the  week  of
   November 20. (Rel. 34-54750)

   PROPOSED RULE CHANGE

   The NASDAQ Stock Market filed a proposed rule change  (SR-NASDAQ-2006-
   040) to modify certain fees for listing on The Nasdaq Stock Market and
   to make available products and services intended to  assist  companies
   with  their  disclosure  and   regulatory   obligations,   shareholder
   communications,  and  other  corporate  objectives.   Publication   is
   expected in the Federal Register during the week of November 20. (Rel.
   34-54752)


   SECURITIES ACT REGISTRATIONS


   The following registration statements have been  filed  with  the  SEC
   under the Securities Act of 1933. The reported information appears  as
   follows: Form, Name, Address and Phone Number (if  available)  of  the
   issuer of the security; Title and the number and/or face amount of the
   securities  being  offered;  Name  of  the  managing  underwriter   or
   depositor (if  applicable);  File  number  and  date  filed;  Assigned
   Branch; and a designation if the statement is a New Issue.

   Registration statements may be obtained in person or by writing to the
   Commission's  Public  Reference  Branch  at  100   F   Street,   N.E.,
   Washington, D.C. 20549-1090 or at the following  e-mail  box  address:
   <publicinfo@sec.gov>.  In  most  cases,  this  information   is   also
   available on the Commission's website: <www.sec.gov>.


S-3ASR  CHARTERMAC, 625 MADISON AVENUE, NEW YORK, NY, 10022, 2124215333 - 
        267,755 ($5,419,631.20) Equity, (File 333-138706 - Nov. 15) (BR. 08A)

S-8     Homeland Security Network, Inc., 2500 LEGACY DRIVE, SUITE 226, FRISCO, 
        TX, 75034, 214-618-6400 - 30,000,000 ($262,500.00) Equity, 
        (File 333-138708 - Nov. 15) (BR. 05B)

F-10    MINEFINDERS CORP LTD., SUITE 2288, 1177 WEST HASTINGS STREET, 
        VANCOUVER, A1, V6E 2K3, (604) 687-6263 - 0 ($85,000,000.00) Other, 
        (File 333-138709 - Nov. 15) (BR. 04A)

F-1     Central North Airport Group, AEROPUERTO INTERNACIONAL DE MONTERREY, 
        CARRETERA MIGUEL ALEM?N, KM. 24 S/N, APODACA, NUEVO LE?N, O5, 66600, 
        (52) (81) 8625 4300 - 0 ($396,165,000.00) Equity, (File 333-138710 - 
        Nov. 15) (BR. 05)

S-8     WHIRLPOOL CORP /DE/, WHIRLPOOL CNTR 2000 M 63, C/O CORPORATE SECRETARY, 
        BENTON HARBOR, MI, 49022-2692, 6169235000 - 0 ($88,570,000.00) Equity, 
        (File 333-138711 - Nov. 15) (BR. 11C)

S-3ASR  DreamWorks Animation SKG, Inc., GRANDVIEW BUILDING, 1000 FLOWER STREET, 
        GLENDALE, CA, 91201, (818) 695-5000 - 0 ($330,000,000.00) Equity, 
        (File 333-138712 - Nov. 15) (BR. 05A)

S-8     IMMUNOGEN INC, 128 SIDNEY ST, CAMBRIDGE, MA, 02139, 6179952506 - 
        0 ($10,937,500.00) Equity, (File 333-138713 - Nov. 15) (BR. 01A)

F-6     Central North Airport Group, AEROPUERTO INTERNACIONAL DE MONTERREY, 
        CARRETERA MIGUEL ALEM?N, KM. 24 S/N, APODACA, NUEVO LE?N, O5, 66600, 
        (52) (81) 8625 4300 - 100,000,000 ($5,000,000.00) ADRs/ADSs, 
        (File 333-138714 - Nov. 15) (BR. 05)

S-8     LINCOLN EDUCATIONAL SERVICES CORP, 200 EXECUTIVE DRIVE, WEST ORANGE, 
        NJ, 07052, 9737369340 - 1,000,000 ($13,120,000.00) Equity, 
        (File 333-138715 - Nov. 15) (BR. 11B)

S-8     IRON MOUNTAIN INC, 745 ATLANTIC AVENUE, BOSTON, MA, 02111, 6175354766 - 
        3,323,729 ($143,518,596.63) Equity, (File 333-138716 - Nov. 15) 
        (BR. 05B)

S-8     ALVARION LTD, 21A HABAMEL ST, TEL AVIV ISRAEL, L3, 69710, 
        01197236454803 - 1,500,000 ($10,208,102.84) Equity, (File 333-138717 - 
        Nov. 15) (BR. 11A)

S-8     RESPIRONICS INC, 1010 MURRY RIDGE LANE, MURRYSVILLE, PA, 15668-8525, 
        7243875200 - 1,000,000 ($35,580,000.00) Equity, (File 333-138718 - 
        Nov. 15) (BR. 10C)

S-8     RADVIEW SOFTWARE LTD, 2 HABARZEL ST, TEL AVIV ISRAEL, L3, 6172381111 - 
        0 ($350,000.00) Equity, (File 333-138719 - Nov. 15) (BR. 03B)

S-3     METABASIS THERAPEUTICS INC, 9390 TOWNE CENTRE DRIVE, SAN DIEGO, CA, 
        92121, 0 ($47,041,545.00) Equity, (File 333-138720 - Nov. 15) (BR. 01B)

S-8     CALLIDUS SOFTWARE INC, 160 WEST SANTA CLARA STREET, 15TH FLOOR, 
        SAN JOSE, CA, 95113, 0 ($11,390,819.00) Equity, (File 333-138721 - 
        Nov. 15) (BR. 03B)

S-8     CPAC INC, 2364 LEICESTER RD, LEICESTER, NY, 14481, 5853823223 - 
        52,500 ($275,404.50) Equity, (File 333-138722 - Nov. 15) (BR. 10A)

S-3     PHARMOS CORP, 99 WOOD AVENUE SOUTH, SUITE 301, ISELIN, NJ, 08830, 
        7324529556 - 20,000,000 ($37,500,000.00) Equity, (File 333-138723 - 
        Nov. 15) (BR. 01B)

S-3ASR  Horizon Lines, Inc., 4064 COLONY ROAD, SUITE 200, CHARLOTTE, NC, 28211, 
        704-973-7000 - 0 ($68,445,741.70) Equity, (File 333-138726 - Nov. 15) 
        (BR. 05A)

SB-2    National Storm Management Inc., 999 NORTH MAIN STREET SUITE 202, 
        GLEN ELLYN, IL, 60137, 60137 - 0 ($213,859.00) Equity, 
        (File 333-138727 - Nov. 15) (BR. 06)

SB-2    Lev Pharmaceuticals Inc, 122 WEST 42ND STREET, SUITE 2606, NEW YORK, 
        NY, 10168, 212-682-3096 - 88,794,114 ($43,560,819.66) Equity, 
        (File 333-138729 - Nov. 15) (BR. 01C)

S-3     SOUTHCREST FINANCIAL GROUP INC, 108 SOUTH CHURCH STREET, THOMASTON, GA, 
        30286, 706-647-5426 - 371,135 ($9,181,800.00) Equity, 
        (File 333-138731 - Nov. 15) (BR. 07C)

S-3     UNIVERSAL DISPLAY CORP \PA\, 6096710980 - 
        91,055 ($1,119,977.00) Equity, (File 333-138732 - Nov. 15) (BR. 10C)

S-8     SOUTHCREST FINANCIAL GROUP INC, 108 SOUTH CHURCH STREET, THOMASTON, GA, 
        30286, 706-647-5426 - 549,000 ($13,582,260.00) Equity, 
        (File 333-138733 - Nov. 15) (BR. 07C)

S-3     ITERIS, INC., 1515 S. MANCHESTER AVE., ANAHEIM, CA, 92802, 7147745000 - 
        0 ($578,688.00) Equity, (File 333-138735 - Nov. 15) (BR. 11A)

S-3     SUNESIS PHARMACEUTICALS INC, 341 OYSTER POINT BOULEVARD, 
        SOUTH SAN FRANCISCO, CA, 94080, 650-266-3500 - 
        0 ($75,000,000.00) Equity, (File 333-138736 - Nov. 15) (BR. 01C)

S-8     SIPEX CORP, 233 SOUTH HILLVIEW DRIVE, MILPITAS, CA, 95035, 
        408-934-7500 - 0 ($6,502,500.00) Equity, (File 333-138737 - Nov. 15) 
        (BR. 10C)

S-8     WEBSIDESTORY INC, 10182 TELESIS COURT 6TH FL, STE 20 5, SAN DIEGO, CA, 
        92121, 8585460040 - 0 ($6,714,533.00) Equity, (File 333-138738 - 
        Nov. 15) (BR. 08A)

F-1     STERLITE INDUSTRIES (INDIA) LTD, VEDANTA, 75 NEHRU ROAD, 
        VILE PARLE (EAST),, MUMBAI, K7, 400099, 91-22-66434500 - 
        2,000,000,000 ($2,000,000,000.00) ADRs/ADSs, (File 333-138739 - 
        Nov. 15) (BR. )

S-1     SIPEX CORP, 233 SOUTH HILLVIEW DRIVE, MILPITAS, CA, 95035, 
        408-934-7500 - 0 ($30,000,000.00) Debt Convertible into Equity, 
        0 ($10,323,970.00) Equity, (File 333-138740 - Nov. 15) (BR. 10C)

S-3ASR  SKY FINANCIAL GROUP INC, 221 SOUTH CHURCH STREET, BOWLING GREEN, OH, 
        43402, 4193276300 - 0 ($4,405,298.40) Equity, (File 333-138741 - 
        Nov. 15) (BR. 07B)

S-8     CAPELLA EDUCATION CO, 330 SECOND AVE SOUTH STE 550, MINN, MN, 55401, 
        4,192,890 ($86,467,336.01) Equity, (File 333-138742 - Nov. 15) (BR. 08A)


RECENT 8K FILINGS


Form 8-K is used by companies to file current reports on the following events:
	
1.01	Entry into a Material Definitive Agreement		
1.02	Termination of a Material Definitive Agreement		
1.03	Bankruptcy or Receivership	
2.01	Completion of Acquisition or Disposition of Assets	
2.02	Results of Operations and Financial Condition	
2.03	Creation of a Direct Financial Obligation or an Obligation under an 
	Off-Balance Sheet Arrangement of a Registrant		
2.04	Triggering Events That Accelerate or Increase a Direct Financial Obligation 
	under an Off-Balance Sheet Arrangement		
2.05	Cost Associated with Exit or Disposal Activities		
2.06	Material Impairments		
3.01	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or 
	Standard; Transfer of Listing		
3.02	Unregistered Sales of Equity Securities		
3.03	Material Modifications to Rights of Security Holders		
4.01	Changes in Registrant's Certifying Accountant	
4.02	Non-Reliance on Previously Issued Financial Statements or a Related Audit
	Report or Completed Interim Review		
5.01	Changes in Control of Registrant	
5.02	Departure of Directors or Principal Officers; Election of Directors; 
	Appointment of Principal Officers	
5.03	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04	Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05	Amendments to the Registrant's Code of Ethics, or Waiver of a 
	Provision of the Code of Ethics	
6.01. 	ABS Informational and Computational Material.
6.02.  	Change of Servicer or Trustee.
6.03.  	Change in Credit Enhancement or Other External Support.
6.04. 	Failure to Make a Required Distribution.
6.05.  	Securities Act Updating Disclosure.
7.01	Regulation FD Disclosure	
8.01	Other Events	
9.01	Financial Statements and Exhibits	

   8-K  reports  may  be  obtained  in  person  or  by  writing  to   the
   Commission's  Public  Reference  Branch  at  100   F   Street,   N.E.,
   Washington, D.C. 20549-1090 or at the following  e-mail  box  address:
   <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
-------------------------------------------------------------------------------------------------------
21ST CENTURY HOLDING CO                 FL       2.02,9.01                      11/15/06

3COM CORP                               DE       8.01                           11/15/06

3M CO                                   DE       8.01,9.01                      10/27/06

5 G WIRELESS COMMUNICATIONS INC         NV       3.02,5.02                      09/21/06

99 CENTS ONLY STORES                    CA       2.02,9.01                      11/13/06

ACA Capital Holdings Inc  			 1.01,9.01                      11/15/06

ACCENTIA BIOPHARMACEUTICALS INC                  8.01,9.01                      11/06/06

ACCENTURE LTD                                    8.01                           11/15/06

ACCENTURE SCA                                    8.01                           11/15/06

ACCREDITED HOME LENDERS HOLDING CO      DE       9.01                           10/01/06    AMEND

ACE Securities Corp. Home Equity Loan   DE       2.01,9.01                      07/25/06

ACE Securities Corp. Home Equity Loan   DE       2.01,8.01,9.01                 11/10/06

ACME UNITED CORP                        CT       5.02                           11/15/06

ACTIVISION INC /NY                      DE       3.01                           11/09/06

ACTUANT CORP                            WI       8.01                           11/15/06

ADVANCE AUTO PARTS INC                  DE       5.03                           11/15/06

ALANCO TECHNOLOGIES INC                 AZ       8.01                           06/30/06

ALBERTO CULVER CO                       DE       1.01,2.03,9.01                 11/13/06

ALCOA INC                               PA       5.02,9.01                      11/14/06

ALION SCIENCE & TECHNOLOGY CORP         DE       3.02,8.01                      09/30/06    AMEND

ALLIANCE LAUNDRY HOLDINGS LLC                    2.02,9.01                      11/14/06

ALLIED WORLD ASSURANCE CO HOLDINGS LT   	 1.01,5.02,9.01                 11/10/06

Alternative Loan Trust 2006-23CB        DE       8.01,9.01                      06/28/06    AMEND

Alternative Loan Trust 2006-OA18                 9.01                           11/15/06

ALTIGEN COMMUNICATIONS INC                       2.02,9.01                      11/15/06

AMERICA WEST AIRLINES INC               DE       7.01,8.01,9.01                 11/15/06

AMERICA WEST AIRLINES INC               DE       5.02,9.01                      11/13/06

AMERICAN BANCORP OF NEW JERSEY INC      NJ       2.02,9.01                      11/14/06

AMERICAN BANK NOTE HOLOGRAPHICS INC     DE       2.02,9.01                      11/14/06

American Express Issuance Trust         DE       8.01,9.01                      11/15/06

AMERICAN OIL & GAS INC                  NV       2.02,7.01,9.01                 11/15/06

AMERICAN STATES WATER CO                CA       5.02,9.01                      11/10/06

AMERICAN TECHNOLOGIES GROUP INC         NV       2.04                           11/14/06

American Telecom Services Inc                    2.02,9.01                      11/14/06

AMERICANWEST BANCORPORATION             WA       8.01,9.01                      11/15/06

AMERIGAS PARTNERS LP                    DE       2.02,9.01                      11/15/06

AMERIVEST PROPERTIES INC                MD       7.01,8.01,9.01                 11/13/06

AMERUS GROUP CO/IA                      IA       2.01,3.01,3.03,5.01,5.02, 	11/14/06
					         5.03,8.01,9.01

AMERUS GROUP CO/IA                      IA       5.02,9.01                      11/15/06

AMS HEALTH SCIENCES INC                 OK       2.02,9.01                      09/30/06

ANALYTICAL SURVEYS INC                  CO       5.02                           11/15/06

APEX CAPITAL GROUP INC                  NV       4.01,9.01                      11/15/06

APOLLO GOLD CORP                                 2.02,9.01                      11/14/06

APPLICA INC                             FL       8.01,9.01                      11/15/06

APPLIED INDUSTRIAL TECHNOLOGIES INC     OH       8.01,9.01                      11/13/06

APPLIED MATERIALS INC /DE               DC       2.02,9.01                      11/15/06

APPLIED MICRO CIRCUITS CORP             DE       3.01,8.01,9.01                 11/13/06

ARADIGM CORP                            CA       2.02,9.01                      11/10/06    AMEND

ARAMARK CORP/DE                         DE       2.02                           11/15/06

ARCADIA RESOURCES, INC                  NV       7.01,9.01                      11/15/06

ASPEN INSURANCE HOLDINGS LTD            D0       3.03,9.01                      11/10/06

ASPYRA INC                              CA       2.02,9.01                      11/14/06

AURORA GOLD CORP                        DE       8.01,9.01                      11/13/06

Aurora Oil & Gas CORP                   UT       8.01,9.01                      11/15/06

AUTOBYTEL  INC                          DE       2.02,9.01                      11/09/06

AUTOMATIC DATA PROCESSING INC           DE       1.01,9.01                      11/15/06

AUXILIO INC                             NV       5.02,7.01,9.01                 11/15/06

AVIS BUDGET GROUP, INC.                 DE       4.02,7.01,9.01                 11/15/06

AVP INC                                 DE       8.01,9.01                      11/14/06

B2B INTERNET HOLDRSSM TRUST             NY       9.01                           09/30/06

BANCSHARES OF FLORIDA INC               FL       8.01,9.01                      11/14/06

BEA SYSTEMS INC                         DE       5.02                           11/13/06

BEA SYSTEMS INC                         DE       2.02,9.01                      11/15/06

Bear Stearns ALT-A Trust 2006-7         DE       8.01,9.01                      10/31/06

Bear Stearns Mortgage Funding Trust 2   DE       8.01,9.01                      10/31/06

BEHRINGER HARVARD REIT I INC            MD       7.01,9.01                      11/15/06

Benjamin Franklin Bancorp, Inc.         MA       8.01,9.01                      11/14/06

BESTWAY COACH EXPRESS INC               NY       5.02                           11/14/06

BILL BARRETT CORP                                7.01,9.01                      11/13/06

BIOLIFE SOLUTIONS INC                   DE       5.02                           10/17/06

BIOSYNERGY INC                          IL       9.01                           11/11/06

BIOTECH HOLDRS TRUST                             9.01                           11/14/06

BLACK & DECKER CORP                     MD       8.01,9.01                      11/13/06

BLUE DOLPHIN ENERGY CO                  DE       2.02,9.01                      11/15/06

BlueLinx Holdings Inc.                  DE       7.01,9.01                      11/15/06

BOVIE MEDICAL CORP                      DE       8.01                           11/15/06

BOWATER INC                             DE       5.02,8.01,9.01                 11/08/06

BRAVO RESOURCE PARTNERS LTD                      4.01,9.01                      11/08/06

BREDA TELEPHONE CORP                    IA       4.02                           11/14/06

BRIGHTPOINT INC                         IN       5.02                           11/09/06

BROADBAND HOLDRS TRUST                           8.01,9.01                      11/14/06

BSML INC                                UT       2.02,9.01                      11/14/06

BUILDING MATERIALS CORP OF AMERICA      DE       2.02,9.01                      11/14/06

BURKE MILLS INC                         NC       2.02,9.01                      09/30/06

Calumet Specialty Products Partners,    DE       5.02,9.01                      11/09/06

CAM COMMERCE SOLUTIONS INC              DE       2.02,9.01                      11/15/06

CAMBREX CORP                            DE       1.01,8.01,9.01                 11/09/06

CAREER EDUCATION CORP                   DE       2.05,9.01                      11/14/06

CAREER EDUCATION CORP                   DE       8.01                           11/14/06

CARSUNLIMITED COM INC                   NV       1.01,9.01                      11/10/06

CARVER BANCORP INC                      DE       2.02,9.01                      11/15/06

CASEYS GENERAL STORES INC               IA       7.01                           11/15/06

CDRV Investors, Inc.                    DE       2.02,7.01,9.01                 11/15/06

CENTERPOINT ENERGY INC                           8.01                           11/09/06

Cereplast Inc                                    5.02                           11/10/06

CHAMPION COMMUNICATION SERVICES INC     DE       2.02,9.01                      11/15/06

CHAMPION PARTS INC                      IL       2.02,9.01                      10/01/06

CHARMING SHOPPES INC                    PA       2.02,9.01                      11/15/06

CHASE BANK USA, NATIONAL ASSOCIATION    DE       8.01,9.01                      11/10/06

CHASE CREDIT CARD MASTER TRUST          NY       8.01,9.01                      11/15/06

CHATTEM INC                             TN       8.01,9.01                      11/13/06

CHEMBIO DIAGNOSTICS, INC.               NV       2.02,3.02,7.01,9.01            11/15/06

CHEROKEE INTERNATIONAL CORP             DE       2.02,9.01                      11/14/06

CHILDRENS PLACE RETAIL STORES INC                8.01,9.01                      11/13/06

CHINA AGRITECH INC                               2.02,9.01                      11/15/06

CHINA EXPERT TECHNOLOGY, INC.           NV       1.01,9.01                      11/13/06

China Natural Gas, Inc.                 DE       7.01,9.01                      11/15/06

CHITTENDEN CORP /VT/                    VT       7.01,9.01                      09/30/06

CIRRUS LOGIC INC                        DE       3.01,9.01                      11/10/06

CITIBANK OMNI-S MASTER TRUST                     8.01,9.01                      11/15/06

CITIBANK SOUTH DAKOTA N A               DE       8.01                           10/26/06

Citigroup Mortgage Loan Trust 2006-WF            2.01,9.01                      10/02/06

CITIZENS BANCORP/OR                              4.01,9.01                      11/08/06

CLEVELAND CLIFFS INC                    OH       1.01,8.01,9.01                 11/10/06

CNB FINANCIAL CORP/PA                   PA       8.01,9.01                      11/15/06

CNET NETWORKS INC                       DE       3.01,9.01                      11/13/06

COLE KENNETH PRODUCTIONS INC            NY       8.01                           11/14/06

COLLINS & AIKMAN CORP                   DE       8.01,9.01                      11/14/06

COLOMBIA GOLDFIELDS LTD                          5.02                           11/14/06

COMMODORE APPLIED TECHNOLOGIES INC      DE       7.01,9.01                      11/15/06

COMMONWEALTH BIOTECHNOLOGIES INC        VA       2.02,9.01                      11/10/06

COMMUNITY TRUST BANCORP INC /KY/        KY       7.01,9.01                      09/30/06

Complete Production Services, Inc.      DE       7.01,9.01                      11/14/06

COMPUDYNE CORP                          NV       2.02,9.01                      11/14/06

COMPUPRINT INC                          NC       1.01,5.03,8.01,9.01            11/13/06

COMPUTER HORIZONS CORP                  NY       4.01,9.01                      11/10/06

Con-way Inc.                            DE       8.01                           11/15/06

CORGENIX MEDICAL CORP/CO                NV       2.02,9.01                      11/15/06

CORINTHIAN COLLEGES INC                          2.02                           11/15/06

CORNERSTONE BANCSHARES INC              TN       8.01,9.01                      11/15/06

Corporate Backed Callable Trust Certi   DE       8.01,9.01                      11/09/06

CORTLAND BANCORP INC                    OH       2.02                           11/15/06

CORUS BANKSHARES INC                    MN       8.01,9.01                      11/14/06

COURIER CORP                            MA       1.01,2.03,9.01                 11/09/06

CRAFTMADE INTERNATIONAL INC             DE       7.01,9.01                      11/13/06

CRIMSON EXPLORATION INC.                TX       2.02                           09/30/06

CROSS COUNTRY HEALTHCARE INC            DE       1.01,8.01,9.01                 11/13/06

CROWN CRAFTS INC                        DE       2.02,9.01                      11/15/06

CRYSTAL FINANCE HOLDING CORP            DE       8.01                           11/14/06

CURON MEDICAL INC                       DE       1.03,5.02,8.01                 11/13/06

CWALT INC                               DE       9.01                           11/15/06

CYANOTECH CORP                          NV       3.01,3.03,8.01,9.01            11/14/06

CYBERONICS INC                          DE       5.02                           11/09/06

CYTOKINETICS INC                                 8.01,9.01                      11/15/06

CYTORI THERAPEUTICS, INC.               DE       5.02                           11/09/06

DAKTRONICS INC /SD/                     SD       2.02,9.01                      10/28/06

DATARAM CORP                            NJ       2.02,8.01,9.01                 11/15/06

DATASTAND TECHNOLOGIES INC              IN       4.01,9.01                      11/14/06    AMEND

DAYBREAK OIL & GAS INC                  WA       4.01,9.01                      11/08/06

DECODE GENETICS INC                     DE       1.01,9.01                      11/14/06

Deerfield Triarc Capital Corp           MD       2.02,9.01                      11/14/06

Deutsche Alt-A Securities Mortgage Lo            8.01,9.01                      11/15/06

DEVCON INTERNATIONAL CORP               FL       2.02,7.01,9.01                 11/14/06

DEVRY INC                               DE       8.01                           11/15/06

DIASYS CORP                             DE       3.02,9.01                      09/30/06

DIGITAL DESCRIPTOR SYSTEMS INC          DE       5.02,5.03,9.01                 11/13/06

DIGITAL POWER CORP                      CA       2.02,9.01                      09/30/06

DigitalFX International Inc             FL       2.02,9.01                      11/15/06

DIXIE GROUP INC                         TN       7.01,9.01                      11/15/06

DOVER SADDLERY INC                               5.02,8.01,9.01                 11/14/06

DREAMS INC                              UT       5.02,9.01                      11/15/06

DreamWorks Animation SKG, Inc.                   8.01,9.01                      11/15/06

DUANE READE HOLDINGS INC                         2.02,9.01                      11/15/06

DYNAMIC LEISURE CORP                    MN       1.01,9.01                      11/09/06

DYNEGY INC /IL/                         IL       8.01                           11/15/06

EAGLE MATERIALS INC                     DE       7.01,9.01                      11/15/06

Eagle Rock Energy Partners, L.P.        DE       2.02,9.01                      11/15/06

EARTHLINK INC                           DE       1.01,2.03,7.01,8.01,9.01       11/13/06

EGL INC                                 TX       1.01,9.01                      11/13/06

ELITE PHARMACEUTICALS INC /DE/          DE       1.01,9.01                      11/10/06

EMBREX INC /NC/                         NC       1.01,3.01,9.01                 11/10/06

EMCORE CORP                             NJ       2.02,8.01,9.01                 11/09/06

EMDEON CORP                             DE       5.02,9.01                      11/09/06

Emergency Medical Services CORP         DE       7.01,9.01                      11/14/06

EMERSON RADIO CORP                      DE       2.02,9.01                      11/15/06

ENESCO GROUP INC                        IL       2.02,9.01                      11/14/06

ENGLOBAL CORP                           NV       2.02,9.01                      09/30/06

ENGLOBAL CORP                           NV       8.01,9.01                      11/15/06

ENIGMA SOFTWARE GROUP, INC              DE       4.02                           11/15/06

ENSCO INTERNATIONAL INC                 DE       2.02,9.01                      11/15/06

ENXNET INC                              OK       7.01,9.01                      11/15/06

EP MEDSYSTEMS INC                       NJ       2.02,9.01                      11/15/06

Epic Bancorp                                     8.01,9.01                      11/15/06

EPIC CAPITAL GROUP, INC.                CO       8.01                           11/15/06

EQUITABLE FINANCIAL CORP                         5.02                           11/14/06

EQUUS TOTAL RETURN, INC.                DE       2.02,9.01                      11/14/06

ESCALA GROUP INC                        NY       3.01,9.01                      11/09/06

ESCO TECHNOLOGIES INC                   MO       5.02                           11/09/06

ESPEED INC                              DE       5.02                           11/09/06

EUROPE 2001 HOLDRS TRUST                NY       8.01,9.01                      09/30/06

EVANS & SUTHERLAND COMPUTER CORP        UT       2.02,9.01                      11/13/06

EXECUTE SPORTS INC                      NV       2.02,9.01                      11/15/06

EXPLORATION CO OF DELAWARE INC          DE       7.01,9.01                      11/13/06

FAMILYMEDS GROUP, INC.                  NV       2.02,9.01                      11/14/06

FERMAVIR PHARMACEUTICALS, INC.          FL       1.01,2.03,3.02,9.01            11/09/06

FiberTower CORP                         DE       1.01,2.03,3.02,9.01            11/14/06

Fidelity National Information Service   	 1.01,9.01                      11/09/06

FIELDPOINT PETROLEUM CORP               CO       2.02,7.01                      11/14/06

FINANCIAL SECURITY ASSURANCE HOLDINGS   NY       8.01,9.01                      11/15/06

FIRST AMERICAN CAPITAL CORP /KS         KS       4.01                           11/01/06    AMEND

FIRST COMMUNITY BANK CORP OF AMERICA    FL       2.02,9.01                      10/17/06

FIRST INTERSTATE BANCSYSTEM INC         MT       8.01                           11/14/06

FIRST MARBLEHEAD CORP                            5.02,9.01                      11/09/06

FIRST SOUTH BANCORP INC /VA/            VA       4.01,9.01                      11/10/06

FLEXIBLE SOLUTIONS INTERNATIONAL INC    NV       2.02,9.01                      11/14/06

FNB CORP/FL/                            FL       5.04,9.01                      11/14/06

FORCE PROTECTION INC                    NV       1.01,9.01                      11/09/06    AMEND

FRANKLIN CREDIT MANAGEMENT CORP/DE/     DE       2.02,9.01                      11/15/06

GAMMACAN INTERNATIONAL INC              DE       5.02,9.01                      11/06/06    AMEND

GANDER MOUNTAIN CO                      MN       2.02,9.01                      11/15/06

GASTAR EXPLORATION LTD        		         1.01,3.02,8.01,9.01            11/14/06

GENE LOGIC INC                          DE       2.02,9.01                      11/09/06

GEO GROUP INC                           FL       2.02,9.01                      11/09/06

GLOBAL AIRCRAFT SOLUTIONS, INC.         AZ       2.02,7.01,9.01                 11/15/06

GLOBAL AXCESS CORP                      NV       2.02,9.01                      11/14/06

GLOBAL EPOINT INC                       NV       4.01,9.01                      11/10/06

GLOBAL GREEN SOLUTIONS INC.             WA       7.01,9.01                      11/15/06

GOLDFIELD CORP                          DE       2.02,9.01                      11/14/06

GOVERNMENT TRUST 1 D                    IL       8.01                           11/15/06

GOVERNMENT TRUST 2 F                    IL       8.01                           11/15/06

GREAT SOUTHERN BANCORP INC              MD       7.01                           11/15/06

GREATER BAY BANCORP                     CA       7.01,9.01                      11/15/06

GreenPoint Mortgage Funding Trust 200   DE       8.01,9.01                      10/31/06

GRYPHON GOLD CORP                       NV       2.02,9.01                      11/15/06

GSAMP Trust 2006-HE7                    DE       1.01,4.01                      10/27/06

GSAMP Trust 2006-S6                     DE       8.01,9.01                      10/20/06

GYMBOREE CORP                           DE       2.02,9.01                      11/15/06

H&R BLOCK INC                           MO       1.01,2.03,5.02                 11/10/06

Hanesbrands Inc.                        MD       2.05,7.01,9.01                 11/15/06

HANGER ORTHOPEDIC GROUP INC             DE       5.02                           11/09/06

HANOVER CAPITAL MORTGAGE HOLDINGS INC   MD       2.02,8.01,9.01                 11/10/06

HARLEYSVILLE NATIONAL CORP              PA       5.02,9.01                      11/15/06

HEMACARE CORP /CA/                      CA       2.01,3.02,7.01,9.01            08/29/06    AMEND

HEXION SPECIALTY CHEMICALS, INC.        NJ       2.02,9.01                      11/14/06

Hiland Holdings GP, LP                  DE       2.02,7.01,9.01                 11/10/06

Hiland Holdings GP, LP                  DE       5.02                           11/10/06

Hiland Partners, LP                              2.02,7.01,9.01                 11/10/06

Hiland Partners, LP                              5.02                           11/10/06

HIRSCH INTERNATIONAL CORP               NY       2.02,9.01                      09/30/05

HOME EQUITY MORTGAGE TRUST 2006-5       DE       9.01                           10/31/06

HOMELIFE INC                            NV       1.01                           11/10/06

HOOPER HOLMES INC                       NY       2.02                           11/14/06

HORIZON OFFSHORE INC                    DE       1.01,8.01,9.01                 11/01/06

Horne International, Inc.               DE       2.02,9.01                      11/15/06

HOT TOPIC INC /CA/                      CA       2.02,5.02,9.01                 11/15/06

HUTTIG BUILDING PRODUCTS INC            DE       7.01,9.01                      11/15/06

IA GLOBAL INC                           DE       2.02,9.01                      11/15/06

IMMUNOGEN INC                           MA       5.02                           11/14/06

IMMUNOMEDICS INC                        DE       8.01,9.01                      11/14/06

IMPSAT FIBER NETWORKS INC               DE       2.02,9.01                      11/14/06

IndyMac ABS Inc. Home Equity Mortgage            8.01,9.01                      11/15/06

IndyMac INDX Mortgage Loan Trust 2006            8.01,9.01                      10/31/06

INFORMEDIX HOLDINGS INC                 NV       8.01,9.01                      11/09/06

InfoSearch Media, Inc.                  DE       5.02                           11/09/06

INKSURE TECHNOLOGIES INC.               DE       9.01                           11/15/06    AMEND

Innophos, Inc.                                   8.01,9.01                      11/08/06

INPHONIC INC                                     8.01,9.01                      11/15/06

INTEGRAL SYSTEMS INC /MD/               MD       5.02                           11/09/06

INTERNATIONAL ELECTRONICS INC           MA       5.02                           11/15/06

International Securities Exchange Hol            8.01,9.01                      11/13/06

INTERNET ARCHITECTURE HOLDRSSM TRUST    NY       8.01,9.01                      11/14/06

INTERNET HOLDRS TRUST                   NY       9.01                           11/14/06

INTERNET INFRASTRUCTURE HOLDRSSM TRUS   NY       8.01,9.01                      09/30/06

INTRAOP MEDICAL CORP                             5.02                           11/10/06

INVESTORS CAPITAL HOLDINGS LTD          MA       2.02,9.01                      11/15/06

ISTAR FINANCIAL INC                     MD       8.01,9.01                      11/09/06

IVAX DIAGNOSTICS INC                    DE       2.02,9.01                      11/14/06

IWT TESORO CORP                         NV       7.01,9.01                      11/14/06

J P MORGAN CHASE & CO                   DE       5.02,9.01                      07/03/06

J P MORGAN CHASE & CO                   DE       9.01                           11/13/06

JEWETT CAMERON TRADING CO LTD           OR       2.02                           11/14/06

KAMAN CORP                              CT       8.01,9.01                      11/15/06

KRISPY KREME DOUGHNUTS INC              NC       8.01                           11/14/06

L 3 COMMUNICATIONS HOLDINGS INC         DE       8.01,9.01                      11/15/06

LABOR READY INC                         WA       7.01,9.01                      11/15/06

Lehman XS Trust 2006-17                 DE       8.01,9.01                      10/31/06

LIGAND PHARMACEUTICALS INC              DE       2.01,2.02,2.03,9.01            11/15/06

LIGHTPATH TECHNOLOGIES INC              DE       2.02,9.01                      11/15/06

LIONS PETROLEUM, INC                    DE       5.02                           11/09/06

LITHIA MOTORS INC                       OR       2.02,4.02,9.01                 11/14/06

LODGENET ENTERTAINMENT CORP             DE       1.01,7.01,9.01                 11/14/06

LOEWS CORP                              DE       7.01,9.01                      11/15/06

LONGS DRUG STORES CORP                  MD       2.02,9.01                      11/15/06

LUMINENT MORTGAGE CAPITAL INC                    7.01,9.01                      11/15/06

LYONDELL CHEMICAL CO                    DE       1.01,9.01                      11/15/06

MAGNA ENTERTAINMENT CORP                DE       8.01,9.01                      11/14/06

MANARIS CORP                            NV       2.01,9.01                      04/18/06    AMEND

MARCHEX INC                             DE       7.01,9.01                      11/14/06

MARKET 2000 PLUS HOLDRS SM TRUST        NY       8.01,9.01                      09/30/06

MARTIN MIDSTREAM PARTNERS LP            DE       3.02                           11/14/06

MARWICH II LTD                          CO       4.01,9.01                      11/13/06

MASTR Adjustable Rate Mortgages Trust   DE       8.01,9.01                      11/15/06

MBIA INC                                CT       5.02,9.01                      11/08/06

MED-EMERG INTERNATIONAL INC                      2.02,9.01                      11/15/06

MEDICINOVA INC                          DE       5.02,9.01                      11/08/06

MEDIS TECHNOLOGIES LTD                  DE       8.01,9.01                      11/10/06

MEDIVATION, INC.                        DE       7.01,9.01                      11/15/06

MELO BIOTECHNOLOGY HOLDINGS INC.        A6       8.01                           11/15/06

MENS WEARHOUSE INC                      TX       2.02,8.01,9.01                 11/15/06

MERCURY COMPUTER SYSTEMS INC            MA       5.02,9.01                      11/13/06

Merrill Lynch Mortgage Investors Trus   DE       2.01,9.01                      10/31/06

METROLOGIC INSTRUMENTS INC              NJ       8.01                           11/15/06

MIAD SYSTEMS LTD                        A6       5.03,9.01                      11/14/06

MICRON ENVIRO SYSTEMS INC               NV       8.01,9.01                      11/13/06

MILACRON INC                            DE       5.02,9.01                      11/14/06

MINERALS TECHNOLOGIES INC               DE       5.02,9.01                      11/14/06

MIPS TECHNOLOGIES INC                   DE       3.01,9.01                      11/14/06

MORGAN BEAUMONT, INC.                   NV       7.01,9.01                      11/15/06

MOSAIC CO                                        7.01,9.01                      11/14/06

MOTIENT CORP                            DE       1.01                           11/08/06

NABI  BIOPHARMACEUTICALS                DE       1.01,5.02,9.01                 11/10/06

NASDAQ STOCK MARKET INC                 DE       8.01,9.01                      11/15/06

NATIONAL MERCANTILE BANCORP             CA       2.02,9.01                      11/15/06

NETSOL TECHNOLOGIES INC                 NV       2.02,9.01                      11/14/06

NETWORK 1 SECURITY SOLUTIONS INC        DE       2.02,9.01                      11/14/06

NETWORK APPLIANCE INC                   CA       2.02,9.01                      11/15/06

NETWORK CN INC                          DE       1.01,3.02,9.01                 11/15/06

NEW GENERATION HOLDINGS INC             DE       4.02                           11/13/06

NEW WORLD BRANDS INC                    DE       5.03                           09/15/06    AMEND

NICHOLAS FINANCIAL INC                  FL       1.01,9.01                      08/09/06    AMEND

Nomura Asset Acceptance Corporation,    DE       2.01,9.01                      09/29/06

NORTH EUROPEAN OIL ROYALTY TRUST        DE       2.02,9.01                      10/31/06

NOVELL INC                              DE       1.01,9.01                      11/09/06

NUMEREX CORP /PA/                       PA       3.02,9.01                      11/15/06

NUVEEN INVESTMENTS INC                  DE       7.01,9.01                      11/15/06

NYER MEDICAL GROUP INC                  FL       2.02,9.01                      11/15/06

OFFICEMAX INC                           DE       1.01,9.01                      11/10/06

OIL SERVICE HOLDRS TRUST                NY       9.01                           09/30/06

OIL STATES INTERNATIONAL, INC           DE       8.01,9.01                      11/13/06

Omni Financial Services, Inc.           GA       7.01,9.01                      11/15/06

ON ASSIGNMENT INC                       DE       8.01,9.01                      11/09/06

ONELINK CORP                            DE       7.01,9.01                      11/15/06

Option One Mortgage Loan Trust 2006-3   DE       2.01,9.01                      10/16/06

ORAGENICS INC                           FL       8.01,9.01                      11/15/06

Orsus Xelent Technologies Inc           DE       2.02,9.01                      11/15/06

OSCIENT PHARMACEUTICALS CORP            MA       3.03,8.01,9.01                 11/15/06

OSI RESTAURANT PARTNERS, INC.           DE       1.01,9.01                      11/08/06

OTELCO INC.                             AL       5.02,9.01                      11/15/06

OUTDOOR CHANNEL HOLDINGS INC                     2.06                           11/14/06

OWENS ILLINOIS INC /DE/                 DE       5.02,9.01                      11/08/06

OXIS INTERNATIONAL INC                  DE       5.02                           11/15/06

PACIFIC GAS & ELECTRIC CO               CA       5.02                           11/10/06

PANDA ETHANOL, INC.                     NV       5.05,9.01                      11/08/06

PATCH INTERNATIONAL INC/CN              NV       8.01,9.01                      11/15/06

PAXAR CORP                              NY       5.02,9.01                      11/14/06

PENN TRAFFIC CO                         DE       5.02                           11/10/06

PENTON MEDIA INC                        DE       7.01,9.01                      11/14/06

PERFORMANCE CAPITAL MANAGEMENT LLC      CA       8.01                           11/10/06

PETROLEUM DEVELOPMENT CORP              NV       5.02,9.01                      11/10/06

PETSMART INC                            DE       2.02,9.01                      11/15/06

PFSWEB INC                              DE       7.01                           11/14/06

PG&E CORP                               CA       5.02                           11/10/06

PHARMACEUTICAL HOLDRS TRUST                      9.01                           09/30/06

PHOENIX FOOTWEAR GROUP INC              DE       2.02,9.01                      11/15/06

PIZZA INN INC /MO/                      MO       3.01,9.01                      11/09/06

PIZZA INN INC /MO/                      MO       2.04                           11/10/06

PLANAR SYSTEMS INC                      OR       2.02,9.01                      11/15/06

PLASTINUM CORP                          DE       4.02                           11/13/06

POLYMEDIX INC                                    8.01                           11/14/06

Porter Bancorp, Inc.                    KY       7.01,9.01                      11/14/06

PORTOLA PACKAGING INC                   DE       2.02,9.01                      11/13/06

PRE PAID LEGAL SERVICES INC             OK       1.01                           11/10/06

PREFERRED VOICE INC                     DE       7.01,9.01                      11/15/06

PRIDE BUSINESS DEVELOPMENT HOLDINGS,             8.01                           11/05/06

PRIDE INTERNATIONAL INC                 DE       2.01,9.01                      11/08/06

PRIME COMPANIES INC                     DE       8.01                           11/15/06

PRINCIPAL LIFE INSURANCE CO             IA       9.01                           11/10/06

PRINCIPAL LIFE INSURANCE CO             IA       9.01                           11/10/06

PRINCIPAL LIFE INSURANCE CO             IA       9.01                           11/10/06

PRO DEX INC                             CO       2.02,9.01                      11/14/06

Probe Manufacturing Inc                 NV       8.01                           11/14/06

PROCERA NETWORKS INC                    NV       5.02,9.01                      10/16/06

PROGRESS SOFTWARE CORP /MA              MA       5.02,7.01,9.01                 11/09/06

PROGRESSIVE CORP/OH/                    OH       7.01,9.01                      11/15/06

PRUDENTIAL BANCORP INC OF PENNSYLVANI            2.02,9.01                      11/14/06

QUADRAMED CORP                          DE       2.02,8.01,9.01                 11/09/06

QUAKER FABRIC CORP /DE/                 DE       1.01,9.01                      11/09/06

RADIANT LOGISTICS, INC                  DE       8.01,9.01                      11/15/06

RAILAMERICA INC /DE                     DE       1.01,7.01,9.01                 11/14/06

RAYONIER INC                            NC       8.01                           11/15/06

Refco Finance Inc.                      DE       7.01,9.01                      11/14/06

REGIONAL BANK HOLDERS SM TRUST          NY       8.01,9.01                      09/30/06

RENASANT CORP                           MS       7.01,9.01                      11/15/06

RENT A CENTER INC DE                    DE       1.01,1.02,2.01,2.03,9.01       11/15/06

Residential Asset Securitization Trus            8.01,9.01                      10/31/06

RESMED INC                              DE       5.02,9.01                      11/09/06

RETAIL HOLDRS TRUST                     NY       8.01,9.01                      09/30/06

RF MONOLITHICS INC /DE/                 DE       9.01                           09/15/06    AMEND

RFMSI Series 2006-SA4 Trust             DE       8.01,9.01                      10/14/06

RITE AID CORP                           DE       1.01,2.03,9.01                 11/08/06

ROCKWELL COLLINS INC                    DE       1.01,3.03,9.01                 11/09/06

ROCKY MOUNTAIN CHOCOLATE FACTORY INC    CO       7.01,9.01                      11/15/06

ROGERS CORP                             MA       1.01,1.02,2.03                 11/08/06

Rosetta Resources Inc.                  DE       2.02,9.01                      11/14/06

SAKS INC                                TN       8.01                           11/14/06

SALESFORCE COM INC                      DE       2.02,9.01                      11/15/06

SANDS REGENT                            NV       2.02                           11/15/06

SCHOOL SPECIALTY INC                    WI       8.01,9.01                      11/15/06

SCIENTIFIC LEARNING CORP                DE       2.02                           11/07/06

Securitized Asset Backed Receivables             8.01,9.01                      10/31/06

SELECT ASSET INC                        DE       8.01,9.01                      11/09/06

SEMICONDUCTOR HOLDRS TRUST              NY       8.01,9.01                      11/14/06

SENESCO TECHNOLOGIES INC                DE       1.01,9.01                      11/08/06    AMEND

SENTIGEN HOLDING CORP                   DE       8.01,9.01                      11/14/06

SERVOTRONICS INC /DE/                   DE       2.02,9.01                      09/30/06

SILVERADO GOLD MINES LTD                A1       1.01,9.01                      10/31/06

SINOFRESH HEALTHCARE INC                FL       2.02,9.01                      11/15/06

SIRNA THERAPEUTICS INC                  DE       2.02,8.01,9.01                 11/13/06

Smart Energy Solutions, Inc.            UT       8.01                           11/15/06

SMITH & WESSON HOLDING CORP             NV       1.01,2.03,9.01                 11/08/06

SOFTWARE HOLDRS TRUST                   NY       8.01,9.01                      09/30/06

SPACEHAB INC \WA\                       WA       7.01,9.01                      11/14/06

SPARE BACKUP, INC.                      DE       1.01,3.02                      11/09/06    AMEND

SPARTA INC /DE                          DE       8.01,9.01                      11/14/06

SPATIALIZER AUDIO LABORATORIES INC      DE       2.02,9.01                      11/14/06

SPORT HALEY INC                         CO       2.02,9.01                      11/14/06

STATE BANCORP INC                       NY       1.01,9.01                      11/13/06

STELLAR RESOURCES LTD                   NV       9.01                           11/14/06

STEWART ENTERPRISES INC                 LA       8.01                           11/07/06

STONEMOR PARTNERS LP                    DE       1.01,5.02,9.01                 11/08/06

Storm Cat Energy CORP                            2.01,9.01                      08/29/06    AMEND

STRATEGIC HOTELS & RESORTS, INC                  9.01                           09/01/06    AMEND

STREICHER MOBILE FUELING INC            FL       2.02,9.01                      11/14/06

Structured Adjustable Rate Mortgage L   DE       8.01,9.01                      10/31/06

Structured Asset Mortgage Investments   DE       9.01                           10/31/06

SUMMIT FINANCIAL SERVICES GROUP INC     FL       2.02,9.01                      11/14/06

Sun Cal Energy , Inc.                   NV       5.02                           11/07/06    AMEND

SUN-TIMES MEDIA GROUP INC               DE       5.02,7.01,9.01                 11/14/06

SUNTERRA CORP                           MD       5.02                           11/09/06

SUNTRON CORP                            DE       2.02,9.01                      11/15/06

SUPPORTSOFT INC                         DE       1.01,9.01                      11/09/06

SUPREME INDUSTRIES INC                  DE       2.02,9.01                      11/14/06

SYSCO CORP                              DE       5.02,8.01,9.01                 11/09/06

SYSCO CORP                              DE       5.02,8.01,9.01                 11/09/06    AMEND

TALBOTS INC                             DE       2.02,9.01                      11/15/06

TALEO CORP                              DE       2.02,9.01                      11/13/06

TARGETED GENETICS CORP /WA/             WA       8.01,9.01                      11/13/06

TECUMSEH PRODUCTS CO                    MI       1.01,1.02,7.01,9.01            11/13/06

TEL INSTRUMENT ELECTRONICS CORP         NJ       2.02                           11/15/06

TELECOM HOLDRS TRUST                    NY       8.01,9.01                      09/30/06

TENTHGATE INC                                    3.02                           11/10/06

TENTHGATE INC                                    8.01                           10/31/06

TERRA ENERGY & RESOURCE TECHNOLOGIES,   DE       8.01                           11/15/06

TERRA ENERGY & RESOURCE TECHNOLOGIES,   DE       8.01                           11/15/06    AMEND

THOMAS PROPERTIES GROUP INC             DE       2.02,9.01                      11/14/06

TIDEWATER INC                           DE       7.01,9.01                      11/13/06

TIME WARNER TELECOM INC                 DE       2.02,5.02                      11/13/06

TIME WARNER TELECOM INC                 DE       5.03,9.01                      11/13/06

TOREADOR RESOURCES CORP                 DE       5.02,9.01                      11/08/06

TOWER AUTOMOTIVE INC                    DE       2.05                           11/09/06

TRAMMELL CROW CO                        DE       7.01,9.01                      11/15/06

TRANSACTION SYSTEMS ARCHITECTS INC      DE       2.02,7.01,9.01                 11/14/06

TRANSGENOMIC INC                        DE       5.02,9.01                      11/14/06

TRANSNET CORP                           DE       7.01,9.01                      11/15/06

TREX CO INC                             DE       1.01,2.03                      11/09/06

TRIARC COMPANIES INC                    DE       8.01,9.01                      11/14/06

TRICELL INC                                      5.02                           11/09/06

TRIMERIS INC                            DE       8.01,9.01                      11/10/06

TRIO TECH INTERNATIONAL                 CA       2.02,9.01                      11/09/06

TRIPOS INC                              UT       2.02,7.01,9.01                 11/14/06

TRUE TEMPER SPORTS INC                           2.02,7.01,9.01                 11/15/06

TRULITE INC                             DE       5.02,9.01                      07/24/06

TRX INC/GA                              GA       1.01,1.02,5.02,9.01            11/10/06

TTM TECHNOLOGIES INC                    WA       7.01,9.01                      11/15/06

TWEEN BRANDS, INC.                      DE       2.02,9.01                      11/15/06

TWEETER HOME ENTERTAINMENT GROUP INC    DE       5.02                           11/13/06

TYCO INTERNATIONAL LTD /BER/            D0       2.02,8.01,9.01                 11/15/06

UGI CORP /PA/                           PA       2.02,9.01                      11/15/06

UGI UTILITIES INC                       PA       2.02,9.01                      11/15/06

UNISOURCE ENERGY CORP                   AZ       8.01,9.01                      11/15/06

UNISOURCE ENERGY CORP                   AZ       8.01,9.01                      11/15/06    AMEND

UNITED COMPONENTS INC                   DE       2.02,9.01                      11/15/06

UNITED DOMINION REALTY TRUST INC        MD       7.01,9.01                      11/15/06

UNITED HERITAGE CORP                    UT       1.01,9.01                      11/10/06

UNITED SURGICAL PARTNERS INTERNATIONA   DE       1.01,9.01                      11/15/06

UNIVERSAL CITY DEVELOPMENT PARTNERS L            7.01                           11/15/06

Universal City Florida Holding Co. I    FL       7.01                           11/15/06

UNIVERSAL HOSPITAL SERVICES INC         MN       7.01,9.01                      11/15/06

US CONCRETE INC                         DE       2.02,9.01                      11/09/06

US CONCRETE INC                         DE       8.01,9.01                      11/15/06

USA Mobility, Inc                       DE       2.02,7.01,9.01                 11/09/06

USG CORP                                DE       8.01,9.01                      11/14/06

UTILITIES HOLDERS SM TRUST              NY       9.01                           11/13/06

Vanda Pharmaceuticals Inc.              DE       8.01,9.01                      11/15/06

VCG HOLDING CORP                        CO       8.01,9.01                      11/15/06

VERIDIEN CORP                           DE       7.01,9.01                      11/14/06

VIASYS HEALTHCARE INC                   DE       5.02,9.01                      11/15/06

VICTORY ENERGY CORP                     NV       3.03                           11/10/06

VIKING SYSTEMS INC                      DE       5.02,7.01,9.01                 11/09/06

VISHAY INTERTECHNOLOGY INC              DE       1.01,9.01                      11/08/06

VISTA GOLD CORP                                  8.01,9.01                      11/13/06

Visualant, INC                          NV       5.02                           11/14/06

VWR International, Inc.                          2.02,7.01,9.01                 11/15/06

WABASH NATIONAL CORP /DE                DE       7.01,9.01                      11/15/06

WASHINGTON POST CO                      DE       8.01                           11/15/06

WHEELING PITTSBURGH CORP /DE/           DE       8.01,9.01                      11/14/06

WHITE ELECTRONIC DESIGNS CORP           ID       2.02,9.01                      11/15/06

WHITE MOUNTAINS INSURANCE GROUP LTD     D0       7.01                           11/14/06

WHITTIER ENERGY CORP                    NV       2.02,9.01                      11/15/06

WILLIAMS SONOMA INC                     CA       3.01                           11/08/06

WILSON BROTHERS USA INC                 IL       4.01,5.02,9.01                 11/13/06

WINN DIXIE STORES INC                   FL       7.01,9.01                      11/09/06

WIRELESS HOLDRS TRUST                   NY       8.01,9.01                      09/30/06

WITNESS SYSTEMS INC                     DE       3.01,9.01                      11/09/06

XCEL ENERGY INC                         MN       2.02,9.01                      11/15/06

ZANETT INC                              DE       2.02,9.01                      11/15/06

ZAP                                     CA       8.01                           11/09/06

ZIMMER HOLDINGS INC                     DE       8.01,9.01                      11/15/06

ZIONS BANCORPORATION /UT/               UT       7.01                           11/15/06