SEC NEWS DIGEST


    Issue 2006-220                                      November 15, 2006



    COMMISSION ANNOUNCEMENTS


    CHANGE IN THE MEETING: TIME CHANGE

    The time of the closed meeting scheduled for Monday, Nov. 20, 2006, at
    2:00 p.m. has been changed to 10:00 a.m.

    At times, changes in Commission priorities require alterations in  the
    scheduling of meeting items. For further information and to  ascertain
    what, if any, matters have been added, deleted  or  postponed,  please
    contact the Office of the Secretary at (202) 551-5400.


    ENFORCEMENT PROCEEDINGS


    SEC   SANCTIONS   BROKER-DEALER   FOR   UNSUITABLE   529   PLAN   UNIT
    RECOMMENDATIONS

    On  November  15,  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 21C of the Securities Exchange Act of 1934  (Order)
    against 1st Global  Capital  Corp.,  a  Dallas,  Texas,  broker-dealer
    registered with the Commission, relating to  1st  Global's  offer  and
    sale of units  of  tax-advantaged  qualified  tuition  savings  plans,
    commonly known as Section 529 College Savings Plans (529 Plans).

    The  Order  explains  that  because  of  the  unique  cost  structures
    associated with 529 Plan units,  careful  analysis  of  the  costs  of
    differing classes of 529 Plan units is necessary.  The  Order  further
    states that broker-dealers recommending a 529  Plan  investment  to  a
    customer must analyze the plan carefully to compare the relative costs
    of the different classes of units before recommending that a  customer
    purchase  a  particular  unit  class.  The  Order  states   that   the
    anticipated number of years until withdrawal is a critical  factor  in
    determining the appropriate class  of  units  class  for  a  529  Plan
    investment, and that where the beneficiary of a 529 Plan  is  a  young
    child,  the  effect  of  higher  annual,  ongoing  expenses   on   the
    performance of the investment  may  be  significant,  even  where  the
    initial investment is relatively small.

    The Order finds  that  between  January  2001  and  2004,  1st  Global
    recommended and sold investments in particular  classes  of  529  Plan
    units without necessarily having reasonable grounds  to  believe  that
    its recommendations were suitable, based upon 529 Plan fee  structures
    and customer needs and objectives, particularly the beneficiary's age.


    The Order additionally finds that 1st Global's supervisory  procedures
    were inadequate to determine whether  its  registered  representatives
    were evaluating the suitability of their recommendations of particular
    classes of 529 Plan units in light of the 529 Plan structure and  fees
    and  the   customers'   objectives   and   needs,   particularly   the
    beneficiary's age. Further, to the extent  the  Firm  had  procedures,
    they were ineffectively implemented for this purpose.

    The Order finds that as a result of this conduct, 1st Global willfully
    violated MSRB Rules G-17  and  G-19,  and  Section  15B(c)(1)  of  the
    Securities Exchange Act of 1934, by making unsuitable  recommendations
    in connection with  the  offer  and  sale  of  529  Plan  investments.
    Furthermore, based on the above, the  Order  requires  1st  Global  to
    cease-and-desist from committing or causing any  violations  of  those
    provisions and to pay a $100,000 civil penalty. 1st Global settled  to
    the entry of the Commission's order without admitting or  denying  the
    Commission's findings. (Rel. 34-54754; File No.  3-12479;  Press  Rel.
    2006-192)

    PENNY STOCK BAR - JAMES FRANKLIN

    James E. Franklin (Franklin) of San Diego, California, has been barred
    from participating  in  an  offering  of  penny  stock.  Thus,  he  is
    prohibited from engaging in any activities related  to  the  issuance,
    purchase, or sale of such speculative, low-priced securities. Franklin
    was enjoined in 2005 by a United States District Court  in  California
    against violations of the securities laws based on his wrongdoing in a
    scheme to defraud involving penny stocks.  The  penny  stock  bar  was
    based  on  this  injunction  and  was  ordered  in  an  administrative
    proceeding before an administrative law judge.

    Franklin orchestrated a fraudulent scheme, with others, to  tout  Easy
    Cellular, a penny stock, and other stocks. He personally obtained ill-
    gotten gains of $830,000 from the scheme,  and  the  court  fined  him
    $770,000 in addition to the injunction. His disciplinary history  also
    includes an injunction, fine, and order  of  disgorgement  imposed  in
    2004 by a United States District  Court  in  New  York  based  on  his
    wrongdoing in an unrelated scheme. (Initial Decision No. 323; File No.
    3-12228)

    COURT  ENTERS  ORDER  OF  CONTEMPT  FOR  FAILURE  TO  OBEY   TEMPORARY
    RESTRAINING ORDER AND PRELIMINARY INJUNCTION AGAINST  DEFENDANT  HENRY
    JONES

    On November 2, the US District  Court  for  the  Central  District  of
    California entered an order of contempt against Defendant Henry  Jones
    for failure to obey the temporary restraining  order  and  preliminary
    injunction that were issued in May 2005. Without admitting or  denying
    the allegations of civil contempt made by the Securities and  Exchange
    Commission, Jones consented to the  entry  of  the  finding  of  civil
    contempt.  To  purge  his  contempt,  Jones  agreed  to   an   amended
    preliminary injunction with  a  broader  prohibition  of  conduct.  In
    particular, Jones is permanently enjoined from "any involvement in, or
    conduct  facilitating  or  relating  in  any  way  to,  investing   or
    soliciting investment in any program purporting to involve coal  or  a
    coal  mine  operation,  an  international  gold  transaction,  or   an
    international banking  transaction,  with  or  from  any  participant,
    officer, director, or investor in Tri Energy Inc., H&J Energy Inc., La
    Vie D'Argent, Global Village Records, or Marina Investors Group, Inc."


    The contempt finding was based upon the SEC's evidence that, after the
    Court  entered  a  temporary   restraining   order   and   preliminary
    injunction, Jones continued to solicit and obtain money from investors
    in an ongoing affinity fraud and Ponzi scheme  involving  Tri  Energy,
    Inc. According to the  evidence,  Jones  established  a  new  business
    called Global Village Records (GVR) in May of 2005. GVR appeared to be
    operating in place of Jones' other businesses Marina Investors  Group,
    Inc. and MIG Records, whose accounts were subject to an  asset  freeze
    due to the fraud. According to the evidence, Jones opened a  new  bank
    account in the name of GVR, which he used to receive additional  funds
    from Tri Energy investors. The evidence also shows that  Jones  caused
    at least $500,000 from a Tri-Energy investor to  be  sent  to  one  of
    Jones' performers under the pretense that the performer was really  an
    attorney for the gold transaction.

    The SEC's complaint alleges that the gold transaction was a fraud that
    Jones and others used to defraud hundreds of  investors  of  over  $50
    million by promising returns of 100% or more within 60 days. The SEC's
    complaint alleges that Jones and other  have  been  telling  investors
    that these extraordinary profits were  to  be  generated  in  part  by
    helping an unnamed Saudi Arabian prince move gold from Israel  through
    Luxembourg to the United Arab Emirates. In reality, according  to  the
    Complaint, although some money has been paid out to  investors,  these
    funds appear to have come from new  investor  money,  and  substantial
    amounts of investor funds  have  been  transferred  to  bank  accounts
    controlled  by  the  proposed  defendants   and   relief   defendants.
    Defendants  have  characterized  the  purported  gold  transaction  to
    religiously devout investors as "deistically inspired"  and  "divinely
    guided."

    For their roles in the alleged scheme, the SEC charged Jones  and  the
    other defendants with violations  of  Sections  5  and  17(a)  of  the
    Securities Act of 1933 (Securities Act) and violations of, and  aiding
    and abetting violations of, Section 10(b) of the  Securities  Exchange
    Act of 1934 (Exchange Act) and Rule 10b-5  thereunder.  The  SEC  also
    named various relief defendants, including the performer who  received
    the $500,000, who allegedly received investor funds to which they have
    no legitimate claim. [SEC v. Tri Energy, Inc., H & J  Energy  Company,
    Inc., Marina Investors Group, Inc., Lowell  Decker,  Robert  Jennings,
    Henry Jones, Arthur Simburg, Mildred Stultz, DJM, LLC,  Financial  MD,
    Inc., Financial MD and Associates, Inc., Daniel  J.  Merriman,  Global
    Village Records, and  La  Vie  D'Argent,  as  defendants,  and  R.P.J.
    Investment Group, Inc., T.M.A. Investment Enterprises,  Thomas  Avery,
    and Wing NGA Lau, a/k/a Adrienne Lau, as relief defendants,  Case  No.
    ED CV 05-00351 AG(MANx) (C.D. California] (LR-19907)

    FINAL DISTRIBUTION ORDERED

    The Commission announced that on Aug. 22, 2006, the Honorable James D.
    Whittemore of the Middle District of Florida  entered  a  Final  Order
    authorizing  the  distribution  of  disgorgement  funds  to  defrauded
    investors and barring all future claims. Judge Whittemore  allowed  32
    claims, disallowed one claim and directed the transfer of  $121,997.93
    for distribution. The funds were distributed in September 2006.

    Previously, in September 2005 the Commission notified 73 investors  in
    Investment  Recovery  Network  and  its  predecessor  company,  Global
    Investment Recovery Services (collectively IRN), of  the  availability
    of disgorged funds for  distribution  and  the  procedure  for  making
    claims of the funds.  Subsequently,  33  of  the  investors  submitted
    claims.

    The Commission filed this lawsuit in February 2003, alleging  in  part
    that in connection with the offer and sale of IRN stock, Robert Magnan
    and  IRN  made  a  series  of  misrepresentations  and  omissions   to
    prospective purchasers regarding IRN's past performance, likelihood of
    going  public,  and  future  projections.  In  October  2004,  without
    admitting or denying any of the allegations of the  Complaint,  Magnan
    and IRN consented  to  the  entry  of  an  injunction  against  future
    violations of the anti-fraud  and  other  provisions  of  the  federal
    securities laws. The injunction against Magnan also ordered him to pay
    $125,000 in disgorgement into the Court Registry Investment System for
    distribution to defrauded IRN investors. [SEC  v.  Robert  A.  Magnan,
    Investment Recovery Network, Inc., John Delprince,  and  Old  Dominion
    Securities, Inc., Case No.  8:03-CV-321-T-27  TBM  (M.D.  Fla.)]  (LR-
    19909)

    SEC CHARGES WORLD INFORMATION TECHNOLOGY, INC.,  ITS  FORMER  CHAIRMAN
    AND CEO, AND OTHERS WITH A "PUMP-AND-DUMP" SCHEME

    The Commission announced that on November 14 it filed a  complaint  in
    the U.S. District Court for the Southern District of New York  against
    World Information Technology, Inc., its former Chairman and CEO,  Gary
    Morgan, a stock promoter, Ira Dicapua, and a  registered  stockbroker,
    Steven  Sirianni,  with  a  "pump-and-dump"  scheme  involving   World
    Information stock.

    The Commission's complaint alleges that, in  early  2003,  Morgan  and
    others working with him (Morgan's Group) purchased  a  publicly-traded
    shell company and merged it with a Taiwanese-based company  controlled
    by a member of Morgan's Group. Shortly thereafter, the  shell  company
    changed its name to World Information Technology,  Inc.,  issued  more
    than 13.8 million shares to entities controlled by Morgan's Group, and
    appointed Morgan as its CEO and Chairman. In  order  to  increase  the
    price of World Information stock, Morgan  made  false  and  misleading
    statements  in  public  filings  and  press   releases   about   World
    Information. For example, Morgan falsely stated that World Information
    had received a "firm commitment" for $20 million in funding.  Morgan's
    false  and  misleading  statements   significantly   increased   World
    Information's stock price.  For  example,  World  Information's  stock
    price increased from an average price of $2.245 to  $4.527  per  share
    following Morgan's interview with an on-line marketing firm  in  which
    he made false statements about  World  Information's  funding.  Morgan
    also failed to disclose his beneficial ownership and control of  World
    Information stock. In order to create  demand  for  World  Information
    stock,  Morgan  arranged  to  pay  brokers  kickbacks  to  sell  World
    Information stock to customers.  Morgan  paid  Dicapua,  a  consultant
    engaged to promote securities among brokers,  approximately  $117,500.
    Dicapua then paid Sirianni, a stock broker for  a  registered  broker-
    dealer,  approximately  $75,800  to   solicit   purchases   of   World
    Information stock from his customers and to purchase shares in his own
    account. While  engaged  in  the  pump-and-dump  scheme,  Morgan  sold
    approximately  300,000  shares  of  World  Information  and   received
    approximately $866,000 in illicit trading profits.

    The complaint charges all defendants with violating Section  17(a)  of
    the Securities Act of 1933, Section 10(b) of the  Securities  Exchange
    Act of 1934 and Rule 10b-5  thereunder,  and  World  Information  with
    violating Section 13(a) of the Exchange Act and Rules  12b-20,  13a-1,
    and  13a-13  thereunder.  The  complaint  also  charges  Morgan   with
    violating Sections 5(a) and 5(c) of the Securities  Act  and  Sections
    13(d) and 16(a) of the Exchange Act and Rules  12b-20,  13d-1,  13d-2,
    13a-14,  and  16a-3  and  aiding  and  abetting  World   Information's
    violations of Section 13(a) of the Exchange Act and Rules  12b-20  and
    13a-13 thereunder pursuant to Section 20(e) of the Exchange  Act.  The
    complaint further charges Sirianni with violating Section 15(a)(1)  of
    the Exchange Act. In its action, the Commission is  seeking  permanent
    injunctions prohibiting defendants from committing  future  violations
    of the foregoing federal securities laws, disgorgement  of  ill-gotten
    gains plus pre-judgment interest  thereon,  civil  penalties,  and  an
    officer and director bar against Morgan.  [SEC  v.  World  Information
    Technology,  Inc.,  et  al.,  Civil  Action   No.   06-CV-13181   (VM)
    (S.D.N.Y.)] (LR-19910)


    SELF-REGULATORY ORGANIZATIONS


    IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGES

    The New York Stock Exchange filed a  proposed  rule  change  (SR-NYSE-
    2006-79) relating to a fee on orders in equities and  exchange  traded
    funds routed from the Exchange and executed in another market pursuant
    to the Linkage Plan. The proposed rule change  became  effective  upon
    filing with the Commission. Publication is  expected  in  the  Federal
    Register during the week of November 13. (Rel. 34-54727) 

    The National Securities Clearing Corporation  filed  a  proposed  rule
    change (SR-NSCC-2006-10), which became effective upon filing, relating
    to clarifying and technical  changes  to  its  rules  regarding  ACATS
    Fund/SERV. Publication is expected in the Federal Register during  the
    week of November 13. (Rel. 34-54737)

    A proposed rule change (SR-CBOE-2006-91) filed by  the  Chicago  Board
    Options Exchange increasing the class  quoting  limit  in  the  option
    class  Research  in  Motion  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 13. (Rel.
    34-54738)

    A proposed  rule  change  (SR-NASD-2006-122)  filed  by  the  National
    Association of Securities Dealers, through its subsidiary, The  Nasdaq
    Stock Market, Inc., to modify pricing for NASD members using ITS/CAES,
    Brut, and Inet 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 13. (Rel. 34-54742)

    A proposed rule change filed by the New York Stock  Exchange  relating
    to Rule  116  ("Stop"  Constitutes  Guarantee)  (SR-NYSE-2006-91)  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 13. (Rel. 34-54743)

    The Commission issued notice of immediate effectiveness of a  proposed
    rule change (SR-Phlx-2006-71) filed by the Philadelphia Stock Exchange
    relating to clarifying its  payment  for  order  flow  program  as  it
    relates to order  flow  providers.  Publication  is  expected  in  the
    Federal Register during the week of November 13. (Rel. 34-54746)

    ACCELERATED APPROVAL OF PROPOSED RULE CHANGE

    The Commission granted accelerated approval to a proposed rule  change
    (SR-NASD-2006-073) as amended by Amendment  No.  2  submitted  by  the
    National Association of Securities Dealers to amend NASD  Interpretive
    Material 2210-4 to require a member firm or a person associated with a
    member firm that refers, on its  internet  Web  site,  to  the  firm's
    membership in  NASD  to  provide  a  hyperlink  to  NASD's  Web  site.
    Publication is expected in the Federal Register  during  the  week  of
    November 13. (Rel. 34-54740) 

    PROPOSED RULE CHANGE

    A proposed rule change has been filed by the American  Stock  Exchange
    (SR-Amex-2006-106) relating to the adoption of a penny  pilot  program
    under Section  19(b)(2)  of  the  Securities  Exchange  Act  of  1934.
    Publication is expected in the Federal Register  during  the  week  of
    November 13. (Rel. 34-54741) 

    AMENDED FILING OF A PROPOSED RULE  CHANGE

    The Options Clearing Corporation filed an amendment to  proposed  rule
    change (SR-OCC-2006-01) under Section 19(b)(1)  of  the  Exchange  Act
    that would allow OCC  to  amend  Article  VI  (Clearance  of  Exchange
    Transactions), Section 11A of OCC's By-Laws to (1) eliminate the  need
    to round strike prices and/or units of trading in the event of certain
    stock dividends, stock distributions, and stock splits and (2) provide
    for the adjustment of outstanding options for special dividends (i.e.,
    cash distributions not declared pursuant to a policy  or  practice  of
    paying such distributions on a quarterly or other regular basis).  The
    proposed rule change would also add a $12.50  per  contract  threshold
    amount  for  cash  dividends  and  distributions  to   trigger   OCC's
    adjustment rules. Publication is  expected  in  the  Federal  Register
    during the week of November 20. (Rel. 34-54748)

    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-8     Skagit State Bancorp, Inc., 301 E. FAIRHAVEN AVENUE, BURLINGTON, WA, 
        98233, 360-755-0411 - 0 ($9,720,073.00) Equity, (File 333-138665 - 
        Nov. 14) (BR. 07)

S-8     Cardium Therapeutics, Inc., 3611 VALLEY CENTRE DRIVE, SUITE 525, 
        SAN DIEGO, CA, 92130, (858) 436-1000 - 0 ($15,864,396.80) Equity, 
        (File 333-138666 - Nov. 14) (BR. 01B)

SB-2    VALLEY FORGE COMPOSITE TECHNOLOGIES, INC., RIVER CENTER I, 
        50 E RIVER CENTER BLVD, SUITE 820, COVINGTON, KY, 41011, 858-581-5111 - 
        9,296,500 ($17,296,500.00) Equity, (File 333-138667 - Nov. 14) (BR. 09)

SB-2    PERFORMANCE HEALTH TECHNOLOGIES INC, 6654 GUNPARK DRIVE #200, BOULDER, 
        CO, 80301, 303-527-0600 - 82,699,231 ($20,674,807.75) Other, 
        (File 333-138668 - Nov. 14) (BR. 10)

S-8     ELECTROGLAS INC, 5729 FONTANOSO WAY, SAN JOSE, CA, 95138, 
        408-528-3000 - 4,000,000 ($11,760,000.00) Equity, (File 333-138669 - 
        Nov. 14) (BR. 10B)

F-3ASR  ALCATEL, 54 RUE LA BOETIE, 2288 BH, PARIS FRANCE, I0, 75008, 
        3314076101 - 0 ($1,630,500,000.00) Debt, (File 333-138670 - Nov. 14) 
        (BR. 11A)

SB-2    LEGACY MINING LTD., SUITE 806, 1288 ALBERNI STREET, VANCOUVER, A1, 
        V6E 4N5, 604-664-0499 - 5,605,176 ($280,258.80) Equity, 
        (File 333-138672 - Nov. 14) (BR. 09)

S-8     TITAN PHARMACEUTICALS INC, 400 OYSTER POINT BLVD, SUITE 505, 
        SAN FRANCISCO, CA, 94080, 4152444990 - 
        1,000,000 ($2,270,000.00) Equity, (File 333-138673 - Nov. 14) (BR. 01C)

S-8     CADIZ INC, 777 SOUTH FIGUEROA STREET, SUITE 4250, LOS ANGELES, CA, 
        90017, 213-271-1600 - 50,000 ($980,000.00) Equity, (File 333-138674 - 
        Nov. 14) (BR. 02C)

S-4     XPLORE TECHNOLOGIES CORP, 6535B MISSISSAUGUA RD, ONTARIO, A6, 00000, 
        0 ($21,982,200.00) Debt, (File 333-138675 - Nov. 14) (BR. 03)

S-4     WINDSTREAM CORP, 4001 RODNEY PARHAM RD., LITTLE ROCK, AR, 72212, 
        5017487000 - 0 ($2,546,000,000.00) Non-Convertible Debt, 
        (File 333-138678 - Nov. 14) (BR. 11B)

S-3     EPIX Pharmaceuticals, Inc., 4 MAGUIRE ROAD, LEXINGTON, MA, 02421, 
        6172506000 - 0 ($32,513,636.34) Equity, (File 333-138679 - Nov. 14) 
        (BR. 01A)

S-8     EPIX Pharmaceuticals, Inc., 4 MAGUIRE ROAD, LEXINGTON, MA, 02421, 
        6172506000 - 0 ($7,337,486.35) Equity, (File 333-138680 - Nov. 14) 
        (BR. 01A)

S-3     AKORN INC, 2500 MILLBROOK DRIVE, BUFFALO GROVE, IL, 60089, 8472796100 - 
        0 ($4,350,000.00) Equity, (File 333-138681 - Nov. 14) (BR. 01C)

S-8     CHART INDUSTRIES INC, ONE INFINITY CORPORATE CENTRE DRIVE, SUITE 300, 
        GARFIELD HEIGHTS, OH, 44125-5370, 4407531490 - 
        3,421,030 ($43,310,239.80) Equity, (File 333-138682 - Nov. 14) (BR. 06C)

S-1     TELULAR CORP, 647 N LAKEVIEW PKWAY, 920 DEERFIELD PKWY, VERNON HILLS, 
        IL, 60061, 8474654500 - 0 ($5,856,762.60) Equity, (File 333-138683 - 
        Nov. 14) (BR. 11C)

SB-2    PHOTOMATICA, INC., 112 NORTH CURRIE STREET, CARSON CITY, NV, 
        89703-4934, 775-321-8243 - 3,200,000 ($800,000.00) Equity, 
        (File 333-138684 - Nov. 14) (BR. )

S-8     CORPORATE EXECUTIVE BOARD CO, 2000 PENNSYLVANIA AVE NW, WASHINGTON, DC, 
        20006, 2026725600 - 0 ($50,000,000.00) Equity, (File 333-138685 - 
        Nov. 14) (BR. 08A)

N-2     Claymore Strategic Opportunities Fund, 2455 CORPORATE WEST DRIVE, 
        LISLE, IL, 60532, 630-505-3700 - 50,000 ($1,000,000.00) Equity, 
        (File 333-138686 - Nov. 14) (BR. )

S-8     HEALTH SCIENCES GROUP INC, HOWARD HUGHES CENTER, 
        6080 CENTER DRIVE, 6TH FLOOR, LOS ANGELES, CA, 90045, 3102426700 - 
        12,600,000 ($504,000.00) Equity, (File 333-138687 - Nov. 14) (BR. 06C)

N-2     Kiewit Investment Fund LLLP, 73 TREMONT STREET, BOSTON, MA, 02108, 
        800-443-4306 - 3,040 ($50,006,996.80) Limited Partnership Interests, 
        (File 333-138688 - Nov. 14) (BR. 22)

S-3     SI INTERNATIONAL INC, 12012 SUNSET HILLS ROAD, SUITE 800, RESTON, VA, 
        20190-5869, 7032347000 - 0 ($145,862,000.00) Equity, (File 333-138689 - 
        Nov. 14) (BR. 03A)

S-8     BOOTS & COOTS INTERNATIONAL WELL CONTROL INC, 11615 N. HOUSTON ROSSLYN, 
        HOUSTON, TX, 77086, 7136217911 - 0 ($3,940,000.00) Equity, 
        (File 333-138690 - Nov. 14) (BR. 04B)

S-8     BOOTS & COOTS INTERNATIONAL WELL CONTROL INC, 11615 N. HOUSTON ROSSLYN, 
        HOUSTON, TX, 77086, 7136217911 - 895,250 ($1,763,643.00) Equity, 
        (File 333-138691 - Nov. 14) (BR. 04B)

SB-2    FC FINANCIAL SERVICES INC, 7075 PLACE ROBERT-JONCAS, UNIT 131, 
        MONTREAL, A8, H4M 2Z2, 514-270-5770 - 
        10,000,000 ($22,000,000.00) Equity, (File 333-138693 - Nov. 14) (BR. 07)

S-8     ORACLE CORP, 500 ORACLE PARKWAY, MAIL STOP 5 OP 7, REDWOOD CITY, CA, 
        94065, 6505067000 - 1,473,500 ($27,613,390.00) Equity, 
        (File 333-138694 - Nov. 14) (BR. 03B)

S-8     BIOVAIL CORP INTERNATIONAL, 7150 MISSISSAUGA ROAD, MISSISSAUGA, 
        ONTARIO, A6, 00000, 905 286-3000 - 0 ($96,330,000.00) Equity, 
        (File 333-138697 - Nov. 14) (BR. 01C)

S-8     TECHNOLOGY SOLUTIONS COMPANY, 205 N MICHIGAN AVE, SUITE 1500, CHICAGO, 
        IL, 60601, 3122284500 - 0 ($4,087,500.00) Equity, (File 333-138698 - 
        Nov. 14) (BR. 03C)

S-1     Alyst Acquisition Corp., 233 EAST 69TH STREET, #6J, NEW YORK, NY, 
        10021, 212-650-0232 - 0 ($135,800,100.00) Equity, (File 333-138699 - 
        Nov. 14) (BR. )

S-3     IMAGE ENTERTAINMENT INC, 20525 NORDHOFF STREET, SUITE 200, CHATSWORTH, 
        CA, 91311, 8184079100 - 0 ($21,095,197.00) Equity, (File 333-138701 - 
        Nov. 14) (BR. 05B)

S-8     GSE SYSTEMS INC, 7133 RUTHERFORD RD, SUITE 200, BALTIMORE, MD, 21244, 
        4102773740 - 1,875,000 ($5,962,500.00) Equity, (File 333-138702 - 
        Nov. 14) (BR. 03C)

S-8     ROBERTS REALTY INVESTORS INC, 450 NORTHRIDGE PARKWAY, STE 302, ATLANTA, 
        GA, 30350, 7703946000 - 400,000 ($3,148,000.00) Equity, 
        (File 333-138703 - Nov. 14) (BR. 08C)

S-8     Kodiak Oil & Gas Corp, SUITE 330 1625 BROADWAY, DENVER, CO, 90202, 
        303-592-8070 - 7,496,942 ($18,018,345.00) Equity, (File 333-138704 - 
        Nov. 14) (BR. 04)

S-3ASR  VERIZON COMMUNICATIONS INC, 140 WEST STREET, 29TH FLOOR, NEW YORK, NY, 
        10007, 212-395-1000 - 30,000,000 ($1,073,100,000.00) Equity, 
        (File 333-138705 - Nov. 14) (BR. 11B)

S-3     APEX SILVER MINES LTD, CALEDONIAN HOUSE MARY STREET, GEORGETOWN BWI, 
        GRAND CAYMAN ISLAND, 3038395060 - 0 ($200,000,000.00) Other, 
        (File 333-138707 - Nov. 14) (BR. 04C)


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     8K ITEM NO.
NAME OF ISSUER                        CODE   			    	        DATE     COMMENT

ABFC 2006-OPT3 Trust                    DE       9.01                           11/14/06

ABIOMED INC                             DE       4.01,9.01                      11/09/06

ABLEAUCTIONS COM INC                    FL       2.02                           11/14/06

ACCELLENT INC                                    2.02,9.01                      11/14/06

ACCESS WORLDWIDE COMMUNICATIONS INC     DE       2.02,7.01,9.01                 11/14/06

ACE Securities Corp. Home Equity Loan   DE       9.01                           10/30/06

ACME COMMUNICATIONS INC                 DE       2.02                           11/14/06

ACUSPHERE INC                           DE       2.02,9.01                      11/14/06

ADAMS RESOURCES & ENERGY, INC.          DE       2.02                           09/30/06

Adams Respiratory Therapeutics, Inc.    DE       5.02,8.01,9.01                 11/08/06

ADEPT TECHNOLOGY INC                    CA       2.02,9.01                      11/14/06

ADVANT E CORP                           DE       2.02,9.01                      11/14/06

AETHER HOLDINGS INC                     DE       1.01,2.01,3.02,8.01,9.01       11/07/06

AFFILIATED COMPUTER SERVICES INC        DE       2.04,9.01                      11/09/06

Affinia Group Intermediate Holdings I   DE       2.02,9.01                      11/14/06

Affinion Group, Inc.                    DE       2.02,9.01                      11/13/06

AFFIRMATIVE INSURANCE HOLDINGS INC      DE       2.02,7.01,9.01                 11/09/06

AGILENT TECHNOLOGIES INC                DE       2.02,9.01                      11/14/06

AK STEEL HOLDING CORP                   DE       7.01,9.01                      11/13/06

Akeena Solar, Inc.                      DE       2.02,9.01                      11/13/06

AKORN INC                               LA       1.01,9.01                      11/08/06

ALEXION PHARMACEUTICALS INC             DE       8.01,9.01                      11/14/06

ALL AMERICAN SEMICONDUCTOR INC          DE       2.02,9.01                      11/14/06

ALLIANCE DATA SYSTEMS CORP              DE       7.01,9.01                      11/14/06

Alliance Distributors Holding Inc.      DE       2.02,9.01                      11/14/06

ALLIANCE IMAGING INC /DE/               DE       5.02,9.01                      11/13/06

ALLIED HEALTHCARE INTERNATIONAL INC     NY       8.01,9.01                      11/10/06

Alphatec Holdings, Inc.                 DE       8.01,9.01                      07/27/06

Alphatec Holdings, Inc.                 DE       8.01,9.01                      11/07/06

Alternative Loan Trust 2006-J7          DE       8.01,9.01                      10/30/06

AMCOL INTERNATIONAL CORP                DE       1.01,8.01,9.01                 11/10/06

AMCOMP INC /FL                          DE       4.02                           11/09/06

AMERICAN ACCESS TECHNOLOGIES INC        FL       2.02,9.01                      11/14/06

AMERICAN CLAIMS EVALUATION INC          NY       2.02,9.01                      11/14/06

AMERICAN PHYSICIANS CAPITAL INC         MI       7.01,9.01                      11/14/06

AMERICAN TOWER CORP /MA/                DE       8.01                           11/14/06

AMERICAS CARMART INC                    TX       2.02,9.01                      11/13/06

AMERISERV FINANCIAL INC /PA/            PA       8.01,9.01                      11/14/06

AMERISOURCEBERGEN CORP                  DE       5.02,8.01,9.01                 11/08/06

AMERITRANS CAPITAL CORP                 DE       2.02,9.01                      09/30/06

AMERIVEST PROPERTIES INC                MD       1.01,2.01,9.01                 11/08/06

ANALOG DEVICES INC                      MA       2.02,9.01                      11/14/06

ANSOFT CORP                             PA       2.02,9.01                      11/14/06

APOGEE ENTERPRISES INC                  MN       7.01,9.01                      11/13/06

APOLLO DRILLING, INC.                   DE       1.01,9.01                      11/10/06

APPLEBEES INTERNATIONAL INC             DE       7.01,8.01,9.01                 11/14/06

APPLETON PAPERS INC/WI                           2.02,9.01                      11/13/06

APPLICA INC                             FL       8.01,9.01                      11/13/06

APPLIED SPECTRUM TECHNOLOGIES INC       MN       4.01,9.01                      11/14/06

ARADIGM CORP                            CA       3.01,9.01                      11/09/06

ARC WIRELESS SOLUTIONS INC              UT       2.02,9.01                      11/14/06

ARCH CAPITAL GROUP LTD.                          8.01                           11/08/06

ARRIS GROUP INC                         DE       7.01,9.01                      11/14/06

ARVINMERITOR INC                        IN       2.02,9.01                      11/14/06

ASG Consolidated LLC                    DE       5.02,9.01                      11/08/06

ASHLAND INC.                            KY       5.02                           11/10/06

ASSISTED LIVING CONCEPTS INC            NV       1.01,2.01,2.03,5.02, 	        11/10/06
					         5.03,8.01,9.01     
ASSURANT INC                                     4.02,5.02                      11/09/06

ASTRO MED INC /NEW/                     RI       2.02,9.01                      11/14/06

ATLANTIC AMERICAN CORP                  GA       2.02,9.01                      09/30/06

Atlas Pipeline Holdings, L.P.           DE       1.01,9.01                      11/10/06

AUBURN NATIONAL BANCORPORATION INC      DE       8.01,9.01                      11/14/06

AUGRID CORP                             NV       1.01                           11/08/06

AVATECH SOLUTIONS INC                   DE       5.02,9.01                      11/08/06

AVENUE GROUP INC                        DE       4.02                           11/14/06

AVEROX INC.                             NV       1.01,2.01,3.02,4.01,5.01, 	11/13/06
					         5.02,5.06,8.01,9.01   
AVISTA CORP                             WA       5.03,9.01                      11/09/06

BA Credit Card Trust                             8.01,9.01                      11/14/06

BALLY TECHNOLOGIES, INC.                NV       2.02,9.01                      11/09/06

Banc of America Alternative Loan Trus   DE       8.01,9.01                      10/30/06

Banc of America Funding 2006-7 Trust    DE       8.01,9.01                      10/30/06

Banc of America Mortgage 2006-B Trust   DE       8.01,9.01                      10/30/06

BANCORPSOUTH INC                        MS       7.01,9.01                      11/13/06

BANKATLANTIC BANCORP INC                FL       7.01,9.01                      11/14/06

Bear Stearns Asset Backed Securities    DE       9.01                           08/30/06    AMEND

Bear Stearns Asset Backed Securities    DE       9.01                           10/30/06

BEHRINGER HARVARD REIT I INC            MD       7.01,9.01                      11/10/06

BELL INDUSTRIES INC /NEW/               CA       1.01,9.01                      11/10/06

BELL INDUSTRIES INC /NEW/               CA       2.02,9.01                      11/14/06

BEXIL CORP                              MD       2.02,4.02,9.01                 11/10/06

BIO KEY INTERNATIONAL INC               MN       2.02,9.01                      11/13/06

BIOFORCE NANOSCIENCES HOLDINGS, INC.    NV       9.01                           02/24/06    AMEND

BIOSANTE PHARMACEUTICALS INC            DE       2.02,9.01                      11/14/06

BISON INSTRUMENTS INC                   MN       5.02                           11/13/06

BJS WHOLESALE CLUB INC                  DE       2.02,9.01                      11/14/06

BLONDER TONGUE LABORATORIES INC         DE       2.02,9.01                      11/14/06

BLUE HOLDINGS, INC.                     NV       2.02,9.01                      11/14/06

BLUEFLY INC                             DE       2.02,9.01                      11/14/06

Boardwalk Pipeline Partners, LP         DE       1.01,7.01,9.01                 11/14/06

BORLAND SOFTWARE CORP                   DE       1.01,2.02,5.02,9.01            11/14/06

BROADVIEW INSTITUTE INC                 MN       2.02,9.01                      11/14/06

Brookdale Senior Living Inc.            DE       2.02,9.01                      11/14/06

BSABS 2006-HE8                          DE       9.01                           10/30/06

BSD MEDICAL CORP                        DE       7.01,9.01                      11/14/06

BUILDING MATERIALS HOLDING CORP         DE       2.01                           11/09/06

BUILDING MATERIALS HOLDING CORP         DE       1.01,9.01                      11/10/06

BULLION RIVER GOLD CORP                          1.01,2.03,3.02,9.01            11/08/06

C-BASS Mortgage Loan Asset-Backed Cer   DE       8.01,9.01                      10/30/06

CADENCE FINANCIAL CORP                  MS       2.01,9.01                      11/14/06

CalAmp Corp.                            DE       1.01                           11/10/06

CALPINE CORP                            DE       2.02,7.01,9.01                 09/30/06

CAMERON INTERNATIONAL CORP              DE       5.02                           11/14/06

Canadian Rockport Homes Int'l, Inc.              8.01                           11/14/06

CAPITAL TRUST INC                       MD       7.01,9.01                      11/14/06

CARACO PHARMACEUTICAL LABORATORIES LT   MI       7.01,9.01                      11/14/06

CARDICA INC                             DE       5.02,9.01                      11/08/06

CAREGUIDE INC                           DE       2.02,9.01                      11/14/06

CASCADE NATURAL GAS CORP                WA       1.01,9.01                      11/07/06

CASPIAN INTERNATIONAL OIL CORP          DE       4.01,9.01                      08/10/06

CATALYTICA ENERGY SYSTEMS INC           DE       2.02,9.01                      11/14/06

CATALYTICA ENERGY SYSTEMS INC           DE       9.01                           10/25/06    AMEND

CATERPILLAR FINANCIAL SERVICES CORP     DE       8.01,9.01                      11/13/06

CEC ENTERTAINMENT INC                   KS       8.01                           11/13/06

CENTERSTATE BANKS OF FLORIDA INC        FL       1.01,9.01                      11/13/06

Century Petroleum Corp.                 NV       2.01                           10/01/06

CENVEO, INC                             CO       1.01                           11/08/06

Chelsea Therapeutics International, L   DE       2.02,8.01,9.01                 11/14/06

CHEMOKINE THERAPEUTICS CORP             DE       8.01                           11/14/06

CHINA EXPERT TECHNOLOGY, INC.           NV       2.02,9.01                      11/14/06

CHINA-BIOTICS, INC                      DE       5.02                           11/13/06

CHORDIANT SOFTWARE INC                  DE       8.01                           11/14/06

CHS INC                                 MN       4.02,9.01                      11/09/06

CIGNA CORP                              DE       8.01,9.01                      11/07/06

CIPHERGEN BIOSYSTEMS INC                DE       2.01,9.01                      11/13/06

CITIBANK CREDIT CARD MASTER TRUST I     DE       8.01                           11/14/06

COACTIVE MARKETING GROUP INC            DE       1.01,9.01                      11/08/06

COAST DISTRIBUTION SYSTEM INC           DE       2.02,9.01                      11/13/06

COLLINS & AIKMAN FLOOR COVERINGS INC    DE       8.01                           11/10/06

COLONIAL COMMERCIAL CORP                NY       2.02,9.01                      11/13/06

Columbia Equity Trust, Inc.             MD       2.02,7.01,9.01                 11/14/06

Columbia Equity Trust, Inc.             MD       9.01                           09/08/06    AMEND

COMBINATORX, INC                        DE       2.02,9.01                      11/14/06

COMERICA INC /NEW/                      DE       8.01,9.01                      11/14/06

COMERICA INC /NEW/                      DE       7.01,9.01                      11/14/06

Complete Production Services, Inc.      DE       1.01,2.01,3.02,7.01,9.01       11/08/06

COMPUTER HORIZONS CORP                  NY       2.02,9.01                      11/09/06

COMTEX NEWS NETWORK INC                 DE       1.01,2.02,5.02,9.01            11/10/06

Conihasset Capital Partners, Inc.       DE       5.02                           11/10/06

CONSTAR INTERNATIONAL INC               DE       2.02,9.01                      11/14/06

CONSUMER PORTFOLIO SERVICES INC         CA       1.01,9.01                      11/09/06

CONTINENTAL AIRLINES INC /DE/           DE       1.01,2.03,8.01,9.01            11/14/06

CONTINENTAL MATERIALS CORP              DE       2.02,9.01                      11/13/06

Copano Energy, L.L.C.                   DE       7.01,9.01                      11/10/06

CORAUTUS GENETICS INC                   DE       2.02,9.01                      11/14/06

CORCEPT THERAPEUTICS INC                         1.01,2.02,9.01                 11/08/06

COST U LESS INC                         WA       1.01,2.02,9.01                 11/07/06

COUNTERPATH SOLUTIONS, INC.             NV       4.01                           11/07/06    AMEND

CPG INTERNATIONAL INC.                  DE       2.02,9.01                      11/14/06

CPI AEROSTRUCTURES INC                  NY       2.02,9.01                      11/14/06

CREDITRISKMONITOR COM INC               NV       2.02,9.01                      11/14/06

CRM Holdings, Ltd.                               1.01,2.01,2.03,7.01,9.01       11/14/06

CRONOS GROUP                                     2.02,9.01                      11/13/06

CROWLEY MARITIME CORP                   DE       4.02                           11/13/06

CRYOCOR INC                             DE       1.01,9.01                      11/08/06

Crystal River Capital, Inc.             MD       2.02,7.01,9.01                 11/09/06

CSAB Mortgage-Backed Trust 2006-3                8.01,9.01                      11/14/06

CSMC Mortgage-Backed Trust 2006-9       DE       8.01,9.01                      11/14/06

CTC Media, Inc.                                  1.01,2.03                      11/14/06

CWHEQ Revolving Home Equity Loan Trus            8.01,9.01                      08/29/06    AMEND

DAWSON GEOPHYSICAL CO                   TX       2.02,9.01                      11/14/06

DCP Midstream Partners, LP              DE       5.02,8.01                      11/09/06

DCP Midstream Partners, LP              DE       9.01                           11/07/06    AMEND

DEERE & CO                              DE       7.01                           11/14/06

DELL INC                                DE       8.01,9.01                      11/14/06

DELPHI CORP                             DE       1.01,9.01                      11/13/06

DIASYS CORP                             DE       3.01                           11/14/06

DICKS SPORTING GOODS INC                DE       1.01,9.01                      11/13/06

DIGENE CORP                             DE       5.02,9.01                      11/13/06

DIGITAL RECORDERS INC                   NC       2.02,7.01,9.01                 11/14/06

Directed Electronics, Inc.              FL       2.02,9.01                      11/14/06

Discovery Holding CO                    DE       2.02                           11/13/06

Dividend Capital Total Realty Trust I   MD       2.01,9.01                      09/28/06    AMEND

DOR BIOPHARMA INC                       DE       2.02,9.01                      11/14/06

DOV PHARMACEUTICAL INC                  DE       2.02,9.01                      11/09/06

DOV PHARMACEUTICAL INC                  DE       8.01                           11/09/06

DSL NET INC                             DE       2.02,9.01                      11/14/06

DUKE REALTY CORP                        IN       8.01,9.01                      11/14/06

DUKE REALTY LIMITED PARTNERSHIP/        IN       8.01,9.01                      11/14/06

DYNAVAX TECHNOLOGIES CORP               DE       8.01,9.01                      11/12/06

DYNCORP INTERNATIONAL INC.              DE       7.01,9.01                      11/14/06

Eagle Bulk Shipping Inc.                         7.01,9.01                      11/09/06

EARTHLINK INC                           DE       7.01,9.01                      11/13/06

EATON VANCE CORP                        MD       7.01,9.01                      11/14/06

ECC Capital CORP                                 2.02,9.01                      11/14/06

Eddie Bauer Holdings, Inc.              DE       2.02,7.01,9.01                 11/14/06

Edgen Corp                                       5.02,7.01                      11/13/06

ELCOM INTERNATIONAL INC                 DE       2.02,9.01                      11/10/06

EMC CORP                                MA       8.01,9.01                      11/14/06

EMDEON CORP                             DE       8.01,9.01                      11/10/06

EMPIRE FINANCIAL HOLDING CO             FL       2.02,8.01,9.01                 11/13/06

EMPIRE RESOURCES INC /NEW/              DE       2.02,9.01                      11/13/06

ENCORE WIRE CORP /DE/                   DE       7.01,9.01                      11/14/06

ENCORIUM GROUP INC                      NV       2.02,9.01                      11/14/06

Energy Transfer Partners, L.P.          DE       2.02,7.01,9.01                 11/14/06

ENERGY WEST INC                         MT       2.02,9.01                      11/14/06

ENIGMA SOFTWARE GROUP, INC              DE       1.01,9.01                      11/14/06

ENTREMED INC                            DE       2.02,9.01                      11/06/06

ENVIRONMENTAL POWER CORP                DE       1.01,2.03,3.03,5.03,8.01,9.01  11/08/06

EPIQ SYSTEMS INC                        MO       2.02,4.02,9.01                 11/14/06

EPL Intermediate, Inc.                  DE       2.02,9.01                      11/09/06

ERICO INTERNATIONAL CORP                         8.01                           11/14/06

ESCO TECHNOLOGIES INC                   MO       2.02,7.01,9.01                 11/14/06

ESSEX CORP                              VA       5.02                           11/08/06

EVANS BOB FARMS INC                     DE       2.02,9.01                      11/13/06

EXPRESS SCRIPTS INC                     DE       7.01                           11/14/06

FAIRCHILD CORP                          DE       8.01,9.01                      11/13/06

FAVRILLE INC                            DE       2.02,9.01                      11/14/06

FCStone Group, Inc.                     IA       5.02,5.05,9.01                 11/09/06

Federal Home Loan Bank of Atlanta       X1       2.03                           11/08/06

Federal Home Loan Bank of Boston        X1       2.03                           11/08/06

Federal Home Loan Bank of Chicago       X1       2.03                           11/08/06

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01                      11/08/06

Federal Home Loan Bank of Des Moines    X1       2.03,9.01                      11/10/06

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01                      11/08/06

Federal Home Loan Bank of New York      X1       2.03,9.01                      11/09/06

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01                      11/08/06

Federal Home Loan Bank of San Francis   X1       2.03                           11/08/06

Federal Home Loan Bank of Seattle                2.03                           11/13/06

Federal Home Loan Bank of Topeka                 2.03                           11/08/06

FEDERAL NATIONAL MORTGAGE ASSOCIATION            1.01,5.02,9.01                 11/07/06

FIRST BANCTRUST CORP                    DE       2.02,9.01                      11/10/06

First Business Financial Services, In            5.02                           11/08/06

FIRST CONSULTING GROUP INC              DE       5.02,9.01                      11/12/06

FIRST FEDERAL BANCSHARES INC /DE        DE       2.02,9.01                      11/14/06

First Franklin Mortgage Loan Trust 20   DE       8.01,9.01                      10/30/06

First Franklin Mortgage Loan Trust 20   DE       8.01,9.01                      10/30/06

FIRST IPSWICH BANCORP /MA               MA       2.02,9.01                      11/14/06

FIRST LITCHFIELD FINANCIAL CORP         DE       8.01,9.01                      11/13/06

FIRST MCMINNVILLE CORP                  TN       5.02,9.01                      06/20/06

FIRSTFED FINANCIAL CORP                 DE       7.01,9.01                      09/30/06

FIVE STAR QUALITY CARE INC                       8.01,9.01                      11/14/06

FLOWSERVE CORP                          NY       2.02,9.01                      11/09/06

FNB CORP \VA\                           VA       5.02                           11/13/06

FOG CUTTER CAPITAL GROUP INC            MD       2.02,9.01                      11/13/06

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

FORD MOTOR CO                           DE       8.01,9.01                      11/14/06

FORD MOTOR CREDIT CO                    DE       8.01,9.01                      11/14/06

FOREST OIL CORP                         NY       7.01                           11/14/06

FORMFACTOR INC                          DE       5.02                           11/10/06

Fortunet, Inc.                          NV       2.02,9.01                      11/14/06

FOSSIL INC                              DE       2.02,8.01,9.01                 11/14/06

FOXHOLLOW TECHNOLOGIES, INC.            DE       1.01,5.02,9.01                 11/07/06

FRANKLIN ELECTRONIC PUBLISHERS INC      PA       2.02,9.01                      11/13/06

Gaming Partners International CORP      NV       7.01,9.01                      11/14/06

GENERAL COMMUNICATION INC               AK       2.02,4.02,9.01                 11/13/06

GENERAL GROWTH PROPERTIES INC           DE       5.03,9.01                      11/08/06

GENTEK INC                              DE       2.02,9.01                      11/09/06

GENTEX CORP                             MI       5.02                           11/14/06

GENVEC INC                              DE       2.02,9.01                      11/08/06

GENWORTH FINANCIAL INC                  DE       1.01,2.03,8.01,9.01            11/07/06

GIANT INDUSTRIES INC                    DE       2.02,9.01                      09/30/06

GLOBAL GREEN SOLUTIONS INC.             WA       1.01                           11/10/06

GLOBETEL COMMUNICATIONS CORP            DE       5.02,7.01                      11/07/06

GOLDEN PATRIOT CORP                     NV       8.01,9.01                      11/09/06

Golf Galaxy, Inc.                       MN       1.01,9.01                      11/13/06

GRAHAM PACKAGING HOLDINGS CO            DE       2.02,7.01,9.01                 11/13/06

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01                           11/10/06

Gregg Appliances Inc                             2.02,9.01                      11/14/06

Guideline, Inc.                         NY       2.02,9.01                      11/14/06

H&E Equipment Services, Inc.            DE       7.01,9.01                      11/13/06

HALIFAX CORP                            VA       2.02,9.01                      11/14/06

HANMI FINANCIAL CORP                    DE       7.01,9.01                      11/14/06

HANSEN NATURAL CORP                     DE       8.01                           11/07/06

HAPC, Inc.                              DE       4.02                           11/13/06

HAPC, Inc.                              DE       8.01,9.01                      04/26/06    AMEND

HARBOR FLORIDA BANCSHARES INC           DE       1.01,9.01                      11/08/06

HarborView 2006-SB1                              8.01,9.01                      10/31/06

Hawaiian Telcom Communications, Inc.    DE       2.02,9.01                      11/14/06

HCA INC/TN                              DE       8.01,9.01                      11/13/06

HEALTH BENEFITS DIRECT CORP             DE       2.02,9.01                      11/14/06

HEALTH CARE REIT INC /DE/               DE       8.01,9.01                      11/13/06

HEALTHSOUTH CORP                        DE       7.01,9.01                      11/13/06

HEARUSA INC                             DE       2.02,9.01                      11/14/06

HERCULES OFFSHORE, INC.                 DE       8.01,9.01                      11/13/06

HEWITT ASSOCIATES INC                   DE       2.02,2.05,9.01                 11/10/06

HIGHLANDS BANKSHARES INC /WV/           WV       8.01                           11/14/06

Hill International, Inc.                DE       7.01,9.01                      11/13/06

HNI CORP                                IA       1.01,2.03,4.01,9.01            11/08/06

HOME CITY FINANCIAL CORP                OH       8.01,9.01                      10/30/06

HOME DEPOT INC                          DE       2.02,9.01                      11/14/06

HOME SOLUTIONS OF AMERICA INC           DE       7.01,9.01                      11/14/06

HOOPER HOLMES INC                       NY       8.01                           11/10/06

HORNBECK OFFSHORE SERVICES INC /LA      DE       8.01,9.01                      11/13/06

HORTON D R INC /DE/                     DE       2.02,9.01                      11/14/06

HUDSON CITY BANCORP INC                 DE       7.01,9.01                      11/14/06

Hughes Communications, Inc.             DE       2.02,9.01                      11/14/06

Hughes Network Systems, LLC             DE       2.02,9.01                      11/14/06

HYDRIL CO                               DE       8.01                           11/09/06

HYDROGEN ENGINE CENTER, INC.            NV       9.01                           11/13/06

IBASIS INC                              DE       2.02,3.01,9.01                 11/14/06

IC ISAACS & CO INC                      DE       2.02,9.01                      11/13/06

ICOP DIGITAL, INC                       CO       2.02,9.01                      11/13/06

IDAHO GENERAL MINES INC                 ID       1.01,8.01,9.01                 10/23/06

IMAGE ENTERTAINMENT INC                 DE       2.02,9.01                      11/14/06

IMATION CORP                            DE       5.02,9.01                      11/09/06

INDIANA MICHIGAN POWER CO               IN       8.01,9.01                      11/14/06

IndyMac INDA Mortgage Loan Trust 2006            8.01,9.01                      10/30/06

INFORM WORLDWIDE HOLDINGS INC           CO       1.01,9.01                      11/07/06

INFRASOURCE SERVICES INC                DE       8.01,9.01                      10/26/06

INKSURE TECHNOLOGIES INC.               DE       8.01,9.01                      11/14/06

INNKEEPERS USA TRUST/FL                 MD       8.01,9.01                      11/14/06

INSITE VISION INC                       DE       2.02,9.01                      11/14/06

INTEGRA BANK CORP                       IN       8.01,9.01                      11/14/06

INTEGRA LIFESCIENCES HOLDINGS CORP      DE       5.02,9.01                      11/14/06

INTEGRATED ALARM SERVICES GROUP INC     DE       2.02,9.01                      11/09/06

INTELLIGENT SYSTEMS CORP                GA       2.02                           11/14/06

INTELSAT LTD                                     2.02,9.01                      11/14/06

INTERCARE DX INC                        CA       4.01                           11/13/06

INTERCARE DX INC                        CA       4.01                           11/13/06

INTERLINE BRANDS, INC./DE               DE       8.01,9.01                      11/13/06

INTERNATIONAL CARD ESTABLISHMENT INC    DE       5.02                           11/10/06

INTERNATIONAL RECTIFIER CORP /DE/       DE       1.01,9.01                      11/08/06

INTERNATIONAL WIRE GROUP INC            DE       5.02,9.01                      11/09/06

INTERNATIONAL WIRE GROUP INC            DE       7.01                           11/14/06

INTERPUBLIC GROUP OF COMPANIES, INC.    DE       2.02,9.01                      11/08/06

ION NETWORKS INC                        DE       5.02,8.01,9.01                 11/08/06

IPAYMENT INC                            DE       7.01,8.01,9.01                 11/13/06

IPAYMENT INC                            DE       2.02,9.01                      11/14/06

IRIS INTERNATIONAL INC                  DE       2.02,9.01                      11/14/06

IRIS INTERNATIONAL INC                  DE       5.02                           11/07/06

Irish Mag, Inc.                                  1.02,9.01                      09/30/06

ITC Holdings Corp.                      MI       8.01                           11/13/06

IWT TESORO CORP                         NV       5.02                           10/19/06    AMEND

J P MORGAN CHASE & CO                   DE       7.01,9.01                      11/14/06

J P MORGAN CHASE & CO                   DE       9.01                           11/10/06

J.P. Morgan Alternative Loan Trust 20   DE       9.01                           11/14/06

JABIL CIRCUIT INC                       DE       4.02                           11/07/06

JACK IN THE BOX INC /NEW/               DE       5.02,9.01                      11/09/06

JACO ELECTRONICS INC                    NY       2.02,9.01                      11/14/06

JARDEN CORP                             DE       1.01,9.01                      11/08/06

JETBLUE AIRWAYS CORP                    DE       1.01,2.03,9.01                 11/14/06

JMG Exploration, Inc.                   NV       1.01,7.01,9.01                 11/14/06

JORDAN INDUSTRIES INC                   IL       2.01,5.02                      11/10/06

JPMAC 2006-CH1                          DE       8.01,9.01                      11/14/06

Juniper Partners Acquisition Corp.      DE       7.01                           11/14/06

K2 INC                                  DE       5.02                           11/09/06    AMEND

KANSAS CITY LIFE INSURANCE CO           MO       2.02                           09/30/06

KANSAS CITY SOUTHERN                    DE       8.01,9.01                      11/13/06

Kansas City Southern de Mexico, S.A.    O5       8.01,9.01                      11/13/06

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

KBS Real Estate Investment Trust, Inc   MD       1.01                           11/07/06

KENDLE INTERNATIONAL INC                OH       5.02                           11/09/06

KEYCORP /NEW/                           OH       8.01                           11/10/06

KEYSTONE CONSOLIDATED INDUSTRIES INC    DE       2.02,7.01,9.01                 11/14/06

KOS PHARMACEUTICALS INC                 FL       9.01                           03/31/04    AMEND

LANGER INC                              NY       2.02,8.01,9.01                 11/14/06

LANTRONIX INC                           DE       2.02,9.01                      11/14/06

LBI MEDIA HOLDINGS INC                           2.02,9.01                      11/14/06

LEAR CORP                               DE       3.02,5.02,9.01                 11/09/06

LEARNING TREE INTERNATIONAL INC         DE       2.02,4.02,8.01,9.01            11/08/06

Lehman Mortgage Trust 2006-7            DE       8.01,9.01                      10/30/06

LEINER HEALTH PRODUCTS INC              DE       2.02,9.01                      11/14/06

LEXINGTON CORPORATE PROPERTIES TRUST    MD       1.01,8.01,9.01                 11/10/06

Lexington Energy Services Inc.          NV       1.01,2.03,3.02                 11/09/06

LIFETIME BRANDS, INC                    DE       7.01,9.01                      11/14/06

LINENS N THINGS INC                     DE       2.02,9.01                      11/14/06

LINN ENERGY, LLC                        DE       9.01                           11/14/06

LINN ENERGY, LLC                        DE       2.02,7.01,9.01                 11/14/06

LITHIUM TECHNOLOGY CORP                 DE       1.01,2.03,8.01                 11/09/06

LSB INDUSTRIES INC                      DE       2.02,9.01                      11/08/06

LSB INDUSTRIES INC                      DE       1.01,3.02                      11/08/06

LUMERA CORP                                      8.01,9.01                      11/10/06

LUMINENT MORTGAGE CAPITAL INC                    2.02,9.01                      11/09/06

MACE SECURITY INTERNATIONAL INC         DE       2.02,9.01                      11/13/06

MARVELL TECHNOLOGY GROUP LTD            D0       1.01,2.01,2.03,9.01            11/08/06

MAVERICK MINERALS CORP                  NV       4.01,9.01                      07/21/06

MCDONALDS CORP                          DE       5.03,8.01,9.01                 11/08/06

MCF CORP                                DE       3.03,9.01                      11/14/06

MEADOW VALLEY CORP                      NV       2.02,9.01                      11/14/06

MEDI HUT CO INC                         DE       1.01,9.01                      11/10/06

MEDIA SCIENCES INTERNATIONAL INC                 2.02,9.01                      11/14/06

MELLON BANK N A                         MA       8.01,9.01                      11/09/06

Mercantile Bancorp, Inc.                DE       8.01,9.01                      11/10/06

MEREDITH CORP                           IA       8.01,9.01                      11/14/06

MERIDIAN HOLDINGS INC                   CO       4.01                           11/13/06

Merrill Lynch Mortgage Investors Trus   DE       2.01,9.01                      10/30/06

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

METROCORP BANCSHARES INC                         7.01,9.01                      11/09/06

METROPOLITAN HEALTH NETWORKS INC        FL       4.02                           11/11/06

MICROSOFT CORP                          WA       8.01,9.01                      10/26/06

MICROTUNE INC                           DE       2.02,3.01,9.01                 11/14/06

MIDWEST AIR GROUP INC                   WI       8.01,9.01                      11/10/06

MILESTONE SCIENTIFIC INC/NJ             DE       8.01                           11/13/06

MISONIX INC                             NY       2.02,9.01                      11/14/06

MONSTER WORLDWIDE INC                   DE       3.01,9.01                      11/10/06

Morgan Stanley Mortgage Loan Trust 20   DE       8.01,9.01                      10/31/06

MOVIE GALLERY INC                       DE       2.02,9.01                      11/14/06

MTI TECHNOLOGY CORP                     DE       2.02,9.01                      11/14/06

MTM Technologies, Inc.                  NY       2.02,9.01                      11/14/06

MULTIBAND CORP                          MN       7.01,9.01                      11/09/06

MUZAK HOLDINGS LLC                      DE       2.02,5.02,9.01                 11/13/06

Nano-Jet Corp.                          NV       4.01                           11/09/06

NASH FINCH CO                           DE       2.02,9.01                      11/14/06

NATIONAL CITY CORP                      DE       2.02,9.01                      10/17/06    AMEND

NATIONAL FUEL GAS CO                    NJ       7.01,9.01                      11/14/06

NBT BANCORP INC                         DE       5.02                           11/10/06

NBTY INC                                DE       7.01,9.01                      11/13/06

NESTOR INC                              DE       2.02,8.01,9.01                 11/09/06

NET PERCEPTIONS INC                     DE       2.02,9.01                      11/14/06

NETOPIA INC                             DE       2.02,9.01                      11/14/06

NETOPIA INC                             DE       1.01,8.01,9.01                 11/13/06

NEUROLOGIX INC/DE                       DE       2.02,9.01                      11/14/06

New Century Alternative Mortgage Loan   DE       8.01,9.01                      10/30/06

New Era Marketing Inc                            3.03,5.03,9.01                 11/14/06

NEW WORLD RESTAURANT GROUP INC          DE       8.01,9.01                      11/09/06

NEW YORK COMMUNITY BANCORP INC          DE       7.01,9.01                      11/14/06

NEWELL RUBBERMAID INC                   DE       3.03,5.02                      11/08/06

NEWPARK RESOURCES INC                   DE       8.01                           11/13/06

NEWPOWER HOLDINGS INC                   DE       8.01,9.01                      11/09/06

NextWave Wireless Inc.                  DE       1.01,2.01,3.02,3.03,9.01       11/07/06

NIC INC                                 CO       7.01,9.01                      11/14/06

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

NISSAN AUTO LEASING LLC II              DE       8.01,9.01                      11/10/06

NORFOLK SOUTHERN CORP                   VA       7.01,9.01                      11/13/06

NORTHERN ETHANOL, INC.                  DE       3.02,5.02                      11/01/06

NOVAVAX INC                             DE       2.02,9.01                      11/14/06

NOVAVAX INC                             DE       9.01                           11/14/06    AMEND

Novelis Inc.                            A6       2.02,9.01                      11/14/06

NRG ENERGY, INC.                        DE       1.01,8.01,9.01                 11/08/06

Nuance Communications, Inc.             DE       2.02,9.01                      11/14/06

NUTRITION 21 INC                        NY       2.02,9.01                      11/14/06

NYER MEDICAL GROUP INC                  FL       1.01,2.03,9.01                 07/11/06

O2DIESEL CORP                                    2.02,9.01                      11/14/06

OCCAM NETWORKS INC/DE                   DE       8.01                           11/14/06

OILGEAR CO                              WI       2.02,9.01                      11/14/06

OM GROUP INC                            DE       5.02,9.01                      11/07/06

OMTOOL LTD                              DE       1.01,2.02,9.01                 11/13/06

ONE VOICE TECHNOLOGIES INC              NV       5.02                           11/08/06

ONSCREEN TECHNOLOGIES INC               CO       5.02                           11/13/06

OPTIMAL GROUP INC                                7.01                           11/14/06

OSCIENT PHARMACEUTICALS CORP            MA       7.01                           11/14/06

OSI PHARMACEUTICALS INC                 DE       8.01                           11/14/06

OWENS ILLINOIS INC /DE/                 DE       7.01                           11/13/06

OXFORD MEDIA, INC.                      NV       2.01,9.01                      09/01/06    AMEND

PALMETTO BANCSHARES INC                 SC       2.02,9.01                      11/08/06

Paradigm Oil & Gas, Inc.                NV       5.01,5.02                      11/13/06

PARK BANCORP INC                        DE       2.02,9.01                      11/14/06

PARTNERS TRUST FINANCIAL GROUP INC               7.01                           11/14/06

PATRICK INDUSTRIES INC                  IN       7.01,9.01                      11/13/06

PAULSON CAPITAL CORP                    OR       8.01,9.01                      11/14/06

PAYLESS SHOESOURCE INC /DE/             DE       5.02                           09/21/06    AMEND

PEAPACK GLADSTONE FINANCIAL CORP        NJ       4.01,9.01                      11/10/06

PeopleSupport, Inc.                     DE       1.01,9.01                      11/09/06

PEP BOYS MANNY MOE & JACK               PA       2.02,9.01                      11/14/06

PERCEPTRON INC/MI                       MI       2.02,9.01                      11/14/06

PEREGRINE PHARMACEUTICALS INC           DE       8.01                           11/10/06

PETROLEUM DEVELOPMENT CORP              NV       7.01,9.01                      11/14/06

PETROLEUM DEVELOPMENT CORP              NV       2.02,9.01                      11/10/06

PETROQUEST ENERGY INC                   DE       8.01,9.01                      11/10/06

PFSWEB INC                              DE       2.02                           11/14/06

PHC INC /MA/                            MA       9.01                           11/13/06

Pike Electric CORP                               8.01,9.01                      11/13/06

PILGRIMS PRIDE CORP                     DE       7.01                           11/14/06

PILGRIMS PRIDE CORP                     DE       7.01                           11/14/06

PILGRIMS PRIDE CORP                     DE       2.02,9.01                      11/14/06

PLANGRAPHICS INC                        CO       5.02                           11/07/06

PLIANT CORPORORATION                    DE       7.01,9.01                      11/14/06

POLYCOM INC                             DE       5.02                           11/08/06

PQ CORP                                 PA       2.02,9.01                      11/14/06

PREMIER EXHIBITIONS, INC.                        8.01,9.01                      11/14/06

PRICESMART INC                          DE       2.02,9.01                      11/13/06

PRIME GROUP REALTY TRUST                MD       2.01,9.01                      11/14/06

PRINCETON REVIEW INC                    DE       2.02,9.01                      11/14/06

PROLIANCE INTERNATIONAL, INC.           DE       2.02,9.01                      11/13/06

PROLOGIS                                MD       1.01,2.03,9.01                 11/09/06

Propex Inc.                             DE       2.02,9.01                      11/14/06

PRUDENTIAL FINANCIAL INC                NJ       8.01,9.01                      11/14/06

QUAKER CHEMICAL CORP                    PA       5.02                           11/08/06

QUEST RESOURCE CORP                     NV       2.02,9.01                      11/14/06

QUIPP INC                               FL       2.02,9.01                      11/10/06

R H DONNELLEY CORP                      DE       8.01,9.01                      11/09/06

RAIKE FINANCIAL GROUP INC/GA            GA       5.03,9.01                      11/01/06

RALI Series 2006-QA9 Trust              DE       8.01,9.01                      11/14/06

RALI Series 2006-QO8 Trust              DE       8.01,9.01                      11/14/06

RALI Series 2006-QS14 Trust             DE       8.01,9.01                      10/14/06

RALI Series 2006-QS15 Trust             DE       8.01,9.01                      10/13/06

RAMP Series 2006-RS6 Trust              DE       8.01,9.01                      10/14/06

RANCHER ENERGY CORP.                    NV       3.02,5.02,9.01                 11/14/06

RANCHER ENERGY CORP.                    NV       1.01,3.02,9.01                 11/14/06    AMEND

RASC Series 2006-KS9 Trust              DE       8.01,9.01                      11/14/06    AMEND

Ready Mix, Inc.                         NV       2.02,9.01                      11/14/06

Regency Energy Partners LP              DE       5.01                           11/14/06

Regency Energy Partners LP              DE       2.02,7.01,9.01                 11/14/06

RELIANCE STEEL & ALUMINUM CO            CA       8.01,9.01                      11/13/06

REMOTE MDX INC                          UT       1.01,3.02,9.01                 11/09/06

RENAISSANCE CAPITAL GROWTH & INCOME F   TX       7.01,9.01                      11/13/06

RFMSI Series 2006-S10 Trust             DE       8.01,9.01                      10/14/06

RICKS CABARET INTERNATIONAL INC         TX       8.01,9.01                      11/10/06

RICKS CABARET INTERNATIONAL INC         TX       2.01,9.01                      08/24/06    AMEND

Rockwood Holdings, Inc.                 DE       2.02,9.01                      11/14/06

RONCO CORP                              DE       8.01                           11/01/06

ROSS STORES INC                         DE       2.02,9.01                      11/14/06

ROYAL CARIBBEAN CRUISES LTD                      7.01                           11/14/06

RUB A DUB SOAP INC                      CO       5.01                           02/21/06    AMEND

RURAL/METRO CORP /DE/                   DE       2.02,9.01                      11/14/06

S1 CORP /DE/                            DE       1.01,9.01                      11/13/06

SAKS INC                                TN       2.02,9.01                      11/14/06

SALTON INC                              DE       2.02,9.01                      11/14/06

SANFILIPPO JOHN B & SON INC             DE       8.01,9.01                      11/13/06

SAST 2006-3                             VA       8.01,9.01                      11/14/06

SCHOOL SPECIALTY INC                    WI       2.02,9.01                      11/14/06

SCIENCE DYNAMICS CORP                   DE       5.02                           11/06/06

SCM MICROSYSTEMS INC                    DE       2.02,9.01                      11/14/06

SECURE COMPUTING CORP                   DE       2.01,9.01                      08/31/06    AMEND

SecureLogic Corp                        NV       5.02                           11/09/06

Securitized Asset Backed Receivables             8.01,9.01                      08/31/06    AMEND

Securitized Asset Backed Receivables             8.01,9.01                      09/28/06    AMEND

SELIGMAN NEW TECHNOLOGIES FUND II INC   MD       7.01                           11/14/06

SELIGMAN NEW TECHNOLOGIES FUND, INC              7.01                           11/14/06

Seneca Gaming Corp                      XX       1.01,9.01                      11/09/06

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

SENIOR HOUSING PROPERTIES TRUST         MD       8.01,9.01                      11/14/06

SERACARE LIFE SCIENCES INC                       1.01                           11/10/06

SHARPER IMAGE CORP                      DE       5.02,9.01                      11/08/06

SHAW GROUP INC                          LA       1.02,5.02,9.01                 11/08/06

SILICON GRAPHICS INC                    DE       2.02,9.01                      11/13/06

SLS INTERNATIONAL INC                   DE       2.02,9.01                      11/14/06

SMART ONLINE INC                                 1.01,2.02,2.03,9.01            11/08/06

SMI PRODUCTS INC                                 4.01,9.01                      10/31/06    AMEND

Somaxon Pharmaceuticals, Inc.           DE       1.01,9.01                      11/09/06

SONIC FOUNDRY INC                       MD       2.02,9.01                      11/14/06

SONIC FOUNDRY INC                       MD       8.01                           11/14/06

SONUS NETWORKS INC                      DE       3.01,9.01                      11/10/06

SOTHEBYS                                DE       2.02,9.01                      11/09/06

SOVEREIGN BANCORP INC                   PA       5.02,9.01                      11/08/06

Spectrum Brands, Inc.                   WI       2.02,2.06,9.01                 11/14/06

SPRINT NEXTEL CORP                      KS       8.01                           11/13/06

STAGE STORES INC                        NV       8.01,9.01                      11/10/06

Stanley, Inc.                           DE       2.02,9.01                      11/14/06

STAPLES INC                             DE       2.02,9.01                      11/14/06

STATE STREET CORP                       MA       7.01,9.01                      11/14/06

STEAK & SHAKE CO                        IN       2.02,9.01                      11/14/06

STERICYCLE INC                          DE       1.01,9.01                      11/08/06

STOCKGROUP INFORMATION SYSTEMS INC      CO       8.01,9.01                      11/10/06

STRATEGIC DISTRIBUTION INC              DE       2.02                           11/13/06

STRATEGIC HOTELS & RESORTS, INC                  9.01                           08/31/06    AMEND

SUMTOTAL SYSTEMS INC                    DE       1.01,3.02,7.01,9.01            11/13/06

SUMTOTAL SYSTEMS INC                    DE       7.01,9.01                      11/14/06

SUN HYDRAULICS CORP                     FL       2.02,9.01                      11/08/06

SUNTRUST BANKS INC                      GA       5.02,7.01,9.01                 11/14/06

SUPERCONDUCTOR TECHNOLOGIES INC         DE       5.02                           11/08/06

SUTRON CORP                             VA       2.02,9.01                      11/08/06

Tank Sports, Inc.                       CA       5.03,9.01                      11/10/06

TARGET CORP                             MN       2.02,8.01,9.01                 11/14/06

TARGET RECEIVABLES CORP                 MN       8.01,9.01                      11/14/06

TARGET RECEIVABLES CORP                 MN       8.01,9.01                      11/14/06

TARRANT APPAREL GROUP                   CA       2.02,7.01,9.01                 11/14/06

TASER INTERNATIONAL INC                          5.02                           08/30/06    AMEND

TECHNICAL OLYMPIC USA INC               DE       2.02,9.01                      11/14/06

TENNANT CO                              MN       1.01,3.03,5.03                 11/10/06

TENNECO INC                             DE       8.01,9.01                      11/13/06

TENNESSEE VALLEY FINANCIAL HOLDINGS I   TN       4.01,9.01                      11/14/06

TEXAS PACIFIC LAND TRUST                         8.01,9.01                      11/14/06

THERMO FISHER SCIENTIFIC INC.           DE       1.01,2.01,2.03,5.02, 	        11/07/06
					         5.03,5.05,9.01     
TIB FINANCIAL CORP.                     FL       1.01,7.01,9.01                 11/13/06

TIENS BIOTECH GROUP USA INC                      8.01,9.01                      11/14/06

TJX COMPANIES INC /DE/                  DE       2.02,9.01                      11/14/06

TOFUTTI BRANDS INC                      DE       2.02,9.01                      11/14/06

TOREADOR RESOURCES CORP                 DE       8.01,9.01                      11/14/06

Tower Group, Inc.                       DE       1.01,3.02                      11/13/06

TRACK DATA CORP                         DE       2.02                           11/14/06

TRAMMELL CROW CO                        DE       9.01                           10/30/06    AMEND

TRANSGENOMIC INC                        DE       2.02,9.01                      11/14/06

TRANSTECH INDUSTRIES INC                DE       8.01                           11/14/06

TRANSTECH INDUSTRIES INC                DE       8.01                           11/14/06    AMEND

TRIMAS CORP                             DE       2.02,9.01                      11/14/06

TRM CORP                                OR       2.02,9.01                      11/14/06

TRONOX INC                              DE       7.01,9.01                      11/13/06

TTM TECHNOLOGIES INC                    WA       7.01,9.01                      11/14/06

Turquoise Card Backed Securities plc    X0       8.01,9.01                      11/14/06

UCBH HOLDINGS INC                       DE       4.02                           11/13/06

UNITED INDUSTRIAL CORP /DE/             DE       8.01,9.01                      11/14/06

URANIUM RESOURCES INC /DE/              DE       8.01,9.01                      11/13/06

US LEC CORP                             DE       2.02,9.01                      11/14/06

USA TECHNOLOGIES INC                    PA       2.02,9.01                      11/13/06

VALENTIS INC                            DE       2.02,9.01                      11/14/06

VALLEY NATIONAL BANCORP                 NJ       7.01,9.01                      11/14/06

VALLEY NATIONAL GASES INC               WV       1.01,8.01,9.01                 11/13/06

VCAMPUS CORP                            DE       2.02,9.01                      11/14/06

VECTOR GROUP LTD                        DE       2.02,9.01                      11/14/06

Verigy Ltd.                             U0       2.02,5.02,9.01                 11/10/06

VERSO TECHNOLOGIES INC                  MN       2.02,9.01                      11/14/06

VERTICAL BRANDING, INC.                 DE       1.01,2.03,9.01                 11/08/06

VERTICALNET INC                         PA       2.02,9.01                      11/14/06

Vestin Realty Mortgage II, Inc                   8.01,9.01                      11/14/06

VIASPACE Inc.                           NV       8.01,9.01                      11/14/06

VIEWCAST COM INC                        DE       2.02,9.01                      11/14/06

VIGNETTE CORP                           DE       8.01,9.01                      11/12/06

VION PHARMACEUTICALS INC                DE       2.02,8.01,9.01                 11/13/06

VONAGE HOLDINGS CORP                    DE       1.01,9.01                      11/13/06

Vyteris Holdings (Nevada), Inc.         NV       3.02                           11/08/06

WABASH NATIONAL CORP /DE                DE       2.02,8.01,9.01                 11/13/06

Wachovia Bank Commercial Mortgage Tru   NC       1.01,9.01                      10/31/06

WAL MART STORES INC                     DE       2.02,9.01                      11/14/06

WARWICK VALLEY TELEPHONE CO             NY       8.01,9.01                      11/14/06

Washington Mutual Mortgage Pass-Throu   DE       9.01                           10/30/06

WEBB INTERACTIVE SERVICES INC           CO       8.01                           11/14/06

WEBSTER FINANCIAL CORP                  DE       8.01                           11/14/06

Wells Fargo Mortgage Backed Securitie   DE       8.01,9.01                      10/30/06

WESTERN DIGITAL CORP                    DE       5.02                           11/08/06

WESTERN GOLDFIELDS INC                  ID       7.01,9.01                      11/14/06

Western Refining, Inc.                  DE       2.02,9.01                      11/14/06

WHEELING ISLAND GAMING INC              DE       2.02,9.01                      11/13/06

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

WILD OATS MARKETS INC                   DE       2.05,9.01                      11/13/06

WILLBROS GROUP INC                      R1       2.02,9.01                      11/08/06

WILLIS LEASE FINANCE CORP               DE       2.02,7.01,9.01                 11/13/06

WILSONS THE LEATHER EXPERTS INC         MN       2.02,9.01                      11/14/06

WINDSTREAM CORP                         DE       8.01,9.01                      11/14/06

WIRELESS XCESSORIES GROUP INC           DE       2.02,7.01                      11/13/06

WOLVERINE TUBE INC                      DE       1.01                           11/08/06

WOODWARD GOVERNOR CO                    DE       9.01                           11/13/06

WORLD HEART CORP                        A6       2.02,9.01                      11/14/06

Wright Express CORP                              8.01,9.01                      11/07/06

WYNN RESORTS LTD                                 1.02,5.02,5.03,8.01,9.01       11/13/06

XANSER CORP                             DE       2.02                           11/14/06

XETHANOL CORP                           CO       1.01,2.01,3.02,9.01            11/07/06

XO HOLDINGS INC                         DE       8.01                           11/08/06

ZAP                                     CA       2.02,9.01                      11/14/06

ZIX CORP                                TX       5.02                           11/10/06