SEC NEWS DIGEST Issue 2007-29 February 13, 2007 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS Following is a schedule of Commission meetings, which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration. CLOSED MEETING - TUESDAY, FEBRUARY 13, 2007 - 12:30 P.M. A closed meeting has been scheduled for Tuesday, February 13, 2007, at 12:30 p.m. The subject matter of the closed meeting will be an adjudicatory matter. CLOSED MEETING - THURSSDAY, FEBRUARY 22, 2007 - 2:00 P.M. A closed meeting will be held on Thursday, February 22, 2007 at 2:00 p.m. The subject matter of the closed meeting scheduled for Thursday, February 22, 2007 will be formal orders of investigation; institution and settlement of injunctive actions; institution and settlement of administrative proceedings of an enforcement nature; other matters relating to enforcement proceeding; and resolution of a litigation claim. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGS IN THE MATTER OF COSMETIC CENTER, INC. An administrative law judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) in the matter of Cosmetic Center, Inc. The Default Order finds that Cosmetic Center, Inc., Donlar Biosyntrex Corp., Donlar Corp., and Phoenix Waste Services Company, Inc., failed to comply with Section 13(a) of the Securities Exchange Act of 1934 and Exchange Act Rules 13a-1 and 13a- 13 by failing to file required periodic reports over a period of several years. Based on these findings, the Default Order revokes the registrations of each class of the registered securities of these companies. (Rel. 34-55278; File No. 3-12519) SEC CHARGES FORMER CHIEF EXECUTIVE OFFICER OF ENTERASYS NETWORKS, INC. WITH FINANCIAL FRAUD On February 8, the Commission filed a partially settled civil fraud action in the United States District Court for the District of New Hampshire against Enrique (Henry) Fiallo, the former Chief Executive Officer of Enterasys Networks, Inc. (Enterasys). The complaint alleges that from March 2000 through December 2001, Fiallo participated in a company-wide scheme to fraudulently inflate revenues at Enterasys and its former parent company, Cabletron Systems, Inc., and thereby convince the market that Enterasys was a viable independent company with consistently strong revenue growth. The Commission's complaint further alleges that Fiallo directly participated in transactions which involved undisclosed side agreements in which the purchaser was granted full return or exchange rights, or payment for product was contingent upon the purchaser's resale of the product, or payment was contingent upon a future investment by Enterasys. In the latter, Enterasys agreed to take a debt or equity interest in its customer, in return for that company's agreement to use the related funds to purchase product from Enterasys. The Commission accepted an offer of partial settlement in this matter from Fiallo, who, without admitting or denying the allegations of the complaint, consented to 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 violation 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. Fiallo also consented to an officer and director bar and to a provision that upon motion of the Commission the Court will determine whether it is appropriate to order disgorgement of ill-gotten gains and/or impose a civil penalty and, if so, the amount of the disgorgement and/or civil penalty. In a related criminal case, Fiallo pled guilty to one count of conspiracy to commit securities fraud and cooperated with the U.S. Attorney's Office for the District of New Hampshire in the prosecution of U.S. v. Barber et al., Criminal No. 04-126 (D.N.H.). [SEC v. Enrique (Henry) Fiallo, Civil Action No. 07cv036, D.N.H.] (LR-19997) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change and Amendment No. 1 thereto filed by the Philadelphia Stock Exchange relating to calculation and dissemination of PHLS/KBW Bank Index values (SR-Phlx-2007-01) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 12. (Rel. 34-55261) A proposed rule change, as modified by Amendment No. 1 thereto (SR- CBOE-2007-11), filed by the Chicago Board Options Exchange relating to its marketing fee program has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 12. (Rel. 34-55265) A proposed rule change (SR-CBOE-2007-12) filed by the Chicago Board Options Exchange relating to the extension of a pilot program that increases the standard position and exercise limits for certain options traded on CBOE 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 February 12. (Rel. 34-55266) A proposed rule change, as modified by Amendment No. 1 thereto (SR- ISE-2007-08), filed by the International Securities Exchange relating to payment for order flow fees has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 12. (Rel. 34-55271) APPROVAL OF PROPOSED RULE CHANGE The Commission granted approval of proposed rule change File No. SR- OCC-2006-01 filed by The Options Clearing Corporation under Section 19(b)(1) of the Exchange Act that allows 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 also adds a $12.50 per contract threshold amount for cash dividends and distributions to trigger OCC's adjustment rules. Publication of the order is expected in the Federal Register during the week of February 12. (Rel. 34- 55258) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . SB-2 Freshwater Technologies Inc., 30 DENVER CRES, SUITE 200, TORONTO, A6, M2J 1G8, 416-490-0254 - 20,400,000 ($10,200,000.00) Equity, (File 333-140595 - Feb. 12) (BR. 02) SB-2 INNOVATIVE SOFTWARE TECHNOLOGIES INC, 5072 NORTH 300 WEST, PROVO, UT, 84604, 801-371-0755 - 19,642,856 ($3,826,785.50) Equity, (File 333-140596 - Feb. 12) (BR. 08B) S-8 Rock-Tenn CO, 504 THRASHER STREET, NORCROSS, GA, 30071, (770) 448-2193 - 1,900,000 ($63,327,000.00) Equity, (File 333-140597 - Feb. 12) (BR. 03C) SB-2 ImmunoCellular Therapeutics, Ltd., 1999 AVENUE OF THE STARS, 11TH FLOOR, LOS ANGELES, CA, 90067, 3107891213 - 0 ($36,294,340.00) Equity, (File 333-140598 - Feb. 12) (BR. 09) S-1 Quicksilver Gas Services LP, 777 WEST ROSEDALE STREET, SUITE 300, FORT WORTH, TX, 76104, (817) 665-5000 - 0 ($81,506,250.00) Limited Partnership Interests, (File 333-140599 - Feb. 12) (BR. 02) S-1 TomoTherapy Inc, 1240 DEMING WAY, MADISON, WI, 53717-1954, 0 ($201,250,000.00) Equity, (File 333-140600 - Feb. 12) (BR. 10) S-3 CULLEN FROST BANKERS INC, 100 W HOUSTON ST, P O BOX 1600, SAN ANTONIO, TX, 78205, 2102204841 - 0 ($100,000,000.00) Non-Convertible Debt, (File 333-140601 - Feb. 12) (BR. 07B) S-8 ADMINISTAFF INC \DE\, 19001 CRESCENT SPRINGS DR, KINGWOOD, TX, 77339, 7133588986 - 0 ($60,046,000.00) Equity, (File 333-140602 - Feb. 12) (BR. 11C) S-8 SHEARSON FINANCIAL NETWORK INC, 20 CORPORATE PARK, SUITE 285, IRVINE, CA, 92606, 949-260-1801 - 53,308,207 ($1,146,126.45) Equity, (File 333-140603 - Feb. 12) (BR. 07A) S-3 Lares Asset Securitization, Inc., 101 CALIFORNIA STREET, 13TH FLOOR, SAN FRANCISCO, CA, 94111, 415.978.3000 - 0 ($2,500,000,000.00) Asset-Backed Securities, (File 333-140604 - Feb. 12) (BR. 05D) S-3 RESIDENTIAL FUNDING MORTGAGE SECURITIES II INC, 8400 NORMANDALE LAKE BLVD, SUITE 600, MINNEAPOLIS, MN, 55437, 9528327000 - 1,000,000 ($1,000,000.00) Mortgage Backed Securities, (File 333-140605 - Feb. 12) (BR. 05D) SB-2 BIONOVO INC, 5858 HORTON STREET,, SUITE 375, EMERYVILLE, CA, 94608, 510-601-2000 - 14,939,820 ($44,109,293.00) Equity, (File 333-140607 - Feb. 12) (BR. 01C) S-3 RESIDENTIAL ASSET MORTGAGE PRODUCTS INC, 8400 NORMANDALE LAKE BLVD, SUITE 600, MINNEAPOLIS, MN, 55437, 952 857-7000 - 1,000,000 ($1,000,000.00) Mortgage Backed Securities, (File 333-140609 - Feb. 12) (BR. 05D) S-3 RESIDENTIAL ACCREDIT LOANS INC, 8400 NORMADALE LAKE BLVD, STE 600, MINNEAPOLIS, MN, 55437, 952-857-7000 - 1,000,000 ($1,000,000.00) Mortgage Backed Securities, (File 333-140610 - Feb. 12) (BR. 05D) S-3 RESIDENTIAL ASSET SECURITIES CORP, 8400 NORMANDALE LAKE BLVD, SUITE 600, MINNEAPOLIS, MN, 55437, 9528327000 - 1,000,000 ($1,000,000.00) Mortgage Backed Securities, (File 333-140611 - Feb. 12) (BR. 05D) SB-2 ECOTALITY, INC., 6821 E. THOMAS ROAD, SCOTTSDALE, AZ, 85251, (480) 219-5005 - 41,399,896 ($44,297,888.72) Equity, (File 333-140612 - Feb. 12) (BR. 06C) S-1 HIRERIGHT INC, 5151 CALIFORNIA AVENUE, IRVINE, CA, 92617, 949 428 5800 - 0 ($86,250,000.00) Equity, (File 333-140613 - Feb. 12) (BR. ) S-3 RESIDENTIAL FUNDING MORTGAGE SECURITIES I INC, 8400 NORMANDALE LAKE BLVD, SUITE 250, MINNEAPOLIS, MN, 55437, 9528327000 - 1,000,000 ($1,000,000.00) Mortgage Backed Securities, (File 333-140614 - Feb. 12) (BR. 05D) S-4 STERLING BANCSHARES INC, 2550 N. LOOP WEST, SUITE 600, HOUSTON, TX, 77092, 7134668300 - 0 ($1.00) Equity, (File 333-140617 - Feb. 12) (BR. 07A) SB-2 SOLOMON TECHNOLOGIES INC, 7375 BENEDICT AVENUE, BENEDICT, MD, 20612, 3012744479 - 4,796,786 ($12,999,290.06) Equity, (File 333-140618 - Feb. 12) (BR. 10C) S-4 CITIZENS & NORTHERN CORP, 90-92 MAIN ST, WELLSBORO, PA, 16901, 7172656171 - 0 ($14,333,374.00) Equity, (File 333-140619 - Feb. 12) (BR. 07B) N-2 ARES CAPITAL CORP, 280 PARK AVENUE, 22ND FLOOR, BUILDING EAST, NEW YORK, NY, 10017, 2127507300 - 0 ($600,000,000.00) Equity, (File 333-140620 - Feb. 12) (BR. 17) S-8 NETWORK 1 SECURITY SOLUTIONS INC, 1601 TRAPELO RD, RESERVOIR PLACE, WALTHAM, MA, 02451, 7815223400 - 4,132,731 ($5,785,823.00) Equity, (File 333-140622 - Feb. 12) (BR. 03C) S-8 PLANTRONICS INC /CA/, 345 ENCINAL ST, SANTA CRUZ, CA, 95061-1802, 8314265858 - 2,000,000 ($38,900,000.00) Equity, (File 333-140623 - Feb. 12) (BR. 11C) S-8 AASTROM BIOSCIENCES INC, 24 FRANKL LLOYD WRIGHT DR, PO BOX 376, ANN ARBOR, MI, 48106, 7349305555 - 0 ($11,400,000.00) Equity, (File 333-140624 - Feb. 12) (BR. 01A) SB-2 Lattice INC, 1919 SPRINGDALE RD, CHERRY HILL, NJ, 08003, 8564240068 - 5,000,000 ($3,350,000.00) Equity, (File 333-140625 - Feb. 12) (BR. 11A) S-1 SOLERA HOLDINGS LLC, 6011 BOLLINGER CANYON ROAD, SUITE 200, SAN RAMON, CA, 94583, (925) 866-1100 - 0 ($460,000,000.00) Equity, (File 333-140626 - Feb. 12) (BR. ) S-8 ANGIODYNAMICS INC, 603 QUEENSBURY AVE, QUEENSBURY, NY, 12804, 5187981215 - 1,050,000 ($27,226,500.00) Equity, (File 333-140627 - Feb. 12) (BR. 10A) SB-2 BioMETRX, 33 SOUTH SERVICE ROAD, SUITE 111, JERICHO, NY, 11753, 516-750-9733 - 0 ($23,582,451.75) Equity, (File 333-140628 - Feb. 12) (BR. 02A) S-8 ONEOK INC /NEW/, 100 WEST 5TH ST, TULSA, OK, 74103, 9185887000 - 0 ($86,400,000.00) Equity, (File 333-140629 - Feb. 12) (BR. 02C) S-1 ShoreTel Inc, 960 STEWART DRIVE, SUNNYVALE, CA, 94085, 408 331 3300 - 0 ($85,000,000.00) Equity, (File 333-140630 - Feb. 12) (BR. ) SB-2 CORNERSTONE PHARMACEUTICALS INC, 570 SEVENTH AVENUE, NEW YORK, NY, 10018, 11,239,880 ($19,669,791.00) Equity, (File 333-140631 - Feb. 12) (BR. ) S-1 ENERNOC INC, ONE FANEUIL HALL MARKETPLACE 3RD FL, BOSTON, MA, 02109, 617-305-7458 - 0 ($100,000,000.00) Equity, (File 333-140632 - Feb. 12) (BR. ) SB-2 uKARMA CORP, 520 BROADWAY, SUITE 350, SANTA MONICA, CA, 90401, 310 998 8909 - 20,262,063 ($10,879,272.00) Equity, (File 333-140633 - Feb. 12) (BR. ) S-1 ADVANCED VIRAL RESEARCH CORP, 200 CORPORATE BOULEVARD SOUTH, ., YONKERS, NY, 10107, 9143767383 - 0 ($7,766,438.00) Equity, (File 333-140634 - Feb. 12) (BR. 01C) SB-2 Buffalo Ridge Energy, LLC, 304 SPLITROCK BLVD, SUITE 205, BRANDON, SD, 57005, 605-582-6100 - 0 ($75,000,000.00) Equity, (File 333-140635 - Feb. 12) (BR. ) S-1 International Fight League, Inc., 424 WEST 33RD STREET, SUITE 650, NEW YORK, NY, 10001, 212- 356-4000 - 0 ($277,076,800.00) Equity, (File 333-140636 - Feb. 12) (BR. 09B) SB-2 Harry's Trucking, Inc., 15981 YARNELL STREET, ROOM 225, SYLMAR, CA, 91342, 818-793-0012 - 148,000 ($148,000.00) Equity, (File 333-140637 - Feb. 12) (BR. ) SB-2 CHINACAST EDUCATION CORP, 660 MADISON AVENUE 15TH FLOOR, NEW YORK, NY, 10021, 2127530804 - 0 ($80,140,810.00) Equity, (File 333-140638 - Feb. 12) (BR. 09A) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE DATE COMMENT 1-900 Jackpot, Inc. 5.05,9.01 02/09/07 ACCENTURE LTD 8.01 02/07/07 ACTIVANT SOLUTIONS INC /DE/ DE 5.02 02/06/07 ADEZA BIOMEDICAL CORP DE 1.01,9.01 02/11/07 ADMINISTAFF INC \DE\ DE 2.02,9.01 02/12/07 ADVANCED MEDICAL OPTICS INC DE 5.02 02/06/07 ADVANCED PHOTONIX INC DE 2.02,9.01 02/12/07 ADVANSTAR COMMUNICATIONS INC NY 5.02 02/06/07 ADVANSTAR INC DE 5.02 02/06/07 ADVANT E CORP DE 2.02,9.01 02/12/07 ADVANTA BUSINESS RECEIVABLES CORP 8.01 02/09/07 ALASKA AIR GROUP INC DE 8.01,9.01 02/12/07 ALBANY MOLECULAR RESEARCH INC DE 2.02,9.01 02/12/07 ALBEMARLE CORP VA 5.02,5.03,7.01,9.01 02/07/07 ALLIANCE SEMICONDUCTOR CORP /DE/ DE 1.01,9.01 02/09/07 ALLIANT ENERGY CORP WI 5.02 02/06/07 AMBAC FINANCIAL GROUP INC DE 1.01,2.03,9.01 02/07/07 AMBASSADORS GROUP INC DE 2.02,9.01 02/08/07 AMERICAN BANK INC PA 8.01 02/08/07 AMERICAN FINANCIAL GROUP INC OH 9.01 12/31/06 AMERICHIP INTERNATIONAL INC 5.02 02/09/07 AMERON INTERNATIONAL CORP DE 5.02 02/09/07 AMPAL-AMERICAN ISRAEL CORP NY 8.01,9.01 02/07/06 ANADIGICS INC DE 2.02,9.01 02/12/07 ANIXTER INTERNATIONAL INC DE 8.01,9.01 02/12/07 API Nanotronics Corp. DE 9.01 01/24/07 AMEND APOGEE ENTERPRISES INC MN 7.01,9.01 02/12/07 APOLLO GROUP INC AZ 2.02,9.01 02/07/07 APPLIED DIGITAL SOLUTIONS INC MO 1.01,2.03,9.01 02/06/07 ARCH CHEMICALS INC VA 2.02,9.01 02/12/07 ARES CAPITAL CORP MD 7.01 02/12/07 ARGENTA SYSTEMS INC NV 9.01 11/13/06 AMEND ARGONAUT GROUP INC DE 5.02 02/06/07 ARIAD PHARMACEUTICALS INC DE 8.01,9.01 02/12/07 ARVINMERITOR INC IN 1.01,2.03,3.02,9.01 02/09/07 ASCENDIA BRANDS, INC. DE 7.01,9.01 02/12/07 AURELIO RESOURCE CORP NV 1.01,9.01 02/07/07 AURIGA LABORATORIES, INC. DE 1.01,5.02,9.01 02/12/07 AVISTA CORP WA 5.02,9.01 02/09/07 B2B INTERNET HOLDRSSM TRUST NY 9.01 02/12/07 BANK OF AMERICA CORP /DE/ DE 8.01,9.01 02/12/07 BASIC ENERGY SERVICES INC 1.01,2.03,9.01 02/06/07 BASSETT FURNITURE INDUSTRIES INC VA 4.02 02/06/07 BEASLEY BROADCAST GROUP INC DE 2.02,9.01 02/12/07 BEHRINGER HARVARD REIT I INC MD 9.01 11/30/06 AMEND BERKLEY W R CORP DE 1.01,9.01 02/09/07 BIOLIFE SOLUTIONS INC DE 1.01,5.02 02/07/07 BIOTECH HOLDRS TRUST 8.01 02/08/07 BJS WHOLESALE CLUB INC DE 2.02,7.01,9.01 02/08/07 BKF CAPITAL GROUP INC DE 4.01,9.01 02/06/07 BLACK BOX CORP DE 2.02,9.01 02/12/07 BlackRock Kelso Capital CORP DE 1.01,9.01 02/08/06 BLUE NILE INC DE 2.02,5.02,9.01 02/06/07 Boardwalk Pipeline Partners, LP DE 5.02,7.01,9.01 02/12/07 Bois d Arc Energy, Inc. NV 2.02,9.01 02/12/07 BOSTON BEER CO INC MA 5.02 02/12/07 BRAZAURO RESOURCES CORP 2.01,3.02,9.01 02/08/07 BROADBAND HOLDRS TRUST 8.01,9.01 12/31/06 BROADWAY FINANCIAL CORP \DE\ DE 2.02,9.01 02/12/07 BROWN & BROWN INC FL 2.02 02/11/07 BRUSH ENGINEERED MATERIALS INC 2.02,9.01 02/12/07 Burlington Coat Factory Investments H 8.01,9.01 02/12/07 CALIFORNIA OIL & GAS CORP 3.02,9.01 02/09/07 CANO PETROLEUM, INC 2.02,7.01,9.01 02/09/07 Cape Fear Bank CORP NC 2.02,9.01 02/07/07 Capital One Auto Receivables LLC DE 8.01,9.01 02/09/07 CAPITAL ONE MASTER TRUST NY 8.01,9.01 02/09/07 CARDINAL BANKSHARES CORP VA 2.02,9.01 02/09/07 CAREMARK RX INC DE 8.01 02/12/07 CAREMARK RX INC DE 8.01,9.01 02/12/07 CARLISLE COMPANIES INC DE 5.02 02/06/07 Castle Brands Inc 2.02,9.01 02/12/07 CATERPILLAR INC DE 5.02,9.01 02/12/07 CBD Media Holdings LLC DE 1.01,2.03,9.01 02/06/07 CBD MEDIA LLC DE 1.01,2.03,9.01 02/06/07 CBL & ASSOCIATES PROPERTIES INC DE 2.02,9.01 12/31/06 CBRE Realty Finance Inc 1.01,9.01 02/08/07 CELL THERAPEUTICS INC WA 1.01,3.03,5.03,7.01,9.01 02/08/07 CENTRAL PARKING CORP TN 2.02,9.01 02/09/07 CEPHALON INC DE 2.02,9.01 02/12/07 CH2M HILL COMPANIES LTD OR 5.02 02/12/07 Chardan North China Acquisition Corp DE 1.01 02/09/07 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 02/06/07 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 02/06/07 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 02/06/07 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 02/07/07 CHATTEM INC TN 2.02,9.01 02/12/07 CHATTEM INC TN 2.01,9.01 01/02/07 AMEND Chemtura CORP DE 2.02,9.01 02/12/07 CHINDEX INTERNATIONAL INC DE 2.02,7.01,9.01 02/12/07 CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 01/30/07 CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 01/30/07 CHURCHILL DOWNS INC KY 5.02 02/07/07 CITIGROUP INC DE 9.01 02/12/07 CNA FINANCIAL CORP DE 2.02,9.01 02/12/07 COFFEE PACIFICA INC NV 5.02 02/05/07 COLOR KINETICS INC DE 5.02 02/06/07 Community Bankers Acquisition Corp. 8.01,9.01 01/29/07 COMPASS MINERALS INTERNATIONAL INC DE 2.02,9.01 02/12/07 COMSTOCK RESOURCES INC NV 8.01,9.01 02/01/07 CONCENTRA OPERATING CORP NV 1.01,7.01,9.01 02/07/07 CONCEPTUS INC DE 1.01,2.03,3.02,8.01,9.01 02/06/07 CONOCOPHILLIPS DE 5.03,5.05,9.01 02/09/07 CORONADO INDUSTRIES INC NY 1.01,2.01,3.02,5.01,5.02,9.01 01/26/07 AMEND Cowen Group, Inc. DE 2.02,9.01 02/06/07 CRAWFORD & CO GA 2.02,9.01 02/12/07 CRAY INC WA 5.02,5.03,9.01 02/07/07 CRUISESTOCK INC. TX 5.03,9.01 02/06/07 CRYOCOR INC DE 5.02 02/06/07 CTS CORP IN 5.02 02/12/07 CWHEQ Revolving Home Equity Loan Trus 8.01,9.01 12/29/06 Cyclacel Pharmaceuticals, Inc. DE 8.01 02/12/07 CYTYC CORP DE 8.01,9.01 02/11/07 DATASCOPE CORP DE 8.01 02/09/07 DAVITA INC DE 7.01,8.01,9.01 02/09/07 DealerTrack Holdings, Inc. DE 5.02,7.01,9.01 02/06/07 Delek US Holdings, Inc. 1.01,9.01 02/08/07 DEPOMED INC CA 1.01,8.01 02/09/07 DiamondRock Hospitality Co 2.01 02/08/07 DILLARDS INC DE 7.01,9.01 02/08/07 DILLARDS INC DE 7.01,9.01 02/08/07 DIRECTV GROUP INC DE 5.02,5.05,9.01 02/06/07 DIVERSA CORP DE 1.01,2.03,3.03,5.02,9.01 02/11/07 DJO INC DE 2.02,9.01 02/12/07 DOMINION HOMES INC OH 5.02,7.01,9.01 02/07/07 DOR BIOPHARMA INC DE 1.01,3.02,9.01 02/07/07 DTE ENERGY CO MI 7.01,9.01 02/12/07 DUN & BRADSTREET CORP/NW DE 8.01 02/06/07 ECOLAB INC DE 2.02,9.01 02/12/07 EGAIN COMMUNICATIONS CORP DE 2.02,9.01 02/12/07 EGL INC TX 2.02,8.01,9.01 02/07/07 eHealth, Inc. DE 5.02 02/09/07 EMC CORP MA 8.01,9.01 02/07/07 AMEND ENERGY CONVERSION DEVICES INC DE 2.02,5.02,9.01 02/06/07 ENERGY XXI (BERMUDA) LTD D0 1.01,9.01 01/26/07 ENGLOBAL CORP NV 2.02,9.01 02/09/07 EQUINIX INC DE 3.01,5.02,9.01 02/08/07 EQUITY LIFESTYLE PROPERTIES INC MD 7.01,9.01 02/12/07 ERHC Energy Inc CO 8.01,9.01 02/09/07 ESI TRACTEBEL ACQUISITION CORP DE 5.02 01/18/07 EUROPE 2001 HOLDRS TRUST NY 8.01,9.01 12/31/06 EVERGREENBANCORP INC WA 2.02,8.01,9.01 02/08/07 EXPRESS SCRIPTS INC DE 8.01,9.01 02/09/07 FACTORY CARD & PARTY OUTLET CORP DE 2.02,9.01 02/08/07 FARMERS & MERCHANTS BANCORP DE 2.02,9.01 02/09/07 FASTENTECH INC DE 2.02,9.01 02/12/07 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 02/07/07 Finmetal Mining Ltd. 1.01,9.01 02/06/07 FIRST ADVANTAGE CORP DE 2.02,9.01 02/12/07 First Clover Leaf Financial Corp. MD 5.02,9.01 10/24/06 First Franklin Mortgage Loan Trust, S DE 8.01,9.01 01/26/07 FIRST KEYSTONE FINANCIAL INC 7.01,9.01 02/09/07 FIRST RELIANCE BANCSHARES INC SC 5.02 01/18/07 FISCHER IMAGING CORP DE 7.01,9.01 02/05/07 FLIR SYSTEMS INC OR 5.02 02/06/07 FORWARD AIR CORP TN 2.02,9.01 02/12/07 FRIEDMAN BILLINGS RAMSEY GROUP INC VA 5.02 02/08/07 GAIAM INC CO 1.01,1.02,5.02,9.01 02/06/07 GAINSCO INC TX 1.01,9.01 02/07/07 GameStop Corp. DE 5.02 02/09/07 GateHouse Media, Inc. DE 2.01,9.01 02/09/07 GENERAL DYNAMICS CORP DE 5.02,9.01 02/08/07 GeoEye, Inc. DE 8.01 02/12/07 GERON CORP DE 8.01 02/12/07 GoFish Corp. 1.01,9.01 02/11/07 GOLDLEAF FINANCIAL SOLUTIONS INC. TN 5.02,8.01,9.01 02/12/07 GREAT AMERICAN FINANCIAL RESOURCES IN DE 2.02,9.01 12/31/06 Great Lakes Dredge & Dock CORP DE 5.02 02/07/07 GREAT PLAINS ENERGY INC MO 5.02 02/12/07 GREATER ATLANTIC FINANCIAL CORP DE 3.01,9.01 02/12/07 GREENMAN TECHNOLOGIES INC DE 4.01,9.01 02/12/07 GRUBB & ELLIS CO DE 1.01,9.01 02/09/07 GRUBB & ELLIS CO DE 1.01 02/09/07 AMEND GRYPHON GOLD CORP NV 7.01,9.01 02/12/07 GSAMP Trust 2006-HE8 DE 8.01,9.01 12/27/06 GSAMP Trust 2007-H1 DE 9.01 01/31/07 GSAMP Trust 2007-H1 DE 8.01,9.01 01/31/07 GSAMP Trust 2007-H1 DE 8.01,9.01 01/31/07 HALIFAX CORP VA 2.02,9.01 02/12/07 HANSEN NATURAL CORP DE 1.01,9.01 02/09/07 Harbor Acquisition Corp. DE 1.01,9.01 02/09/07 AMEND HAROLDS STORES INC OK 2.02,9.01 02/09/07 Harry & David Holdings, Inc. DE 2.02,7.01,9.01 02/12/07 HASBRO INC RI 1.01,5.02,5.03,9.01 02/07/07 HAYES LEMMERZ INTERNATIONAL INC DE 1.01,7.01 02/09/07 HCC INSURANCE HOLDINGS INC/DE/ DE 7.01,9.01 02/12/07 HERITAGE BANKSHARES INC /VA VA 2.02,9.01 02/09/07 HEXCEL CORP /DE/ DE 5.02 02/06/07 HI/FN INC DE 5.02,9.01 02/12/07 HIGHLAND HOSPITALITY CORP MD 2.02,9.01 02/12/07 HINES HORTICULTURE INC DE 5.02 02/06/07 HOLLY CORP DE 7.01,9.01 02/12/07 HOLLY CORP DE 2.02,9.01 02/12/07 HOOKER FURNITURE CORP VA 2.02,9.01 02/09/07 HOSPITALITY PROPERTIES TRUST MD 8.01,9.01 02/09/07 HOUSERAISING, INC. NC 3.02 02/02/07 HSBC Automotive Trust (USA) 2007-1 NV 8.01,9.01 01/31/07 HSI ASSET SECURITIZATION CORP 8.01,9.01 02/12/07 HYDRIL CO DE 1.01,8.01,9.01 02/11/07 ICO INC TX 2.02,9.01 02/07/07 IGI INC DE 1.01,3.02 02/06/07 IHOP CORP DE 8.01,9.01 02/09/07 India Globalization Capital, Inc. MD 1.01,3.02,7.01,8.01,9.01 02/02/07 INHIBITEX, INC. 2.02,8.01 02/09/07 INNOVO GROUP INC DE 1.01 02/06/07 INTEGRAL SYSTEMS INC /MD/ MD 2.02,9.01 02/09/07 INTERACTIVE INTELLIGENCE INC IN 2.02,9.01 02/12/07 INTERNET HOLDRS TRUST NY 8.01 02/08/07 INTERNET INFRASTRUCTURE HOLDRSSM TRUS NY 8.01,9.01 12/31/06 IRONCLAD PERFORMANCE WEAR CORP 8.01 05/09/06 AMEND IRONCLAD PERFORMANCE WEAR CORP 5.02,9.01 05/18/06 AMEND IRONCLAD PERFORMANCE WEAR CORP 1.01,2.03,9.01 09/15/06 AMEND IRONCLAD PERFORMANCE WEAR CORP 7.01,9.01 08/15/06 AMEND IRONCLAD PERFORMANCE WEAR CORP 1.01,2.03,9.01 11/21/06 AMEND IRONCLAD PERFORMANCE WEAR CORP 8.01,9.01 10/06/06 AMEND IRONCLAD PERFORMANCE WEAR CORP 2.02,9.01 11/14/06 AMEND ISOLAGEN INC DE 5.02,8.01,9.01 02/06/07 Israel Technology Acquisition Corp. DE 8.01,9.01 02/28/06 AMEND ITC DELTACOM INC DE 5.02 02/06/07 ITEC ENVIRONMENTAL GROUP INC DE 5.02 02/09/07 J P MORGAN CHASE & CO DE 9.01 02/08/07 J.P. Morgan Mortgage Trust 2007-A1 DE 8.01,9.01 02/12/07 JARDEN CORP DE 1.01,9.01 02/07/07 JDA SOFTWARE GROUP INC DE 5.02 02/06/07 JONES LANG LASALLE INC MD 7.01,9.01 02/12/07 KAIRE HOLDINGS INC DE 4.01 02/12/07 AMEND KBS Real Estate Investment Trust, Inc MD 2.01,9.01 01/31/07 AMEND KERYX BIOPHARMACEUTICALS INC DE 5.02 02/09/07 KEY TECHNOLOGY INC OR 5.02,9.01 02/07/07 Kimball Hill, Inc. IL 2.02,9.01 02/12/07 KINETIC CONCEPTS INC /TX/ TX 5.02 02/06/06 KIRKLANDS INC 2.02,9.01 02/08/07 KNOLL INC DE 5.02 02/06/07 KOMAG INC /DE/ DE 1.01 02/06/07 KYPHON INC DE 1.01,2.03,3.02,9.01 02/06/07 LAIDLAW INTERNATIONAL INC DE 7.01,8.01,9.01 02/09/07 LANCE INC NC 2.02,9.01 02/12/07 LANCE INC NC 2.02,9.01 02/12/07 AMEND LCA VISION INC DE 2.02,9.01 02/12/07 LEHMAN ABS CORP AT&T WIRELESS SERV NO DE 8.01 02/02/07 LEHMAN ABS CORP BELLSOUTH DEB BCKD SE DE 8.01 02/01/07 LEVEL 3 COMMUNICATIONS INC DE 8.01,9.01 02/09/07 LEXINGTON REALTY TRUST MD 5.02,9.01 02/06/07 LINN ENERGY, LLC DE 9.01 02/01/07 AMEND LOEWS CORP DE 2.02,9.01 02/12/07 MARSHALL & ILSLEY CORP/WI/ WI 8.01,9.01 02/09/07 MARVELL TECHNOLOGY GROUP LTD D0 8.01 02/08/07 MASTEC INC FL 8.01 02/06/07 MATHSTAR INC MN 8.01,9.01 02/12/07 MAXIMUS INC VA 2.02,9.01 02/08/07 MEDCATH CORP DE 5.02,9.01 02/06/07 MEDIFAST INC DE 7.01,9.01 02/12/07 MEDSTRONG INTERNATIONAL CORP 1.01,5.06,7.01,9.01 01/31/07 MERCURY GENERAL CORP CA 2.02,9.01 02/12/07 METTLER TOLEDO INTERNATIONAL INC/ DE 5.02,5.03,8.01,9.01 02/08/07 MGIC INVESTMENT CORP WI 1.01,3.03,9.01 02/06/07 MICRONETICS INC DE 2.02,9.01 02/08/07 MICRUS ENDOVASCULAR CORP 2.02,9.01 02/12/07 MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA 8.01,9.01 02/12/07 MIKRON INFRARED INC NJ 1.01,9.01 02/08/07 MISONIX INC NY 2.02,9.01 02/12/07 MOBILEMAIL (US) INC. NV 2.01,3.02,4.01,5.01,5.02,5.06,9.01 02/06/07 MONOLITHIC POWER SYSTEMS INC CA 8.01,9.01 02/08/07 MONOLITHIC POWER SYSTEMS INC CA 2.02,9.01 02/12/07 Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 01/26/07 Morgan Stanley ABS Capital I Inc. Tru DE 9.01 01/19/07 Morningstar, Inc. IL 5.02,9.01 02/09/07 MoSys, Inc. CA 2.02,9.01 02/12/07 Mueller Group, Inc. DE 5.02 02/07/07 MURPHY OIL CORP /DE DE 1.01,5.03,9.01 02/06/07 Nalco Holding CO 2.02 02/12/07 NASTECH PHARMACEUTICAL CO INC DE 5.02,9.01 02/06/07 Nationstar Home Equity Loan Trust 200 DE 6.05 02/12/07 NBTY INC DE 1.01 02/09/07 NBTY INC DE 5.02 02/09/07 nCoat, Inc. DE 1.01,9.01 02/08/07 NeoStem, Inc. DE 3.02,8.01,9.01 02/05/07 NETBANK INC GA 2.06 02/06/07 NEURO-HITECH PHARMACEUTICALS INC DE 9.01 11/29/06 AMEND NEUSTAR INC 9.01 02/12/07 AMEND NEW CENTURY BANCORP INC NC 2.02,9.01 02/08/07 New Oriental Energy & Chemical Corp. 4.01,9.01 02/06/07 NEWMONT MINING CORP /DE/ DE 5.02 02/06/07 NEWS CORP 8.01,9.01 02/12/07 NightHawk Radiology Holdings Inc 1.01,9.01 02/09/07 NITROMED INC DE 1.01 02/09/07 NORTHWEST BANCORPORATION INC WA 2.02 02/12/07 NOVADEL PHARMA INC DE 7.01,8.01,9.01 02/08/07 NOVASTAR FINANCIAL INC MD 7.01,9.01 02/12/07 NUVEEN INVESTMENTS INC DE 5.03,9.01 02/06/07 Oasys Mobile, Inc. DE 1.01,9.01 02/06/07 OIL SERVICE HOLDRS TRUST NY 9.01 12/31/06 ONE IP VOICE, INC. DE 1.01,1.03,2.04,2.05,5.02,9.01 02/05/07 ONYX PHARMACEUTICALS INC DE 8.01,9.01 02/12/07 OREGON PACIFIC BANCORP OR 2.02,9.01 02/09/07 OSTEOTECH INC DE 8.01,9.01 02/08/07 OVERSEAS SHIPHOLDING GROUP INC DE 8.01,9.01 02/07/07 OVERSTOCK.COM, INC UT 5.02,8.01 02/07/07 PACIFICNET INC DE 1.01,2.03,4.01,9.01 02/06/07 PALATIN TECHNOLOGIES INC DE 2.02,9.01 02/09/07 Patient Safety Technologies, Inc DE 3.02 11/30/06 PENN OCTANE CORP DE 1.01 02/06/07 PENNFED FINANCIAL SERVICES INC DE 2.02 02/09/07 PHARMACEUTICAL HOLDRS TRUST 8.01,9.01 12/31/06 PHARMACOPEIA DRUG DISCOVERY INC DE 7.01,8.01,9.01 02/12/07 PHH Alternative Mortgage Trust, Serie 8.01,9.01 02/09/07 PHYSICIANS FORMULA HOLDINGS, INC. DE 5.02 02/06/07 PILGRIMS PRIDE CORP DE 1.01,2.03,9.01 02/07/07 PINNACLE FOODS GROUP INC DE 7.01,9.01 02/12/07 PINNACLE WEST CAPITAL CORP AZ 5.04,9.01 02/12/07 PORTEC RAIL PRODUCTS INC WV 8.01,9.01 02/08/07 PRO PHARMACEUTICALS INC NV 8.01,9.01 02/12/07 PROASSURANCE CORP DE 7.01,9.01 02/12/07 PROGRESSIVE GAMING INTERNATIONAL CORP NV 8.01 02/09/07 ProLink Holdings Corp. DE 1.01,5.03 02/06/07 PROSPECT ENERGY CORP MD 8.01,9.01 02/12/07 PROSPERO MINERALS CORP. NV 1.02 12/15/06 PURE BIOFUELS CORP NV 1.01,5.02 02/06/07 PURE VANILLA EXCHANGE INC NV 1.01,5.02,5.03,9.01 02/06/07 PXRE GROUP LTD 1.02 02/08/07 QUEPASA CORP NV 4.01,9.01 02/08/07 QUEST RESOURCE CORP NV 7.01 02/12/07 QUICKSILVER RESOURCES INC DE 1.01,8.01,9.01 02/09/07 R&G FINANCIAL CORP PR 2.02,5.02,8.01,9.01 02/07/07 RADIAN GROUP INC DE 1.01,9.01 02/06/07 RADYNE CORP DE 2.02 02/12/07 RAILAMERICA INC /DE DE 7.01 02/12/07 RAINMAKER SYSTEMS INC CA 2.02,7.01,9.01 02/12/07 Rand Logistics, Inc. DE 7.01,9.01 02/09/07 AMEND REGIONAL BANK HOLDERS SM TRUST NY 8.01,9.01 12/31/06 ReoStar Energy CORP NV 5.03,9.01 02/12/07 REPLIDYNE INC 1.02,7.01,9.01 02/06/07 RETAIL HOLDRS TRUST NY 9.01 12/31/06 REYNOLDS AMERICAN INC 5.02 02/06/07 S3 INVESTMENT COMPANY, INC. CA 5.03 02/12/07 SAIC, Inc. DE 8.01,9.01 02/12/07 SATELLITE NEWSPAPERS CORP NV 2.02 02/12/07 SELECTICA INC DE 8.01 02/08/07 SEMICONDUCTOR HOLDRS TRUST NY 9.01 12/31/06 SENSIENT TECHNOLOGIES CORP WI 2.02,9.01 02/12/07 SERVICE CORPORATION INTERNATIONAL TX 9.01 11/28/06 AMEND SHARPER IMAGE CORP DE 2.02,9.01 02/08/07 SHARPS COMPLIANCE CORP DE 7.01,9.01 02/12/07 SHAW GROUP INC LA 4.01,9.01 02/07/07 SHEARSON FINANCIAL NETWORK INC NV 9.01 07/29/06 AMEND Shire plc 8.01,9.01 02/12/07 SHUMATE INDUSTRIES INC DE 1.01 02/08/07 SHUTTERFLY INC 5.02 02/06/07 SIGNATURE EYEWEAR INC CA 1.01 02/09/07 SILICON IMAGE INC DE 5.02,9.01 02/06/07 SILVERSTAR HOLDINGS LTD B0 7.01,9.01 02/08/07 SIMMONS CO DE 1.01,8.01,9.01 02/12/07 SIMPLETECH INC CA 1.01,2.01,5.02,7.01,9.01 02/09/07 SJW CORP CA 7.01,9.01 02/09/07 SM&A DE 1.01,9.01 02/09/07 SMITH & WESSON HOLDING CORP NV 9.01 01/03/07 AMEND SoftNet Technology Corp. NV 3.02,5.02,7.01,8.01,9.01 02/08/07 SOFTWARE HOLDRS TRUST NY 9.01 12/31/06 Solo Cup CO DE 5.02,9.01 02/06/07 SONEX RESEARCH INC MD 8.01 02/12/07 SOUTHWESTERN ENERGY CO AR 1.01,9.01 02/09/07 Spirit AeroSystems Holdings, Inc. DE 5.02 02/06/07 Sterling Mining CO ID 5.02 02/06/07 STRUCTURED PRODUCTS CORP CORTS R TR F DE 8.01 02/12/07 STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01 02/12/07 STRUCTURED PRODUCTS CORP CORTS TR II DE 8.01 02/12/07 SULPHCO INC NV 5.02 02/07/07 AMEND Super Luck, Inc. DE 4.02 02/05/07 SUPERTEL HOSPITALITY INC VA 1.01,9.01 02/09/07 Switch & Data, Inc. DE 7.01,9.01 02/08/07 SYNTEC BIOFUEL INC WA 5.02 02/07/07 SYNTROLEUM CORP DE 5.02 02/12/07 SYS CA 2.02,9.01 02/12/07 TALBOTS INC DE 5.02,9.01 02/12/07 TAUBMAN CENTERS INC MI 5.02 02/08/07 TECHNICAL OLYMPIC USA INC DE 1.01,9.01 02/06/07 TECHTEAM GLOBAL INC DE 1.01,2.01,9.01 02/09/07 TELECOM HOLDRS TRUST NY 8.01,9.01 12/31/06 TELEPHONE & DATA SYSTEMS INC /DE/ DE 3.01,8.01,9.01 02/12/07 TELETECH HOLDINGS INC DE 2.02,9.01 02/07/07 Terra Nova Acquisition CORP DE 1.01,2.01,2.02,3.02,3.03,5.01,5.02,5.03,5.06 02/12/07 TheRetirementSolution.com, Inc. UT 1.01,9.01 02/06/07 THERMOGENESIS CORP DE 2.02,9.01 02/09/07 TIFFANY & CO DE 8.01,9.01 02/12/07 AMEND TOREADOR RESOURCES CORP DE 5.02,9.01 01/25/07 TransDigm Group INC DE 2.02,9.01 02/12/07 TRIO TECH INTERNATIONAL CA 2.02,9.01 02/09/07 TRIPLE BAY INDUSTRIES OH 5.03,9.01 02/07/07 Triple Crown Media, Inc. DE 2.02,9.01 02/12/07 TWC Holding LLC DE 5.02 02/08/07 U S GOLD CORP CO 7.01,8.01,9.01 02/12/07 U S GOLD CORP CO 7.01,8.01,9.01 02/12/07 U S GOLD CORP CO 7.01,8.01,9.01 02/12/07 U. S. Premium Beef, LLC 7.01,9.01 02/12/07 UHF INCORPORATED 8.01,9.01 02/09/07 ULTRA CLEAN HOLDINGS INC 5.02 02/09/07 ULTRA CLEAN HOLDINGS INC 2.02,9.01 02/12/07 ULTRALIFE BATTERIES INC DE 7.01,9.01 02/12/07 UNION STREET ACQUISITION CORP. DE 8.01,9.01 02/09/07 UNION STREET ACQUISITION CORP. DE 8.01,9.01 02/12/07 UNISYS CORP DE 5.03,9.01 02/08/07 UNITED FIRE & CASUALTY CO IA 2.02,9.01 12/31/06 UNITED STATES CELLULAR CORP DE 3.01,8.01,9.01 02/12/07 UNITY BANCORP INC /NJ/ NJ 7.01,9.01 02/12/07 URBAN OUTFITTERS INC PA 2.02,9.01 02/06/07 USEC INC DE 8.01,9.01 02/12/07 UTILITIES HOLDERS SM TRUST NY 8.01,9.01 12/31/06 VALSPAR CORP DE 2.02,9.01 02/12/07 VANGUARD HEALTH SYSTEMS INC DE 2.02,9.01 02/12/07 VEECO INSTRUMENTS INC DE 1.01,2.02,9.01 02/07/07 VERINT SYSTEMS INC 8.01,9.01 02/11/07 VERSO TECHNOLOGIES INC MN 1.01,3.02,9.01 02/06/07 VIASPACE Inc. NV 8.01,9.01 02/12/07 VINEYARD NATIONAL BANCORP CA 7.01,9.01 02/12/07 Visiphor CORP A1 7.01,9.01 02/06/07 Volcom Inc 5.02,8.01,9.01 02/06/07 WALKER FINANCIAL CORP DE 4.01,9.01 01/19/07 AMEND WaMu Asset Acceptance Corp. DE 6.01 02/12/07 WaMu Asset Acceptance Corp. DE 6.01 02/12/07 WaMu Asset Acceptance Corp. DE 6.01 02/12/07 Washington Mutual Mortgage Pass-Throu DE 9.01 01/26/07 WASTE CONNECTIONS INC/DE DE 2.02,7.01,8.01,9.01 02/12/07 WELLMAN INC DE 5.02,9.01 02/12/07 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 01/29/07 WHOLESALE AUTO RECEIVABLES LLC DE 8.01,9.01 02/12/07 WINDSTREAM CORP DE 8.01,9.01 02/12/07 WIRELESS HOLDRS TRUST NY 8.01,9.01 12/31/06 WITNESS SYSTEMS INC DE 8.01,9.01 02/11/07 Wornick CO DE 5.02 02/08/07 X-CHANGE CORP NV 5.02,7.01,9.01 02/06/07 XENOPORT INC DE 1.01 02/07/07 YANKEE CANDLE CO INC 1.01,2.03,5.01,5.02 02/06/07 YUM BRANDS INC NC 3.03,8.01,9.01 02/09/07 ZIM CORP A6 2.02,9.01 02/12/07 ZONES INC WA 1.01,2.02,5.02,8.01,9.01 02/08/07